CAS-RM-78-110 COMMENT 12

friday,

March 4, 1988

Part IV

Department of

Energy

Office of Conservation and Renewable

Energy

10 CFR Part 430

Energy Conservation Program for

Consumer Products; Notice of Proposed

Rulemaking and Public Hearing
 CAS-RM-78-110 COMMENT 12

DEPARTMENT Of ENERGY

Office of Conservation and

Renewable Energy

10 CHI Part 430

(Docket No. CAS-RM-13-110j

Energy Conservation Program for

Consumer Products: Notice of

Proposed Rulemaldng and Public:

Hearing Regarding Regulations

Related to Energy Conservation

Standards for Consumer Products

AGENCY: Department of Energy.

ACTION: Notice of proposed rulemaking

anJ public hearing. ----_._-~-------

SUMMARY: The Energy Policy and

Conservation Act. as amended by the

National Energy Conservation Policy

Act and the Nillional Appliance Energy

Conservation Act. prescribes energy

conservation standards for certain types

of consumer products. As a general

muller. these Federal standards preempt

Stale and local standards and any other

State and local requirements with

respect to energy efficiency or energy

use of these products.

. The Deparlment of Energy today is

proposing to amend Title 10. Part 430 of

the Code of Federal Regulations to

include procedures for petitions that

m,ly be mad\~ by States and

manufacturers with regard to Federal

preemption of Stale and local energy

conservation standards.

The proposed rule also would add

nrocedures by which certain small

businesses may obtain exemptions from

the standards and procedures for

certification iJnd enforcement of the

standards. The Department also is

proposing the following: to clarify the

basis for caJculRting the heating

seasonal performance factor energy

conserva tion standard prescribed by the

Energy Policy llnd Conservation Act. as

amended. for central air conditioners

and heat pumps: to include an annual

energy use measure for refrigerators,

refrigerHlor-frr.czers tind freezers: and to

include sumpling requirements for pool

heaters.

The purpose of this nolice of proposed

rulemaking is to provide interested

persons an opportunity to comment on

the proposed rule. and to invite

interested persons 10 participate in the

!'1.l!emaking process.

D~n!$: Written comments on the

proposed rule musl be received by the

Department by May 3. 1988.

Oral views. data, and arguments may

be presented at the public hearing to be

held in Washington. DC, on April 12,

1988 at 9:30 8.m. Requests to speak at

the hearing must be received by the

Department no later than 4:00 p.m.. April

8.1988: speakers will be notified by 4:00

p.m.. April 11, 1988.

Ten copies of the oral statement of

each speaker must be submitted at t~e

registration desk the day of the hearmg.

ADDRESSES: The hearing will begin at

9:30 a.m., on April 12, 1988, and will be

held at the U.S. Department of Energy.

Forrastal Building. Room lE-245, 1000

Independence Avenue. SW.•

Washington. DC. The length of each

presentation is limited to 20 minutes.

Written comments, statements,

requests to speak at the hearing and

requests for speakers lists are to be

submitted to U.S. Department of Energy,

Office of Conservation and Renewable

Energy. Office of Hearings and Dockets.

Energy Conservation Program for

Consumer Products, Docket No. CASRM-78-110. Room 6B-025. Forrestal

Building. 1000 Independence Avenue.

SW., Washington, DC 20585, (202) 586-

9320.

Copies of the transcript of the p~blic

hearing and public comments receIved

may be read at the DOE Freedom of

Information Reading Room, U.S.

Department of Energy, Forrestal

Building. Room lE-l90, 1000

Independence Avenue. SW.,

Washington. DC 20585. (202) 586-6020

between the hours of 8:00 a.m. and 4:00

p.m.. Monday through Friday, except

Federal holidays.

For more information concerning

public participation in this rulemaking

nroceeding. see section IV. "Pul;>1ic

Comment Procedures," of this notice.

fOR FURTHER iNFORMATION CONTACT:

Michael J. McCabe, U.S. Department of

Energy, Office of Conservation and

Renewable Energy, Forrestal Building,

Mail Station. CE-132. 1000

Independence Avenue. SW.,

Washington, DC 20585, (202) 586-9127

Eugene Margolis. Esq., U.S. Department

of Energy. Office of General Counsel,

Forrestal Building, Mail Station, GC12.1000 Independence Avenue. SW.,

Wushington, DC 20585. (202) 586-9507

U.S. Department of Energy, CE-43.1

Room 6B-025. Docket No. CAS-RM78-110. Forrestal Building. 1000

Independence Avenue SW.• i

Washington. DC 20585, (202) 586-9320.

SUPPlEMENTARY INFORMATION:

I. Introduction

a. Authority.

b. Background.

11. Diacuaaion s. General Provisions.

b. Small Business Exemptions. c. Certification and Enforcement.

d. Preemption of State Regulations.

IlL Environmental. Regulatory Impact.

Regulatory FleXibility and Paperwork

Reduction Act Reviews

Regulatory Flexibility Reviews

a. Environmental Review.

b. Regulatory Impact Review.

c. Small Entity Impact Review.

d. Paperwork Reduction Act Review.

IV. Public Comment Procedures

8. Participation in Rulemaking.

b. Wrillen Comment Procedures.

c. Public Hearing.

I. Introduction

a. Authority

Part B of Title III of the Energy Policy

and Conservation Act (EPCA). Pub. Lo

94-163. as amended by the National

Energy Conservation Policy Act

(NECPA). Pub. L. 95-619, and by the

National Applicance Energy

Conservation Act (NAECA), Pub. L. 10{l~

12. 1 created the Energy Conservation

Program for Consumer Products other

than Automobiles. The consumer

products subject to this program (often

rel'erred to hereafter as "covered

products") are: refrigerators.

refrigerator-freezers and freezers;

dishwashers: clothes dryers; water

heaters; central air conditioners and

central air conditioning heat pumps;

furnaces; direct heating equipment;

television sets; kitchen ranges and

ovens; clothes washers; room air

conditioners; and pool heaters; as weI!

as any other consumer product

classified by the Secretary of Energy.

See section 322. To date. the Secretar;y

has not so classified any additional

products.

Under the Act. the program consists

essentially of three parts: testing.

labeling, and mandatory minimum

energy conservation standards. The

Department of Energy (D9£ or ..

Department). in consultatlOn With the

National Bureau of Standards. is

required to amend or establish new test

procedures as appropriate for each of

the covered products. Section 323. The

purpose of the test procedures is to

provide for test results that reflect the

energy efficiency. energy use. or

estimated annual operating costs of

each of the covered products. Section

323(b)(3). A test procedure is nol

required if DOE determines by rule thai

one cannot be developed. Section

323(d)(1). One hundred and eighty .

after a test procedure for a product IS

adopted. no manufacturer may represEmt

I Part Bof Title III of EPCA as amended by

NECPA and NAECA. is referred 10 in this nOiicB "~

the "Act .. Part B of Title III is codified at ..2 U.S.c.

6291 et B~q. Part B of Title III of EPCA as amended

by NECPA only, is referred to in this notice os

NECPA.
 CAS-RM-78-110 COMMENT 12

Fodera} Register I Vol. 53. No. 43 I Friday. March 4. 1988 I Proposed Rules '7111

Illl' energy consumption of. or the cost of

l!nl~rgy consumed by the product except

us rdlected in a test conducted

!icwrdillg to the DOE procedure. Section

:l2:1(c)(2).

The Federal Trade Commission (FTC)

is required by the Act to prescribe rules

go\'erning the labeling of covered

products for which test procedures have

hpel1 prpscribed by DOE. Section 324(a).

These rules are to require that each

particular model of a covered product

bear a lahelthat indicates its annllal

openlling cost and the range of

l'stimalcd annual operating costs for

other mod(~ls of that product. Section

:e.;(c)( 1J. Disclosure of estimated

operating cost is not required under

section 324 if the FTC determines that

such tliscIosurc is not likely to assist

consumers in making purchasing

decisions or is not economiciJlly

feasible. In such a case. FTC must

require a different useful measure of

enngy consumption. Section 324(c). At

the lJrm;ent time there is an FTC rule

requiring labels under the Act for the

following products: room air

conditioners. furnaces. clothes waflhers.

dishwashers. water heaters. freezers.

and refrigerators and refrigeratorfreezers. 44 FR 66475. November 19.

1979. The tiC has proposed a rule to

require labels for central air

conditioners. 45 FR 53340. August 11.

1980.

For eleven of the covered products.

the Act prescribes Federal energy

conservation standards. Section

32fi(a)(1) and (b) through (hJ. The Act

establishes initial effective datcs for the

.standards in 1988. 1990. 1992 or 1993.

depending on the product und specifies

thut the standards are to be reviewed by

the Department within threc to ten

years. also depending on the product.

Section 325{b) through (hJ. After the

specified three-to len-year period. DOE

may promulgate new standards for each

product. however. such standards may

not be less stringent thun those initially

established by the Act. Section 325(1)(1J.

The Act also directs DOE to prescribe

an energy conservation standard no

later than JllnUury 1. 1989. for smull gas

furnaces. Le.. gas furnaces having an

input of less than 45.000 Btu per hour

llnd manufactured on or after January 1.

11m2. Section 325{f)(1)(B).

With regard to another covered

product. television aets. the Act allows

Ihe Department to preflcribe an

applicable standard; however such

standard may not become effective

before January 1. 1992. Section 325(i)(3).

The Act also permits the Department

to prescribe standards for any other

Iype of consumer product that. using

certain criteria. DOE may classify 1:18 a

covered product. Section 325(i). (lJ. and

(m). Any new or amended standard is

required to be designed 80 as 10 achieve

the maximum improvement in energy

efficiency that is technologically

feasible and economically justified.

Section 325(1J2)(AJ.

Section 325(I)(2)(B)(i) provides that

before DOE determines whether a

standHrd is economically justified. it

must first solicit views and comments

on a proposed standard. After reviewing

comments on the proposal. DOE must

tben determine that the benefits of the

standard exceed its burden. based. 10

the greatest extent practicable. by

considering:

(1) The economic impact of the

standard on the manufacturers and on

the consumers of the products subject to

such standards;

(2J The savings in operating costs

throughout the estimated average life of

the covered plOducts in the type (or

class) compared to any increase in the

price of. or in the initial charges for. or

maintenance expenses of. the covered

products which are likely to result from

the imposition of the standard;

(3) The total projected amount of

energy savings likely to result directly

from the imposition of the standard;

(4) Any lessening of the utility or the

performance of the covered products

likely to result from the imposition of the

standard;

(5J The impact of any lessening of

competition. determined in writing by

the Attorney General. that is likely to

result from the il'l:lposition of the

standard;

(6) The need for National energy

conservation; and

(7) Other factors the Secretary

considers relevant. In addition. the Act

specifies criteria for petitions to DOE in

regard to amendments to standards.

Section 325(k). Under the Act. any

person may petition the Department to

conduct a rulemaking to amend a

Federal energy conservation standard

for any covered product. Section

325(k)(I). The Department must grant

such a petition if it determines that an

amended standard will result in .

significant conservation of energy. is

technologically feasible and is cost

effective. Section 325(k)(2).

Sections 325(k)(3)(A) and (BJ stipulate

that in no case mayan amended

standard apply to product manufadured

within three years or five years,

depending on the product. after

publication of the final rule establishing

a standard. Furthermore. DOE may not

prescribe an amended standard that is

less stringent than that initially

establishing by the Act. Section 325(1)(1).

Today's proposal does not include

procedures and criteria for petitions for

an amended standard. Since 1990 is the

earliest date by which an amended

standard could apply. DOE will addl€SR

this issue in a future rulemaking

proceeding.

Section 325{q) provides that

manufacturers having annual gross

revenues not ~~ceeding$8 million may

apply to DOE for an exemption from all

or part of the requirements of an energy

efficiency standard. This exemption may

not extend beyond two years from the

effective date of any standards

requirement. This authority will not be

exercised by DOE unless. after written

consultation with the Attorney General.

the Secretary finds that failure to allow

the exemption would likely result in a

lessening of competition.

Section 326 of the Act imposes

requirements upon manufacturers to

submit information or reports to assure

that each covered product to which a

standHrd applies meets the required

.energy efficiency level. DOE is

proposing today certification provisions

that include testing by the manufacturer

and submission of compliance and

certification data to,DOE 45 days before

the effective date of an applicable

energy conservation standard. The Act

also specifies that in determining

information requirements. DOE consider

existing sources ofinformation.

including nationally recognized trade

associa tion certification programs.

Section 326(d).

Enforcement-related provisions of the

Act provide for: (1) DOE to prescribe

rules requiring manufacturers to allow

the Department to observe testing and

inspect results of testing conducted by

the manufacturer [section 326(b)(5)J; (2)

manufacturers to supply to DOE a

reasonable number of products for

testing purposes {section 326(bJ(3)]; (3)

manufacturers to submit information or

reports necessary to ensure compliance

(section 326(d)); and (4) injunctive relief

against any prohibited act. including

distribution of noncomplying products

(section 334J.

Section 327 of the Act addresses the

effect of Federal rules concerning

testing. labeling. and standards on State

laws or regulations concerning such

matters. Generally. all such State laws

or regulations are superseded by the

Act. Section 327(a) through (cJ.

Exceptions to this general rule include:

(1) State standards prescribed or

enacted before January 3. 1987. and

applicable to products before January 3.

1988. may remain in effect until the

applicable standard begins {section

327(b)(1)J; (2) state procurement
 CAS-RM-78-110 COMMENT 12

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-- Federal Register I Vol. 53, No. 43 I Friday, March 4. 1988 I Proposed Rules

standards which are more stringent than

the applicable Federal standard may

remain in effect (section 327(b)(2) and

(e)l; and certain building code

requirements for new construction may

remain in effect until the applicable

standards begin. and. if certain criteria

lIrc met, the codes are exempt from

Federal preemption lsection 327(b)(3)

and (£)(1) through (f)(4); State

regulations banning constant burning

pilot lights in pool heaters are exempt

from Federal preemption; and State

standards for television sets effective on

or after January 1. 1992. may remain in

effect in the absence of a Federal

standard for such product (section

327(b1l6) and 327(c)l.

Another exception to Federal

preemption concerns standards for

refrigerators. refrigerator-freezers and

freezers. The Act specifies that if DOE

does not publish a final rule before

January 1, 1990. relBting to the revision

of Federal standards for this product

category. Ihe standards for these

products that have been promulgated by

the State of California. and are to be

effective January 1. 1992. may become

effective beginning January 1, 1993. and

may not be preempted by any Federal

standard prescribed on or after January

1,1990. Section 325{b)(3)(A)(ii)(l) and

section 327(c).

In addition. if DOE does nol publish a

final rule before January 1. 1992. relating

10 Ihe revision of standards for

refrigerators. refrigerator-freezers and

freezers, lIoy Stute regulation which

applies to such products manufactured

on or after January 1. 1995. is exempt

from Federal pl'cemption until the

effeclive date of a Federal standard.

Section 325(b)(A)(ii)(Il).

A Slale whose energy conservation

standard if; preempted may petition the

Deplulment for H rule thai it not be

preempted on the basis thai the State

regulation ill, needed to meet unusual

and compelling State or local energy

interests. Section 327(d). However, DOE

cannot issue the requested rule if it is

established that such State regulation

will significantly burden m3rkeling,

manufActuring. distribution. sale or

servicing of the covered products. or is

likely to rt!BUlt in thH un8vaHability in

the StBte of any covered product with

performance characteristics that are

substantially the lI·arne lllllihose

generally available in the State at the

lime of DOE'til delormina!ion. Section

327(d)(4).

The Act further provides that, except

under certain energy emcI·sency

conditions, lIny State regulation for

which exemption Is granted shall apply

to products manufactured three years

after DOE publishes such a rule In the

Federal Register, or five years after

publication. if DOE finds that additional

time is necessary for retooling and

redesign. Section 327(d)(5).

b. Background

NECPA required DOE to establish

mandatory energy efficiency standards

for each of 13 covered products. 2 These

standards were to be designed to

achieve the maximum improvement in

energy efficiency that was

technologically feasible and

economically justified.

