Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 28805 

collection techniques or other forms of 

information technology; e.g., permitting 

electronic submission of responses). 

Estimate of burden: Public reporting 

burden for this collection of information 

is estimated to average 0.355921499 

hours per response. 

Respondents: Retailers and 

wholesalers of pet animals. 

Estimated annual number of 

respondents: 1,500. 

Estimated annual number of 

responses per respondent: 28.50066667. 

Estimated annual number of 

responses: 42,751. 

Estimated total annual burden on 

respondents: 15,216 hours. (Due to 

averaging, the total annual burden hours 

may not equal the product of the annual 

number of responses multiplied by the 

reporting burden per response.) 

Copies of this information collection 

can be obtained from Mrs. Celeste 

Sickles, APHIS’ Information Collection 

Coordinator, at (301) 851–2908. 

List of Subjects in 9 CFR Parts 1 and 2 

Animal welfare, Pets, Reporting and 

recordkeeping requirements, Research. 

Accordingly, we propose to amend 

9 CFR parts 1 and 2 as follows: 

PART 1—DEFINITION OF TERMS 

1. The authority citation for part 1 

continues to read as follows: 

Authority: 7 U.S.C. 2131–2159; 7 CFR 

2.22, 2.80, and 371.7. 

2. In § 1.1, the definition of dealer and 

the introductory text of the definition of 

retail pet store are revised to read as 

follows: 

§ 1.1 Definitions. 

* * * * * 

Dealer means any person who, in 

commerce, for compensation or profit, 

delivers for transportation, or transports, 

except as a carrier, buys, or sells, or 

negotiates the purchase or sale of: Any 

dog or other animal whether alive or 

dead (including unborn animals, organs, 

limbs, blood, serum, or other parts) for 

research, teaching, testing, 

experimentation, exhibition, or for use 

as a pet; or any dog at the wholesale 

level for hunting, security, or breeding 

purposes. This term does not include: A 

retail pet store, as defined in this 

section; any retail outlet where dogs are 

sold for hunting, breeding, or security 

purposes; or any person who does not 

sell or negotiate the purchase or sale of 

any wild or exotic animal, dog, or cat 

and who derives no more than $500 

gross income from the sale of animals 

other than wild or exotic animals, dogs, 

or cats during any calendar year. 

* * * * * 

Retail pet store means a place of 

business or residence that each buyer 

physically enters in order to personally 

observe the animals available for sale 

prior to purchase and/or to take custody 

of the animals after purchase, and where 

only the following animals are sold or 

offered for sale, at retail, for use as pets: 

Dogs, cats, rabbits, guinea pigs, 

hamsters, gerbils, rats, mice, gophers, 

chinchilla, domestic ferrets, domestic 

farm animals, birds, and coldblooded 

species. A retail pet store also includes 

any person who meets the criteria in 

§ 2.1(a)(3)(iii) of this subchapter. Such 

definition excludes— 

* * * * * 

PART 2—REGULATIONS 

3. The authority citation for part 2 

continues to read as follows: 

Authority: 7 U.S.C. 2131–2159; 7 CFR 

2.22, 2.80, and 371.7. 

4. Section 2.1 is amended as follows: 

a. By revising paragraph (a)(3)(i) to 

read as set forth below. 

b. In paragraph (a)(3)(ii), by removing 

the words ‘‘to a research facility, an 

exhibitor, a dealer, or a pet store’’. 

c. In paragraph (a)(3)(iii), in the first 

sentence, by removing the words ‘‘three 

(3)’’ and adding the word ‘‘four’’ in their 

place, and in the second sentence, by 

removing the word ‘‘three’’ each of the 

three times it appears and adding the 

word ‘‘four’’ in its place. 

d. By removing paragraph (a)(3)(vii) 

and redesignating paragraph (a)(3)(viii) 

as paragraph (a)(3)(vii). 

§ 2.1 Requirements and application. 

* * * * * 

(a) * * * 

(3) * * * 

(i) Retail pet stores as defined in part 

1 of this subchapter; 

* * * * * 

Done in Washington, DC, this 10th day of 

May 2012. 

Edward Avalos, 

Under Secretary for Marketing and Regulatory 

Programs. 

[FR Doc. 2012–11839 Filed 5–15–12; 8:45 am] 

BILLING CODE 3410–34–P 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 430 

[Docket No. EERE–2008–BT–TP–0011] 

RIN 1904–AB78 

Energy Conservation Program: Test 

Procedures for Microwave Ovens 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Supplemental notice of 

proposed rulemaking. 

SUMMARY: On November 23, 2011, the 

U.S. Department of Energy (DOE) issued 

a supplemental notice of proposed 

rulemaking (SNOPR) to amend the test 

procedures for microwave ovens. That 

SNOPR proposed amendments to the 

DOE test procedure to incorporate 

provisions from the International 

Electrotechnical Commission (IEC) 

Standard 62301, ‘‘Household electrical 

appliances—Measurement of standby 

power,’’ Edition 2.0 2011–01 (IEC 

Standard 62301 (Second Edition)). 

Today’s SNOPR proposes additional 

provisions for measuring the standby 

mode and off mode energy use of 

products that combine a microwave 

oven with other appliance functionality, 

as well as minor technical clarifications. 

DATES: DOE will accept comments, data, 

and information regarding this SNOPR 

submitted no later than June 15, 2012. 

See section V, ‘‘Public Participation,’’ 

for details. 

ADDRESSES: Any comments submitted 

must identify the SNOPR on Test 

Procedures for Microwave Ovens, and 

provide docket number EERE–2008– 

BT–TP–0011 and/or regulatory 

information number (RIN) 1904–AB78. 

Comments may be submitted using any 

of the following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: MicroOven-2008-TP0011@ee.doe.gov. Include docket 

number EERE–2008–BT–TP–0011 and/ 

or RIN 1904–AB78 in the subject line of 

the message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza SW., 

Washington, DC 20024. Telephone: 

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28806 Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 

1EISA 2007 directs DOE to also consider IEC 

Standard 62087 when amending its test procedures 

to include standby mode and off mode energy 

consumption. See 42 U.S.C. 6295(gg)(2)(A). 

However, IEC Standard 62087 addresses the 

methods of measuring the power consumption of 

audio, video, and related equipment. Accordingly, 

the narrow scope of this particular IEC standard 

reduces its relevance to today’s proposal. 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. 

For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section V of this document (Public 

Participation). 

Docket: The docket is available for 

review at www.regulations.gov, 

including Federal Register notices, 

framework documents, public meeting 

attendee lists and transcripts, 

comments, and other supporting 

documents/materials. All documents in 

the docket are listed in the www.

regulations.gov index. However, not all 

documents listed in the index may be 

publicly available, such as information 

that is exempt from public disclosure. 

A link to the docket Web page can be 

found at: http://www.regulations.gov/

#!docketDetail;rpp=10;po=0;D=EERE2008-BT-TP-0011. This web page 

contains a link to the docket for this 

notice on the www.regulations.gov site. 

The www.regulations.gov Web page 

contains simple instructions on how to 

access all documents, including public 

comments, in the docket. See section V 

for information on how to submit 

comments through www.regulations.

gov. 

For further information on how to 

submit a comment or review other 

public comments and the docket, 

contact Ms. Brenda Edwards at (202) 

586–2945 or email: Brenda.Edwards@ee.

doe.gov. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Wes Anderson, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–7335. Email: wes.

anderson@ee.doe.gov. 

Mr. Ari Altman, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue 

SW., Washington, DC 20585–0121. 

Telephone: (202) 287–6307. Email: ari.

altman@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Authority and Background 

II. Summary of the Supplemental Notice of 

Proposed Rulemaking 

III. Discussion 

A. Products Covered by this Test Procedure 

Rulemaking 

1. Microwave/Conventional Ranges 

2. Microwave/Conventional Ovens 

3. Other Combined Products 

B. Effective Date for the Test Procedure and 

Date on Which Use of the Test Procedure 

Will Be Required 

C. Specifications for the Test Methods and 

Measurements for Combined Products 

D. Compliance With Other EPCA 

Requirements 

IV. Procedural Issues and Regulatory Review 

V. Public Participation 

A. Submission of Comments 

B. Issues on Which DOE Seeks Comment 

VI. Approval of the Office of the Secretary 

I. Authority and Background 

Title III of the Energy Policy and 

Conservation Act (42 U.S.C. 6291, et 

seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets forth a 

variety of provisions designed to 

improve energy efficiency. (All 

references to EPCA refer to the statute 

as amended through the Energy 

Independence and Security Act of 2007 

(EISA 2007), Public Law 110–140 (Dec. 

19, 2007)). Part B of title III, which for 

editorial reasons was redesignated as 

Part A upon incorporation into the U.S. 

Code (42 U.S.C. 6291–6309), establishes 

the ‘‘Energy Conservation Program for 

Consumer Products Other Than 

Automobiles.’’ These include 

microwave ovens, the subject of today’s 

notice. (42 U.S.C. 6291(1)–(2) and 

6292(a)(10)) 

Under EPCA, this program consists 

essentially of four parts: (1) Testing, (2) 

labeling, (3) Federal energy conservation 

standards, and (4) certification and 

enforcement procedures. The testing 

requirements consist of test procedures 

that manufacturers of covered products 

must use (1) as the basis for certifying 

to DOE that their products comply with 

the applicable energy conservation 

standards adopted under EPCA, and (2) 

for making representations about the 

efficiency of those products. Similarly, 

DOE must use these test requirements to 

determine whether the products comply 

with any relevant standards 

promulgated under EPCA. 

General Test Procedure Rulemaking 

Process 

Under 42 U.S.C. 6293, EPCA sets forth 

the criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered products. 

EPCA provides in relevant part that any 

test procedures prescribed or amended 

under this section shall be reasonably 

designed to produce test results that 

measure energy efficiency, energy use or 

estimated annual operating cost of a 

covered product during a representative 

average use cycle or period of use and 

shall not be unduly burdensome to 

conduct. (42 U.S.C. 6293(b)(3)). 

In addition, if DOE determines that a 

test procedure amendment is warranted, 

it must publish proposed test 

procedures and offer the public an 

opportunity to present oral and written 

comments on them. (42 U.S.C. 

6293(b)(2)) Finally, in any rulemaking to 

amend a test procedure, DOE must 

determine to what extent, if any, the 

proposed test procedure would alter the 

measured energy efficiency of any 

covered product as determined under 

the existing test procedure. (42 U.S.C. 

6293(e)(1)) If DOE determines that the 

amended test procedure would alter the 

measured efficiency of a covered 

product, DOE must amend the 

applicable energy conservation standard 

accordingly. (42 U.S.C. 6293(e)(2)). 

The EISA 2007 amendments to EPCA, 

in relevant part, require DOE to amend 

the test procedures for all residential 

covered products to include measures of 

standby mode and off mode energy 

consumption. Specifically, section 310 

of EISA 2007 provides definitions of 

‘‘standby mode’’ and ‘‘off mode’’ (42 

U.S.C. 6295(gg)(1)(A)) and permits DOE 

to amend these definitions in the 

context of a given product (42 U.S.C. 

