10 CFR 429.70 - Alternative methods for determining energy efficiency and energy use.

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§ 429.70 Alternative methods for determining energy efficiency and energy use. Link to an amendment published at 79 FR 40565, July 11, 2014.
(a) General applicability of an AEDM. A manufacturer of covered products or covered equipment explicitly authorized to use an AEDM in §§ 429.14 through 429.54 may not distribute any basic model of such equipment in commerce unless the manufacturer has determined the energy efficiency of the basic model, either from testing the basic model in conjunction with DOE's certification sampling plans and statistics or from applying an alternative method for determining energy efficiency or energy use (AEDM) to the basic model, in accordance with the requirements of this section. In instances where a manufacturer has tested a basic model, the manufacturer may not knowingly use an AEDM to overrate the efficiency (or underrate the consumption) of the model.
(b) Testing. Testing for each covered product or covered equipment must be done in accordance with the sampling plan provisions established in § 429.11 and the testing procedures in parts 430 and 431 of this chapter.
(c) Alternative efficiency determination method (AEDM) for commercial HVAC (includes commercial warm air furnaces and commercial packaged boilers), WH, and refrigeration equipment
(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless:
(i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure;
(ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and
(iii) The manufacturer has validated the AEDM, in accordance with paragraph (c)(2) of this section with basic models that meet the current Federal energy conservation standards.
(2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
(i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (c)(2)(iv) of this section to which the particular AEDM applies. Using the AEDM, calculate the energy use or efficiency for each of the selected basic models. Test a single unit of each selected basic model in accordance with paragraph (c)(2)(iii) of this section. Compare the results from the single unit test and the AEDM energy use or efficiency output according to paragraph (c)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and reliability of the AEDM.
(ii) Individual model tolerances.
(A) For those covered products with an energy-efficiency metric, the predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model.
(B) For those covered products with an energy-consumption metric, the predicted energy consumption for each model, calculated by applying the AEDM, may not be more than five percent less than the energy consumption determined from the corresponding test of the model.
(C) For all covered products, the predicted energy efficiency or consumption for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation performance standard.
(iii) Additional test unit requirements.
(A) Each AEDM must be supported by test data obtained from physical tests of current models; and
(B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified inpart 431 of this chapter; and
(C) Each test must have been performed in accordance with the DOE test procedure specified inparts 430 or 431 of this chapter or test procedure waiver for which compliance is required at the time the basic model is distributed in commerce.
(iv) Validation classes.
Validation class Minimum number of distinct models that must be tested per AEDM
1 The minimum number of tests indicated above must be comprised of a transparent model, a solid model, a vertical model, a semi-vertical model, a horizontal model, and a service-over-the counter model, as applicable based on the equipment offering. However, manufacturers do not need to include all types of these models if it will increase the minimum number of tests that need to be conducted.
Air-Cooled, Split and Packaged Air Conditioners (ACs) and Heat Pumps (HPs) less than 65,000 Btu/h Cooling Capacity (3-Phase) 2 Basic Models.
(A) Commercial HVAC validation classes
Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity 2 Basic Models.
Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities 2 Basic Models.
Evaporatively-Cooled, Split and Packaged ACs and HPs, All Capacities 2 Basic Models.
Water-Source HPs, All Capacities 2 Basic Models.
Single Package Vertical ACs and HPs 2 Basic Models.
Packaged Terminal ACs and HPs 2 Basic Models.
Air-Cooled, Variable Refrigerant Flow ACs and HPs 2 Basic Models.
Water-Cooled, Variable Refrigerant Flow ACs and HPs 2 Basic Models.
Computer Room Air Conditioners, Air Cooled 2 Basic Models.
Computer Room Air Conditioners, Water-Cooled 2 Basic Models.
(B) Commercial water heater validation classes
Gas-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons 2 Basic Models.
Gas-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons 2 Basic Models.
Oil-fired Water Heaters and Hot Water Supply Boilers Less than 10 Gallons 2 Basic Models.
Oil-fired Water Heaters and Hot Water Supply Boilers Greater than or Equal to 10 Gallons 2 Basic Models.
Electric Water Heaters 2 Basic Models.
Heat Pump Water Heaters 2 Basic Models.
Unfired Hot Water Storage Tanks 2 Basic Models.