NECPA provided. however. that no

standard for a product be established if

there were no test procedure for the

product. or if DOE determined by rule

either that a standard would not result

in significant conservation of energy, or

that a standard was not technologically

feasible or economically justified. In

determining whether a standard was

economically justified, the Department

was directed to determine whether the

benefits of the standard exceeded its

burdens by weighing the seven factors

discussed above.

NECPA specified the priorities and

procedures to be followed in adopting

efficiency standards. Nine of the 13

covered products were given priority.

These nine products were: refrigerators

and refrigerator-freezers. freezers.

clothes dryer. water heaters. room air

conditioners. home heating equipment

not including furnaces. kitchen ranges

and ovens. and central air conditioners.

On June 30. 1980. DOE set forth its

first proposed rulemaking for the nine

products. 45 FR 43976. (Hereafter

referred to as the June 1980 proposal). It

also proposed comprehensive I

requirements for certification and

enforcement of the standards as well as

criteria and procedures for petitions

from IImall businesses seeking

temporary exemption from standards

and by States seeking exemption for

regulations subject to the general

preemption requirements of NECPA,

On April 2, 1982, DOE published a

further notice of proposed rulemaking

with respect to the nine priority

products. 47 FR 14424. (Hereafter

referred to as the April 1982 proposal).

Among other things. the April 1982

proposal included rules governing

petitions to DOE both by States to

obtain exemption from preemption of

State or local energy efficiency

• The consumer products covered by NECPA

Included: refrigerators Bnd refrigerator-freezers:

freezers: dishwashers; clothes dryers; water heaters:

room air conditloners; home healing equipment not

Including furnaces: television sets; kitchen ranges

and ovens: clothes washers; humidifiers and

dehumidifiers: central air conditioners; and

furnaces.

standards. as well as by manufacturers

to obtain preemption of Stale or local

standards.

On December 22. 1982. DOE published

a final rule that efficiency standards

were not warranted for two covered

products (clothes dryers and kitchen

ranges and ovens) and that also

prescribed final procedures by which

States might obtain exemption for State

or local efficiency standards from

Federal preemption. and by which

manufacturers might obtain preemption

of a State or local standard not

otherwise preempted. 47 FR 57198.

(Hereafter referred to as the December

1982 final rule.)

On August 30. 1983, DOE published 8

final rule with respect to six additional

covered products: refrigerators and

refrigerator-freezers. freezers. water

heaters, furnaces, room air conditioners

and central air conditioners. 48 FR

39376. (Hereafter referred to as the

August 1983 final rule). For each of the

six products covered by the August 19113

final rule. except central air

conditioners. DOE determined that aI,

energy efficiency standard would not

result in significant conservation of

energy and would not be economically

justified. With respect to central air

conditioners. DOE found that an energy

efficiency standard would result in

significant conservation of en~rgy. but

would not be economically justified.

On April 1, 1985, DOE published !l

proposed rule with respect to four

covered products: dishwashers.

television sets. clothes washers and

humidifiers and dehumidifiers. 50 PR

12966. (Hereafter referred to as the 1985

proposal). For each of the four product!!

covered by the 1985 proposal, DOE

proposed that an energy efficiency

standard would not be economically

justified and would not result in a .

significant conservation of energy.

During 1983.DOE's December 1982.

and August 1983 final rules were

challenged in a lawsuit brought by ~he

Natural Resources Defense Council

(NRDC) and others against the

Department. On July 16. 1985. the u.s.

Court of Appeals for the District of

Columbia Circuit set aside DOE's

December 1982 and August 1983 final

rules. NRDC v. Herringtoll. 768 F.2d :!351j

(D.C. Cir. 1985).

Consequenlly. on March 5. 1936, DOE

published notices in the Federal Regis~e[

removing the December 1982 and AuguSI

1983 final rules and withdrawing the

1985 proposal. 51 FR 7549 and 51 rn

7582. .
 CAS-RM-78-110 COMMENT 12

Federal Register I Vol. 53. No. 43 I Friday. March 4. 1988 I Proposed RuJ.es ali.

1113

assumption that weatherized furnaces

and boilers are located out-of-doors:

that non-weatherized furnaces are

located indoors and all combustion and

ventilation air is admitted through grills

or ducts from the outdoors and does not

communicate with the air in the

conditioned space; and that nonweatherized boilers are located indoors.

These amendments will likely result in

many non-weatherized (indoor) furnaces

being rerated to reflect isolated

combustion system values.

Within the definition of "heat pump:'

the Act includes an undefined term,

packaged terminal heat pump. whereas.

the term "packaged terminal air

conditioner" found in the definition of

central air conditioner is defined in

section 430.2. The Act identifies both

packaged terminal heat pumps and

packaged terminal air conditioners as

air conditioning products excluded from

the standards program. Therefore. in

order to clarify this exclusion with

respect to packaged terminal heat

pumps, DOE is proposing a definition for

this product based upon the definition of

packaged terminal air conditioner found

in section 430.2.

The Act establishes standards for 11

types of appliances. Since these

standards are established by law. they

will be adopted without comment in an

upcoming final rule. The energy

conservation standards prescribed by

the Act will be included in a final rule as

follows: .

Section 430.32 Federal Energy

Conserl'ation Standards.

The energy conservation standards

for the covered product classes are:

(a) Refrigerators/refrigerator-freezers.!

freezers.

H. Discussion

a. Gmwral Provisions

The NAECA amendments to NECPA

included several definitions of terms

which also are defined in 10 CFR Part

430. However, some of the definitions

contained in the Act are inconsistent

with those adopted by DOE regulation.

Therefore. DOE intends to amend 10

CFR Part 430 by adopting the definitions

contained in the Act. Since these

definitions are established by law and

are not subject to revisions. they have

not been included in this proposed rule.

The Department is including the

definitions below as notice that they

will be included in the final rule. The

terms to be included in the final rule are

[IS follows:

"Energy conservation standard"

means:

(aJ A performance standard which

prescribes a minimum level of energy

efficiency or a maximum qUilntity of

energy use for a covered product,

determined in accordance with test

procedures pmscribed under section 323;

or

(hJ A design requirement for the

products specified in paragraphs (6). (7).

(10J, lind (13J of section 322(a) of the Act;

IJnd includes any other requirements

which the Secretary may prescribe

under section 325(0) of the Act.

"Furnace" means a product which

utilizes only single-phase electric

current, or single-phase electric current

or DC current in conjunction with

nntural gas. propane. or home heating

oil. and which-

(aJ Is designed to be the principal

heating source for the living space of a

residence;

(b) Is not contained within the same

cabinet with a central air conditioner

whose rated cooling capacity is above

65.000 Btu per hour;

(c) Is an electric central furnace.

electric boiler. forced-air central

furnace. gravity central furnace. or low

pressure steam or hot water boiler; and

(ti) lias a heat input rate of less than

300.000 Btu per hour for electric boilers

Hnd low pressure steam or hot water

boilers lind less than 225,000 Btu per

hour for forced-air central furnaces.

gravity central furnaces. and electric

central furnaces.

"WaleI' healer" means a product

which utilizes oil. gas, or electricity to

heat potable water for use outside the

heater upon demand. Including-

(aJ Storage type units which heat and

store water lit a thermostatically

controlled temperuture. including gas

storage waleI' heaters with an input of

75.000 Btu per hour or less, all storage

water heaters with an Input of 105.000

Btu per hour or less. and electric storage

water heaters with an input of 12

kilowatts or less:

(b) Instantaneous type units which

heat waleI' but contain no more than one

gallon of water per 4,000 Btu per hour of

input. including gas instantaneous water

heaters with an input of 200.000 Btu per

hour or less. oil instantaneous water

heaters with an Input of 210.000 Btu per

hour or less, and electric instantaneous .

water heaters with an input of 12

kilowatts or less; and

(c) Heat pump type units, with a

maximum current rating of 24 amperes

at a voltage no greater than 250 volts.

which are products designed to transfer

thermal energy from one temperature

level to a higher temperature level for

the purpose of healing water. including

all ancillary equipment such as fans,

storage tanks. pumps. or controls

necessary for the device to perform its

function.

Similarly, the NAECA amendments

included lerms which are not found

currentlv in 10 CFR Pari 430. DOE .

intends 'to adopt the legislated

definitions in the final rule. The terms to

be included in the final rule are as

follows:

"Annual fuel utilization efficiency"

means the efficiency descriptor for

furnaces and boilers. determined using

test procedures prescribed under section

323 and based on the assumption that

all-

(A) Weatherized warm air furnaces or

boilers are located out-of-doors;

(B) Warm air furnaces which are not

weatherized are located indoors and all

combustion and ventilation air is

admitted through grill or ducts from the

outdoors and does not communicate

with air in the conditioned space:

(C) Boilers which are not weatherized are located within the heated space.

"Pool heater" means an appliance

designed for heating nonpotable water

contained al atmospheric pressure.

including heating water in swimming

pools, spas. hot tubs and similiar

applicstions.

"Weatherized warm air furnace or

boiler" means a furnace or boiler

designed for installation outdoors.

approved for resistance to wind. rain.

and snow. and supplied with its own

venting srstem.

Annua fuel utilization efficiency

(AFUE) is determined in accordance

with section 4.6 of Appendix N to

Subpart B of Part 430. Because the·

current provisions for determining AFUE

are not consistent with the legislated

definition. DOE is today proposing

amendments to section 4.6 of Appendix

N which confOl'm with the NAECA

amendments. AFUE Is based on the

Product class

1 Refrigerators and refrigeratorfreezers with manual defrost.

2. Refrigerator· freezers - partial

automatic defrost.

3. Refrigerator·freezers·automatic defrost with top-mounted

freezer without ice.

'I. Refrigerator-freezers-automatic defrost with side-mounted

freezer without ice. .'

5. Refrigerator-Freezers-automatic defrost with bottom·mounted freezer without iCe.

6. Refrigerator.freezers-automatic defrost with top-mounted

freezer with through the door

ice service.

7 Refrigerator-freezers·automatic defrost with side-mounted

freezer with through the door

ice.

8. Upright freeZers with manual

defrost.

Energy

standards

equations Jan. 1.

1990.

16.3 AV + 316

21.8 AV + 429

23.5 AV + 471

27.7 AV + 468

27.7 AV + 488

26.4 AV + 535

30.9 AV + 547

109 AV + 422
 CAS-RM-78-110 COMMENT 12

7114 Federal Register! Vol. 53. No. 43 I Friday. March 4. 1988 I Proposed Rules ;:a1

{d} Woler healers.

Prod'Jcl class Energy Illl(;tOl' Jan. 1. 1900 ---t--

{I:} Cel/tral air conditioners and centml

air conditioning heat pumps.

AV = Tolal adjusted volume. expressed in

1"1. 3

{h} Room air conditions.

(j) Kitchen ranges and ovens.

Gas kitchen ranges and ovens wHh an

electrical supply cord shall not be

equipped with a constant burning pilot,

The standard is effective on January 1.

1990.

(k) Pool heaters.

The thermal efficiency of pool heaters

must be no less than 78%.

The standard is effective on January 1,

1990.

(l) Television sets. (Reserved]

In addition: DOE is today proposing

the following: to amend Subpart C I)f

Part 430 to incorporate the citation for

Pub. L. 100-12 in the Authority section;

to remove the term "energy efficiency

standard" found in Subpart C and add

in its place the term "energy

conservation standard;" to revise

section 430.33; and to delete section

430.34. Section 430.34, effective data, is

proposed to be deleted because the

effective date of a standard, 88

established by the Act, will be included

in section 430.32. energy conservation

standards.

The Act specifies a single value for

the heating seasonal performance factol'

(HSPF) as the energy conservation

standard for the heating mode of a heat

pump. Section 325(d)(2) (A) and (B), The

adoption of the HSPF energy

conservation standard requires

clarification as (0 the basi~ of the

calculation. Subpart B of section

430.22(5)(ii) of DOE's regulations

identifies the heating seasonal

performance factors for air !Iourel; he@1

pumps as the HSPF. in Btu's per watthour. determined according to section

5.2 of Appendix M to Subpart B for eRch

applicable standardized design heati;,g

requirement within each climatic region.

This would provide approximately 30

separate values of HSPF for each

The Act provides only one value and

does not specify which region and

design heating requirement are to be th,,,

basis of the single number HSPF energy

conservation standard.

The Department has reviewed the

requirements of the Act and believes

that the HSPF provided is based em

Region IV and the standardized design

heating requirement nearest the

capacity measured in the high

temperature (47 OF) test For this reason,

DOE proposes to include this as Par~ of

the definition of HSPF in section 1.15 of

Appendix M to Subpart B. Title 10 of the

Code of Federal Regulations.

The current test procedures for

refrigerators, refrigerator-freezers end

freezers do not include a measure of

annual energy consumption, only

Annual

fuel Effective

utilization dale

efficiency

ProdUC1 ctass

Annual

fuel

ulilization

Product class efficiency

Jan. 1.

1990

(percent)

1. Gas wall Ian type up to 42.000 Btu/

hour............................................................. 73

2. Gas wall ian type over 42.000 ell

hour _ _.......................... 74

3. Gas wall gravity type up to 10.000

Btu/hour _...... 59

4. Gas wall gravity type over 10.000

Blu/hoor up to 12.000 Btu/hour............ 60

5. Gas wall gravity type over 12.000

Btu/hour up to 15.000 Btu/hour............. 61

6. Gas wall gravity type over 15.000

BtU/hour up 10 19.000 Btu/hour............. 62

7. Gas wall gravity type over 19.000

Btu/hour up 10 27,000 Btu/hour 63

8. Gas wall gravity type over 27.000

Btu/hour up 10 46,000 Btu/hour............. 64

9 Gas wall gravity type over 46,000

Blu/hour 65

10. Gas 1l00r up \0 37.000 Btu/hOur 56

11. Gaa Iloor over 37.000 Btufhour........... 57

;2. Gas room up to 18.000 Blu/hour ....... 57

13. Gss room over 18.000 Btu/hour up

to 20,000 Siu/hour 58

14. Gas room over 20.000 Blu/hour up

to 27.000 Btu/hour :.. 63

15. Gas room OYet' 27.000 Btu/hour up

to 46.000 Btu/hour _ _... 64

HI. Gas room over 46.000 Blulhouf __ 65

1. Furnaces (excluding 78% 01/01/92

classes noted below). 2. Mobile Home Furnaces. 75% _.__• 01/01/90

3. "Small" lumaces (Ae- 01101192

(input rate less than terved).

45.000 Btu/hour.

4. Boilers (excluding gas 80% 01/01/92

steam).

5. Gas steam boilers 75% 01/01/92

(f) Dishwashers.

Dishwashers must be equiped with an

option to dry without heat.

The standard was effective on

January 1.1988.

(g) Clothes washers.

Clothes washers must have an

unheated water rinse option.

The standard was effective on

January 1, 1988.

(h) Clothes dryers.

Constant burning pilot lights in gas

clothes dryers are prohibited.

The standard was effective on

january 1, 1988.

(i) Direct heating equipment.

{e) Furnaces.

8.5

6.5

8.5

8.2

8.0

60

8.5

6.0

9.0

8.8

8.2

8.5

Energy

Efficiency

Ralio

Jan.l.

1990

Energy

standards

equations Jan. '.

1990.

16.0 AV + 623

14.8 AV ,.·223

I Sea· I sonsl

energy

eff,·

ciency

ratIO

Proouct closs

I Heeling \---

: seasonal, Efiective

perlorm· j date lIneEl

lac1Ol'

;~~i;y~e::~--- 100 1-±6.a]01/01/92

Package

Systems ...• 97 6.6 01101/93 _ -- - -d.-----t.. __

1 Gas Wale, HeaW... 0.a2 • ".ooHl 1( Rated SiOf'

lIIgs VOIUm0 in gallons).

