1 | Building Technologies Program & General Counsel’s Office of Enforcement 

Energy Conservation Program for 

Consumer Products and Commercial 

and Industrial Equipment

Regional 

Enforcement 

for Furnaces, 

Conditione

Pu
2 | Building Technologies Program & General Counsel’s Office of Enforcement 

• Introductions• Role of the Facilitator• Ground Rules (norms)

– Listen as an ally– Use short, succinct statements/keep to the point– Hold sidebar conversations outside the room– Focus on issues, not personalities– One person speak at a time (raise hand to be recogniz

your name for the record)

– Set cell phones to silent/vibrate

• Housekeeping Items

Welcome and Introductions
3 | Building Technologies Program & General Counsel’s Office of Enforcement 

Agenda

9:00 – 10:00 am10:00 – 10:45 am10:45 – 11:00 am11:00 – 11:45 am11:45 – 12:15 pm

Welcome, Introductions, Agenda Review, aOpening StatementsRegional Standards Enforcement OverviewBreakInformation Disclosure OverviewClosing Remarks
4 | Building Technologies Program & General Counsel’s Office of Enforcement 

Purpose of the Public Meeting

• Present the procedural and preliminary ideas regarding a 

approaches to enforcing and disclosing information regardregional standards for residential furnaces, central air conand central heat pumps.

• Provide a forum for public discussion of rulemaking issues• Encourage interested parties to data, information, and wri

comments.

• Inform interested parties and facilitate the rulemaking proc
5 | Building Technologies Program & General Counsel’s Office of Enforcement 

Request for Comment

Issue Box: DOE and FTC welcome comments regarding the N

Data Availability announcing the Framework Document for Re

Standards Enforcement and Advanced Notice of Proposed

Rulemaking Concerning Information Disclosures. Throughout 

presentation, specific issues will be raised for discussion in ye

issue boxes. However, comments concerning any part of the

documents or presentation are welcome.
6 | Building Technologies Program & General Counsel’s Office of Enforcement 

Waivers

1

Information Disclosures

45

Regional Standards Overview

6 Closing Remarks/Comments

2 Responsible Party Definitions3 Potential Enforcement Schemes
7 | Building Technologies Program & General Counsel’s Office of Enforcement 

Statutory Requirements

• On June 27, 2011, DOE promulgated a direct final rule establish

standards for residential furnaces and residential air conditionerpumps. 76 FR 37408. 

• EPCA requires DOE to initiate rulemaking for enforcement of reg

standards no later than 90 days after issuance of the final rule eregional standards. DOE is required to complete this enforcemerulemaking no later than 15 months from issuance of the final ruU.S.C. § 6295(o)(6)(G)(ii)(I), (III)) 

• EPCA directs the FTC to initiate rulemaking within 90 days after 

publication of a final rule establishing regional standards in ordedetermine the “appropriate 1 or more methods for disclosing infothat consumers, distributors, contractors, and installers can easiwhether a specific piece of equipment that is installed in a speciis in conformance with the regional standard that applies to the bThe FTC is required to complete this rulemaking no later than 15 publication of the final rule establishing regional standards. (42 U6295(o)(6)(H)(i), (iii)) 
8 | Building Technologies Program & General Counsel’s Office of Enforcement 

Compliance with Standards

• National Base Standard:

– Compliance with the base national standards based on the date of m

(or importation).

– Manufacturers (including importers) must comply with the national b

beginning on the compliance date specified for the amended base s

• Regional Standard:

– Compliance with the applicable regional standards based on the ins

location of a covered product. 

– Distributors and Installers are responsible for installing equipment in 

applicable regions that meets the regional standards beginning on tcompliance date of the regional standard.

• Responsible Parties:

– Manufacturers, Distributors/Dealers, and Contractors/Installers
9 | Building Technologies Program & General Counsel’s Office of Enforcement 

Compliance with Standards

Issue Number Three: The Department seeks comment on 

types of information that would be necessary (either

maintained or submitted) to help the Department determ

a basic model is compliant with the Department’s standar

and whether

a given unit has been installed in

a proper

geographic location.
10 | Building Technologies Program & General Counsel’s Office of Enforcement 

Potential Enforcement Schemes

• DOE presented three potential enforcement schemes to facilitat

regarding the elements of an effective enforcement program. 

• The three potential approaches are intended to present a variety 

enforcement mechanisms with different possible distributions of 

Issue Number One: The Department seeks stakeholder commthe various aspects of each approach, as well as whether, in t

commenter’s view, aspects of the different approaches can b

combined to form

a more efficient and effective enforcement

program. DOE welcomes other ideas and suggestions for elem

an enforcement program, and commenters should not limit t

comments to discussion of these three approaches.
11 | Building Technologies Program & General Counsel’s Office of Enforcement 

Potential Approach 1

Manufacturer

 Required to certify product efficiencies to DOE (includi

region)

 Required to inform distributors about appropriate regio Required to track shipments to distributors by serial nu

able to lookup distributor by serial number of installed 

Distributor

 Required to inform installers about appropriate regions

 Required to maintain record of purchasers’ signed 

acknowledgements of regional standard requirements

Contractor

 Required to install units in the appropriate region
12 | Building Technologies Program & General Counsel’s Office of Enforcement 

Potential Approach 2

Manufacturer

 Required to certify product efficiencies to DOE (includin

region)

 Required to inform distributors about appropriate region Required to track shipments to distributors by serial nu

able to lookup distributor by serial number of installed u

Distributor

 Required to inform installers about appropriate regions Required to track unit sales to contractor

