## 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 HearingDEPARTMENT Of ENERGY



### Office of Conservation and Renewable Energy



### 10CHI Part430
(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 ofEnergy.
ACTION: Notice ofproposed 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 ofconsumerproducts. 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 ofthese products.

. The Deparlment ofEnergy today is

proposing to amend Title 10. Part430 of 

### the Code 

### ofFederal Regulations to include procedures for petitions that m,ly be**mad\~** by States and manufacturers with regard to Federal preemption ofStale 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 ofthe standards. The Department also is proposing the following: to clarify the basis for caJculRting the heating seasonal performance factorenergy

conservation standard prescribed by the Energy Policy llnd Conservation Act. as amended. for central airconditioners 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 ofthis nolice ofproposed rulemaking is to provide interested
persons an opportunity to comment on the proposed rule. and to invite interested persons 10participate in the !'1.l!emaking process.**D~n!$:** Written comments on the proposedrule 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 receivedby the Department no later than 4:00p.m

.. April 8.1988: speakers willbe notifiedby 4:00
p.m

.. April 11, 1988.

Ten copies ofthe oral statement of each speaker must be submitted at**t~e** registration desk the day ofthe hearmg.

ADDRESSES: The hearing will begin at 9:30 a.m., on April 12, 1988, and will be held at the U.S. Department ofEnergy. Forrastal Building. Room lE-245, 1000 Independence Avenue. SW.• Washington. DC. The length ofeach 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 ofEnergy, Office ofConservation and Renewable Energy. Office ofHearings andDockets. Energy Conservation Program for ConsumerProducts, DocketNo. CASRM-78-110. Room 6B-025. Forrestal Building. 1000 Independence Avenue. SW., Washington, DC 20585, (202) 586- 9320.

Copies ofthe transcript ofthe**p~blic** hearing and public comments receIved may be read at the DOEFreedom of Information Reading Room, U.S. Department ofEnergy, Forrestal Building. Room lE-l90, 1000 Independence Avenue. SW., Washington. DC 20585. (202) 586-6020 between the hours of8:00 a.m. and 4:00
p.m

.. Monday through Friday, except Federal holidays.

For more information concerning publicparticipation in this rulemaking nroceeding. see section IV. "Pul;>1ic Comment Procedures," ofthis notice.
fOR FURTHER iNFORMATION CONTACT: Michael

## J. McCabe, U.S. Department of

Energy, Office ofConservation 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



### ofEnergy. Office ofGeneral Counsel, Forrestal Building, Mail Station, GC12.1000 Independence Avenue. SW., Wushington, DC 20585. (202) 586-9507 U.S. Department ofEnergy, 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 andEnforcement. d. PreemptionofState Regulations. IlL Environmental. Regulatory Impact. Regulatory FleXibility and Paperwork Reduction ActReviews

Regulatory Flexibility Reviews

a. Environmental Review. b. Regulatory Impact Review.

c. SmallEntity ImpactReview. d. PaperworkReduction Act Review. IV. Public CommentProcedures

8. ParticipationinRulemaking. b. Wrillen CommentProcedures.

c. PublicHearing.

I. Introduction



### a. Authority

PartB ofTitle 

### III ofthe 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 ConsumerProducts other than Automobiles. The consumer products subject to this program (often rel'erredto hereafter as "covered products") are: refrigerators. refrigerator-freezers and freezers; dishwashers: clothes dryers; water heaters; central airconditioners and central air conditioning heat pumps; furnaces; direct heating equipment; television sets; kitchenranges 

### and
ovens; clothes washers; room air conditioners; and pool heaters; as weI!

as any otherconsumerproduct classified by the Secretary ofEnergy. See section 322. To date. the Secretar;y has not so classified any additional products.

Under the Act. the program consists essentially ofthree parts: testing. labeling, and mandatory minimum
energy conservation standards. 

### The Department ofEnergy 

### (D9£ or

.. Department). in consultatlOn With 

### the National Bureau ofStandards. is required to amend orestablish 

### new test procedures as appropriate for each of the coveredproducts. Section 323. 

### The
purpose ofthe test procedures is to provide for test results that reflect the energy efficiency. energy use. or estimated annual operating costs of each ofthe covered products. Section 323(b)(3). A test procedure is nol required ifDOEdetermines 

### 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 manufacturermay 

### represEmt

I PartBofTitle III ofEPCA as amended by NECPA and NAECA. is referred 10 in this nOiicB**"~** the "Act

.. Part BofTitle III is codified at

..2U.S.c. 6291 et**B~q.** Part BofTitle III ofEPCA as amended by NECPA only, is referred to in this notice os NECPA.

### 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 ofcovered products for which test procedures have hpel1 prpscribed by DOE. Section 324(a). These rules are to require that each particular model ofa coveredproduct bear a lahelthat indicates its annllal openlling cost and the range of l'stimalcd annual operating costs for other**mod(~ls** 

### ofthat product. Section :e.;(c)( 1

### J. Disclosure ofestimated operating cost is not required under section 324 ifthe 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. waterheaters. 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 ofthe 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-yearperiod. 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 ofless than 45.000 Btu perhour llnd manufactured on or afterJanuary 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 

### ofconsumerproduct that. using certain criteria. DOE may classify 1:18 

### a covered product. Section 325(i). (lJ. and (m). Any new oramended standard is required to be designed 80 

### as 10 

### achieve the maximum improvementin 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 economicallyjustified. it


### must first solicit views and comments

on a proposed standard. Afterreviewing
comments on the proposal. DOE must tben determine that the benefits ofthe standard exceed its burden. based. 10 

### the greatest extent practicable. by considering:

(1) The economic impact ofthe standard on the manufacturers and on the consumers ofthe products subjectto 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 ofthe standard;

(3) The total projected amount of energy savings likely to result directly from the imposition ofthe standard;

(4) Any lessening ofthe utility orthe performance ofthe covered products likely to result from the impositionofthe standard;

(5J The impact ofany lessening of competition. determined in writing by the Attorney General. that is likely to result from the il'l:lposition ofthe standard;

(6) The need for National energy conservation; and

(7) Otherfactors the Secretary considers relevant. In addition. the Act specifies criteria for petitions to DOE in regard to amendments to standards. Section 325(k). Underthe 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 Departmentmust grant such a petition ifit determines that an amended standard willresult in

. significant conservation ofenergy. 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 orfive years, depending on theproduct. after publication ofthe final rule establishing

a standard. Furthermore. DOEmay 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 1990is the earliest date by which an amended standard could apply. DOEwill 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

orpart ofthe requirements ofan energy efficiency standard. This exemption may not extend beyond two years from the effective date ofany 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 wouldlikely result in a lessening ofcompetition.

Section 326 ofthe Act imposes requirements upon manufacturers to submit information orreports 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 ofcompliance and certification data to,DOE45 days before the effective date ofan applicable energy conservation standard. The Act also specifies that in determining information requirements. DOE consider existing sources ofinformation. including nationally recognized trade association certification programs. Section 326(d).

Enforcement-related provisions ofthe Act provide for: (1) DOE to prescribe rules requiring manufacturers to allow the Department to observe testing and inspect results oftesting conducted by the manufacturer [section 326(b)(5)J; (2) manufacturers to supply to DOE a reasonable number ofproducts for testing purposes {section 326(bJ(3)]; (3) manufacturers to submitinformation or reports necessary to ensure compliance (section 326(d)); and (4) injunctive relief against any prohibited act. including distribution ofnoncomplying products (section 334J.

Section 327 ofthe Act addresses the effect ofFederal rules concerning testing. labeling. and standards on State laws orregulations concerning such
matters. Generally. all such State laws

orregulations 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 ineffect until the applicable standard begins {section 327(b)(1)J; (2) state procurement

### 7112



# -- 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. ifcertain criteria lIrc met, the codes are exempt from Federal preemption lsection 327(b)(3) and (£)(1) 

### through (f)(4); 

### State regulations banning constantburning pilot lights in pool heaters are exempt from Federal preemption; and State standards for television sets effective on
or afterJanuary 1. 1992. may remain in effect in the absence of

### a Federal standard for such product (section 327(b1l6) and 327(c)l.

Anotherexception to Federal preemption concerns standards for refrigerators. refrigerator-freezers and freezers. The Act specifies that ifDOE does not publish 

### a final rule before January 1, 1990. relBting to the revision ofFederal standards for this product category. Ihe standards for these products that have been promulgated by the State ofCalifornia. 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 orafterJanuary 1,1990. 

### Section 325{b)(3)(A)(ii)(l) and section 327(c).



### In addition. ifDOE does nol publish 

### a final rule before January 1. 

### 1992. relating 10 

### Ihe revision ofstandards for refrigerators. refrigerator-freezers and freezers, lIoy 

### Stute regulation which applies to 

### such products manufactured



### on or 

### afterJanuary 

### 1. 1995. is exempt from 

### Federal pl'cemption 

### until the effeclive date ofa 

### 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 ifit 

### is established that such State regulation will significantly burden m3rkeling, manufActuring. distribution. sale or servicing ofthe covered products. oris likely to rt!BUlt 

### in thH un8vaHability in the StBte ofany covered product with performance characteristics that are substantially the lI·arne 

### lllllihose generally available in the State at the lime ofDOE'til delormina!ion. Section 327(d)(4).

The Act further provides that, except undercertain energy emcI·sency conditions, lIny Stateregulation for which exemption Is

### granted shall apply to products manufactured three years afterDOEpublishes such a rule In the Federal Register, orfive years after publication. ifDOE finds that additional time is necessary forretooling and redesign. Section 327(d)(5).