6295(gg)(1)(B)). The statute requires 

integration of such energy consumption 

‘‘into the overall energy efficiency, 

energy consumption, or other energy 

descriptor for each covered product, 

unless the Secretary determines that— 

(i) The current test procedures for a 

covered product already fully account 

for and incorporate the standby mode 

and off mode energy consumption of the 

covered product; or 

(ii) such an integrated test procedure 

is technically infeasible for a particular 

covered product, in which case the 

Secretary shall prescribe a separate 

standby mode and off mode energy use 

test procedure for the covered product, 

if technically feasible.’’ (42 U.S.C. 

6295(gg)(2)(A)) 

Under the statutory provisions 

adopted by EISA 2007, any such 

amendment must consider the most 

current versions of IEC Standard 62301, 

‘‘Household electrical appliances— 

Measurement of standby power,’’ and 

IEC Standard 62087, ‘‘Methods of 

measurement for the power 

consumption of audio, video, and 

related equipment.’’ 1 Id. At the time of 

the enactment of EISA 2007, the most 

current versions of these standards were 

IEC Standard 62301 (First Edition 2005– 

06) (IEC Standard 62301 (First Edition)) 

and IEC Standard 62087 (Second 

Edition 2008–09). 

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2 IEC Standard 62301 (CD2) was the draft version 

immediately preceding IEC Standard 62301 (CDV). 

DOE Microwave Oven Test Procedure 

DOE’s test procedure for microwave 

ovens is codified at appendix I to 

subpart B of Title 10 of the Code of 

Federal Regulations (CFR). The test 

procedure was established in an October 

3, 1997 final rule that addressed active 

mode energy use only. 62 FR 51976. 

To address standby mode and off 

mode energy use, DOE published a 

notice of proposed rulemaking (NOPR) 

on October 17, 2008 (hereafter referred 

to as the October 2008 TP NOPR), in 

which it proposed incorporating 

provisions from IEC Standard 62301 

(First Edition) into the DOE active mode 

test procedure, as well as language to 

clarify application of these provisions 

for measuring standby mode and off 

mode power in microwave ovens. 73 FR 

62134. DOE held a public meeting on 

November 14, 2008 (hereafter referred to 

as the November 2008 public meeting) 

to hear oral comments on and solicit 

information relevant to the October 

2008 TP NOPR. Interested parties 

remarked upon, among other things, 

harmonization of standards and test 

procedures with those of other countries 

and international agencies. In particular 

commenters urged DOE to consider IEC 

Standard 62301 (Second Edition) (or 

‘‘Second Edition’’), which was in the 

process of being drafted. 

EPCA requires DOE to consider the 

most recent version of IEC Standard 

62301. (42 U.S.C. 6295(gg)(2)(A)) After 

the October 2008 TP NOPR was 

published, DOE determined that it 

would consider the revised version of 

IEC Standard 62301, (i.e., IEC Standard 

62301 (Second Edition)), in the 

microwave oven test procedure 

rulemaking. DOE anticipated, based on 

review of drafts of the updated IEC 

Standard 62301, that the revisions could 

include different mode definitions. The 

revised version was expected in July 

2009. IEC Standard 62301 (Second 

Edition) was not published, however, 

until January 27, 2011. 

In order to ensure that DOE could 

establish test procedures for standby 

mode and off mode by March 31, 2011, 

as required by the EISA 2007 

amendments to EPCA, DOE published 

an SNOPR on July 22, 2010 (hereafter 

referred to as the July 2010 TP SNOPR) 

proposing mode definitions based on 

those in the then current draft version 

of IEC Standard 62301 (Second Edition), 

designated as IEC Standard 62301 

Second Edition, Committee Draft for 

Vote (IEC Standard 62301 (CDV)). 75 FR 

42612, 42620–23 (July 22, 2010). DOE 

noted in the July 2010 TP SNOPR that 

IEC Standard 62301 (CDV) contained 

proposed amendments to IEC Standard 

62301 (First Edition), including new 

mode definitions based on those 

proposed in IEC Standard 62301 

(Second Edition), Committee Draft 2 

(IEC Standard 62301 (CD2)) 2 and which 

addressed comments received by 

interested parties in response to IEC 

Standard 62301 (CD2). As a result of 

this continued refinement on the basis 

of public comment to IEC during its test 

standards development process, DOE 

stated that it believed that those most 

recent mode definitions represented the 

best definitions available for the 

analysis in support of this rulemaking. 

75 FR 42612, 42621. 

DOE held a public meeting on 

September 16, 2010 (hereafter referred 

to as the September 2010 public 

meeting), to hear oral comments on and 

solicit information relevant to the July 

2010 TP SNOPR. Interested parties 

remarked upon, among other things, 

covered products, incorporation of IEC 

Standard 62301 (First Edition), mode 

definitions, and testing procedures. On 

October 29, 2010, the IEC released a 

finalized draft version of IEC Standard 

62301 (Second Edition), IEC Standard 

62301 (FDIS). 

On March 9, 2011, DOE published an 

interim final rule (hereafter referred to 

as the March 2011 Interim Final Rule) 

amending the test procedures for 

microwave ovens. 76 FR 12825. The 

March 2011 Interim Final Rule 

incorporated by reference specific 

clauses from IEC Standard 62301 (First 

Edition) regarding test conditions and 

testing procedures for measuring the 

average standby mode and average off 

mode power consumption into the 

microwave oven test procedure. DOE 

also incorporated into the microwave 

oven test procedure definitions of 

‘‘active mode,’’ ‘‘standby mode,’’ and 

‘‘off mode’’ based on the definitions 

provided in IEC Standard 62301 (FDIS). 

DOE further adopted language to clarify 

the application of clauses from IEC 

Standard 62301 (First Edition) for 

measuring standby mode and off mode 

power in the March 2011 Interim Final 

rule. Specifically, DOE defined the test 

duration for cases in which the 

measured power is not stable (i.e., varies 

over a cycle), recognizing that the power 

consumption of microwave oven 

displays can vary based on the 

displayed clock time. 76 FR 12825, 

12828. 

The amendments adopted in the 

March 2011 Interim Final Rule became 

effective on April 8, 2011. However, 

DOE noted that in order to ensure that 

the amended test procedure adequately 

addresses the EISA 2007 requirement to 

consider the most recent version of IEC 

Standard 62301, and recognizing that 

the IEC issued IEC Standard 62301 

(Second Edition) in January of 2011, 

DOE issued the microwave oven test 

procedure as an interim final rule and 

offered an additional 180-day comment 

period to consider whether any changes 

should be made to the interim final rule 

in light of publication of IEC Standard 

62301 (Second Edition). DOE stated that 

it would consider these comments and, 

to the extent necessary, publish a final 

rulemaking incorporating any changes. 

76 FR 12825, 12830–31. In response to 

the March 2011 Interim Final Rule, 

interested parties commented that, 

among other things, DOE should 

incorporate by reference IEC Standard 

62301 (Second Edition) for optimal 

international harmonization, to give 

clarity and consistency to the regulated 

community and to decrease the testing 

burden. 

Based upon the public comment, DOE 

decided to further analyze IEC Standard 

62301 (Second Edition). DOE reviewed 

this latest version of the IEC standard 

and believes that it improves some 

measurements of standby mode and off 

mode energy use. Accordingly, DOE 

published a second SNOPR on 

November 23, 2011 (hereafter referred to 

as the November 2011 TP SNOPR), 

proposing to incorporate certain 

provisions of IEC Standard 62301 

(Second Edition), along with clarifying 

language, into the DOE test procedures 

for microwave ovens adopted in the 

March 2011 Interim Final Rule. In 

addition, DOE proposed in the 

November 2011 TP SNOPR to make 

minor editorial changes in 10 CFR part 

430, subpart B, appendix I, section 

2.2.1.1 to aid the reader by presenting 

the electrical supply voltages 

consistently for microwave ovens and 

conventional cooking products, and also 

in section 1.12 to clarify the alternative 

use of metric units for various 

measurements and calculations in the 

conventional cooking products test 

procedure. 76 FR 72331 (Nov. 23, 2011). 

II. Summary of the Supplemental 

Notice of Proposed Rulemaking 

In the course of reviewing comments 

on the November 2011 TP SNOPR, DOE 

determined that an additional SNOPR 

would be necessary before moving to a 

final rule. As discussed in section I, 

DOE published the March 2011 Interim 

Final Rule to provide an opportunity for 

it to fully consider whether any changes 

should be made in light of publication 

of IEC Standard 62301 (Second Edition). 

Based upon the public comment 

received on the March 2011 Interim 

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28808 Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 

Final Rule, DOE analyzed IEC Standard 

62301 (Second Edition) for the 

November 2011 TP SNOPR. Today’s 

SNOPR addresses comments received 

on the November 2011 TP SNOPR 

regarding coverage of additional 

microwave oven product types in the 

DOE test procedure. Comments on other 

topics received in response to the 

November 2011 TP SNOPR will be 

addressed in the subsequent final rule. 

In today’s SNOPR, DOE proposes that 

for products combining a microwave 

oven with other appliance functionality 

(i.e., a product with a compartment 

incorporating microwave capability and 

one or more other components or 

appliance features that provide different 

functionality), the compartment 

incorporating microwave cooking would 

be considered a covered product under 

the definition of a microwave oven at 10 

CFR 430.2. DOE is therefore proposing 

in today’s SNOPR provisions that would 

apportion the overall standby mode and 

off mode power in such ‘‘combined 

products’’ among the microwave oven 

component and other components, and 

thus would determine the portion of the 

standby mode and off mode power 

associated specifically with the 

microwave oven component. For certain 

combined products that contain a 

microwave oven as one of its functional 

components, DOE is proposing specific 

values by which to apportion the 

standby mode and off mode power. 

However, the proposed amendments 

would allow a manufacturer, upon 

submission of suitable supporting 

information to DOE, to use alternate 

apportionment values for such 

combined products. Manufacturers of 

combined products for which specific 

apportionment values are not provided 

in the test procedure would also be 

required to submit information as to the 

appropriate values for their products. 

In addition, the proposed 

amendments in today’s SNOPR would 

make minor editorial changes in 10 CFR 

part 430, subpart B, appendix I, section 

2.2.1.1 to aid the reader by presenting 

the electrical supply voltages 

consistently for microwave ovens and 

conventional cooking products, and also 

in newly designated section 1.12 to 

clarify the alternative use of metric units 

for various measurements and 

calculations in the definition of a 

standard cubic foot of gas for the 

conventional cooking products test 

procedure. 

For the reader’s convenience, DOE 

has reproduced in this SNOPR the 

amendments proposed in the November 

2011 TP SNOPR, further amended as 

appropriate according to today’s 

proposal. 

As noted above, EPCA requires that 

DOE determine whether a proposed test 

procedure amendment would alter the 

measured efficiency of a product, 

thereby requiring adjustment of existing 

standards. (42 U.S.C. 6293(e)) Because 

there are currently no Federal energy 

conservation standards for microwave 

ovens (including standards for energy 

use in the standby and off modes), such 

requirement does not apply to this 

rulemaking. DOE is conducting a 

concurrent rulemaking process to 

consider standby and off mode energy 

conservation standards and will 

consider whether this test procedure 

alters the measured efficiency as any 

standards are developed. 

