[Code of Federal Regulations]
[Title 10, Volume 3]
[Revised as of January 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 10CFR430.75]
[Page 382-385]
TITLE 10--ENERGY
CHAPTER II--DEPARTMENT OF ENERGY
PART 430_ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS--Table of
Contents
Subpart F_Certification and Enforcement
Sec. 430.75 Confidentiality.
Pursuant to the provisions of 10 CFR 1004.11, any person submitting
information or data which the person believes to be confidential and
exempt law from public disclosure should submit one complete copy, and
fifteen copies from which the information believed to be confidential
has been deleted. In accordance with the procedures established at 10
CFR 1004.11, DOE shall make its own determination with regard to any
claim that information submitted be exempt from public disclosure.
OMB Control No. 1910-1400
Appendix A to Subpart F of Part 430--Compliance Statement and
Certification Report
COMPLIANCE STATEMENT
Product:________________________________________________________________
Manufacturer's or Private Labeler's Name and Address:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
This compliance statement and all certification reports submitted
are in accordance with 10 CFR Part 430 (Energy or Water Conservation
Program for Consumer Products) and the Energy Policy and Conservation
Act, as amended. The compliance statement is signed by a responsible
official of the above named company. The basic model(s) listed in
certification reports comply with the applicable energy conservation
standard or water (in the case of faucets, showerheads, water closets,
and urinals) conservation standard. All testing on which the
certification reports are based was conducted in conformance with
applicable test requirements prescribed in 10 CFR part 430 subpart B.
All information reported in the certification report(s) is true,
accurate, and complete. The company is aware of the penalties associated
with violations of the Act, the regulations thereunder, and is also
aware of the provisions contained in 18 U.S.C. 1001, which prohibits
knowingly making false statements to the Federal Government.
Name of Company Official:_______________________________________________
Signature:______________________________________________________________
Title:__________________________________________________________________
Firm or Organization:___________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________
Date:___________________________________________________________________
Third Party Representation (if applicable)
For certification reports prepared and submitted by a third party
organization under the provisions of Sec. 430.62 of 10 CFR part 430,
the company official who authorized said third party representation is:
Name:___________________________________________________________________
Title:__________________________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________
The third party organization submitting the certification report on
behalf of the company is:
Third Party Organization:_______________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________
CERTIFICATION REPORT
Date:___________________________________________________________________
Product Type:___________________________________________________________
Product Class:__________________________________________________________
Manufacturer:___________________________________________________________
Private Labeler (if applicable):________________________________________
Name:___________________________________________________________________
Title:__________________________________________________________________
Address:________________________________________________________________
Telephone Number:_______________________________________________________
Facsimile Number:_______________________________________________________
[[Page 383]]
________________________________________________________________________
For Existing, New, or Modified Models \1\:
---------------------------------------------------------------------------
\1\ Provide specific product information including, for each basic
model, the manufacturer's model numbers and the information required in
Sec. 430.62(a)(4)(i) through (a)(4)(xvii)).
---------------------------------------------------------------------------
For Discontinued Models \2\:
---------------------------------------------------------------------------
\2\ Provide manufacturer's model number.
[63 FR 13321, Mar. 18, 1998]
Appendix B to Subpart F of Part 430--Sampling Plan For Enforcement
Testing
Double Sampling
Step 1. The first sample size (n1) must be four or more
units.
Step 2. Compute the mean (x1) of the measured energy
performance or water performance (in the case of faucets, showerheads,
water closets, and urinals) of the n1 units in the first
sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.010
where (x1) is the measured energy efficiency, energy or water
(in the case of faucets, showerheads, water closets, and urinals)
consumption of unit I.
Step 3. Compute the standard deviation (s1) of the
measured energy or water performance of the (n1) units in the
first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.011
Step 4. Compute the standard error (SX1) of
the measured energy or water performance of the n1 units in
the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.012
Step 5. Compute the upper control limit (UCL1) and lower
control limit (LCL1) for the mean of the first sample using
the applicable DOE energy or water performance standard (EPS) as the
desired mean and a probability level of 95 percent (two-tailed test) as
follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.013
[GRAPHIC] [TIFF OMITTED] TR18MR98.014
where t is a statistic based on a 95 percent two-tailed probability
level and a sample size of n1.