### b. Background

NECPA required DOE to establish mandatory energy efficiency standards for each of13 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

### ifDOEdetermined by rule either that a standard would not result in significant conservation ofenergy, or that a standard was not technologically feasible oreconomicallyjustified. In determining whether a standard was economicallyjustified, the Department

was directed to determine whether the benefits ofthe 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 ofthe 13 coveredproducts were given priority. These nine products were: refrigerators and refrigerator-freezers. freezers. clothes dryer. waterheaters. 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 

### FR43976. (Hereafter referred to as the June 1980proposal). 

### It 

### also proposed comprehensive I 

### requirements for certification and enforcement ofthe standards as well as criteria and procedures forpetitions from IImall businesses seeking temporary exemption from standards and by States seeking exemption for regulations subject to the general preemption requirements ofNECPA,

On April 2, 1982, DOE published a further notice ofproposed rulemaking with respect to the nine priority products. 47 FR 14424. (Hereafter referred to as the April 1982proposal). Among otherthings. the April 1982 proposal included rules governing petitions to DOE both by States to obtain exemption from preemption of State orlocal energy efficiency

• The consumerproducts covered by NECPA Included: refrigerators Bndrefrigerator-freezers: freezers: dishwashers; clothes dryers; waterheaters:

room airconditloners; home healing equipmentnot Includingfurnaces: television sets; kitchen ranges and ovens: clothes washers; humidifiers and dehumidifiers: central airconditioners; and furnaces. 

### standards. aswell as by manufacturers
to obtain preemption ofStale orlocal standards.

On December22. 1982. DOEpublished

a final rule that efficiency standards

were not warranted for two covered products (clothes dryers andkitchen
ranges and ovens) and that also prescribed final procedures by which States might obtain exemption for State

orlocal efficiency standards from Federal preemption. and by which manufacturers might obtain preemption ofa State orlocal standard not otherwise preempted. 47 FR 

### 57198. (Hereafterreferred to as the December 1982final 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 airconditioners. 48 FR 39376. (Hereafterreferred to as the August 1983 final rule). Foreach ofthe six products coveredby the August 19113 

### final rule. exceptcentral air conditioners. DOEdetermined that 

### aI, energy efficiency standard 

### would not result in significantconservation of
energy and would notbe economically justified. With respect to central air conditioners. DOEfound 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. (Hereafterreferred to 

### as the 1985 

### proposal). Foreach ofthe fourproduct!! covered by the 1985 proposal, DOE proposed that an energy efficiency standard would notbe economically justified andwould not result in 

### a

. significant conservation ofenergy.

During 1983.DOE's December 1982. 

### and August 1983 final rules were challenged in a lawsuitbrought by**~he** 

### Natural Resources Defense Council (NRDC) and others against the Department. On July 16. 1985. the

# u.s. Court ofAppeals for the District of Columbia Circuit set aside DOE's December 1982 and August 1983 final rules. 

### NRDCv. 

### Herringtoll. 768 F.2d :!351j 

### (D.C. Cir. 1985).

Consequenlly. on March 5. 1936, DOE published notices in the Federal**Regis~e[** 

### removing the December1982 and 

### AuguSI 1983 final rules and withdrawing the 1985proposal. 51 FR7549 and 51 

## rn 7582.

.

### 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 ventilationairis admitted through grills

orducts from the outdoors and does not communicate with the airin 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 systemvalues.

Within the definition of"heat pump:' the Actincludes an undefined term, packaged terminal heat pump. whereas. the term "packaged terminal air conditioner" found in the definition of central airconditioneris defined in section430.2. The Act identifies both packaged terminal heat pumps and packaged terminal air conditioners as air conditioning products excluded from the standards program. Therefore. in orderto clarify this exclusion with respect to packaged terminal heat pumps, DOE is proposing a definition for 

### this productbased upon the definition of packaged terminal air conditioner found in section430.2.

The Actestablishes standards for 11 types ofappliances. 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 includedin a final rule as follows:

.



### Section 430.32FederalEnergy Conserl'ation Standards.

The energy conservation standards for the covered productclasses are: 

### (a) Refrigerators/refrigerator-freezers.! freezers. H. Discussion



### a. 

### GmwralProvisions

The NAECA amendments to NECPA included several definitions ofterms which also are defined in 10CFRPart 430. However, some ofthe definitions contained in the Act are inconsistent with those adopted by DOEregulation. Therefore. DOE intends to amend 10 

### CFR Part430 by adopting the definitions contained in the Act. Since these definitions are establishedby 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 ofenergy 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 ofsection 322(a) ofthe Act; IJnd includes any otherrequirements which the Secretary may prescribe under section 325(0) ofthe Act.

"Furnace" means a product which utilizes only single-phase electric current, or single-phase electric current

orDC current in conjunction with nntural gas. propane. orhome heating oil. and which-

(aJ Is designed to be the principal heating source for the living space ofa residence;

(b) Is not contained within the same cabinet with a central airconditioner whose rated cooling capacity is above 65.000 Btu perhour;

(c) Is an electric central furnace. electric boiler. forced-air central furnace. gravity central furnace. orlow pressure steam orhot waterboiler; and

(ti) 

### lias a heat input rate ofless than 300.000 Btu perhour for electric boilers Hnd low pressure steam orhot water boilers lind less than 225,000Btu per hour for forced-air central furnaces. gravity central furnaces. and electric central furnaces.

"WaleI' healer" means a product which utilizes oil. gas, orelectricity to heat potable waterfor use outside the heaterupon demand. Including-

(aJ Storage type units which heat and store waterlit a thermostatically controlled temperuture. including gas storage waleI' heaters with an input of 75.000 

### Btu perhour orless, all storage waterheaters with an Input of105.000 Btu perhour orless. and electric storage waterheaters with an input of12 kilowatts orless:

(b) 

### Instantaneous type units which heat waleI' but contain no more than one gallon ofwaterper4,000 Btu perhourof input. including gas instantaneous water heaters with an input of200.000Btu per hourorless. oil instantaneous water heaters with an Inputof210.000Btu per hourorless, and electric instantaneous

. waterheaters with an input of12 kilowatts orless; and

(c) Heat pump type units, with a maximum current rating of24 amperes at a voltage no greater than 250volts. which are products designed to transfer thermal energy from one temperature level to a highertemperature level for the purpose ofhealing water. including all ancillary equipment such as fans, storage tanks. pumps. orcontrols necessary for the device to perform its function.

Similarly, the NAECA amendments included lerms which are not found currentlv in 10CFR 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 descriptorfor 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 orducts from the outdoors and does not communicate with airin 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 waterin swimming pools, spas. hot tubs and similiar applicstions.

"Weatherized warm airfurnace or boiler" means a furnace orboiler designed for installation outdoors. approved forresistance 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 ofAppendix N to Subpart BofPart430. Because the·
current provisions for determining AFUE

are not consistent with the legislated definition. DOE is today proposing amendments to section 4.6 ofAppendix Nwhich 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

### 7114 Federal Register! Vol. 53. 

### No. 43 

# I Friday. March 4. 1988 

# I Proposed Rules

;:a1

{d} 

### Wolerhealers.

Prod'Jcl class Energy Illl(;tOl' Jan. 1. 1900 ---t-- {I:} 

### Cel/tral

### airconditioners andcentml airconditioning heatpumps. AV= Tolal adjusted 

### volume. expressed in 1"1.3 {h} Room 

### airconditions. (j)

### Kitchen rangesandovens. Gas kitchen ranges and ovens wHh 

### an 

### electrical supply cord shall notbe equipped with a constantburningpilot,

The standardis effective on January 1. 1990. 

### (k)Poolheaters.

The thermalefficiencyofpool heaters
mustbe no less than 78%.



### The standard is effective 

### onJanuary 1, 1990. 

### (l) Television sets. (Reserved]

In addition:DOEis today proposing the following: to amend Subpart C

### I)f Part430 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 section430.33; and to delete section 430.34. Section430.34, effective data, is proposed to be deleted because the effective date ofa standard, 88 

### establishedby 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 standardfor the heating mode ofa heat pump. Section325(d)(2) (A) and (B), The adoption ofthe HSPFenergy conservation standardrequires clarification as (0 

### the**basi~** 

### ofthe calculation. SubpartBofsection 430.22(5)(ii) ofDOE's regulations identifies the heating seasonal performance factors for air !Iourel; 

### he@1 pumps as the HSPF. inBtu's per watthour. determined according to section 5.2 ofAppendix M to Subpart Bfor 

### eRch applicable standardized design heati;,g requirement within each climaticregion. This would provide approximately 30 separate values ofHSPF for each The Act provides only one value and does not specifywhich region and design heating requirement are to be th,,, basis ofthe single number HSPFenergy conservation standard.

The Department has reviewed the requirements ofthe Act and believes that the HSPFprovided is based em Region IV and the standardized design heating requirement nearest the capacity measured in the high temperature (47 OF) 

### testForthis reason, DOE proposes to include this as**Par~** 

### of the definition ofHSPFin section 1.15 

### of Appendix M to SubpartB. Title 10

### ofthe Code ofFederal 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 Iloorover 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 mustbe 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 waterrinse option.