Contractor

 Required to install units in the appropriate region Required to maintain records and paperwork about inst

including serial numbers and address of installation
13 | Building Technologies Program & General Counsel’s Office of Enforcement 

Potential Approach 3

Manufacturer

 Required to certify product efficiencies to DOE (includin

region)

 Required to inform distributors about appropriate region Required to track shipments to distributors by serial nu

able to lookup distributor by serial number of installed u

Distributor

 Required to inform installers about appropriate regions

 Required to track unit sales to contractor Required to collect from installers and then submit com

basic model number, efficiency, serial number of unit, a

installation to DOE 

Contractor

 Required to install units in the appropriate region

 Required to maintain records and paperwork about inst

location

 Required to provide distributor with serial numbers and 

address for installed units
14 | Building Technologies Program & General Counsel’s Office of Enforcement 

Certification Comments

Issue Number Two: DOE seeks comment on the

periodicity/timing of data submissions for regionalstandard enforcement, including how the existingcertification requirements on manufacturers may n

be altered to accommodate the regional standardsapproach.Issue Number Nine: DOE seeks comment on how t

certification requirements may need to be modified 

accommodate the new regional standards scheme,

particularly with

a view towards which parties shou

certify, and what, if any, additional information sho

provided.
15 | Building Technologies Program & General Counsel’s Office of Enforcement 

Data Collection/Tracking Comments

Issue Number Four: DOE seeks comment on theappropriate level of detail when tracking installationlocation both for internal records and for the Departo ensure DOE can systematically enforce its regionstandards.Issue Number Six: DOE seeks comment on the exist

record keeping schemes currently utilized bymanufacturers, distributors, and installers that the

Department could leverage to reduce burden.
16 | Building Technologies Program & General Counsel’s Office of Enforcement 

Waiver Process

• Concerns expressed by several interested parties rega

potential for select customers to be “stranded” with highinstallation costs resulting from difficult venting situation

• DOE open to considering alternatives to mitigate the un

consequences for a select subset of installations that mseverely impacted. 

• One possible approach to prevent any unintended resu

be to allow a waiver process, in which a party would rewaiver of the regional standard. 

Issue Number Seven: DOE requests views regarding the practi

of

a waiver process, including information on the situations in 

a waiver might be appropriate and the information that would 

necessary to support

a waiver.
17 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures 

Purpose of the New Requirements

• The FTC shall:

“determine the appropriate 1 or more methods fdisclosing information so that consumers, distribcontractors, and installers can easily determine a specific piece of equipment that is installed in specific building is in conformance with the registandard that applies to the building.” (42 U.S.C. 6295(o)(6)(H)(i))
18 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures

Methods for New Requirements

• Disclosure Methods may include:

– modifications to the Energy Guide label; or– other methods that make it easy for consumers and in

use and understand at the point of installation.

(42 U.S.C. 6295(o)(6)(H)(ii))
19 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures

Federal Trade Commission Notice

• FTC Advance Notice of Proposed Rulemaking (A

seeks comment on disclosures for regional stan(76 FR 72872, Nov. 28, 2011) 

• Comments due January 10, 2012
20 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures

Current Requirements (16 CFR Part 305.12

• Manufacturers must place EnergyGuide labels on their pr
21 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures

Current Requirements

(16 CFR Part 305.14)

• Manufacturers must provide distributors and ins

with product energy information in paper or elecform (such as internet-based access) 

• Retailers, including installers, must show this inf

to their customers and let them read it before pu
22 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures 

Disclosure Content

• What language should appear in the disclosures• Example in FTC Notice: • What other approaches should FTC consider?

[For split air conditioner systems rated lower than 14 SEEFederal law prohibits installation of this unit in Alabama, ArArkansas, California, Delaware, Florida, Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, New Mexico, Nevada, North Carolina, Oklahoma, South Carolina, TenneTexas, Virginia, or the District of Columbia.
23 | Building Technologies Program & General Counsel’s Office of Enforcement 

Information Disclosures 

Disclosure Format

• What is the best format and location for the requ

disclosures to ensure the information reaches distributors, installers, and consumers?

- EnergyGuide Labels, Contracts, Invoices, Delivery Tic

Brochures, Product Packaging, and/or Websites?

- What other mechanisms should FTC should consider?
24 | Building Technologies Program & General Counsel’s Office of Enforcement 

Contact Information for Feedback (DOE)

In all correspondence, please include the following:

– Enforcement of Regional Standards for Residential Furnaces 

Conditioners and Heat Pumps,

– Docket Number EERE-2011-BT-CE-0077, and– Regulatory Identification Number (RIN) 1904-AC68

Email: EnforcementFunCAC-2011-CE-0077@ee.doe.gov

Postal: Courier:Ms. Brenda EdwardsU.S. Department of EnergyBuilding Technologies ProgramMailstop: EE-2J, Room 1J-0181000 Independence Avenue, SWWashington, DC 20585-0121

Ms. Brenda EdwardsU.S. Department of EnergyBuilding Technologies Progr950 L’Enfant Plaza, SWWashington, DC 20024Tel: 202-586-2945

DOE Comment period ends February 6, 2012
25 | Building Technologies Program & General Counsel’s Office of Enforcement 

Contact Information for Feedback (FTC)

In all correspondence, please include the following:

– Regional Labeling for Heating and Cooling Equipment (16 CF

(Project No. P114202)

File Online Comments At: https://public.commentworks.com/ftc/

disclosuresanpr

Postal:

Federal Trade CommissionOffice of the SecretaryRoom H–113 (Annex H)600 Pennsylvania Avenue NW.Washington, DC 20580.

DOE Comment period ends January 10, 2012