III. Discussion 

A. Products Covered by This Test 

Procedure Rulemaking 

DOE defines ‘‘microwave oven’’ as a 

class of kitchen ranges and ovens which 

is a household cooking appliance 

consisting of a compartment designed to 

cook or heat food by means of 

microwave energy. 10 CFR 430.2 In the 

March 2011 Interim Final Rule, DOE 

determined that this regulatory 

definition includes all ovens equipped 

with microwave capability, including 

convection microwave ovens (i.e., 

microwave ovens that incorporate 

convection features and possibly other 

means of cooking) because they are 

capable of cooking or heating food by 

means of microwave energy. 76 FR 

12825, 12828–30 (March 9, 2011). Note 

that in the March 2011 Interim Final 

Rule, DOE referred to such a product as 

a ‘‘combination oven’’. There is some 

confusion, however, among interested 

parties as to whether the convection 

features are required to be incorporated 

in the same cavity as the microwave 

capability. Further, in today’s SNOPR, 

DOE proposes that the regulatory 

definition of microwave oven also 

includes all products that combine a 

microwave oven with other appliance 

functionality. To aid in distinguishing 

such other ‘‘combined products’’ from 

the type of microwave oven that 

incorporates convection features and 

any other means of cooking, DOE 

proposes in today’s SNOPR to use the 

term ‘‘convection microwave oven’’ to 

more accurately describe the latter, and 

to provide a definition of convection 

microwave oven in 10 CFR 430.2. In this 

definition, DOE would clarify that the 

microwave capability, convection 

features, and any other cooking means 

are incorporated in a single cavity. 

As established in the March 2011 

Interim Final Rule, the test procedure 

does not currently apply to the type of 

cooking appliance classified by DOE 

regulations as a microwave/ 

conventional range, which has separate 

compartments or components consisting 

of a microwave oven, a conventional 

oven, and a conventional cooking top. 

76 FR 12825, 12830 (March 9, 2011). 

However, in the March 2011 Interim 

Final Rule, DOE’s determination of 

products covered under this test 

procedure rulemaking did not 

specifically consider other combined 

products that could contain a 

microwave oven as one of its functional 

components. 

In response to the March 2011 Interim 

Final Rule, interested parties 

commented that the determination of 

covered products in the March 2011 

Interim Final Rule is overly broad and 

unclear as to whether ranges with 

microwave capability would be 

included as covered products. 

Comments from interested parties 

further urged DOE to exclude a 

combined product consisting of a 

microwave oven, refrigerator/freezer, 

and two charging stations as a covered 

product for the DOE microwave oven 

test procedure. 76 FR 72332, 72336 

(Nov. 23, 2011). 

DOE determined that it would 

consider further the comments 

regarding combined products in today’s 

SNOPR. The following sections present 

DOE’s initial proposals from the 

November 2011 TP SNOPR, discussion 

of comments from interested parties, 

and DOE’s updated proposal for each 

category of product that combines a 

microwave oven with other appliance 

functionality. 

1. Microwave/Conventional Ranges 

In the November 2011 TP SNOPR, 

DOE noted that 10 CFR 430.2 

additionally defines a microwave/ 

conventional range as a class of kitchen 

ranges and ovens (distinct from a 

microwave oven) which is a household 

cooking appliance consisting of a 

microwave oven, a conventional oven, 

and conventional cooking top. Because 

DOE asserted in the March 2011 Interim 

Final Rule that the test procedure 

applies only to microwave ovens and 

not to microwave/conventional ranges, 

DOE reiterated in the November 2011 

TP SNOPR the determination it made in 

the March 2011 Interim Final Rule that 

a free-standing range with microwave 

capability in one compartment and a 

conventional oven in a separate 

compartment would not be a covered 

product under this rulemaking. 

Additionally, DOE proposed in the 

November 2011 TP SNOPR that a range 

incorporating a single compartment 

with microwave capability and other 

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3A notation in the form ‘‘Whirlpool, No. 33 at p. 

1’’ identifies a written comment: (1) Made by 

Whirlpool Corporation; (2) recorded in document 

number 33 that is filed in the docket of the 

microwave oven test procedure rulemaking (Docket 

No. EERE–2008–BT–TP–0011) and available for 

review at www.regulations.gov; and (3) which 

appears on page 1 of document number 33. 

4 In previous stages of this rulemaking, DOE 

referred to microwave ovens which incorporate 

convection features and any other means of cooking 

as a combination microwave oven. As discussed 

earlier in the section, DOE is now referring to such 

products as convection microwave ovens, and is 

using this terminology in today’s SNOPR for clarity. 

cooking or heating means, along with a 

conventional cooking top, would not be 

considered a covered product because 

the cooking top portion would exclude 

the range from the relevant portion of 

the definition of ‘‘microwave oven’’ 

(e.g., a compartment designed to cook or 

heat food by means of microwave 

energy.) 76 FR 72332, 72336 (Nov. 23, 

2011). 

In response to the November 2011 TP 

SNOPR, Whirlpool Corporation 

(Whirlpool) commented that it agreed 

that microwave/conventional ranges 

should not be considered covered 

products, but that this exclusion should 

not be limited to free-standing ranges. 

Whirlpool stated that other installation 

configurations, such as built-in 

products, should also be considered 

covered products. (Whirlpool, No. 33 at 

p. 1) 3

In considering Whirlpool’s comment, 

DOE believes that the definition of 

‘‘microwave/conventional range’’ hinges 

on the appliance functionality provided 

by each of the components (i.e., 

microwave cooking, cooking in a 

conventional oven, and cooking on a 

conventional cooking top), rather than 

the installation configuration. Thus, 

DOE clarifies that an appliance need not 

be free-standing to be covered as a 

microwave/conventional range. 

DOE also notes that the definition of 

‘‘microwave oven’’ includes a 

compartment that may heat food by 

means of electric resistance heating as 

well as by microwave energy, thereby 

providing the cooking function of a 

conventional oven. As a result, DOE 

believes that products covered under 

this rulemaking should include 

products that consist of a microwave 

oven, conventional oven, and 

conventional cooking top, as well as 

those products that consist only of a 

microwave oven and a conventional 

cooking top. DOE, therefore, proposes in 

today’s SNOPR to add a definition of 

‘‘microwave/conventional cooking top’’ 

in 10 CFR 430.2 to state that it is a class 

of kitchen ranges and ovens that is a 

household cooking appliance consisting 

of a microwave oven and a conventional 

cooking top. DOE also proposes to 

clarify in the definition of microwave/ 

conventional range that the microwave 

oven and conventional oven are 

incorporated as separate compartments. 

Because a microwave/conventional 

range or microwave/conventional 

cooking top contains a microwave oven 

as one of its functional components, 

DOE now proposes that the microwave 

oven component of these products 

would meet the statutory requirements 

as a covered product for the purposes of 

measuring standby mode and off mode 

energy use under EPCA. (42 U.S.C. 

6295(gg)(2)(B)(vi)) DOE acknowledges 

that it had proposed in the November 

2011 TP SNOPR that a microwave/ 

conventional range should be excluded 

as a covered product on the basis of a 

regulatory definition separate from that 

of a microwave oven, but has 

reconsidered that position because it 

does not believe that the presence of 

additional appliance functionality 

would eliminate the statutory 

requirement to evaluate standby mode 

and off mode energy use in the 

microwave oven component. 

2. Microwave/Conventional Ovens 

The regulatory definition of 

‘‘conventional oven’’ is ‘‘a class of 

kitchen ranges and ovens which is a 

household cooking appliance consisting 

of one or more compartments intended 

for the cooking or heating of food by 

means of either a gas flame or electric 

resistance heating. It does not include 

portable or countertop ovens which use 

electric resistance heating for the 

cooking or heating of food and are 

designed for an electrical supply of 

approximately 120 volts.’’ 10 CFR 430.2 

Because this definition does not provide 

for the option of cooking or heating food 

by means of microwave energy, DOE 

concluded in the November 2011 TP 

SNOPR that a product comprising a 

single compartment that uses both 

radiant heat and microwave energy for 

cooking would be covered only under 

the definition of ‘‘microwave oven,’’ 

which includes convection microwave 

ovens 4 (including those with radiant 

heating elements) regardless of which is 

considered the primary cooking mode, 

and would not be covered as a 

conventional cooking product. 76 FR 

72332, 72336 (Nov. 23, 2011). 

In the November 2011 TP SNOPR, 

DOE acknowledged that the definition 

of ‘‘microwave oven’’ considers only a 

single compartment, while the 

definition of ‘‘conventional oven’’ 

allows for the possibility of one or more 

compartments. DOE believes that, for 

products that consist of multiple oven 

compartments but no integral cooking 

top portion, the compartment(s) that 

provide for cooking by means of 

microwave energy and any other 

cooking or heating means would be 

classified as microwave ovens, while 

the compartment(s) that cook or heat 

food by means of a gas flame or electric 

resistance heating without the use of 

microwave energy would be classified 

as conventional ovens. Id. at 72336–37. 

DOE did not provide specific 

methodology for such a ‘‘microwave/ 

conventional oven’’ in the November 

2011 TP SNOPR, but noted that its 

regulations contain certain provisions 

allowing a manufacturer to seek a 

waiver from the test procedure 

requirements for covered consumer 

products if at least one of the following 

conditions is met: (1) The petitioner’s 

basic model contains one or more 

design characteristics that prevent 

testing according to the prescribed test 

procedure, or (2) the prescribed test 

procedures may evaluate the basic 

model in a manner so unrepresentative 

of its true energy consumption 

characteristics as to provide materially 

inaccurate comparative data. 10 CFR 

430.27(a)(1). 

In response to the November 2011 TP 

SNOPR, Whirlpool stated that a cooking 

product with two separate 

compartments, one of which has 

microwave capability and the other 

which is a conventional oven, but with 

a single control panel, should be 

classified as either a microwave oven or 

a conventional oven. In Whirlpool’s 

opinion, such a product should not be 

classified as a microwave oven because 

proprietary market research that it 

submitted to DOE demonstrates that the 

product is primarily used for 

conventional cooking. According to 

Whirlpool, the data show that the 

annual microwave oven energy use is 10 

percent of the annual energy used by the 

conventional oven. Therefore, 

Whirlpool commented that the primary 

use under which the product should be 

tested is as a conventional oven. 

Whirlpool further commented that 

products with two compartments that 

can operate independently should have 

each compartment considered 

separately, with each compartment 

classified by its cooking energy source. 

(Whirlpool, No. 33 at p. 1) 

As discussed above, DOE reiterates its 

determination from the November 2011 

TP SNOPR that the compartment(s) of a 

microwave/conventional oven that 

provide for cooking by means of 

microwave energy and any other 

cooking or heating means would be 

classified as microwave ovens, while 

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28810 Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 

the compartment(s) that cook or heat 

food by means of a gas flame or electric 

resistance heating without the use of 

microwave energy would be classified 

as conventional ovens. In considering 

this issue further, DOE believes that a 

cooking product with two separate 

compartments, one of which has 

microwave capability and the other 

which is a conventional oven, should be 

considered a covered product in this 

rulemaking, and for clarity and 

consistency with the existing regulatory 

definition of microwave/conventional 

range, proposes to add a definition in 10 

CFR 430.2 of a ‘‘microwave/ 

conventional oven’’ as a class of kitchen 

ranges and ovens which is a household 

cooking appliance consisting of a 

microwave oven and a conventional 

oven in separate compartments. DOE 

does not agree with Whirlpool’s 

comment that microwave/conventional 

ovens with a single control panel should 

be classified as a conventional oven. 