Step 6(a). For an Energy Efficiency Standard, compare the mean of
the first sample (x1) with the upper and lower control limits
(UCL1 and LCL1) to determine one of the following:
(1) If the mean of the first sample is below the lower control
limit, then the basic model is in noncompliance and testing is at an
end. (Do not go on to any of the steps below.)
(2) If the mean of the first sample is equal to or greater than the
upper control limit, then the basic model is in compliance and testing
is at an end. (Do not go on to any of the steps below.)
(3) If the sample mean is equal to or greater than the lower control
limit but less than the upper control limit, then no determination of
compliance or noncompliance can be made and a second sample size is
determined by Step 7(a).
Step 6(b). For an Energy or Water Consumption Standard, compare the
mean of the first sample (x1) with the upper and lower
control limits (UCL1 and LCL1) to determine one of
the following:
(1) If the mean of the first sample is above the upper control
limit, then the basic model is in noncompliance and testing is at an
end. (Do not go on to any of the steps below.)
(2) If the mean of the first sample is equal to or less than the
lower control limit, then the basic model is in compliance and testing
is at an end. (Do not go on to any of the steps below.)
(3) If the sample mean is equal to or less than the upper control
limit but greater than the lower control limit, then no determination of
compliance or noncompliance can be made and a second sample size is
determined by Step 7(b).
Step 7(a). For an Energy Efficiency Standard, determine the second
sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.015
where s1 and t have the values used in Steps 4 and 5,
respectively. The term ``0.05 EPS'' is the difference between the
applicable energy efficiency standard and 95 percent of the standard,
where 95 percent of the standard is taken as the lower control limit.
This procedure yields a sufficient combined sample size
(n1+n2) to give an estimated 97.5 percent
probability of obtaining a determination of compliance when the true
mean efficiency is equal to the applicable standard. Given the solution
value of n2, determine one of the following:
(1) If the value of n2 is less than or equal to zero and
if the mean energy efficiency of the first sample (x1) is
either equal to or greater
[[Page 384]]
than the lower control limit (LCL1) or equal to or greater
than 95 percent of the applicable energy efficiency standard (EES),
whichever is greater, i.e., if n2 <= 0 and x1
= max (LCL1, 0.95 EES), the basic model is in
compliance and testing is at an end.
(2) If the value of n2 is less than or equal to zero and
the mean energy efficiency of the first sample (x1) is less
than the lower control limit (LCL1) or less than 95 percent
of the applicable energy efficiency standard (EES), whichever is
greater, i.e., if n2 <= 0 and x1 = max
(LCL1, 0.95 EES), the basic model is in noncompliance and
testing is at an end.
(3) If the value of n2 is greater than zero, then value
of the second sample size is determined to be the smallest integer equal
to or greater than the solution value of n2 for equation
(6a). If the value of n2 so calculated is greater than 20-
n1, set n2 equal to 20-n1.
Step 7(b). For an Energy or Water Consumption Standard, determine
the second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.016
where s1 and t have the values used in Steps 4 and 5,
respectively. The term ``0.05 EPS'' is the difference between the
applicable energy or water consumption standard and 105 percent of the
standard, where 105 percent of the standard is taken as the upper
control limit. This procedure yields a sufficient combined sample size
(n1+n2) to give an estimated 97.5 percent
probability of obtaining a determination of compliance when the true
mean consumption is equal to the applicable standard. Given the solution
value of n2, determine one of the following:
(1) If the value of n2 is less than or equal to zero and
if the mean energy or water consumption of the first sample
(x1) is either equal to or less than the upper control limit
(UCL1) or equal to or less than 105 percent of the applicable
energy or water performance standard (EPS), whichever is less, i.e., if
n2 <= 0 and x1 <= min (UCL1, 1.05 EPS),
the basic model is in compliance and testing is at an end.
(2) If the value of n2 is less than or equal to zero and
the mean energy or water consumption of the first sample (x1)
is greater than the upper control limit (UCL1) or more than
105 percent of the applicable energy or water performance standard
(EPS), whichever is less, i.e., if n2 <= 0 and x1
min (UCL1, 1.05 EPS), the basic model is in
noncompliance and testing is at an end.
(3) If the value of n2 is greater than zero, then the
value of the second sample size is determined to be the smallest integer
equal to or greater than the solution value of n2 for
equation (6b). If the value of n2 so calculated is greater
than 20-n1, set n2 equal to 20-n1.
