1 | Regional Standards Enforcement Working Group Discussion

Regional Standards 

Enforcement Working Group

Enforce
2 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
3 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
4 | Regional Standards Enforcement Working Group Discussion

• Least efficient rating combination for a specified 

condensing unit must be 14 in the SE and SW re

• Least efficient rating combination for a specified 

condensing unit must meet minimum EER requiin the SW region.

• Any condensing unit model that has a certified 

combination that is below the regional standard be installed in the region.

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

• Contractor

– a person (other than the manufacturer or distributor) w

and/or installs for an end user a central air conditioner regional standards

• Dealer

– A type of contractor, generally with a relationship with 

more specific manufacturers

• Installer

– A person that installs a central air conditioner subject t

standards.

Definitions
6 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
7 | Regional Standards Enforcement Working Group Discussion

• DOE will establish a webpage with information o

regional standards

• Others can link to this page from their own webs• Will include link to print:

– Consumer information trifold– Distributor counter/bulletin board flier

• Also link to file complaints via email

DOE website
8 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
9 | Regional Standards Enforcement Working Group Discussion

• Manufacturers will provide training to distributors 

contractors/dealers

– Hosted at distributor sites

• Contractors will also conduct own training• DOE will provide webinar on standards and enfo

Industry training
10 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Suspected Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
11 | Regional Standards Enforcement Working Group Discussion

• DOE will accept complaints in Enforcement inbo

– EnergyEfficiencyEnforcement@hq.doe.gov

• DOE will set up voicemail box for call-in compla• Complainant will have confidentiality to maximum 

authorized by law 

• DOE will look into all credible complaints

Reporting 
12 | Regional Standards Enforcement Working Group Discussion

• If funding is available, DOE will consider conduc

survey of homes in each region to determine if noncompliant unit has been installed

Proactive check
13 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
14 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and ser– complete indoor unit: manufacturer and model numbe

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

• Single package air conditioner: manufacturer, m

serial number

• For all units: 

– location of the installation (including street address, cit

and zip code)

– date of the installation; and– party from whom the unit was purchased, including co

individual’s name, full address and phone number

Contractors/dealers
15 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and ser– complete indoor unit: manufacturer and model numbe

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

• Single package: manufacturer, model and serial • For all units: 

– date unit was purchased from manufacturer– party from whom the unit was purchased, including co

individual’s name, full address and phone number

– date unit was sold to dealer/contractor– party to whom the unit was sold, including company or 

individual’s name, full address and phone number

– if delivered, delivery address

Distributors
16 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: model and serial number – complete indoor unit: model number

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

• Single package air conditioner: model and seria• For all units: 

– date of manufacture; – date of sale; and– party to whom the unit was sold, including company or 

individual’s name, full address and phone number

Manufacturers
17 | Regional Standards Enforcement Working Group Discussion

• Maintain for 5 years

– Dealers/contractors from date of install– Manufacturers and distributors from date of sale– Can be archived, just not deleted or disposed

• Records shall be produced within 30 days of req• DOE can grant extra time if make good faith pro

and explain need for additional time

– Produce what have gathered in 30 days– Written explanation of need for more time with request

completing production

• No requirement to create “new” forms• Not required to be electronic or “searchable”

Other issues
18 | Regional Standards Enforcement Working Group Discussion

• DOE must have “reasonable belief” to request re• DOE will look at following factors to determine:

– Address of suspected noncompliant install or attempte– Identifying information for equipment?– Physical Evidence?

• Picture of condensing unit with nameplate depicting mod

serial number

• Copy of EnergyGuide label• Copy of completed work order/invoice• Bill of sale for equipment• Copy of bid for installation• Distributor prepared price book for customer in regions

– Repeat complaints about party?– Complainant has history of substantiated complaints?