DOE believes that for both microwave/ 

conventional ovens with a single control 

panel and those with functional 

components that can operate 

independently, the microwave oven 

component would be considered a 

covered product under this rulemaking. 

As discussed in section III.C, DOE is 

proposing specific values by which to 

apportion the standby mode and off 

mode power for these combined 

products, regardless of whether such 

products use a single control panel or 

can be operated independently. 

For the same reasons as discussed 

above for microwave/conventional 

ranges and microwave/conventional 

cooking tops, DOE believes that the 

microwave oven component of a 

microwave/conventional oven would 

meet the statutory requirements as a 

covered product for the purposes of 

measuring standby mode and off mode 

energy use under EPCA. (42 U.S.C. 

6295(gg)(2)(B)(vi)) DOE tentatively 

concludes that the test procedure 

should only measure the standby mode 

and off mode energy use associated with 

the microwave oven portion of 

combined products, and for that reason 

the proposed amendments do not 

require any determination as to which 

appliance function of a combined 

product with a microwave oven 

component represents the primary usage 

of the product. 

3. Other Combined Products 

Consistent with its determination for 

microwave/conventional ranges, 

microwave conventional cooking tops, 

and microwave/conventional ovens, 

DOE further proposes that for all other 

products combining a microwave oven 

with other components providing 

appliance functionality, such as a 

microwave/refrigerator-freezer/charging 

station, the portion of the combined 

product which meets the definition of a 

microwave oven or convection 

microwave oven under 10 CFR 430.2 

would be a covered product under the 

microwave oven test procedure. 

The methodology by which DOE 

proposes to measure the standby mode 

and off mode energy use of all combined 

products is discussed in section III.C of 

today’s SNOPR. 

B. Effective Date for the Test Procedure 

and Date on Which Use of the Test 

Procedure Will Be Required 

The effective date of the standby and 

off mode test procedures for microwave 

ovens would be 30 days after the date 

of publication of the final rule. DOE’s 

amended test procedure regulations 

codified in the CFR would clarify, 

though, that the procedures and 

calculations adopted in the final rule 

need not be performed to determine 

compliance with energy conservation 

standards until compliance with any 

final rule establishing amended energy 

conservation standards for microwave 

ovens in standby mode and off mode is 

required. However, as of 180 days after 

publication of the final rule, any 

representations as to the standby mode 

and off mode energy consumption of the 

products that are the subject of this 

rulemaking will need to be based upon 

results generated under the applicable 

provisions of this test procedure. (42 

U.S.C. 6293(c)(2)) 

C. Specifications for the Test Methods 

and Measurements for Combined 

Products 

As discussed above in section III.A, 

DOE has determined that for products 

combining a microwave oven with other 

appliance functionality, the 

compartment incorporating microwave 

cooking capability would be considered 

to meet the definition of a microwave 

oven at 10 CFR 430.2. As a result, DOE 

is proposing in today’s SNOPR testing 

procedures specifically for such 

combined products. In particular, DOE 

proposes that the standby mode and off 

mode power for combined products be 

measured according to the same 

methodology proposed in the November 

2011 TP SNOPR for microwave ovens; 

i.e., according to the provisions 

incorporated from IEC Standard 62301 

(Second Edition), except in the case in 

which standby mode power 

consumption varies as a function of 

displayed time. In that case, the standby 

mode power would be measured for the 

entire product according to the method 

outlined in the November 2011 TP 

SNOPR. To determine the standby mode 

and off mode power associated with the 

microwave oven portion only, 

apportionment factors representing the 

fractional contribution of the microwave 

oven portion to the total standby mode 

and off mode power consumption 

would be multiplied by the overall 

standby mode and off mode power 

measurements. 

DOE further proposes specific standby 

mode apportionment factors for 

products that incorporate microwave 

ovens and conventional cooking 

products, based on the following testing 

and analysis. DOE measured the 

standby power of a representative 

sample of four conventional electric 

cooking tops, nine conventional built-in 

electric ovens, three conventional builtin gas ovens, eight over-the-range 

microwave-only ovens, and ten overthe-range convection microwave ovens, 

using today’s proposed methodology. 

DOE selected over-the-range units as 

most representative of microwave ovens 

that would be incorporated in combined 

products. For each product type, DOE 

determined the average standby power, 

which includes the power consumption 

of the display as well as other 

components. DOE then determined the 

average standby power associated with 

the display only, using teardowns and 

component testing of a subsample of 

five of the convection microwave ovens. 

DOE believes that the complexity of the 

convection microwave oven displays 

would more closely approximate the 

displays of microwave/conventional 

ranges, microwave/conventional ovens, 

and other combined products than 

microwave-only units due to the 

multiple cooking modes of convection 

microwave units. The subsample 

included both vacuum fluorescent 

displays (VFDs) and touchscreen liquid 

crystal displays (LCDs), and the standby 

power associated with the displays were 

observed to range from 0.75 to 1.96 

watts (W), with an average of 1.41 W, as 

shown in Table 1. 

TABLE 1—AVERAGE DISPLAY STANDBY

POWER FOR BUILT-IN AND OVERTHE-RANGE CONVECTION MICROWAVE OVENS

Configuration Display type 

Display 

standby 

power 

(W) 

Over-the-Range LCD with Touch 1.88 

Over-the-Range LCD with Touch 1.96 

Over-the-Range VFD .................. 0.75 

Over-the-Range VFD .................. 1.38 

Over-the-Range VFD .................. 1.10 

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Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 28811 

TABLE 1—AVERAGE DISPLAY STANDBY

POWER FOR BUILT-IN AND OVERTHE-RANGE CONVECTION MICROWAVE OVENS—Continued 

Configuration Display type 

Display 

standby 

power 

(W) 

Average ..... .......................... 1.41 

For the full sample of conventional 

ovens and microwave ovens, the average 

display standby power was subtracted 

from the average total standby power to 

obtain the standby power associated 

with components other than the display 

that would be attributed to the 

functionality of that particular product. 

No displays were incorporated in the 

cooking tops tested, and thus no display 

standby power was subtracted from the 

average for those products. Table 2 

summarizes the average overall standby 

power measured for each product type, 

and, for conventional ovens and 

microwave ovens, the portion of that 

average that corresponds to components 

other than the display. 

TABLE 2—AVERAGE STANDBY POWER FOR CONVENTIONAL COOKING TOP, CONVENTIONAL OVENS, AND MICROWAVE

OVENS WITH AND WITHOUT A DISPLAY

Conventional cooking top Conventional oven Microwave oven 

Test unit Standby 

power (W) Test unit Standby power (W) Test unit Standby power (W) 

Unit 1 ......................................... 2.99 Unit 1 ........................................ 1.28 Unit 1 ........................................ 4.19 

Unit 2 ......................................... 0.60 Unit 2 ........................................ 7.84 Unit 2 ........................................ 4.37 

Unit 3 ......................................... 2.36 Unit 3 ........................................ 1.35 Unit 3 ........................................ 4.50 

Unit 4 ......................................... 1.53 Unit 4 ........................................ 1.47 Unit 4 ........................................ 4.59 

Unit 5 ........................................ 1.14 Unit 5 ........................................ 4.14 

Unit 6 ........................................ 1.28 Unit 6 ........................................ 6.65 

Unit 7 ........................................ 3.27 Unit 7 ........................................ 3.37 

Unit 8 ........................................ 3.37 Unit 8 ........................................ 1.77 

Unit 9 ........................................ 10.66 Unit 9 ........................................ 3.67 

Unit 10 ...................................... 2.04 Unit 10 ...................................... 3.78 

Unit 11 ...................................... 8.20 Unit 11 ...................................... 4.45 

Unit 12 ...................................... 3.73 Unit 12 ...................................... 3.15 

Unit 13 ...................................... 0.89 

Unit 14 ...................................... 5.14 

Unit 15 ...................................... 4.13 

Unit 16 ...................................... 3.40 

Unit 17 ...................................... 4.48 

Unit 18 ...................................... 2.84 

Average .................................. 1.87 Average ................................. 3.80 Average ................................. 3.86 

Average Without Display ....... 1.87 Average Without Display ...... 2.39 Average Without Display ...... 2.45 

To obtain specific standby power 

apportionment factors for microwave/ 

conventional ranges, DOE estimated 

Overall Standby Power = (Microwave 

Oven Standby Power without Display) + 

(Conventional Cooking Top Standby 

Power without Display) + (Conventional 

Oven Standby Power without Display) + 

(Display Standby Power). Because the 

display typically includes features such 

as a clock and timer, which can provide 

utility for each functional component of 

the microwave/conventional range, the 

display standby power is assumed to be 

apportioned equally among each of the 

functional components. The standby 

apportionment factor (FSB) for each 

component would thus be: 

FSB = [(Standby Power of that 

Component without Display) + (1/ 

Number of Components) × (Display 

Standby Power)]/(Overall Standby 

Power), where the number of 

components would be two. DOE used a 

similar approach for microwave/ 

conventional cooking tops, where the 

overall standby power was obtained 

from the sum of the microwave oven 

standby power without display, 

conventional cooking top standby 

power without display, and display 

standby power. In that case, the standby 

power apportionment factor would also 

be calculated using two as the number 

of components. Similarly, for 

microwave/conventional ovens, the 

overall standby power was obtained 

from the sum of the conventional oven 

standby power without display, 

microwave oven standby power without 

display, and display standby power, and 

the standby power apportionment factor 

would be calculated using two as the 

number of components. Table 3 

summarizes these calculations, and 

presents the resulting standby power 

apportionment factors for each of the 

functional components. DOE proposes 

to use the microwave oven standby 

power apportionment factors in its test 

procedure for these products. 

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28812 Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 

TABLE 3—STANDBY POWER APPORTIONMENT FACTORS FOR MICROWAVE/CONVENTIONAL RANGES AND MICROWAVE/ 

CONVENTIONAL OVENS

Microwave/ 

conventional 

range 

Microwave/ 

conventional 

cooking top 

Microwave/ 

conventional oven 

Standby Power (W): 

Cooking Top Portion ........................................................................................... 1.87 1.87 ..............................

Oven Portion ....................................................................................................... 2.39 .............................. 2.39 

Microwave Oven Portion .................................................................................... 2.45 2.45 2.45 

Display ................................................................................................................ 1.41 1.41 1.41 

Total with Display ............................................................................................... 8.12 5.73 6.25

Standby Apportionment Factor (%): 

Cooking Top Portion ........................................................................................... 29% 45% ..............................