The standard was effective on January 1, 1988. 

### (h) Clothesdryers.

Constant burning pilot lights ingas clothes dryers are prohibited.

The standard was effective on january 1, 1988.
(i)

### Directheatingequipment. {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.

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

substantial testing and ff'110f'linQ requirements manufacturers the time ofcertification. These cel:tific21!iC)TI re(:juirelnents were authorized under sections 326 and 328 ofNECPA, in which the Department was allowed to 1t"-iy"t:. any information deemed to

### as~ertain compliance a standard. Considerable analysis, including analysis ofvarious 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 ofnot 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 ofensuring compliance. the June 1980proposal included provisions to require manufacturer retention ofcertification
test units and test data. The proposal also would have required manufacturer submission ofinformation 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 ofthese concerns and DOE's revision is included in Section F ofthe technical document entitled "Consumer Vrrlrillrls Et!tlCJlency

Document." 1982, This document is available from DOE's Freedom ofInformation Room,
at the address provided at the be,gin.nir1g ofthis notice. This document that, as a result ofthe suibstanti\i'e issues raised DOE reduced its on the certification requirements. Specifically, DOE's revised position that certification testing in excess ofwhat 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 ofthis 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 ofNEPCA. In addition to stringent enforcement remedies, the purpose ofthis 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 data only for the the application.

In addition, the extensive on design capabilities ofa 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 ofcompetition; and (3) any other information the applicant considers relevant or the Department
may require.

Pursuant to section ofthe Act. DOE must obtain the written views ofthe 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 interested 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 ofpool heaters

ilS a covered product, DOE is proposing
to include test procedures and sampling requirements for this Due to the sinliltlrltles in heaters

### 7116**f~deral** 

### Register 

## I Vol. 53, No. 43 

## I Friday. March 4. 

### 1988 

## I Proposed Rules**~. :~m'W'll'**  

### "

.... !l!IDUQilG mnw;



### ofcertification leet units should be deleted.

Although DOEhad already stated its support ofreducing Significantly the burden ofcertification procedures, tbe Act amended sections 325 

### and 326

### to provide dearguidance to the Department conceming such reqUirements. Specifically. three amendments were Included for the Bole
puposes ofreducing 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 prescIibed 

### under section 323. 

### (Such test procedures 

### and corresponding compliance criteria prescribed by DOE uppear in the Code ofFederal Regulations at Title 10 

### Part430. 

### 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 

### oftrade 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 

### ofcOllered products. DOE believes today's proposal complies with the certification amendments ofthe 

### Act

DOE is today proposing Ii 

### Certification and Enforcement program 

### that reflects 

### both the guidance ofthe I\CI. 

### and 

### the recommendatiOll!l received in 

### response to thejune 19BOproposal. 

### 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 ofiil 

### design standard. no testing is 

### required). 

### Today'll notice 

### proposes that for the purpose ofa certification ofcompliance.**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. 

### ifuny. 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, DOEbi;lieves that for these products. no additional testing, other than thatperformed forlabeling and representations, will be required by DOE's certification role 

### as proposed today.

(2) 

### A compliance statement and certification report are to bereceived priorto the effectivedate ofan energy conservation standard and priorto the introduction

### ofa new model thereafter. The information submission includes a compliance statementfor all products and a certificationreport formodelspecific energy performanceinformation for those products which have an energy performance standard. Formodels covered by a FTC labeling program. the model-specific information is similarto that required by FTC for the labeling
program.

Forthe following products: room air conditioners. central airconditioners and furnaces. the information proposed In today's notice is identical to that required by FTC. Accordingly, DOE would consider submittal ofa copy of the FTC report as meeting the information requirements oftoday's proposal.

Forthe following products: refrigerators. refrigerator-freezers and freezers and waterheaters (two FTC. labeled products). NAECA bases its 

### determination ofcompliance 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 informationis not sufficient to demonstrate compliance with NAECA. Forthese products, the Departmentexpects that manufacturers and private labelers ortheir representatives will include intheir 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 behalfofwaterheater manufacturers already**includ~s** 

### both annUAl cost ofoperation. the FTC requirement, and energy factor, the DOE standard value. Manufacturers should provide this information in addition to the FTC reports, and DOEcon'siders this combined information all meeting the requirements 

### oftoday's proposal.

Forthe following products: clothes washers, clothes dryers and kitchen ranges and ovens. NAECA prescribes 8 

### design IItandard. Accordingly. only 8 

### stal€mentofcompliance 

### is necessary;
no product specificinform.ation is 

### required. Forthe following products: direct heating equipment and pool**h~aters.** 

### products not required by FTC to be 

### labeledbutfor whichNAECA**reqlJ~res** 

### an energy performance standard. today's proposal requires. in addition to the compliance statement. product specific information ofAFUE

### and thermal efficiency, respectively.

(3) 

### Distributionill allowed 

### ofall hmely 

### certified compliantbasic models.

(4) 

### Upon receipt ofcredible and substantiatedinformation concerning possible non-compliance. the Department

### will issue a test notice initiating enforcementprocedures.

(5) 

### DOEwill conducttesting to 

### allow for a statistically valid determination 

### of compliance/noncompliance. The sampling plan proposed for enforcemen1 testing is shownin Appendix A \0 

### subpartF oftoday's proposal. This samplingplanprovides for testing a minimum of4

### 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 ofa manufacturerbeing found

. incorrectly in noncompliance. DOEhad originally proposed a sampling plan for enforcement testing as part ofthe

## IUD"
1980

### proposed rule. Today's proposal reflects the comments received on 

### thgl proposal. The revisions. including sample size. lowercontrol limit and manufacturer optional testing eliminaIe.; 

### almost any likelihood oferrorin determining manufacturer compliance. The proposed sampling plan for 

### enforcement testing is a "double batch' 

### sampling system. "Double batch" samplingis

### 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 ofthree 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 curtailedand the model is judged to 

### bein noncompliance. 

### Third. fJ 

### sample mean, the results 

### ofwhich 

### 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 themaximum second

### Federal 

## I Vol. 53, No. 43 

### March 4, 

### 1988 / Rules 

## 7117

sample size to 

### be 18, for fl total sample size of20. DOE believes testing in

excess 

### of20 unit!> willnu! result in appreciahle inlJnnlsed accuracy regarding the compliance! noncompliance determination.

Bascd on lesting results including the second sample. one oftwo 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 aDove 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) 

### Ifcompliam;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) ofthe Acl thai provides that the Secretary may include IWyrequirement which he determines is necessary to assure that each covered product meels the required energy performance stundard. 

### See seclian 430.71(0)(1).

(7) 

### IfDOE's determination of noncompliance ill 

### hlll!lecl on fewer than 20 units, the manufacturermay provide,


### at its expense. additional test units to be included into the overall sumple, provided thllt the overall sample does
not include more than 20units. 

### Ii the Hddition"ltesting results in Ii compliance determination, an immediate notification is iilsued to allow dislribution.



### (al Ifdistribution 

### ofnoncompliant basic model continues, DOE 

### will Cleek II judicial 

### order restraining further distribution. 

### AltH>. at tnallime, the Department 

### will determine the extent, 

### if
any, 

### ofcivil penalties

. .'JeeSection 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 underrulcs 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 ofthe Act and civil penalties found in section 333 ofthe 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 ofthe Act, DOE is proposing
to adopt the legislated provisions regarding the Department's authority to subpoena information; the remedies available to the Department ifDOE d.Jtermines that a basic model does not comply with an applicable energy conservation standard; and manufacturers' orprivate ldbelers' right
to a henring and appeal ofan order issued by the Secretary.

(12) In accordance with section 328 of the Act, DOE

### is today proposing to adopt rules requiring 

### a manufactureror private labeler, upon receipt ofwritten 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 ofthe noncompliance

## to each person to whom the manufacturer hUll distributed the basic model. 

### d. Preemption of StateRegulations
DOE is today propo!ling 

### a new Subpart D of10 CFR Part430 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, ifIlluch 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 ofenergy savings resulting from 

### the State standard make such standard preferable ornecessary when compared
to the costs, benefits, etc., ofalternative approaches to energy savings or production, including reliance on reasonably predictable market-induced improvements in efficiency ofall products subject 10 the State standdrd. 

### The Act directs that the faclors described in the latterclause are to be evaluated within the context ofa Slate's
energy plan and forecast.

In regard to information and data included in State petitions. DOE would welcome 

### a discussion ofthe energy interests and needs ofthe Stale compared to those ofthe nation as 

### a whole. For example: an estimate oftht: total energy savings, induding 

### peak savings, in the State for each covered product; an estimate ofthe total energy demand in the State compared to the total national demand for each 

### ofthe
next several years from the date of

### the petition: and estimate 

### ofthe total energy usage in the State ofthe covered productfor each ofthe next several**~Iears** from thf;l date ofthe petition: and

an analysis ofthe usage patterns and the climate areas of

### the covered product.

This section also provides that even 

### if the State 

### has made a showing ofan unusual orcompelling interest, the Department may not grunt the petition if interested persons have established by 

### a preponderance ofthe evidence that the applicable State regulation will significantly burden marketing, manufacturing, distribution, sale, or servicing ofthe covered product on national basis, or is likely to result in the unavailability in the State ofany covered product type ofperformance characteristics that are substantially the

same as those generally available in the Stale al the time ofthe 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 ifhe finds that additional time is necessary for retooling orredesign.