2 all Waler Healer..... 0.59 • (.DOH' >( Raied 510<'

VoluIM in gallons).

3 Electllc Waler 095 . (.00132 x Rated StOf·

flealer age Voh;me in gallons).

PlOduct class

Product class

1 WilMut revilrse cycle lind with lou·

vered sides less than 6.000 Btu ..

2 W,thOut reverse cycle and with lou- 1

vcred s,des 6.000 \0 7.999 Btu 1

3 W,lhout reverse cycle snd w,lh louverRd s,des 8.000 10 13.999 81u .

4 W,thout reverse cycle and with 100'

vered sodas 14.0001019.999 Btu .

Without r6verSE! cycle and wilh louvcred s'dos 20.000 and more Btu .

6 W,lhout reverse cycle and withoul

louvered sides less than 6.000 Btu.......)

7 Withool rSVefse cycle and without I

IO\Jvored sidos 6.000 to 7,999 8tu ........

8 W,lhoul reverse cycle and wrthOul

louvered s,des 8,000 10 13.999 Btu .......

9 Without reverse cycle and withoul

louvered sides 14.000 1019.999 Btu .....l

10 W,thoul revl3flfe cycle and wrthovl

louvered sldes 20.000 and more Btu ....

11. W,lh reverse cycle and with louvered 1

SIdeS .

12 W,th reverse cycle and withOut louvered s,des ..

I

9 upr,ghl freezors w,th aulomal·

'c delrost

10 Chest Ireezels end all oiher

freezers.
 CAS-RM-78-110 COMMENT 12

Federal Register / VoL 53, No. 43 / Friday, March 4, 1988 / Proposed Rules 7115

substantial testing and ff'110f'linQ

requirements manufacturers the

time of certification. These cel:tific21!iC)TI

re(:juirelnents were authorized under

sections 326 and 328 of NECPA, in

which the Department was

allowed to 1 t"-iy"t:.

any information deemed to

as~ertain compliance a standard.

Considerable analysis, including

analysis of various statistical

techniques. was undertaken

developing the certification

enforcement methods contained the

June 1980 A detailed

description this is mclucled

in the technical support document

entitled "Certification/Enforcement

Analysis," June 1980. DOE/CS-0170.

Basically. the analysis quantified

relative merits of

and enforcement approaches.

A statistical certification pf()cedwre

was proposed that mlnirni2:ed

possible reporting errors:

possibility of not certifying

model that complies the

standard and (2) possibility of

certifying a basic model that actually

does not comply with the standard.

As another means of ensuring

compliance. the June 1980 proposal

included provisions to require

manufacturer retention of certification

test units and test data. The proposal

also would have required manufacturer

submission of information designed to

assist the government's enforcement

efforts. e.g., production schedules,

production volumes. basic model

engineering information and critical

component information.

In response to concerns expressed in

the more than 1.200 comments to the

June 1980 proposal. DOE undertook to

revise substantially its certification and

enforcement approach to lessen the

reporting burden on the industry and to

reduce the paperwork requirements. A

discussion of these concerns and DOE's

revision is included in Section F of the

technical document entitled

"Consumer Vrrlrillrls Et!tlCJlency

Document." 1982,

This document is available from DOE's

Freedom of Information Room,

at the address provided at the be,gin.nir1g

of this notice. This document

that, as a result of the suibstanti\i'e issues

raised DOE reduced its on the

certification requirements. Specifically,

DOE's revised position that

certification testing in excess of what is

required by the Federal Trade

Commission should not be necessary.

data retention requirements should be

reduced and requirements for ff~lention

from date such standard is effective.

In establishing ell~pblilty for eXE~m~ition.

the annual

who corltn)is.

under the common control the

nptllirm';no manufacturer, are to be

taken into account

The purpose of this is to

enable small manufacturers who could

not comply with the standards to

continue operations for a period of up to

two

c. Certl)'iC()ti(Jn and Enfnrr;ernPJ1t

pr'Jp')Slli included a

:ertlfica!i(m and

Enforcement program in accordance

with the provisions of NEPCA. In

addition to stringent enforcement

remedies, the purpose of this program

was to ensure with the

prescribing

in

comments DOE response to

that proposal asserted that the

regulations would be overly

burdensome. In proposal. DOE

has signiflcdntly reduced the

information and pfE)cedural

requirements for such petitions. For

eXalTlpl,e. the 1980 proposal would

applll::arll to submit

three years

application. ~hereas,

is no\<'.. prC)pOSlrlg such da ta only

for the the

application.

In addition,

the extensive on

design capabilities of a covered product

or the substantive cost estimates

required by June 1980 proposal.

The necessary relevant information

that DOE proposes to require includes:

(1) Information showing the applicant's

annual gross revenue for the preceding

12-month period: information

showing that failure to grant an

exemption is likely to result in a

lessening of competition; and (3) any

other information the applicant

considers relevant or the Department

may require.

Pursuant to section of the

Act. DOE must obtain the written views

of the General to granting

or denying an The

D€~pa,rtrne.nt is that its written

riPlnvino an application

and legal

rioipf'mlnH!icln the order

other

DOE in terested

such order. Under the

prc1po:,al, the reached by DOE

the reasons therefor-are to be

published in Federal Register.

prClpc,slflg to

Appf'flChces A from the Code of

Federal RegulHtions. This proposal

requires no comment, but rather serves

a reminder to refrigerator,

[plr,Up[,'llr,f-lrp,'Zi'f iJnd freezer

manufactm'ers that Appendices A and B.

Hnd references to these Appendices

contained in section 430.22, will be

deleted.

To reflect the inclusion of pool heaters

ilS a covered product, DOE is proposing

to include test procedures and sampling

requirements for this Due to the

sinliltlrltles in heaters
 CAS-RM-78-110 COMMENT 12

7116 f~deral Register I Vol. 53, No. 43 I Friday. March 4. 1988 I Proposed Rules ~. :~m'W'll' " .... !l!IDUQilG mnw;

of certification leet units should be

deleted.

Although DOE had already stated its

support of reducing Significantly the

burden of certification procedures, tbe

Act amended sections 325 and 326 to

provide dear guidance to the

Department conceming such

reqUirements. Specifically. three

amendments were Included for the Bole

puposes of reducing the certification

burden: (1) section 325 "Energy

Conservation Standards" includes a

new paragraph (p) which establishes

that compliance will be determined

using the test procedures and

corresponding compliance criteria

prescI ibed under section 323. (Such test

procedures and corresponding

compliance criteria prescribed by DOE

uppear in the Code of Federal

Regulations at Title 10 Part 430. where

the compliance criteria is entitled

"430.23 Units to be tested."); (2) section

326(d) "information Requirements" is

revised to require the Department, when

making any determination of

information requirements, to consider

existing public flources of information,

including nationally recognized

certification programs of trade

associations; and (3) section 326(0) ill

further amended by adding

subparagraph (2) which requires DOE to

exercise its authority in a manller

designed to minimize unnecessary

burdens on manufacturers of cOllered

products. DOE believes today's proposal

complies with the certification

amendments of the Act

DOE is today proposing Ii

Certification and Enforcement program

that reflects both the guidance of the

I\CI. and the recommendatiOll!l received

in response to the june 19BO proposal.

The following Bummarizell loday'£

proposal:

(1) Manufacturel's. priViiie llibelers or

their representatives determine

compliance through minimkll testing

1'1:l.juirements (in the case of iil design

standard. no testing is required).

Today'll notice proposes that for the

purpose of a certification of compliance.

th{~ determination of complifmce shaH be

hiHHld upon the 811mpling prOGeduNlIl

found in section 430.23. Since FTC has

adopted the !llHne provisions

for the appliance rule found at

11; CFR Part 305, DOE thet there

will be little. if uny. l'ldditiol1l.il testing

needed to demOnBll'IH!~ with

standard!! them !hHt for ihe

FTC labeling program.. 1\10 test ill

required to determine compliance for thil!

following products: clotheD washers.

clothes dryers llnd kitchen mnges and

OVCDS for which preecrlptlve standards

are set. Therefore, DOE bi;lieves that for

these products. no additional testing,

other than that performed for labeling

and representations, will be required by

DOE's certification role as proposed

today.

(2) A compliance statement and

certification report are to be received

prior to the effective date of an energy

conservation standard and prior to the

introduction of a new model thereafter.

The information submission includes a

compliance statement for all products

and a certification report for modelspecific energy performance information

for those products which have an energy

performance standard. For models

covered by a FTC labeling program. the

model-specific information is similar to

that required by FTC for the labeling

program.

For the following products: room air

conditioners. central air conditioners

and furnaces. the information proposed

In today's notice is identical to that

required by FTC. Accordingly, DOE

would consider submittal of a copy of

the FTC report as meeting the

information requirements of today's

proposal.

For the following products:

refrigerators. refrigerator-freezers and

freezers and water heaters (two FTC.

labeled products). NAECA bases its

determination of compliance on annual

consumption and adjusted volume. and

energy factor and rated storage volume.

respectively. The data submission to the

FTC requires only annual operating cost

and capacity. This information is not

sufficient to demonstrate compliance

with NAECA. For these products, the

Department expects that manufacturers

and private labelers or their

representatives will include in their

report to DOE annual consumption and

adjusted volume. or energy factor and

storage volume in addition to that

information already provided to FTC.

For example. the Gas Appliance

Manufacturers Association (GAMA)

report to FTC on behalf of water heater

manufacturers already includ~s both

annUAl cost of operation. the FTC

requirement, and energy factor, the DOE

standard value. Manufacturers should

provide this information in addition to

the FTC reports, and DOE con'siders this

combined information all meeting the

requirements of today's proposal.

For the following products: clothes

washers, clothes dryers and kitchen

ranges and ovens. NAECA prescribes 8

design IItandard. Accordingly. only 8

stal€mentof compliance is necessary;

no product specific inform.ation is

required.

For the following products: direct

heating equipment and pool h~aters.

products not required by FTC to be

labeled but for which NAECA reqlJ~res

an energy performance standard.

today's proposal requires. in addition to

the compliance statement. product

specific information of AFUE and

thermal efficiency, respectively.

(3) Distribution ill allowed of all hmely

certified compliant basic models.

(4) Upon receipt of credible and

substantiated information concerning

possible non-compliance. the

Department will issue a test notice

initiating enforcement procedures.

(5) DOE will conduct testing to allow

for a statistically valid determination of

compliance/noncompliance. The

sampling plan proposed for enforcemen1

testing is shown in Appendix A \0

subpart F of today's proposal. This

sampling plan provides for testing a

minimum of 4 units and a maximum of

20 to determine compliance/

noncompliance. The larger sample size.

larger than the sampling provisions

found in § 430.23. reduces the likelihood

of a manufacturer being found .

incorrectly in noncompliance. DOE had

originally proposed a sampling plan for

enforcement testing as part of the IUD"

1980 proposed rule. Today's proposal

reflects the comments received on thgl

proposal. The revisions. including

sample size. lower control limit and

manufacturer optional testing elimina Ie.;

almost any likelihood of error in

determining manufacturer compliance.

The proposed sampling plan for

enforcement testing is a "double batch'

sampling system. "Double batch"

sampling is a sequential process in

which additional testing is contingent

upon previous test results. In the

proposed sampling plan. a small sampie

is drawn initially. four units. and the

units are tested. Following the first four

tests, one of three decisions is made.

First. a sample mean which, i.n

statistical terms. "significantly above

the standard" implies that the model iB

in compliance and testing is at an end.

Second. a sample mean which, i.n

statistical terms. "is significantly betow

the standard" implies that the model is

not certified. Therefore, testing. by DOE

order. is curtailed and the model is

judged to be in noncompliance. Third. fJ

sample mean, the results of which do

not clearly indicate whether the model

complies or not, is used to determine the

second sample size. The variabilHy of

the units within the first sample and lhe

speCified tolerance limit provide some 01

the information necessary for

determining a second sample sl::r.e. DOE

has determined the maximum second
 CAS-RM-78-110 COMMENT 12

Federal I Vol. 53, No. 43 March 4, 1988 / Rules 7117

sample size to be 18, for fl total sample

size of 20. DOE believes testing in

excess of 20 unit!> willnu! result in

appreciahle inlJnnlsed accuracy

regarding the compliance!

noncompliance determination.

Bascd on lesting results including the

second sample. one of two decisions

may be maue. First. a sample mean of

all units tellled which falls significantly

below this energy conservation standard

implies that the basic model has a mean

energy performance which fails to

comply with the standard. Therefore, the

unit is in nO:1compliance. A sample

nwan a Dove this level constitutes

compliuflce.

The "double butch" sampling system

provides II reulislic approach to testing

and minimizes "manufacturers risk"

without unduly burdening the

manufacturer or the Government.

(6) If compliam;e is determined. the

manufacturer will be notified and

distribution muy continue. If

noncompliance is determined, the

manufacturer will be notified, and

distribution in commerce is to cease.

The requirement that a manufacturer

cease distribution once DOE determines

that 8 model is noncompliant is not

expressly provided for by the Act. DOE

is proposing this requirement in

accordance with section 325(0) of the

Acl thai provides that the Secretary may

include IWy requirement which he

determines is necessary to assure that

each covered product meels the required

energy performance stundard. See

seclian 430.71(0)(1).

(7) If DOE's determination of

noncompliance ill hlll!lecl on fewer than

20 units, the manufacturer may provide,

at its expense. additional test units to be

included into the overall sumple,

provided thllt the overall sample does

not include more than 20 units. Ii the

Hddition"ltesting results in Ii

compliance determination, an

immediate notification is iilsued to allow

dislribution.

(al If distribution of noncompliant

basic model continues, DOE will Cleek II

judicial order restraining further

distribution. AltH>. at tnallime, the

Department will determine the extent, if

any, of civil penalties. .'Jee Section

430.73.

(9) Pursuant 10 sections 330 and 331 of

Ihe Act. DOE ill today proposing that

Hny product mllflufaclurad for export

from the United Slale" and that bears a

label tJtllling that !!Uch product is

intended for export is exempt from the

energy conservation standards and that

any imporled pl'Oduct that docs not

comply with the slandards shall be

refufled enlry inlo thl~ United Stales

under rulcs issued by the Secretary of

the Treasury.

(10) Pursuant to the Act, DOE is today

proposing to adopt the legislated

provisions regarding prohibited acts

found in section 332 of the Act and civil

penalties found in section 333 of the Act.

The Act provides for a civil penalty of

nol more than $100 for each violation.

(11) In accordance with sections 329,

333 and 334 of the Act, DOE is proposing

to adopt the legislated provisions

regarding the Department's authority to

subpoena information; the remedies

available to the Department if DOE

d.Jtermines that a basic model does not

comply with an applicable energy

conservation standard; and

manufacturers' or private ldbelers' right

to a hen ring and appeal of an order

issued by the Secretary.

(12) In accordance with section 328 of

the Act, DOE is today proposing to

adopt rules requiring a manufacturer or

private labeler, upon receipt of written

notification from the Secretary that a

basic model is determined to be in

noncompliance, to cease distribution of

the basic model and to give written

notification of the noncompliance to

each person to whom the manufacturer

hUll distributed the basic model.

d. Preemption of State Regulations

DOE is today propo!ling a new

Subpart D of 10 CFR Part 430 to

establish criteria and procedures by

which States may petition the

Department to be exempted from .

preemption, Ilnd by which

manufacturers may petition DOE to

withdraw an exemption. Previously,

NECPA required that once a Fedcl'fll

standard was prescribed for any

product, all State standards for such a

product were preempted regardless of

when the State 5tandard was enacted.