(C) Commercial packaged boilers validation classes
Gas-fired, Hot Water Only Commercial Packaged Boilers 2 Basic Models.
Gas-fired, Steam Only Commercial Packaged Boilers 2 Basic Models.
Gas-fired Hot Water/Steam Commercial Packaged Boilers 2 Basic Models.
Oil-fired, Hot Water Only Commercial Packaged Boilers 2 Basic Models.
Oil-fired, Steam Only Commercial Packaged Boilers 2 Basic Models.
Oil-fired Hot Water/Steam Commercial Packaged Boilers 2 Basic Models.
(D) Commercial furnace validation classes
Gas-fired Furnaces 2 Basic Models.
Oil-fired Furnaces 2 Basic Models.
(E) Commercial refrigeration equipment validation classes
Self-Contained Open Refrigerators 2 Basic Models.
Self-Contained Open Freezers 2 Basic Models.
Remote Condensing Open Refrigerators 2 Basic Models.
Remote Condensing Open Freezers 2 Basic Models.
Self-Contained Closed Refrigerators 2 Basic Models.
Self-Contained Closed Freezers 2 Basic Models.
Remote Condensing Closed Refrigerators 2 Basic Models.
Remote Condensing Closed Freezers 2 Basic Models.
(3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:
(i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
(ii) Product information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (c)(2) of this section; and
(iii) Product information and AEDM calculations for each basic model to which the AEDM has been applied.
(4) Additional AEDM requirements. If requested by the Department and at DOE's discretion, the manufacturer must perform at least one of the following:
(i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied;
(ii) Provide analyses of previous simulations conducted by the manufacturer; or
(iii) Conduct certification testing of basic models selected by the Department.
(5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to § 429.104 to verify the certified rating determined by an AEDM as long as the following process is followed:
(i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer;
(ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request.
(iii) Manufacturer participation. [Reserved]
(iv) Testing. At no time during verification testing may the lab and the manufacturer communicate without DOE authorization. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply:
(A) Any active test procedure waivers that have been granted for the basic model;
(B) Any test procedure guidance that has been issued by DOE;
(C) The installation and operations manual that is shipped with the unit;
(D) Any additional information that was provided by the manufacturer at the time of certification (prior to DOE obtaining the unit for test); and
(E) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information.
(v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (c)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then:
(A) Present all claims regarding testing validity; and
(B) If the manufacturer was not on site for the initial test set-up, request a retest of the previously tested unit with manufacturer and DOE representatives on-site for the test set-up. DOE will not conduct the retest using a different unit of the same basic model unless DOE and the manufacturer determine it is necessary based on the test results, claims presented, and DOE regulations.
(vi) Tolerances.
(A) For consumption metrics, the result from a DOE verification test must be less than or equal to the certified rating × (1 the applicable tolerance).
(B) For efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).
Equipment Metric Applicabletolerance
Commercial Packaged Boilers Combustion EfficiencyThermal Efficiency 5% (0.05)5% (0.05)
Commercial Water Heaters or Hot Water Supply Boilers Thermal EfficiencyStandby Loss 5% (0.05)10% (0.1)
Unfired Storage Tanks R-Value 10% (0.1)
Air-Cooled, Split and Packaged ACs and HPs less than 65,000 Btu/h Seasonal Energy-Efficiency Ratio 5% (0.05)
Cooling Capacity (3-Phase) Heating Season Performance FactorEnergy Efficiency Ratio 5% (0.05)10% (0.1)
Air-Cooled, Split and Packaged ACs and HPs greater than or equal to 65,000 Btu/h Cooling Capacity and Less than 760,000 Btu/h Cooling Capacity Energy Efficiency RatioCoefficient of Performance Integrated Energy Efficiency Ratio 5% (0.05)5% (0.05) 10% (0.1)
Water-Cooled, Split and Packaged ACs and HPs, All Cooling Capacities Energy Efficiency RatioCoefficient of Performance Integrated Energy Efficiency Ratio 5% (0.05)5% (0.05) 10% (0.1)
Evaporatively-Cooled, Split and Packaged ACs and HPs, All Capacities Energy Efficiency RatioCoefficient of Performance Integrated Energy Efficiency Ratio 5% (0.05)5% (0.05) 10% (0.1)
Water-Source HPs, All Capacities Energy Efficiency RatioCoefficient of Performance Integrated Energy Efficiency Ratio 5% (0.05)5% (0.05) 10% (0.1)
Single Package Vertical ACs and HPs Energy Efficiency RatioCoefficient of Performance 5% (0.05)5% (0.05)
Packaged Terminal ACs and HPs Energy Efficiency RatioCoefficient of Performance 5% (0.05)5% (0.05)
Variable Refrigerant Flow ACs and HPs Energy Efficiency RatioCoefficient of Performance Integrated Energy Efficiency Ratio 5% (0.05)5% (0.05) 10% (0.1)