Step 8. Compute the combined mean (x2) of the measured
energy or water performance of the n1 and n2 units
of the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.017
Step 9. Compute the standard error (Sx1) of the measured
energy or water performance of the n1 and n2 units
in the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.018
Note: s1 is the value obtained in Step 3.
Step 10(a). For an Energy Efficiency Standard, compute the lower
control limit (LCL2) for the mean of the combined first and
second samples using the DOE energy efficiency standard (EES) as the
desired mean and a one-tailed probability level of 97.5 percent
(equivalent to the two-tailed probability level of 95 percent used in
Step 5) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.019
where the t-statistic has the value obtained in Step 5.
Step 10(b). For an Energy or Water Consumption Standard, compute the
upper control limit (UCL2) for the mean of the combined first
and second samples using the DOE energy or water performance standard
(EPS) as the desired mean and a one-tailed probability level of 102.5
percent (equivalent to the two-tailed probability level of 95 percent
used in Step 5) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.020
where the t-statistic has the value obtained in Step 5.
Step 11(a). For an Energy Efficiency Standard, compare the combined
sample mean (x2) to the lower control limit (LCL2)
to find one of the following:
(1) If the mean of the combined sample (x2) is less than
the lower control limit (LCL2) or 95 percent of the
applicable energy efficiency standard (EES), whichever is greater, i.e.,
if x2 < max (LCL2, 0.95 EES), the basic model is
in noncompliance and testing is at an end.
(2) If the mean of the combined sample (x2) is equal to
or greater than the lower control limit (LCL2) or 95 percent
of the applicable energy efficiency standard (EES), whichever is
greater, i.e., if x2 = max (LCL2, 0.95
EES), the basic model is in compliance and testing is at an end.
Step 11(b). For an Energy or Water Consumption Standard, compare the
combined sample mean (x2) to the upper control limit
(UCL2) to find one of the following:
[[Page 385]]
(1) If the mean of the combined sample (x2) is greater
than the upper control limit (UCL2) or 105 percent of the
applicable energy or water performance standard (EPS), whichever is
less, i.e., if x2 min (UCL2, 1.05
EPS), the basic model is in noncompliance and testing is at an end.
(2) If the mean of the combined sample (x2) is equal to
or less than the upper control limit (UCL2) or 105 percent of
the applicable energy or water performance standard (EPS), whichever is
less, i.e., if x2 <= min (UCL2, 1.05 EPS), the
basic model is in compliance and testing is at an end.
Manufacturer-Option Testing
If a determination of non-compliance is made in Steps 6, 7 or 11,
the manufacturer may request that additional testing be conducted, in
accordance with the following procedures.
Step A. The manufacturer requests that an additional number,
n3, of units be tested, with n3 chosen such that
n1+n2+n3 does not exceed 20.
Step B. Compute the mean energy or water performance, standard
error, and lower or upper control limit of the new combined sample in
accordance with the procedures prescribed in Steps 8, 9, and 10, above.
Step C. Compare the mean performance of the new combined sample to
the revised lower or upper control limit to determine one of the
following:
a.1. For an Energy Efficiency Standard, if the new combined sample
mean is equal to or greater than the lower control limit or 95 percent
of the applicable energy efficiency standard, whichever is greater, the
basic model is in compliance and testing is at an end.
a.2. For an Energy or Water Consumption Standard, if the new
combined sample mean is equal to or less than the upper control limit or
105 percent of the applicable energy or water consumption standard,
whichever is less, the basic model is in compliance and testing is at an
end.
b.1. For an Energy Efficiency Standard, if the new combined sample
mean is less than the lower control limit or 95 percent of the
applicable energy efficiency standard, whichever, is greater, and the
value of n1+n2+n3 is less than 20, the
manufacturer may request that additional units be tested. The total of
all units tested may not exceed 20. Steps A, B, and C are then repeated.
b.2. For an Energy or Water Consumption Standard, if the new
combined sample mean is greater than the upper control limit or 105
percent of the applicable energy or water consumption standard,
whichever is less, and the value of
n1+n2+n3 is less than 20, the
manufacturer may request that additional units be tested. The total of
all units tested may not exceed 20. Steps A, B, and C are then repeated.
c. Otherwise, the basic model is determined to be in noncompliance.
[63 FR 13321, Mar. 18, 1998]