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# - - = 

# = Tuesday February 7, 1989



# Part II


# Department of Energy

Office of Conservation and Renewable 

## Energy

10 CFR Part 430 

## Energy Conservation Program for 

## Consumer Products: Final Rulemaking 

## Regarding Regulations Related 

## to Energy Conservation Standards for Consumer 

## Products; Final Rule

### &062 Fedend Register 

## I VoL Sf. 

### No. %4 

## I Tuesday, February 7, 1989 

## JRules and Regulations

DEPARTMENT

### OFENERGY

Offlce of Conservation and Renewabl. Energy



### 10CPR 

### Part .30

(Docleet No. CAs-RM-71-110J
Energy Conservation Program for 

### Consumer Products: Final Aul.making Regarding 

### Regulations Related to Energy Conservation Standards for Consumer Products

AGENCY: Department ofEnergy.

ACTION: Final rule.

SUMMARY: The Energy Policy and Conservation Act. as amended by the National 

### Energy Conservation Policy Act. the National Appliance Energy Conservation Act of 19tJ7, and the National Appliance Energy Conservation Amendments of 1988, prescribes energy conservation standards for certain types ofconsumer products. As a general 

### rnaHer. these**Fed~ral** standards preempt State and local standards and any other State and local requirements wHh respect to energy efficiency or energy use ofthese products.

The Department ofEnergy today is**i~suing** a final rule amending Titie 10, Part 430 ofthe Code ofFederal Regulations to include procedures for petitions that may be made

### by States and manufacturers with regard to Federal preemption ofState and local
energy conservation standards.

The role also adds procedures by 'JI:hich certain small businesses may obtain exemptions from the standards and sets forth procedures for certulCation and enforcement o.f 

### the standards. Today's action also includes the following: Clarification ofthe basis for calcula

### hug the heating seasonal performance factor energy conservation standard prescribed 

### bythe Energy Policy and Conservation Act. as amended. for central ail conditioners and heat pumps: an annual energy use

measure for refrigerators. refrigerator. freezers and freezers: and test procedure and sampling requirements for pool heaters.

EFFECTlVI DAn: March 9. 1989.

'OR FURTHER INFORMAnON 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. 

### . FamltalBuildilll**~fail** 

### Station. 

## ce-".

· 1& toOOIndependence Avenue. SW

.. Washington. DC Z0585. (202) 586-9507.

.......IIENTMy INfIOItIlATION: LIntroduction

L Authority.

_ b.**Backgro~d** U. Diacuuion ofComments

a. General Provisionl 

### b. Petitions to Exempt State 

### Replatiou

from Preemption

c. Smail Business Exemptions d. Cenification and Enforcement 

## m. Environmental. Regulatory Impact. Regulatory Flexibility. Paperwork Reduction Act. Takinss Assesameat. and Federalism Assessment Reviewl

a. Environmental Review b. Regulatory Impact Review

c. Small Entity Impact Review d. Paperwork Reduction Act Review

e. Takings ASlessment Review f. Federalism ASlt!sameat Review 8. Regulatory Flexibility Review


### L Introduction

Q. 

### Authority

Part 

### B ofTitle 

### III ofthe Energy Policy and Conservation Act (EPCA). 

### Pub. 

### 1.. 94-163, as amended by the National Energy Conservation Policy Act (NECPA). Pub. 

### L. 96-619. by the National Appliance Energy Conservation Act of 1987 (NAECA). Pub. 

### 1... 100-12. and by the National Appliance Energy Conservation Amendments of 1988 

### (NAECA 1988). Pub. 

### L. 100-351,1 created 

### the Energy CQnservation Program for ConsumerProducts other 

### than Automobiles. The consumer products 

### subject 

### to**thi~** program (often 

### referred to hereafter as "covered products·') art:: Refrigerators. refrigerator-freezers and freezers; dishwashers: clothes**drvers~** water heaters.; central air conditioners and central air conditioning heat pumps: 

### furnaces; direct heating equipment.: television 

### seta; kitchen ranges 

### and

ovens: clothes washers: room air**conditio~** pool heaters: and fluorescent lamp ballasts: as well as 

### any otherconsumerproduct classified by the 

### Secretary 

### ofEnergy. See section 3.Z2. 

### To date. 

### the. Secretary has not so classified any additional products.

Under

### the Act. the program consists essentially ofthree parts: testing, labeling. and mandatory minimum
energy conservation standard&.. 

### The Department ofEnergy (DOE 

### or Department), in consultation with the National Bureau ofStandards. is required to amend or establish new test procedures. as appropriate, for each of

1 Part B ofTitte 111 of EPCA as amended by NECPA. NAECA. and NAECA 1988 II reiRrred to in
thiS notlce as the "ACL" PaM B of Title Ull..l' codified
at 42 U.S.C. 62.91 et**~.** PaM B of Title Dl of E.PCA
.1 .mended by**~ECPA** only. il referred Co In thiS notice 

## I' NECPA. the covered products. Section 323. The

. purpose ofthe test procedures is to provide for test results that reflect the 

### eersY efficiency. energy use. or .timated**annu~l** operating costs of 

### each ofthe covered products. Section 323(b)(3). A test procedure 

### is not required 

### ifDOE**d~termines** 

### by rule that



### one C8JU101 

### be deVeloped. Section

. 323(d)(1). One hundred and**t!1~hty** 'days after a test procedure for a product is adopted. no manufacturer 

### may represent the energy consumption of. or the cost of eneraY consumed by the product except

as reflected in a test conducted

. according to the DOE procedure. Section 323(c)(2).

The Federal Trade Commission (}olC) 

### ·is required by the Act to prescribe rules loveming the labeling 

### of covered products for which test procedures have been prescribed by DOE. Section 324(a). Theseroles are to require thateach particular model ofa covered product bear a label that indicates its annual operating cost and the range of estimated annual operating costs for other models of that product. Section 324(c){ 1). Disclosure of estimated operating cost is not required under section 324 if the 

### ITC determines that luch disclosure is not likely to assist

consumers in making purchasing decisions or is not economically feasible. In such a case. 

### ITC**m~st** require a different useful measure of
energy consumption. Section 324(c). At the present time there is an FTC rule requiring labels under the Act for the follOWing products: Room air conditioners. furnaces. clothes washers. dishwashers. water heaters. freezers. and refrigerators and refrigeratorf.-eezers.44 FR 66475. November 19. 19i9. On December 10.1987, 

### ITC pt..blished a rule requiring labels for

cen:ral air condihoners. 52 

### FR -.t6888.

Fl'r twelve of the covered products. the .'\ct prescribes Federal energy contervation standards. Section 325 (a)(l) and (b) through (h). The Act establishes initial effective dales for the standards in 1988. 1990. 1992 or 1993. depending on the product and specif!es that the standards are to be reviewed bv the Department within three to ten

. years. also depending on the product. Section 325 (b) through (h). After the specified three- to ten-year period. DOE
may promulgate new standards for each product. but such standards may not be less stnngent than those initially established by the Act. Section 325 (1)(1).



### The Act also directs DOE to prescribe

an energy conservation standard no later than January 1. 1989. for small gas furnaces.**i.e~** gas furnaces having an input ofless than 45.000 Btu per hour &

### Federal Register 

## I Vol. 54. 

### No. 24 

## I Tuesday. February 7. 1989 

## I Rules and**Re~ulations** 

### 6063 

# ( and manufactured on or afterJanuary L 1992. Section 

### 325(C)(1J(BJ.

With regard to another covered product. television lets. the Act allows the Department to prescribe an

. applicable standard:

. however. such Itandard may Dot become effective before January 1. 1992. Section 32S(i)(3).

The Act allo permits the Department
to prescribe standards for any other type ofconsumerproduct. that using certain criteria. DOE may classify as a covered product. Section 3%5(i), (1) and (m). Any new or amended Itandard is required to be designed so as to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. Section 325{1)(2)(At

Section**325(1){2}~** B)(i) provides that before DOE determines whether a standard is econom

### ically jl;stifieci it
must first solicit vie vs and ,,:omments

on a proposed standl.n:L After reviewing
comments on the prc,p,saL DOE must then determine that 

### lht, benefits ofthe standard exceed its bwdens.**~'ased.** to the greatest extent practicable by considering:

(1) The economic impa,,:t ofthe standard on the**manufact~J.rers** lnd on the consumers ofthe**produ:'t~** aubject to such standard:

(2) The savings in operating costs throughout the estimated average life of the covered products 

### 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 or the performance ofthe covered products likely to result from the imposition ofthe standard;

(5) The impact ofany lessening of competition. determined in writing by the Attorney GeneraL that is likely to result from the imposition ofthe standard:

(6) The Nation's need to conserve energy: and

(i) Other factors the Secretary considers relevant. In addition. the Act specifies criteria for petitions to DOE in regard to amendments to standards. Section 325(k). Under the Act. any person may petition the Department to conduct a ruJemaking to amend a Federal energy conservation standard for any covered product. Section 325(k)(1). The Department must grant such a petition if it determines that an amended standard will result in significant conservation ofenergy, is technologically feasible and is costeffective. Section 

### 325(k)(2). SeCtiOD

. 325(k)(3) 

### (Al and (B) 

### stipulates that in no cale mayan amended standard apply to**product~** manufactured

### within three years orfive years. dependins on the product. afterpubiication ofthe final rule establishing a standard. Today'. final rule does Dot include procedures and criteria for petitiORI for an amended standard. Since 1990is the eamest date by which an amended standard could apply. DOE 

### will address this issue in a future rulemaking proceeding.

Section 32S(q) provides 

### that manufacturers bavina annual gross
revenues not exceed.ing

## sa million may apply to DOE for an exemption from all

orpart ofthe requirements ofan energy conservation standard. This exemption may not extend beyond two years from the effective date ofany atandard's requirement. This authority will not be exercised by DOE unless. after written consultation 

### with the Attorney General. the Secretary finda that failure to allow the exemption would likely result 

### in a lessening ofcompetition.

Section 326 ofthe Act authorizes the Secretary to impose requirements upon manufacturers to submit information or reports to assure that each covered product to 

### which a standard applies
meets the required energy efficiency level. Today's rule establishes certificstion provisions that include testing by the manufacturer and submission ofcompliance and. certification data to DOE. The Act also specifies that in determining inIonnation requirements. DOE consider existing

sources ofinformation. including

nationally recognized trade associahon certification programs. Se.ction 326(d).

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

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

or regulations are superseded by the Act. Section 327 (a) through (c). Exceptions to this general rule include: (1) State standards prescribed or enacted before January 3. 1987, and applicable to products before January 3. 1988. may remain in effect until the applicable standard begins (section 327(b)(1)); (2) state procurement standards which are more stringent than the applicable Federal standard may remain 

### in effect (section 327(b)(2) and (e)): and certain building code req:lirements for new construction may remain 

### in effect until the applicable standards begin. and. ifcertain criteria

are met. the codes are exempt from Federal preemption (section 327(b)(3) 

### and (f)(1) 

### through (f)(4)); state regulations banniDg constant burning pilot lights 

### in pool heaters are exempt from Federal preemption (section 372(b)(4)): and State standards for television sets effective on or after January"l, 1992, may remain in effect in the absence ofa Federal standard for such product (section 327(b){6)).

Another exception 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. relating to the revision ofFederal standards for this product category. the 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 or after January 1,1990. Section 325(b)(3)(A)(ii)(l) and section 327(c).



### In addition. ifDOE does not publish a final rule before January 1. 1992.. relating
to the revision ofstandards for

. refrigerators. refrigeratOf-freezers and freezers. any State regulahon which applies to such products manufactured

on or after January 1. 1995. is exempt from Federal preemption until the effective date ofa Federal standard. Section 325(b)(AJ(ii)(II).

A State whose energy conservation standard is preempted may petition the Department for a rule that it not be preempted on the basis that the State regulation is needed to meet unusual and compelling State or local energy interests. Section 32i(d). Ho\vever. DOE
cannot issue the requested rule 

### if it is established that such State regulation will significantly burden marketing, manufacturing. distribution. sale or servicing of the covered products. or is likely to result in the**'.'I"'I'::I'I'''']'!~I** ..... I •••• the State of any covered product \\'ith performance characteristics that are substantiallv the same as those generally a;ailable in the State at the time ofDOE's determinahan. Section 327(d)(4).

The Act further provides tha1. except under certain energy emergency

### 6064 Federal Register 

## I Vol. 54. 

### No. 24 

## I Tuesdil)·. February 7. 1989 

## I Rules and**Re~'Clations**



### conditions. 

### aDy Stateregulationfor which exemptiOl1isgranted 

### Ihall apply
to products manufactured 

### threeyears after

### DOEpublishes 

### such a rule in 

### the Federal RePster. or five years after 

### pubficalion. 

### itDOE finds 

### that additiaaal time is necessary for 

### retooling and redesign. Section 3Z1( 

### d](5}.


### b. BacJc,nJund

NECPAreqaired 

### DOEto 

### estabUsh mandatoryenergy efficiency standards for 

### each of13 

### coverage products.· 

### These standards were to 

### be designed to 

### achieve the maximumimprovement in energy efficiency 

### that was 

### technologicaHy feaSible 

### and economically jnstified.**~E(;PA** providPd. 

### however. that no standard for a product be

### estashUshed 

### if there were no test 

### procedure for the product. 

### or 

### ifDOE determined by role 

### either that a standard 

### would not result 

### in 

### significant conservation 

### ofenergy, 

### or that a standard 

### was not technologicany feasible or 

### economically justified. 

### In determiningwhethera 

### standard 

### waseconomically 

### justified. the Department



### was directed to determine whether the b'!nefits 

### 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 covered products 

### were given priority. These. nine products 

### were: Refrigerators

(ind refrigerator-freezers, freerers. clothes ciryers, water beaters.. room 

### air**c~"T1ditioners...** home 

### heating equipment
not includIng 

### furnaces. kitchen ranges**~nd** ovens.. central airconditioDers. 

### and f:lmaces.



### On June 30. 1980, 

### DOE. set forth its first proposed rulemaking for the nine products. 45 

### FR 439i6. 

### (Hereafter referred 

### to a.! 

### the June 1980 proposal}

.. 

### 11

d 1so 

### propotied comprehensive requirements fofcertification and e:1.forcement of the standards as well as rriteria and procedures for petitions from small businesses seeking temporary 

### e:x.emption from 

### standards and by 

### Slates seeking 

### exemption far regulations subject to the general preemption requirements 

### ofNECPA.



### On April 2.. 1982.. 

### DOE

### published a further notice- ofproposed n.tlemaking WIth respect to the nine priority products. 47 FR 14424.. (Hereafter referred 

### to as. 

### the April 198% 

### proposal).

I Th.**~r** prodactJ C8W1"IKf by. NEOA meluded: Re**f~** to.n an.c:i rdnseratw-frene::s; freezus-

..**dah.~~.** cloLhes ctryera; wetl!'r'**iHt~** room air concll.tlonera: home huuns.**~~mt** not sncludlng fumaC1!'S: f'er"Jllot1 sett': Knchen rentel and oven.;**c1o!h~,** weters: humidifiers end d hUIPlt<Uf.e**r'S~** C'I'1'\tra.i alT c.cmdTtWIws::a:: attd furnace

.. 

### Among other

### thinp. 

### lb. April198Z 

### proposal included rule. lovemiDl petitiODI to 

### DOE 

### bothby 

### States to 

### obtain exemption.from preemption 

### of State or local

### eaergy efficjeDCY 

### .tandarda. II 

### weD as

### by manufacturers 

### to obtain preemptiQD.

### ofState 

### orlocal

. standards. '.'
OD

### December22. 1982.

### DOEpublished

• final rule thatefficiency.taDdards

were 

### not

### warranted fortwo Q'J\...:ed products 

### (clothes dryen and 

### kitchen ranles aDd oyens) 

### and that a"o prescribed 

### final procedure. 

### by which

. States might 

### obtainexemption

### for State



### orlocal 

### efficiency standards 

### from Federal preemption. 

### 8J3d 

### by which 

### manufact:a:ers might obtain preemption ofa State or local standard not 

### otherwise preempted. 47 

### FR S7t98. 

### (Hereafterreferred to as the December 1982

### final rule).



### On August 30. 1983. 

### DOEpublished 

### a final rule with 

### respect to six additional covered products: 

### Refrigerators and refrigerator-freezers. freezers. water heaters. furnaces, 

### room air coftditioners 

### and central 

### air

### £onditioners. 48 

### FR 393'78. (Hereafter referred to 

### as the 

### August 1983 

### final rule). 

### For each of

### the six 

### products covered 

### by the August 1983 

### final rule. except central air conditioners. DOE 

### determined 

### that an energy efficiency standard 

### would not result in significant**con~rvation** 

### of 

### energy and would not**b~** 

### economically justified. 

### With respect to central air conditioners', DOE 

### found that an energy efficiency standard would 

### result in 

### significant conservaticn of

### energy, but would 

### not 

### be economically jtIstified.

On April 1" 1985, DOE published a proposed role with respect to fOUI

_ covered products: Dishwashers. television sets, clothes 

### washers and humidifiers 

### and dehumidifiers. 50 

### FR 12966. (Hereafter referred to as the 1985 proposaL) For each ofthe four products covered 

### by the 1985 proposal, DOE proposed that an 

### energy efficiency 

### standard would 

### not be economically justified and would not result in a significant conservation ofenergy

..

During 1983, DOE's December 1982. and 

### August 1983 

### fmal rules 

### were challenged in a 

### lawsuit brought. by the Natural Resources Defense Council (NRDCI and others 

### against the Department. On

### July**1~** 1985, 

### the 

### us.. Cou.rt ofAppeals 

### for the 

### District of Columbia Circuit set aside DOE's December 1982 and August 1983 final roles. NRDC v. He.rringwn. 7611 F..2d. 13.» 

### (DC Cir. 1985).

Consequently. on l-.1arch S. 1986. DOE published notices in 

### the Fedes:alllelister removing the December 19&2. and August 1983. fmal 

### n.tl.es 

### acd withdra

### wing the 1185 proposal 51 Fa 75-19 

### aDd 51 

### FR 7582.



### As required 

### by NAECA. whien was enacted OD 

### March 17, 1987, 

### and which established 

### energy conservation atandards forcertainappliances. DOE 

### published aD 

### advancenotice of proPOIed 

### relemakinl regarding amended standards 

### forrefrigerators. refrigeratorfreezers. and freezers and regarding establishing standards for small gas fumace. and television sets. 52 

### FR 48387. 

### December7. 1987. 

### (Hereafter referred to 8S 

### the December 1987 

### advance notice.) The December 1987 

### advance notice presented the product 

### classes and analytical methodology for 

### DOE'. analysis in 

### the rulemaking for 

### these three 

### products. The Department 

### published a notice ofproposed rulemakins 

### on December 2. 1988.. 

### proposing to increase t.i.e standard 

### level for refrigerators. refrigerator-freezers. 

### and 

### freezer!: to -establish a standard of i8 percent 

### AFUE for small gas fumacl!s 

### and to determine that 

### no standard be established at this time for 

### television sets. 53 

### FR 48798.



### On March 4. 1988. 

### the Department published 

### a notice of

### proposed n.:..lemaking concernIng regulations 

### implementing certain provisions of NAECA.. 53 FR 7110

.. 

### (Hereafter referred 

### to as 

### the March 1988 proposal.) 

### In
response 

### to the**~1arch** 1988 

### proposaL four trade associabons representing appliance manufacture:s testified at the public**he~(ll1~** held on April 12. 1988. and durirl2 Ll-te comment period p.nding**~fay** 3. 1988. D(JE received nine written**comment~·** from manufacturer!. trade associatio 1!' ana**S~a** te govemments. The issues raised it: the Testimony and written con,ments**a~** addressed in section II ot this norce. Todav's 

### finat 

### rule**re~ponas** to tht! 

### :::otn..."Ilents received



### on the Marct. 1988 p.::>posal.

On March .5, 19FA).. the President signed Execut ve 

### Ord**~r** 12630 (53 FR -8859, 

### March 18 19&5}Hrecting that agencies review proposed reg'..lIations to 

### avoid unnecessary 

### taking ofprivate property and to assist agencies in accounting for takin8 private property 

### necessitated by 

### statutory mandate

..



### The Executive- Order states:

"Policies that heTe takings impH1:ations" refer to Federal reguiations. propoS4!d Feoderai**legisl8tio~** comment, on proposed FedeNtl legislation or other Federal policy st8f"emenrs, that.. if implemented orenacte!L could tMTect a taking. such. aa nsle. and regulanona**tha~** propose or**implam~t** ucan.s.ing

.. peTm..tttu18 orothel condihoD**req~er1t.** orliD\itaLiona

on private property u.ae. or' t.hat ntquu-e dedica.n.ona ore-'Ca.e.tIODe. from ownen. of privata ;u-operty.

### Fed.raI Register 

## I Vol. 54. 

### No. 24 

## I Tuesday. February 7. 1989 

## I Rules and Regulations 6065



### Since the Executive

### Onier

... 

### i.uect after 

### the March 1988

### PropouJ. the proposal 

### did Dot

### include a HCtiOD on this requirement. 

### The Department

### bal conducted .uch 

### an a.s_ment of 

### toda,'. rule and bal coDcluded that these'replations do not constitute a takinl ofprivate property. A discussion ofthis .Iaesament appears ill section

# m ofthis DOUce.

Today'. Dotice also addresse, Executive Order 12612. "Federalism", Executive Order 12812 requires that regulations orrules 

### be reviewed for any lubstantial direct effects on States, on the relationship between the National lovemment and the States, or on the distribution ofpower and responsibilities amon8 various leve.8 of 10vemmenL 

### Uthere are sufficient substantial direct effects. then Exec 

### It'\'e Order 12612 requirel prepafation of 1 federalism alseSSinent to 

### be used in 

### i.U decisions involved in promulgating a'ld implementing a re8ulation or a rule.

D. DiscussioD of

### CommeDt,

There was 8eneral agreement among the comments that DOE's March 1988 proposal was clear, workable and equitable. Comments recommending**cha~es** and requests for clarification focused primariJy on certilication and enforcement and preemption ofState regulations. The comments also ineluded question. and suggestion. concerning certain definitions in the March 1988

. proposal. The following discussion addresses these comments. 3



### o. GeneralProvisions

The 1987 NAECA amendments NECPA included several definitions of
tenns which also are defined in 10 

## eFR
Part 430. However. lome ofthe definitions contained in the Act are inconsistent wilh those previously adopted by DOE regulation. Therefore. DOE is amending 10 CFR Part 430 by adopting the definitions contained in the Act. Since these definitions were established by law and are not subject
to revision. they were not included in the 

### March 1988 proposal. However. the preamblp. to the March 1988 proposal did include a list ofthese terms and definilions. The tenns included in today's final rule are "energy

conservation standard.