Computer Room Air Conditioners Sensible Coefficient of Performance 5% (0.05)
Commercial Warm-Air Furnaces Thermal Efficiency 5% (0.05)
Commercial Refrigeration Equipment Daily Energy Consumption 5% (0.05)
(vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the verification testing was conducted appropriately in accordance with the DOE test procedure, DOE will issue a determination that the rating for the model is invalid. The manufacturer must elect, within 15 days, one of the following to be completed in a time frame specified by DOE, which is never to exceed 180 days:
(A) Re-rate and re-certify the model based on DOE's test data alone; or
(B) Discontinue the model through the certification process; or
(C) Conduct additional testing and re-rate and re-certify the basic model based on all test data collected, including DOE's test data.
(viii) AEDM use.
(A) If DOE has determined that a manufacturer made invalid ratings on two or more models rated using the same AEDM within a 24 month period, the manufacturer must take the action listed in the table corresponding to the number of invalid certified ratings. The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on selection of a unit for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).
Number of invalid certified ratings from the same AEDM 2 within a rolling 24 month period 3 Required manufacturer actions
1 A manufacturer may discuss with DOE's Office of Enforcement whether existing test data on different basic models within the validation classes to which that specific AEDM was applied may be used to meet this requirement.
2 The “same AEDM” means a computer simulation or mathematical model that is identified by the manufacturer at the time of certification as having been used to rate a model or group of models.
3 The twenty-four month period begins with a DOE determination that a rating is invalid through the process outlined above. Additional invalid ratings apply for the purposes of determining the appropriate consequences if the subsequent determination(s) is based on testing of a unit that was selected for testing within the twenty-four month period (i.e., subsequent determinations need not be made within 24 months).
2 Submit different test data and reports from testing to validate that AEDM within the validation classes to which it is applied.1 Adjust the ratings as appropriate.
4 Conduct double the minimum number of validation tests for the validation classes to which the AEDM is applied. Note, the tests required under this paragraph (c)(5)(viii) must be performed on different models than the original tests required under paragraph (c)(2) of this section.
6 Conduct the minimum number of validation tests for the validation classes to which the AEDM is applied at a third-part test facility; AndConduct addition testing, which is equal to 1/2 the minimum number of validation tests for the validation classes to which the AEDM is applied , at either the manufacturer's facility or a third-party test facility, at the manufacturer's discretion.
Note, the tests required under this paragraph (c)(5)(viii) must be performed on different models than the original tests performed under paragraph (c)(2) of this section.
> = 8 Manufacturer has lost privilege to use AEDM. All ratings for models within the validation classes to which the AEDM applied should be rated via testing. Distribution cannot continue until certification(s) are corrected to reflect actual test data.
(B) If, as a result of eight or more invalid ratings, a manufacturer has lost the privilege of using an AEDM for rating, the manufacturer may regain the ability to use an AEDM by:
(1) Investigating and identifying cause(s) for failures;
(2) Taking corrective action to address cause(s);
(3) Performing six new tests per validation class, a minimum of two of which must be performed by an independent, third-party laboratory to validate the AEDM; and
(4) Obtaining DOE authorization to resume use of the AEDM.
(d) Alternative efficiency determination method for distribution transformers —A manufacturer may use an AEDM to determine the efficiency of one or more of its untested basic models only if it determines the efficiency of at least five of its other basic models (selected in accordance with paragraph (d)(3) of this section) through actual testing.
(1) Criteria an AEDM must satisfy.
(i) The AEDM has been derived from a mathematical model that represents the electrical characteristics of that basic model;
(ii) The AEDM is based on engineering and statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data; and
(iii) The manufacturer has substantiated the AEDM, in accordance with paragraph (d)(2) of this section, by applying it to, and testing, at least five other basic models of the same type,i.e., low-voltage dry-type distribution transformers, medium-voltage dry-type distribution transformers, or liquid-immersed distribution transformers.
