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 model 

condensing unit must be 14 in the SE and SW regions. 

• Least efficient rating combination for a specified model 

condensing unit must meet minimum EER requirement 

region.

• Any condensing unit model that has a certified combina

is below the regional standard cannot be installed in the 

• A condensing unit model certified below a regional stan

the OEM cannot be installed in a region subject to regiostandard(s) even with an ICM indoor coil or air handler combination that may have a certified rating meeting thapplicable regional standard

Vote: unanimous (1 abstention)

“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

• Installation

– Installation of a central air conditioner is the connectio

refrigerant lines and/or electrical systems to make the conditioner operational 

• In the preamble DOE will describe that internet s

into the category of contractor, dealer, or distribu

Vote: unanimous 

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 emailVote: unanimous 

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

• Distributors will also conduct training• Contractors will also conduct own training• DOE will provide webinar on standards and enfoVote: unanimous

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 complaintsVote: unanimous

Reporting 
12 | Regional Standards Enforcement Working Group Discussion

• If funding is available, DOE will consider conduc

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

Vote: unanimous

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

• Scope: applies to installations in the Southeast and South• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and serial num– indoor coil or air handler: manufacturer and model number

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

• Single package air conditioner: manufacturer, model and s

number

• For all such units: 

– location of the installation (including street address, city, stat

code)

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

individual’s name, full address and phone number

Vote: unanimous 

Contractors/dealers
15 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: manufacturer, model and serial num

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

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

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 indivi

name, full address and phone number

– if delivered, delivery address

• Implementation date: 

– November 30, 2015Vote: unanimous

Distributors
16 | Regional Standards Enforcement Working Group Discussion

• Split-system central air conditioner: 

– outdoor condensing unit: model and serial number – indoor coil or air handler: model number

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

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

Vote: unanimous 

Manufacturers
17 | Regional Standards Enforcement Working Group Discussion

• Maintain for 48 months for contractors, 54 for 

distributors, and 60 for manufacturers

– 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”Vote: unanimous 

Other issues
18 | Regional Standards Enforcement Working Group Discussion

• DOE must have “reasonable belief” to request records sp

on going investigation

• DOE will look at following factors to determine:

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

• Picture of condensing unit with nameplate depicting model and 

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?Vote: unanimous

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 central conditioner subject to regional standards with the knowlesuch product shall be installed in violation of any regional applicable to the productVote: unanimous

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 outdoor unit is not certified as part 

combination that meets the applicable standard

– not necessarily as installed

• Outdoor unit installed has a certified combinatio

than standard applicable in region

Vote: unanimous (1 abstention)

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

• Investigation may include:

– Discussion with end user– Request for retained records– Discussion with alleged violator

• If no violation found, DOE will issue case closed 

party being investigated

• If a non-compliant installation in one residence (

equivalent) remediated before DOE makes a finthen DOE will issue a case closed letter to party investigated

• If violation found, DOE will issue Notice of Violat

post it publicly

Vote: unanimous

DOE investigation
23 | Regional Standards Enforcement Working Group Discussion

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

– A party may remediate by replacement of noncomplian

demonstrate to the Department’s satisfaction the attemreplacement of all noncompliant units

– Remediation is at cost to party in violation

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

and distributor(s)

– check against warranty or other replacement claims

• If clear, violation will not count towards finding o

violator” unless repeated

• DOE will issue Notice of RemediationVote: unanimous

Remediation
24 | Regional Standards Enforcement Working Group Discussion

• If Routine Violator wants to remediate it must co

DOE Office of Enforcement (POC listed in noticeidentify distributor or manufacturer it wishes to bproduct from

• DOE will contact distributor or manufacturer and 

authorize sale for purposes of remediation within business days

– DOE will send an official letter for sellers records

• Party must provide documentation to DOE once 

remediation is completed.