The Act amends section 327 so that

State standards enacted before January

8, 1987, and which became effective

before January 3. 1968. will remain

effcctive until the appropriate Federal

standard begins. Section 327 was also

amended by the Act to exempt from

Federal preemption certain building

code requirements as well as State

procurement standards, if Illuch

standards are more stringent than the

corresponding Federal standards.

A new section 327(d) allows States to

file petitions seeking exemption from

Feueral preemption and requires that a

Stale must show that Its regulation is

needed to meet "unusual and

compelling" State or local interests.

Sectlon 327(d)(1)(c) of the Act defines

"unusual and compelling State or local

interest" 8S interests which (lJ are

llubstanllally different In nature or

magnitude than those prevailing in the

U.S. generally: and (2) are such that the

costs, benefits. burdens, and reliability

of energy savings resulting from the

State standard make such standard

preferable or necessary when compared

to the costs, benefits, etc., of alternative

approaches to energy savings or

production, including reliance on

reasonably predictable market-induced

improvements in efficiency of all

products subject 10 the State standdrd.

The Act directs that the faclors

described in the latter clause are to be

evaluated within the context of a Slate's

energy plan and forecast.

In regard to information and data

included in State petitions. DOE would

welcome a discussion of the energy

interests and needs of the Stale

compared to those of the nation as a

whole. For example: an estimate of tht:

total energy savings, induding peak

savings, in the State for each covered

product; an estimate of the total energy

demand in the State compared to the

total national demand for each of the

next several years from the date of the

petition: and estimate of the total energy

usage in the State of the covered

product for each of the next several

~Iears from thf;l date of the petition: and

an analysis of the usage patterns and

the climate areas of the covered product.

This section also provides that even if

the State has made a showing of an

unusual or compelling interest, the

Department may not grunt the petition if

interested persons have established by a

preponderance of the evidence that the

applicable State regulation will

significantly burden marketing,

manufacturing, distribution, sale, or

servicing of the covered product on

national basis, or is likely to result in the

unavailability in the State of any

covered product type of performance

characteristics that are substantially the

same as those generally available in the

Stale al the time of the Department's

determine.Hon.

Once a petition is granted. the new

section 327(d) provides thai any State

regullltion for which an exemption is

granted shall apply to products

manufactured three years after the rull.'

granting such exemption is published in

the Federal Register: however, the

Secretary may lengthen the time to five

years if he finds that additional time is

necessary for retooling or redesign.

Generally, no exemption from federal

preemption may become effective for a

covered produci before the earliest

effective date of the Federal standard

for such product. However, an

exemption may become effective before

such datc if, in addition to the general
 CAS-RM-78-110 COMMENT 12

7118 Fedaflll R.egister / Vol. 53. No. 43 / Friday. March 4. 1988 / Proposed Rules u Pi au

criteria for exemption. the Department

determines Ii State has shown that.

within the State. an energy emergency

exists which (1) imperils the health,

safety and welfare of its citizens due to

lack of adequate electricity or natural

gas supplies at less than prohibitive

costs; (2) cannot be substantially

alleviated by importation of energy or

use of interconnection agreements; and

(3) the State standard is necessary to

alleviate such a condition.

This section further provides that any

person may file a petition l'equesting

DOE to withdraw a rule issued with

respect to Ii State's petition for

exemption after a Federal energy

conservation standard concerning such

product haS been amended by the

Department. Under the Act. the

Depurtment is to consider such petitions

in accordance with the requirements for

Slate petitions. except thnl it is the

respow;ihilily of the petitioner to show

thai the rule received by the Slate

should be withdrawn 88 a result of the

amendment 10 the Federal standard.

These changes have been

incorporated within the new rules

proposed today. The Department is

proposing procedures for Slales to

petition for a rule Ihal a State standard

not be pl'eempled and procedures for

persons subjeci to such regulutiom to

petition for withdrawal of such a rule. In

order for the Department to make such

determinations under the Act. todaY'll

proposal also includes the information

to be submitted in such pelilions.

m. Environmonlal, Regulatory impact.

. Regulalo!}' flexibilily am! Paperwork

Reduction AcllReviewll

a. !:m'imnmf'ntal Flm'ic!'!

Pursunnt to section 7(c)(2) of ihe

Federal Energy Administrution Act of

lH74. H copy of Ihis notice hos been

submitted 10 the Administrator of the

Environmental Protection Agency for his

comments concerning the Impact of this

propo~!ll on the quality of the

~mvironmcnl.

The Department is proposing to

e!;lalJlish procedures implmncntir18 the

Act's provi/;ions for (1) certificution and

l~llfort;l~nH)nt; (2) smnli buahwsa

c».l·mpliml8; and P) concerning

l,xcrnption of Stute BHmdurdfl.

The Depurtment uclievcfl the firs!

element dearly would nol be

cnvironnw!J!ully significant since it will

not result in liny environmental impucts.

For IIpplicliliuns seeking l.l temporary

smull business exemption us wcllu8 for

ull pl'litinns seeking exemption from

Fedl!rullltanclill'l:ls or llupersesBlon of

Stilte standards. DOE will conduct an

lIpplOprillff! NHtimwl Envil'onmental

Policy Act (NEPA) review on a case-bycase basis. I

The Department believes that the

proposed action would not be a major

Federal action significantly affecting the

quality of the human environment

within the meaning of the National

Environmental Policy Act of 1969. and

that neither an Environmental Impact

Statement nor an Environmental

Assessment is required for the proposed

rule.

b. Regulatory Impact Review

DOE has concluded that the rule is not

a "major rule" for purposes of Executive

Order 12291 because it will not result in:

(1) An annual effect on the economy of

$100 million or more; (2) a major

increase in costs or prices for

consumers, individual industries,

Federal. State. or local government

agencies. or geographic government

agencies. or geographic regions; or (3)

significant adverse effects on

competition, employment. investment.

productivity, innovation. or on the

llbility of United States-based

enterprises to compete with foreignbased enterprises in domestic or export

markets. This conclusion is based on

several factors. First, while the

imposition of conservation standards

will result in an increase in the cost of

certain appliances, this increase will be

offset by a reduction in energy costs.

Second. the costs of complying with the

tosting requirements of the rule are not

significant. For example. there would be

no additional testing costs for labeled

products. i.e., refrigerators, refrigeratorfreezers. freezers, water heaters,

furnaces and room air conditioners;

since DOE proposes to accept the

applicable testing requirements oJ the

Feder"l Trade Commission. Likewise.

there would be no testing costs for those

products that have design standards.

i.e.. clothes washers dishwashers. and

clothes dryers. Testing costs for central

!iiI' conditioners also should be

insignificant since a majority of these

products already comply with trade

associations' certification programs.

With regard to pool heaters. while not a

labeled product or covered by a trade

I1SS0cilllion certification program. it is

liknly that testing already has been

accomplished because of California's

standard for this product. Finally, any

impacts resulting from a conservation

slandard for television sets, will be

Hddressed in a future rulemaking for this

product. Therefore. in accordllnce with

section 3[c)(3) of the Executive Order.

which applies to rules other than major

rules. the proposed rule was submitted

to OMD for review without a regulatory

impllct amtlysis.

c. Small Entity Impact Review

In light of the foregoing. the

Department has determined and hereby

certifies pursuant to section fl05(b) of the

Regulatory Flexibility Act that the

proposal. if promulgated. will not have a

"significant economic impact on a

substantial number of small entities." To

minimize potential impacts on small

businesses which are appliance

manufacturers. DOE is. in fact.

proposing rules that would provide

relief. in the form of temporary

exemptions. from the applicable

conservation standards.

In addition, as mentioned above, the

Department will consider, as

appropriate. any significant economic

impact on small entities in deciding

petitions to preserve or supersede State

standards under section 327(d) of the

Act.

d. Paperwork Reduction Act Review

This proposed rulemaking includes

information collections that were

previously cleared by the Department

under OMB Control Number 1910-1400.

expiring June 3D, 1989.

IV. Public Comment Procedures

a. Participation in Rulemaking.

DOE encourages the maximum level

of public participation possible in this

rulemaking. Individual consumers.

representatives of consumer groups.

manufacturers' associations. States or

other governmental entilies. utilities,

retailers, distributors. manufacturers.

and others are urged to submit written

statements on the proposal. The

Department also encourages interested

persons to participate in the public

hearing to be held in Washington. DC tl.!

the time and place indicated at the

beginning of this notice.

The DOE has established a comment

period of 60 days following publication

of this notice, for persons to comment on

this proposal. Upon completion of the

50-day comment period, all comments

and the transcript of the public hearing

will be available for review in the DOE

Freedom of Information Reading Room.

b. 'Written Comment Procedures,

Interested persons are invited to

participate in this proceeding by

submitting written data. views or

arguments with respect to the subjects

set forth in this notice. Instructions for

submitting wrillen comments are set

forth at the beginning of this notice and

below.

Comments should be label.ed both on

the envelope and on the documents.

"NAECA Regulations (Docket No. CAS·
 CAS-RM-78-110 COMMENT 12

·.. Federal Register I Vol. 53, No. 43 I Friday, March 4, 1,988 I Proposed Rules 7119

- RM-78-11 0)." and must be received by

the date 9lwcified at the beginning of

this nolice. Ten copies are requested to

be submitted. All comments received by

the date specified at the beginning of

this nolice and other relevant

information will be considered by DOE

before final action is taken on the

proposed regula tion.

All written comments received on the

proposed rule will be available for

public inspection at the Freedom of

Information Reading Room. as provided

Ht the beginning of Ihis notice.

Pursuant 10 Ihe provisions of 10 CFR

1004.11, !Iny person submitting

information or data that is believed to

be confidential and exempt by law from

public disclosure. should submit one

complete copy of the document. and 10

copies. if possible. from which the

information believed to be confidential

has been dclt:lp.d. DOE will make its

own deteffl1ination with regard to the

confidential status of the information or

data and treat it according to its

d!!termination.

Facial'S of interest to DOE, when

evaluating requests to treat as

confidential information that has been

suhmitted, includn: (1) A description of

the item: (2) an indication as to whether

and why such items of information have

her.n treatl!d by the submitting party as

confidential. and whether and why such

items are customarilv treated as

confidential within the industry; (3)

whether the information is generally

known or available from other sourr.es;

(4) whethm the information has

prllviously been made aVl:lilahle to.

olhers without obligation concerning its

confidentiality; (5) an explanation of the

c;ompetitive injury to the submitting

person that would result from puhlic

disclosun~; (li) lin indication as to when

such information might lose its

confidential character due to the

passagt! of time: and (7) whether

disclosure of the information would be

in the public interest.

c. Puhlic: Hearing.

1. Procedure for Submitting Requests

to Sp(~ilk. Tlw time and place of the

puhlic h!~lIring are indicated at the

hcginning of this notice. DOE Invites

/lny plmlOll who hilS an interest in these

proceedings. or who is a representative

of a group or class of persons having an

intcrest. to make a written or telephone

request for un opportunity to muko an

oml presentation at the public hearing.

Such requests should belllbeled both on

the leller and the envelope. "NAECA

Regulations (Docket No. CAS-RM"-78-

110)," and should be sent to the address.

.!Ind must be received by the time

specified, at the beginning of this notice.

Requests may be hand-delivered to such

address between the hours of 8:30 a.m.

and 4:30 p.m.• Monday through Friday,

except Federal holidays.

The person making the request should

briefly describe the interest concerned

and, if appropriate, state why he or she

is a proper representative of the group

or class of persons that has Buch an

interest. and give a telephone number

where he or she may be contacted. Each

person selected to be heard will be 50

notified by DOE by the date specified at

the beginning of this notice.

Each person selected to be heard is

requested to submit 10 copies of the oral

statement to the registration desk prior

to the beginning of the hearing. In the

event any persons wishing to testify

cannot meet this requirement, that

person may make alternative

arrangements with the Office of

Hearings and Dockets in advance b-y so

indicating in the letter requesting to

make an oral presentation.

2. Conduct of Hearing DOE reserves

the right to select the persons to be

heard at the hearing, to schedule the

respective presentations. and to

establish the procedures governing the

conduct of the hearing. The length of

each presentation is limited to 20

minutes.

A DOE official will be designated to

preside at the hearing. The hearing will

not be a judicial or an evidentiary-type

hearing. but will be conducted in

accordance with 5 U.S.C. 553 & 556 and

section 336 of the Act. At the conclusion

of Ill! initial oral statements at the

hearing. each person who has made an

oral statement will be given the

opportunity to make 8 rebuttal

statement. subject to time limitations.

The rebuttal statement will be given in

the order in which the initial statements

were made. The official conductirig the

hearing will accept additional comments

or questions from those attending. as

time permits. Any interested person may

submit to the presiding official written

questions to be asked of any person

milking a statement at the hearing. The

presiding official will determine whether

the question is relevant, and whether

time limitations permit it to be presented

for answer.

Further questioning of speakers will

be permitted by DOE. The presiding

official will afford any interested person

an opportunity to question, with respect

to disputed issues of material fact. other

Interested persons who have made oral

presentations, as well as Federal

employees who have made written or

orol presentations, relating to the

proposed rule. This opportunity will be

afforded after any rebuttal statements,

to the extent that the presiding official

determines that such questioning is

likely to result in a more timely and

effective resolution of disputed issues of

material fact. If the time provided is

insufficient or inconvenient, DOE will

consider affording an additional

opportunity for questioning at a

mutually convenient time. Persons

interested in making use of this

opportunity must submit their request to

the presiding official no later than

shortly after the completion of any

rebuttal statements and be prepared to

state specific justification, including

why the issue is one of disputed fact and

how the proposed questions would

expedite their resolution.

Any further procedural rules regarding

proper conduct of the hearing will be

announced by the presiding official.

A transcript of the hearing will be

made, and the entire record of this

rulemaking, including the transcript, will

be retained by DOE and made available

for inspection at the DOE Freedom of

Information Reading Room as provided

at the beginning of this notice. Any

person may purchase a copy of the .

transcript from the transcribing reporter

In consideration of the foregoing, it is

proposed to amend Part 430 of Chapter

II of Title 10, Code of Federal

Regulations, as set forth below.

Issued in Washington. DC. February 19.

19l18.

Donna R. Fitzpatrick,

Assistant Secretary. Conservation and

Renewable Energy.

Lisls of Subjects in 10 CFR Part 430

Administrative practice and

procedure, Energy conservation.

Household appliances.

PART 4So-ENERGY CONSERVATION

PROGRAM FOA CONSUMER

PRODUCTS

1. The authority citation for Part 430 is

revised to read as follows:

Authority: Energy Policy and Conservation

Act, Title III. Part B. ss amended by National

Energy Conservation Policy Act. Tille IV. P:!rt

2. /lnu National Appliance Energy

Cunservation Act. (42 U.S.C. 6291-63(9).

2. Section 4301 is revised to read as

follows:

§ 430.1 Purpose and scope.

. This part establishes the regulations

for the implementation of Part B of Tille

HI (42 U.S.C. 6291-6309) of the Energy

Policy and Conservation Act (Pub. L. 94-

163), as amended by Pub. L. 94-385 and

Pub. L. 100-12"which estabiishes an II

energy conservation program for

consumer products other than

automobiles.
 CAS-RM-78-110 COMMENT 12

7120

iii Ii

Federal Register I Vol. 53. No. 43 I Friday, March 4. 1988 / _Proposed Rules wa,.".".£2 J

10. Subpart B of 430 is amended by

revising section 4.6. of Appendix N as

follows:

Appendix N to Subpart B of Part 430-

Uniform Tests Method for Measuring the

Energy Consumption of Furnaces ;

4.6 Annual fuel utilization efficiency. The

annual fuel utilization efficiency (AFUE] shall

be expressed as 8 percent and defined as:

where:

5200= average annual heating degree-days

l..15 • • • The single number HSPf energy

conservation standard for central air'

conditioning heat pumps speCified in section

325(d}(2] (A] and (B] is based on Region IV

and the standardized DHR found in section {)

of this appendix. nearest the capacity

measured in the 47 OF test.

lower 971f2 percent confidence limit of

the true mean divided by .95.