(2) Substantiation of an AEDM. Before using an AEDM, the manufacturer must substantiate the AEDM's accuracy and reliability as follows:
(i) Apply the AEDM to at least five of the manufacturer's basic models that have been selected for testing in accordance with paragraph (d)(3) of this section, and calculate the power loss for each of these basic models;
(ii) Test at least five units of each of these basic models in accordance with the applicable test procedure and§ 429.47, and determine the power loss for each of these basic models;
(iii) The predicted total power loss for each of these basic models, calculated by applying the AEDM pursuant to paragraph (d)(2)(i) of this section, must be within plus or minus five percent of the mean total power loss determined from the testing of that basic model pursuant to paragraph (d)(2)(ii) of this section; and
(iv) Calculate for each of these basic models the percentage that its power loss calculated pursuant to paragraph (d)(2)(i) of this section is of its power loss determined from testing pursuant to paragraph (d)(2)(ii) of this section, compute the average of these percentages, and that calculated average power loss, expressed as a percentage of the average power loss determined from testing, must be no less than 97 percent and no greater than 103 percent.
(3) Additional testing requirements.
(i) A manufacturer must select basic models for testing in accordance with the following criteria:
(A) Two of the basic models must be among the five basic models with the highest unit volumes of production by the manufacturer in the prior year, or during the prior 12-calendar-month period beginning in 2003,1 whichever is later;

Footnote(s):
1 When identifying these five basic models, any basic model that does not comply with Federal energy conservation standards for distribution transformers that may be in effect shall be excluded from consideration.

(B) No two basic models should have the same combination of power and voltage ratings; and
(C) At least one basic model should be single-phase and at least one should be three-phase.
(ii) In any instance where it is impossible for a manufacturer to select basic models for testing in accordance with all of these criteria, the criteria shall be given priority in the order in which they are listed. Within the limits imposed by the criteria, basic models shall be selected randomly.
(4) Subsequent verification of an AEDM.
(i) Each manufacturer that has used an AEDM under this section shall have available for inspection by the Department of Energy records showing:
(A) The method or methods used;
(B) The mathematical model, the engineering or statistical analysis, computer simulation or modeling, and other analytic evaluation of performance data on which the AEDM is based;
(C) Complete test data, product information, and related information that the manufacturer has generated or acquired pursuant to paragraph (d)(4) of this section; and
(D) The calculations used to determine the efficiency and total power losses of each basic model to which the AEDM was applied.
(ii) If requested by the Department, the manufacturer must perform at least one of the following:
(A) Conduct simulations to predict the performance of particular basicmodels of distribution transformers specified by the Department;
(B) Provide analyses of previous simulations conducted by the manufacturer;
(C) Conduct sample testing of basic models selected by the Department; or
(D) Conduct a combination of these.
(e) Alternate Rating Method (ARM) for residential split-system central air conditioners and heat pumps
(1) Criteria an ARM must satisfy. The basis of the ARM referred to in § 429.16(a)(2)(ii) for residential central air conditioners and heat pumps must be a representation of the test data and calculations of a mechanical vapor-compression refrigeration cycle. The major components in the refrigeration cycle must be modeled as “fits” to manufacturer performance data or by graphical or tabular performance data. Heat transfer characteristics of coils may be modeled as a function of face area, number of rows, fins per inch, refrigerant circuitry, air-flow rate and entering-air enthalpy. Additional performance-related characteristics to be considered may include type of expansion device, refrigerant flow rate through the expansion device, power of the indoor fan and cyclic-degradation coefficient. Ratings for untested combinations must be derived from the ratings of a combination tested in accordance with § 429.16(a)(2)(i). The seasonal energy efficiency ratio (SEER) and/or heating seasonal performance factor (HSPF) ratings for an untested combination must be set equal to or less than the lower of the SEER and/or HSPF calculated using the applicable DOE-approved alternative rating method (ARM). If the method includes an ARM/simulation adjustment factor(s), determine the value(s) of the factors(s) that yield the best match between the SEER/HSPF determined using the ARM versus the SEER/HSPF determined from testing in accordance with § 429.16(a)(2)(i). Thereafter, apply the ARM using the derived adjustment factor(s) only when determining the ratings for untested combinations having the same outdoor unit.