Generally, no exemption from federal preemption may become effective for a coveredproduci 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

### 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 ofits citizens due to lack ofadequate electricity ornatural gas supplies at less than prohibitive costs; (2) 

### cannotbe substantially alleviated by importation ofenergy or

use ofinterconnection 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 considersuch petitions in 

### accordance with the 

### requirements for Slate petitions. except thnl it 

### is the respow;ihilily ofthe petitionerto show thai the rule received 

### by the Slate should be withdrawn 88 

### a result ofthe 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 orderforthe 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'ntalFlm'ic!'!

Pursunnt to section 7(c)(2) of 

### ihe Federal Energy 

### Administrution Act of lH74. H 

### copy ofIhis notice hos been submitted 10 the 

### Administrator ofthe Environmental 

### Protection Agency for 

### his
comments concerning 

### the Impact 

### ofthis**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 orllupersesBlon of Stilte standards. DOE 

### will conduct an lIpplOprillff! 

### NHtimwl Envil'onmental Policy Act (NEPA) review on a case-bycase basis. I



### The Departmentbelieves that the proposed action wouldnot be a major Federal action significantly affecting the quality ofthe human environment within the meaning ofthe National Environmental Policy Act of1969. and that neither anEnvironmental Impact Statementnor an Environmental Assessment is required for the proposed rule.


### b. RegulatoryImpactReview

DOEhas concluded that the rule is not



### a "majorrule" for purposes ofExecutive Order 12291 because it

### will notresult in: (1) An annual effect on the economy of $100 million ormore; (2) 

### a major increase in costs orprices for
consumers, individual industries, Federal. State. orlocal government agencies. orgeographic government agencies. orgeographic regions; or (3) 

### significant adverse effects on competition, employment. investment. productivity, innovation. oron the llbility ofUnited States-based enterprises to compete with foreignbased enterprises in domestic or export markets. This conclusion is based on several factors. First, while the imposition ofconservation 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 ofcomplying with the tosting requirements ofthe rule are not significant. For example. there would be

no additional testing costs for labeled products. i.e., refrigerators, refrigeratorfreezers. freezers, waterheaters, furnaces and room airconditioners; since DOE proposes to accept the applicable testing requirements oJthe 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 ofthese products already comply with trade associations' certification programs. With regard to pool heaters. while not a labeled product orcovered by a trade I1SS0cilllion 

### certification program. it is liknly that testing already has been accomplished because ofCalifornia'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) 

### ofthe 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. SmallEntityImpactReview

In light ofthe foregoing. the Departmenthas determined and hereby certifies pursuant to section fl05(b) ofthe Regulatory Flexibility Act that the proposal. ifpromulgated. 

### will not have a "significant economic impact on a substantial numberofsmallentities." 

### To minimizepotential impacts on small businesses which are appliance manufacturers. DOEis. in fact. proposingrules that wouldprovide relief. in the form oftemporary exemptions. from the applicable conservation standards.

In addition, as mentioned above, the Department

### will consider, as appropriate. any significanteconomic impact on small entities in deciding petitions to preserve orsupersede State standards undersection 327(d) 

### ofthe Act.


### d. PaperworkReductionActReview

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 inRulemaking.

DOEencourages the maximum level ofpublic participation possible in 

### this rulemaking. Individual consumers. representatives ofconsumergroups. manufacturers' associations. States or othergovernmental 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 ofthis notice.

The DOEhas established a comment period of60 

### days following publication ofthis notice, for persons to comment on 

### this proposal. Upon completion ofthe 50-day comment period, all comments and the transcript ofthe public hearing will be available for review in the DOE Freedom ofInformation Reading Room.


### b. 'Written CommentProcedures,

Interested persons are invited to participate in this proceedingby 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 ofthis notice and below.

Comments should be label.ed both on the envelope and on the documents. "NAECA Regulations (Docket No. 

### CAS·

# ·.. 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 otherrelevant information will be considered by DOE before final action is taken on the proposed regulation.

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 ofIhis notice.

Pursuant 10 Ihe provisions of10CFR 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 ofthe document. and 10 copies. ifpossible. 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 ofthe information or data and treat it according to its d!!termination.

Facial'S ofinterest 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 ofinformation have her.ntreatl!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 ofthe 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 characterdue to the passagt! oftime: and (7) whether disclosure ofthe information would be in the public interest.

c. 

### Puhlic: Hearing.

1. Procedure for Submitting Requests to**Sp(~ilk.** Tlw time and place ofthe puhlic**h!~lIring** are indicated at the hcginning ofthis notice. DOE Invites /lny plmlOll who hilS an interest in these proceedings. orwho is a representative ofa group or class ofpersons 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 ofthis notice. Requests may be hand-delivered to such address between the hours of8:30 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, ifappropriate, state why he or she is a properrepresentative ofthe group

or class ofpersons that has Buch an interest. and give a telephone number where he or she may be contacted. Each person selected to be heard willbe 50 notified by DOEby the date specified at the beginning ofthis notice.

Each person selected to be heard is requested to submit 10 copies ofthe oral
statement to the registration desk prior
to the beginning ofthe 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 letterrequesting to make an oral presentation.

2. Conduct ofHearing 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 ofthe 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 ofthe 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 orderin 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 ofany 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.

Furtherquestioning ofspeakers will be permitted by DOE. The presiding official will afford any interested person

an opportunity to question, with respect to disputed issues ofmaterial 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 toresult in a more timely and effective resolution ofdisputed issues of material fact. 

### Ifthe time provided is insufficient or inconvenient, DOEwill consider affording an additional opportunity for questioning at a mutually convenient time. Persons interested in making use ofthis opportunity must submit theirrequest to the presiding official no later than shortly after the completion ofany rebuttal statements and be prepared to state specific justification, including why the issue is one ofdisputed fact and how the proposed questions would expedite theirresolution.

Any further procedural rules regarding properconduct ofthe hearing will be announced by the presiding official.

A transcript ofthe hearing will be made, and the entire record ofthis rulemaking, including the transcript, will be retained by DOE and made available for inspection at the DOEFreedom of Information Reading Room as provided
at the beginning ofthis notice. Any
person may purchase a copy ofthe

. transcript from the transcribing reporter

In consideration ofthe foregoing, it is proposed to amend Part430 ofChapter II ofTitle 10, Code ofFederal Regulations, as set forth below.

Issued in Washington. DC. February 19. 19l18. Donna R. Fitzpatrick, AssistantSecretary. Conservation and RenewableEnergy.

Lisls ofSubjects 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 forPart430is 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 ofPart B ofTille HI (42 U.S.C. 6291-6309) ofthe 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

consumerproducts other than automobiles.

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10. Subpart B of430 is amended by revising section 4.6. ofAppendix N 

### as follows:
Appendix N to Subpart B ofPart 430- Uniform Tests Method for Measuring the Energy Consumption ofFurnaces

;

4.6Annualfuelutilization 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 numberHSPfenergy conservation standard for central air' conditioning heatpumps speCifiedin section 325(d}(2] (A] and (B] is based on Region IV and the standardizedDHRfound in section {) ofthis appendix. nearest the capacity measured in the 47 OFtest. lower 971f2 percentconfidence limit of the true mean divided by .95.

8. Subpart B ofPart430 is amended by adding a sentence to the end ofsection 1.15 ofAppendix M as fol1ows:
Appendix M to Subpart

### BofPart

### 430- UniformTest Method forMeasuring

### The Energy Consumption ofCentral Air Conditioners



## '1 9. Subpart B ofPart 430 is amended by

adding a new Appendix P as fol1ows:
Appendix P to SubpartB ofPart430- UniformTest Method for Measuring

### The Energy Consumption ofPool Heaters

1. Test method. The test method for testing
gas- and oil-firedpool heaters shall be as specifiedin American National Standards Institute Standard for Gas-Fired Pool Heaters. Z21.5&-1986.

.

2. Testconditions. Establishthe test conditions specified in section 2.8 ofANSI Z21.5&-1986.

3. Measurements. Measure the quantities delineated in section 2.8 ofANSI Z21.5&-1986. exceptin the case ofoil-fired healers the
measurement ofenergy 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 ofANSI Z21.5&-1986, except in the case ofoil·fired heaters the expression offuel consumption shall be in Btu·s. application ofAppendix AI ofthis subpart.

(b) • • • c,A (5) The annual energy use of

### all freezers equals the representative
average-use cycle of365 cycles**pe~** year times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle. determined according to 6.2 ofAppendix A1 ofthis subpal·1. '

(8) Other useful measures ofenergy consumption for freezers shall be those

measures ofenergy 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 ofthis subpart.