Oven Portion ....................................................................................................... 35% .............................. 50% 

Microwave Oven Portion .................................................................................... 36% 55% 50% 

DOE had insufficient data on cooking 

tops, ovens, and microwave ovens 

capable of operating in off mode to 

conduct a similar analysis for off mode 

apportionment factors, due to the 

limited number of products capable of 

operation in such a mode. DOE 

estimates, however, that components in 

microwave/conventional ranges, 

microwave/conventional cooking tops, 

and microwave/conventional ovens that 

would be energized in off mode would 

be equally applicable to each of the 

functional components. Thus, DOE 

estimates that any off mode power 

consumption should be evenly 

apportioned among the components, 

meaning that the apportionment factors 

would be a function solely of the 

number of components in the product, 

i.e., FO = (1/Number of Components). 

Thus, FO for the microwave portion 

would be 50 percent for microwave/ 

conventional ovens and microwave/ 

conventional cooking tops, and 33 

percent for microwave/conventional 

ranges. 

DOE seeks information and comments 

on these proposed standby mode and off 

mode apportionments. DOE also 

proposes that manufacturers could 

provide information to DOE to 

determine alternative apportionment 

values for specific models of 

microwave/conventional ranges, 

microwave/conventional cooking tops, 

and microwave/conventional ovens. In 

addition, manufacturers of other 

combined products that incorporate a 

microwave oven, including a 

combination microwave/refrigeratorfreezer/charging station would be 

required to provide such information on 

appropriate apportionment values for 

determining the standby mode and off 

mode power of the microwave oven 

portion. 

D. Compliance With Other EPCA 

Requirements 

EPCA requires that test procedures 

shall be reasonably designed to produce 

test results which measure energy 

efficiency, energy use, or estimated 

annual operating cost of a covered 

product during a representative average 

use cycle or period of use. Test 

procedures must also not be unduly 

burdensome to conduct. (42 U.S.C. 

6293(b)(3)) 

In the March 2011 Interim Final Rule, 

DOE concluded that the amended test 

procedure would produce test results 

that measure the power consumption of 

covered products during a 

representative average use cycle as well 

as annual energy consumption, and that 

the test procedure would not be unduly 

burdensome to conduct. 76 FR 12825, 

12840 (March 9, 2011). 

The amendments to the DOE test 

procedures proposed in the November 

2011 TP SNOPR would be based on an 

updated version of IEC Standard 62301, 

IEC Standard 62301 (Second Edition). 

For the reasons discussed in the 

November 2011 TP SNOPR, DOE 

concluded that the proposed amended 

test procedures would produce test 

results that measure the standby mode 

and off mode power consumption 

during representative use, and that the 

test procedures would not be unduly 

burdensome to conduct. 

Whirlpool stated that it considers the 

test burden acceptable. However, 

Whirlpool added that this is contingent 

upon its comments on the following 

topics: (1) The exclusion of all products 

with multiple cavities, with one cavity 

having microwave capability and the 

other having a conventional oven, as 

covered products, (2) the proposed use 

of IEC Standard 62301 (Second Edition), 

(3) the measurement of total harmonic 

distortion before and/or after the actual 

test, and (4) the use of a manufacturerdetermined stabilization period at the 

start of standby power testing for 

microwave ovens with clocks. 

(Whirlpool, No. 33 at p. 2) 

For the reasons discussed in section 

III.A, DOE is proposing in today’s notice 

to cover all products with a microwave 

oven component, including products 

that combine a microwave oven with 

other appliance functionality, for the 

purposes of the microwave oven test 

procedure. Because the proposed test 

procedure would require the same 

measurement methodology for all 

covered products, with the additional 

application of an apportionment factor 

for combined products, DOE concludes 

that the proposed amended test 

procedures would produce test results 

that measure the standby mode and off 

mode power consumption during 

representative use, and that the test 

procedures would not be unduly 

burdensome to conduct. In a subsequent 

final rule to follow, DOE will address 

Whirlpool’s comments on the test 

burden associated with the proposed 

use of IEC Standard 62301 (Second 

Edition), the power measurement 

requirements, and the use of a 

manufacturer-determined stabilization 

period at the start of standby power 

testing for microwave ovens with 

clocks. 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

has determined that test procedure 

rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

section 3(f) of Executive Order 12866, 

Regulatory Planning and Review, 58 FR 

51735 (Oct. 4, 1993). Accordingly, this 

action was not subject to review under 

the Executive Order by the Office of 

Information and Regulatory Affairs 

(OIRA) in the Office of Management and 

Budget (OMB). 

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Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 28813 

5Annual revenues estimate based on financial 

data obtained from Hoover’s Inc., available online 

at www.hoovers.com. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis (IFRA) for any rule that by law 

must be proposed for public comment, 

unless the agency certifies that the rule, 

if promulgated, will not have a 

significant economic impact on a 

substantial number of small entities. As 

required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. 68 FR 7990. DOE’s 

procedures and policies may be viewed 

on the Office of the General Counsel’s 

Web site (www.gc.doe.gov). DOE 

reviewed today’s SNOPR under the 

provisions of the Regulatory Flexibility 

Act and the procedures and policies 

published on February 19, 2003. 

In conducting this review, DOE first 

determined the potential number of 

affected small entities. The Small 

Business Administration (SBA) 

considers an entity to be a small 

business if, together with its affiliates, it 

employs fewer than the threshold 

number of workers specified in 13 CFR 

part 121 according to the North 

American Industry Classification 

System (NAICS) codes. The SBA’s Table 

of Size Standards is available at: http:// 

www.sba.gov/idc/groups/public/

documents/sba_homepage/serv_sstd_

tablepdf.pdf. The threshold number for 

NAICS classification 335221, Household 

Cooking Appliance Manufacturers, 

which includes microwave oven 

manufacturers, is 750 employees. DOE 

surveyed the AHAM member directory 

to identify manufacturers of microwave 

ovens. In addition, as part of the 

appliance standards rulemaking, DOE 

asked interested parties and AHAM 

representatives within the microwave 

oven industry if they were aware of any 

small business manufacturers. DOE 

consulted publicly available data, 

purchased company reports from 

sources such as Dun & Bradstreet, and 

contacted manufacturers, where needed, 

to determine if they meet the SBA’s 

definition of a small business 

manufacturing facility and have their 

manufacturing facilities located within 

the United States. Based on this 

analysis, DOE estimates that there is one 

small business which manufactures a 

product which combines a microwave 

oven with other appliance functionality. 

The proposed rule would amend 

DOE’s test procedure for microwave 

ovens by incorporating testing 

provisions to address standby mode and 

off mode energy use in these products, 

including the microwave oven portion 

of combined products. The test 

procedure amendments involve 

measuring power input when the 

product is in standby mode or off mode, 

and in the case of combined products, 

apportioning the measured power to the 

microwave oven portion. Because 

manufacturers are not currently 

required to conduct energy testing for 

microwave ovens, there could be 

additional facilities and equipment 

costs required by the proposed rule. 

DOE notes that the small business 

submitted data to DOE on standby 

power consumption of its products, 

indicating that it may already have 

facilities and equipment that meet the 

proposed requirements. In addition, an 

Internet search of equipment that 

specifically meets the proposed 

requirements reveals a cost of 

approximately $2,000. This cost is small 

compared to the overall financial 

investment needed to undertake the 

business enterprise of testing and 

developing consumer products which 

involves facilities, qualified staff, and 

specialized equipment. Based on its 

review of industry data,5 DOE estimates 

that the small business has annual 

revenues of approximately $22 million. 

For these reasons, DOE continues to 

certify that the proposed rule would not 

have a significant economic impact on 

a substantial number of small entities. 

Accordingly, DOE has not prepared a 

regulatory flexibility analysis for this 

rulemaking. DOE seeks comment on the 

updated certification set forth above, 

and will transmit the certification and 

supporting statement of factual basis to 

the Chief Counsel for Advocacy of the 

SBA for review under 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of microwave ovens 

must certify to DOE that their products 

comply with any applicable energy 

conservation standards. In certifying 

compliance, manufacturers must test 

their products according to the DOE test 

procedures for microwave ovens, 

including any amendments adopted for 

those test procedures. DOE has 

established regulations for the 

certification and recordkeeping 

requirements for all covered consumer 

products and commercial equipment, 

including microwave ovens. (76 FR 

12422 (March 7, 2011). The collectionof-information requirement for the 

certification and recordkeeping is 

subject to review and approval by OMB 

under the Paperwork Reduction Act 

(PRA). This requirement has been 

approved by OMB under OMB control 

number 1910–1400. Public reporting 

burden for the certification is estimated 

to average 20 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

Notwithstanding any other provision 

of the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

In this proposed rule, DOE is adopting 

test procedure amendments that it 

expects will be used to develop and 

implement future energy conservation 

standards for microwave ovens. DOE 

has determined that this rule falls into 

a class of actions that are categorically 

excluded from review under the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4321 et seq.) and DOE’s 

implementing regulations at 10 CFR part 

1021. Specifically, this proposed rule 

would amend the existing test 

procedures without affecting the 

amount, quality or distribution of 

energy usage, and, therefore, would not 

result in any environmental impacts. 

Thus, this rulemaking is covered by 

Categorical Exclusion A5 under 10 CFR 

part 1021, subpart D, which applies to 

any rulemaking that interprets or 

amends an existing rule without 

changing the environmental effect of 

that rule. Accordingly, neither an 

environmental assessment nor an 

environmental impact statement is 

required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

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28814 Federal Register / Vol. 77, No. 95 / Wednesday, May 16, 2012 / Proposed Rules 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have Federalism implications. On 

March 14, 2000, DOE published a 

statement of policy describing the 

intergovernmental consultation process 

it will follow in the development of 

such regulations. 65 FR 13735. DOE has 

examined this proposed rule and has 

determined that it would not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of 

today’s proposed rule. States can 

petition DOE for exemption from such 

preemption to the extent, and based on 

criteria, set forth in EPCA. (42 U.S.C. 

6297(d)) No further action is required by 

Executive Order 13132. 

F. Review Under Executive Order 12988 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, the proposed 

rule meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate,’’ and 

requires an agency plan for giving notice 

and opportunity for timely input to 

potentially affected small governments 

before establishing any requirements 

that might significantly or uniquely 

affect small governments. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820; also available at 

www.gc.doe.gov. DOE examined today’s 

proposed rule according to UMRA and 

its statement of policy and determined 

that the rule contains neither an 

intergovernmental mandate, nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights’’ 53 FR 8859 

(March 18, 1988), that this regulation 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). DOE has reviewed 

today’s proposed rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB, a 

Statement of Energy Effects for any 

proposed significant energy action. A 

‘‘significant energy action’’ is defined as 

any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

Today’s regulatory action to amend the 

test procedure for measuring the energy 

efficiency of microwave ovens is not a 

significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 

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L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the DOE 

Organization Act (Pub. L. 95–91), DOE 

must comply with section 32 of the 

Federal Energy Administration Act of 

1974 (Pub. L. 93–275), as amended by 

the Federal Energy Administration 

Authorization Act of 1977 (FEAA; Pub. 