(2) Approval of an ARM.
(i) Manufacturers who elect to use an ARM for determining measures of energy consumption under§ 429.16(a)(2)(ii)(B)(1) and paragraph (e)(1) of this section must submit a request for DOE to review the ARM. Send the request to: U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program (EE-2J), Attention: Alternative Rating Methods (ARM) for Certification and Compliance, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-0121.
(ii) Each request to DOE for approval of an ARM must include:
(A) The name, mailing address, telephone number, and e-mail address of the official representing the manufacturer.
(B) Complete documentation of the alternative rating method to allow DOE to evaluate its technical adequacy. The documentation must include a description of the methodology, state any underlying assumptions, and explain any correlations. The documentation should address how the method accounts for the cyclic-degradation coefficient, the type of expansion device, and, if applicable, the indoor fan-off delay. The requestor must submit any computer programs—including spreadsheets—having less than 200 executable lines that implement the ARM. Longer computer programs must be identified and sufficiently explained, as specified above, but their inclusion in the initial submittal package is optional. Applicability or limitations of the ARM (e.g., only covers single-speed units when operating in the cooling mode, covers units with rated capacities of 3 tons or less, not applicable to the manufacturer's product line of non-ducted systems) must be stated in the documentation.
(C) Complete test data from laboratory tests on four mixed (i.e., non-highest-sales-volume combination) systems per each ARM.
(1) The four mixed systems must include four different indoor units and at least two different outdoor units. A particular model of outdoor unit may be tested with up to two of the four indoor units. The four systems must include two low-capacity mixed systems and two high-capacity mixed systems. The low-capacity mixed systems may have any capacity. The rated capacity of each high-capacity mixed systemmust be at least a factor of two higher than its counterpart low-capacity mixed system. The four mixed systems must meet the applicable energy conservation standard in § 430.32(c) in effect at the time of the rating.
(2) The four indoor units must come from at least two different coil families, with a maximum of two indoor units coming from the same coil family. Data for two indoor units from the same coil family, if submitted, must come from testing with one of the “low-capacity mixed systems” and one of the “high-capacity mixed systems.” A mixed system indoor coil may come from the same coil family as the highest-sales-volume-combination indoor unit (i.e., the “matched” indoor unit) for the particular outdoor unit. Data on mixed systems where the indoor unit is now obsolete will be accepted towards the ARM-validation submittal requirement if it is from the same coil family as other indoor units still in production.
(3) The first two sentences of paragraph (e)(2)(ii)(C)(2) of this section do not apply if the manufacturer offers indoor units from only one coil family. In this case only, all four indoor coils must be selected from this one coil family. If approved, the ARM will be specifically limited to applications for this one coil family.
(D) All product information on each mixed system indoor unit, each matched system indoor unit, and each outdoor unit needed to implement the proposed ARM. The calculated ratings for the four mixed systems, as determined using the proposed ARM, must be provided along with any other related information that will aid the verification process.
(E) If request for approval is for an updated ARM, manufacturers must identify modifications made to the ARM since the last submittal, including any ARM/simulation adjustment factor(s) added since the ARM was last approved by DOE.
(iii) Approval must be received from the Department to use the ARM before the ARM may be used for rating split-system central air conditioners and heat pumps. If a manufacturer has a DOE-approved ARM for products also distributed in commerce by a private labeler, the ARM may also be used by the private labeler for rating these products. Once an ARM is approved, DOE may contact a manufacturer to learn if their ARM has been modified in any way and to verify that the ARM is being applied as approved. DOE will give follow-up priority to individual combinations having questionably high ratings (e.g., a coil-only system having a rating that exceeds the rating of a coil-only highest sales volume combination by more than 6 percent).
(3) Changes to DOE's regulations requiring re-approval of an ARM. Manufacturers who elect to use an ARM for determining measures of energy consumption under § 429.16(a)(2)(ii)(B)(1) and paragraph (e)(1) of this section must submit a request for DOE to review the ARM when:
(i) DOE amends the energy conservation standards as specified in§ 430.32 for residential central air conditioners and heat pumps. In this case, any testing and evidence required under paragraph (e)(2) of this section shall be developed with units that meet the amended energy conservation standards specified in § 430.32. Re-approval for the ARM must be obtained before the compliance date of amended energy conservation standards. (ii) DOE amends the test procedure for residential air conditioners and heat pumps as specified in appendix M to subpart B of part 430. Re-approval for the ARM must be obtained before the compliance date of amended test procedures.
