§ 431.198 - Enforcement testing for distribution transformers.

(a) Test notice. Upon receiving information in writing, concerning the energy performance of a particular distribution transformer sold by a particular manufacturer or private labeler, which indicates that the transformer may not be in compliance with the applicable energy efficiency standard, or upon undertaking to ascertain the accuracy of the efficiency rating on the nameplate or in marketing materials for a distribution transformer, disclosed pursuant to this part, the Department may conduct testing of that equipment under this subpart by means of a test notice addressed to the manufacturer in accordance with the following requirements:

(1) The test notice procedure will only be followed after the Department has examined the underlying test data (or, where appropriate, data as to use of an AEDM) provided by the manufacturer and after the manufacturer has been offered the opportunity to meet with the Department to verify, as applicable, compliance with the applicable efficiency standard, or the accuracy of labeling information, or both. In addition, where compliance of a basic model was certified based on an AEDM, the Department shall have the discretion to pursue the provisions of § 431.197(a)(4)(ii) prior to invoking the test notice procedure. The Department shall be permitted to observe any reverification procedures undertaken pursuant to this subpart, and to inspect the results of such reverification.

(2) The Department will mail or deliver the test notice to the plant manager or other responsible official, as designated by the manufacturer.

(3) The test notice will specify the basic model(s) to be selected for testing, the method of selecting the test sample, the date and time at which testing shall be initiated, the date by which testing is scheduled to be completed and the facility at which testing will be conducted. The test notice may also provide for situations in which a specified basic model is unavailable for testing, and may include alternative basic models. The specified basic model may be one either that the manufacturer has rated by actual testing or that it has rated by the use of an AEDM.

(4) The Department may require in the test notice that the manufacturer shall ship at its expense a reasonable number of units of each basic model specified in such test notice to a testing laboratory designated by the Department. The number of units of each basic model specified in a test notice shall not exceed twenty (20).

(5) Except as required or provided in paragraphs (a)(6) or (a)(7) of this section, initially the Department will test five units.

(6) Except as provided in paragraph (a)(7) of this section, if fewer than five units of a basic model are available for testing when the manufacturer receives the test notice, then

(i) DOE will test the available unit(s); or

(ii) If one or more other units of the basic model are expected to become available within six months, DOE may instead, at its discretion, test either:

(A) The available unit(s) and one or more of the other units that subsequently become available (up to a maximum of twenty); or

(B) Up to twenty of the other units that subsequently become available.

(7) Notwithstanding paragraphs (a)(5) and (a)(6) of this section, if testing of the available or subsequently available units of a basic model would be impractical, as for example where a basic model is very large, has unusual testing requirements, or has limited production, the Department may in its discretion decide to base the determination of compliance on the testing of fewer than the available number of units, if the manufacturer so requests and demonstrates that the criteria of this paragraph are met.

(8) When testing units under paragraphs (a)(5), (a)(6), or (a)(7) of this section, DOE shall perform the following number of tests:

(i) If DOE tests four or more units, it will test each unit once;

(ii) If DOE tests two or three units, it will test each unit twice; or

(iii) If DOE tests one unit, it will test that unit four times.

(9) Within five working days of the time the units are selected, the manufacturer shall ship the specified test units of the basic model to the testing laboratory.

(b) Testing laboratory. Whenever the Department conducts enforcement testing at a designated laboratory in accordance with a test notice under this section, the resulting test data shall constitute official test data for that basic model. Such test data will be used by the Department to make a determination of compliance or noncompliance.

(c) Sampling. The determination that a manufacturer's basic model complies with its labeled efficiency, or the applicable energy efficiency standard, shall be based on the testing conducted in accordance with the statistical sampling procedures set forth in Appendix B of this subpart and the test procedures specified for distribution transformers.

(d) Test unit selection. The Department shall select a batch, a batch sample, and test units from the batch sample in accordance with the following provisions of this paragraph and the conditions specified in the test notice.

(1) The batch may be subdivided by the Department utilizing criteria specified in the test notice.

(2) The Department will then randomly select a batch sample of up to 20 units from one or more subdivided groups within the batch. The manufacturer shall keep on hand all units in the batch sample until such time as the basic model is determined to be in compliance or non-compliance.

(3) The Department will randomly select individual test units comprising the test sample from the batch sample.

(4) All random selection shall be achieved by sequentially numbering all of the units in a batch sample and then using a table of random numbers to select the units to be tested.

(e) Test unit preparation. (1) Prior to and during the testing, a test unit selected in accordance with paragraph (d) of this section shall not be prepared, modified, or adjusted in any manner unless such preparation, modification, or adjustment is allowed by the applicable Department of Energy test procedure.

(2) No quality control, testing, or assembly procedures shall be performed on a test unit, or any parts and sub-assemblies thereof, that is not performed during the production and assembly of all other units included in the basic model.

(3) A test unit shall be considered defective if such unit is inoperative or is found to be in noncompliance due to failure of the unit to operate according to the manufacturer's design and operating instructions. Defective units, including those damaged due to shipping or handling, shall be reported immediately to the Department. The Department shall authorize testing of an additional unit on a case-by-case basis.

(f) Testing at manufacturer's option. (1) If a manufacturer's basic model is determined to be in noncompliance with the applicable energy performance standard at the conclusion of Department testing in accordance with the sampling plan specified in Appendix B of this subpart, the manufacturer may request that the Department conduct additional testing of the basic model according to procedures set forth in Appendix B of this subpart and the test procedures specified for distribution transformers.

(2) All units tested under this paragraph (f) shall be selected and tested in accordance with the provisions given in paragraphs (a)(9), (b), (d) and (e) of this section.

(3) The manufacturer shall bear the cost of all testing conducted under this paragraph (f).

(4) The manufacturer shall cease distribution of the basic model tested under the provisions of this paragraph from the time the manufacturer elects to exercise the option provided in this paragraph until the basic model is determined to be in compliance. The Department may seek civil penalties for all units distributed during such period.

(5) If the additional testing results in a determination of compliance, a notice of allowance to resume distribution shall be issued by the Department.