L. 95–70) (15 U.S.C. 788). Section 32 

essentially provides that, where a rule 

authorizes or requires use of commercial 

standards, the rulemaking must inform 

the public of the use and background of 

such standards. In addition, section 

32(c) requires DOE to consult with the 

Attorney General and the Chairman of 

the Federal Trade Commission (FTC) 

concerning the impact of the 

commercial or industry standards on 

competition. 

The proposed rule incorporates 

testing methods contained in sections 4 

and 5 (paragraphs 4.2, 4.4, 4.5, 5.1 (Note 

1), 5.2, and 5.3) of the commercial 

standard, IEC Standard 62301 (First 

Edition). DOE has evaluated this 

standard and is unable to conclude 

whether it fully complies with the 

requirements of section 32(b) of the 

FEAA, i.e., whether it was developed in 

a manner that fully provides for public 

participation, comment, and review. 

DOE will consult with the Attorney 

General and the Chairman of the FTC 

about the impact on competition of 

using the methods contained in this 

standard and will address any concerns 

when it publishes a response to the 

public comments on this SNOPR. 

V. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

information regarding this proposed 

rule before or after the public meeting, 

but no later than the date provided in 

the DATES section at the beginning of 

this proposed rule. Interested parties 

may submit comments using any of the 

methods described in the ADDRESSES

section at the beginning of this notice. 

Submitting comments via 

regulations.gov. The regulations.gov 

Web page will require you to provide 

your name and contact information. 

Your contact information will not be 

publicly viewable except for your first 

and last names, organization name (if 

any), and submitter representative name 

(if any). If your comment is not 

processed properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Do not submit to regulations.gov 

information for which disclosure is 

restricted by statute, such as trade 

secrets and commercial or financial 

information (hereinafter referred to as 

Confidential Business Information 

(CBI)). Comments submitted through 

regulations.gov cannot be claimed as 

CBI. Comments received through the 

Web site will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section below. 

DOE processes submissions made 

through regulations.gov before posting. 

Normally, comments will be posted 

within a few days of being submitted. 

However, if large volumes of comments 

are being processed simultaneously, 

your comment may not be viewable for 

up to several weeks. Please keep the 

comment tracking number that 

regulations.gov provides after you have 

successfully uploaded your comment. 

Submitting comments via email, hand 

delivery, or mail. Comments and 

documents submitted via email, hand 

delivery, or mail also will be posted to 

regulations.gov. If you do not want your 

personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. If you 

submit via mail or hand delivery, please 

provide all items on a CD, if feasible. It 

is not necessary to submit printed 

copies. No facsimiles (faxes) will be 

accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide documents that are not 

secured, written in English and are free 

of any defects or viruses. Documents 

should not contain special characters or 

any form of encryption and, if possible, 

they should carry the electronic 

signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email, postal mail, or 

hand delivery two well-marked copies: 

One copy of the document marked 

confidential including all the 

information believed to be confidential, 

and one copy of the document marked 

non-confidential with the information 

believed to be confidential deleted. 

Submit these documents via email or on 

a CD, if feasible. DOE will make its own 

determination about the confidential 

status of the information and treat it 

according to its determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include: (1) 

A description of the items; (2) whether 

and why such items are customarily 

treated as confidential within the 

industry; (3) whether the information is 

generally known by or available from 

other sources; (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality; (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure; (6) when 

such information might lose its 

confidential character due to the 

passage of time; and (7) why disclosure 

of the information would be contrary to 

the public interest. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

B. Issues on Which DOE Seeks Comment 

Although DOE welcomes comments 

on any aspect of this proposal, DOE is 

particularly interested in receiving 

comments and views of interested 

parties on (1) its tentative determination 

that all products which combine a 

microwave oven with other appliance 

functionality are covered products for 

the purposes of the microwave oven test 

procedure; (2) the proposed approach to 

apportion the standby power of a 

combined product among the 

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microwave oven and other functional 

portions; (3) the proposed 

apportionment values for microwave/ 

conventional ovens, microwave 

conventional cooking tops, and 

microwave/conventional ranges; and (4) 

DOE’s proposal to allow manufacturers 

of microwave/conventional ovens, 

microwave/conventional cooking tops, 

and microwave/conventional ranges to 

submit alternate values with supporting 

data, and to require such an approach 

for other combined products. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects 

10 CFR Part 429 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Reporting and 

recordkeeping requirements. 

10 CFR Part 430 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Household appliances, Imports, 

Incorporation by reference, 

Intergovernmental relations, Small 

businesses. 

Dated: Issued in Washington, DC, on May 

9, 2012. 

Kathleen B. Hogan, 

Deputy Assistant Secretary, Energy Efficiency 

and Renewable Energy. 

For the reasons stated in the 

preamble, DOE is proposing to amend 

parts 429 and 430 of title 10 of the Code 

of Federal Regulations, as set forth 

below: 

PART 429—CERTIFICATION, 

COMPLIANCE, AND ENFORCEMENT 

FOR CONSUMER PRODUCTS AND 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 429 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. Section 429.23 is amended by 

revising paragraph (a)(2)(i) introductory 

text to read as follows: 

§ 429.23 Conventional cooking tops, 

conventional ovens, microwave ovens. 

* * * * * 

(a) * * * 

(2) * * * 

(i) Any represented value of estimated 

annual operating cost, energy 

consumption, standby mode power 

consumption, off mode power 

consumption, or other measure of 

energy consumption of a basic model for 

which consumers would favor lower 

values shall be greater than or equal to 

the higher of: 

* * * * * 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

3. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

4. Section 430.2 is amended by: 

a. Revising the definition of 

‘‘Microwave/conventional range’’; and 

b. Adding the definitions for 

‘‘Convection microwave oven’’, 

‘‘Microwave/conventional cooking top’’, 

and ‘‘Microwave/conventional oven’’ in 

alphabetical order. 

The revisions and additions read as 

follows: 

§ 430.2 Definitions. 

* * * * * 

Convection microwave oven means a 

microwave oven that incorporates 

convection features and any other 

means of cooking in a single 

compartment. 

* * * * * 

Microwave/conventional cooking top 

means a class of kitchen ranges and 

ovens that is a household cooking 

appliance consisting of a microwave 

oven and a conventional cooking top. 

Microwave/conventional oven means 

a class of kitchen ranges and ovens that 

is a household cooking appliance 

consisting of a microwave oven and a 

conventional oven in separate 

compartments. 

Microwave/conventional range means 

a class of kitchen ranges and ovens that 

is a household cooking appliance 

consisting of a microwave oven and a 

conventional oven in separate 

compartments and a conventional 

cooking top. 

* * * * * 

5. Section 430.3 is amended by 

revising paragraph (m)(2) to read as 

follows: 

§ 430.3 Materials incorporated by 

reference. 

* * * * * 

(m) * * * 

(2) IEC Standard 62301 (‘‘IEC 62301’’), 

Household electrical appliances– 

Measurement of standby power (Edition 

2.0, 2011–01), IBR approved for 

Appendix J2 and Appendix I to Subpart 

B. 

* * * * * 

6. Appendix I to Subpart B of Part 430 

is amended: 

a. By revising the note after the 

heading; 

b. In section 1. Definitions: 

1. By revising section 1.6; 

2. By redesignating sections 1.7 

through 1.14 as sections 1.8 through 

1.15; 

3. By revising newly designated 

sections 1.12 and 1.15; and 

3. By adding section 1.7; 

c. In section 2. Test Conditions, by 

revising sections 2.1, 2.1.3, 2.2.1.1, 

2.2.1.2, 2.5.1, 2.5.2, 2.6, and 2.9.1.3 and 

adding sections 2.1.4, 2.1.4.1, and 

2.1.4.2; 

d. In section 3. Test Methods and 

Measurements, by revising sections 

3.1.1, 3.1.1.1, 3.1.2, 3.1.3, 3.1.3.1, 3.2.3; 

and 3.3.13, and adding sections 3.1.3.2, 

3.2.4, and 3.3.14; and 

e. In section 4. Calculation of Derived 

Results From Test Measurements, by 

revising section 4.3 and adding sections 

4.3.1, 4.3.2, and 4.3.3. 

The revisions and additions read as 

follows: 

Appendix I to Subpart B of Part 430— 

Uniform Test Method for Measuring the 

Energy Consumption of Conventional 

Ranges, Conventional Cooking Tops, 

Conventional Ovens, and Microwave 

Ovens 

Note: Any representation related to 

standby mode and off mode energy 

consumption of these products made after 

[date 180 days after date of publication of the 

test procedure final rule in the Federal 

Register] must be based upon results 

generated under this test procedure, 

consistent with the requirements of 42 U.S.C. 

6293(c)(2). After July 1, 2010, however, when 

DOE adopts an energy conservation standard 

that incorporates standby mode and off mode 

energy consumption, and upon the 

compliance date for such standards, 

compliance with the applicable provisions of 

this test procedure will also be required. 

Future revisions may add relevant provisions 

for measuring active mode in microwave 

ovens. 

1. Definitions 

* * * * * 

1.6 IEC 62301 First Edition refers to the 

test standard published by the International 

Electrotechnical Commission, titled 

‘‘Household electrical appliances— 

Measurement of standby power,’’ Publication 

62301 (first edition June 2005) (incorporated 

by reference, see § 430.3). 

1.7 IEC 62301 Second Edition refers to 

the test standard published by the 

International Electrotechnical Commission, 

titled ‘‘Household electrical appliances— 

Measurement of standby power,’’ Publication 

62301 Edition 2.0 2011–01 (incorporated by 

reference, see § 430.3). 

* * * * * 

1.12 Standard cubic foot (or liter (L)) of 

gas means that quantity of gas that occupies 

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1 cubic foot (or alternatively expressed in L) 

when saturated with water vapor at a 

temperature of 60 °F (15.6 °C) and a pressure 

of 30 inches of mercury (101.6 kPa) (density 

of mercury equals 13.595 grams per cubic 

centimeter). 

* * * * * 

1.15 Symbol usage. The following 

identity relationships are provided to help 

clarify the symbology used throughout this 

procedure. 

A—Number of Hours in a Year 

B—Number of Hours Pilot Light Contributes 

to Cooking 

C—Specific Heat 

E—Energy Consumed 

Eff—Cooking Efficiency 

F—Power Apportionment Factor 

H—Heating Value of Gas 

K—Conversion for Watt-hours to Kilowatthours 

Ke—3.412 Btu/Wh, Conversion for Watthours to Btu’s 

M—Mass 

n—Number of Units 

O—Annual Useful Cooking Energy Output 

P—Power 

Q—Gas Flow Rate 

R—Energy Factor, Ratio of Useful Cooking 

Energy Output to Total Energy Input 

S—Number of Self-Cleaning Operations per 

Year 

T—Temperature 

t—Time 

V—Volume of Gas Consumed 

W—Weight of Test Block 

2. Test Conditions 

2.1 Installation. A free-standing kitchen 

range shall be installed with the back directly 

against, or as near as possible to, a vertical 

wall which extends at least 1 foot above and 

on either side of the appliance. There shall 

be no side walls. A drop-in, built-in or wallmounted appliance shall be installed in an 

enclosure in accordance with the 

manufacturer’s instructions. These 

appliances are to be completely assembled 

with all handles, knobs, guards and the like 

mounted in place. Any electric resistance 

heaters, gas burners, baking racks, and baffles 

shall be in place in accordance with the 

manufacturer’s instructions; however, broiler 

pans are to be removed from the oven’s 

baking compartment. For conventional ovens 

and conventional cooking tops, and for active 

mode testing of the conventional oven or 

conventional cooking top portion of a 

microwave/conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range, disconnect any electrical 

clock which uses energy continuously, 

except for those that are an integral part of 

the timing or temperature controlling circuit. 