(4) Manufacturers that elect to use an ARM for determining measures of energy consumption under§ 429.16(a)(2)(ii)(B)(1) and paragraph (e)(1) of this section must regularly either subject a sample of their units to independent testing, e.g., through a voluntary certification program, in accordance with the applicable DOE test procedure, or have the representations reviewed by an independent state-registered professional engineer who is not an employee of the manufacturer. The manufacturer may continue to use the ARM only if the testing establishes, or the registered professional engineer certifies, that the results of the ARM accurately represent the energy consumption of the unit(s). Any proposed change to the alternative rating method must be approved by DOE prior to its use for rating.
(5) Manufacturers who choose to use computer simulation or engineering analysis for determining measures of energy consumption under§ 429.16(a)(2)(ii)(B)(1) and paragraphs (e)(1) through (e)(4) of this section must permit representatives of the Department of Energy to inspect for verification purposes the simulation method(s) and computer program(s) used. This inspection may include conducting simulations to predict the performance of particular outdoor unit “indoor” unit combinations specified by DOE, analysis of previous simulations conducted by the manufacturer, or both.
(f) Alternative efficiency determination method (AEDM) for walk-in refrigeration equipment
(1) Criteria an AEDM must satisfy. A manufacturer may not apply an AEDM to a basic model to determine its efficiency pursuant to this section unless:
(i) The AEDM is derived from a mathematical model that estimates the energy efficiency or energy consumption characteristics of the basic model as measured by the applicable DOE test procedure;
(ii) The AEDM is based on engineering or statistical analysis, computer simulation or modeling, or other analytical evaluation of performance data; and
(iii) The manufacturer has validated the AEDM, in accordance with paragraph (f)(2) of this section.
(2) Validation of an AEDM. Before using an AEDM, the manufacturer must validate the AEDM's accuracy and reliability as follows:
(i) The manufacturer must select at least the minimum number of basic models for each validation class specified in paragraph (f)(2)(iv) of this section to which the particular AEDM applies. Test a single unit of each basic model in accordance with paragraph (f)(2)(iii) of this section. Using the AEDM, calculate the energy use or energy efficiency for each of the selected basic models. Compare the results from the single unit test and the AEDM output according to paragraph (f)(2)(ii) of this section. The manufacturer is responsible for ensuring the accuracy and repeatability of the AEDM.
(ii) Individual model tolerances.
(A) The predicted efficiency for each model calculated by applying the AEDM may not be more than five percent greater than the efficiency determined from the corresponding test of the model.
(B) The predicted energy efficiency for each model calculated by applying the AEDM must meet or exceed the applicable federal energy conservation standard.
(iii) Additional test unit requirements.
(A) Each AEDM must be supported by test data obtained from physical tests of current models; and
(B) Test results used to validate the AEDM must meet or exceed current, applicable Federal standards as specified inpart 431 of this chapter;
(C) Each test must have been performed in accordance with the applicable DOE test procedure with which compliance is required at the time the basic model is distributed in commerce; and
(D) For rating WICF refrigeration system components, an AEDM may not simulate or model portions of the system that are not required to be tested by the DOE test procedure. That is, if the test results used to validate the AEDM are for either a unit cooler only or a condensing unit only, the AEDM must estimate the system rating using the nominal values specified in the DOE test procedure for the other part of the refrigeration system.
(iv) WICF refrigeration validation classes.
Validation class Minimum number of distinct models that must be tested
1 AEDMs validated for dedicated condensing, medium temperature, outdoor systems may be used to determine representative values for dedicated condensing, medium temperature, indoor systems, and additional validation testing is not required. AEDMs validated for only dedicated condensing, medium temperature, indoor systems may not be used to determine representative values for dedicated condensing, medium temperature, outdoor systems.
2 AEDMs validated for dedicated condensing, low temperature, outdoor systems may be used to determine representative values for dedicated condensing, low temperature, indoor systems, and additional validation testing is not required. AEDMs validated for only dedicated condensing, low temperature, indoor systems may not be used to determine representative values for dedicated condensing, low temperature, outdoor systems.