(p) 

### Poolheaters. (1) The estimated annual operating cost (space reserved)

(2) The thermal efficiency ofpool heaters. expressed as a percent. shall be determined in accordance with section 4 

### ofAppendix P to this subparl.

7. Section 430.23 is amended by adding a new paragraph (p) to read as follows: 

### II

,

5A. Subpart B ofPart 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 ofAppendix A or" from paragraphs (a)(l)(ii). (a)(2)(1I). (a)(3)(ii). (a)(4)(i)(B), (a)(4)(ii)(B); "4.2 ofAppendix A or" from (a)(4)(i)(A). (a)(4)(ii)(A): "4.1 ofAppendix 13 or" from (b)(l)(ii). {b)(2)(ii). (b)(3)(ii). (b)(4)(i)(B). (b)(4)(ii)(B); and "4.2 ofAppendix B or" from (b)(4)(i)(A). (b)(4)(ii)(A).

I Componenls ofsimilar**desi~n** mu}' be 8uh8lthlled without**r~qul~Ir.R** addllionul teslinR if tho represented mea.ures ofenel"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 ofpool**hi~aler** 

### a sHmple ofsufficient size shall be tested to insure thatIi) (Reserved) 

## (iil Any represented value ofthe fuel utilization efficiency or other meaSure of
energy consumption ofa basic model for which consumers would favor higher values shall be no greater than the lower of(A) the mean ofthe sample or (B) the "Secretary" means the Secretary of the Department ofEnergy.

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 ofa basic model from which a bl:llch sHmplc is**selecll~d.**

"Dutch sample" means the collection ofunits ofthe same basic model from which**tt~st** units are selected.

"Dutch sample size" means the number ofunits 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 ofhot
water. steam or electric resistance heal.

§430.22**IAmen~dl**

4. Subpart B ofPart 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 ofelectric refrigerators lind electric refrigeratorfreeZeI'll equals the representative
average use cycle of365 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. 

### ofAppendix Al ofthis subpart.

(6) Other useful measures ofenergy commmption for electric refrigerators and electric**n~frigel'ator-freezerll** shal1 be those measures ofenergy 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

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N" liS ddinl'd in 4.3 ofthis 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 ofthis appendix at each design heating requirement formodulating furnaces and boilers: oras Effy" as defined in 11.2.5 of ANSI/ASHRAE 103--a2for all other furnaces and boilers. N

u part load efficiency end is based on the

assumption that all welltherized warm air furnaces orboilers 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 N u .•·' llS ddined in4.5.1 of Ihis uppendix at eilch design heuting f(,tjuin,nwnt for modulatinf( furnaces and boilers: oras EfrYh. as defined in 11.2.34 ofANSI/ASllRAE 103--a2and in4.2 of this appendix for all other furnaces and boilers except that CJand LJarc defined

as:

ofor**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 eitherassigned the vlllue of1 percent ordlltcrmined in IICeordllnl:e with 8.6 ofANSI/ASIIRAE 103--82 in percent Q'N = steady-stutehellt input as defined in 11.2.34 ofANSI/ASIlRAE 103-82 n.7**~. averll~e**  oversizing factorfor furnaces llnd boilers**4tlOO~· avern~l'**  non-healing season hours per year**Q"~c** pilot flame fuel input rate as defined in 9.2 ofANSI/ASllRAE 103-82

11. Subpart B ofPart 430 is amended by revising section 4.7 ofAppendix Nby 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 ofPart 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 ofPart 430 is revised to reud as follows: Subpart D-Petilions To ExemptStale Regulation from Preemption; Petitions 10 Withdraw Exemption ofSlllte Regulat.ion

Sec. 430.40 Purpose and scope. 430.41 Prescriptions ofa rule. 430.42 Filing requirements. 430.43 Notice ofpetition. 430.44 Consolidation. 430.45 Hearing. 430.46 Disposition ofpetitions. 430.47 Effective dates offinal rules. 430.48 Request for reconsideration. 430.49 Finality ofdecision.

Authority: Sec. 327(d), Energy Policy and ConservationAct. 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 otherrequirement respecting energy use

or energy efficiency ofa type (or tlass) ofcovered 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 orother requirement respecting energy use or energy efficiency ofa type (or class) of covered product.

§ 430.41 Prescriptions of a rule.



### (a) Criteriaforexemptionfrom preemption. Upon petition by a State which has prescribed an energy conservation standard orother requirement for a type or class ofa covered product for which a Federal
energy conservation standard is applicable. the Secretary shall prescribe

a rule that such standard not be preempted 

### ifhe determines that the State has established by a preponderance ofthe evidence that such requirement is needed to meet unusual and compelling State or local energy interests. For the purposes ofthis 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 ofthe Stale's energy plan and forecast. the
costs. benefits. burdens. and reliability ofenergy savings resulting from the Slate regulation make such regulation preferable or necessary when measured against the costs. benefits, burdens. and reliability ofalternative approaches to energy savings or production. including reliance on reasonably predictable market-induced improvements in efficiency ofall products subject to the State regulation. The Secretary may not prescribe such a rule ifhe finds that interested persons have established, by

a preponderance ofthe evidence. that the State's regulation will significantly burden manufacturing. marketing. distribution, sale or servicing ofthe coveredproduct 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 ofthe covered product in the State; the extent to which the State regulation would

cause a burden to manufacturers to redesign andproduce the covered product type (orclass). taking into consideration the extent to which the regulation would result in a reduction in the current models, orin 

### the projected availability ofmodels. that could be shipped on the effective date ofthe regulation to the State and within the U,S

.. or in the current or projected sales volume ofthe 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 ofState appliance efficiency requirements and the cumulative impact such requirements would have. The Secretary may not prescribe such a rule ifhe finds that such a rule will result in the unavailability in the State ofany covered product (orclass) 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 ofthe Secretary's finding. The failure ofsome 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 ofpetilion 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 ofInformation Regulations set forth in 10 CFR Part 1004:

### 1122



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## I Proposed Rules

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### Ii) The name, address and telephone numberofthe 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 ofeach type orclass ofcovered product for which a rule exempling a standard is sought;

(v) 

### Other information, 

### ifany, believed
10 

### be pertinenl by the petitioner: and

(vi) Such otherinformation as the Secretary may require.

(I» 

### Criteriaforexemptionfrom preemption when energyemergency conditionsexistwithin State. Upon petition by a 

### State which has prescribed

an energy conservation standard or otherrequirement for 

### a type orclass ofa 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 ifhe determines that in addition to meeting the requirements ofparagraph (a) ofthis section, the State has established thaI: an energy emergency condition exists within the Stale that imperils the health. safety and welfare ofits residents because ofthe inability ofthe State orutilities within the State to provide adequate quantities ofgas orelectric energy to its residents 

### allcss than prohibitive costs; and
cannot be substantially alleviated by the importation ofenergy orthe use of interconnection agreements; and the Slate regulation is necessary to alleviate substantially 

### such condition.

(1) 

### Requirements ofpetition for exemption 

### from preemptionwhen 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) ofthis section, and shilll be avaiLable for public review except for confidential orproprietary information 8ubmllted In accordance 

### with the Department ofEnergy's Freedom ofInformation Regulations set forth In 10 

### CFR Part**1~:**

(i) 

### A deacripllon ofthe energy emergency condllion which exists wHhtn the Stale. including causes and impllcis.

(jil 

### A descrlplion ofemergency response actions laken by the State and utilities within the State to alleviate the f!mergency condition;

(iii) 

### An analysis ofwhy the emergency condition clinnol be alleviated substantially by importation ofenergy

orthe use ofinterconnection agreements;

(iv) An analysis ofhow the State standard can alleviate substantially such emergency condition.

(c) 

### Criteriaforwithdrawalof arule exempting

### aStatestandard. Any person subject to a State standard which, by rule. has been exempted from Federal preemption and which prescribes an energy conservation standard orother requirement for a type orclass ofa 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 considersuch petition in accordance with the requirements of paragraph (a) ofthis section. except that the burden shall be on the petitionerto demonstrate that the exemptionrule received by the State shouldbe withdrawn as a result ofthe amendment
to the Federal standard. The Secretary shall withdraw suchrule 

### ifhe determines the petitionerhas shownthe rule should be withdrawn.

(1) 

### Requirements ofpetition to withdraw a rule exempting 

### a State standard. A petition for 

### arule to withdraw 

### a rule exempting 

### a State standard shall include the information prescribed in (c)(l)(i) through (C)(l)(vii) ofthis section. and shall be available for publicreview, except for confidential or proprietary information submittedin accordance with the Departmentof Energy's Freedom ofInformation Regulations set forth in 10 

### CFR 1004:

(i) 

### The name, address and telephone numberofthe petitioner;

(ii) A 

### statement ofthe interest ofthe pelilionerfor which a rule withdrawing

an exemption is sought;

(iii) 

### A copy ofthe Slate standard for which a rule withdrawing an exemption is sought;

(iv) Specification ofeach type or'class ofcovered product for which a rule withdrawing an exemption is sought;

(v) A discussion ofthe factors contained in paragraph (a) ofthis section:

(vi) Such otherinformation, ifany, believed to be pertinent by the peillioner; and

(vii) Such otherinformation as the Secretarymay 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 tosupplyinformation. A person orState submitting apetition is undera continuing obligation to provide any new ornewly discovered informationrelevant to that petition. Such information includes, but is not limited to, informationregarding any otherpetition orrequest for action subsequently submittedby that person

or State.

(c) 

### The same orrelatedmatters. A


### person orState submitting a petition or otherrequest for action shall state whether to the best knowledge ofthat petitionerthe same orrelated issue, act,

ortransaction has been orpresently is being considered orinvestigatedby any State agency, department, or instrumentality.