... "furnace." and

U water heater.··

The American Gas Association (AGA) commented that it sees no need for DOE
to adopt the term "energy conservation

J CAmments on the**~rch** 1988 propoe.if were 81S18:led docl..et numbers and 8M! numbered**con~cutJ'velv. ~nntn~**  wHh No, :194, Comments presented a1·r.he Apnlli 1988. pubhc heanng are adentlfied

.. TnlJrnony. 

### ltaDdard" iD place 

### of

........,efficiency combultion ,yatem values. The 

### .laDdanL

.. 

### (AGA. No. Z2OO. 

### at 3). 

### Aa

. HydroDica 

### lnabt..ate 

### a1,0 questioned stated 

### ill the preamble to the

### March 1988 whether the weathert.led fumaces and proposal aDd above 

### ill 

### today'. DOtice. boilers bave to meet 18 and 80 percent DOE iladoptinl thil 

### and other' 

### A.FUE. respectively, when calculated as definitionsutabU.bed 

### by the Act.

. outdoorunits in accordance 

### with the



### SimUarly, the NAECA amendments DOE test procedures. ormust the included term, which are not found weatherized units meet 18 and 80 

### CUlTently in 

## 1430.2 of10

### CFR Part430. percentAf1JE when calculated as DOE today 

### is adoptinl tbelesislated indoorunits. (Hydronics Institute.

. definitions. The terml 

### are: "Annual fuel Teltimony). Thf! Department believes utilization efficiency:' '-pool heater," the language 

### in the Act and the March and "weatherized warm air fumace or 1988 proposal is clear. specifying an boilel\"lJkewile 

### the NAECA 1988 outdoor unit Amendments included tennl which are Two comments addressed the
not found in 

### I 430.2 of10 CFR Part430. proposed definition for packa8ed DOE today il .1so adopting those

- tenninal heat pump. The Air legislated defmitiona. The terms are: Conditioning and Refrigeration Institute uFluorescent lamp ballast" and "ballast (ARJ) suggested that DOE adopt ARl's efficacy factor." Also, 

### in regard to test definition,-whicb states that the unit procedures. DOE i. adopting the "should" have other supplementary heat follOWing legislated tenns in a new 10W"Ces, rather than "may" have'**}~ppendix** (Q) to Subpart B ofPart 430: lupplementary heating available as UF4OT12 lamp." uF96T121amp," proposed by DOE. (ARt No. 2197. at 2). "F96T12HO lamp," "input current," The AGA stressed that the existing "luminaire,It "ballastinput voltage," definition for packaged terminal alf "nominal lamp wetts," "power factor," conditioner restricts the use ofgas as a "powerinput:' "relative light output:' heating energy SOurC2. even though units and "residential building." utilizing gas are available commercially.

A:t noted in the March 1988 proposal. AGA stated that to adopt this definition**~nnuaJ** fuel utilization efficiency (AFUE) as the basis for the definition of is determined in accordance with § 4.6 packaged terminal heat pump would ofAppendix N to Subpart B ofPart 430. further restrict the use ofgas as an Because the current provisions'for acceptable source ofheating energy. determining AFUE are not consistent (AGA. No. 2200. at 3). with the legislated definition. DOE The Department accepts 

### ARl's point proposed and. today. is adopting that the suggested word change implies amendments to 

### I 4.6 ofAppendix 

### N a preference or good practice. Likewise. which conform to the NAECA DOE agrees with AGA that the current amendments. definition for packaged termInal air

The Hydronics Institute commented**co~ditjoner** and the proposed definition that the expression (1 

## + 0.7). in the for packaged tenninal heat pump denominator ofthe equation should be exclude the use ofgas as an available (1 

### + Q. stating that modulating units. energy source. Today's notice reflects being rated at each design heating these recommendations. requirement. will have varying values of The International Environmental

Q (Alpha). (Hydronics 

### Institute. Corporation (lEe). a manufacturer of Testimony). The Hydronics Institute's hydronic and direct expansion fan coil luggested change may be a technical' units. requested clarificatIon on the improvement to the test procedure. but it number ofunits comprising a is not pertinent to the substance of this "collection" since the definilion of rulemaking. It is not DOE's intent to ·'batch" in the March 1988 proposal address test procedure issues in today's states the it is a collection of notice. units of a basic model from

The March 1988 proposal stated that which a batch sample is selected. 

### (IEC. the measure ofAFUE is based on the No. 2195. at 1). A ··collection·· means all assumption that weaL'lenzed furnaces units in a manwacturer's possession of a and boilers are loeated out-of-doors: single production run of a basic model. that Don-weatherized furnacp.s are The Department also received located indoors and all combustion and comments concerning test procedures ventilation air is admitted through grills and units to be tested. The Association

or ducts from the outdoors and does not of Home Appliance**~1anufacturers** communicate with the air in the**(~\1)** and Whirlpool Corporation conditioned space: and that non- (\'Vhlrlpool) were concerned that DOE

weatherized boilers are located indoors. has not stated clearly that compliance These amendments willlikeiv result in WIth any standard established by the many non-weatherized**(indo~r)** furnaces Act is based on the mean energy value being rerated to reflect isolated- for a basic model rather than on each

### eC66 

### Federal Register 

## I Vol. 54. 

### No. 24 

### i 

### Tuesday, February 1, 1989 

## I Rules and'Regulations

individual uniL (AHAM. 

### No. 219& 

### at2- 3. 

### and WhirlpooL

# t'0' %194. 

### at 1).



### The Department sees no reason to address 

### this. iSlue 

### in today'I 

### rule since the test procedures already establish the requirement as being basic modelspecific. As IUCh. 

### each test procedure already includes the method 

### for determinin, the applicable energy descriptor. Therefore. in order for a manufacturer to certify compliance with

a standard. th'e energy value calculated in accordance with the sampling provisions in 

### I 430.23 

### must meet or exceed the standard. These provisions

are based on mean and adjusted mean values.

.c\HAr.\i 

### also suggested that DOE amend § 

### 430.23 so that it applies clearly
to the energy conservation standards in section 325 ofthe Act. 

### (AHAM:. No. 2198. 

### at 3).



### In response to AHAM's suggestion. the Department today is amending the language in the first paragraph of

_ § 

### 430.23.

The National Electrical Manufacturers Association (NE..'\iA) 

### commented on the March 1988 

### proposal in anticipation of fluorescent lighting fixtures becoming a covered product

..**~\{A** 

### urged DOE to

- determine that test procedures for fluorescent lamp ballasts are not required under section 323(d)(l) ofthe Act. (NEMA, No. 2202. 

### at 2-3).

The Department rejects**NE...~'s** 

### reasoning. DOE can make a fmding under section 323(d)(1) ofthe Act only if
test procedures cannot be developed which meet the requirements ofsection 323(b)(3). That subsection states that "Any test procedW'e· • • shall be reasonably designed to produce test results which measure energy effiCiency, energy use. or estimated annual operating cost ofa product· • • and shall not be unduly burdensome to conduct.

It 

### Congress recognized and the legislation specifies a test procedure which meets the requirements ofsection 323(b)(3) 

### of the Act. That test procedure is .A..NSI C82.2-1984, 

### The American National Standard for Fluorescent Lamp Ballasts**~1ethods** 

### ofMeasurement.**t\E~1A** 

### also requested that DOE include in todav's rule several definl

### tions contained in the 1988 

### Amendments. These terms include. 

### inter alia. 

### "fluorescent lamp ballast." "ballast efficacy factor." "fluorescent lamp," "luminaire." NEMA also urged DOE to conduct a new rulemaking to ensure that fluorescent lightIng fixtures are addressed adequately in the regulations. No. 2202. 

### at 10).

The 1988 Amendments wef"el pending before ConSlre55 dunns tne comment penod for th15 rUlemaKing. 

### 11Ie 1988

### Amendments were not included 

### in

### the.Act

### until afterthe 

### March 1988 

### proposaL 10

### DOE did not addreu fluorescent 

### lightinl fixtures in 

### the March 1988 

### proposal. However. the Department ' conaiders it appropriate 

### to include 

### this coveredprodud in today'. final 

### rule. since it wal discuued in comments received on the March 1988 

### proposaL Therefore. DOE il 

### adoptin, the legislated definitions. 

### and standards contained in 

### the NAECA 1988 amendments. The Department

### will address additional regulations. 

### u needed. in a separate rulemaking dealing 

### with fluorescent-lamp ballast.;

A. stated above. and in the March 1988 

### proposal, the Act establishes standards for 12 

### types ofappliances. Since these standards are established

.. by law. they are being adopted today without comment.

The California Energy-Commission (CEC) commented on the classes established for the covered products. in particular for refrigerators. The CEC pointed out that there is no class' assigned for refrigerators with automatic defrost or for refrigerator-freezers with automatic defrost and internally mounted freezers. (CEe. 

### No. 2201, 

### at A1). 

### Since this relates and was the subject ofcomment to the December 1987 

### advance notice, DOE's review and determination ofthese options will be included in 

### the refrigerator rulemaking mentioned above.

CEC also suggested that DOE revise the standard for water heaters 80 

### that the formulas used to determine the energy factor are based on actual measured volume instead ofrated volume. CEC also requested DOE to include a defmition ofthe term "rated storage volume." (CEe. 

### No. 2.201, 

### at A2).

### Today's final role addresse! the implementation ofmajor provisions of the Act. Since CEC's comment actually relates to test procedure issues. DOE will include this in a pending rnlemaking concerning amendments to the test procedW'es for water heaters.


### b. Petitions To ExemptState Regulation From Preemption

The Department received several
comments concerning the critena and procedures by which States may petition DOE for exemption from preemption.

NE.t.\1A opposed DOE·s proposed amendments altogether, stating that 

### the Department'

### s action will allow States to petition for exemption from Federal preemption. NE.t.'AA added that it 

### cannot envision any unusual or compelling interest to justify DOE granting a State's petition.**(~r:.\1A,** 

### No. 2202.. 

### at 10). 

### NEMA

### is incorrect 

### in its understandins of

### the Act and ofDOE's March 1988

### proposal. It i.-the statute. not the Department'. regulations. 

### that permits Statel to petition DOE for such exemptions. Section 327(d)(1)(A) ofthe Actprovides that:

An, State with a Statetreplation which providn for any enefIY conservation .tandard· • • with respect to energy use or enel'lY emciency for any· • • covered product for which there is a Federal· • • .tandarei· • • may file a petition with the Secretaryrequesqa rule that such Stat3 rqu1ation become effective.· • • 

### Section 327 ofthe Act also_establishes DOE's responsibilities for considering such petitions and**req~ires** 

### that a State petition established by a preponderanee ofevidence that such regulation is needed to meet unusual and compelling State and local interests.

Whirlpool and AHAM urged DOE to emphasize that the Department may not grant a State petition ifevidence shows that the rule will result in the unavailability in the State ofany covered product (or class) of perfonnance characteristics"

.. • that

are substantially the same as those generally available in the State at the time ofthe Secretary's finding:' (Whirlpool. No. 2194, 

### at 3, 

### and AHA\i, No. 2198. 

### at 14).



### This criterion is prescribed in section 327(d)(4) ofthe Act with regard to State petitions. A similar provision. regarding

new or amended standards. is :('ntained in 

### section 325(1)(4) ofthe ",,"ct. Whirlpool and 

### A.HNv1 believe that batt. theSe provisions should be includet: in today's rule. The provision establishe j 

### in section 327(d)(4) 

### ofthe Act pe1tnining to State petitions appeared in § 43G.41 

### of the**~iarch** 1988 

### proposal and,**hkt~wist.,.** 

### is included in 

### today's final rule. TJday': action. however, is nat a star;.dards' 

### rulemaking, therefore, section 3:,:", (.)(4) 

### ofthe Act does not apply to the regulations contained in this**notic~.**



### The Gas Appliance Manufacture

..·s Association (GAJ.\1A) argued that the Department misinterpreted section 32i(d)(5) 

### of the Act. GA.L\tA 

### contends that no rule granting a State's petition may permit a State regulation to oecome effective earlier than three years from the date such a rule is published in the Federal Register.**GA~L-\'s** 

### understanding ofthe Act is that there

are no exceptions to this provisio:l. Therefore, in the case of an energy emergency condition. DOE may allow a State to implement its regulation before the earliest possible effective date for the revision ofthe applicable standard, but in no case maya State regulation become effective before three**yea~** 

# )

### Federal Register 

## I Vol. 54, 

### No. 24 

## I Tuesday, February 7, 1989 

## I Rules and Regulations 

### 6067 

# ( from the date

### DOE**~tI** 

### the petition. 

### (CWA No. 

### 2198.&' 8.)



### The Departmentrejectl 

### CAMA'I arpmenLThere 

### is DOtbinS in the Act 

### preacribin8 

### orluaesting that the 

### requirements of

### lection 327(d)(5)(A) 

### dictate the terms ofa 

### fincling that an energy emergency condition exists • within. 

### State. 

### Ua State hal established thlt'luch a condition exists, 

### GAMA'I Interpretation 

### would nesate the remedy provided by 

### lection 327(d)(5)(B) 

### ofthe Act. The March 1988 

### proposal and todaY'1 final rule recognize thil remedy. Therefore. 8 

### nile exempting a State Itandard from Federal preemption will be effective upon publication in the rederal Register ifDOE determines and publishes luch determination in 

### the Federal Regilter that luch rule 

### is needed to meet an energy emel"8ency condition existing within the State.

Several "'omments maintained that DOE did not provide adequate guidance and criteria concerning the content of State petitions.



### AHAM stated that the Department should emphasize that the Act does not favor exemptions and that DOE intends
to scrutinize petitions to ensure that the intent ofthe waiver criteria is met.**(~t** 

### No. 2198. 

### at 2 

### and 11.) 

### In addition. Whirlpool and A.HA.L\1 

### urged DOE to emphasize 

### that the criteria under 

### NAECA. are significantly more difficult to satisfy than those prescribed by !\"'ECPA. 

### (Whirlpool. No. 2194, 

### at 2-3 

### and AHAM. No. 2198, 

### at 2.)



### These comments suggest. ifnot assert that 

### the Act discourages states from seeking a rule to exempt a State standard. The Act establishes general rules ofpreemption and allows for the waiver ofFederal preemption. prescribing the conditions under which DOE mayor may not grant a petition. While the grounds for the waiver may be argued to be more stringent than formerly. they need be established by**~e** 

### State only by a "preponderance of the evidence." DOE will examine each petition for adherence to the actual requirements ofthe Act and DOE's regulations.

Pursuant to NECPA 

### the Department. in considering a State petition. was required to determine that there was a significant State or local interest to justify a State standard and that such a standard was more stringent than the applicable Federal standard. NECPA prohibited DOE from granting a petition, however. ifit 

### determined that 

### a State standard would unduly burden interstate commerce. NECPA did not require a State to prove 8 

### negative prediction. i.e.• that 

### its standard would
not impose an undue burden on interstate commerce. The Department's . replationa required a petitionerto

. describe the lipificantState

### orlocal Interest

### justifyins the State standard and any otheriDformation the State considerednlevant or

### the,Department requir.ed. '

The Act. al amended by 

### NAECA. requires DOE to IfBnt a State petition 

### if 

### certain criteria 

### are satisfied, though. theaeCriteria are differenL DOE muit IfIlnt

### a Statets petition 

### ifitfind, that the State hal eltablisheeL by a preponderance ofthe evidence. that luch a ltandard is needed to meet unusual and compellins State 

### orlocal energy interests. Thil term. al defined by the Act. Includes factors to establish the difference. in 

### nature and magnitude, between the State's interests and those**prev,9ilingl~** 

### the U.S.lenerally. and the cost, and benefits resulting from the State regulation that would make it 

### preferable or necessary when compared
to the**t~osts** 

### and benefits ofalternative approaches to energy savings or production. The Act also requires DOE to evaiuate the State·. claim ofunusual and compelling State or local interests within the context ofthe State's energy plan and forecast.

The Act prohibits the Department from granting a petition if

### it finds th:Jt interested persons have established. by

a preponderance ofthe evidence. that the State standard will 

### significantly burden manufacturing. marketing. distribution. sales. or servicing ofthe

. covered product on a national basis. The

Department must evaluate all factors. including the impact on manufacturing and distribution costs and on small businesses: the extent to which the standard would cause a burden to manufacturers: and the extent to which the State regulation is likely to contribute significantly to a proliferation ofState standards. The Department also may not grant a petition 

### ifinterested persons have established by a preponderance ofthe evidence. that the State standard is likely to result in the unavailability in the State ofany covered product type (or class) of performance characteristics (including reliability), features. sizes. capacities and volumes that are-substantially the lame as those generally available at the time ofDOE's finding.



### It is important to note that pursuant to the Act as amended by 

### NAECA, again,

a State is not required to prove a negative prediction. Le

.. that a State standard will not Significantly burden manufacturing. marketing. etc

.. or that 

### a standard will not likely result in the unavailability in the State ofany covered product type. etc.

The Department's regulations. as contained in today's notice. require a petition to include 

### a copy 

### ofthe Slale·, enellY

### planand forecast. 

### and any other lDIormation the petitionerbelieves 

### is pertinentorthe Department may require.



### In addition to comparinl 

### the requirements f\lr Stale petitions under 

### NECPA and 

### NAECA. DOE believes the above discussion responds to ihe New York State Energy Office (NYSEO) request that DOE c13rify**'~burden** 

### of proof' requirements for petitioners and interested persons (those submitting
comments on petitions). (NYSEO. No. 2199. 

### at 

### 2).

On a related issue. 

### CA.J'1A urged 

### DOE
to be explicit. through examples or requirements. that the burden ofproof

on States to 

### justify exemption is**ver~'** 

### high. 

### (GAMA, No. 2196. 

### at 5-6). 

### The California Energy Commission (CEC) 

### also encouraged DOE to specify. through regulation. what type ofinformation DOE expects in petitioDS. (eEC.**~o.** 2201. 

### at 10).



### In addition. AHA..\A 

### and Whirlpool Itated that among othe: things. DOE 

### should require each petItion to provide the basis for differentiating its State energy problems from supply and consumption issues facing other States. (A.HA.\1. 

### No. 2198. at 11 

### and \Vhirlponl. No. 2194. 

### at 2-3). AH

..**~\.f** 

### also suggested that States must show tha t 

### less restrictive altematives. such as voluntary standards. consumer education or rebates. cannot accomplish substantially the same objectives as Itandards. (AHAM. No. 2198. 

### at 12).



### The Act is clear as to the criteria DOE must consider and evaluate in determining whether or not to grant a State petition. In 

### light ofsuch clarity. the Department disagrees with the
comments that petitioners will not know what information to include in their petitions.

The March 1988 

### proposal provided examples ofinformation and data that would be helpful to DOE in 

### its consideration ofa petition. The Department believes those examples are adequate guidance. Moreover. in view of the criteria described above. DOE will reject. with explanation. any petition which does not contain sufficient information. In 

### such a case. the petition may be resubmitted.

The CEC stated tha1. 

### since time will be ofthe essence in the petition process. DOE should establish regulations for a discovery process allowing for written interrogatories and requinng that all data and quantitative statements in petitions and comments be fully documented. (CEe. 

### No. 2201. 

### at 11.)



### Section 336(a)(1) 

### ofthe Act includes the petition process in a provision

### 6068 Federal Register 

## I Vol. 54. 

### No. 24 

## I TuesddY.**Februa~** 

### 7, 1989 

## I Rules and**R~tions** 

## requirinl opportunity for public
comment 

### duri11l the rulemaking procesliq. However. UDder 

### section 336(a)(2). the "opportunity to question" applies 

### only to rulemaldngs conducted under 

### section 325 

### (standards) 

### ofthe AcL 

### It appears that the CEC contemplates other types of

### evidenlary 

### procedures which are appropriate for 

### adjudicatory types ofheaMIL 

### DOE does Dot believe the 

### petition process should 

### be so expanded.



### In regard to documentation ofdata and quantitative statements contamed in petitions 

### and comments. section 327 ofthe Act already requires 

### that States and 

### interested parties provide Itevidence" on which

### DOEmustbase 

### its determination. The Department 

### believes that those who 

### will file petitions and submit comments 

### are aware that their ability to succeed 

### in such rulemaking proceedings 

### win be based 

### on the inlonnation contained in 

### these documents. As such. 

### DOE expects that data and otherquantitative material will be documented fully. As mentioned previously. DOE will review thoroughly each petition 

### and comment for content and 

### completeness.



### A.HAM. GA..\iJ\ 

### and ARI commented that

# wno case should DOE grant a petition without holding 

### a public hearing. (AHAi\t No. 2197, at 12: 

### GAMA. No. 2196. at 6; and 

### ARI. No. 2197. at 2.) 

### AHAM stressed 

### that at least

ODe mandatory public heering should be held on each petition unless 

### DOE determined that Ha petition is insufficient on its face to warrant further consideration." (AHAM.. No. 219B. at 1.2..)

As discussed above. section 336{a){1) ofthe Act requires DOE to bold a hearing and provide a comment period for rulemakings pertaining to (section
327 of the Act) state petitioos. as well a8 for rulemakings conducted under sections 323. 324. 325 

### and 328 of the Act. Therefore. DOE haa concluded that it ia unnecessary 

### to include 

### t.b.a as a requirement-in today's rule.

ARl quesHoned whether the Federal Register notice ofa final rule grantiIlg 

### or denying a petition will contain the actual text ofDOS. determination. i\Rl believes such text should be included and available for public review. AR1 also stated that § 430.48 (request for reconsideration) of the March 1988 proposal was inadequa

### tee ARl suggested that this section require petitioners requesting DOE 

### reconsideration ofa denial to serve copies 

### ofsuch request on interested persons. at least these who commented on the petition. AR1 also DOE to publish a Federal Register notIce upon receipt ofa request for reconsideration, soJ.iciting comments.. 