• DOE will follow up with Routine Violator within 3

official letter for sellers records to determine statremediation

Remediation Continued
25 | Regional Standards Enforcement Working Group Discussion

• DOE will consider these factors:

– number of violations (both found in current investigation and ainvestigations)– 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 Violation if detbe routine violator

– Posted on Enforcement website– Blasted via email

Routine Violator
26 | Regional Standards Enforcement Working Group Discussion

• In determining a Routine Violation, DOE shall consider wh

Routine Violation was limited to a specific location. If DOEdiscretion, finds that the routine violation was so limited, Dthe public notice of “Routine Violation” state that the prohimanufacturer sales is limited to a particular contractor or dlocation. In making such determination DOE would rely on factors considered in determining whether a routine violatoccurred.

Vote: unanimous

Routine Violator Continued
27 | Regional Standards Enforcement Working Group Discussion

• Party will have right to administrative appeal find

routine violator

• Must file appeal within 30 days of Notice of Find

Routine Violation

• Office of Hearing and Appeals will receive admin

appeals 

• Appeal must present information rebutting findin

violation(s)

• Appeal will be decided within 45 days of filingVote: unanimous

Right to appeal
28 | Regional Standards Enforcement Working Group Discussion

• Can be removed through remediation of violatio• Will be removed no longer than 30 days after co

all remediation

• DOE will issue Notice indicating no longer consi

routine violator

Vote: unanimous 

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

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

Components
30 | Regional Standards Enforcement Working Group Discussion

• Recommend FTC initiate rulemaking with simpli• Make consistent with 14 SEER interpretationVote: unanimous (1 abstention) 

EnergyGuide Label
31 | 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]”

– Southwest or Southeast and Southwest

• In the preamble DOE will state:

– Manufacturers have agreed to label outdoor units– AHRI agreed that as part of its certification program it 

participants to label outdoor units

• To be implemented by March 1, 2015

– Also target date for AHRI certification programVote: unanimous 

Manufacturer label
32 | Regional Standards Enforcement Working Group Discussion

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

Components
33 | Regional Standards Enforcement Working Group Discussion

• Once DOE issues Notice of Finding of Routine Violatio

manufacturer can be fined for selling product to routine 

– Manufacturer has 3 business days from date of issuance 

before it will be liable for sales to routine violator

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

• If a Notice of Intent to Appeal is filed within 3 business day

Notice of Finding of Routine Violation then manufacturer 

to routine violator during pendency of appeal

– But: if appeal denied, mfgs are liable for products below 

applicable regional standards sold to routine violator duritime

• If manufacturer has knowledge of routine violation befo

finding, can be held liable for sales after date of knowle

– No liability for products sold if reported to DOE within 15 

receipt of such knowledge

Vote: unanimous

Manufacturer liability
34 | Regional Standards Enforcement Working Group Discussion

Preamble language: The working group had significant dison the scope of the term product as it relates to the statutodefined prohibited act. The Department explained that it inthe term product to include all classes of central air conditheat pumps found within 10 CFR 430.32(c). Ultimately the group could not come to consensus on whether the scope prohibition of sales could be limited to split system central conditioners and single package systems instead of this binterpretation. See the public meeting transcript for Octobe2014.Vote: unanimous

Scope of “Product”
35 | 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 will be deemed noncowith 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 provingVote: unanimous 

Product determined noncompliant
36 | Regional Standards Enforcement Working Group Discussion

Preamble language: The working group had signifidiscussions on whether to include additional prohiband ultimately could not come to consensus on whinclude additional prohibited acts. See the public mtranscript for October 16, 2014.Vote: 1 objection

Additional Prohibited Acts
37 | Regional Standards Enforcement Working Group Discussion

Issues:1. Routine Violator 

1. Doug will follow up on modified language for limiting routine violato2. Doug will draft language to describe how a routine violator will rem

2. 3 business day response time (on slide “right to appeal”)3. Product definition (manufacturers and AHRI to follow up)4. State enforcement5. Manufacturer liability, additional prohibited act for manufa

owned distribution?

6. If DOE determines model of outdoor unit fails to meet reg

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

7. Review of final package

Meeting Extension 
38 | Regional Standards Enforcement Working Group Discussion

Addition meeting on 10/24 starting at 8am