1 | Regional Standards Enforcement Working Group Discussion

Regional Standards 

Enforcement Working Group

Enforcement Plan
2 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
3 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
4 | Regional Standards Enforcement Working Group Discussion

• Least efficient rating combination for a specified model of 

condensing unit must be 14 in the SE and SW regions. 

• Least efficient rating combination for a specified model of 

condensing unit must meet minimum EER requirement in the SW 

region.

• Any condensing unit model that has a certified combination that is 

below the regional standard cannot be installed in the region.

• A condensing unit model certified below a regional standard by the 

OEM cannot be installed in a region subject to regional standard(s) 

even with an ICM indoor coil or air handler combination that may 

have a certified rating meeting the applicable regional standard

Vote: unanimous (1 abstention)

“14 SEER” interpretation
5 | Regional Standards Enforcement Working Group Discussion

• Contractor

– A person (other than the manufacturer or distributor) who sells to 

and/or installs for an end user a central air conditioner subject to 

regional standards

• Dealer

– A type of contractor, generally with a relationship with one or 

more specific manufacturers

• Installation

– Installation of a central air conditioner is the connection of the 

refrigerant lines and/or electrical systems to make the central air 

conditioner operational 

• In the preamble DOE will describe that internet sales fall into the 

category of contractor, dealer, or distributor

Vote: unanimous 

Definitions
6 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
7 | Regional Standards Enforcement Working Group Discussion

• DOE will establish a webpage with information on 

regional standards

• Others can link to this page from their own websites

• Will include link to print:

– Consumer information trifold

– Distributor counter/bulletin board flier

• Also link to file complaints via email

Vote: unanimous 

DOE website
8 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
9 | Regional Standards Enforcement Working Group Discussion

• Manufacturers will provide training to distributors and 

contractors/dealers

• Distributors will also conduct training

• Contractors will also conduct own training

• DOE will provide webinar on standards and enforcement

Vote: unanimous

Industry training
10 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Suspected Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
11 | Regional Standards Enforcement Working Group Discussion

• DOE will accept complaints in Enforcement inbox

– EnergyEfficiencyEnforcement@hq.doe.gov

• DOE will set up voicemail box for call-in complaints

• Complainant will have confidentiality to maximum extent 

authorized by law 

• DOE will look into all credible complaints

Vote: unanimous

Reporting 
12 | Regional Standards Enforcement Working Group Discussion

• If funding is available, DOE will consider conducting a 

survey of homes in any region to determine if a 

noncompliant unit has been installed

Vote: unanimous

Proactive check
13 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
14 | Regional Standards Enforcement Working Group Discussion

• Scope: applies to installations in the Southeast and Southwest

• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and serial number 

– indoor coil or air handler: manufacturer and model number

• Do not need to keep track of components (e.g., uncased coil)

• Single package air conditioner: manufacturer, model and serial 

number

• For all such units: 

– location of the installation (including street address, city, state, and zip 

code)

– date of the installation; and

– party from whom the unit was purchased, including company or 

individual’s name, full address and phone number

Vote: unanimous 

Contractors/dealers
15 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and serial number 

• Single package: manufacturer, model and serial number

• For all such units: 

– date unit was purchased from manufacturer

– party from whom the unit was purchased, including company or 

individual’s name, full address and phone number

– date unit was sold to dealer/contractor

– party to whom the unit was sold, including company or individual’s 

name, full address and phone number

– if delivered, delivery address

• Implementation date: 

– November 30, 2015

Vote: unanimous

Distributors
16 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: model and serial number 

– indoor coil or air handler: model number

• Do not need to keep track of components (e.g. uncased coil)

• Single package air conditioner: model and serial number

• For all such units: 

– date of manufacture; 

– date of sale; and

– party to whom the unit was sold, including company or 

individual’s name, full address and phone number

Vote: unanimous 

Manufacturers
17 | Regional Standards Enforcement Working Group Discussion

• Maintain records for 48 months for contractors, 54 for 

distributors, and 60 for manufacturers

– Dealers/contractors from date of install

– Manufacturers and distributors from date of sale

– Can be archived, just not deleted or disposed

• Records shall be produced within 30 days of request

• DOE can grant extra time if make good faith production 

and explain need for additional time

– Produce what have gathered in 30 days

– Written explanation of need for more time with requested date for 

completing production

• No requirement to create “new” forms

• Not required to be electronic or “searchable”

Vote: unanimous 

Other issues
18 | Regional Standards Enforcement Working Group Discussion

• DOE must have “reasonable belief” to request records specific to an 

on going investigation

• DOE will look at following factors to determine:

– Address of suspected noncompliant install or attempted install?