### data 

### aDd iDformatiora. (ARL No. Z1fJ1, at

. 3-4.)



### SectioD 430.48 

### ofthe 

### March 1988

.proposal and 

### today'. rule atate that 

### the Federal

## Resisternatice 

### will include lbe 

### realona and 

### basis 

### for a final 

### rule 

# srantiuaor den)'iJig a petitiOD. M 

### .uch. the 

### Federal 

## KePler DOtice ia the actual

. text ofDOE-, 

### determination. 

### AlIO, since



### • denial ofa petitioD 

### will be reconsidered



### only 

### ifit demonstrated 

### the 

### .:lema! wa. based on an error i.D law or 

### fact. and that 

### evidence ofthe error

### it found ill 

### the record of

### theproceedi.ns. thil 

### procesa is not subject ta the pubUcnotification and request 

### for commentrequirements 

### of

### a rulemaking 

### proceeding. The Department·. does have the flexibility. however. to order a petitioner to 

### serve copies of

### the request for reconsideration. 

### in a 

### timely

manner. on interested persons.



### Finally. the 

### NYSEO requested clarification on the applicability ofthe preemption provisions concerninl products manufactured prior to the 

### effective date of

### FederaJ standards. The 

### NYSEO interprets the 

### Act to provide that such products remain subject to pre-exisMg 

### Itate standards. (NYSEO. No. 2199. 

### at 2-3.)

The Department agrees with the 

### NYSEO's understanding ofthe 

### Act A 

### State standard would 

### be preempted upon the effective date ofthe applicable Federal standard. However. the preexist.ing State standard would apply to products manufactured prior to the effective date ofthe 

### Federal .tanda.rd..

c. 

### SmallBusinessExemptions



### Pursuant to 

### se<:tion 325(q) ofthe Act. DOE proposed. and today is adopting. a

new Subpart E that establishes procedures 

### by which manufacturers.. whose annual gross revenues for the preceding 12·month period do not exceed $8.000.000. may petition DOE 

### for temporary exemption 

### from all or part of

an energy conservation standard 

### for up to 24 months from the date such standard is effective.



### In reference to this provision. i\Rl urged DOE to make it clear that an exemption may 

### not exceed 24 months... ARl also commented that the March 1988 proposal 

### did not provide adequate opportunity for public review and
comment on applicatioD.J for exemption. i\Rl recommended that all materials submitted by an applicant be available for public review, 

### that DOE publish 

### a Federal Register notice upon receipt of each 

### application. and that DOE be explicit io prOViding opportunity for public comment 00 

### such applications. (ARl. No. 2197. at 4).

.

The Department believes that the language in both the discussion and rule sections ofthe March 1988 proposal was quite 

### clear. On pap 7115 ofthe Fedtmll 

### Resisternotice. DOE stated 

### that such 

### exemptiODl are 

### temporary and may be 

### gnmtedfor up to 24 months from the 

### date the applicable standard 

### is effective. On pase T124 ofthe same notice. under 

### I 430.57 "Dw-ation of

### Temporary Exemption." DOEproposed: ••A 

### temporary exemption terminatf!s 

### accordiDI to ita awu terms but 

### not later than twenty-four months after the 

### effective date for which the exemption 

### i. 

### aUoweeL

.. Furthennore. DOE has determined that DO additional provisions are necessary for public review ofand.comment on applications 

### for exemption. ARI seeks 

### a role requiriDs all materials submitted 

### to DOE be publicly 

### available. Section 430.53 

### pro\idel that all applications and IUPPOrting documents umay" be made 

### available for public review. Some documents. however. might not be made 

### available_ Forexample. 

### should DOE detennine that an entire support document is exempt from public discloaure pursuant to 10 CFR 1004.11. the Department would not make such document available for public review. Ukewise. DOE 

### would not make publicly available an applicacon that was determined to be incomplete and was 

### being returned. without further review.
to the applicant. DOE agrees with ARI

on the potential competitive effects ofa small business exemption. The Department 

### also is aware ofand must be coocerned with 

### the potential**competitiveeff~sofuuonnation** contained in such applications. For this

reason. DOE will**determin~** on a caseby-case basis.. which materials will be 

### made available 

### for public review.

The Department agrees with ARI that DOE should publish 

### a Federal 

### Register notice with regard to any application 

### for exemption that 

### DOEhas received 

### and accepted for filing and that such notice should solicit comments from interested persona.. Today', rule reflects ARI's recommendation.


### d. CertIfication andEnforcement

. The certification procedures in the March 1988 proposal were patterned after the reporting requirements for 

### FTCs appliance labeling program and trade 

### association certification programs. Generally, the comments DOE received concerning certificalion and enforcement characterized these proviSions of the March 1988 proposal

as equitable and minimally burdensome. The comments included requests for clarification 00 issues such as data submission. record, maintenance. definitio". e...,--'· testing:

## Federal Register 

# I Vol. 54. 

## No. 24 

# I Tuesday, February '1. 

### 1989 

# I Rules 

### and Regulations 

## &OE9

revilionl primarily to the propoled manufacturer'. respoDlibility. 

### A

### third enforcement

### pro\ilions. party may submit 

### the information only 

### If

GAMA. WhirlpooL 

### ARI. lEe. CEe and the manufacturer

### certifies compliance. 

### AHAM commented an 

### DOE's proposed The Department alia does not agree reporting requirements under 

## t 430.62. with the. 

### CEC an the necesaity to publish Regarding third party reporting. 

## lEe directories. particularly 

### in light ofthe queatio:1ed whether a trade association. availability and ule oftrade assodation IUch al.UL may submit areport on

_ directories. and the

# rrc labeling behalfofa manufacturer. 

### (lEC, No. 

### 2129. program. 

### In regard to a need for the
at 2). 

### ARI commented that it beHfI!\'es

..threat ofperiodic spat checks." nothing that ilastatement an behalfofany. 

### in the Act or

### in 

### DOE's regulations participant should satisfy the prevents 

### the Department

### from requirements ofthe compliance conducting such random checks. ItatemeDt 

### (ARL No. 2197. at 5). The 

### CEC In commenting on the reporting maintained that 

### while a third party may requirement. of 1403.82(b). 

### ARI urged perfonn the reporting function. DOE to revise the reporting dates. responsibility for accuracy and bringing them more in line with the completenes8 remains with the effective dates ofstandards. 

### In manufacturer. 

### (CEC, No. 2201 at 5). particular, 

### ARl pointed Ot" that while

Section 430.62(e) oftoday's final rule the reporting date for all**~~entral** air remains unchanged-it permits a conditioners and heat pUI:lpS is t or manufacturer to use a 

### third party, IUch before July 1.1991 (six mon+..hs 

### be**~ore** as a trade aS80ciation, to 8ubmit the Itandards are in effect for ,pUt sy'.ltem inlonnation required under 1430.6%. central air conditioners an:i heat However. 

### ARl ia incorrect in assuming pumps), that date illS mOl;L'1s 

### btftre that this satisfies the requirements ofthe the effective date ofstandarc:s for lingle compliance statement. 

### A third party package central air conditie;n"rs. J\J"I may not make any statements on behalf suggested that reporting dates be ofa participating manufacturer to changed to 30 days prior to the effectlve substitute for the compliance statement. date ofany atandard. 

### (ARL No. 2197, at The regulation merely permits the third 4).

. party to transmit the compliance The Department agrees with A,.'qI t!.at
statement to 

### DOE. Therefore, the 

### CEC i. the l8-month difference ia excessive. COrTect that the manufacturer, alone. is Moreover, DOE wants to clarify that this responsible for all ofthe information is not an annual reporting requirement. submitted by a third party. Ua The dates apecified in the March 1988 manufacturer elects to use a third party, propo!al represent initial. one-time only, the compliance statement must include reporting requirements. 

### In addition, to**thi~** and therefore, serves al notification reduce the reporting burden on to DOE that the manufacturer has manufacturers and third parties, 

### DOE authorized a third party to .ubmit such selected dates that coincide with 

### ITC infonnation. reporting deadlines. To simplify DOE's

The Department emphasizes that the reporting requirements. 

### 1 430.6Z(b) of compliance statement need not be today'. rmal rule specifies that the resubmitted with 

### future certification initial (one-time only) reporting reportl for new models unless the requirement for all existing covered infomlation contained in the original products must be submitted no later -compliance statement no longer is than the effective date of the standard
accurate. for each product.

The 

### CEe atated that a meaningful For new models, introduced after a certification and enforcement program standard bei:omes effective. the should include 

### a provision for DOE to certification report must be submitted to "spot check" wholesale and retail DOE prior to or concurrent with any outlets and for DOE to publish distribution ofsuch model. 

### This change. directories to assist consumers in a8 reflected in today'. rule. also determining the efficiency of

### a model addresses an issue raised by 

### GA1v1A and whether it meets the applicable concerning its certification directory standard. The 

### CEC also stressed that publication cycle. DOE should accept certification data 

### In submitting certification reports on only from programs 

### that conduct routine behalfofprogram participants, A.HA..\.i testing for a Significant percentage of stated that it plans to submit its basic appliance models available for certification directory yearly, with aale each year and include procedures monthly supplements. 88 needed, to for challenging data open to all reflect new models. {AHAlvt No. 2198, participants in the program. (CEC No. af5). GAMA explained that it too. will 2201. at 4). use its certification directory, which is

The Department rejects this point of published twice a year. However. view on the basis ofGEC's earlier GAMA argued that its publication
statement that testing is the schedule conflicts-with DOE's proposal that information on new models be submitted prior to the distribution of IUch modell.**C~\tA** requested that 

### DOE allow manufacturers 

### 30 days after

• Dew model 

### i. introduced before requiring 

### the .ubmission of

### a certification report, at which time 

### GAMA would submit to DOE a monthly supplement to the**G~\1A** directory. (GA.'dA. No. 2196. at 3).

The Department believes that 

### its clarification and simplification ofthe reporting requirements will reduce the 'reporting burden on manufacturers and 

### third parties. 

### In light ofthe lead-time
necessary to introduce a new model. DOE believes there is ample time for a manufacturer or third party to submit the necessary infonnation prior to or at the time 

### a new model 

### is introduced. Therefore, DOE rejects GAlt.1A·s suggestion for a 3G-day waiting period.



### IEC questioned the meaning ofthe
statement under 1 430.62(c) 

### that "any change to a basic model which affects
energy consumption may constitute the addition ofa new basic model subject to the requirements of 1430.61." 

### (lEe, No. 2195, at 2). Ifa manufacturer makes any

.adjustments or changes to a basic model that result in a different rating. the Department will consider that to be a

new basic model.



## lEe also inquired 

### as to how an indoor coil manufacturer's basic model would qualify as an "other than tested model" pursuant to 

### t 430.63(b) of the March 1988 proposal. 

### (IEC. No. 2195. at 2). In prescribing test procedures for central air conditioners, including heat pumps. DOE recognized the extreme burden and
cost associated with testing these products. Therefore. the test procedure requires testing only of the outdoor unit and indoor coil that represent a manufacturer's highest sales combination. As provided by 

### I 430.23(m) ofDOE regulations. all other combinations marketed by 

### a manufacturer, or coil onlv manufacturers. may be rated on the basis ofcomputer model.

AHAM. Whirlpool and GAMA also commented on the March 1988 proposal's requirement under § 430.62(c) that discontinued models shall be reported in the next annual report. GAMA viewed this requirement as unnecessary since in GA\.i.t\'

### s certification program discontinued models "simply don't appear in the 

### next directory." 

### (GA1v1A. No. 2196. at 4). AHAM and Whirlpool also recommended that DOE delete this requirement lince a model may be discontinued in production. but remain in distribution for several years

. afterward. Therefore. since there is no

### 8010 Federal Register! Vol. 54. 

### No. 24 

## I Tuesday. Febroary 7. 1989 

### '-Rules and**Re~ations**



### way to determine when a

..

### lDodel is 

### discontinued in 

### distributicm..A.HA,..\d and



### . Whirlpool Itressed that it 

### is important

that once a modeJ is certified. itremaiDa certified so 8S 

### to avoid the perceptioD

### of

a noncompliantproduct (AHAM. 

### No. 2198. 

### at 4-5 and Whirlpool 

### No. 2194. at 2). 

### AHAM recommended that 

### it could conduct an aJUlual review and provide DOE 

### a list ofmodels DO 

### lonser in itl 

### directory. (AHAM. No. 2198. 

### at 5).



### The Department accepts the realonin. offered by 

### these 

### comments. Therefore, today"s final 

### rule require.s manufacturerorthird party to notify DOE. in 

### writing. ofany 

### model no longer being 

### manufactured. Such notification may be 

### a letter or 

### copy ofa previous 

### directory. highlighted 

### to indicate the 

### discontinued model(s).



### Finally. ARl interpreted and DOE agrees that computer

### records are acceptable for meeting the requirement under 

### t 430.62(d) 

### that records be maintained 

### for two years from the date production 

### ofa particular

### model has ceased. (ARI. No. 2197, 

### at 5).



### The 

### majority ofthe comments submitted to DOE addressed enforcement-related 

### issues, and are 

### discussed below.



### The Hydronica Institute 

### offered 

### comments on enforcement 

### testing in which it 

### described anomalous results 

### of applying the proposed 

### sampling provisions. The Hydronica Institute illustrated an application ofthe 

### proposed provisions for 

### two groups. 'each with four test results. It arsued that the firstphase of

### enforcement testing should have 

### a fi

### ve pei"Cent 

### tolerance al does 

### tM second pbase 

### and asserts that absent 

### such a to!erancL' 

### a sample 

### of boilers with a mtHL1 79.1/\.F1JE would pass. while a sarT.p1e**wi~.h** a 

### mean of 79.75 AFUE**wou1c.~** r,tol {liydronics Institute. Testimor. V;.

The first group il', the 

### H.vtironics Institute's example cl'nsisL offour boiler test results.. 

### a.\! cf ¥/h. ch are below the standard level 01. 80 pert ent AFUE and demonstrate 

### a st:,aU stB ndard deviation. The second group offour 

### test results also are below the standard level of 80 percent AFUE but demonstrate a relatively large standard deviation compared to the first group, Since 

### all the

test results are below the standard level. the sample means are below the standard level. i.e

.. 79.iS AFUE for the 

### first group and 79.1 for the second group. The Hydronics Institute shows 

### that the

- group with a 

### mean of79.75 

### AFUE and a small standard deviation 

### would be determined in 

### noncompliance in 

### step 6 of the proposed provisions

t whereas the group with 

### the lower 

### AFUE rating (i9.l), but larger standard deviation group would be judged in compliance in a.tep 7. 

### TheHydroDica Institute 

### coDCluded that

..th. procedure

### lavon 

### diversent telt 

### resulta aD the first 

### telt sample

.." 

### Accord.in&lY, 

### Hydronica Inatitute asb that

### the procedure 

### be checked

### for pOllible error.

The Department

### haa reviewed the HydroDic

### Institute·s commentl and 

### condudel 

### that the·proposed proviaioDi

are appropriate. 

### The perceived inconsIStency 

### i, 

### a resultofthe

### Dature of Itatistical inferences. 

### rather than an
error in 

### the equation&. In the example 

### providecL 

### the procedure does. in 

### fact. favor diversent teltresultl at that particularpoint 

### in 

### the proces

.. i

.... 

### eteps 8 

### and 7.1n 

### otherworda, the 

### population represented 

### by the aecond group, with 

### itl 

### larser degree ofuncertainty., 

### i.e

.. larger

### ltandard deviation. il.iven a 

### betterprobability ofhaving 

### a true mean at orabove 

### the atandard level than that 

### of

### the population represented 

### by the first group. 

### In the examples, the two probabilities happen to be above and below the level cholen 

### al the 

### "reasonable risk" threshold. 

### thUi explaining the opposing 

### determinations ofcompliance and non-compliance. 

### Since the issue raised by the Hydronics Institute 

### is complex. 

### DOE believes 

### it is 

### appropriate to 

### discuss the concept of "reasonable risk" in 

### today'I 

### notice. In 

### general tenna. 

### the two types 

### ofrisk are: "Manufacturer 

### risk. tt which 

### is the 

### probability. based 

### on sample data. of being. in fact. in compliance when the 

### sample data indicate 

### a determination 

### of noncompliance: and 

### "government 

### risk..
tt 

### which is the probability. 

### bued on sample 

### data. ofbeing. 

### in fact. in 

### noncompliance.wben the sample data 

### indicate 

### a determination of 

### compliance.. As with 

### all statistical 

### matters. the absolute 

### ia never known. (A 

### "reversal" is a useful way 

### to express the adverse impacts 

### ofthese risks. For 

### example.. at steps 6 

### and 7, 

### the proposed procedures 

### assign a 2.5 percent 

### probability of 

### reversal as the maximum allowed.)

Applying 

### these terma 

### to the 

### Hydronics Institute exa.mple. the 

### population represented by the first group haa less than a 2.5 percent chance ofa reversal.. i.e

.. being. in fact. in compliance when the sample data indicates noncompliance. Similarly. the population represented by the second group bas leu than a 2.5 percent chance 

### ofa reversaL**Le~** 

### being in noncompliance when the sample data 

### indicate. compliance.

The HydrOluca Institute attributes the problem to the five percent tolerance "given" 

### in these 

### procedures. Rather. 

### the toleran.ce allowed ia in the form ofupper 

### and lower confidence 

### l.imits. In step 11. 

### the five percent tolerance mentioned is the limit of

### toie'rance- aYowed by the 

### confidence

### limits. and the tenn "0.05 (EPSr' 

### ill 

### step 1 II Dot. tolerance. but 

### the malbematical 

### expression ofthe difference between a 

### .tandard and 95 

### percent

### ofthe etandarel.



### Whirlpool GAMA. AHAM and 

### ARl pointed out 

### that while the preamble to the 

### March 1988 

### proposal stated that DOE', receipt 

### of"credible and substantiated" in

### formation triggers**DO~.** 

### action. to determine complif'nce ofa 

### certified product. 

### the role i

### tseIfis 

### vague. (Whirlpool. No. 2194. 

### at 2: 

### CAMA. No. 

### 2198. 

### at4: AHAM. 

### f'10. %198. 

### at 8: 

### andARL No. 2197. 

### at 5). 

### Whirlpool 

### alia sugsested that 

### DOE-discourage '-nuisance'· 

### challenges by requiring 

### test data to support any challenge 

### ofenergy performance. {Whirlpool. No. 2194. 

### at 6}. 

### The CEC 

### also commented 

### that DOE 

### should establish a petition process 

### for luch challenges and complaints 

### from manufacturers and consumers, (CEC. 

### No. 2201. 

### at 1).



### The Department believes that' 

## 1 43O.70(a)(1). aSltated 

### in the March 1988 propolal 

### and in 

### today's final rule. is 

### clear-the Department "may" 

### conduct testing 

### ofa particular product upon 

### receipt ofinformation 

### concerning the energy perlonnance 

### ofthat product. The Department

### will evaluate thoroughly
any complaint received. and will issue a test notice 

### ifDOE determines that such 

### action is warranted. DOE is not requiring submission 

### oftest da

### ta since. in 

### several instances.. such data would be
unnecessary. For example. in the case of prescriptive standards, 

### test 

### data would be inappropriate in cases concemins pilot lights in certain appliances. Furthermore, compliance witb certain performance standards can be 

### determined by reviewing 

### design information. 

### Determination of noncompliance will be made in 

### accordance 

### With the enforcement pI'OYisions found in Appendix B to Subpart F.**Therefo~** the Depart.rnent 

### Yeill determine what infurmahan is appropriate 

### on a case

...by-case basis, Furthermore, nothing in the Act or in 

### DOE's regulations prohibits DOE 

### from**req~** 

### the subm.ission 

### of additional information.. including 

### test data.

In reference to CEC's suggestion.. the Department believes that establishL'l8 

### procedures and criteria for 

### a separate petition process would be 

### restrictive and inappropriate. Since DOE has the 

### flexibility to require the submission 

### of additional or supporting infonnation. 

### DOE sees 

### no purpose in requiring 

### a prescribed format or speCIfic 

### procedures for submItting such information. Furthermore. since S11ch 8 submittal does rwt serve 8S a request for rulemaking or- similM action. e.g_ 

# )

### Federal Register 

## I VoL 54, 

### No. 24 

## I Tuesday. February '1, 1989 

## I Rules 

### and Regulations 

### 8071 

# ( request

### forwaiver.DOE

.... DO 

### juatificatiOll

### forrequiriDI a petitioa 

### proc

.... Section 430.70(8)(1) 

### of

# toda,·.

rule does 

### iDcJude the requirement that 

### informatioa .ubmitted to 

### DOE be ill writing.·

.



### CAMA and 

### ARJ ursed DOE to 

### adopt the term "ba.ic moder'matead of "model 

### orbalic model" .1 

### included in 

### II 430.7O(a)(1)(ili) 

### and 430.71(1) of

### the 

### March 1988

### proposaL (GAMA. No. 2196. 

### It 4 and ARL No. %191. 

### at 6). 

### In addition. 

## lEe Itated thlt the 

### proposal did not 

### define the term "ba.ic modeL"

The Department 

### agrees 

### with CAMA and

### ARJ 

### thatuse ofboth 

### terms could

cause confusion. Therefore. 