8. Subpart B of Part 430 is amended by

adding a sentence to the end of section

1.15 of Appendix M as fol1ows:

Appendix M to Subpart Bof Part 430-

Uniform Test Method for Measuring The

Energy Consumption of Central Air

Conditioners

'1 9. Subpart B of Part 430 is amended by

adding a new Appendix P as fol1ows:

Appendix P to Subpart B of Part 430-

Uniform Test Method for Measuring The

Energy Consumption of Pool Heaters

1. Test method. The test method for testing

gas- and oil-fired pool heaters shall be as

specified in American National Standards

Institute Standard for Gas-Fired Pool

Heaters. Z21.5&-1986. .

2. Test conditions. Establish the test

conditions specified in section 2.8 of ANSI

Z21.5&-1986.

3. Measurements. Measure the quantities

delineated in section 2.8 of ANSI Z21.5&-1986.

except in the case of oil-fired hea lers the

measurement of energy consumption in Btu's

is to be carried out in appropriate units. e.g..

gallons.

4. Calculations. Calculate the thermal

efficiency (expressed as a percent) as

speCified in section 2.8 of ANSI Z21.5&-1986,

except in the case of oil·fired heaters the

expression of fuel consumption shall be in

Btu·s.

application of Appendix AI of this

subpart.

(b) • • • c,A

(5) The annual energy use of all

freezers equals the representative

average-use cycle of 365 cycles pe~ year

times the average per-cycle energy

consumption for the standard cycle in

kilowatt-hours per cycle. determined

according to 6.2 of Appendix A1 of this

subpal·1. '

(8) Other useful measures of energy

consumption for freezers shall be those

measures of energy consumption for

freezers which the Secretary determines

are likely to assist consumers in making

purchasing decisions and which are

derived from the application of

Appendix B1 of this subpart.

(p) Pool heaters. (1) The estimated

annual operating cost (space reserved)

(2) The thermal efficiency of pool

heaters. expressed as a percent. shall be

determined in accordance with section 4

of Appendix P to this subparl.

7. Section 430.23 is amended by

adding a new paragraph (p) to read as

follows: II ,

5A. Subpart B of Part 430 is amended

by deleting the word

"(ALTERNATIVE)" in the headings to'

Appendices A1 and 131. 5B. Section

430.22 is amended by deleting the .

following references to Appendices A

and B: "4.1 of Appendix A or" from

paragraphs (a)(l)(ii). (a)(2)(1I). (a)(3)(ii).

(a)(4)(i)(B), (a)(4)(ii)(B); "4.2 of Appendix

A or" from (a)(4)(i)(A). (a)(4)(ii)(A): "4.1

of Appendix 13 or" from (b)(l)(ii).

{b)(2)(ii). (b)(3)(ii). (b)(4)(i)(B).

(b)(4)(ii)(B); and "4.2 of Appendix B or"

from (b)(4)(i)(A). (b)(4)(ii)(A).

I Componenls of similar desi~n mu}' be

8uh8lthlled without r~qul~Ir.R addllionul teslinR if

tho represented mea.ures of enel"flY consumption

"'>Iltinue to sfltisfy the upplicuhle sampling

provision.

§ 430.22 (Amended]

A 6. Section 430.22 is amended by

adding new paragraph (p~as follows:

/I 430.~3 U~lts to.be te~tlKl.

(p)(l) For each basic model I of pool

hi~aler a sHmple of sufficient size shall

be tested to insure thatIi) (Reserved)

(iil Any represented value of the fuel

utilization efficiency or other meaSure of

energy consumption of a basic model for

which consumers would favor higher

values shall be no greater than the lower

of (A) the mean of the sample or (B) the

"Secretary" means the Secretary of

the Department of Energy.

3. Section 430.2 Is amended by

revising the present definition of "Act".

deleting the definitions of

"Adminislrator" Hnd "Energy efficiency

standard"'/\and inserting the following

definitions in alphabetical order:

§ 430.2 Definitions.

"Act" means the Energy Policy and

Conservation Act (Pub. L. 94-163). as

amended by the Nutional Energy

Conservation Policy Act (Pub. L. 95-(19)

and by the N8tionlll Appliance Energy

Conservation Act (Pub. L.l00-12).

"Butch" means a collection of

production units of a basic model from

which a bl:llch sHmplc is selecll~d.

"Dutch sample" means the collection

of units of the same basic model from

which tt~st units are selected.

"Dutch sample size" means the

number of units in a batch sample.

"Batch size" means the number of

units in !l batch.

"PacKaged terminal heat pump"

mClins a puckaged terminal air

conditioner that utilizes reverse cycle

refrigeration as its prime heat soo'rce

and may have supplementary heating

availability by builder's choice of hot

water. steam or electric resistance heal.

§ 430.22 IAmen~dl

4. Subpart B of Part 430 is amended by

deleting Appendices A and B. and

§ 430.22 is amended by removing

paragraphs (n)(6) and (b)(B);

redesignating and revising paragraphs

(a)(5) and (bllS) as paragraphs (1l)(6) and

(b)(6) respectively; and adding new

paragraphs (a}(5) and (b)(5) as fDl1ows: J

(a) • • • !\

(5) The unnulll energy use of electric

refrigerators lind electric refrigeratorfreeZeI'll equals the representative

average use cycle of 365 cycles per year

limes the average per-cycle energy

consumption for the stlli1(lard cycle in

kilowall-houfs per cycle. determined

according to 6.2. of Appendix Al of this

subpart.

(6) Other useful measures of energy

commmption for electric refrigerators

and electric n~frigel'ator-freezerllshal1

be those measures of energy

consumption for electric refrigerators

Imd electric refrigerator-freezers which

the Secretary determines llrc likely to

HlIsist consumers in milking purchasing

decisions which lire derived from the
 CAS-RM-78-110 COMMENT 12

- Federal Register / Vo\. 53. No. 43 / Friday. March 4. 19138 / Proposed Rules . . .• 1

7121

N" liS ddinl'd in 4.3 of this lIpp"ndix for

condensing furnaces and boilers

mt,,,surl'd hy the optional direct

condensute mellsurement method: liS

N" .•, liS ddined in 4.5.14 of this

appendix at each design heating

requirement for modulating furnaces and

boilers: or as Effy" as defined in 11.2.5 of

ANSI/ASHRAE 103--a2 for all other

furnaces and boilers.

Nu part load efficiency end is based on the

assumption that all welltherized warm

air furnaces or boilers lire located out-ofdoors: Wilrm air furnaces which are not

wl'utlwrized are instHll(~d as isolated

comhustion systems: and boilers which

an~ not weatherized lire instulled in

doors. Pilrt load efficiency as defined in

4.:1 of this IIppl'llllix fur condensing

furnacl's und boilers mt~i1sured by the

optional direct cundensilte meusurement

method: as Nu .•·' llS ddined in 4.5.1 of

Ihis uppendix at eilch design heuting

f(,tjuin,nwnt for modulatinf( furnaces and

boilers: or as EfrYh. as defined in 11.2.34

of ANSI/ASllRAE 103--a2 and in 4.2 of

this appendix for all other furnaces and

boilers except that CJ and LJ arc defined as:

o for hoilt~rs which Ilre not weatherized

3.3 for furnllccswhich Ilre welltherized

C, '" 1.7 for furnaces which are not

weutherized

4.7 for boilers which arc weatherized

I., = jacket loss and is either assigned the

vlllue of 1 percent or dlltcrmined in

IICeordllnl:e with 8.6 of ANSI/ASIIRAE

103--82 in percent

Q'N = steady-stute hellt input as defined in

11.2.34 of ANSI/ASIlRAE 103-82

n.7 ~. averll~e oversizing factor for furnaces

llnd boilers

4tlOO~· avern~l' non-healing season hours per

year

Q"~c pilot flame fuel input rate as defined in

9.2 of ANSI/ASllRAE 103-82

11. Subpart B of Part 430 is amended

by revising section 4.7 of Appendix N by

changing "0 for furnaces or boilers

intended to be installed indoors." to "0

for boilers which are not weatherized,";

"1.7 for furnaces or boilers intended to

be installed as isolated combustion

s\'stl'ms." to "1.7 for furnaces which are

n'ot weutherizcd."; "3.3 for furnuces or

boilers intended to be installed

outdoors." to "3.3 for furnaces or boilers

which urI' wcatherizcd.";and "1.0 for

finned tubed boilers Intended for

installation outdoors." to "1.0 for finned

tubed boilers which are weatherized."

SUbpart C of Part 430-[Amended]

12. Subpart C of Part 430 Is revised by

A removing the words "energy effiCiency

stundurd(s)", and lidding. in their place.

the words "energy conservation

stundard(s)".

13. Subpart D of Part 430 is revised to

reud as follows:

Subpart D-Petilions To Exempt Stale

Regulation from Preemption; Petitions 10

Withdraw Exemption of Slllte Regulat.ion

Sec.

430.40 Purpose and scope.

430.41 Prescriptions of a rule.

430.42 Filing requirements.

430.43 Notice of petition.

430.44 Consolidation.

430.45 Hearing.

430.46 Disposition of petitions.

430.47 Effective dates of final rules.

430.48 Request for reconsideration.

430.49 Finality of decision.

Authority: Sec. 327(d), Energy Policy and

Conservation Act. Pub. L. 94-63 as amended

by Pub. L. 95-619 and Pub. L. l()o"'12 (42

V.S.c. 6297).

§ 430.40 Purpose and l&cope.

(a) The regulations in this subpart

prescribe the procedures to be followed

in connection with petitions requesting a

rule that a State regulation prescribing

an energy conservation standard or

other requirement respecting energy use

or energy efficiency of a type (or tlass)

of covered product not be preempted.

(b) The regulations in this subpart

also prescribe the procedures to be

followed in connection with petitions to

withdraw a rule exempting a State

regulation prescribing an energy

conservation standard or other

requirement respecting energy use or

energy efficiency of a type (or class) of

covered product.

§ 430.41 Prescriptions of a rule.

(a) Criteria for exemption from

preemption. Upon petition by a State

which has prescribed an energy

conservation standard or other

requirement for a type or class of a

covered product for which a Federal

energy conservation standard is

applicable. the Secretary shall prescribe

a rule that such standard not be

preempted if he determines that the

State has established by a

preponderance of the evidence that such

requirement is needed to meet unusual

and compelling State or local energy

interests. For the purposes of this

regulution. the lerm "unusual and

compelling State or local energy

interests" means interests which are

substantially different in nature or

magnitude than those prevailing in the

U.S. generally; and are such that when

evaluated within the context of the

Stale's energy plan and forecast. the

costs. benefits. burdens. and reliability

of energy savings resulting from the

Slate regulation make such regulation

preferable or necessary when measured

against the costs. benefits, burdens. and

reliability of alternative approaches to

energy savings or production. including

reliance on reasonably predictable

market-induced improvements in

efficiency of all products subject to the

State regulation. The Secretary may not

prescribe such a rule if he finds that

interested persons have established, by

a preponderance of the evidence. that

the State's regulation will significantly

burden manufacturing. marketing.

distribution, sale or servicing of the

covered product on a national basis. In

determining whether to make such a

finding. the Secretary shall evaluate all

relevant factors including: the extent to

which the Stateregulalion ,,'.'ill increase

manufacturing or distribution costs of

manufacturers. distributors. and others:

the extent to which the State regulation

will disadvantage smaller

manufacturers. distributors. or dealers

or lessen competition in the sale of the

covered product in the State; the extent

to which the State regulation would

cause a burden to manufacturers to

redesign and produce the covered

product type (or class). taking into

consideration the extent to which the

regulation would result in a reduction in

the current models, or in the projected

availability of models. that could be

shipped on the effective date of the

regulation to the State and within the

U,S.. or in the current or projected sales

volume of the covered product type (or

class) in the State and the U.S.: and the

extent to which the State regulation is

likely to contribute significantly to a

proliferation of State appliance

efficiency requirements and the

cumulative impact such requirements

would have. The Secretary may not

prescribe such a rule if he finds that

such a rule will result in the

unavailability in the State of any

covered product (or class) of

performance characteristics (including

reliability), features. sizes. capacities.

and volumes that are substantially the

same as those generally available in the

State at the time of the Secretary's

finding. The failure of some classes (or

types) to meet this criterion shall not

affect the Secretary's determination of

whether to prescribe a rule for other

classes (or types).

(1) Requirements of petilion for

exemption from preemption. A petition

from a State for a rule for exemption

from preemption shall include the

infoITn'ltion listed in paragraphs (a)(l)(i)

through (a)(l)(viii) below. A petition for

a rule and correspondence relating to

such petition shall be available for

public review except for confidential or

proprietary information submitted in

accordance with the Department of

Energy's Freedom of Information

Regulations set forth in 10 CFR Part

1004:
 CAS-RM-78-110 COMMENT 12

1122

- Federal Register I Vol. 53, No. 43 I Friday, March 4. 1988 I Proposed Rules r

Ii) The name, address and telephone

number of the pelilioner:

(iiI A copy orlhe Stale standard for

which 8 rule exempting such standard is

sought;

(iii) A copy of the Siale's energy plan

and forecasl;

(iv) Specification of each type or class

of covered product for which a rule

exempling a standard is sought;

(v) Other information, if any, believed

10 be pertinenl by the petitioner: and

(vi) Such other information as the

Secretary may require.

(I» Criteria for exemption from

preemption when energy emergency

conditions exist within State. Upon

petition by a State which has prescribed

an energy conservation standard or

other requirement for a type or class of a

covered prbduct for which a Federal

energy conservation standard is

applicable, the Secretary may prescribe

a rule, effective upon publication in the

Federa! Register. that such regulation

not be preempted if he determines that

in addition to meeting the requirements

of paragraph (a) of this section, the State

has established thaI: an energy

emergency condition exists within the

Stale that imperils the health. safety and

welfare of its residents because of the

inability of the State or utilities within

the State to provide adequate quantities

of gas or electric energy to its residents

allcss than prohibitive costs; and

cannot be substantially alleviated by the

importation of energy or the use of

interconnection agreements; and the

Slate regulation is necessary to alleviate

substantially such condition.

(1) Requirements of petition for

exemption from preemption when

energy emergency conditions exisl

within a Stale. A petition from 8. State

for <l rule for exemption from

pr~emption when energy emergency

conditions exist within a Slate shall

include the informution listed in

puragraphs (a)(l)(ij through (a)(l)(vi) of

this scction. A petition shall also include

the information prescribed in (b)(l)(i)

through (bJ(l)(iv) of this section, and

shilll be avaiLable for public review

except for confidential or proprietary

information 8ubmllted In accordance

with the Department of Energy's

Freedom of Information Regulations set

forth In 10 CFR Part 1~:

(i) A deacripllon of the energy

emergency condllion which exists

wHhtn the Stale. including causes and

impllcis.

(jil A descrlplion of emergency

response actions laken by the State and

utilities within the State to alleviate the

f!mergency condition;

(iii) An analysis of why the emergency

condition clinnol be alleviated

substantially by importation of energy

or the use of interconnection

agreements;

(iv) An analysis of how the State

standard can alleviate substantially

such emergency condition.

(c) Criteria for withdrawal ofa rule

exempting a State standard. Any person

subject to a State standard which, by

rule. has been exempted from Federal

preemption and which prescribes an

energy conservation standard or other

requirement for a type or class of a

covered product. when the Federal

energy conservation standard for such

product subsequently is amended, may

petition the Secretary requesting that

the exemption rule be.withdrawn. The

Secretary shall consider such petition in

accordance with the requirements of

paragraph (a) of this section. except that

the burden shall be on the petitioner to

demonstrate that the exemption rule

received by the State should be

withdrawn as a result of the amendment

to the Federal standard. The Secretary

shall withdraw such rule if he

determines the petitioner has shown the

rule should be withdrawn.