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

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
20 | Regional Standards Enforcement Working Group Discussion

Distributor:

– knowingly sell a product to a contractor or dealer with kthat the entity will sell and/or install the product in violatioregional standard applicable to the product – knowingly sell a product to a contractor or dealer with kthat the entity routinely violates any regional standard appthe product

Contractor/Dealer:

– knowingly sell to and/or install for an end user a residenair conditioner covered by regional standards with the knothat such product shall be installed in violation of any regstandard applicable to the product

Violation
21 | Regional Standards Enforcement Working Group Discussion

• Complete system installed is not certified as a c

system that meets the applicable standard

– may install combinations that were previously validly c

after manufacturer has discontinued the combination

– But: if discontinued because noncompliant with applica

standard, cannot install

• Replacement indoor or outdoor unit is not certifie

part of a combination that meets the applicable s

– not necessarily as installed

• Outdoor unit installed has a certified combinatio

than standard applicable in region

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

• Investigation may include:

– Discussion with homeowner– Request for retained records– Discussion with alleged violator

• If no violation found, DOE will issue case closed 

party being investigated

• If violation found, DOE will issue Notice of Violat

post it publicly

DOE investigation
23 | Regional Standards Enforcement Working Group Discussion

• Party found to be in violation can remediate• Sole method is replacement of noncompliant un

– at cost to party in violation

• Must provide DOE serial number of old and new • DOE will provide these numbers to the manufac

– check against warranty or other replacement claims

• If clear, violation will not count towards finding o

violator”

• DOE will issue Notice of Remediation

Remediation
24 | Regional Standards Enforcement Working Group Discussion

• DOE will consider these factors:

– number of violations (both found in current investigation past investigations)– length of time over which committed violations– ratio of compliant/noncompliant installations or sales– percentage of employees committing violation– evidence of effort/intent– evidence of training/education– subsequent remedial actions

• DOE will issue Notice of Finding of Routine Violdetermined to be routine violator

– Posted on Enforcement website– Blasted via email?

Routine Violator
25 | Regional Standards Enforcement Working Group Discussion

• Party will have right to administrative appeal find

routine violator

• Must file within 30 days of Notice• Will go to either next level within DOE or to inde

hearing and appeal office

– DOE still to determine

• Appeal must present information rebutting findin

violation(s)

• Appeal will be decided within 45 days of filing

Right to appeal
26 | Regional Standards Enforcement Working Group Discussion

• Can be removed through remediation of violatio• Will be removed 90 days after completes all rem• DOE will issue Notice indicating no longer consi

routine violator

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

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
28 | Regional Standards Enforcement Working Group Discussion

• Recommend FTC initiate rulemaking with simpli• Make consistent with 14 SEER interpretation

EnergyGuide Label
29 | Regional Standards Enforcement Working Group Discussion

• Manufacturers will add label to outdoor unit

– Near or as part of current nameplate– Ruggedized to withstand elements

• States “Install Prohibited in [pertinent regions]”

Manufacturer voluntary label
30 | Regional Standards Enforcement Working Group Discussion

• Basics• Public Awareness• Training• Reporting Violations• Records Retention• Finding of Routine Violation• Labels• Manufacturer Liability

Components
31 | Regional Standards Enforcement Working Group Discussion

• Once DOE issues Notice of Finding of Routine V

manufacturer can be fined for selling any producroutine violator

– “Product” includes anything included as a “central air 

conditioner” under 10 CFR 430.32(c)

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

• Manufacturer may sell to routine violator during 

pendency of appeal 

– But: if appeal denied, liable for product sold to routine 

during that time

• If manufacturer has knowledge of routine violatio

DOE finding, can be held liable for sales after daknowledge

– Mitigated by report to DOE within 15 days of receipt of 

knowledge

Manufacturer liability
32 | Regional Standards Enforcement Working Group Discussion

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

standard when tested in a combination certified by the sammanufacturer, model of outdoor unit (in all certified combinwill be deemed noncompliant with regional standard. 

– outdoor unit manufacturer responsible

• If DOE determines combination fails to meet regional stan

tested in a combination certified by a manufacturer other t

outdoor unit manufacturer (e.g., ICM), combination is deenoncompliant with regional standard. 

– indoor unit manufacturer responsible

• Manufacturer of model determined noncompliant with reg

standard will be liable for distribution in commerce of noncunits

– Can minimize liability by demonstrating installed in region w

be compliant 

– Manufacturer bears burden of proving

Product determined noncompliant