1 | General Counsel’s Office of Enforcement

Regional Standards 

Enforcement Working Group

An Intro

DOE’s 

Enfor

Pro
2 | General Counsel’s Office of Enforcement

Relevant Regulatory Provisions

• 10 C.F.R. Part 429 (for most covered products)

– Certification of compliance– Enforcement tools and procedures

• 10 C.F.R. Part 430

– Consumer products

• Test procedures• Conservation standards

• 10 C.F.R. Part 431

– Commercial and industrial equipment

• Test procedures• Conservation standards
3 | General Counsel’s Office of Enforcement

• Manufacturers are entities that

– manufacture, – assemble, – produce, or– import

• Private labelers are entities that

– own a brand or trademark that is not the manufacturer

trademark and 

– authorize a manufacturer to label product with that bra

• label does NOT include manufacturer’s brand or tradem

Relevant parties defined in EPCA
4 | General Counsel’s Office of Enforcement

• Retailers are entities to whom a consumer produ

delivered or sold, if such delivery or sale is for pof sale or distribution in commerce to purchaserbuy such product for purposes other than resale

• Distributors are entities (other than a manufactu

retailer) to whom a consumer product is deliverefor purposes of distribution in commerce.

Relevant parties defined in EPCA (continued)
5 | General Counsel’s Office of Enforcement

• Distribution in commerce means to

– sell in commerce– import– introduce or deliver for introduction into commerce, or – hold for sale or distribution after introduction into com

Distribution in commerce
6 | General Counsel’s Office of Enforcement

• Energy conservation standards regulatory progr

based on self-certification by manufacturer befodistribution 

– Submitted initially and annually thereafter

• Manufacturer must submit a certification report 

– Report states that covered product/equipment was ma

to comply with the Federal standards

• Representation of efficiency must be based upo

– testing, or– estimations from an authorized rating method (in the c

CACs) 

• Certify efficiency of basic model• Once basic model certified, appears on public d

Certification of compliance (429.12)
7 | General Counsel’s Office of Enforcement

Public Database
8 | General Counsel’s Office of Enforcement

Public Database (continued)
9 | General Counsel’s Office of Enforcement

• Warning for certification submission errors• Requests for Test Data and other Information 

– including subpoena authority

• Testing

– Assessment– Enforcement

• Notice of Noncompliance Determination• Notice of Proposed Civil Penalty

Enforcement Tools
10 | General Counsel’s Office of Enforcement

• Warning for certification submission errors• Requests for Test Data and other Information 

– including subpoena authority

• Testing

– Assessment– Enforcement

• Notice of Noncompliance Determination• Notice of Proposed Civil Penalty

Enforcement Tools
11 | General Counsel’s Office of Enforcement

• DOE may, at any time, request any information r

to determining compliance with any requirement parts 429, 430 and 431.

• This includes the data underlying certification of 

model. 

– Such data may be used by DOE to make a determinat

compliance or noncompliance with an applicable stand

Request for Information (429.106)
12 | General Counsel’s Office of Enforcement

• Manufacturer shall establish, maintain, and reta

records of:

– certification reports, – underlying test data for all certification testing, and – any other testing conducted to satisfy the requirement

parts 429, 430, and 431

• Records shall be organized and indexed to mak

readily accessible for review by DOE upon requ

• Records shall be retained by the manufacturer f

period of two years from the date DOE that notifdistribution in commerce of the model has been discontinued.

Records Retention (429.71)
13 | General Counsel’s Office of Enforcement

• For purposes of carrying out parts 429, 430, and 

DOE may issue subpoenas for:

– the attendance and testimony of witnesses and – the production of relevant books, records, papers, and 

documents

• If refuse to obey a subpoena, DOE may seek an 

from U.S. District Court.

• Failure to obey such order is punishable by such 

as contempt thereof.

Subpoena (429.8)
14 | General Counsel’s Office of Enforcement

• Warning for certification submission errors• Requests for Test Data and other Information 

– including subpoena authority

• Testing

– Assessment– Enforcement

• Notice of Noncompliance Determination• Notice of Proposed Civil Penalty

Enforcement Tools
15 | General Counsel’s Office of Enforcement

Assessment (429.104) Enforcement (429.110)

Basis? No specific basis needed “Reason to believe” may noSource (for highvolume consumer products)?