(1) Requirements of petition to

withdraw a rule exempting a State

standard. A petition for a rule to

withdraw a rule exempting a State

standard shall include the information

prescribed in (c)(l)(i) through (C)(l)(vii)

of this section. and shall be available for

public review, except for confidential or

proprietary information submitted in

accordance with the Departmentof

Energy's Freedom of Information

Regulations set forth in 10 CFR 1004:

(i) The name, address and telephone

number of the petitioner;

(ii) A statement of the interest of the

pelilioner for which a rule withdrawing

an exemption is sought;

(iii) A copy of the Slate standard for

which a rule withdrawing an exemption

is sought;

(iv) Specification of each type or' class

of covered product for which a rule

withdrawing an exemption is sought;

(v) A discussion of the factors

contained in paragraph (a) of this

section:

(vi) Such other information, if any,

believed to be pertinent by the

peillioner; and

(vii) Such other information as the

Secretary may require,

§ 430.42 Filing requirements.

(8) Service. All documents required to

be served under this subpart shall,if

mailed, be served by first class mall.

Service upon a person's duly authorized

representative shall constitute service

upon that person.

(b) Obligation to supply information.

A person or State submitting a petition

is under a continuing obligation to

provide any new or newly discovered

information relevant to that petition.

Such information includes, but is not

limited to, information regarding any

other petition or request for action

subsequently submitted by that person

or State.

(c) The same orrelated matters. A

person or State submitting a petition or

other request for action shall state

whether to the best knowledge of that

petitioner the same or related issue, act,

or transaction has been or presently is

being considered or investigated by any

State agency, department, or

instrumentality.

(d) Computation oftime. (1)

Computing any period of time

prescribed by or allowed under this

subpart, the day of the action from

which the designated period of lime

begins to run is not to be included. If the

last day of the period is Saturday, or

Sunday. or Federal legal holiday. the

period runs until the end of the next day

that is neither a Saturday, or Sunday or

Federal legal holiday.

(2) Saturdays. Sundays. and

intervening Federal legal holidays shall

be excluded from the computation of

time when the period of time allowed or

prescribed is 7 days or less.

(3) When a submission is required to

be made within a prescribed time. DOE

may grant an extension of lime upon

good cause shown.

(4J Documents received after regular

business hours are deemed to have been

submitted on the next regular business

day, Regular business hours for the

DOE's National Office, Washington. DC,

are 8;30 a.m, to 4:30 p,m.

(5) DOE reserves the right to refuse to

accept. and not to consider, untimely

submissions.

(e) Filing ofpetitions. (lJ A petition

for a rule shall be submitted in triplicate

to: The Assistant Secretary for

Conservation and Renewable Energy,

U.S. Department of Energy, Section 327

Petitions. Appliance Efficiency

Standardsl Forrestal Building. 1000

Independence Avenue SW.,

Washington, DC 20585.

(2) A petition may be submitted on

behalf of more than one person. A joint

petition shall indicate each person

participating in the submission. A joint

petition shall provide the information

required by § 430.41 for each person on

whose behalf the petition is submitted,

(3J All petitions shall be signed by the

person(s) submitting the petition or by a

duly authorized representative. if

submitted by a duly authorized
 CAS-RM-78-110 COMMENT 12

Federal Register / Vol. 53, No. 43 / Friday, Murch 4, 1988 I Proposed Rules go.

7123

repreRentatiVt~, the petition shull certify

this authorization.

(4) A petition for a rule to withdraw a

rule exempting l:l Stale regulation. all

supporting documents, and all future

submissions shall be served on each

State agency. department, or

instrumentality whose regulation the

petitioner seeks to il\lpersede. The

petition shall contain a certification of

this service which stHtes the name and

muiling address of the served parties.

and the date of service.

(f) Acceptance lor filing. (1) Within

fifteen (15) days of the receipt of a

petition. the Secretary will either accept

it for filing or reject it. and the petitioner

will be so notified in writing. The

Secretury will serve Ii copy of this

notification on each other party served

by the petitioner. Only such petitions

which conform to the requirements of

this IHlbpart and which contain

sufficient information for the purposes

of a substantive decision will be accept

for filing. Petitions which do not so

conform will be rejected and an

explanHtion provided to petitioner in

writing.

(2) For purposes of the Act and this

subpart. a petition is deemed to be filed

on the date it is accepted for filing.

(g) Docket. A petition accepted for

filing will be llssigned an appropriate

docket designation. Petitioner shall use

the docket designation in all subsequent

submissions.

§ 430.43 Notice of petition.

(a) Promptly after receipt of a petition

llnd its acceptance for filing. notice of

such petition shall be published in the

federal Register. The notice shall set

forth the availability for public review of

all duta and information available, and

shall solicit comments. data and

information with respect to the

determination of the petition. Except as

may otherwise be specified. the period

for public comment shall be 60 days

after the noticq appear's in the Federal

Register.

Ib) In addition 10 the material required

under pHragraph (a) of this section, each

notice shall contain l:l summary of the

Stule regulation at issue and the

petitioner's reasons for the rule Bought.

§ 430.44 Consolidllltion.

DOE may consolidate any or all

mlllters at issue in two or more

proceedings docketed where there exisl

common parties. common questions of

facland law, and where 8uch

consolidation would expedite or

simplify consideration of the isaues.

Consolidation shall not affect the right

of any party to raise i!llluesthat could

have been raised if consolidation nad

not occurred.

§ 430.45 Hearing.

The Secretary may hold a public

hearing. and publish notice in the

Federal Register of the date and location

of the hearing. when he determines that

such a hearing is necessary and likely to

result in a timely and effective

resolution of the issues, A transcript

shall be kept of any such hearing.

§ 430.46 Disposition of petitions.

(a) After the submission of public

comments under § 430.42(a). the

Secretary shall prescribe a final rule or

deny the petition within 6 months after

the date the petition is filed.

(b) The final rule issued by the

Secretary or 8 determination by the

Secretary to deny the petition shall

include u written statement setting forth

his findings and conclusions, and the

reasons and basis therefor. A copy of

the Secretary's deCISion shall be sent to

the petitioner and the affected State

agency. The Secretary shall publish in

the Federal Register a notice of the final

rule granting or denying the petition and

the reasons and basis therefor.

(c) If the Secretary finds that he

cannot issue a final rule within the 6-

month period pursuant to paragraph (a)

of this section. he shall publish a notice

in the federal Register extending such

period to a date certain. but no longer

than one year after the date on which

the petition was filed. Such notice shall

include the reasons for the delay.

§ 430.47 Effective datte:ll of final rules.

(a) A final rule exempting a State

standard from Federal preemption will

be effective: .

(1) Upon publication in the 'Federal

Register if the Secretary determines that

BUCP rule is needed to meet an "energy

emergency condition" within the State.

(2) Three years after such rule is

published in the Federal Register; or

(3) Five years after such rule is

published in the l-'ederal Register if the

Secretary determines that Buch

additional time ill necessary due to the

burdens of retooling, redesign or

distribution.

(b) A final rule withdrawing a rule

exempting a State standard will be

effective upon publication in the Federal

Register.

§ 430.48 Requ@lI\t for reconllolde\'1lltion.

(a) Any petitioner whose petition for a

rule has been denied may request

reconsideration within 30 days of rlenial.

The request shall contain a statement of

facls and reasons supporting

reconsideration and shall be submitted

in writing to the Secretary.

(b) The denial of a petition will be

reconsidered only where it is alleged

and demonstrated that the denial was

based on error in law or fact and that

evidence of the error is found in the

record of the proceedings.

(c) If the Secretary fails to take action

on the request for reconsideration

within 30 days. the request is deemed

denied. and the petitioner may seek

such judicial review as may be

appropriate and available.

(d) A petitioner has not exhausted

other administrative remedies until a

request for reconsideration has been

filed and acted upon or deemed denied.

§ 430.49 finality of decision.

(a) A decision to prescribe a rule that

a State energy conservation standard or

other requirement not be preempted is

final on the date the rule is issued. i.e..

signed by the Secretary. A decision to

prescribe such a rule has no effect on

other regulations of a covered product of

any other State.

(0) A decision to prescribe a rule

withdrawing a rule exempting a State

standard or other requirement is final on

the date the rule is issued. I.e.. signed by

the Secretary. A decision to deny such a

petition is final on the day a denial of a

request for reconsideration is issued,

I.e.• signed by the Secretary.

14. Part 430 is amended by adding a

new Subpart E. to read as follows:

Subpart E-Small Busln~ss Exemptions

Sec.

430.50 Purpose and scope.

430.51 Eligibility.

430.52 Requirements for applications.

430.53 Processing of applications.

430.54 Referral to the Attorney General.

530.55 Evaluation of the application.

530,56 Decision and order.

430.57 Duration of temporary exemption.

Authority: Sec. 3Z5(q). Energy Policy and

Conservation Act. Pub. L. 94-163 as amended

by Pub. L. 95-619 and Pub. L. 100-12 (42

U.S.C.6295).

Subpart IE-Small Business

!Exemptions

§ 430.50 Purpose ll\lnd scope.

(a) This subpart establishes

pr0cedures for the submission and

disposition of applications filed by

manufacturers of covered consumer

products with annual gross revenues

that do not exceed $8 million to exempt

them temporarily from all or part of

energy conservation standards

established by this part.

(b) The purpose of this subpart is to

provide content and format

requirements for manufacturers of
 CAS-RM-78-110 COMMENT 12

7124 Federal Register I Vol. 53. No. 43 I Friday. March 4, 1988 ! Proposed Rules ""i"'PY""" £IJOOlltill il 1!i~~~E"~~~_~~"'~~=~.~~

covered consumer products with low

unnual gross revenues who desire to

apply for temporary exemptions from

upplicable energy conservation

standards.

§ 430.51 Eligibility.

Any manufacturer of a covered

product with annual gross revenues that

do not exceed $8.000.000 from all its

operations (including the manufacture

and sale of covered products) for the 12-

month period preceding the date of

application may apply for an exemption.

In determining the annual gross

!'l'venues of any manufacturer under this

subpart. the unnual gross revenue of any

other person who controls. is controlled

by. or is under common control with,

such manufacturer shall be taken into

account.

§ 430.52 Requirements for applications.

(Ii) Each application filed under this

subpart shall 1>e submitted in triplicate

to:

u.s. Department of Energy, Small Business

Exemptions. Appliance Efficiency

Standllrds. Assistant Secretary for

Conservation and Renewable Energy.

Forrestal Building. 1000 Independence

Avenue SW., Washington, DC 20585.

(b) An application shall be in writing

and shall include the following:

(1) Name and mailing address of

applicant;

(2) Whether the applicant controls. is

controlled by, or is under common

control with another manufacturer, and

if so, the nature of that control

relationship;

(:1) The h!xt ('Ir suhstunce of the

standard or portion thereof for which

the exemption is sought and the length

of time desired for the exemption:

(4) Information showing the annual

gross revenue of the applicant for the

preceding lZ-month period from all of its

operations (including the manufacture

ilnd sale of covered products):

(5)lnformation to showthat failure to

grant an exemption is likely to result in

II ll'sseninll of competition;

Ill) Such other information. if any.

believed to be pertinent by the

petitioner: lind

(7) Such other information liS the

Secrelnry may require.

§ 430..53 froee••ing of appllcailons.

(H) The IIpplicHnt shllll serve II copy of

the application, all supporting

documents. lind all subsequent

suhmissions. or a copy from which

confidential information has been

deleted pursuanlto 10 CFR 1004.11. to

the Secretary. which may be made

avuiluble for public review.

(b) The Secretary on his own initiative

may convene a hearing if. in his

discretion, he considers such hearing

will advance his evaluation of the

application.

§ 430.54 Referral to the Attorney General.

Notice of the application for

exemption under this subpart shall be

transmitted to the Attorney General by

the Secretary and shall contain (a) a

statement of the facts and of the reasons

for the exemption, and (b) copies of all

documents submitted.

§ 430.55 Evaluation of the application.

The Secretary shall grant an

application for exemption submitted

under this subpart if the Secretary finds.

after obtaining the written views of the

Attorney General, that a failure to allow

an exemption would likely result in a

lessening of competition. '"

§ 430.56 Decision and order.

(a) Upon consideration of the

application and other relevant

information received or obtained, the

Secretary shall issue an order granting

or denying the application.

(b) The order shall include a written

statement setting forth the relevant facts

and the legal basis of the order.

(c) The Secretary shall serve a copy of

the order upon the applicant and upon

any other person readily identifiable by

the Secretary as one who is interested in

or aggrieved by such order. The

Secretary also shall publish in the

federal Register II notice of the grant or

denial of the order and the reason .

therefor.

§ 430.57 Duration of temporary exemption.

A temporary exemption terminates

according to its terms but not Jater than

twenty-four months after the effective

date of the rule for which the exemption

is allowed.

15. Subpart F of Part 430 is amended

by adding a new Subpart F to read as

follows:

Subpart F-eertificstlol'l lind Enforcement

St'c.

430.60 Purpose and scope.

4:lO.01 Prohibited acts.

430.02 Submission of data.

430.03 Sampling.

430.64 Imported products.

430.65 Exported products.

430.70 Enforcement.

430.71 Cessution of distribution of a basic

model.

430.72 Suhpoenu.

430.73 Remedies.

430.74 Hearings and Appeals.

430.75 Confidentiality.

Appendix A 10 Suhpart Ii' of Part 436-

Compliance Sla!em,ml.

Appendix 10 Stlbpai'l IF of Part 43llSampling Plan for Enforc;ement Testing.

AUlhority; Sees. 325, 326, 328, 329, 330, 331.

332. 333. and 331, Energy Policy and

Conservation Act. Pub. L. 94-163, as amended

by Pub. L. 95-1H9 'll1d Pub. L. 100-12 (42

U.S.C. 6295. 6296, 6:~.6299.6300.6301,fl302.

6303, and 6304j.

§ 430.13\1 P!,lv~,o$e ti\irl:\i $Cop".

The regulations in this subpart set

forth the procedures to be followed for

certification and enforcement tesling to

determine vvhether a basic model of a

covered product complies with the

applicable energy conservation standard

set forth in Suboart C of this Part.

Energy conservation standards include

minimum levels of efficiency and

maximum levels of consu.mption (also

referred to as performance standards)

and prescriptive energy design

requirements (also referred to as design

standards).

§ 430.61 Pmhiblted aero.

(a) E2.ch of the following is a .

prohibited act pursuant to section 332 of

the Act:

(1) Failure to permit access to, or

copying of records required to be

supplied under the Act and this rule or

failure to make reports 01' provide other

information r~lquired to be supplied

under the .I\cl and this rule;

(2.) Failure of a manufacturer to supply

at his expense a reasonable number of

covered i:\J'()ducts to a test laboratory

designated by the Secretary:

(3) Failure of @ manufacturer to permit

a representative designated by the

Secretary to obBerve any testing

required by the Act and this rule and

inspect the resuHs of such testing; and

(4) Distribution in commerce by a

manufacturer or private labeler of any

new covered product which is not in

compliance with an applicable energy

efficiency standard prescribed under the

Act and tbis rule.

(b) In accordance with section 333 of

the Act. any person who knowingly

violates provision of paragraph (a)

of this be subject to

assessment of a penalty of no more

than $')00 for each violation. Each

violation of (a) of this section

shall constitute a separate violation

with to each covered product.

and of noncompliance with

items of paragraph (a)

shaH constitute a separate violation.

§ 430.62 Sllbmi$slol'l of dl!liiLi.

(8) Compliance statement and

certIfication Each manufacturer

or private before distributing in
 CAS-RM-78-110 COMMENT 12

Federal Register I Vol. 53, No. 43 I Friday. March 4. 1988 / Proposed Rules

- 1& UiUaUJdlUiliif sn 7125

---

H.·f"l'i"rOlnrs. Aug. 1, 19l1!l

Relrly~nal0,·fHJOzets

and F,""lers

Room Air Condll!QOOfs ...... May 1. 1989.