(d) 

### Computation of time. (1) Computing any period oftime prescribed by orallowed under this subpart, the day ofthe action from which the designated period oflime begins to run is not to be included. 

### Ifthe last day ofthe period is Saturday, or Sunday. orFederal legal holiday. the periodruns until the end ofthe next day that is neither a Saturday, or Sunday or Federal legalholiday.

(2) 

### Saturdays. Sundays. and interveningFederallegalholidays shall be excluded from the computation of time when the period oftime allowed or 

### prescribed is 7 

### days orless.

(3) 

### When a submission is required to be made within a prescribed time. DOE may grant an extension oflime upon good cause shown.

(4J Documents received afterregular business hours are deemed to have been submitted on the next regularbusiness day, Regularbusiness 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. andnot to consider, untimely submissions.

(e) 

### Filing of petitions. (lJ A petition for a rule shall be submittedin triplicate
to: The Assistant Secretary for Conservationand Renewable Energy, U.S. Department ofEnergy, Section 327 

### Petitions. Appliance Efficiency Standardsl 

### Forrestal Building. 1000 Independence Avenue SW., Washington, DC 20585.



### (2) A petition maybe submitted on behalfofmore than one person. Ajoint petition shall indicate each person participating in the submission. Ajoint petition shall provide the information required by § 

### 430.41 for each person on whose behalfthe petition is submitted,

(3J All petitions shall be signed by the person(s) submitting thepetition orby a duly authorized representative. 

### if submitted by a duly authorized

### 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 ofthe served parties. and the date ofservice.

(f)

### Acceptance

## lorfiling. (1) Within fifteen (15) days ofthe receipt ofa petition. the Secretary will either accept it for filing orreject it. and the petitioner will be so notified in writing. The Secretury will serve Ii copy ofthis notification on each otherparty served by the petitioner. Only such petitions which conform to the requirements of this IHlbpart and which contain sufficient information for the purposes ofa substantive decision will 

### be accept for filing. Petitions which do not so conform will 

### be rejected and an explanHtion provided to petitionerin writing.

(2) Forpurposes ofthe 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. Petitionershall use the docket designation in all subsequent submissions.

§ 430.43 Notice of petition.

(a) Promptly afterreceipt ofa 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 ofthe 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) ofthis section, each notice shall contain l:l summary ofthe Stule regulation at issue and the petitioner's reasons for the rule Bought.

§ 430.44 Consolidllltion.

DOEmay 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 ofthe isaues. Consolidation shall not affect the right ofany party to raise i!llluesthat could have been raised 

### ifconsolidation nad
not occurred.

§ 430.45 Hearing.

The Secretary may hold a public hearing. and publish notice in the Federal Registerofthe date and location ofthe hearing. when he determines that such a hearing is necessary and likely to result in a timely and effective resolution ofthe issues, A transcript shall be kept ofany such hearing.

§ 430.46 Disposition of petitions.

(a) After the submission ofpublic
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 petitionerand the affected State agency. The Secretary shall publish in the Federal Register a notice ofthe final rule granting ordenying the petition and the reasons and basis therefor.

(c) 

### If the Secretary finds that he
cannotissue a final rule within the 6- month period pursuant to paragraph (a) ofthis 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 ifthe Secretary determines that
BUCPrule 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 

### ifthe Secretary determines that Buch additional time ill necessary due to the burdens ofretooling, 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 petitionerwhose petition for a rule has been denied may request reconsideration within 30 days ofrlenial. The request shall contain a statement of facls and reasons supporting reconsideration and shall be submitted in writing to the Secretary.

(b) The denial 

### ofa petition will be reconsidered only where it is alleged and demonstrated that the denial was based on errorin law or fact and 

### that evidence ofthe error is found in the record ofthe proceedings.

(c) 

### Ifthe Secretary fails to take action



### on the request for reconsideration within 30 days. the request is deemed denied. 

### and the petitionermay seek suchjudicial review as may be appropriate and available.

(d) A petitionerhas not exhausted other administrative remedies until a request for reconsideration has been filed and acted upon ordeemed denied.

§ 430.49 finality of decision.

(a) A decision to prescribe a rule that

a State energy conservation standard or otherrequirement 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 otherregulations ofa covered product of
any other State.

(0) A decision to prescribe a rule withdrawing a rule exempting a State standard or otherrequirement 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. Part430is amended by adding a

new SubpartE. 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 Processingofapplications. 430.54 Referral to the Attorney General. 530.55 Evaluation ofthe application. 530,56 Decision and order. 430.57 Duration oftemporary exemption.

Authority: Sec. 3Z5(q). Energy Policy and Conservation Act. Pub. L. 94-163 as amended by Pub. L. 95-619 andPub. 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 ofapplications filed by manufacturers ofcovered consumer products with annual gross revenues that do not exceed 

### $8 million to exempt them temporarily from all orpart of energy conservation standards established by this part.

(b) The purpose ofthis subpart is to provide content andformat requirements for manufacturers of

### 7124 Federal Register 

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## ! 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 manufacturerofa covered product with annual gross revenues that do not exceed $8.000.000 from all its operations (including the manufacture and sale ofcovered products) for the 12- month period preceding the date of application may apply for an exemption. In determining the annual gross !'l'venues ofany manufacturer under this subpart. the unnual gross revenue ofany 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 ofEnergy, 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 anothermanufacturer, and if so, the nature ofthat control relationship;

(:1) The h!xt ('Ir suhstunce ofthe standard or portion thereoffor which the exemption is sought and the length oftime desired for the exemption:

(4) Information showing the annual gross revenue ofthe applicant for the preceding lZ-month period from all ofits operations (including the manufacture ilnd sale ofcovered products):

(5)lnformation to showthat failure to grant an exemption is likely to result in

II ll'sseninll ofcompetition;

Ill) Such other information. ifany. 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 10CFR 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 ofthe application.

§ 430.54 Referral to the Attorney General.

Notice ofthe application for exemption under this subpart shall 

### be transmitted to the Attorney General by the Secretary and shall contain (a) 

### a statement ofthe facts and ofthe reasons for the exemption, and (b) copies ofall documents submitted.

§ 430.55 Evaluation of the application.

The Secretary shall grant an application for exemption submitted under this subpart ifthe Secretary finds. after obtaining the written views ofthe Attorney General, that a failure to allow

an exemption would likely result in a lessening ofcompetition. '"

§430.56 Decision and order.

(a) Upon consideration ofthe application and other relevant information received or obtained, the Secretary shall issue an ordergranting

or denying the application.

(b) The order shall include a written
statement setting forth the relevant facts and the legal basis ofthe order.

(c) The Secretary shall serve a copy of the orderupon the applicant and upon any otherperson readily identifiable by the Secretary as one who is interested in

oraggrieved by such order. The Secretary also shall publish in the federal Register II notice ofthe grant or denial ofthe order and the reason

. therefor.

§430.57 Duration oftemporary exemption.

A temporary exemption terminates according to its terms but not Jater than twenty-four months after the effective date ofthe rule 

### for which the exemption is allowed.

15. Subpart F ofPart 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 ofdata.
430.03 Sampling.
430.64 Imported products.
430.65 Exported products.
430.70 Enforcement.
430.71 Cessution ofdistribution ofa basic model.
430.72 Suhpoenu. 430.73 Remedies. 430.74 Hearings and Appeals. 430.75 Confidentiality. Appendix A 10 Suhpart Ii' ofPart 436- Compliance Sla!em,ml. Appendix 10 Stlbpai'l IF ofPart 43llSampling Plan for Enforc;ementTesting.

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 ofa covered product complies with the applicable energy conservation standard
set forth in Suboart C ofthis Part. Energy conservation standards include minimum levels 

### ofefficiency and maximum levels ofconsu.mption (also referred to 

### as performance standards) and prescriptive energy design requirements (also referred to as design standards).

§430.61 Pmhibltedaero.

(a) 

### E2.ch ofthe following is a

. prohibited act pursuant to section 332 of the Act:

(1) Failure to permit access to, or copying ofrecords 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 coveredi:\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 

### ofsuch testing; and

(4) Distribution in commerce by a manufacturer 

### orprivate labeler ofany

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 ofparagraph (a) ofthis be subject to assessment ofa penalty of no more than $')00 for each violation. Each violation of (a) ofthis section shall constitute a separate violation with to each covered product. and ofnoncompliance with items 

### ofparagraph (a) shaH constitute a separate violation.

§430.62 Sllbmi$slol'l of dl!liiLi.

(8) 

### Compliance statementand 

### certIfication Each manufacturer

or private before distributing in

### 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 ofa covered product**subj(~ct** to the Applicable energy consPrvilfion stflndnrd sct forth in Subpart C oflhis Pnrt shall certify by

means ofa statement ofcompliance and certification report. that each basic model meets the requirements ofthat 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 aware ofthe penalties llssodllted with violations ofthe 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. refrigcrutur·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** ilirwnditioning 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) ofthis section nwe! the fnquimmentli ofthis 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 ofa

new modd thereafter. ofthis section. including the compliance
statement.

§ 430.63 Sampling.

(a) For purposes ofa 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 ofthis Part. For purposes ofa certification of compliance. the determination that 

### a basic model complies with the applicable design standard shall be based upon the incorporation ofspecific designrequirements for clothes dryers. dishwashers. clothes washers and kitchen ranges and ovens specified in section 325 ofthe Act.