– Identifying information for equipment?

– Physical Evidence?

• Picture of condensing unit with nameplate depicting model and serial 

number

• Copy of EnergyGuide label

• Copy of completed work order/invoice

• Bill of sale for equipment

• Copy of bid for installation

• Distributor prepared price book for customer in regions

– Repeat complaints about party?

– Complainant has history of substantiated complaints?

Vote: unanimous

Threshold for records request
19 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
20 | Regional Standards Enforcement Working Group Discussion

Distributor:

– knowingly sell a product to a contractor or dealer with knowledge 

that the entity will sell and/or install the product in violation of any 

regional standard applicable to the product 

– knowingly sell a product to a contractor or dealer with knowledge 

that the entity routinely violates any regional standard applicable to 

the product

Contractor/Dealer:

– knowingly sell to and/or install for an end user a central air 

conditioner subject to regional standards with the knowledge that 

such product shall be installed in violation of any regional standard 

applicable to the product

Vote: unanimous

Violation
21 | Regional Standards Enforcement Working Group Discussion

• Complete system installed is not certified as a complete 

system that meets the applicable standard

– may install combinations that were previously validly certified 

after manufacturer has discontinued the combination

– But: if discontinued because noncompliant with applicable 

standard, cannot install

• Replacement outdoor unit is not certified as part of a 

combination that meets the applicable standard

– not necessarily as installed

• Outdoor unit installed has a certified combination less 

than standard applicable in region

Vote: unanimous (1 abstention)

Product installed in violation
22 | Regional Standards Enforcement Working Group Discussion

• Investigation may include:

– Discussion with end user

– Request for retained records

– Discussion with alleged violator

• If no violation found, DOE will issue case closed letter to 

party being investigated

• If a non-compliant installation in one residence (or 

equivalent) remediated before DOE makes a finding, 

then DOE will issue a case closed letter to party being 

investigated

• If violation found, DOE will issue Notice of Violation and 

post it publicly

Vote: unanimous

DOE investigation
23 | Regional Standards Enforcement Working Group Discussion

• Party found to be in violation can remediate

• Sole method is replacement of noncompliant unit

– A party may remediate by replacement of noncompliant units or 

demonstrate to the Department’s satisfaction the attempted 

replacement of all noncompliant units

– Remediation is at cost to party in violation

• Must provide DOE serial number of old and new unit 

• DOE will provide these numbers to the manufacturer(s) 

and distributor(s)

– check against warranty or other replacement claims

• If clear, violation will not count towards finding of “routine 

violator” unless repeated

• DOE will issue Notice of Remediation

Vote: unanimous

Remediation
24 | Regional Standards Enforcement Working Group Discussion

• If Routine Violator wants to remediate it must contact 

DOE Office of Enforcement (POC listed in notice) and 

identify distributor or manufacturer it wishes to buy 

compliant replacement product from

• DOE will contact distributor or manufacturer and 

authorize sale for purposes of remediation within 3 

business days

– DOE will send an official letter for sellers records

• Party must provide documentation to DOE once 

remediation is completed.

• DOE will follow up with Routine Violator within 30 days of 

official letter for sellers records to determine status of 

remediation

• Vote: unanimous

Remediation Continued
25 | Regional Standards Enforcement Working Group Discussion

• DOE will consider these factors:

– number of violations (both found in current investigation and any 

past investigations)

– length of time over which committed violations

– ratio of compliant/noncompliant installations or sales

– percentage of employees committing violation

– evidence of effort/intent

– evidence of training/education

– subsequent remedial actions

• DOE will issue Notice of Finding of Routine Violation if 

determined to be routine violator

– Posted on Enforcement website

– Blasted via email

Vote: unanimous

Routine Violator
26 | Regional Standards Enforcement Working Group Discussion

• In determining a Routine Violation, DOE shall consider whether the 

Routine Violation was limited to a specific location. If DOE, in its 

discretion, finds that the routine violation was so limited, DOE will in 

the public notice of “Routine Violation” state that the prohibition on 

manufacturer sales is limited to a particular contractor or distribution 

location. In making such determination DOE would rely on the 

factors considered in determining whether a routine violation 

occurred.