3 AEDMs validated for medium temperature, outdoor condensing units may be used to determine representative values for medium temperature, indoor condensing units, and additional validation testing is not required. AEDMs validated for only medium temperature, indoor condensing units may not be used to determine representative values for medium temperature, outdoor condensing units.
4 AEDMs validated for low temperature, outdoor condensing units may be used to determine representative values for low temperature, indoor condensing units, and additional validation testing is not required. AEDMs validated for only low temperature, indoor condensing units may not be used to determine representative values for low temperature, outdoor condensing units.
Dedicated Condensing, Medium Temperature, Indoor System 2 Basic Models.
Dedicated Condensing, Medium Temperature, Outdoor System 1 2 Basic Models.
Dedicated Condensing, Low Temperature, Indoor System 2 Basic Models.
Dedicated Condensing, Low Temperature, Outdoor System 2 2 Basic Models.
Unit Cooler connected to a Multiplex Condensing Unit, Medium Temperature 2 Basic Models.
Unit Cooler connected to a Multiplex Condensing Unit, Low Temperature 2 Basic Models.
Medium Temperature, Indoor Condensing Unit 2 Basic Models.
Medium Temperature, Outdoor Condensing Unit 3 2 Basic Models.
Low Temperature, Indoor Condensing Unit 2 Basic Models.
Low Temperature, Outdoor Condensing Unit 4 2 Basic Models.
(3) AEDM records retention requirements. If a manufacturer has used an AEDM to determine representative values pursuant to this section, the manufacturer must have available upon request for inspection by the Department records showing:
(i) The AEDM, including the mathematical model, the engineering or statistical analysis, and/or computer simulation or modeling that is the basis of the AEDM;
(ii) Equipment information, complete test data, AEDM calculations, and the statistical comparisons from the units tested that were used to validate the AEDM pursuant to paragraph (f)(2) of this section; and
(iii) Equipment information and AEDM calculations for each basic model to which the AEDM has been applied.
(4) Additional AEDM requirements. If requested by the Department the manufacturer must perform at least one of the following:
(i) Conduct simulations before representatives of the Department to predict the performance of particular basic models of the product to which the AEDM was applied;
(ii) Provide analyses of previous simulations conducted by the manufacturer; or
(iii) Conduct certification testing of basic models selected by the Department.
(5) AEDM verification testing. DOE may use the test data for a given individual model generated pursuant to § 429.104 to verify the certified rating determined by an AEDM as long as the following process is followed:
(i) Selection of units. DOE will obtain units for test from retail, where available. If units cannot be obtained from retail, DOE will request that a unit be provided by the manufacturer.
(ii) Lab requirements. DOE will conduct testing at an independent, third-party testing facility of its choosing. In cases where no third-party laboratory is capable of testing the equipment, it may be tested at a manufacturer's facility upon DOE's request.
(iii) Manufacturer participation. Testing will be performed without manufacturer representatives on-site.
(iv) Testing. All verification testing will be conducted in accordance with the applicable DOE test procedure, as well as each of the following to the extent that they apply:
(A) Any active test procedure waivers that have been granted for the basic model;
(B) Any test procedure guidance that has been issued by DOE;
(C) If during test set-up or testing, the lab indicates to DOE that it needs additional information regarding a given basic model in order to test in accordance with the applicable DOE test procedure, DOE may organize a meeting between DOE, the manufacturer and the lab to provide such information.
(D) At no time during the process may the lab communicate directly with the manufacturer without DOE present.
(v) Failure to meet certified rating. If a model tests worse than its certified rating by an amount exceeding the tolerance prescribed in paragraph (f)(5)(vi) of this section, DOE will notify the manufacturer. DOE will provide the manufacturer with all documentation related to the test set up, test conditions, and test results for the unit. Within the timeframe allotted by DOE, the manufacturer may then present all claims regarding testing validity.
(vi) Tolerances. for efficiency metrics, the result from a DOE verification test must be greater than or equal to the certified rating × (1 − the applicable tolerance).