(bJ A basic model which meets the following requirements may qualify as

an "other than tested model" for
purposes ofthe 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 ofretail sales or the condensercoil combinations manufactured in part by a component manufacturerusing the

same condensing unit.

(2) Forpurposes ofcertification of "other than tested models," as defined in paraHraph (b)(l) ofthis section. a manufacturer may certify the basic model on the basis ofcomputer simulation or engineering analysis as set forth in § 430.62(m) ofSubpart

### B.

§430.64 Imported products.

(a) Pursuant to section 331 ofthe Act,
any person importing any covered product into the United States shall comply with the provisions ofthe Act and ofthis Part. and is subject to the remedies ofthis Part.

(b) Any covered product offered for imporlation in violation ofthe Act and ofthis Part shall be refused admission into the customs territory ofthe United States underrules issued by the Secretury ofthe Treasury. except thot the Secretary ofthe Treasury may. by such rules. authorize the importation of such covered product upon such terms and conditions (including the furnishing ofa bond) as may appear to the Secretary ofTreasury 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 ofthe Act. this part shall not apply to any covered Dale



# ISept. 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) Sept 1. 1969. DIleet Heating

EqUipment. Kitchen Ranges and

OVf.ms. Pool**Hea\~1fS**

For each basic model ofa 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 ofEnergy, 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) ofthis section
must be submitted for new models pri0r
to any distribution ofsuch model. Any**chan~e** to 

### a basic model which affects energy consumption may constitute the addition of II new basic model subjectto 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 ofHIlY covered product flllbjecl to ilny ofthe energy ptlrformuncll standards or procedures prescribed in this part, shall establish. mllintnin. Hnd retain the records ofthe**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 ofthis subpart (except lests perfdrmed by DOE directly).

(2) All such records shull be retuined by the manufacturer for a period oftwo 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) 

### Thirdparty mpresl'lIllllivJ1. 

### If a manufacturer or private labelerelects 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) Dale PrOducts

### 1126 Federal Register 

## I Vol. 53. 

### No. 43 

## I Friday. March 

### 4, 1988 

## I Proposed Rules

product if(a) such covered productis manufactured. sold. orheld for Bale for export from the United States (orsuch 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. orany containcr in which it is enclosed when

so distributed. bcars a stamp orlabel stating that such coveredproduct is intended for export.

§ 430.70 Enforcement

(ll)l'erforlllf1nCe

### standard.-(l) Test
notire. Upon receiving information concerning the energy performance ofa particular coveredproduct sold by a particularmanufacturer orprivate Idwlcr which indicates that the covered product may not be in compliance with till' applicable energy performance standard. the Secretary may conduct testing ofthat co\'cred product under this subpart by means ofa test notice addressed to the manufacturerin Ilccordance with the following requirements:

(i) Such a procedure will only be followed after the Secretary orhis**dl~signatcd** 

### representative has examined til(' underlying test data provided by the manufacturer and uftcr thc manufacturerhas 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 ofsuch revcrification.

Iii) The kst notice will be**si~ned** by 

### the Secretary orhis designee. The test notice

.....ill be mailed or delivered bv DOE to the plant managcror 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 ofunits of

H 

### basic model llpecified in such test noticc to a testing Illboflilory designllted by the SeGf'(!tllry. Tht! number ofunits of Ii basic Illodellllwcified in ntest notice shall not l',cet!d twenty (20). 

### . (v) Within 5 working days of

### thetrm:e

... units are selected. the manufacturer shall ship the specified test units ofa 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 thatbasic model. Such test data will be used by DOE to make a determination ofcompliance'or noncompliance 

### ifa sufficient number of tests have been conducted to satisfy the requirements ofAppendix B

### ofthis 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 Bofthis subpart**an~** 

### the
tcst procedures setforth in Subpart Bof this Part.

(4) 

### Test unitselection. A DOE inspectorshall select a batch. a batch sample. lind test units from the batch sample in accordance with the provisions ofthis 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 ofmanufacture. component-supplier, location of manufacturing facility. or othercriteria which may differentiate one unit from another within a basis model.

(ii) 

### A butch sample ofup to 20 units will then be randomly selected from one
ormore 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 ofthe units in a batch sample and then using a table ofrandom numbers to select the units to be tested.



### (5) Test unitpmparatio/l. (i) Prior to lind during testing. a test unit selected in accordance with paragraph (a)(4) ofthis section ofthis section shall notbe 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, orlIny parts and subassemblies thereof. thatis not performed during the production and assembly ofall otherunits included in the basic model.

.

(6) 

### Testing atmanufacturer'soption. (i) 

### Ifa manufacturer'sbasic model is determined to be in noncompliance with the applicable energy performance standard at the conclusion ofDOE testing in accordance with the double sampling plan specifiedin Appendix B 

### ofthis subpart, the manufacturermay rcquest that DOE conduct additional testing ofthe model according to procedures set forth in Appendix B 

### of this subpart.

(ii) All units tested underparagraph (a)(6) ofthis section shall be selected and tested in accordance with the provisions given in paragraphs (a) (1) 

### through (5) ofthis section.

(iii) The manufacturer shall bear the
cost ofall testing conducted under paragraph (a)(6) ofthis section.

(iv) The manufacturershall cease distribution ofthe basic model being tested underthe provisions ofparagraph (a)(6) ofthis section from the time**t~e** 

### manufacturerelects 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) Ifthe additional testing results in

a determination ofcompliance. a notice ofallowance to resume distribution shall be issued by the Department.

(b) Design standard. 

### In the case ofa design standard a model is determined noncompliant by DOE after the Secretary orhis designated representative has examined the underlying design information provided by the manufacturer and after the manufacturerhas 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 orifa manufacturer or private labeler determincs a model to be in noncompliance. then the manufacturer

orprivate labeler shall:

(1) 

### Immediately cease distribution in

commerce ofthe basic model;

(2) 

### Give immediate written notification ofthe determination of noncompliance. to 

### fill persons to whom the manufacturer has distributed units ofthe basic model manufactured since the date ofthe last determination of compliance.

### 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 oftIll' 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'tifil,d in accon!<.llIce with the pro\'isions ofthis 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; ofthe nl!W basic modld prior to distribution in commp.rce.

(bjlfa [);Isic mmlt·l is not properly cf·rtifll'd in**accordancl~** with the 1'l''luirl'llll'nts ofthis subpart. the Sf!Cretary may fwek, umong other n'nll'di

..s. injunctivI' action to prohibit distribution in**cOl1lnwrC(~** offweh basic Illod

..!.

§ 430.72 Subpoena.

Pursuant to sl,diol1 32!l(a) ofthe Act. for purpOSf,S ofcarrying 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 ofrelevant boob.**rt~':ords,** papers, lind other docunwnts, and administf!r the oaths. Witness(!s summoned under the provisions ofthis section shall be paid thl' saml' fl,I,5 and milellge as are paid to**witnf'5s(~s** in the courts ofthe United 'Statf's. In case ofcontumllcy 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 ofthe 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.

IfDOE 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 otherperson as required. ofthis finding and ofthe**S(~crt~tilry's** intent to serk a judicial ordcr rt!fltraining further distribution in comnwl'ce ofsuch 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, ofthe steps he will take to insure that the noncompliant model will no longerbe distributed in commerce. DOE will monitor the Implementation ofsuch
statement.

(b) 

### Ifthe manufacturer. private labeler

or any other person as required. fails to stop distribution ofthe noncompliant model. the Secretary may seek to restrain such violation in accordance with section 334 ofthe Act.

(c) The Sl'cretary shall determine whether the fads ofthe case warrant the assessment ofcivil penalties for knowing violations in accordiwce with**sl~ction** 333 ofthe 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 ofthe proposed penalty. Such notice shall inform such person ofthat person's opportunity to**eh~cl** in writing within 30 days after the date ofreceipt ofsllch notice to have the procedures ofparagraph (c) ofthis section (in lieu ofthose 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) ofthis section to have paragraph (c) ofthis section apply with respect to such penalty. the Secretary shall assess the penalty, by order after a determination ofviolation has been made on the record after an opportunity for an agency hearing pursuant to sectiol') 554 ofTille 5, United States Code. before an administrative law judge appointed under section 3105 ofsuch 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 ofthe Secretary assessing such penalty, institute an action in the United StateB Court ofAppeals for the appropriate judicial circuit for judicial review ofBuch order in ar.cordance with Chapter 7 ofTitle 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 ofthe 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 oflIny 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 ofthe receipt ofthe notice under paragraph (aJ ofthis section ofthe proposed penalty.

(2) 

### Ifthe civil penalty has not been paid within 60 calendar days after the
assessment has been made under paragraph (c)(lJ ofthis section, the Secretary shall institute an action in the appropriate District Court ofthe United States for an order affirming the
assessment ofthe 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 ofthe Secretary,

(d) 

### Ifany person fails to pay an assessment ofa civil penalty after it has become a final and unappealable oruer under paragraph (b) ofthis section, or after the appropriate District Court haB entered final judgment in favor ofthe Secretary under paragraph (G) ofthis section, the Secretary shall institute an action to recover the amount ofsuch penalty in any appropriate District Court ofthe United States. In such action. the validity and appropriateness ofsuch fiml! assessment order orjudgment shiill
not be subject to review.