Vote: unanimous

Routine Violator Continued
27 | Regional Standards Enforcement Working Group Discussion

• Party will have right to administrative appeal finding of 

routine violator

• Must file appeal within 30 days of Notice of Finding of 

Routine Violation

• Office of Hearing and Appeals will receive administrative 

appeals 

• Appeal must present information rebutting finding of 

violation(s)

• Appeal will be decided within 45 days of filing

Vote: unanimous

Right to appeal
28 | Regional Standards Enforcement Working Group Discussion

• Can be removed through remediation of violations

• Will be removed no longer than 30 days after completes 

all remediation

• DOE will issue Notice indicating no longer considered a 

routine violator

Vote: unanimous 

Removal from “Routine Violator” list
29 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
30 | Regional Standards Enforcement Working Group Discussion

• Recommend FTC initiate rulemaking with simplified label

• Make consistent with 14 SEER interpretation

Vote: unanimous (1 abstention) 

EnergyGuide Label
31 | Regional Standards Enforcement Working Group Discussion

• Manufacturers will add label to outdoor unit

– Near or as part of current nameplate

– Ruggedized to withstand elements

• States “Install Prohibited in [pertinent regions]”

– Southwest or Southeast and Southwest

• In the preamble DOE will state:

– Manufacturers have agreed to label outdoor units

– AHRI agreed that as part of its certification program it will require 

participants to label outdoor units

• To be implemented by March 1, 2015

– Also target date for AHRI certification program

Vote: unanimous 

Manufacturer label
32 | Regional Standards Enforcement Working Group Discussion

• Basics

• Public Awareness

• Training

• Reporting Violations

• Records Retention

• Finding of Routine Violation

• Labels

• Manufacturer Liability

Components
33 | Regional Standards Enforcement Working Group Discussion

• Once DOE issues Notice of Finding of Routine Violation, 

manufacturer can be fined for selling product to routine violator

– Manufacturer has 3 business days from date of issuance of notice 

before it will be liable for sales to routine violator

– Maximum fine is $200 per unit sold to routine violator

• If a Notice of Intent to Appeal is filed within 3 business days of 

Notice of Finding of Routine Violation then manufacturer may sell 

to routine violator during pendency of appeal

– But: if appeal denied, mfgs are liable for products below either 

applicable regional standards sold to routine violator during that 

time

• If manufacturer has knowledge of routine violation before DOE 

finding, can be held liable for sales after date of knowledge

– No liability for products sold if reported to DOE within 15 days of 

receipt of such knowledge

Vote: unanimous

Manufacturer liability
34 | Regional Standards Enforcement Working Group Discussion

Preamble language: The working group had significant discussions 

on the scope of the term product as it relates to the statutorily 

defined prohibited act. The Department explained that it interpreted 

the term product to include all classes of central air conditioners and 

heat pumps found within 10 CFR 430.32(c). Ultimately the working 

group could not come to consensus on whether the scope of any 

prohibition of sales could be limited to split system central air 

conditioners and single package systems instead of this broad 

interpretation. See the public meeting transcript for October 24, 

2014.

Vote: unanimous

Scope of “Product”
35 | Regional Standards Enforcement Working Group Discussion

• If DOE determines model of outdoor unit fails to meet regional 

standard when tested in a combination certified by the same 

manufacturer, model of outdoor unit will be deemed noncompliant 

with regional standard. 

– outdoor unit manufacturer responsible

• If DOE determines combination fails to meet regional standard when 

tested in a combination certified by a manufacturer other than the 

outdoor unit manufacturer (e.g., ICM), combination is deemed 

noncompliant with regional standard. 

– indoor unit manufacturer responsible

• Manufacturer of model determined noncompliant with regional 

standard will be liable for distribution in commerce of noncompliant 

units

– Can minimize liability by demonstrating installed in region where would 

be compliant 

– Manufacturer bears burden of proving

Vote: unanimous 

Product determined noncompliant
36 | Regional Standards Enforcement Working Group Discussion

Preamble language: The working group had significant 

discussions on whether to include additional prohibited acts 

and ultimately could not come to consensus on whether to 

include additional prohibited acts. See the public meeting 

transcript for October 16, 2014.

Vote: 1 objection

Additional Prohibited Acts
37 | Regional Standards Enforcement Working Group Discussion

• All nongovernmental participants conditionally approve 

this report contingent upon the issuance of the final 

guidance on documents 0032 and 0033 consistent with 

the understanding of the Working Group as set forth in 

these recommendations.

Report to ASRAC
38 | Regional Standards Enforcement Working Group Discussion

Vote: unanimous

Submission of the Report