Equipment Metric Applicabletolerance
Refrigeration systems (including components) AWEF 5%
(vii) Invalid rating. If, following discussions with the manufacturer and a retest where applicable, DOE determines that the testing was conducted appropriately in accordance with the DOE test procedure, the rating for the model will be considered invalid. Pursuant to 10 CFR 429.13(b), DOE may require a manufacturer to conduct additional testing as a remedial measure.
[76 FR 12451, Mar. 7, 2011; 76 FR 24780, May 2, 2011, as amended at 78 FR 79595, Dec. 31, 2013; 79 FR 25505, May 5, 2014; 79 FR 27410, May 13, 2014]
Effective Date Note:
At 79 FR 40565, July 11, 2014, § 429.70 was amended by adding paragraph (g), effective July 13, 2015. For the convenience of the user, the added text is set forth as follows:
§ 429.70 Alternative methods for determining energy efficiency and energy use
(g) Alternative determination of ratings for untested basic models of residential water heaters and residential-duty commercial water heaters. For models of water heaters that differ only in fuel type or power input, ratings for untested basic models may be established in accordance with the following procedures in lieu of testing. This method allows only for the use of ratings identical to those of a tested basic model as provided below; simulations or other modeling predictions for ratings of the uniform energy factor, volume, first-hour rating, or maximum gallons per minute (GPM) are not permitted.
(1) Gas Water Heaters. For untested basic models of gas-fired water heaters that differ from tested basic models only in whether the basic models use natural gas or propane gas, the represented value of uniform energy factor, first-hour rating, and maximum gallons per minute for an untested basic model is the same as that for a tested basic model, as long as the input ratings of the tested and untested basic models are within ±10%, that is:
(2) Electric Storage Water Heaters. Rate an untested basic model of an electric storage type water heater using the first-hour rating and the uniform energy factor obtained from a tested basic model as a basis for ratings of basic models with other input ratings, provided that certain conditions are met:
(i) For an untested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that each heating element of the untested basic model is rated at or above the input rating for the corresponding heating element of the tested basic model.
(ii) For an untested basic model having any heating element with an input rating that is lower than that of the corresponding heating element in the tested basic model, the represented value of the first-hour rating and the uniform energy factor is the same as that of a tested basic model, provided that the first-hour rating for the untested basic model results in the same draw pattern specified in Table I of appendix E for the simulated-use test as was applied to the tested basic model. To establish whether this condition is met, determine the first-hour ratings for the tested and the untested basic models in accordance with the procedure described insection 5.3.3 of 10 CFR part 430, subpart B, appendix E, then compare the appropriate draw pattern specified in Table I of appendix E for the first-hour rating of the tested basic model with that for the untested basic model. If this condition is not met, then the untested basic model must be tested and the appropriate sampling provisions applied to determine its uniform energy factor in accordance with appendix E and this part.

Title 10 published on 2015-01-01.

The following are only the Rules published in the Federal Register after the published date of Title 10.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2015-01-05; vol. 80 # 2 - Monday, January 5, 2015
    1. 80 FR 144 - Energy Conservation Program: Alternative Efficiency Determination Methods and Compliance for Commercial HVAC, Refrigeration, and Water Heating Equipment
      GPO FDSys XML | Text
      DEPARTMENT OF ENERGY, Office of Energy Efficiency and Renewable Energy
      Final rule.
      Effective: February 4, 2015.
      10 CFR Part 429

Title 10 published on 2015-01-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 10 CFR Part 429 after this date.

  • 2015-05-20; vol. 80 # 97 - Wednesday, May 20, 2015
    1. 80 FR 28850 - Energy Conservation Program for Consumer Products and Certain Commercial and Industrial Equipment: Test Procedures for Consumer and Commercial Water Heaters
      GPO FDSys XML | Text
      DEPARTMENT OF ENERGY, Office of Energy Efficiency and Renewable Energy
      Reopening of the public comment period and announcement of public meeting.
      Comments: The comment period for the NOPR for the Conversion Factor for Test Procedures for Consumer and Certain Commercial Water Heaters published on April 14, 2015 (80 FR 20116), is reopened. DOE will accept comments, data, and information regarding this NOPR before and after the public meeting, but no later than June 15, 2015. Meeting: DOE will hold a public meeting on Thursday, May 28, 2015 from 10:00 a.m. to 4:00 p.m., in Washington, DC. The meeting will also be broadcast as a webinar.
      10 CFR Parts 429, 430, and 431