Do not disconnect or modify the circuit to 

any other electrical devices or features. 

* * * * * 

2.1.3 Microwave ovens. Install the 

microwave oven in accordance with the 

manufacturer’s instructions and connect to 

an electrical supply circuit with voltage as 

specified in section 2.2.1 of this appendix. 

The microwave oven shall also be installed 

in accordance with section 5, paragraph 5.2 

of IEC 62301 (Second Edition) (incorporated 

by reference; see § 430.3), disregarding the 

provisions regarding batteries and the 

determination, classification, and testing of 

relevant modes. A watt meter shall be 

installed in the circuit and shall be as 

described in section 2.9.1.3 of this appendix. 

2.1.4 Microwave/conventional ovens, 

microwave conventional cooking tops, and 

microwave/conventional ranges. 

2.1.4.1 Active mode. For testing other 

than for standby mode and off mode power, 

these products shall be connected to an 

electrical supply circuit with voltage as 

specified in section 2.2.1 of this appendix 

with a watt-hour meter installed in the 

circuit. The watt-hour meter shall be as 

described in section 2.9.1.1 of this appendix. 

2.1.4.2 Standby mode and off mode. For 

testing standby mode and off mode power, 

install the product in accordance with the 

manufacturer’s instructions and connect to 

an electrical supply circuit with voltage as 

specified in section 2.2.1 of this appendix. 

The product shall also be installed in 

accordance with section 5, paragraph 5.2 of 

IEC 62301 (Second Edition) (incorporated by 

reference; see § 430.3), disregarding the 

provisions regarding batteries and the 

determination, classification, and testing of 

relevant modes. A watt meter shall be 

installed in the circuit and shall be as 

described in section 2.9.1.3 of this appendix. 

* * * * * 

2.2.1.1 Voltage. Maintain the electrical 

supply to the conventional range, 

conventional cooking top, and conventional 

oven being tested at 240/120 volts ±2 percent 

except that basic models rated only at 208/ 

120 volts shall be tested at that rating ±2 

percent. For microwave oven, microwave/ 

conventional oven, microwave/conventional 

cooking top, and microwave/conventional 

range testing, maintain the electrical supply 

to the unit at 240/120 volts ±1 percent. 

Maintain the electrical supply frequency for 

all products at 60 hertz ±1 percent. 

2.2.1.2 Supply voltage waveform. For the 

standby mode and off mode testing, maintain 

the electrical supply voltage waveform as 

indicated in section 4, paragraph 4.3.2 of IEC 

62301 (Second Edition) (incorporated by 

reference; see § 430.3). If the power 

measuring instrument used for testing is 

unable to measure and record the total 

harmonic content during the test 

measurement period, it is acceptable to 

measure and record the total harmonic 

content immediately before and after the test 

measurement period. 

* * * * * 

2.5.1 Active mode ambient room air 

temperature. During the active mode test, 

maintain an ambient room air temperature, 

TR, of 77° ± 9 °F (25° ± 5 °C) for conventional 

ovens, conventional cooking tops, 

microwave/conventional ovens, microwave/ 

conventional cooking tops, and microwave/ 

conventional ranges, as measured at least 5 

feet (1.5 m) and not more than 8 feet (2.4 m) 

from the nearest surface of the unit under test 

and approximately 3 feet (0.9 m) above the 

floor. The temperature shall be measured 

with a thermometer or temperature 

indicating system with an accuracy as 

specified in section 2.9.3.1 of this appendix. 

2.5.2 Standby mode and off mode 

ambient temperature. For standby mode and 

off mode testing, maintain room ambient air 

temperature conditions as specified in 

section 4, paragraph 4.2 of IEC 62301 

(Second Edition) (incorporated by reference; 

see § 430.3). 

2.6 Normal nonoperating temperature. 

All areas of the appliance to be tested shall 

attain the normal nonoperating temperature, 

as defined in section 1.8 of this appendix, 

before any testing begins. The equipment for 

measuring the applicable normal 

nonoperating temperature shall be as 

described in sections 2.9.3.1, 2.9.3.2, 2.9.3.3, 

and 2.9.3.4 of this appendix, as applicable. 

* * * * * 

2.9.1.3 Standby mode and off mode watt 

meter. The watt meter used to measure 

standby mode and off mode shall meet the 

requirements specified in section 4, 

paragraph 4.4 of IEC 62301 (Second Edition) 

(incorporated by reference; see § 430.3). If the 

power measuring instrument used for testing 

is unable to measure and record the crest 

factor, power factor, or maximum current 

ratio during the test measurement period, it 

is acceptable to measure the crest factor, 

power factor, and maximum current ratio 

immediately before and after the test 

measurement period. 

* * * * * 

3. Test Methods and Measurements 

* * * * * 

3.1.1 Conventional oven. Perform a test 

by establishing the testing conditions set 

forth in section 2, ‘‘TEST CONDITIONS,’’ of 

this appendix, and adjust any pilot lights of 

a conventional gas oven in accordance with 

the manufacturer’s instructions and turn off 

the gas flow to the conventional cooking top, 

if so equipped. Before beginning the test, the 

conventional oven shall be at its normal 

nonoperating temperature as defined in 

section 1.8 and described in section 2.6 of 

this appendix. Set the conventional oven test 

block W1 approximately in the center of the 

usable baking space. If there is a selector 

switch for selecting the mode of operation of 

the oven, set it for normal baking. If an oven 

permits baking by either forced convection 

by using a fan, or without forced convection, 

the oven is to be tested in each of those two 

modes. The oven shall remain on for at least 

one complete thermostat ‘‘cut-off/cut-on’’ of 

the electrical resistance heaters or gas 

burners after the test block temperature has 

increased 234 °F (130 °C) above its initial 

temperature. 

3.1.1.1 Self-cleaning operation of a 

conventional oven. Establish the test 

conditions set forth in section 2, ‘‘TEST 

CONDITIONS,’’ of this appendix. Adjust any 

pilot lights of a conventional gas oven in 

accordance with the manufacturer’s 

instructions and turn off the gas flow to the 

conventional cooking top. The temperature of 

the conventional oven shall be its normal 

nonoperating temperature as defined in 

section 1.8 and described in section 2.6 of 

this appendix. Then set the conventional 

oven’s self-cleaning process in accordance 

with the manufacturer’s instructions. If the 

self-cleaning process is adjustable, use the 

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average time recommended by the 

manufacturer for a moderately soiled oven. 

* * * * * 

3.1.2 Conventional cooking top. Establish 

the test conditions set forth in section 2, 

‘‘TEST CONDITIONS,’’ of this appendix. 

Adjust any pilot lights of a conventional gas 

cooking top in accordance with the 

manufacturer’s instructions and turn off the 

gas flow to the conventional oven(s), if so 

equipped. The temperature of the 

conventional cooking top shall be its normal 

nonoperating temperature as defined in 

section 1.8 and described in section 2.6 of 

this appendix. Set the test block in the center 

of the surface unit under test. The small test 

block, W2, shall be used on electric surface 

units of 7 inches (178 mm) or less in 

diameter. The large test block, W3, shall be 

used on electric surface units over 7 inches 

(177.8 mm) in diameter and on all gas surface 

units. Turn on the surface unit under test and 

set its energy input rate to the maximum 

setting. When the test block reaches 144 °F 

(80 °C) above its initial test block 

temperature, immediately reduce the energy 

input rate to 25 ± 5 percent of the maximum 

energy input rate. After 15 ± 0.1 minutes at 

the reduced energy setting, turn off the 

surface unit under test. 

* * * * * 

3.1.3 Microwave oven, microwave/ 

conventional oven, microwave oven/ 

conventional cooking top, and microwave/ 

conventional range. 

3.1.3.1 Microwave oven test standby 

mode and off mode power. Establish the 

testing conditions set forth in section 2, 

‘‘TEST CONDITIONS,’’ of this appendix. For 

microwave ovens that drop from a higher 

power state to a lower power state as 

discussed in section 5, paragraph 5.1, Note 1 

of IEC 62301 (Second Edition) (incorporated 

by reference; see § 430.3), allow sufficient 

time for the microwave oven to reach the 

lower power state before proceeding with the 

test measurement. Follow the test procedure 

as specified in section 5, paragraph 5.3.2 of 

IEC 62301 (Second Edition). For units in 

which power varies as a function of 

displayed time in standby mode, set the 

clock time to 3:23 and use the average power 

approach described in section 5, paragraph 

5.3.2(a) of IEC 62301 (First Edition), but with 

a single test period of 10 minutes +0/-2 sec 

after an additional stabilization period until 

the clock time reaches 3:33. If a microwave 

oven is capable of operation in either standby 

mode or off mode, as defined in sections 1.13 

and 1.9 of this appendix, respectively, or 

both, test the microwave oven in each mode 

in which it can operate. 

3.1.3.2 Microwave/conventional oven, 

microwave/conventional cooking top, and 

microwave/conventional range standby mode 

and off mode power. For standby mode and 

off mode power testing of the microwave 

oven portion of the microwave/conventional 

oven, microwave/conventional cooking top, 

or microwave/conventional range, follow the 

procedure established in section 3.1.3.1 of 

this appendix. If the product has separate 

displays for the microwave oven and 

conventional oven, conventional cooking top, 

or conventional range portions, in which 

power varies as a function of the displayed 

time in standby mode, follow the procedure 

in section 3.1.3.1 of this appendix for each 

clock simultaneously. 

* * * * * 

3.2.3 Microwave oven test standby mode 

and off mode power. Make measurements as 

specified in section 5, paragraph 5.3 of IEC 

62301 (Second Edition) (incorporated by 

reference; see § 430.3). If the microwave oven 

is capable of operating in standby mode, 

measure the average standby mode power of 

the microwave oven, PSB, in watts as 

specified in section 3.1.3.1 of this appendix. 

If the microwave oven is capable of operating 

in off mode, measure the average off mode 

power of the microwave oven, PO, as 

specified in section 3.1.3.1 of this appendix. 

3.2.4 Microwave/conventional oven, 

microwave/conventional cooking top, and 

microwave/conventional range test standby 

mode and off mode power. Make 

measurements as specified in section 5, 

paragraph 5.3 of IEC 62301 (Second Edition) 

(incorporated by reference; see § 430.3). If the 

microwave/conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range is capable of operating in 

standby mode, measure the average standby 

mode power of the combined product, PSBC, 

in watts as specified in section 3.1.3.2 of this 

appendix. If the microwave/conventional 

oven, microwave/conventional cooking top, 

or microwave/conventional range is capable 

of operating in off mode, measure the average 

off mode power of the combined product, 

POC, as specified in section 3.1.3.2 of this 

appendix. 