Contral Air Cond,lIonors July 1. 1991

and CenUal A,r

Condlhonlng Hoat

PUfTlP~.

comllwrce any basic model of a covered

product subj(~ct to the Applicable energy

consPrvilfion stflndnrd sct forth in

Subpart C of lhis Pnrt shall certify by

means of a statement of compliance and

certification report. that each basic

model meets the requirements of that

standard.

(1) The compliance statflment shall

include:

(i) The basic model(s) comply with the

i1pplicable energy conservation

standards:

(ii) All requirl'd testing on which the

cl)lilplianl:(~ statement is hased was

condudl~d in conformnDl:e wilh the

applicahle \(~st requirements prescribed

in 10 CFI{ Part 4:>0 Subpart B and this

subpart and all test data are reported in

ilu:ordanc(~ wilh this subpart;

(iii) All information reported in the

compliance statement is true. accurute.

and cumplete: lind

(iv) The manufacturer (private lubeler)

is a ware of the penalties llssodllted

with violations of the Act and the

regulations thereunder. and 18 U.S.C.

1001 which pruhibits knowingly muking

false statements to the Felleml

Government. The furmlll for a

c;ompliance statemllnt is set forth in

Appendix A.

(2) For (,l1(:h uasic model the

cl~rlificaliun report shall include the

lllH\U!Jl energy usc und adjusted volume

(for refrigerators. refrigcru tur·freezers

lind frt~I'l.ms). energy factor and rated

SlOl'llgl' volume (for water heuters). the

l'O\'I~Y cfl'iciel1l:y ratio (fur fl)l)nJ uir

l:onditiOlwrs). seasonal energy efficiency

rlitio heating s(~llt)(mal performunce

factor (for central nil' conditioners and

Ct~nlral ilir wnditioning heat pumps).

tlwl'Tlwl efficiency (for poul heaters). and

annual ftwl utiliziltion efficiency (fur

furnaces ilnd direct heating equipment)

the mlHjd numbers for each model; and

its capacity.

(:1) Copies of rt~ports to tht~ Federal

Trade Commission which include the

information in pamgraph(a}{2) of this

section nwe! the fnquimmentli of this

paragraph.

(bl U<.'f!lIrliIlH roquirt!l1wnis. All datu

rt'ljllil'l,d by § 'l:1O.62(a) shllll be

Hllbllliltl!d on 01' before the fullowinR

dutes and prior to tlw introduction of a

new modd thereafter.

of this section. including the compliance

statement.

§ 430.63 Sampling.

(a) For purposes of a certification of

compliance. the determination that a

basic model complies with the

applicable energy performance standard

shall be based upon the sampling

procedures set forth in § 430.23 of this

Part. For purposes of a certification of

compliance. the determination that a

basic model complies with the

applicable design standard shall be

based upon the incorporation of specific

design requirements for clothes dryers.

dishwashers. clothes washers and

kitchen ranges and ovens specified in

section 325 of the Act.

(bJ A basic model which meets the

following requirements may qualify as

an "other than tested model" for

purposes of the certification testing and

sampling requirements:

(lJ Central air conditioners: The

condenser·evaporator coil combinutions

manufactured by the condensing unit

manufacturer other than the

combination likely to have the largest

volume of retail sales or the condensercoil combinations manufactured in part

by a component manufacturer using the

same condensing unit.

(2) For purposes of certification of

"other than tested models," as defined

in paraHraph (b)(l) of this section. a

manufacturer may certify the basic

model on the basis of computer

simulation or engineering analysis as set

forth in § 430.62(m) of Subpart B.

§ 430.64 Imported products.

(a) Pursuant to section 331 of the Act,

any person importing any covered

product into the United States shall

comply with the provisions of the Act

and of this Part. and is subject to the

remedies of this Part.

(b) Any covered product offered for

imporlation in violation of the Act and

of this Part shall be refused admission

into the customs territory of the United

States under rules issued by the

Secretury of the Treasury. except thot

the Secretary of the Treasury may. by

such rules. authorize the importation of

such covered product upon such terms

and conditions (including the furnishing

of a bond) as may appear to the

Secretary of Treasury appropriate to

ensure that such covered product will

not violate the Act and this Part. or will

be exported or abandoned to the United

States.

§ 430.65 Exported products.

Pursuant to Section 330 of the Act. this

part shall not apply to any covered

Dale

I

Sept. 1. 1969.

.... Nov. 1. 1989

I

Products

Wat", Healers May 1. 1989.

Furnaces May 1. 1991.

DiShwashers " t60 days after publication

01 final rule)

Clothes Washers (60 days alter publication

of hnai ruie)

Ciolhes Dryers (60 days al1er pUblication

of final rule)

DIleet Heating Sept 1. 1969.

EqUipment.

Kitchen Ranges and

OVf.ms.

Pool Hea\~1fS

For each basic model of a covered

product to be distributed in commerce.

each manufacturer and private labe,ler

or his representative sholl file 8

compliance statement and certification

report. by certified muil. to Department

of Energy, Appliance Efficiency

Stundards. Assistant Secretary for

Conservation and Renewable 'Energy.

Forrestal Building. 1000 Independence

Avenue SW.• Washington. DC 20585.

(c) New models. All information

required by para~raph (b) of this section

must be submitted for new models pri0r

to any distribution of such model. Any

chan~e to a basic model which affects

energy consumption may constitute the

addition of II new basic model subject to

the requirements of § 430.61. If such

change does not alter compliance with

the applicable enllrgy conservation'

standard for the bAsic model. the new

modd Ilhall be conRid(~rell certified.

MtJdl~IR which lire discontinued shall be

rt~portt)d in the next unnulllreplll'1.

(d) Muinienance ofrecords. (1) The

manuftlcturer of HIlY covered product

flllbjecl to ilny of the energy

ptlrformuncll standards or procedures

prescribed in this part, shall establish.

mllintnin. Hnd retain the records of the

und~:!lying test data for all certification

testing. Such records shull be organized

and indexed in 6 fashion which makes

them readily accessible for review. The

records should indude the supporting

tPost dola associated with tests

performed on any test units to satisfy

the fllljuimml!l1ts of this subpart (except

lests perfdrmed by DOE directly).

(2) All such records shull be retuined

by the manufacturer for a period of two

years from the dute that productionof

the applicable model has ceased.

Records shall be retained in u form

allowing ready access to DOE upon

requcllt.

(e) Third party mpresl'lIllllivJ1. If a

manufacturer or private labeler elects to

use u third purty. e.g.. trade association

or other authorized representative, to

submit the certification report, the

cl'rtification report shall include llll the

infl)l'nliltion idPontjfied in paragraph (a)

PrOducts Dale
 CAS-RM-78-110 COMMENT 12

1126 Federal Register I Vol. 53. No. 43 I Friday. March 4, 1988 I Proposed Rules

product if (a) such covered product is

manufactured. sold. or held for Bale for

export from the United States (or such

product WUll imported for export), unless

such product is. in fact. distributed in

commerce for use in the United States,

and (b) such covercd product. whcn

distributed in commerce. or any

containcr in which it is enclosed when

so distributed. bcars a stamp or label

stating that such covered product is

intended for export.

§ 430.70 Enforcement

(ll)l'erforlllf1nCe standard.-(l) Test

notire. Upon receiving information

concerning the energy performance of a

particular covered product sold by a

particular manufacturer or private

Idwlcr which indicates that the covered

product may not be in compliance with

till' applicable energy performance

standard. the Secretary may conduct

testing of that co\'cred product under

this subpart by means of a test notice

addressed to the manufacturer in

Ilccordance with the following

requirements:

(i) Such a procedure will only be

followed after the Secretary or his

dl~signatcd representative has examined

til(' underlying test data provided by the

manufacturer and uftcr thc

manufacturer has been offered the

opportunity to verify the compliance

. v,ith the applicable performance

standard. A wpresentative designated

by the Sccrptary shall be permitted to

()b!wr\'(~ IIDy reverification procedures

by this subpart. and to inspect the

results of such revcrification.

Iii) The kst notice will be si~ned by

the Secretary or his designee. The test

notice ..... ill be mailed or delivered bv

DOE to the plant managcr or other'

I'l'sponsihle officiu], as designated by the

manufacturer.

(iii) The test notice will specify the

nwdl'1 or IHlsic model to be sr!f'cted for

testing, till' method of sel{~ctin~ the test

sample. the time lit which testing shall

be initiall~d. the (Iutl' by which testing is

sclwduh'd to be completed and thl!

radii Iy lit which tcstinl'l will be

ClllHlllcll'd. Th(! ll>st notice mav also

1.!'O\'id.! fIJI' silliatiOll1i in whid; tlw

t>"'l'clt'd bllsic nwdl'l is unavllilllhie for

tl'sting. lind may ind\ld(~ ulternuti\'l'

bash: mudds.

(iv) The Secretary mllY require in the

lest notice thllt the manufacturer of H

cO\'('red product shall ship lit his

("pense a wasonllble number of units of

H basic model llpecified in such test

not icc to a testing Illboflilory designllted

by the SeGf'(!tllry. Tht! number of units of

Ii basic Illodellllwcified in n test notice

shall not l',cet!d twenty (20).

. (v) Within 5 working days ofthe trm:e ...

units are selected. the manufacturer

shall ship the specified test units of a

basic model to the testing laboratory.

(2) Testing laboratory. Whenever

DOE 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 DOE to

make a determination of compliance'or

noncompliance if a sufficient number of

tests have been conducted to satisfy the

requirements of Appendix B of this

subpart.

(3) Sampling. The determination that a

manufacturer's basic model complies

with the applicable energy performance

standard shall be based on the testing

conducted in accordance with the

statistical sampling procedures set forth

in Appendix B of this subpart an~ the

tcst procedures set forth in Subpart B of

this Part.

(4) Test unit selection. A DOE

inspector shall select a batch. a batch

sample. lind test units from the batch

sample in accordance with the

provisions of this paragraph and the

conditions specified in the test notice.

(i) The batch may be subdivided by

DOE utilizing criteria specified in the

test notice. e.g.. date of manufacture.

component-supplier, location of

manufacturing facility. or other criteria

which may differentiate one unit from

another within a basis model.

(ii) A butch sample of up to 20 units

will then be randomly selected from one

or more subdivided groups within the

batch. The manufacturer shall keep on

hand all units in the butch sample until

such time as the basic model is

determined to bc in compliance or

noncompliance.

(iii) Individual test units comprising

the test sample shall be randomly

sf'h~cted from the batch !lample.

(iv) All random selection shall be

Ii(;hil'v(~d 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.

(5) Test unit pmparatio/l.

(i) Prior to lind during testing. a test

unit selected in accordance with

paragraph (a)(4) of this section of this

section shall not be prepHred, modified.

or adjusted in any manner unless such

preparation. modification. or adjustment

is allowed by the IIpplicable DOE test

procedure. One test shall be conducted

for each test unit in accordance with the

flpplicahle test procedures prescribed in

Subpart D.

(ii) No qUlility control. testing or

IIs!wmbly procedures shall be performed

on a tl'sl unit, or lIny parts and

subassemblies thereof. that is not

performed during the production and

assembly of all other units included in

the basic model. .

(6) Testing at manufacturer's option.

(i) If a manufacturer's basic model is

determined to be in noncompliance with

the applicable energy performance

standard at the conclusion of DOE

testing in accordance with the double

sampling plan specified in Appendix B

of this subpart, the manufacturer may

rcquest that DOE conduct additional

testing of the model according to

procedures set forth in Appendix B of

this subpart.

(ii) All units tested under paragraph

(a)(6) of this section shall be selected

and tested in accordance with the

provisions given in paragraphs (a) (1)

through (5) of this section.

(iii) The manufacturer shall bear the

cost of all testing conducted under

paragraph (a)(6) of this section.

(iv) The manufacturer shall cease

distribution of the basic model being

tested under the provisions of paragraph

(a)(6) of this section from the time t~e

manufacturer elects to exercise the

option provided in this paragraph until

the basic model is determined to be in

compliance. DOE may seek civil

penalties for all units distributed during

such period.

(v) If the additional testing results in

a determination of compliance. a notice

of allowance to resume distribution

shall be issued by the Department.

(b) Design standard. In the case of a

design standard a model is determined

noncompliant by DOE after the

Secretary or his designated

representative has examined the

underlying design information provided

by the manufacturer and after the

manufacturer has been offered the

opportunity to verify compliance with

the applicable design standard.

§ 430.71 Cessation of distribution of 8

basic model.

(a) In the event that a model is

determined noncompliant by DOE in

accordance with § 430.70 or if a

manufacturer or private labeler

determincs a model to be in

noncompliance. then the manufacturer

or private labeler shall:

(1) Immediately cease distribution in

commerce of the basic model;

(2) Give immediate written

notification of the determination of

noncompliance. to fill persons to whom

the manufacturer has distributed units

of the basic model manufactured since

the date of the last determination of

compliance.
 CAS-RM-78-110 COMMENT 12

Federal Register I Vol. 53. No. 43 I Friday, March 4. 1988 I Proposed Rules 7127

P) Pursuant to fl reqnest madl! by the

S.·r.retary. provide DOE within 30 days

of tIll' rp.qup.sl, rf'cords. reports and othp.r

documentation pertaining to the

lI(:quisiliun, ordering, Btorage. shipment.

or sale of II bllSir. model determined to

be in noncompliance.

(4) The manufar.lurer may modify the

noncomplaint busic model in such

manner us to make it comply with thl~

applicable performance stundard. Such

modified basic model shull then be

tn!all!d as a new basic modelund must

bl! CI'1't ifil,d in accon!<.llIce with the

pro\'isions of this subpart: except tl1<lt in

,lddillOn satisfying all requirements of

this subpart. tlw manufacturer shall also

maintain n!cords that demonstrute that

modifications have Imen madp. to all

llI1it,o; of the nl!W basic modld prior to

distribution in commp.rce.

(bjlf a [);Isic mmlt·l is not properly

cf·rtifll'd in accordancl~ with the

1'l''luirl'llll'nts of this subpart. the

Sf!Cretary may fwek, umong other

n'nll'di ..s. injunctivI' action to prohibit

distribution in cOl1lnwrC(~ of fweh basic

Illod..!.

§ 430.72 Subpoena.

Pursuant to sl,diol1 32!l(a) of the Act.

for purpOSf,S of carrying out this Part.

thc SI~crpt,lry or the Secretary's

dl'~ignt'(·. milY sign und issue subpuenas

fol' tIll! atllmdill1ce and testimony of

witIW~SI'S and the production of relevant

boob. rt~':ords, papers, lind other

docunwnts, and administf!r the oaths.

Witness(!s summoned under the

provisions of this section shall be paid

thl' saml' fl,I,5 and milellge as are paid to

witnf'5s(~s in the courts of the United

'Statf's. In case of contumllcy by, or

l'pfuH,t1 to obey a subpoena served. upon

any persons subject to this Purt. the

SI!cretary nwy seek an ordnr from the

District Court of the United Stutes for

allY District in whkh such person iR

found or residl!H or tranSi.lcts business

rl'quiring such person to appear and give

tl,slill1ony. or to appear Hnd produce

documents. 'Failure to obey such order is

punishable by fluch court liS 11 contempt

thewof.

§ 430.73 Rem&dles.

If DOE determines thllt fl baBic model

of II covered product does not comply

with Iln applicable energy conservation

standurd:

(ll) DOE will notify the manufur.turer,

private labell!r or any other person as

required. of this finding and of the

S(~crt~tilry's intent to serk a judicial

ordcr rt!fltraining further distribution in

comnwl'ce of such basic modd unless

the munufacturer, private labeler or any

other person 8B required. deliverR to

DOE within 15 calendar daYB a

statement. satisfactory to DOE, of the

steps he will take to insure that the

noncompliant model will no longer be

distributed in commerce. DOE will

monitor the Implementation of such

statement.