### today'. fmal rule Ipecifies only 

### "basicmodel:' 

### In
response to 

### lEe'l comment.lince 

### DOE il not revising 

### the definition of "basic model" as it 8

### ppean in 

### I 43Q.2 

### Tille 10 ofthe Code ofFederal Regulations. the
term is 

### not included in today'. fmal rule.



### GA..

.tA and 

### ARJ also questioned the rationale. in 

### I 430.70{a)(1)(W). that provides for testing altemative 

### basic models when a lelected basic model 

### is unavailable for testing.. These comments maintained L'tat there is no 

### justificstion for testing any model other than the basic 

### model alleged to be in noncompliance. 

### (ARL No. 2197. at 6 

### and GAMA.. No. 2196. 8

### t4).

The Department 

### believes there may. 

### indeed, be occasions 

### when testing 

### an ahema

### tive basic model is 

### necessary. For 

### example. ifa particular condensing unit is combined with 

### several 

### dIfferent
evaporslion coils. 

### each combination could be 8 different basic modeL Ifone combination is not 

### svailable. i.e. a particular 

### coil is 

### not available. an altemative coil could be selected for testing. representing an 

### alternative basic model.

Finally. tEC requested clarificstion of "the method ofselecting the test sample" 

### under § 430.70ls)(1){iii). nEC, No. 2195. at 2}. 

### Section 430.70(8 Hi) states that DOE will offer 8 manufacturer the opportunity to 

### verify compliance. and today'! ruJe specifies that the manufacturer 

### may meet with DOE. As

appropria

### te, in correspondence and

### Ior meetings. DOE will dlSCUSS the method of selecting test 

### uni

### ts on 8 

### case-by-case basis.

Seversl 

### comments lought clarification concerning the payment oftesting costs. (GMtA.. No. 2196- at 

### ARt No. %197. at 5; lEe. No. 2195. at 2-3; and CEC. at 7).



### The Department 

### is to pay 

### for all enforcement testing perfonned under steps 1-11 

### ofAppendix B to Subpart F of Part 430. The rnanuIaetarer bears the cost ofadditional testing. steps 

### A-C of Appendix B-manuIacturer-option 

### testing. Such costs are to be paid directly to tire testing facility. In 

### th.e case 

### ofoptIan

.... 

### !be

### Dlaaur.etarerII

....pouible forcontractiDI

### with the 

### testinl

# 'acin.,..

.CAMA IUllested that 

### DOE 

## reqme aD 

### Initial 

### lhipment offour

### lIDitaout ofthe
test aample

### of20 

### UDit•• (CAMA. No. 

### 21se. It 5). 

### To protect against any modification 

### orsubstitution ofunits. 

### CAMA andARI recommended that

### DOE identify

.. mark aDd packaae

### each unit 

### selected with • tamper-proofleal. 

### ARI

. also sussested that 

### the independent lab 

### conductinl the teltiDIJ could also 

### inspect 

### each unit for 

### tampering. 

### (CA.t.1A. No. 219&. 

### It 5

### and ARI. No. %191. at 8J.



### The Department 

### believes that IUch 

### a requirement would be 

### an unnecessary

- burden in I procesl 

### DOE had made 

### every effort to 

### be simple and 

### expeditious. TheTefore.

# an units. up 

### to 20. speCified in 8 test 

### notice. are to be .hipped according to instructions contained in the notice. 

### DOE will detennine the number of units required afterreview ofinfonnation described in 

### I 430.70(a}(l)(i). A "reasonable" number 

### ofunits, 

### no less than 

### four and 

### no more than 20. 

### will 

### be the 

### amount

### DOE determines, upon review ofthe pertinent information. is appropriate for 

### compliance testing.**NE.~** stated that the 

### samplingmethod required under § 430.70 is inappropriate for fluorescent lamp ballasts since 

### the practice 

### in that industry is to design and produce every ballast to 

### meet perfonnance standards. Therefore, NE,;\1A proposed that all ballasts 

### be designed to meet 

### the ballast efficiency 

### faC10r prescribed 

### in the 1988 A.'1lendments and be exempt from the sampling procedures in the March 1988 proposal. (NafA. 

### No. 2.202. at 4).

The Department i! not persuaded 

### by !\'Th1A's argument and believes that NEMA has misunderstood the testing requirements. SectIon 430.iO(a}(3} of the March .,gsa propoF;al states**tha~** DOE's determination of a basic model's 

### complidnce will be based on testing 

### conducted according to the slatistical sampling procedures in**Ap~ndix** 

### B of the propcrs.al and in the testing procedures in § 430.23 ofTitIe 10 Code ofFederal 

### Regula

### tions. Since these procedures minlmize testing and assoclared costs. e.g., § 430.23 peM'!11ts testing ofas few as two units for each basic model. today's final role provides

no exemptions 

### or exceptions to the sampling requirements. The Department emphasizes that the sampling procedures minimize the burden on manufacturers since there is no requirement to test each unit of a ba!ic model to demonstrate that the basic model is in compliance. The regulation! take into account the product variability that OCCtIrS in the manufacturing process 

### and

### do BOt

### pemalize tbe manufactD.rer 

### for 

### the aDomalous unit.



### FInally. while 

### today', final rule does Dot 

### include 18mplinlprovisions under 

## I 430.%3 

### for fluorescent lamp ballasts. DOE 

### wiD propole sucb provisions in an upcoming test procedure rulemaking.



### ARJ also commented 

### on enforcement 

### aampllna. 

### and contended that 

### if. for example. 8 central air 

### conditioner or heat 

### pump basic 

### model is found 

### to be noncompliant. luch noncompliance 

### determination applies only 

### to the condenlor-evaporator combination found 

### in that unit. 

### and not to 

### other basic models using the 

### lame condensing 

### unit. (ARt 

### No. 2197, at 1).



### While 

### ARJ'. assertion may be 

### valid in

some 

### ;nstances. it may 

### not be so in others. The Department ,,:ill make such dtterm:nations 

### on a C8se-by-case basis.

The t.farch 

### 1988 proposal specified 

### :liat010£ 

### may subdivide 

### a batch "llUizing**~uch** criteria 

### as date of

1..10nufacture, component supplier. loctltion 

### cfmanufacturing facility, 

### or otht\r critt;;a to differentiate one unit from 

### another. Section 4JO.70(a)(4)(1). 

### ARl**~naintcined** that date 

### and location

are 

### al\equate for identi!'ying uni ls 

### and therefu!'p DOE should delete the language
H or other criteria." (ARlo No. 2197. at 7).

The Department does not view that identification criteria as restrictive or burdensome. Each manufacturer must identify each unit 

### using criteria set forth in 

### the te5t notice, 

### such as date and location ofmanufacture. A category for "other criteria·' may indeed be helpful to

a manufacturer and DOE in differentiating 

### units. As discussed above. in correspondence and/or meetings. DOE and the**manufact~rer** will detennine 

### ifother criteria would be helpful in differentiating u..."jts.



### In a**~par3te** reference 

### to da!e 

### of manufacture. the 

### CEC 8NnJed 

### tho t the

current FTC labels will

# be insufflclp.nt for consumers to determine whether 6n appliance complies with the applicdble Fedpral standard. The CEC maintdined that without a label requiring date of manufacture. it will be impossible to know whether the unit is even required
to meet 8 particular standard. DOE should require manufacturers to display prominently a label on every**ce~ified** model giving the month and year of manufacture and ststing tha t the ur:it has been certified to be in compliance with the applicable Federal standard. (eEC, No. 2201, at 5-6).

The Department recognizes the situalion described by CEC and a2'Tees that for a period oftime followIng-the effective date of any standard.

consumers will make p''1rchase decisions

### 6012 Federal Register 

## I Vol. 54. No. 24 

## I Tuesday. 

### February 7. 1989 

## I Rules 

### and Regulations

without 

### the certainty a model complies with 

### the standard. However. 

### while agreeins that luch information might

### be helpfuL DOEbelieves that such benefit does not provide 

### an adequate basis for requiring manufacturers to displaY.8D additional label on each 

### unit. 

### This is 

### true because, as discussed above. upon notification by DOE. 

### a manufacturer is required to ,ubmit such identifying information to DOE as 

### part of establishing compliance prior to entry of the model into distribution.



### ARI and 

### lEe recommended that DOE provide for units that fail compliance testing due to defective components or component failure. 

### (ARI. Testimony 

### and 

## lEe. No. 2195. at 2).

The Department agrees 

### that 

### ifa 

### unit is inoperative. it cannot be tested. Therefore. today's final rule provides for the replacement or repair ofdefective components or

### units. For the purposes of today's rule. DOE considers a defect as that which prevents the product 

### from being operated according to the manufacturer's intent. design and directions.



### AHAM maintained that DOE should delete § 430.70{a)(6)(iv). requiring a manufacturer to cease distribution ofa model being tested at the manufacturer's option. (AHAM. No. 2198. at 7-9). AHAM argued 

### that DOE has no authority for such a regulation other than seeking 8 court injunction. would aa:ept such a provision if it served simply to suggest cessation of distribution based on indications of noncompliance and to notify the, manufacturer that civil penaltie 5 or 

### an injunction may be sought. 

### (AHAM. Nc. 2198. at 7-10).



### In addition. GA1i.A stressed 

### ti.a1 cessation of distribution should**b,~** required only ifnon-compliance**i~** determined upon completion ofall tl'sts conducted at the manufacturer's ortion. To require cessation ofdistribution before such time would effectively preclude the additional testing provi.!ed under' 43O.70(a)(6) and the requirem:nt 430.71(a)(2) would likely halt sales damage a model's reputation. (GA...\1A.. No. 2196. at 5).

,A.RI emphasized that. upon receipt of

a manufacturer's request for optional DOE should conduct prompt according to prescribed

ut,;(:1 U1Ult;;..,;,. (ARt No. 2197. at 7-8).

First. 

### DOE rejects 

### AHAM's argument concerning 

### DOE's authority 

### to require cessation of distribution. Section 325(0) the i\ct**state~** that "any new or amended •

.. • standard • • • may include any requirement which the Secretary determines is necessary to

assure that each covered product • • "
meets the required minunum level of 

### eneJ1Yefficiency • • • specified in 

### such ltandard." Furthermore. section

### 328 of the 

### Act authorize. 

### the Department to issue suchrules 

### u it deems necessary to 

### carry 

### outthe pro\;lions of

### the Act.



### In addition. while 

### DOE accepts GAMA's observations conceming the potential impacts ofcessation of distribution. neither

### GAMA norAHAM have been persuasive in arguing why distribution ofa model, determined noncompliant in accordance 

### with 

## I 430.70. should be allowed to continue.

Finally. DOE agrees that a manufacturer'. optional "testing should be conducted with great balte since a detennination ofcompliance will result 

### in DOE'. issuance ofa notice allowing resumption ofdistribution. However, as discussed earlier. such manufacturer's**optional~sting~doneatan** independent testing laboratory contracted for by the manufacturer, not DOE. Therefore. DOE is not prescribing deadlines for work performed under such contracts.

There was some confusion about the requirement. under 

### I 430.71(8)(2). to give written notice ofa determination of compliance.



### AHAM stated that 

### this requirement 

### is unclear and inquired about the meaning of "notifying all persons whom the manufacturer has distributed units of the basic model manufactured since the date ofthe last determination of compliance." AHA..\i asked 

### if DOE is referring to initial compliance with the standard. the effective date of the standard. or does the requirement
presume that a manufacturer was. at

some time. in compliance? AHA..\i also suggested that DOE revise the requirement so that notification is limited to those persons who received noncomplying products. (A.H..A....\i., No. 2198. at 7).

The 

### CEC**ar~.led** that manufacturers should be required to notify dealers. distributors and consumers and that**~onsumers** should be entitled to receive. it manufacturer expense. replacement llnits that comply \'rith the standard, 

### (CEC. No. 2201, at 7-8).



### ARI stressed that cessation of distribution applies only to unsold units and future production and that unless it

can be shown that 

### a manufacturer deliberately misrepresented the rating. manufacturers should not be required to replace or retrofit units alreadv purchased since a noncompliant model would not pose 

### a health or safety 

### risk.

Finally. 

### IEe requested clarification of the term "distributed to" as used in § 430.71(a)(2) since § 430.71(a)(4) permits

a manufacturer to modify a noncompliant model and bring it into compliance as long as records prove that 

### the modifications were made to all 

### units prior to distribution in commerce. (lEe. 

### No. 2195. at 

### 3j.



### With respect to**~s** request for clarity to 

## I 43O.71(a)(2). DOE

### finds that 

### the notification requirement could apply in any ofthe instances 

### AI-'.A..'1 cited: that ii, 

### the requirement applies to any determination ofnoncompliance. whether it involves a new bash: modal

or a basic model that pre'\iously 

### was found to be 

### in compliance. 

### In addition. while the Department rejects AHA..\A·s luggestion to limit the re:ipients of notification fo those who received noncomplyins units. the test notice will specify how the batch sample 

### will be selected. 

### IfDOE has reason to believe that there are factors causing noncompliance. e.g.• use ofcompressors from a new supplier. DOE 

### will consider such information in making 

### a selection for a batch sample. 

### IfDOE determines that such a factor exists and its affects the model's efficiency, those units will be determined to be a new basic model and notice is to be limited to those
persons to whom the applicable basic model was distributed.

As to whom should receive written notification. a manufacturer 

### is required
to notify all parties to whom the manufacturer has distributed 

### the basic model for resale. The extent of such notification may vary from manufacturer
to manufacturer. depending on each firm's marketing and distribution methods. The Department disagrees with the 

### CEe that manufacturers should be required to notify consumers. Such a task would be an enormous. at best.. incomplete. effort.**~lanufacturers** do
not. as a rule. have records identifying individual purchasers and the extent and accuracy of such recordkeeping varies greatly among department stores. discount stores and catalog**t~sinesses. Fu.rL~ermore.**  the Department beLeves it is inappropriate to prescnbe. through regulation. that manufacturers provide replacement units for consumers. Section of the Act provides that "any may commence a civil action ma:1ufacturer 0::- is to be in**,nn.I~",n",,"** •

.... Sirlce the includes such a provislon for citizen suits and does not specify or suggest that the**lon~.,.",rT'\O''''** prescribe ather remedies for
Cluzenl5. DOE believes such relief may be addressed in the courts.

The above, of the term "distributed to" is responsive
to IEC's inquiry concerning notification requirements. However. it appears that lEC has misinterpreted the provisions of § \Vhile the regulation permits a manufacturer to modify a

### . Federal Register 

## I Vol. 54, No. 24 

## I Tuesday, February 7, 1989 

## I Rules and Regulations 

### 6073

basic madelia that it complies with the Itandard. 

### such modification

### results ill 

### a Dew balic model 

### which must

### be certified 

### pUa

...uant to 

## I 430.62 

### oftoday', 

### rule. Also, 

### a manufacturer', records mUlt .how that the modifications were made to all units ofthe new basic model prior to distributing these units, i.e., prior to disbibuting these unita to resellen ofthat product. Therefore, 

## I 430.71 (a)(4) does not address distribution ofthe noncompliant basic model.

The 

### CEC urged DOE to specify 

### in today's 

### rule L'tat the tem "each violation." as included 

### in section 333(a) ofthe Act, means each separate unit of

a noncomplying basic model. The Department concurs 

### with**~EC's** interpretation. However. DOE believes the language ofthe Act is clear and 'requires no further explanation. The 

### CEC also recommended that DOE strengthen § 430.65 (Exports) to require prominent displdy ofthe prescribed stamp or label identifying a product as intended for export. Also. DOE should specify.who is liable for penalties should an export unit be marketed in the U.S. (CEC. No. 2201. at 8-9).

The Department believes that the export labeling requirement ofthe Act (section 330) is sufficient. Upon finding that a product manufactured for export has been marketed in the U.S., the Department will determine at which point in the marketing chain the transaction oCcun"'ed and will take appropriate action.

Finally, AHAlYl submitted a list of technical revisions including spelling and terr:1inology corrections. to Appendix B of the March 1988 proposal. (AH.AM, No. 2'198, at 6). DOE has included most ofthese revisions in today's notice. However, it appears that AHAM has misunderstood steps lOa through lIb. Steps lOa and l1a address energy consumption standards: steps lob and lIb address energy efficiency standards. AH.AM's suggested revisions would. in fact. result in computations only for energy consumption standards, Le

.. steps lOa and lob would be identical. 8S would steps l1a and lIb.

ffi. Environmental, Regulatory Impact.**Regula~ory** Flexibility, Paperwork Reduction Act, Takings Assessment, and Federali5m Assessment Revie\vs

Q. 

### EnvironmentalRevieJv

Pursuant to section 7(c)(2) ofthe Federal Energy Administration Act of 1974, a copy of the March 1988 proposal

was submitted to the Administrator of the Environmental Protection Agency (EPi\) on April 22, 1988. for his
comments concerning the impact ofthis . propolal on

### the quality of

### the eavironmenL The

### EPAbad no COIDIDeDtI


### on the Department'. proposaL

The Department is 

### adoptiDs 

### procedures implementins the Act', provisions for (1) certification and enforcement: (2) ,mall business exemptions: and (3) petitions concerning exemption ofSlate atandards.



### The Department believe. the 

### rlrSt element clearly 

### is not environmentally aignificant aince 

### it

### will not result in Iny environmental impacts.

.For Ipplications aeeking a temporary Imall business exemption. aa well 8S for aU petitions aeeking exemption from Federalstandarda or supersession ofState standards. DOE 

### will conduct an appropriate National Environmentat Policy Act (NEPAl review on a case-bycase basis.

The Department believes that today's action is not a majorFederal action significantly affecting the quali

### ty ofthe human environment within the meaning ofthe National Environmental Policy Act of 1959, and that neither an Environmentallmpact Statement nor an Environmental Assessment is required. 

### b. RegulatoryImpactRevie'A'

DOE has concluded that the rule is not

a "major rule" for purposes ofExecutive Order 12291 because it will not result in:- (1) An annual effect on the economy of 5100 million or more: (2) a major increase in costs or pr!ces for

consumers. individual industries. Federal, State, or local government agencies, or geographic government agencies, or geographic regions: or (3) significant adverse efIects on competition, employment, investment productivity, innovation. or on the ability 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 testing requirements ofthe rule are not significant For example. there will be no additional testing costs for labeled products. i.e

.. refrigerators. refrigeratorfreezers. freezers, water heaters, furnaces. central air conditioners and

room air conditioners. since DOE is accepting the applicable testing requirements ofthe Federal Trade Commission. Likewise, there will be no testing costs for those products that hove design standards, Le., clothes washers. dishwashers. and clothes dryers. With regard to pool heaters while not a labeled product or covered 

### by a trade aSlociation certification 

### program. It i,likely thlt testin.already 

### hal been accomplished 

### because of 

### Califomia'. etandards for this product. Finally, any impacts 

### resulting from a conservation standard for television sets 

### will be 

### addressed in 8 future rulemaking for this product. Therefore. in accordance with section 3(c)(3) ofthe Executive Order. which applies to rules other than lDajor rules. today'. final rule

was approved by OMB without 

### a regulatory impact anal}'sis.



### c. Small

### EntityImpact Revielv



### In light ofL'le foregoing. the Depertment has determined and hereby certifies pursuant to section 605(b} of the Regulatory**Flr~xibility** Act that today's action will net have =i "significant economic**imp.~ct** on ", substantial number ofsmc'P**enltt:~s:·** 

### To minimize potential impa**~ts** on s.nall businesses which are appi .ance**ln~nuracturers.** DOE is, in fact. adopting rules that provide relief, ill ,he form of temporary exemptions, frcln ·.he**ap~Jlicable** conservaUon stanc.'ards.



### In addition. as**ml~ntion:~d** above. the Department will**cor~sider.** as appropriate, any sigr.ificallt economic impact on small**enlitit:~** in deciding**petitio~s** to preserve or supersede State standards under section 327(d) ofthe Act.


### d. Paperwork 

### Redl.1ctionAct

### Review

This final rulemaking includes information collections that were previously cleared 

### by the Department under**o~m** Control !\umber 1910-1400. expiring June 3D, 1989.



### e. Takings AssessmentReview

Executive Order 12630 (53 FR 8859. March 18. 1988) directs that in proposing a regulation. an agency conducts a "takings" review. Such 8 re\iew is intended to assist agencies in avoiding unnecessary takings and help such agencies account for those takings that are necessitated bv 5tatu tOT'\! mandate.

.. ..

For purposes of the Order:

"Policies that have imphcations" refer! to Federal regulations. proposed Federal regulations. proposed Federal legislation. comments on proposed Federal legIslation. or other FedEral policy statements that if implemented or enacted. could effect a taking. such 8S ruJes and regulations that
propose or implement licenSIng, pemutting. or other conditIon reqUIrements or limitatlons

on private property use. or that reqUIre dedications or exactions from ov.nen; of private property.

It appears that there are three parts the appliance standards regulatory

### 8074 Federal 

### Register 

## I Vol. 54. 

### No, 24 

## I Tuesday. Febnaarv " 1989 

## I Rules and Regulations

p"'Famthat should 

### be 

### reviewed

### for "t.aki.ass implications." These 

### are testing aDd certification requirements. the 

### imp.ell 

### ofstandard 

### levell. 

### and possible DOE teltiDI 

### ofproductl 

### for validation.



### With resard to 

### the first part. namely. testing and 

### certification. the DepartmeDt believes that 

### such a requirement. 

### implementing a 

### lon8-established statutory mandate in a manner 

### calculated to minimize adverse economic impacts does not constitute a 

### htakiJ18" of

### private property, Executive Order 12630 

### applies to those regulatory actions which are a 

### substitute for the exercise of80vemmental eminent domain power. This applies to situations where regulations 

### exact a transfer of 

### tille. possession. or beneficial 

### use of private property 

### without compensation. The regulations under consideration are simply an exercise ofpolice power and do 

### not exact lu.ch 

### a transfer 

### ofprivate property.

Similarly, the Department's possible validation testing 

### dou not constitute a 

### Ntaking. It 

### wit.hin the limitation described above.

The Depcirtment believes that the 

### fact that while an energy conservation standard may limit 

### some manufacturers in 

### the range ofappliance efficiencies that they 

### can produce. such narrowing ofthe energy efficiency 

### range does 

### not conltitute- a "taking" in 

### the sense described above. Furthermore. this 

### rulemaki.ng 

### simply reci

### tea the standards explicitly mandated by the Act.

In 

### short. in 

### none ofthe three parts of the 

### appliance standards. 

### program does 

### the Department 

### believe that the provisions of

### £.0. 1Z630 

### pertain. 

## f Federalism AssessmentReview



### Exe<:utive Order 12612 (52 

### FR 41685. October JO. 1987) require'S 

### that regulations or rolea be 

### reviewed far any

substantial direct 

### effects on States. 

### on the relationship between the National 

### Government and the Statel. or 

### on the

_ distribution of

### power and responsibilities among 

### various levels of govemment Ifthere are sufficient

. substantial 

### direct effects, then Executive Order 12612 requires preparation of a federalism assessment to be used in all decisions involved in promulgating 

### and implementing a regulation or a rule.

DOE has identified a substantial direct effect that 

### standards have on State governments. It initially preempts inconsistent State regulations. 

### However, DOE has concluded 

### that t"le initially preemptive effect is not sufficient to warrant preparation ofa federalism
assessment for two 

### reasons. First DOE does not have discretion under the Act avoid promulgating a preemptive regula

### tion because of 

### a policy 

### preference-forStaterepJatian as a 

### leneralmatter. Second. the Act

### provides for sublequeDt 

### Statepetitiona for exemption

### whichaeceuarily meaD' that the determination aato whether a State law prevails mult

### be made oa • cae

.. by-casebasis using criteria set forth in theAct. When DOEreceives such a petition. it

## win be appropriate to 

### considerpreparint a federalism
auessment consistent with the criteria 

### in the Act,


### &- RegulatoryFlexibilityReview



### The Regulatory

### Flexibility Act of1980 

### (Pub, L 96-354) 

### requires an 

### assessment 

### ofthe impact ofproposed regulations

# an

sman businesses. Small businesses 

### are defmed

# a. those 

### firma within an industry that are privately owned and less dominant in the market.



### In 

### light ofthe foregoing, the Department hal determined and hereby certifies pursuant to section 605(b) ofthe Regulatory Flexibility

### ·Aet that today'. action will 

### nothave a "significant 

### economic impact on 

### a substantial number 

### ofsmall entities:' 

### To minimize potential 

### impacts on small 

### businesses which are appliance manufacturers, DOE is. 

### in fact, adopting rules that pro,,-e 

### relief.. in 

### the 

### form oftemporary exemptiQIlI, from the appliance 

### conservation standards.



### In addition. the Department 

### will consider. 

### as appropriate. any economic impact on small entities in deciding petitions 

### to preserve or supersede State 

### star.darda under 

### aec.tion 327{d} 

### ofthe Act.



### lr' 

### conslderation ofthe foregoing, 

### Part 430 

# ,rChapter IT 

### ofTi

### tle 10. Code 

### of Fedf.**~l R&\~ationa**  is 

### amended. as set 

### forth**b\~low**

lsllL in 'harhingtan. DC. 