(e)(l) In accordance with the provisions ofsection 333(d)(5)(A) ofthe Act and notwithstanding the provisions oftitle 28. United States Code. or section 502(c) ofthe Department ofEnergy Organization Act, the Secretary shall be represented by the General Counsel of the Department ofEnergy (or any attorney or attorneys within DOE designated by the Secretary) who shall supervise. conduct, and argue civil litigation to which paragraph (c) ofthis section applies including any related collection action under paragraph (d) of this section in a court ofthe United States or in any other court, except the Supreme Court ofthe 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 ofsuch litigation as may be appropriate.

(2) In accordance with the provisions ofsection 333(d)(5)(B) ofthe Act. and subject to the provisions ofsection 502(c) ofthe Department ofEnergy 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.

### 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 ofthe n, units in the first sample as follows: 

## ) 2

• n

### 1 (6a) ( t 

### 51**-~** 

### 0.05 EPS

where s, and thave 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 ofthe standard. where 95 percent ofthe standard is tilken as the lower controllimil. This procedure yields a sufficient combined sample size (n, 

### + n2) to give an estimated 97.5 percent probability ofobtaining a determination ofcompliance when the true

mean efficiency is equal to the applicable standard.

Given the solution value ofn2. determine

one ofthe following:

(1) Ifthe value of"" is less than orequal to

zero andIfthe mean energy efficiency ofthe first sample (x.) is either equal to orgreater than the lowercontrol limit (LCLd orequal to

orgreater than 95 percent ofthe applicable energy efficiency standard (EES), whichever is !lrealer. i.e

.. ifn2 

### <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 ofthe first sample (xd with the upperand lowercontrol limits (VCL, and LCL,)to determine one ofthe following:

{i) Ifthe mcan ofthe first sample is below the lowercontrol limit. then the basic model is in noncompliance and testing is at an end, (Do not go on to any ofthe steps below.)

(ii)1fthe mean ofthe first sample is equal
to orgreater than the upper control limit, then the basic model is in compliance and testing is at an end. (Do not go on to any ofthe steps below.)

(iii) Ifthe sample mean is equal to or greater than the lowercontrol limit but less than the upper control limit. then no determination ofcompliance or noncompliance can be made and a second sample size is determined by Step 7a.

SIp.p 6b, Foran Energy Consumption Standard. compare the mean ofthe first sample (x,) with the upper and lower control limits (VCL.) and LCL.) to determine one of the following:

(i) Ifthe mean ofthe 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 ofthe steps below,)

(ii) Ifthe mean ofthe first sample is equal
to or less than the lowercontrol limit. then the basic model is in compliance and testing is at an end. (Do not go on to any ofthe steps below.)

.

(iii) If the sample mean is equal to or less than the uppercontrol limit but greater than the lowercontrol limit. then no determination ofcompliance ornoncompliance 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 nl 

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

# - 1-1

nl - I erR "Hrt 4:10. the individual (manufaclurer) authorizing third purly representations: Signilture:

------------- Namp:--------------- Address: Tell!phone No.:---------
Appendix B to Subparl 

### r ofParI 430- Sampling Plan for EnforcementTesting
Double Sampling

Step 1. The first sample size (n,) must be four or more units.

Step2. Compute the mean (x.) ofthe

.. nWilsured energy performance ofIhc n, units in the first slImple as follows:

whc!re X, iR the measured energy effiCiency or energy consumption ofunit i.

St(!P3. Compute the standard deviation (sd ofthe measured energy performance ofthe n, units in Ihe first sample as follows:

81/'1'5. Compute the uppercontrol limit (VCLd lind lower controllimil (LCLd for the mp.lln ofthe first sUlaple usin/llhe applicable DOE e1wrllY pmformllnce standard (EPS) as the dasired mean and a probability level of95 percent (two-tailed tesl) as follows. § 430.75 Confidentiality.

Pursuunt to the provisions of10 CPR 1004.11, any person submitting information ordl: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 ofPart 43{)- Compliance Statement

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

Stlllt'mPllt ofCorr.pliunce withEnergy Consen'lltion Std'ndllrds for Applillfll:es. Product:

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

------------ MUllufllctur"r's Nilme IIlld Address,

(3)ln accordance with the provisions ofsection :l:l3(cl)(5)(C) ofthe Act. section 402(d) ofIhe Department ofEnergy Organization Act shall not apply with wspect to the functIon ofthe Secretary under this section.

Dille:

. <";ubl/lilbyC/'rlifiedMail 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) ofthe 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 10CFH Pllrt 4:10. All information rt'porli·d in this certificatiun report is true. W:Cllratp, and complete', Illm !lWIlTe ofthe pt'nliltil'S aSHot:lall!d with violations ofthn Act and thl! rellulutlons thereunder. lind urn IIlso lIwurC' ofthe provisions containl!d in 16 LJ.S.c. 1001, which prohibits knowingly milking fulse stlltenwnts to the Federlll em·l·fIlml!nl. NlIllle ofPerson to Contnct for Further Information: Name:--------------- Addrt'6H: Tf'lephone No.:-----------

If tlw model specific information lIccompunyinll this**statl~m(mt** ofcompliance

WUH pwpllred by 8 third pllrty OIWtnizution IIIlller the provisions ofSeclion 430.62 of 10

### 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 ofthe nl Hnd n, units in the comhinl'd first and second samples as follows: where 6, arid thave 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 ofthe slandard, where 105 percent ofthe 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 ofthe 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 of95 percent used in Step 5. ubove) 115 follows: melln (x,) to the lowercontrol limit (LCI..,,) 10 fine one ofIhe following:

(i) If the mean ofthe combined sample (x,) is less than the lower control limit (LCk) or 95 percent ofthe 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] IfIhe mean ofthe combined sample (x,) is equal to orgrealer than the lower control limit (LCk) or95 percent ofthe 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 ofthe following:

(i) Ifthe mean ofthe combined sllmple (x,) is greater than the uppercontrol limit (UCL,)

or 105 percent ofthe 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 ofthe combined sample (x.] is equal to or less than the upper conlrol limit (UCk) or 105 percent ofthe applicable
energy performance standard (EPS), whicheveris less, i.e

.. ifx, .;; min{UCk. 1.05 EPS). the basic model is in compliance and testing is at an end.
Manufacturer-Option Testing

Ifa determination ofnon-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.

StepA. The manufacturer requests that an additional number, lb. ofunits 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 ofthe 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 uppercontrol limit to determine one ofthe follOWing:

a.l. Foran Energy Efficiency Standard, if the new combined sample mean is equal to or greater than the lowercontrol limit or95 percent ofthe 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, ifthe new combined sample mean is equal to

or leBs than the uppercontrol limit or 105 percent ofthe applicable energy consumption standard. whicheveris 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 or95 percent ofthe applicable energy efficiency standard, whichever is greater. and the value ofnl + n2 

### + l1:l is less than 20. the manufacturer may request that additional units be tested. The total ofall 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 ofobtaining a dctl,rminution ofcompliance when the true

mean consumption is equal ofthe applicable standard.

Given the solution value ofn,. determine

one ofthe following:

(1) Ifthe value ofn. is less than or equal to

zero ann ifthe 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 ofthe applicable energy performance standard (EPS). whichever is less, i.e

.. ifn, .:; 0andXl min (UCLI , 1.05 EPS). the basic model is in compliance and testing is at an end.

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

zero andthe mean energy consumption ofthe first sample (Xl) is greater than the uppp.r control limit (UCLd or more than 105 percent ofthe applicable energy performance standard (EPS). whichever is less. i.e

.. ifn• .:; 

### oand Xl 

### >min (LCL,. 1.05 EPS). the basic model is In noncompliance and testing is at

an end.

(3) Ifthe value ofn2 is greater than zero.,. then the value ofthe second sample size is determined to be the smallest integer equal to

orgreater than the solution vHlue ofn,for equHtion (6). If the value ofn2 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 ofthe n, and n2 units ofthe combined first and second sllmples US follows:

whorf' the t·stlllistic has the value obtained in Step 5 above.

Step 110. Foran 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 ofthe 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 of95 percent used in Step 5. abOVI!}ll8 follow8: 

### (8) (6b)



### + ( ) 2 t 

### 51

- 0.05 EPS

1 (2) If the valut, ofn, is less thun or equal to

zero andthe mean energy efficiency ofthe first sumpl" (x.) is less than the lower control limit {LCLt} or less than 95 percent ofthe applicable energy efficiency standard (EES), whichever is grealer. i.e

.. ifn, 

### < and x, 

### <

max (LCL" 0.95 EES), the basic model is in noncompliance and testing is at an end,

(3) If the value ofn. is greater than zero. then thl! value ofthe second sumple size is determined to be the smallest integer equIII to

orgreater than thl' solution value ofn. for equation (6). If the vulue oflb 80 calculuted is greater than 20- n,. set n. equal to 20- n,.

Step 7b. Foron Energy Consumption Standard. dl>termine the second sample size (n,) us follows:



### +

5

## X 2

## 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 ofn, 

### + n, 

### +
ll:, is less than 20, the manufacturer may request that additional units be tested. The totul ofall 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 IIm

### I

BILLING COOE 6450-01-M