Retail (DOE’s expense) Retail, distribution center, o

(manufacturer’s expense)

# of units? 1 3 additional or 4 total for 1st 

up to 21 total

Where? DOE-contracted lab DOE-contracted labHow? DOE test procedure DOE test procedure

Assessment & Enforcement Testing
16 | General Counsel’s Office of Enforcement

• Warning for certification submission errors• Requests for Test Data and other Information 

– including subpoena authority

• Testing

– Assessment– Enforcement

• Notice of Noncompliance Determination• Notice of Proposed Civil Penalty

Enforcement Tools
17 | General Counsel’s Office of Enforcement

• Written notice from DOE after finding of noncom• Manufacturer must: 

– Cease manufacture and distribution of product/equipm– Provide notice to anyone to whom the manufacturer h

distributed the product of finding of noncompliance

– Provide DOE with records of manufacture and sale

• Manufacturer may redesign product to come into 

compliance

– Must provide description of changes and supporting te– Must receive notice of allowance from DOE before futu– Redesigned products must have different model numb

meet applicable certification requirements

Noncompliance Determination (429.114)
18 | General Counsel’s Office of Enforcement

• Warning for certification submission errors• Requests for Test Data and other Information 

– including subpoena authority

• Testing

– Assessment– Enforcement

• Notice of Noncompliance Determination• Notice of Proposed Civil Penalty

Enforcement Tools
19 | General Counsel’s Office of Enforcement

• Assess for commission of prohibited acts• DOE provides written notice that explains allege

prohibited act and applicable law

• Maximum fine is $200 per violation (429.120)

– Failure to certify models or provide requested informat

computed per basic model per day

– Standards failure computed per unit

Civil Penalties
20 | General Counsel’s Office of Enforcement

1. Failure of a manufacturer to provide, maintain, 

access to, or copying of records required to be under the Act and this part or failure to make reprovide other information required to be suppliethe Act and this part, including but not limited to to properly certify covered products and covereequipment in accordance with §429.12 and §§4through 429.54.

2. Failure to test any covered product or covered 

equipment subject to an applicable energy consstandard in conformance with the applicable tesrequirements prescribed in 10 CFR parts 430 o

Prohibited Acts (429.102)
21 | General Counsel’s Office of Enforcement

3. Deliberate use of controls or features in a cove

product or covered equipment to circumvent the requirements of a test procedure and produce tresults that are unrepresentative of a product's or water consumption if measured pursuant to required test procedure.

4. Failure of a manufacturer to supply at the 

manufacturer's expense a requested number oproducts or covered equipment to a designated laboratory in accordance with a test notice issuDOE.

Prohibited Acts (429.102)
22 | General Counsel’s Office of Enforcement

5. Failure of a manufacturer to permit a DOE 

representative to observe any testing required bAct and this part and inspect the results of such 

6. Distribution in commerce by a manufacturer or 

labeler of any new covered product or covered equipment that is not in compliance with an appenergy conservation standard prescribed unde

7. Distribution in commerce by a manufacturer or 

labeler of a basic model of covered product or cequipment after a notice of noncompliance determination has been issued to the manufactprivate labeler.

Prohibited Acts (429.102)
23 | General Counsel’s Office of Enforcement

8. Knowing misrepresentation by a manufacturer 

labeler by certifying an energy use or efficiency any covered product or covered equipment distin commerce in a manner that is not supported data.

9. For any manufacturer, distributor, retailer, or pri

labeler to distribute in commerce an adapter tha– (i) Is designed to allow an incandescent lamp that doe

a medium screw base to be installed into a fixture or lawith a medium screw base socket; and

– (ii) Is capable of being operated at a voltage range at l

partially within 110 and 130 volts.

Prohibited Acts (429.102)
24 | General Counsel’s Office of Enforcement

10.For any manufacturer or private labeler to know

a product to a distributor, contractor, or dealer wknowledge that the entity routinely violates any standard applicable to the product.

Prohibited Acts (429.102)
25 | General Counsel’s Office of Enforcement

Questions?