### J anu.a.ry 2.4. 1989. Dr. Jolu: l,l

... Sera ASSilSUZl.**'~3ecJ'Y,'~** 'ry, Ccnservation and RenewaL**·/e.l:;n~** y. 

### Usta of ubject, in 10 

### CFR Part 430

Administrative. 

### practice and 

### procedure, Enersy conservation. 

### Household appliances.

PART 430-£NERCiY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

1. The authority citation for Part 430 revised to read 

### as follows:

Authority; Energy Policy and Conservation Act. Title ill. Part B. as amended by National Energy Caruervation Policy Act**Titi~** IV, Part 2... by the National**Applian~** Energy Conservation Act and bv National Appliance Ene-rgy Cons8-n,'8tWB Ame1ld.ments af 1988 (4.2 U

## .s..c. 62Ql-63(9). Z. 

### Section 43Q..1 

### is 

### re,-ised to read as 

### follows:


### faa..1

.......... acope.



### Thil part eltablishes the regulations 

### forthe implementation 

### ofPart 

### B ofTitle 

## m(42.

## U.s.c. 8291-6309) 

### ofthe EnenJY 

### Policy and Conservation Act (Pub. L. 94- 183). 

### as 

### amended 

### by**~b-** 

### 1. 94-385. 

### Pub, L 1OG-12. 

### andPub. 

### 1-'100-357, 

### which

. establlshee an 

### energy conservation program for cor&Sumer

### products other 

### than automobiles.

3. 

### Section 430.% 

### ia amended 

### by revislnS the definition of ·'Act'·, removing the definitions of uAdmini!trator" and "Energy 

### efficienc)- standard", inserting the word "energy" in place oi the last five words in the· definition for 

### "pack3ged terminal air 

### conditioner," and adding the folloy.;ng definitions in 

### alphabetical order:


### t 430.2 Definttion&.



### • "Act" means the Energy 

### Policy and' 

### Conservation Act (Pub. 

### L. 94-163), 

### as 

### amended by the National**Ene~** 

### Conservation Policy 

### Act {Pub. 1.. 95-619} 

### and by 

### the National Appliance 

### Energy Conservation Act (Pub. L 100-12).



### "Annual 

### fuel utilization efficiency"



### means the efficiency descriptor 

### fur furnaces and boilers. determined using
test procedures prescribed under 

### section 323 

### and based on the assumption that 

### aU-

(a) \Veatherized WanD. 

### air furnaces or boilers are located aut-of-doors;

(b) Wann air 

### furnaces which are not weatherized are located indoars and all combustion and ventilation ciir is 

### admitted through grill or ducts from the 

### outdoo:"S and does not corn.municate with air in the conditionpd**~pdce;**

(c) Boilers 

### which are ::(:l wedtherized

are located within the

# neelcd space.

* "Ballast efficacy factfl -' ',:ins Ule relative light output dl\' H ; ,; b'r fnt! power of a**flUOl~.:H "'L~**  It'1l':lt) 

### ballast. as meaSllreO**'JI1~** t -:, '-;'; t conchtions specwe-ci Hl A

.... ; SrandetrU C82.2-1984.

"Batch" means a**col:~L~** .. Ii- ll[ 

### production units of 

### a basit;. model from which a batch sample is st.:lected.

"Batch sample" means the**conec~ion** ofunits of the same basic mouel from which test units are selected.

"Batch sample SIze" means the number ofunits in a batch sample.



### "Batch size" means the number of units in a batch.

### Federal Register 

# I Vol. 54. 

### No. 24 

# I Tuesday, February '1, 1989 

# I Rules and Regulations 6075

"Pool heater" means an appliance designed for heating nonpotable water contained at atmospheric pressure. including heating water in 

### swimming pools, spas. hot tubs and similar applications.

"Packaged terminal sir conditioner"

means· • • by builder's choice of energy.

"Packaged terminal heat pump"

means 

### a packaged terminal air conditioner that utilizes reverse cycle refrigeralion as its prime heat source and should have supplementary heating availability by builder's choice of energy.

M£nel1Y 

### conse"atioD Itandard" lDeans:

. .

(a) 

### A performance atandard 

### which prescribes a minimum level oflevel of energy efficiency or a maximum quantity ofenergy use for a covered product.·determined in 

### accordance with
test procedures prescribed under section 

### 323; or

(b) 

### A design 

### requirement for the products specified in paragraphs (8), ('), (8). (10), 

### and (13) 

### ofsection 322(a) ofthe Act: and includes 

### any other requirements which the Secretary may prescribe under section 325(0) 

### ofthe Act.

§ .(30.22 (Anwnded]
6. 

### Section 430.22 

### is amended bv adding new paragraphs (p) 

### and 

### (q) as follows:

7. 

### Section 430.23 is 

### amended revising the first sentence of the introductory and



### new and to read as follows:

§ 430.23 Units to be tested.



### \\'hen ofa 

### covered product is

to 

### comply with 

### section 3Z3(c) of Act. 

### or to wi 

### th rujp· (p) 

### Poolheaters. (1) 

### The estimated annual operating cost (space reserved). The thermal effiCiency ofpool heaters. expressed as a 

### percent. shall be 

### determined in 

### accordance with 

### sectIon 4 

### ofAppendix 

### P to this subpart.

(q) 

### Fluorescent lamp ballasts. [Reserved]

5. 

### Subpart B ofPart 430 is 

### amended by 

### removing the word "(ALTERNATIVE)" 

### in the headings to Appendices A1 

### and B1 

### and by removing the folloY-'ing references to Appendices A 

### and B 

### in 

### I 430.22: "4.1 

### ofAppendIX A 

### or" from paragraphs (a)(l)(ii). (a)(2)(ii}. (a)(3)(ii). (a)(4)(i), (a)(4)(ii); "4.2 

### ofAppendix A 

### or" from (a)(4)(i). (a)(4)(ii); "4.1 

### ofAppendix 

### B or" from 

### (b)(l)(ii). (b)(2J(ii).-(b)(3)(ii), (b)(4)(i). 

### (b)(4)(ii): and "4.2 

### ofAppendix 

### Bor" from (b)(4){i). (b)(4)(ii).



### (6) Otheruseful measures ofenergy consumption for electric refrigerators and'electric refrigerator-freezers shall 

### be those measures ofenergy consumption for electric refrigerators and electric refrigerator-freezers which the Secretary determines are likely to alsist consumers in making purchasing decisions which are deri\·ed from the application ofAppendix 

### At of this lubpart.

(bl • • • (5) 

### The annual energy use 

### of all freezers equals the representative average-use cycleof365 

### cycles per )·ear times the average per-cycle energy consumption for the standard cycle in kilowatt-hours per cycle. det**~rminpd** 

### accordlng to 6.2 

### ofAppendi) B1 of his lubpart.

(6) 

### Other useful measures t 

### fenei"gy consumption for freezers sha1,1, 

### be tho.le

measures ofenergy consumpt ·cn fOI freezers which the Secretary oe**~ermines** 

### are likely to assist consumers 

### ,n making purchasing decisions and which ,tre derived from the applicahon of Appendix 

### 81 ofthis subpart.



### • • "Secretary" me8DI the Secretary

### 01 the DepartmentofEDel1Y.



## • 

## • • • •

"Waterbeater" means. product 

### which utilizes oiL las. orelectricity to beatpotable water for use outside the heaterupon demand. including-

(al Storale type units 

### which heat and Itore waterat a thennostatically controlled temperature. including gas storage waterheaters with an input of 75,000

### Btu perhour orlesl, oil storage waterheaters with an input of 105.000 

### Btu perhour orlesa. and electric storase waterheaters with an input of12

. 

### kilow8

### tta orless:

(b) Instantaneoul type unitl which heat waterbut contain no more than one gallon ofwater per 4.000 

### Btu per hour of input, including gas instantaneous water heaters with an input of200.000 

### Btu per hour orless, oil instantaneous water beatera with an input of210,000 

### Btu per bour or les8, and electric instantaneous

.water beaten with an input of12 

### kilowatts or less: and

(cl Heat pump type 

### units. with a maximum current rating of24 

### amperes at a voltage no greater than 250 

### volts. which are products designed to transfer thermal energy 

### from one temperature level to a higher temperature level for the purpose ofheating water. including all ancillary equipment such as 

### fans, storage tanks. pumps. or controls necessary for the device to perform its function.

"Weatherized warm air furnace or boiler" means a furnace or boiler designed for installation outdoors. approved for resistance to wind. rain. and snow. and supplied with it5 0'W1l 

### venting system.



### - Subpart B-{Amended]

4. 

### Subpart 

### B ofPart 430 is 

### amended by removing Appendices A 

### and B.

4a. Section 430.22 

### is amended by removing paragraphs (a}(6) 

### and (b)(6); 

### redesignating and revising paragraphs (a)(5) and (b)(S) 

### as 

### paragraphs (s)(6) 

### and (b}(6) 

### respectively: and adding new paragraphs (a)(5) 

### and (b)(5) as follows:

§ ,(30.22 [AmendedJ

(a)· • •

- (5) 

### The annual energy use ofelectric refrigerators and electric refrigeratorfreezers equals the representative average use cycle of 365 

### cycles per year times 

### the average per-cycle energy consumption for the standard cycle in 

### kilowatt·hours per cycle. determined according to 6.2 

### ofAppendix Al of th.is 

### subpart. 

## • • 

### •• 

## • "Fluorescent lamp..ballast" means a device which is used to start and operate fluorescent lamps by providing

a starting voltage and current and limiting the current during nonnal operation.

"Fumace" means a product which utilizes only single-phase electric
current. or single-phase electric current

or 

### DC current in conjunction with natural gas. propane, orbome heating oil. and which-

(a) 

### Is designed to be the principal heating sources for the living space ofa residence:

(b) 

### Is not contained 

### within the same cabinet with a central air 

### conditioner whose rated cooling capacity is above 65.000 

### Btu per hour;

(c) Is 

### an electric central furnace. electric boiler. fo!"Ced-air central furnace. gravity central furnace. or low pressure steam or hot water boiler; and

(d) Has a heat imput rate ofless than 3OO.OCXJ 

### Btu per 

### hour for electric boilers and low pressure steam or hot water boilers and less than 2.2S,00Q 

### Btu per hour for forced-air central furnaces. gravity central furnaces. and electric central furnaces, gravity central furnaces. and electric central furnaces.

### 6078 

### Federal Register 

## I Vol. 54. 

### No. 24 

## I Tuesday, February 7. 1989 

## I Rules and**Re~lations**



### •

Components of Ilmil.r deSign**m~y** be
substituted WHhout 1"'P!"qt21nng add1tlonat testing if the**~~ed** rae","," of ene-rgy**~\On** CQ.Dttmle**tQ.~, ~..,~btttw~**  pro\'i.wn.

1.15· .'. The linRle number HSPF elleI1Y conaervatioa ltaDdard for central.ir conditionins heatpump. specified iD aection 32S{d)(2) (A) and (B) il baaed on Region IV and .the standardized DHR found in Mction 8 ofthis appendix.. nearest the capacity measured in the 47 ·F test. AFUE

### efficiency (ArUE) 

### shan 

### be expressed as



### a percent and defined as:

where: 5ZOO- a\"erage aMusl hestin, dearee-da)'s N.

- a. defined in 4.3 ofthis appendix for condeuinl fumacea and boilers

mealured by the optional direct condensate measurement method: as N

..... al derIDed ill 4.5.14 ofthis appendix
at each design heating requirement for modulating fumaces and boilers: or as Elfy. as defined in 11.2.5 ofANSI! ASHRAE 103-82 for all other furnaces and boilers.. N. a part load efficiency and il based on the assumption that aU weatherIzed warm air furnaces or boilers are located out-ofdoors: warm airfurnaces which are not weatherized are installed as isolated combustion svstems: and boilers which

are not weatherized are installed in doo,.. Pert load efficiency as defined in
4.3 of this appendix for condensing fumaeel and boilers measured by the optional direct condensate rneuurement method;

# a. N

... trt as defined in 4.5.1 of this appendix at each design heating requirement for modulating furnaces and boilers: or as EffYNl as defined in 11.2..34 oCANSIIASHRAE 103-82 and in 4.2 ofthis appendix for all other fumaces and boilers except that and 1...; are deflned**as~** 

### ofor boilers which are not weatherized 3.3 for furnaces whi.ch are weatherized 1.7 for furnaces which are not weatherized

4.7 for boilers which are weethenzed L, jacket loss and is either assigned the value of1 percent or determined in accordance y.·ith 8.8 ofA.."iSIIASHRAE 103-82 in percent Q,• ., steady-state heat input as defined in 11.2..34 of NSIIASHRl\E 103-82 0.1:=r:**.vera~e** oversizin8 factor for furnaces a.cd hollers 4600::11: average non-heating season hours per year Q. = pilot name fuel input rate as defined in 9.2 of ofANSIIASH.R.A.E 103-82 Appendix N-(Amended)

11. Section 4.7 ofAppendix to Subpart B ofPart 430 is amended**ch;anl~ln.~** the fallOWing references "0 for furnaces or boilers intended to be installed indoors." to "0 for boilers which are not weatherized:" U1.7 for furnaces or boilers intended to be installed as isolated combustion systems:' to "1.7 for furnaces which are not weatherized."; '''3.3. for furnaces or boilers intended to 

### be installed outdoors." to "3.3 for furnaces or boilers which are weatherized. ": and "1.0 forfinned tubed**boile~** intended for installation**outdoor~'"** to '1.0 forfinned tubed boilers which are weatherized." 

### Appeadix

### Qto SubpartB.ofPut

## aoUDifOnD TestMethod forMeasuriDl the 

### EDerzy Consumptioa 

### of

### FlUOl8SC8Dt 

### Lamp Ballasts

. L**Delilliti~**



### t.l -ANSI Standard" means I Itandard developed b, a**~mittee** accredited by the American NatioDal Standarda Institute.

1.2 ··Ballast iDputvolt.18

II 

### mea. tb_ rated inputyollaS- ofa OUoreIC8nt lamp ballUL

1.3 "F-IOTIZlamp" 

### meanl. DOD'liDal40 watt tubularfiuorescent lamp which il 48 Inch

.. lD length and one and I halfinches in diameter. and conforms to ANSI standard C7B.1-1978(RI984).

1.4 "F98T1Z lamp" meana a nominal 7S watt tubularfiuorelCenl lamp which il 48 inche. in leDgth and one and'a balfinches in diameter, and conIOnDI toANSI staudarei C78.1-1978(RI984).

1.5 uF96T12HO lamp" 

### meanl • nominal 110 waU tubular fluorescent lamp which is 96 inchella leftltb and one and a halfinches in diameter, and conforml to ANSI Standard C7a.l-t918(RI984).

1.8 -Input current" meana the root-mean· square (RMS) current In amperes deliveredto

a fluorescent lamp ballast.

1.7 "Lumi.Daire" mean. a complete lightiq unit consisting ofa fluorescent lamp

or lamp

... together with parts designed to distribute the**Ugh~** to po.aition and protect
IUch lampa. and to correct such lamps to the
power supply through the ballast

.

1.8**~ominallamp** Wlltts means the wanage at which a fluorescent lamp is designed to operate.

1.9 "Power factor" means the power input divided by the product ofballast input voltage and input current of a fluorescent lamp ballast. a. me:LSun:d under test conditiolU speCified in**Al~SI** Standard C82...2-1984.

1.10**~~** in'pHt U tnecrtl the power cOMumpUon in wet' .' "f a t**811a~Jt** and fluorescent la.mp or i 'n,pt. al de-lermined in accordance with the**re~t** pro::edures specHied in ANSI Standard**~..2-1984**

1.11 "Relative hght O.ltput· .r'lear.s the light output dt:livered llt)ugh :l ! use of a ballast divided by the**h~t:t** auto 'J delivered through the use ofa refe**:"eJ.~CP** Oi Uas1, expressed a. a percent.

.. , deterr \ined in accordance with the tes-t .lrOcedu ,'eS specified in ANSI Standard**C82.2-1~**

1.12 uResidential building" means ItruCture or portion of a structure which provides faCIlities or shelter for human residency. except that such term does not include any multifamily residential strocture oCmore than three stores above grade.

10. Section 4.6 ofAppendix N to Subpart

## aofPart 430 is revised 8! 

### follows; Appendix N to Subpart B ofPart 43GUniform Tesu Method for Measuring the Energy Consumption of Furnaces

4.6 AnnooJ fuel ut.i}izaliort 

### efficiency. The' annual fuel utilization 

## • • • 

## •

Q. 

### Subpart B of Part.430 

### is amended by 

### adding new Appendices P 

### and

### Qas follows: 

### Appendix P to 

### Subpart B

# orPart43G

### UniIOITD Test Method. for**~A:ea5uring** the E.oergy ConaumptioD ofPool Heaters

1. Test method. The lelt method COl tetting gas· and oil·fired pool heatera shall be al specified in American National Standards Institute Standard for Gal-Fired Pool Heate", Z21.56-1986.

2... Test conditions. Establish the teat conditioIll specified in section 2.B ofANSI**z..~** ,56-1988.

3. ,,\[eaSJJremen18. MeasW'e tbe quantities delineated in section 2.8 of**A.t.~S1** Z21....56-19Ba except in the case ofoil·fired heaters the

measurement ofenergy consumption in Btu'.

to be carried out in appropriate Wlita. e.g., gallons, Calculations. Calculate the thermal efficiency**(exp~sed** as a peT'Cent) as speCified in secHor. 2..8 ofANSI Z-"1.56-1986. except in the case ofoil·fired heaters the expression of fUe1 consumption shall be in 

### prescribedUDdersections 324 or

### 32S of 

### the 

### Act.· • •

(P)(l) 

### Fornch basic model' ofpool. heater a sample ofsufficient size 

### shall be 

### tested to insure 

### thaa-

(i) 

### [Reserved)

_ (ii) Any 

### represented value ofthe fuel 

### utilization efficiency or

### othermeasure 

### of
ene,.., coasumptionofa basic model for 

### which consumers would favor higher values 

### shall be no greater than the lower 

### of(Al the mean 

### ofthe sample 

### or (B) 

### the, 

### lower**97~** 

### percent confidence 

### limit of the true mean divided 

### by .95.

(q) 

### [Rese"ed] 8. 

### SubpartS 

### ofPart 430 

### is amended 

### by adding a sentence to the 

### end ofsection 1.5 

### of

### Appendix 

### Ma. follow.: 

### AppeDdix M to Subpart B ofPart 430- UDiIorm Test Method 

### for Measuring 

### lb. EDergy 

### CoDSumptiOD ofCentral

### Air Conditioners.

### Federal Register 

## I Vol. 

## S4. No. 24 

## I Tuesday, February 7, 1989 

## I Rules and Regulations

58 52

63

&&

65 56 5i 57 81 59

60 

### ;4 Annuat •.- UftllzatlOn enoency.

J8n.1, 'igo (percent)

(j) 

### Kitchen ranges andovens. Gas kitchen ranges and ovens with an electrical supply cord shall not be equipped**wiL~** a constant burning pilot_ The standard is effective on January I. 1990.

(k) 

### Poolheaters. The thermal efficiency of pool heaters must be no less than 78%. The standard. is effective

on January 1. 1990.

(1) 

### Television sets. [Reserved] (m) 

### Fluorescent lamp ballasts. (1) Except as provided in paragraph (m1(2) 

### ofthis section. each fluorescent 

### lampballastManufactured on or after January 1. 199Cr.

(B) Sold by the manufacturer on or after Aprill, 1990: or

(C) Incorporated into a luminarie 

### bv a luminarie manufacturer on or after April 1. 1991: 

### and

(ii) Designed- (A) To operate at nominal input voltages 

### of 120 

### or 2.J;**volts~**

(B) To operate with an input current frequency of 60 Hertz; and

(C) For use in connectIon with F4OTl2.. F96T12. or F96T12.HO lamps; shall have

a power factor of 0.90 or greater and 

### option. The .tandarel wu effective 

### on Januaryt. 1988.



### (b) Clothes

### dryers. 

### Constant buming 

### pllotlights in 

### sas clothes dryen are 

### prohibitecLThe standard

### was e'ffecti\'e

on January 1. 1988

.