(b) If the manufacturer. private labeler

or any other person as required. fails to

stop distribution of the noncompliant

model. the Secretary may seek to

restrain such violation in accordance

with section 334 of the Act.

(c) The Sl'cretary shall determine

whether the fads of the case warrant

the assessment of civil penalties for

knowing violations in accordiwce with

sl~ction 333 of the Act. '

§ 430.74 Hearings and Appeats.

(a) Pursuant to section 333[d) of, the

Act. bdore issuing an order assessing a

civil penalty against any person under

this section. the Secretary shall provide

to such person notiGe of the proposed

penalty. Such notice shall inform such

person of that person's opportunity to

eh~cl in writing within 30 days after the

date of receipt of sllch notice to have the

procedures of paragraph (c) of this

section (in lieu of those paragraph (b) of

this section) apply with respect to such

assessment.

(b](l) Unless an election is made

within 30 culendar days after receipt of

notice under paragraph (a) of this

section to have paragraph (c) of this

section apply with respect to such

penalty. the Secretary shall assess the

penalty, by order after a determination

of violation has been made on the

record after an opportunity for an

agency hearing pursuant to sectiol') 554

of Tille 5, United States Code. before an

administrative law judge appointed

under section 3105 of such Title 5. Such

assessment order shall include the

administrative law judge's finding~ and

the basis for such assessment.

"(2) Any person against whom a

penalty is assessed under this section

muy. within 50 calendar days the date of

the order of the Secretary assessing

such penalty, institute an action in the

United StateB Court of Appeals for the

appropriate judicial circuit for judicial

review of Buch order in ar.cordance with

Chapter 7 of Title 5, United States Code.

The court shall have jurisdiction to ehter

a judgment affirming. modifying. or

Betting aside in whole or in part, the

order of the Secretary, or the court may

remand the proceeding to the Secretary

for such further action as the court may

direct.

(c](l) In the clise of lIny civil penalty

with respect to which the procedures of

this section have been elected. the

Secretary Bhall promptly assess such

penalty. by order, after the date of the

receipt of the notice under paragraph (aJ

of this section of the proposed penalty.

(2) If the civil penalty has not been

paid within 60 calendar days after the

assessment has been made under

paragraph (c)(lJ of this section, the

Secretary shall institute an action in the

appropriate District Court of the United

States for an order affirming the

assessment of the civil penalty. The

court shall have authority to review de

novo the law and the facts involved and

shall have jurisdiction to enter a

judgment enforcing. modifying, and

enforcing as so modified, or setting

aside in whole or in part. such

assessment.

(3) Any election to have this

paragraph apply may not bl' revoked

except with the consent of the Secretary,

(d) If any person fails to pay an

assessment of a civil penalty after it has

become a final and unappealable oruer

under paragraph (b) of this section, or

after the appropriate District Court haB

entered final judgment in favor of the

Secretary under paragraph (G) of this

section, the Secretary shall institute an

action to recover the amount of such

penalty in any appropriate District Court

of the United States. In such action. the

validity and appropriateness of such

fiml! assessment order or judgment shiill

not be subject to review.

(e)(l) In accordance with the

provisions of section 333(d)(5)(A) of the

Act and notwithstanding the provisions

of title 28. United States Code. or section

502(c) of the Department of Energy

Organization Act, the Secretary shall be

represented by the General Counsel of

the Department of Energy (or any

attorney or attorneys within DOE

designated by the Secretary) who shall

supervise. conduct, and argue civil

litigation to which paragraph (c) of this

section applies including any related

collection action under paragraph (d) of

this section in a court of the United

States or in any other court, except the

Supreme Court of the United States.

However. the Secretary or the General

Counsel shall consult with the Attorney

General concerning such litigation and'

the Attorney General shall provide. on

request, such assistance in the conduct

of such litigation as may be appropriate.

(2) In accordance with the provisions

of section 333(d)(5)(B) of the Act. and

subject to the provisions of section

502(c) of the Department of Energy

Organization Act, the Secretary shall be

represented by the Attorney General, or

the Solicitor General. as appropriate, in

actions under this section, except to the

extent provided in paragraph (e)(l) of

this section.
 CAS-RM-78-110 COMMENT 12

7128 Foderal Register / Vol. 53. No. 43 I Friday. March 4. 1988 I Proposed Rules

(3)

where it Is a statislic based on a 95 percent

two-tuiled probltbility level and a slimpIe size

ofnt.

Slep 4. Compute the standard error (S-.,) of

the measured energy performance of the n,

units in the first sample as follows:

)

2

• n 1 (6a) (

t 51

-~0.05 EPS

where s, 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

til ken as the lower controllimil. This

procedure yields a sufficient combined

sample size (n, + 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"" is less than or equal to

zero and If the mean energy efficiency of the

first sample (x.) is either equal to or greater

than the lower control limit (LCLd or equal to

or greater than 95 percent of the applicable

energy efficiency standard (EES), whichever

is !lrealer. i.e.. if n2 <0 and x, > max (LCL,

0.95 EES). the basic model is in compliance

and testing is at an end.

Slep 60. For an Energy Efficiency Standard.

compare the mean of the first sample (xd

with the upper and lower control limits (VCL,

and LCL,)to determine one of the following:

{i) If the mcan 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.)

(ii)1f 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.)

(iii) 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 7a.

SIp.p 6b, For an Energy Consumption

Standard. compare the mean of the first

sample (x,) with the upper and lower control

limits (VCL.) and LCL.) to determine one of

the following:

(i) 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,)

(ii) 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.) .

(iii) 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 7b.

Slep 7a. For an Energy Efficiency Standard.

determine the second sample size (n.) as

follows:

(1)

(4)

+ t5· . (5) Xl

EPS

EPS

n l

L (Xl - 2 Xl) (2) 8 1 - 1-1

n l - I

erR "Hrt 4:10. the individual (manufaclurer)

authorizing third purly representations:

Signilture: -------------

Namp:---------------

Address:

Tell!phone No.:---------

Appendix B to Subparl r of ParI 430-

Sampling Plan for Enforcement Testing

Double Sampling

Step 1. The first sample size (n,) must be

four or more units.

Step 2. Compute the mean (x.) of the..

nWilsured energy performance of Ihc n, units

in the first slImple as follows:

whc!re X, iR the measured energy effiCiency or

energy consumption of unit i.

St(!P 3. Compute the standard deviation (sd

of the measured energy performance of the n,

units in Ihe first sample as follows:

81/'1' 5. Compute the upper control limit

(VCLd lind lower controllimil (LCLd for the

mp.lln of the first sUlaple usin/llhe applicable

DOE e1wrllY pmformllnce standard (EPS) as

the dasired mean and a probability level of 95

percent (two-tailed tesl) as follows.

§ 430.75 Confidentiality.

Pursuunt to the provisions of 10 CPR

1004.11, any person submitting

information or dl:lta which the person

believes to be confidential and exempt

law from public disclMure should

submit one complete copy. and fifteen

copies from whic.h the information

bl:lie\'cd to I)(~ confidential has been

delf'ted. In I:lccorclam;e with the

procedures established Htl0 CFR

1004.11. DOE shall make its own

detprmination with regard to any claim

that information submitted be exempt

frortl public disclosure.

Appnndix A to Subpart r of Part 43{)-

Compliance Statement

10MB Control No, l!ll()....HOOj

Stlllt'mPllt of Corr.pliunce with Energy

Consen'lltion Std'ndllrds for Applillfll:es.

Product:--------------

Mode! Nos.: ------------

MUllufllctur"r's Nilme IIlld Address,

(3)ln accordance with the provisions

of section :l:l3(cl)(5)(C) of the Act. section

402(d) of Ihe Department of Energy

Organization Act shall not apply with

wspect to the functIon of the Secretary

under this section.

Dille:

.<";ubl/lil by C/'rlified Mail 10: Depllrtment of

Lucq.:y. Appliunce Efficiency Stllndllrds.

Assislllnt Secrl'tury for ConRervlltion and

Henl'VI'dble EnNgy, Forrestlll Building. 1000

Indl'l'l'ndl'nce A\'cnue SW.. Wlishington. DC

20585.

Thi~ report is submitted pursullnt to Purt

4:10 (Ent'r!(y Conservation Program for

Consuou'r Products) of the Energy Policy and

Conservation Act (Pub, L. 94-163. lind

HfTH:ndnwnls therelo. The busic modl'l(s)

indue!l·d in this report complies (comply)

with tlH' applicllhle energy conllervlltion

stH/Hlllrd. Allleslinll were appropriutc. on

which thill cf'rlificalioo wport is buscd. wus

condllclt·d in conformance with the

applicable It'st fI'quiremenls prescribed in

Subparl IJ of 10 CFH Pllrt 4:10. All information

rt'porli·d in this certificatiun report is true.

W:Cllratp, and complete', Illm !lWIlTe of the

pt'nliltil'S aSHot:lall!d with violations of thn

Act and thl! rellulutlons thereunder. lind urn

IIlso lIwurC' of the provisions containl!d in 16

LJ.S.c. 1001, which prohibits knowingly

milking fulse stlltenwnts to the Federlll

em·l·fIlml!nl.

NlIllle of Person to Contnct for Further

Information:

Name:---------------

Addrt'6H:

Tf'lephone No.:-----------

If tlw model specific information

lIccompunyinll this statl~m(mt of compliance

WUH pwpllred by 8 third pllrty OIWtnizution

IIIlller the provisions of Seclion 430.62 of 10
 CAS-RM-78-110 COMMENT 12

Federal Register I Vol. 53, No, 43 I Friday. March 4, 1988 I Proposed Rules 7129 7SMt' mnrw •

Step 9. Compute the standard error (s-x.) of

the measured enel1lY performance of the nl

Hnd n, units in the comhinl'd first and second

samples as follows:

where 6, arid t have the values used in Steps

4 lind 5. respectively. The term "0.05 EPS" is

the difference betwl,en the applicable energy

consumption standard and 105 percent of the

slandard, where 105 percent of the stllndard

is taken as the upper controllimil. This

procedure yields II sufficient combined

sample size (n, + n,) to give an estimated

Noto: 5, is th,' value obtailll!d In Step 3.

Step lOa. For un Energy Efficiency

Stundard, <:ompult! thl! lowlJr control limit

(Lek) for the melln of the combined first and

RI~cond samples IIslnR the DOE enel1lY

efficiency stancillI'd (EES) us the desired

mean and a one·tailed probability level of

97.5 percent (equivalent to the two-tailed

probebility level of 95 percent used in Step 5.

ubove) 115 follows:

melln (x,) to the lower control limit (LCI..,,) 10

fine one of Ihe following:

(i) If the mean of the combined sample (x,)

is less than the lower control limit (LCk) or

95 percent of the applicable energy efficiency

standard (EES). whichever is greater, i.e.. if x,

< max{LCk, 0.95 EES), the basic model is in

noncompliance and testing is at an end.

(ii] If Ihe mean of the combined sample (x,)

is equal to or grealer than the lower control

limit (LCk) or 95 percent of the applicable

energy efficiency standard (EES). whichever

is greater. Le.. if x, > max(LCI..". 0.95 EES).

the basic model is in compliance and testing

is at an end.

Step llb. For an Energy Consumption

Standard. compare the combined samle mean

(x,) to the upper controllimil (UCk) to find

one of the following:

(i) If the mean of the combined sllmple (x,)

is greater than the upper control limit (UCL,)

or 105 percent of the applicable energy

efficiency slandard (EPS). whichever is less.

i.e., if x, min(UCk. 1.05 EPS), the basic mode!

is in noncompliance and testing is al an end.

{ii] If the mean of the combined sample (x.]

is equal to or less than the upper conlrol limit

(UCk) or 105 percent of the applicable

energy performance standard (EPS),

whichever is less, i.e.. if x, .;; min{UCk. 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. above. the

manufacturer may request that additional

testing be conducted. in accordllnce with the

following procedures.

Step A. The manufacturer requests that an

additional number, lb. of units be tested. with

l1:l chosen such that nl + n2 + l1:l does not

exceed 20.

Step B. Compute the mean energy

performance. standard error. and lower or

upper conlrollimit 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.l. 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.

0.2. For an Energy Consumption Standard,

if the new combined sample mean is equal to

or leBs than the upper control limit or 105

percent of the applicable energy consumption

standard. whichever is less. the basic model

is in compliance llnd testing is at an end.

b.1. For an Energy Efficiency Standllrd. 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 nl + n2

+ l1:l 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.

(7)

(9a)

(9b)

LCL2 - EES - t

UCL2 - EPS + t

97.5 percent probability of obtaining a

dctl,rminution of compliance when the true

mean consumption is equal of the applicable

standard.

Given the solution value of n,. determine

one of the following:

(1) If the value of n. is less than or equal to

zero ann if the mean energy consumption of

the first sllmple (x,) is either equal to or less

thHn the upper control limit {LCL,j or equal to

or less than 105 percent of the applicable

energy performance standard (EPS).

whichever is less, i.e.. if n, .:; 0 and Xl min

(UCLI , 1.05 EPS). the basic model is in

compliance and testing is at an end.

(2) If the value of n. is less than or equal to

zero and the mean energy consumption of the

first sample (Xl) is greater than the uppp.r

control limit (UCLd or more than 105 percent

of the applicable energy performance

standard (EPS). whichever is less. i.e.. if n• .:;

oand Xl > min (LCL,. 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 vHlue of n,for

equHtion (6). If the value of n2 50 calculated is

greater than 20- n,. set n, equal to 20- n,.

StPp 8. Compute the combined mean (ic" ) of

the measured energy performance of the n,

and n2 units of the combined first and second

sllmples US follows:

whorf' the t·stlllistic has the value obtained in

Step 5 above.

Step 110. For an Energy Efficiency

Standard. compare the combined sample

where the t·stlltistic has the value obtained in

Step 5 above.

Step 101>. For an Energy Consumption

Stllndllrd. compute the upper control limit

(lIel,,) for the mean of the combined first and

sl!contlHlImples using the 001·; energy

performancl# standard (EPS) as the desired

mean and a lme~tailed probability level of

102.5 pl!rcenl (equivalent to thl! two·tailed

probllbility level of 95 percent used in Step 5.

abOVI!}ll8 follow8:

(8)

(6b)

+

( )

2

t 51

- 0.05 EPS

1

(2) If the valut, of n, is less thun or equal to

zero and the mean energy efficiency of the

first sumpl" (x.) is less than the lower control

limit {LCLt} or less than 95 percent of the

applicable energy efficiency standard (EES),

whichever is grealer. i.e.. if n, < and x, < max (LCL" 0.95 EES), the basic model is in

noncompliance and testing is at an end,

(3) If the value of n. is greater than zero.

then thl! value of the second sumple size is

determined to be the smallest integer equIII to

or greater than thl' solution value of n. for

equation (6). If the vulue of lb 80 calculuted is

greater than 20- n,. set n. equal to 20- n,.

Step 7b. For on Energy Consumption

Standard. dl>termine the second sample size

(n,) us follows:

+

5 X

2
 CAS-RM-78-110 COMMENT 12

7130 Federal Register I Vol. 53. No. 43 I Friday, March 4. 1988 / Proposed Rules .. b.z. For un EI1l~r~y Consumption Stllndurd.

if the new combined sumple mean is greuter

than the upper control limit or 105 percent of

the llpplicable enerRY consumption standard.

whichever is less. and the value of n, + n, +

ll:, is less than 20, the manufacturer may

request that additional units be tested. The

totul of all units tested mllY not exceed 20.

Steps A. U, llnd C lirc then repealed.

c. Otherwise. the busic model is

determined to be in noncompliuncc,

IFR Doc. 1lU-4511 Filed 3-:Hl8: 8:45 IImI

BILLING COOE 6450-01-M