* * * * * 

3.3.13 Record the average standby mode 

power, PSB, for the microwave oven standby 

mode, as determined in section 3.2.3 of this 

appendix for a microwave oven capable of 

operating in standby mode. Record the 

average off mode power, PO, for the 

microwave oven off mode power test, as 

determined in section 3.2.3 of this appendix 

for a microwave oven capable of operating in 

off mode. 

3.3.14 Record the average standby mode 

power, PSBC, for the microwave/conventional 

oven, microwave/conventional cooking top, 

or microwave/conventional range standby 

mode, as determined in section 3.2.4 of this 

appendix for a microwave/conventional 

oven, microwave/conventional cooking top, 

or microwave/conventional range capable of 

operating in standby mode. Record the 

average off mode power, POC, for the 

microwave/conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range off mode power test, as 

determined in section 3.2.4 of this appendix 

for a microwave oven capable of operating in 

off mode. 

4. Calculation of Derived Results From Test 

Measurements 

* * * * * 

4.3 Combined components. 

4.3.1 Combined conventional cooking 

products. The annual energy consumption of 

a conventional range, e.g. a conventional 

cooking top and conventional oven 

combined, shall be the sum of the annual 

energy consumption of each of its 

components. The annual energy 

consumption for other combinations of 

conventional ovens and conventional 

cooking tops will also be treated as the sum 

of the annual energy consumption of each of 

its components. The energy factor of a 

combined component is the sum of the 

annual useful cooking energy output of each 

component divided by the sum of the total 

annual energy consumption of each 

component. 

4.3.2 Microwave/conventional oven, 

microwave/conventional cooking top, and 

microwave/conventional range. Calculate the 

average standby mode power, PSB, for the 

microwave oven portion of the microwave/ 

conventional oven, microwave/conventional 

cooking top, or microwave/conventional 

range capable of operating in standby mode, 

in watts, defined as: 

PSB = PSBC × FSBM

Where: 

PSBC = the average standby mode power for 

the microwave/conventional oven, 

microwave/conventional cooking top, or 

microwave/conventional range as 

determined in section 3.3.14 of this 

appendix. 

FSBM = the power apportionment factor for 

the microwave oven portion of the 

average standby mode power for the 

microwave/conventional oven, 

microwave/conventional cooking top, or 

microwave/conventional range = 0.50 for 

microwave/conventional ovens, 0.55 for 

microwave/conventional cooking tops, 

and 0.36 for microwave/conventional 

ranges. Alternatively, manufacturers may 

submit data to DOE that DOE may use to 

permit a different value of FSBM for that 

particular model of microwave/ 

conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range. 

Calculate the average off mode power, PO, 

for the microwave oven portion of the 

microwave/conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range capable of operating in 

off mode, in watts, defined as: 

PO = POC × FOM

Where: 

POC = the average off mode power for the 

microwave/conventional oven, 

microwave/conventional cooking top, or 

microwave/conventional range as 

determined in section 3.3.14 of this 

appendix. 

FOM = the power apportionment factor for the 

microwave oven portion of the average 

off mode power for the microwave/ 

conventional oven, microwave/ 

conventional cooking top, or microwave 

conventional range = 0.50 for 

microwave/conventional ovens and 

microwave/conventional cooking tops, 

and 0.33 for microwave/conventional 

ranges. Alternatively, manufacturers may 

submit data to DOE that DOE may use to 

permit a different value of FOM for that 

particular model of microwave/ 

conventional oven, microwave/ 

conventional cooking top, or microwave/ 

conventional range. 

4.3.3 Other combined products. For 

products that combine a microwave oven 

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1 7 U.S.C. 6(c). 

2Section 712(d)(1) provides: ‘‘Notwithstanding 

any other provision of this title and subsections (b) 

and (c), the Commodity Futures Trading 

Commission and the Securities and Exchange 

Commission, in consultation with the Board of 

Governors [of the Federal Reserve System], shall 

further define the terms ‘swap’, ‘security-based 

swap’, ‘swap dealer’, ‘security-based swap dealer’, 

‘major swap participant’, ‘major security-based 

swap participant’, and ‘security-based swap 

agreement’ in section 1a(47)(A)(v) of the 

Commodity Exchange Act (7 U.S.C. 1a(47)(A)(v)) 

and section 3(a)(78) of the Securities Exchange Act 

of 1934 (15 U.S.C. 78c(a)(78)).’’ 

3Section 721(c) provides: ‘‘To include 

transactions and entities that have been structured 

to evade this subtitle (or an amendment made by 

this subtitle), the Commodity Futures Trading 

Commission shall adopt a rule to further define the 

terms ‘swap’, ‘swap dealer’, ‘major swap 

participant’, and ‘eligible contract participant’.’’ 

4Effective Date for Swap Regulation, 76 FR 42508 

(issued and made effective by the Commission on 

July 14, 2011; published in the Federal Register on 

July 19, 2011). Section 712(f) of the Dodd-Frank Act 

states that ‘‘in order to prepare for the effective 

dates of the provisions of this Act,’’ including the 

general effective date set forth in section 754, the 

Commission may ‘‘exempt persons, agreements, 

contracts, or transactions from provisions of this 

Act, under the terms contained in this Act.’’ Section 

754 specifies that unless otherwise provided in 

Title VII, provisions requiring a rulemaking become 

effective ‘‘not less than 60 days after publication of 

the final rule’’ (but not before July 16, 2011). 

5Concurrent with the July 14 Order, the 

Commission’s Division of Clearing and 

Intermediary Oversight (which is now two 

divisions—the Division of Clearing and Risk 

(‘‘DCR’’) and the Division of Swap Dealer and 

Intermediary Oversight (‘‘DSIO’’)) and the Division 

of Market Oversight (‘‘DMO’’) (together ‘‘the 

Continued 

with appliance functionality other than 

cooking or heating food, the average standby 

power, PSB, and average off mode power, PO, 

of the microwave oven portion shall be 

determined as for microwave/conventional 

ovens, microwave/conventional cooking 

tops, and microwave/conventional ranges, 

except that manufacturers must submit data 

to DOE that DOE shall use to determine the 

values of the apportionment factors, FSBM

and FOM, as defined in section 4.3.2 of this 

appendix, for that particular model of 

combined product. 

[FR Doc. 2012–11730 Filed 5–15–12; 8:45 am] 

BILLING CODE 6450–01–P 

COMMODITY FUTURES TRADING 

COMMISSION 

17 CFR Chapter 1 

Second Amendment to July 14, 2011 

Order for Swap Regulation 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Notice of Proposed Amendment. 

SUMMARY: On July 14, 2011, the 

Commodity Futures Trading 

Commission (‘‘CFTC’’ or the 

‘‘Commission’’) issued a final order 

(‘‘July 14 Order’’) that granted 

temporary exemptive relief from certain 

provisions of the Commodity Exchange 

Act (‘‘CEA’’) that otherwise would have 

taken effect on the general effective date 

of title VII of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act (the ‘‘Dodd-Frank Act’’)—July 16, 

2011. On December 23, 2011, the 

Commission amended the July 14 Order 

to extend the potential latest expiration 

date of the July 14 Order from December 

31, 2011 to July 16, 2012, and added 

provisions to account for the repeal and 

replacement (as of December 31, 2011) 

of part 35 of the Commission’s 

regulations (the ‘‘First Amended July 14 

Order’’). In this Notice of Proposed 

Amendment (‘‘Notice’’), the 

Commission proposes to further modify 

the temporary exemptive relief provided 

in the First Amended July 14 Order by: 

(1) Removing references to the entities 

terms, including ‘‘swap dealer,’’ ‘‘major 

swap participant,’’ and ‘‘eligible 

contract participant’’ in light of the 

final, joint CFTC–SEC rulemaking 

further defining them issued on April 

18, 2012; (2) extending the potential 

latest expiration date of the July 14 

Order to December 31, 2012, or, 

depending on the nature of the relief, 

such other compliance date as may be 

determined by the Commission; (3) 

allowing the clearing of agricultural 

swaps, as described herein; and (4) 

removing any reference to the exempt 

commercial market (‘‘ECM’’) and 

exempt board of trade (‘‘EBOT’’) 

grandfather relief previously issued by 

the Commission. Only comments 

pertaining to these proposed 

amendments to the First Amended July 

14 Order, as amended (the ‘‘Second 

Amended July 14 Order’’), will be 

considered. 

DATES: Submit comments on or before 

May 30, 2012. 

ADDRESSES: Comments may be 

submitted, referenced as ‘‘Effective Date 

Amendments,’’ by any of the following 

methods: 

• Agency Web site, via its Comments 

Online process at http:// 

comments.cftc.gov. Follow the 

instructions for submitting comments 

through the Web site. 

• Mail: David A. Stawick, Secretary of 

the Commission, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581. 

• Hand Delivery/Courier: Same as 

mail above. 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

Please submit your comments using 

only one method. 

All comments must be submitted in 

English, or if not, accompanied by an 

English translation. Comments will be 

posted as received to www.cftc.gov. You 

should submit only information that 

you wish to make available publicly. If 

you wish the Commission to consider 

information that may be exempt from 

disclosure under the Freedom of 

Information Act, a petition for 

confidential treatment of the exempt 

information may be submitted according 

to the established procedures in § 145.9 

of the Commission’s regulations, 17 CFR 

145.9. 

The Commission reserves the right, 

but shall have no obligation, to review, 

pre-screen, filter, redact, refuse or 

remove any or all of your submission 

from www.cftc.gov that it may deem to 

be inappropriate for publication, such as 

obscene language. All submissions that 

have been redacted or removed that 

contain comments on the merits of the 

rulemaking will be retained in the 

public comment file and will be 

considered as required under the 

Administrative Procedure Act and other 

applicable laws, and may be accessible 

under the Freedom of Information Act. 

FOR FURTHER INFORMATION CONTACT: 

Mark D. Higgins, Counsel, (202) 418– 

5864, mhiggins@cftc.gov, Office of the 

General Counsel; David Van Wagner, 

Chief Counsel, (202) 418–5481, 

dvanwagner@cftc.gov, Division of 

Market Oversight; Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581; or Anne Polaski, 

Special Counsel, (312) 596–0575, 

apolaski@cftc.gov, Division of Clearing 

and Risk; Commodity Futures Trading 

Commission, 525 West Monroe, 

Chicago, Illinois 60661. 

SUPPLEMENTARY INFORMATION: 

On July 14, 2011, the Commission 

exercised its exemptive authority under 

CEA section 4(c) 1 and its authority 

under section 712(f) of the Dodd-Frank 

Act by issuing a final order (the ‘‘July 

14 Order’’) that addressed the potential 

that the final, joint CFTC–SEC 

rulemakings further defining the terms 

in sections 712(d) 2 and 721(c) 3 would 

not be in effect as of July 16, 2011 (i.e., 

the general effective date set forth in 

section 754 of the Dodd-Frank Act).4 In 

so doing, the Commission sought to 

address concerns that had been raised 

about the applicability of various 

regulatory requirements to certain 

agreements, contracts, and transactions 

after July 16, 2011, and thereby ensure 

that current practices would not be 

unduly disrupted during the transition 

to the new regulatory regime.5

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