(1) 

### Directheating equipment.



# 1.:;: 1M lype up

# .~ ••

# ~~:~..1 2. Gas w

.. ,.,. type over .2.000 Btul !



# ....- 

# ._---_....•....... 3. Gas waU type up to 10.000 i

B1Lt/tQlr

_.

__.--
.....-
....

_.......••.•.•.t

•. Gal gra¥lty 

### tvoe over 10.000 !

Btu/I'Q.I' up to 12.000 Btu/hOur

.....**_.~** 5. Gas waH gravaty Iype 0Yet 12.000 

## I

Btu/hcu up to 15.000 Btu/hour.....•.•.: 8. Gas

.... tyDe over 15.000 

# I

- Btu/how up to 1&,000 Btu/hour.....••..

7. Gas watt gravity type over 19.000
It

Btu/hcu up to 27,000 Btu/hour.......•. 

### a. Gal wall graVIty tyDe over 27.000 t

Btulhcu up 1046.000 Btu/houf..••_, 9. Gu waH**~YIty** type over 46.000 j

BtuIholIr......•.

__ , 10. Gu floor up to 37.000 Btu/hour : 11. Gas floor tNet 31.000**BtuJ~** .••**_.~** 12. Gas room up to 18.000 Btu/hOur

....; 13. Gas room ov.- 1

### a.000 Btulhour 1

up to 20.000 Btu/hOur

_.••

### J

14.. Gai room over 20.000 Btu/hour !

up to 27.000 Btu/hOur

_ 

### J
1.5.. Gas room O'Vet 27.000 StulhoYr 

# I

UQ to 4o.OUU**Bu../hO\..~** _ t 16. Gas room over 46.000 8tu/hOul

..**_.~** j .., f01/01 1S12 I.e I 01/01/5)3 I 

### I 10.01 1.71

(d) 

### Waterheaters

,. Furnaces (excluding 

# claSS.j 

# I

es noted betow) (percent)

..... 1 7!

, 0'/01/92 2.**'~** Home F1Inaces 

### I i

(percent) .•_._•••_. ..1 75 101/01/90
3.

..Sm8JJ" U'nae8s (1IlCU'l 

### i I

rate Mlss than 45.000 Stu! 

## I I I'oJr

_ _ _ .•_._ \ (t) 

### I

4. Boeters (exdudIng gal I I

Iteam) (percent}

..

__•

.. 1 80 i 01/01/92 5. Gas bONers (pef- 

### I !



# cenlJ·---.----1 75: 01/01/92



### (0 Dishwashers. Dishwashers must be equipped with an option to 

### dry without heaL The standard.was effective on January 1, 1988..



### (8) Clothes washers. Clothes washers 

### muS1 hav.e. 

### an unheated water rinse'

(e) 

### Furnaces 1.

# SoIl.,......_**2.SngIlI~~·1**

t 3. WItftouI cycle 

### n wiIta lou-

..-d '.000 tel 13'" Btu 1.0

. 

### .c. Withoul

,.,.,. eycte and ..." louvered

.... 14,000 10 18.999 Btu 1.8 5. Without nMne cycle and with IOU-

... Iidn 20.000 and maN 8tu.- 1..2 I. WIthout Cyc:iI wad WIttQII lMI .." 1.000 Btu 1.0 7. Without rev cycle Met WI1hout SIdeS 8.000 to 7.199 Btu 1.5 I. WdftOUt cycle Met

1ouwer8d 1.000 1G 13."**Btu~~** 1.5 8. Without f1Net"I8 C¥dlI

..... WIthOut

Iouwer8d lide. 14.000 10 19._ Btu .• ••_··_.. 1.5

10. Without cyde WId WI1hout 20.000 and more Btu**8~** 11. With

....... cycle,

..., WIth Ie»

vered 1Ides.• •• • 8.5

12. With,...,.,... cyckt, WI1hout Ie»

v.-d

# a.dM.__________
1.0

(c) 

### Centralairconditioners and centralairconditioning heatpumps.

Product etass 

# I Energy factor, Jan. 1, 1990

1. Ga Water

# Heater]

.... O.D2-{.OO'9 x Rated Stor· age Votume in gat1ons). 2. 01 Wac. HMSat

_ . 0.S9-{.OO1 9 x Rateo Stor

# l ege Voeume '" gaUons). 3. Electne WaJet**O.9~OO1J2** xRa.ted StQ(·

Heater. age**V~** N'l gaJions).

(b) 

### Room airconditioners. 

# I Energy e-tnoencv I rlllO Jan. 1.
1 1990

I

### w~~~e.nd~&ou.1 WWed SfCJeS teu than 6.(0) Btu ! 8.0 I Z. Wr'f!")()Ut r8¥et"'M erN and wrtn k)u. I

Y8f'80 Sldet 6.000 10 7,999 Stu

_ ...._.: 8.5. 1. RelriQeraICn and

# ,..,.tor.!

freezers wntl manual oetros:_-

# J 16..3 AV+316

## 2..::a::~__ 21.8AV+429 3..**Retnger.tOl-tree~at·1** 

### c detrost wrtn eop-tnounled 

### I frMzer wctnout ICe. •...., 23..5 AV+411
4.**Re1nqen!tCW'·~** I mabC de'trOSt WIth s..de-mounled 

### I
freezer**~tnou1lC8** ••• 27.7 AY+488 S.**Retngerator~** 

## I

mane**~t** With bottom- 

## I

mounted trM'Zer WftnOU1 ce

....--1 21.7 AV+4.88 6. RetngeraloI.treeun-ausomal

., M: defrost wrtn top..mOUnted 

## I
freezer With through tile dOOr I
ICe S8f'VC•..•..•••

_ ....••...

_ •••

_....

_ ..**25.~** AV+535 ' 7.**R8tngerator·treez~C)o** \ mabC Ge1TOSt .,tn 1IJde.mount8d I trNZef 'MIn h'ough the (k)O( j
a.

. 

### ._-.i 30.8 AV+S47
8. LJpngnt freezers wrtn menuaJ I

oetr::>st•..••.•...•

_ .••.••.•.....•...••...........

### .l 10.9 AV+

....22
9. Upngnt treat.-s Wlttl

..**toma~** 

# I

IC defrost "'

__._._'''.

__'

__''1 16.0 A'V +62:3

, O. Chest freezers and

.., oU*'.j

freezers

....

__.......

__._.._..-
..j 14.8 AV

.... 223

AV c:T olal adfuSled \'CMutM. ex;wesaed in It 1 I Energy
Product dus standards equaoons.. Jan. 1. 1990 

### Subpart**c--(Am.nd~]** 

### f 43G.31 Purpoee and 

### .cope.



# nus subpart contains any energy conservation standards for cluses of covered 

### products 

### that are 

### required 

### to be administered 

### by the Department of 

### Energy pursuant 

### to the Energy Conservation Program 

### for Consumer Products OtherThan Automobiles under the Energy Policy and Conservation Act.



### as amended (42 

### U.S.C. 6291 

### etseq.).


### f 430..32 Energy conservation .tandarda and ettecttve datn.

The energy 

### conservation standards 

### for the covered product clasles 

### are:

(a) 

### Refrigerators/refrigeratorfreezers/freezers. 12. 

### SubpartCofPart430

### iareviled to read

.. followa:
Subparte-EnergyC._1Idon



# .........
Sec. 430.31 Purpose and**ICO~.** 430.32 Energy conservation atandarda and effective date•. 

### ao.33 PreemptionofState fIIulalions. 

# (

### 8018 Federal Register 

## I Vol. 54. 

### No. 24 

## I**Tue~day.** 

### February 7. 1989 

# I Rules and Regulations

.haD have 

### a ballastefficacy factorDot lest than the followms:

# ~: 

# 1:=:1i-1=

One F.aT12 lImP

## ._1 120 I, .cJ

# I·
1.805 2T1 

### .c» I 1.805.

Two F.cJT12 1ImPI.. 

## ! : 

# I**~:=** Two FlT12

.....- 120

# I
150 0.570 2T7 150 I 0.570 Two FNT12HO I 

## I

IamPI 120

# I
220 I 0.310 

## 2T!**22OJ~** (2) 

### The standards described in paragraph (m)(I) ofthis section do not apply to (i) 

### a ballast which is designed for dimming orfor use in ambient temperatures of

## o·F orless. or (ii) 

### a ballast which has a power factor ofless than 0.90 

### and is designed for use only in residential building applications.


### f Preemption

## of Nt. ntguJatlonL



### Any atate regulation providing for any energy conservation standard. or other requirement with respect to the energy efficiency or energy use. ofa coyered product that is not identical to a Federal standard in effect under this subpart is preempted by that standard. except as provided for in section 327 

### (b) and (c) of !he 

### Act.

13_ Subpart D 

### ofPart 430 

### is revised to 

### read 

# a. follows: Subpart 

### D-Pettttona To Exempt State Regulation From Preemption; PetitJons 

### toW11hdnlw Exemption of State Reguiatlon

Sec. 430.40 Purpose and scope. 430.41 Prescriptions ofa role. 430.42 Filing requirement•. 430.43 Notice of petition. 430.44 Consolidation. 430.45 Hearing. 430.46 Disposition of petition•. 430.47 Effe<:tive dates offinal role•. 430.48 Request for reconaideratian. 430.49 FiIUility ofdecision. Subpart D-{Amended]

4.3O•

### .a Purpo

.. and acope. (a) 

### The regulations in this subpart prescri

### be the procedures to be followed in 

### connection with petitions requesting a rule that a 

### State regulation prescribing

an 

### energy conservation standard or other requirement respecting energy use energy effiCiency of

### a type (or class) of 

### covered product not be preempted. The regula

### tions in this subpart also prescribe the procedures to be followed in connection with petitions to withdraw a rule 

### exempting 8 

### State regulation prescribing an energy conservation standard or other
req

### uirement 

### respecting energy use or 

### enel1Y efficiency

### of. type 

### (ordan) 

### of covered.**prod~ct.** 

### I aGA1

........ptIons of. rule.

(a) 

### Criteriaforexemptionfrom

. preemption. Upon petition

### by • State which hat prescribed an enel1Y conservation standard or other requirement for a type orclals ofa 

### covered product for which 

### aFederal
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 • preponderance ofthe.evidence that such requirement is 

### needed to meet unusual and compelling State orlocal 

### energy interests_ For the purposes ofthis regulation. the term "unusual and compelling State 

### orlocal 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

.5tate-s energy plan and forecast. the
costs. benefits. burdens.. and reliability 

### ofenergy savings resulting from 

### the State 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 signific,ntly burden manufacturing. marketing, distribution. sale or servicing of

### th

· covered product on a 

### national basiJ, 

### In detennining whether to make such**\~** 

### finding. the Secretary shall evaluate 

### a'.1 relevant factors including: The extent ';0 

### which the 

### State regulaHan will increc**s,~** 

### manufacturing or distribution costs 01 

### manufacturers. distributors. and other.'; the extent to which the State regulatioI. 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 and produce the covered product type (or class), taking into consideration the extent to which the regulation would result in a reduction in



### .the current models. or in the 

### projected availability 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 extentto which the State regulation is 

### Ubly to contribute significantly to a 

### proliferation ofState appliance

- effidencyrequirements and the cumulative impact such requirements would bave. The Secretary may 

### not prescribe such a rule ifhe finds that
IUch 

### a rule 

### will res.ult in 

### the unavailability in 

### thee Slate ofany covered product (or class

### 1of performance characteristics (including reliability). features. sizes. capacities. and volume. U'lat are substantially 

### the lame as those generally tlvailable in the State at the time ofthe Secretary's finding. The failure ofspme 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 ofpetition for exemption from preemption_ A 

### petition from a State for a rule for exemption from 

### preemption shall include the information listed in paragraphs (a)(1)(i) through (a)(1)(viii) of 

### this section. A 

### petition for a rule and correspondence relating to such petition shall be available for public review except for confidential or proprietary infonnation submitted in 

### accordance with 

### the Department ofEnergy's Freedom of Infonnation Regulations set forth in 10 CFR 

### Part 1004:

(i) 

### The name. address and telephone number ofthe petitioner:

(ii) 

### A 

### copy ofthe State standard for 

### which a rule exempting such standard is**~ought:**

(iii) A 

### copy ofthe State's energy plan and forecast:

(iv) 

### Specification ofeach type 'or class ofcovered product for which a rule exempting 8 

### standard is 

### sought:

(v) 

### Other information. 

### if any.**~1ieved** . 0 

### be pertinent by the petitioner: and

(vi) 

### Such other information as the ecretary may require. (b) 

### Criteriafor exemptionfrom pJeemption when energy emergency c(

### nditions exist within State. Upon petition by a 

### State which has prescribed

an energy conservahon standard or other requirement for 8 

### type or class of a 

### covered product for which a Federal energy conservation standard is apphcable. the Secretary may prescribe

a rule, 

### effective publication in the Federal Register. 

### such regulation
not be preempted if

### he determines that in addition to meeting the requirements ofparagraph (a) of thIS 

### section the State has established that: 

### an energy emergency condition exists Wlthin the 

### State that 

### imperils L1e health. 

### safety and 

### welfare of its 

### residents because of the**._~,",l,"',** of the 

### State or utilitles within 

### the State to pro\'ide adequate quantities

### Federal RegisteJL 

## I Vol. 54, 

### No. 24 

## I Tuesday, February 7, 1989 

## I Rules and**Re~lations** 

### 6079 

# ( of8as orelectric 

### energy to 

### its

### residents

.atandard 

### shall include theiDformatioa
at leal than probibit.ive COlta: 

### and**prescn~ed** 

### ill parqrapha (c)(1)(i) 

### caMot 

### be substantially alleviated

### by the 

### through (C)(l){Yii) 

### of

### thiI

..ctiOD. 

### and importation ofenefIY 

### orthe 

### use 

### of

, IhaU be available for

### publicreview, interconnection agreement.: and the except for confidential

### orproprietary 

### State regulation i. 

### necessary to 

### alleviate inform.lionlubmitted iD 

### accordance

•ubstantially such condition. 

### with the Department of

### EneI1Y'.

(1) 

### Requirements ofpetition for Freedom ofInformation Regulations set exemption

### from preemption when 

### forth in 10

### CFRPart 1004: 

### energy 

### emeraency conditioOl exist (i) 

### The 

### name. addre.1 

### and 

### telephone within 

### a Stale. 

### A petition 

### from a State number

### ofthe petitioner: for a nde for exemption 

### from (li) 

### A .tatementof

### the interest of

### the preemption when energy emerzency petitionerfor 

### which a rule withdrawing conditions exist within a State shall aD 

### exemption 

### i. 10uSht: include the information listed in

. (iii) 

### A copy 

### ofthe State .tandani for paragraphs (a)(1)(i) through (a)(l)(vi) of 

### which a 

### rule withdrawing an 

### exemption this section. A 

### petition shall also include illought the infonnation prescribed in (iv) SpecificatioD ofeach type 

### or class paragraphs (b)(l)(i) 

### through (b)(l)(iv) 

### of ofcovered 

### product for which a rule 

### this.ection. and shall be available for withdrawil1l an exemption is sought: public review except for confidential or (v) A 

### discussion of

### the factors proprietary information submitted in 

### contained in 

### paragraph (al ofthis accordance with 

### the Department of

.section; Energy's Freedom ofInformation (vi) Such other infonnation. 

### ifany, Regulations set forth in 10 

### CFRPart believed**t~** 

### be pertinent by the 1004: 

### petitioner; and

(i) A 

### description ofthe energy (vii) 

### Such otherinformation as the emergency condition 

### which exilts Secretary may require.**~ithin** 

### the Slate. including causes and 

### 1430 42 Flllftft ui tL 

### Impacts.

·
...... ntQ 

### remen

.

(ii) A 

### description ofemergency (a) ServIce. 

### All**~cuments reqwr~d**  

### to response actions taken 

### by the State and be**~erved** 

### under this subpart shall

### ,If utilities within the State to alle\'iate the mallecL be served 

### by first class 

### mail
emergency condition: Service upon 8 

### person's 

### duly authorized

(iii) An 

### analysis ofwhy 

### the emergency representative shall constitute service condition cannot be alleviated 

### upon that person.

.. substantially by importation of

### energy (b) 

### Obligation to supply 

### information.

or the use ofinterconnection A penon or State 

### submitting B 

### petition**agreeme~** 

### is under a continuing obligation to

(iv) An 

### analysis ofhow the State provide any 

### new or newly discovered standard can alleviate substantially information relevaot to that 

### petition. 

### .such emergency condition. Such information 

### includes. but is 

### not

(c) 

### Criteriafor withdrawaloforale limlted to. information 

### regardi.ng any exempting a 

### State standard. Any 

### person other petition or 

### request for action subject to a State standard wb..ich.. 

### by subsequently submitted by that person 

### rule. has been exempted 

### from Federal or State. preemption and which prescribes an (c) 

### The same orrelated

### matters. A 

### energy conservation standard or other person or State submitting 

### a petition or requirement for a type or class ofa otherrequest for action shall state 

### covp,red product when the Federal 

### whether to the best 

### knowledge ofthat
energy 

### conservation standard for such petitioner 

### the same or related**issu~** 

### att. product subsequently is amended, mayor tranaaction has been or presently is 

### petition the Secretary requesting that being considered or investigated by any the exemption role be withdrawn. The State agency. department or Secretary shall consider such petition in 

### instrumentality. accordance with the requirements of (d) 

### Computation oftime. (1) 

### paragraph (a) ofthis section. except that Computing any 

### period of time 

### the burden shall be on the petitioner to prescribed by or allowed under this demonstrate that the exemption rule subpart. the day ofthe action from received by 

### the State should be which the designated period oftime withdrawn as a result ofthe amendment begins to ron i. 

### not to 

### be included. U

### the
to the Federal standard" The Secretary last day 

### ofthe period ii. 

### Saturday. or shall withdraw such rule 

### ifhe Sunday. or Federal legal holiday. the determines that 

### the petitioner has period runs until the end ofthe rrext day 

### shown the rule should be withdrawn. that i.J 

### neither a S.turday, or Sunday or

(1) 

### Reql.,;irements ofpetition to legal hol.iclay. withdraw a rule exempting a Stale Saturdays... Sundays. and standard. A 

### petition for a 

### rule to intervening 

### Federall.egal hDlidays 

### shall withdrC'w a rule exempting a State be ex.clw:iedirom the computation of 

### time when the period 

### oftime allowed or 

### pnlcribed II

### 7

### day.

# orlesi.

(3) 

### When a .ubmislion i. 

### required to 

### be made 

### within. prescribed time. DOE


### may grant 

### an extension oftime upon 

### IOOd cause shown

.

(4) 

### Document,received after regular business hours a"re deemed to have been .ubmitted Oft 

### the next regularbusineCis day. 

### Regularbusiness hours for the DOrs National Office, Washington. 

### DC.

are 8:30 

### a.m. to 4:30 

### p.m.

(5) 

### DOE reserves the right to refuse to accept. and not to consider. untimely lubmissions.

(e) 

### Filing of petitions. 

### (ll A petition for a rule shall be submitted in triplicate
to: 

### The.Assistant Secretary for Conservation and Renewable Energy. U.S. Department ofEnergy. Section**3~7** 

### Petitions••**~ppliance** 

### EfficiencjP Standards. Forrestal Building. 1000 

### Independence Avenue. SW.• 

### Washington. 

### DC 20585.

(2) A 

### petition may be submitted on behalfofmore than one person. A 

### joint petition shall indicate each person participating in the submission. A 

### joint .petition shall provide the information required 

### by 1430.41 

### for each person on whose behalf the petition is submitted.

(3) 

### All petitions shall be signed by 

### the person(s) submitting the petition 

### or by 

### a 

### duJy authorized 

### representati

### ve, If submitted by 8 

### duly duthorized 

### representative. the petitIon 

### shall certJfY 

### this authorization.

-

(4) A 

### petition for a rule to withdraw a 

### rule exempting a 

### State regulation. all 

### supporting documents. and all future 

### submissions shall be served on each State agency. department. or instrumentality whose regulation the 

### petitioner seeks to 

### supersede. The 

### petitiun shall contain 8 

### certlfication of 

### this service which states the name and mailing 

### address ofthe sen'ed parties. and the 

### d.ate 

### ofservice.

(f) 

### AcceptDnceforfiling. (1) 

### \Vithin fifteen (15) days 

### ofthe 

### receipt of 8 

### petition. the Secretary will 

### either accept it 

### for fijing 

### or reject it 

### and the petitioner will 

### be so notified m wnting. 

### The Secretary will serve a copy of this notification on each other party served by the petitioner. Only such petitions which conform to the requirements of this 

### subpart and which contain sufficient infonnation for the purposes ofa substantive decision will be accepted for filing. 

### Petihans which do
not so conform will 

### be rejected and 

### an explanation provided to petItionerin**writi~**

(2) For 

### purposes ofthe Act and this subpart. a petition is 

### deemed to be fiied

on the date It 

### is accepted for filir.g.

### 6080 

### Federal Register '·Vol. 54. 

### No. 24 

## I Tuesday. February 7. 1989 

# I Rules 

### and Regulations



## talDocket 

### Apetition accepted for flUng will be assigned 

### an appropriate docket designation. Petitioner shan use the docket designation in 

### all subsequent lubmis.ions.

§ C30.43 Notice of petition.

(a) 

### Promptly 

### afterreceipt of a 

### petition and 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 

### data 

### and information available. and shan 

### solicit comments. data and infonnation with respect 

### to the detennination on the petition. Except as may otherwise be specified. the period for public comment shall be 60 

### days after the notice appears in 

### the Federal Register.



### (b) In addition to the material required under paragraph (a) of

### this section

.. each notice shall contain a summarv ofthe State regulation at issue and the petitioner's reasons for the rule sought.

§ 430.44 Consolidation.

DOE 

### may consolidate any or all matters at 

### issue in two or more proceedings docketed where there exist

common parties. common questions of fact and law. and where such consolidation would expedite or simplify considerstion ofthe issues. Consolidation shall not affect the 

### right ofany party to raise issues that could have been raised 

### ifconsolidation had not occurred.

§ 430.45 Hearing.



### The Secretary may hold a public hearing. and publish notice in the Federal Register ofthe date and location of the hearing, when he determines that such a hearing is 

### necessary and likely to result in a timely and effective resolution ofthe issues. A 

### transcript shall 

### be kept ofany such hearing.

§ ai3O..46 DtsposUJon 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 a determination by the Secretary to deny the petition shall include a written statement setting forth his findings and conclusions. and the

reasons and basis therefor. A copy of the Secretary's decision shall be sent to the petitioner and the affected State agency. The Secretary shall publish in the Federal Register a notice of the final rule granting or denying the petition and the reasons and basis therefor.

(c) 

### If the Secretary finds that 

### he
cannot issue a final rule within the 6- 

### monthperiodpursuantto parasraph (a) ofthil 

### section. he Ihallpublish a notice 

### in 

### the Federal R.t. 

### extending IUch

- 

### period 

### to a date certain. 

### butno longer thaD one year

### afterthe 

### date on

### which the 

### petition 

### wal filed. Such

### notice shaD include the 

### reasons for the delay. 

### 1

...7 Effective

... offInIJI

........

(a) 

### A 

### final rule 

### exemptiilg a 

### State standard from 

### Federal

### preemption 

### will be effective:

(1) Upon 

### publicatiOD in 

### the 

### Federal Register 

### ifthe Secretary 

### determines that 

### such rule 

### is needed to meet aD ··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 Federal Register

### ifthe Secretary detennines that 

### such additional time is 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 Request for reconsideration.



### (a) Any petitioner whose petition for a 

### rule has been denied may request reconsideration within 30 

### days ofdenial. The request shall contain a statement of facts 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 error in 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 petitioner may seek suchjudicial review as may be appropriate and available.

(d) A 

### petitioner has not exhausted other administrative remedies until a 

### request for reconsideration has been filed and acted upon or deemed denied.


### f 430.4i FinaUty of dectston.



### (a) A decision to prescribe a rule that

a State energy conservation standard or other requirement not be preempted is final on the date the rule is issued. Le., signed by the Secretary. A 

### decision to prescribe such a rule has no effect on other regulations ofa covered product of any other Stateo

(b) A 

### decision to prescribe a rule withdrawing a rule exempting a State standard or other req.uirement is final on the date the rule is issued. Le., signed by the Secretary. A 

### decision to deny suc..' a petition is final on the day a denial of a request 

### forreconsideration is iuued. 

### .;Le.. 

### liped

### by the Secretary. 14. 

### Part430

### is 

### amended by 

### adding 

### Dew Subpart

## E. to read as follows: 

### IubI*1**E-sma~** lUlin

... Exemptions

Sec. 430.50 Purpose 

### and Icope. 430.51 Elilibility.

. 430.52 

### Requirements for applica

### tions. 430.53 Procn.iu8 ofapplications. 430.54 

### RefelTa1 to 

### the Attomev 

### C"neral. 430.55 

### Evaluation ofthe applieation. 430.58 

### Decision and order. 430.51 

### Duration oftemporary exemption. 

### Subpart E-(Amended)

1430.50 Purpose .nd scop••



### (a) This subpart estabJ:ishes procedures for the submission and disposition ofapplications rUed by manufacturers ofcovered consumer products with annual gross revenues that do not exceed

## sa million to exempt them temporarily from all or partof energy conservalion standaras established by this part.

(b) The purpose ofthis subpart is to provide content and format requirements for manufacturers of covered consumer products with low annual gross revenues who desire to apply for temporary exemptions from applicable energy**conse~aticn** 

### standards.

.**~.51** eligibility. Any 

### manufacturer ofa covered produci with annual gross 

### revenues that· 

### do 

### :rot e),ceed S8.CXX>.OOO 

### from all its 

### operation, (including the manufacture and sale ofcovered products) for the 12-

mOD 

### 'h period preceding the date of appL ;,\tion may apply for an exemption. In**de;'el"mirun~:** 

### the annual gross revenl

### \eCJ of 

### ,u y manufacturer under this subpart. the ,\.1 

### nual gross revenue ofany other pt1t,on ho controls. is 

### controlled. by, or it 

### u.."dF.r :ommon control with. such me :lufactl 

### rer shall be taken in

### to account.

430.52 Requirements for application&.. (a) Each 

### under this subpart submitted triplicate to: 

## u.s. Department ofEnergy. Small Business Exemptions. Appliance Efficiency Standards. Assistant Secretary for Conservahon and Renewable Energy, Forrestal Building. 1000 

### Independence Avenue. S\V

... 

### Washington. DC 20585.



### (b) An 

### application shall be in \\'riting and shall include the follOWing:

(1) 

### Name and mailing address of applicant:

(2) 

### Whether the controls. is controlled by. or is common control with**anoL~er** 

### manufacturer. and

### Federal Register 

## I Vol. 54. 

### No. 24 

## I Tuesday. February 7. 1989 

## I Rules and Regulations 6081 

# ( if 10. 

### the nature

### -ofthatcontrol relationship:

(3) The 

### text or

### substance 

### ofthe standard orportion 

### thereoffor

### which the exemption 

### i. lought 

### and the length oftime desired for the exemption:

(4) Information showing the annual
gross revenue ofthe Ipplicantfor the preceding 12-month period 

### from allofits operations (including the manufacture and aa1e ofcovered products):

(5) Information to show that failure to grant 

### an exemption

### ia likely to result 

### in

a lessening ofcompetition:

(6) Such other information. ifany. believed to be pertinent by the petilioner: and

(7) Such other information as the Secretary may require.

, ao.53 Procnaing of appllc8tJonL

(I) The applicant shall serve a copy of the application. all supporting documents and all subsequent submissions. or a copy from which confidential information has been deleted pursuant to 10

### CFR 1004.11. to the Secretary. which may be made available for public review.

(b) Within fifteen (15) days ofthe receipt ofan applicanon. the Secretary will either accept it for filing or reject 

### it. and the applicant will be so notified in writing. Only such applicationa which confonn to the requirements ofthis Jubpart and which contain sufficient information for the purposes of

### a substantive decision will be accepted for filing. Applications which do not so conform will be rejected and an explanation provided to the applicant in writing.

{c} For the purpose of this subpart. an application is deemed to be filed on the date it isaccepted for filing.

(d) Promptly after receipt ofan applieation and its acceptance for filing, notice of such appliestion shall be published in the Federal Register. The notice shall set forth the availability for public review ofdata and information available. and shall solicit comments. data and information with respect to the determination on the application. Except

as may otherwise be specified. the period for public comment shall be 60 days after the notice appears in the Federal Register. 

### The Secretary on his own initiative
may convene a hearing 

### if. in his discretion. he considers such hearing will advance his evaluation of the applicat10n.

- § 430.54 Aeferral to the Attomey General

Notice ofthe application for exemption under this subpart shall be ransmltted to the Attorney General by**~he** Secretary and shall contain (a) a statement

### of

### the facta and 

### of

### the realons for the exemption. 

### and (b).copies of

### all document. 

### submitted. 

### f QO.5I

.......

## aon of

### 8PPkatJon.

The 

### Secretary ahall 

### grant an application for exemption submitted under

### this lubpart 

### ifthe Secretary fmds. afterobtaininl 

### thf! "-ritten views ofthe Attomey General. 

### that • failure to allow



### an exemption wculd likely 

### result in 

### a lessenins ofcompetition_ 

### f 430.51 Declaion and order.

(a) Upon consideration ofthe application and otherrelevant info

### rmation received or obtained. the Secretary shall issue an ordergranting

or denying the application.

(b) The order shall include a written Itatement 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

or aggrieved by such order. The Secretary also shall publish in the 

### Federal Register 8 notice ofthe grant or denial ofthe order 

### and the reason therefor.

§ 430.57 Duration of temporary exemption.

A temporary exemption terminates according to its terms but not later than twenty-four months after the affective date ofthe rule for which the exemption 

### is allowed.

15. Part 430 is amended by adding a

new Subpart F to read as follows:
&abpart F-CerttflcatJon and Enforcement

SK. 430.60 Purpose and scope. 430.61 Prohibited acts. 430.62 Submission ofdata. 430.63**Samplln~.** 430.64 Imported products. 430.65 Exported products. 430.70 Enforcement. 430.71 Cessation ofdistribution ofa basic model. 430.72 Subpoena. 430.73 Remedies. 430.i4 Hearings and Appeals. 430.75 Confidentiality.

APPENDIX A to Subpart FofPart 430- Compliance Statement.

APPENDIX B to Subpart F ofPart 430- Sampling Plan for Enforcement TestIng. Subpart F-£Amended]

§ 430.60 Purpo•• and scope.

The regulations in this subpart set forth the procedures to be followed for certification and enforcement testing to determine whether 

### a basic model of 

### a covered product complies with the applicable energy conservation standard Ht

### forth 

### in Subpart

### Cof

### this Part. EDersY-conlervation atandards include minimum levels ofefficiency and maximum levels ofconsumption (also referred to as performance standards) and prescriptive energy design requirements (also referred to as 

### design atandards).

100.11 Prohibited 

### acts.



### (al Each 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 or provide other informatiQn required to be supplied under this Act and this rule:

(2) Failure ofa manufacturer to supply

. at his expense a reasonable number of

covered products to a test laboratory designated by the Secretary:

(3) Failure ofa manufacturer to permit

a representative designated by the Secretary to observe any testing required by the Act and this 

### rule and inspect the results ofsuch testing: and

(4) Distribution in commerce 

### by a manufacturer or private labeler of any

new covered product which is not in compliance 

### with an applica

### ble energy effiCiency standard prescribed under the Act and this rule.

(b) 

### In accordance with section 333 of the Act. any person who knoy;ingly violates any provision ofparagraph (a) of this section may be subject to assessment ofa civil penalty of no more than $100 for each violation. Each violation ofparagraph (a) of this section shall constitute a separate violation with respect to eacn covered product. and each 

### day ofnoncompliance**\~;i** 

### th paragraphs (a) (1) through (3) of this section shall constitute a separate violation.

§ 430.62 Submission of data.

(a) Compliance statement and certification report Each manufacturer

or private labeler before dIstributing in

commerce any basic model of a covered subject to the energy conservatIon standard set forth in

......, ,...,...,......, C of this Part shall

means 

### ofa statement of ,""v"""t-'a,'\Q.lH•• l;; certification report. that model meets the requirements of that standard. The compliance statement shall

that:

basic model(s) with the f"'}""""

... "I"'·'"-'hlo energy standards: required testing on which the compliance statement is based was conducted in conformance with the

### Federal 

### Register 

## I Vol. 54. 

### No. 2'1 

## I Tuesday'. February 

### 7: 1989 

## i Rules and R'egulations

appUcable tell

## req1linnlllD.bt-.prelCribecl in 10

### CFR Part430 

### SubpartB·ud.

## tm. lubpart 

### aDd 

### aU.teltdata ",·reported.iD. accordance 

### with.tbia.ubpart:

(iii) 

### All iDIormatiOD-reported

### in

### thlt. compliance statement· ia true. 

### accurate. and complete:.and

-

(Iv) 

### The manufacturer (privale:labeler) is aware 

### ofthe penalties ••sociated with violatioM ofthe'

### Act 

### and the regulation. tbereundef:t 

### and 18

### U.S.c:. 1001 which 

### prohibits knowingly 

### makins false atatementl to the Feeeral 

### Gove!1UDenL

### The format for acompiiance statement il 

### set forth in 

### Appendix A ofthie 

### subpart.

(2) 

### For each·

### balie model 

### the certification report: shall include the annual 

### energy use 

### and adjusted volume' (for refrigerators. refrigerator-freezers 

### and freezers). 

### eDergy factor 

### and ra

### ted storage volume (for water hea

### ters). the 

### energy efficiency ratio**(fo~** 

### room air conchtioners). seasonal energy efficiency 

### ratio and 

### heating 

### seasonal performance factor (ior 

### central air 

### conditioDers and central air conditioD.ina heat-pumps)., 

### thermal efficienC'Y'(forpool heaters),. 

### and annual 

### fuel utilization efficiency (forfurnaces 

### anddirect 

### heating equipment). the model numbers for each basic model: and il9 capacity.

(3) Copies ofreports to the Federal 

### Trade Commission which include'the 

### information paragraph {a)(Z) ofthis section meet the requirements ofthis paragraph.

(bJ Initialreporting requirements. All data required 

### by paragraph (a) of this section shall be submitted on 

### or before the effective date of the applicable energy conservation standard

as prescribed in 

### section 325 

### ofthe Act. For each basic model ofa covered productto be distributed in commerce. each manufacturer and private 

### labeler

or his rppresentative shall file a compliance statement and certification report. 

### by certified mail. to Department ofEnergy. Appliance- Efficiency Standards. i\ssi.stant Secretary for Conservation and Renewable. Energy,**Forrest~l** Buildlng..l000 Independence



### .. A..venue. SW.• Washin8ton..DC 2.D585.

(c) 

### Newmodels. All information required by paragraph. (a)(2.) ofthis section must be- submitted fat new 

### models prior to: 

### or concurrent with 

### any distribution of 

### such modeL Any 

### change

a basic model which affects energy consumption may constitute the addition ofa new basic model subject to the. requirements of § 430.61 of this part.

such change 

### does Dot alter compliancev.'ith the applicable energy conservahon standard 

### for the basic: model. the- new model shall be. considered certified.**~1odels** which are. discentinued- shall be 

### reported. 

### ill writi

....to'

### tileDepaatmea.t 

### ofEaerar

.. (d) 

### MaintBllQIICtl01

### zet:Drd:r:. f1) 

### th.- 1DI.Dufacturer

### ofaDy covered product 

### lubjed to 

### u)"o! the eDeJ1T performance!staDduda «procedure.- prescribed ill 

### tbia:part. sbaD establish. maintain. 

### aDdmaiD the records of

### th. underlyingtelt

### data for

### aU:certification lestiDg. 

### Such recordasbaD 

### be 

### oraaDized andindexedill 

### a fashion. which makes them readily accessible forreview. The

o 

### recorda should include the 

### IUPPOrtins

test data aasociated

### with tests performed on any test 

### units to satisfy 

### the requirement. ofthis 

### subpart (excepttesta performed by 

### DOE directly).

(2)'

### All such 

### recordl Ihall 

### be 

### retained. by 

### the 

### manufacturerfor a period oftwo 

### yean from 

### the date that 

### production of 

### the applicable 

### model 

### has ceased. Record. shall

### b

..retained in- a fonn 

### allowing

### reedy accesl 

### to DOE upon 

### request.

(e) ThirrfpartyrepresentDtion. 

### If

### at manufacturer

### orprivatelabelerelects to

use a 

### third party

..e.g.

..

### trade association

or other authorized representative. to. 

### submitthe certification report. the 

### certifiestion report shall include;all 

### the infonnation 

### identified in paragraph (a) of

### this section. 

### including the compliance
statement.

§ QO.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 setforth in. § 430.23 of this Part. For purposes 

### of a certification of compliance. the determination that a basic model complies with the 

### applicable design standard shaH be based upon the incorporation of specific design requirements for clothes dryers. dishwashers. clothes**wash~rs** and kitchen ranges and ovens speCified in section 325 of the Act.

(b) A basic model 

### which. meets the follOWing requirements 

### may qualify as

an "other than tested model" for
purposes of the certification testing and sampling requirements:

{1] Central alr conditioners: The 

### condenser·evaporator coil combinations manufactured by the condensing unit manufacturerother than the combination 

### likely to have the largest volume ofretail sales or the condensercoil combinations manufactured in part 

### by a component manufacturer-using 

### the-

same condensIng a.n.iL

(2) Forpurposes- of certification. of "other than- tested models

.." as defm.ed in paragraph (bH 1) of this section

.. a manufacturer 

### may'certify 

### the basic model on

### the-baSiS' ofcom-ptrter 

### limwation 

### ormatneerirtl analy.i. 

### as set 

### forth ill 

## I 430.23{m) of

### thil Part.


### t 43QM.

......... products.



### (a) Pursuantto HcUOD'331 

### ofthe Act. anyperson importing

### any covered product

### into the 

### United States shall comply with the provisions 

### ofthe Act 

### and of

### lbil Part aDd il 

### subject to 

### the remedies ofthil 

### Part.

(b) Any covered product 

### offered for importation in violation ofthe Act 

### and 

### ofthis 

### Part shaD 

### be refused 

### admission iDto the CUltOIDl 

### territory of

### the Urjted Statel under

### rules issued by 

### the Secretary of

### the Treasury. 

### except 

### that the 

### Secretary 

### of the Treasury 

### may, by such 

### rules. authorize· the importation of 

### such covered 

### product upon 

### such terms and 

### condition. 

### (including the furnishing 

### of

### a.bond) as may 

### appear to 

### the Secretary 

### ofTreasury appropria

### te to

ensure that such 

### covered product will 

### not violate the 

### Act and this 

### Part. or 

### will be exported 

### or abandoned 

### to

# the United States.


### I 430.15 Exported products.



### Pursuant to section 330 ofth

### e Act, 

### this part shall not apply to any covered product 

### if (a) such covered product is manufacturecL sold. or held for sale for export from the United Slates (or such 

### product was imported for 

### export). unless such product is. in fact. distributed in

commerce for use in the United States. and (b) 

### such covered product. when distributed in commerce. or 

### any container in which it i-:.**en~losed** when

so distributecLbears (I starr.p 

### or label stating that such cove,-ed prnduct

# is

inteDded for export.

§ .t3O.70 Enforcement.

(a) 

### Performance**staniJar-d~l~** 

### Test 

### notice. Upon receiving 

### il'fcrma oj "In in wri

### tmg. concerning t.he 

### e71E: rgy performance ofa particUl:lI COve ed product sold 

### by a parncul ir manufacturer or private**la~e** ler w'1ich indicates that the covered 

### rroduc' may not be in compliance with L."e ap;..hcable energy performance standard. the Secretary may conduct testing of that covered product under this subpart by



### means of a test notice addressed to the manufacturer in accordance with the following requirements:

(1) Such a procedure will 

### only be followed after the Secretary 

### or his designated representative has examined the underlying test data provided by the manufacturer and after the 

### manufactu.rer has been offered the opportunity to**m~t** with DOE to verify compliance with the 

### applicabie performance uandard. A representative designated by' the Secretary shall be

### Federal Register 

## I Vol. 54. 

# No. 24 

## I Tuesday, February 7. 1989 

## I Rules and**Re~lations** 

### 8083

penn.itted 

### to Oble"1 any 

### reverificatiOD procedure. 

### by this 

### subpart. and 

### to inlpectthe results of.uchreverification..

Iii) 

### 111. 

### teltnotice

### will be liped 

### by 

### the Secretary or

### hi. desisnee. 

### The test notice 

### will 

### be mailed ordelivered 

### by 

### DOE to the 

### plantmanager orother responsible official. as designated 

### by the manufacturer.

(iii) 

### The testnotice will specify the model 

### orbasic model to be selected for testing. the method ofaelectinl the test .ample. the time 

### at which testing shall 

### be initiatecL the date 

### by which 

### teltirl& is scheduled to 

### be compleled and the facility at 

### which telting 

### will be conducted The test notice may 

### also provide 

### for situations in 

### which the 

### selected basic model is unavailable for 

### testing. and may 

### inclu.de alternative buic models.

(iv) The Seaetary may 

### require in the
test Dotice that the manufacturer of

### a co\'ered product shall ship 

### athis expense 

### a reasonable numberofunits 

### of

a basic model specined in 

### such test 

### notice to a testing laboratory designated by the 

### Secretary. The 

### number ofunits of



### '" basic model specified in a test notice 

### ,hall not exceed twenty (2D).



### (v) Within 5 

### working days ofthe time ullits 

### are selected. the manufacturer shall ship the specified test 

### unita ofa basic model to 

### the ,testi.tlg laboratory.



### (2) Testing Laboratory. Whenever DOE conducts enforcement testing at a 

### designated laboratory iB accordance 

### with a 

### test notice under this section. the 

### resulting test data 

### shall constitute official test data for that basic 

### model. Such test data will be 

### used 

### by DOE to 

### make a determination of

### compliance or noncompliance 

### if a ,ufficient number of
tests have been conducted 

### to satisfy 

### the requirements 

### ofAppendix 

### B

### ofthis subpart.

(3) 

### Sampling. The determination tbat a manufacturer's basic model complies Yiith the applicable energy performance standard shall 

### be based OD 

### the testing conducted in 

### accordance with the statistical sampling procedW'es set forth in 

### Appendix B 

### ofthis subpart 

### and the
test procedures set forth in 

### Subpart B of this Part

(4) 

### Test unitselection. A DOE inspector shall select a**batc~** a batch sample. and test units from the batch sample in 

### accordance 

### with the provisions ofthis paragraph aod the condi

### tions specified in 

### the test notice.

(i) The catch may be subdivided by DOE utilizing criteria specified. in 

### the
test notice. e.g

.. 

### date 

### ofmanufacture. component-supplier. location of manuIacturing facility. or other criteria which 

### may differentiate one unit from 

### another**~ithin** 

### a basic 

### modeL (ii) 

### A

### batchaample ofup

### to 20 units 

### will 

### thaD be nndomJy 

### aelectedfrom ODe


### ormore .ubdiYided FOUPI 

### within 

### the batch. Themanufacturer.hallkeep 

### on

. hand aU UDiti ill

### the batch 

### aample until

.ucb time •• the basic model 

### il determined to 

### be in compliance or noncompliance-

(iii) 

### IDdiYidual test 

### unita comprising

.. 

### the test

.... -nple 

### .hall be randomly lelected from the 

### batch .ampie.

(iv) 

### All 

### random .election .hall 

### bit achieved by sequentially numbering all ofthe anita iD • ba

### tcb. sample aDd 

### then 

### uains a table of

### raodem nwnbers 

### to

..lect the units to 

### be tested.

(SJ 

### Tatunitpreparation. (i) 

### Prior to 

### aDd durins teatms. a test unit selected 

### tn accordance with paragraph (8)(4) ofthis section 

### .hall not be prepared. modified.

or adjusted in 

### any manner unless such preparation.. modification. 

### or adjustment i8 

### allowed 

### by 

### the applicable 

### DOE test procedure. 

### One test shall be conducted 

### for each test unit 

### in accordance with the applicable test procedures pre.cribed in 

### Subpart B.

(ii) 

### No quality 

### control. testins 

### or assembly procedures shall be perfonned

on a test unit. or any 

### parts and .ubassemblies thereof. that is Dot performed during 

### the production and assembly of

### all other Wlits 

### included in 

### the basic 

### modeL

(ill) A 

### test unit 

### shall 

### be considered 

### defective 

### if

### loch unit is inoperative or is 

### fou.nd to be in 

### noncompliance due to 

### failure ofthe unit 

### to operate according
to 

### the manufacturer'. design and operating 

### inltroctions. Defective unilB. 

### including thoae damaged due 

### to shipping

or handling, shall 

### be reported 

### immediately to 

### DOE. DOE 

### shall authorize testing 

### ofan additional unit 

### on
a case-by-case 

### basis.

(6) 

### Testing atmanufacturer's option. (i) II a manufacturer's basic model is**deten:nin~** 

### to-be in noncompliance with the 

### applicable energy performance standard at 

### the conclusion 

### ofDOE 

### testing in 

### accordance with 

### the double aampling plan specified in Appendix B 

### ofthis subpart. the manufacturer may 

### request that 

### DOE conduct additional testing 

### ofthe model according to procedure. set forth 

### in Appendix B of this subpart.

(ii) All units 

### tested under paragraph (a)(6) 

### ofthis section shall be 

### selected and 

### tested in accordance with the provisions given in paragraphs**~ough(5)oftlllssectio~**

(iii) The manufacturer shall bear the

COlt ofall testing conducted under paragraph (a)(6) 

### ofthis section.

(iv) The manufacturer shall 

### cease distribution 

### ofthe basic 

### model being 

### tested under the provisions 

### ofparagraph (a).{6) 9f this sectioo from the time the

### manufacturerelects 

### to exercise the option provided 

### ill this paragraph until 

### the ba.iemodel is determined to 

### be in compliance. DOEmay leek civil penaltia

### for all units distributed during luda period.



### (v) 

### Uthe additional testing results 

### in a detennination ofcompliance. a notice of 

### allowance to resume distribution 

### shall 

### be issued by the Department.

(b) 

### Design standard. In the csse ofa 

### design standard. a model is 

### determined noncompliant 

### by DOE after 

### the Secretary

### orhis designated representative 

### hal examined the underlying 

### design information pro,·ided 

### by the manufacturer and 

### after the 

### manufacturerhas been 

### offered the opportunity to 

### ,-erify compliance with the applicable 

### design standard.


### I C30.71 Cftutlon of distribution of • baeicmodeL

(a) In the event that a 

### model is determined noncompliant 

### by DOE in 

### accordance with §430.70 

### ofthis 

### Part or 

### ifa 

### DlaDufactun!r orprivate labeler determines a model to be in noncompliance. then the manufacturer

or private labeler shall:

(1) Immediately 

### cease distribution in

commerce ofthe basic model:

(2) Give immediate WTittcn notificatioD 

### ofthe 

### determina

### tion of noncompliance. to all persons to whom the 

### manufacturer has dist:ibuted units 

### ofthe basic model 

### manufactured Since the date ofthe last determination of compliance.

'(3) Pursuant to a request 

### made 

### by the Secretary, provide DOE within 30 days ofthe request. records. reports and other documentation pertaining to 

### the acquisition. 

### ordering, storage. shipment.

or sale of

### a basic 

### model determined 

### to be 

### in 

### noncompliance.

4. The manufacturer may modify the noncompliant basic 

### model in such

manner as to make it comply with the applicable performance standard. Such modified basic 

### model shall then be treated 

### as a new basic model and 

### must be 

### certified in 

### accordance wi

### th the provisions 

### of this subpart; except that in addition satisfying 

### all requirements of this subpart. 

### the manufacturer 

### shall also 

### maintain records that demonstrate that modifications have been made to all 

### units ofthe new oasic model 

### prior to 

### distribution in commerce.

(b) U a basic model is not properly certified 

### in accordance with the 

### requirements of

### this subpart the Secretary may seek. among other remedies. injunctive action to prohibit distribution in 'COmmerce of such basic model

### 8084 Federal Register 

## I Vol. 54. 

### No. 24 

## I Tuesday, February 7, 1989 

## I Rules 

## and Regulations

1430.71

...........



### Punuantto section 329{a) of

# theAct.·

. 

### forpurposes of

### carryinl out this part. the Secretary orthe Secretary's delianee. may sign and i.sue subpoenal for 

## me attendance and testimony of witnesses and the production ofrelevant books. recorda. papera. and other documents. and administer the oaths. Witnesses summoned under the provisions ofth il section ehall be paid the .ame rees and mileage al are paid to witneslel in 

### the courts ofthe United States. 

### In case ofcontumacy by. or refusal to obey a subpoena served. upon any persons subject to this Part. the Secretary may seek an orderfrom the District Court ofthe United States for any District in which such person is found orresides or transacts business requiring such person to appear and give testimony, or to appear and produce documents. Failure to obey such order il punishable by such court al a contempt thereof.
§**~73** AemedJeL



### IfDOE determines that a basic model ofa covered product does not comply 

### with an applicable energy conservation standard: "

(a) DOE will notify the manufacturer, private labeler or any other person al required. ofthis finding 

### and ofthe Secretary's intent to seek a judicial order restraining further distribution in



### commerce ofsuch basic model unless the manufacturer, private labeler or any other person as required. delivers to

. DOE within 15 calendar days a statement. satisfactory to DOE. ofthe

stepa he will take to insure that the noncompliant model will no longer be distributed in 

### commerce. DOE will monitor the implementation ofsuch statement.

(b) 

### Uthe manufacturer, private labeler

or any other person as requireti fails to Itop distribution ofthe noncompliant model. the Secretary may seek to restrain luch violation in 

### accordance with section 334 

### ofthe Act.

(c) The Secretary shall determine whether the fact! ofthe case warrant the assessment ofcivil penalties for knowing violations in accordance with section 333 

### ofthe Act.

§ .a3O.7.. 

### Heartn9s and appeal&.



### (a) Pursuant to section 333(d) ofthe Act. before issuing an order assessing a civil penalty against any person under this section. the Secretary shall provide to such person notice ofthe proposed penalty. Such notice shall inform such person ofthat 

### person's opportunity 

### to elect in 

### writing within 30 

### days after the date ofreceipt ofsuch notice to have the

. procedures ofparagraph (c) ofthis 

### ,leCtioa (iD 

### Ueu 

### ofthose 

### ill parasraph (b) 

### of

### tbil .ection) apply with

### rnpect to 

### IUCb a

..es.menL

(b)(t) 

### Unless an election II made within 30 calendardays .fterreceipt of notiCe underparagraph (8) 

### ofthis .ection to have paragraph (cl ofthis section apply with 

### respect to luch penalty, the Secretary shaD asse.s the penalty. by order. after a determination ofviolationtba. been made on the record after an opportunity for an a.eney hearing pursuant to lection 554 ofTide 

### l. United Statel Code. 

### before I.Il 

### administrative law judse appointed under section 3105 

### ofsuch Title 5. 

### Such
assessment order shall include the administrati,,·e law judge's findings and the basis for such assessment.

(2) 

### Any person against whom a penalty is assessed under this section may. within 60 

### calendar days after the date ofthe order ofthe Secretary assessing such penalty. institute an action 

### in the United States Court 

### of Appeals for the appropriate judicial circuit 

### forjudicial review ofsuch order in accordance with 

### Chapter 7 

### ofTitle 5, 

### United States Code. The court shall have jurisdiction to enter a judgment affirming. modifying, or letting 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)(1) 

### In the case ofany civil penalty 

### with respect.to which the procedures of this section have been elected. the Secretary shall promptly assess such penalty. by order, after the date ofthe receipt ofthe notice under paragraph (a) ofthis section ofthe proposed penalty.

(2) 

### II the civil penalty has not been paid within 60 

### calendar days after the assessment has been made under paragraph (c)(1) ofthis section. the Secretary shall institute an action in the appropriate District Court ofthe United States for an order afilmling 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 be revoked except with 

### the consent ofthe Secretary.

(d) 

### Uany person fails to pay an assessment ofa civil penalty after it 

### has become a final and unappealable order under paragraph (b) of this sect!on. or after the appropriate District Court has entered final judgment in 

### favor ofthe Secretary under paragraph (c) of this section. the Secretary shall institute an action to recover the amount of such penalty 

### in any appropriate District Court 

### ofthe United-5tatel. 

### In such action. 

### the validity and appropriateness of such 

### final a.les.ment order orjudgment shall
not 

### be subject to review.

(e)(1) 

### In accordance wit!t 

### the provisionl ofsection 333(dl(S)(A) ofthe Act and notwithstanding the provisions of

### title 28. 

### United States Code. or section 502(c) ofthe Department of Energy 

### Ol'lanization Act. the Secretary shall be represented by the General Counsel of the Department ofEnergy (or any 

### attomey or attorneys within DOE designated by the Secretary) who shall supenise. conduct. and argue any civH 

### ,litigation to which paragraph (c) ofthis section applies including any relcted 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 

### Attornev General conceming such litigation and" the Attorney General shall**provid~.** 

### 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 of section 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 pro\'ided in paragraph (e){1) of this section.

(3) 

### In accordance with 

### the**provi~dons** 

### ofsection 333(d)(S)(C) ofthe Act. sectior. 402(d) ofthe Department of Energy Organization Act shall not apply w 

### th respect to the function ofthe Secret \

### ry under this section.**f~75** Confldentlaltty.



### Pursuant to the provisions of 10 CFH 

### 1004.11. any person subrnitting information or data which the person believes to be confidential and exempt law from public disclosure should submit one complete copy. and fifteen copies from which the information believed to be confidential has been deleted. In 

### accordance with the procedures established at 10 

### C.FR 1004.11. 

### DOE shall make its own determination with regard to any claim that information submitted be exempt from public disclosure.

OMB Control No. 1910-1400 Appendix A 

### to Subpart F 

### Compliance Statement

Statement of Compliance With Energy Conservation Standards for Appliances Product:

-------

_ ManuIacturer', Name and Addresa

### Fed.ral Register 

## I VoL 54. 

### No. 24- 

## I Tuesday. February 1, 

### 1989 

## I Rules and Regulations 6085

Date:

--------------

Submit

### by Ctlrti!iedMQilto: Dep.rtmentof Enet1Y. Appliance Effidency Standard

.. Aalistant Secretary for Conservation and Renewable Energy. Forrestal Building.. 1000 Independpnce Avenue. SW•• Wa.hiftlton. DC Z058S.

Thil report il lubmitted pursuant to Part 430 (Ene'l1' ConservationProtP'8mfor Con.umerProductl) ofthe £DerBY Policy**an~** Conservation Act (Pub. 

### L. 94-183). and amendmentl thereto. 

### The baie model(l) inclUded in thi. report comptie. (comply) with the applicable enefIY conlervation .tandard. All teltiftl where appropri.te. on which thil certificatiOIl report i.e haaeeL wal 

### canductecl iD CODformuace with the appbcable tntrequirements preec:ribed In Subpart

### Bof10

### CFRPart GO. 

### Allinformation reported in thiI certification report 11 true. accurate. and complete. I am aWaN

# orthe penaltie. anodated with violationaofthe Act'and tbe resulatioftl thereunder. and am alia aware ofthe provisions contained in 18 U.s.c. 1001. which prohibits kDowingly 

### makinI falae atatements to the Federal CovemmenL

Name ofPenon to Contactfor further Information: 

# Name:-------------

Addresl: Telephone No.:----------

Uthe model.pecific information accompanying thi. It.tement ofcompliance

wu prep.red by. third party o

....nization

- 

### IIDderthe proYi.ionaof

### I 430.12 of10CFR Part GO. the iDdlvidual (manufacturer) authorizilll third party reprelentetiona: Silftahlre:

----------- 

# Name:'--------------

AcIclresa: Telephone

# No.;-----------

Appeadix B to 

### Subpart F of Part 430- 

### SAmpliDl PIaD for EDforcemeDt

### Te1tml

Doll

.. SampUal

Step 1. The'fint Ample lize (n,) mUlt be four ormore unitl.

Step 2. Compute the,mean (x,) ofthe me.awed energy perfonnance ofthe n, units ill the 

### fint lample •• foUows: '

(1)

where Xt I. tht: measured energy emciency or eneJ'IY consumption cl' unit i.

. Step 3. Compute the standard deviation (11) of the mellsuree eDergy performance of the D, units in the first .empie aa followa:



### n1 

# L (Xi - 2 

### Xl) 

## 51 = 1=1

"- 

### n - 

### 1

1

Step t. Compute the .tandard error {57
1 } oIthe measured eaergy performance,ofthe n, units in thP. first sample .1 follows.: (2)

Step 5. Compute the upper control limit fUeL.) and lower control limit (Letl) for the mean of the ftn.t aample using the appliC'!ble DOE energy performance standard (EPS) as 

### 3

the desired mean and a level of 95 percent {two-taded a8 follO¥t·s:

### 8088 Federal Register 

## I Vol. 54, 

### No. 24 

## I Tuesday, February 7, 1989 

## I Rules and Regulations

LCL1 

# • IPS ts- (4)

### ~1



### VCL1" a 

## IPS + ts- 

### (5) 

## 'X,l

i.

where t i•••talistic based on 895 percent two-tailed probability level and. sample size

OfDI.

Step IA. For an EnefIY Efficiency Standard. compare the mean ofthe rU'St sample (i,) with the upper and lower control limits (UCL, and LeL.) to determine one of the following:

(i) Ifthe mean ofthe first sample is below the lower controllimiL then the basic model il in noncompliance and testing ia at an end. (Do not go on to any ofthe Iteps**b~low.)**

(ii) 1£ the mean ofthe first sample is equal
to or greeter than the upper control limit. then the basic model is in compliance and testing is at an end. (Do not 80 on to any ofthe steps below.)

(iii) If the sample mean il equal to or**~eater** than thf! lowp.r control limit but less than the upper control limit. then no detennination ofcompliance or noncompliance can be made snd a second sample size is detennined by Step 7a.

Step 6b. For an Energy Consumption Standard.**cOIT'.pa~e** the mean of the first sample (il ) with the upper and lower control limits (UCL1 and LCL&) to determine one of the following:

(i) II the mean of the first sample is above the upper control limit. then the basic model is in noncompliance and testing is at an end. (Do not go on to any ofthe steps below.)

Oi) II the mean ofthe first sample is equal
to or lesl than the lower control limit. then the basic model is in compliance and testing is at an end. (Do not go on to any of the stepl below.)

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

Step 7a. For an Energy Efficiency Standard.. determine the sf-cond lampie sIze (0::) 81 follows:



### 1


# = +

Step 9. Campute the standard error**(I~)** of the measured energy performance of the nl -11I- (

# o.~ 

# ;A )a -Ill- (ea)

where

.. and t have the values used in'Stepl 4 and S. respectively. The term "0.05 EPS" il the difference between the applicable enel'8Y effiCiency Itandard and 95 percent ofthe standard. where 95 percent ofthe standard is taken al the lower controllimiL Thil procedure yields a sufficient combined lample lize (nl +111) to give an estimated 97.5 percent probability ofobtaining a determination ofcompliance when the true

mean efficiency il equal to the applicable Itandard.

Civen the solution value offb. detennine

one ofthe**following~**

(1) If the value of ria il less than or equal to

zero andif the mean energy efficiency ofthe first sample 

### (xd is either equal to or greater than the lower control limit (LCL,) or equal to

or greater than 95 percent ofthe applicable
energy effiCiency standard (EES), whichever ia greater. i.e

.. if

I'b 

## <aandXI maxfLCLa. 0.95 EES). the basic model is in compliance and testing ia at an end.

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

zero and the mean energy effiCiency of the fll'St sample (Xl) ia les8 than the lower control 

### limit (LCLd or less than 95 percent of the applicable energy effiCiency standard (EES). whichever il greater. i.e.• if

I'b 

### aandXl 

### < max(LCLa. 0.95 EES). the basic model il in noncompliance and
teating is at an end.

(3) II the value of Qa is greater than zero. then value of the second sample size is determined to be the smallest integer equal to

or gN!ater than the solution value of t'b for equation (6a). II the value of lb so calculated i. greater than 2O-n,. set Il:I equal to 2O-n,.

Step 7b. For an Energy Consumption Standard. detemune the second sample size (n=) as follows:

and 0:: units in the combined first and second samples aa follows: 

### na- ( _' 

## 1'_

# )2 -n, (tib) 

## o.os EPA

where II and t have the values used in Steps 4 and 5. respectively. The term "0.05 EPS" lS the difference between the applicable**ener~y** consumption standard and 105 percent of t::i: Itandard. where lOS percent of the standard i. taken aa the upper control limit. This procedure yhdds a sufficient combined lample size (n, 

### + n:zl to give an estiffiated 07.5 percent probability of**obtai!1in~** a determination ofcompliance when the true

mean**co~sumption** is equal to the applicable Itandard.

Given the solution value ofn2. determi:1e

one of the fol1owinsz:

(1) Ifthe value ofn2 is less than or equal to

zero andif the mean energy consumption of the first sample 

### (xd is either equal to or less than the upper controllirnit (UeL,) or equal
to or less than 105 pe;-cent of the**applictlbl~** energy performance standard (EPS). whichever is less. Le

.. if

na Oandxl min(UCl,. 1.05 EPS).
the basic model is in compliance and testing is at an end.

(2) II the value of l"b is lesl than or equal to

zero and the mean**ene~** consumption of the flrlt lample (Xl) 

## u. greater than the upper controllirnlt (UCL.) or more than 105 percent ofthe applicable**ene~y** performance standard (EPS). whichever is less. Le

.. if

fb 0 andXl**~t!~** min(LCL

.. 1.05 EPS). the basic model is in noncompliance and testing is at an end.

(3) If the value of t'b is greater than zero. then the value ofthe second sample 11ze is determined to be the smallest integer equal to

or greater than the solution value ofn. for equation (6b). Uthe value of!b so C4Jlculated i. greater than 2O-n,. let l"b equal to 2O-n,.

Step 

### a. Compute the combined mean (x.:) of the mealured energy performance of the n, and I'b units of the combined first and second samples aa**follows~**

(7)

### Federal Register 

## I Vol. 54, 

### No. 24 

## I Tuesday. February 7, 19aq 

## I Rules and Regulations &087



# ai
2**No~** is the value obtained ill Step 3. Step 108. 

### For an

### EnellY Efficiency Standard. compute the lowercontrol limit (LCLe) for the mean ofthe combined first and 

### second Ampln Ulilll

### the'DOEenellY efficiency standard (EES) as th. desired

mean and a one-tailed probability-level of 81.1 percent (equivalent to the two-tailed 

### (8)

probability level 0195 percent used in Step 5. above) a. followa:



### LCL2 

# =EES

- t 

### s- X

### 2**~9a)**

where the t-.tatistic hal the 'value**ob~ained** in Step 5 above.

Step tOb. For an Energy Conaumption Standard. compute the upper ccntrollimit (Va.) for the mean ofthe combined first and NCOnd samples using the DOE energy performance standard (EPS) as the desired

mean aDd. one-tailed probability level of 102.5 percent (equivalent to the two-tailed probability level of95 percent used in Step 5. aboveJaa follows:



## UCL2 

# = EPS + t sX

### 2 (9b)

"here the t-llaUstic hal the value obtained in Step 5 above.

Step 118. For an Energy Efficiency Standard. compare the combined lample

mean (X:i) to the lower control limit (LCI...) to find one ofthe follOWing:

(i) If the mean ofthe combined sample (i,) illess than the lower control limit (LCLe) or 95 percent ofthe applicable energy efficiency Itandard (EES). whichever i. greater. i.e

.. if Xi 

### < max(LCLe. 0.95 ££5).
the basic model il in noncompliance and testing is at an end.

(ii) Ifthe mean ofthe combined sample (X.) is equal to or greater than the lower control limit (LCLe) or 95 percent ofthe applicable
energy efficiency standard (EES). whichever i. greater. i.e

.. if max(LCLlt 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 lample

mean (Xa) to the upper control limit (UCI..) to find one ofthe following:

(i) If the mean ofthe combined lample (X2) is greater than the upper control limit (UCLe)

or 105 percent ofthe applicable energy performance Itandard (EPS). whichever ia less. i.e.• if

XI 

### > min(UCL.. 1.05 EPS). the basic model ia in noncompliance and telting ia at an end.

(ii) Uthe meaD ofthe combined .ample (Xt) ia equal to or In. than the upper control limit (UCL.) or 105 percent ofthe applicable energy perfonnance Itandard (EPS), whichever leiS, i.e.• if
Xi 

### :a minCUc.., 1.05 EPS).
the basic model it in compliance and testing il at an end. Manufacturer-Option Testing

Ua detennination ofnon-eompliance is made in Steps 6. 7 or 11. above, the manufacturer may request that additional telting be conducted. in accordance with the follOWing procedures.

Step A. The manufacturer requests that an additional number. 

### na, ofunits be tested with
Ib chosen such that D, +J1I+1b does not exceed 20.

Step B. Compute the mean energy performance. Itandard error. and lower or upper control limit ofthe new combined aample in accordance with the procedures prescribed in Steps 8. 9. and 10. above.

Step C. Compare the mean performance of the new combined sample to the revised lower or upper control limit to determine one ofthe following:

a.l. For an Energy Efficiency Standard. if the new combined sample mean is equal to or greater than the lower control limit or 95 percent ofthe applicable energy efficienc;, atandard. whichever il greater. the basic model il in compliance and.testing is at an end.

a.2. For an Energy Consumption Standard. if the new combined lample mean is equal to

or less than the upper control limit or 105 percent ofthe applicable energ)' consumption Itandard. whichever i. les•. the basic model 11 in compliance and telting is at an end.

b.l. For an Energy Efficiency Standard. if the new combined sample mean i. less than the lower controllirnit or 95 percent of the applicable energy efficiency standard. whichever. is greater. and the value of D, +Ih+fb 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.

b.2.. For an Energy Consumption Standard. if the new combined sample mean is grealer than the upper control limit or 105 percent of the applicable energy consumption standard. whichever is less. and the value ofn, +, +3 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.

c. Otherwise. the basic model il determined to be in noncomphance. [FR Doc. 89-2716 Filed 2-6-89: 8:45 am

### I

..WHO CODE 1A50-0,

....