[Federal Register Volume 75, Number 93 (Friday, May 14, 2010)]
[Rules and Regulations]
[Pages 27182-27185]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-11584]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2010-BT-CRT-0017]
RIN 1904-AC10


Energy Conservation Program: Web-Based Compliance and 
Certification Management System

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Final rule.

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SUMMARY: This final rule: provides a new means for manufacturers and 
third party representatives to prepare and submit compliance and 
certification reports to the Department of Energy (DOE) through an 
electronic Web-based tool, the Compliance and Certification Management 
System (CCMS), which will be the preferred mechanism for submitting 
compliance and certification reports; allows compliance and 
certification reports to be submitted via e-mail; and updates the 
address and contact information used to submit compliance statements 
and certification reports through certified mail to DOE.

DATES: Effective Date: This final rule is effective June 1, 2010.

ADDRESSES: For access to the docket and to read background material, 
visit the U.S. Department of Energy, Resource Room of the Building 
Technologies Program, 950 L'Enfant Plaza, SW., 6th Floor, Washington, 
DC, 20024, (202) 586-2945, between 9 a.m. and 4 p.m. Monday through 
Friday, except Federal holidays. Please call Ms. Brenda Edwards at the 
above telephone number for additional information regarding visiting 
the Resource Room.

FOR FURTHER INFORMATION CONTACT: 

Mr. Charles Llenza, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies, EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121, (202) 286-2192. E-
mail: <a href="/cdn-cgi/l/email-protection#f7b49f96859b9284d9bb9b92998d96b79292d9939892d9909881"><span class="__cf_email__" data-cfemail="62210a03100e07114c2e0e070c18032207074c060d074c050d14">[email protected]</span></a>.
Ms. Betsy Kohl, U.S. Department of Energy, Office of General Counsel, 
GC-71, Forrestal Building, GC-71, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, (202) 586-7796. E-mail: 
<a href="/cdn-cgi/l/email-protection#e6a38a8f9c878483928ec8ad898e8aa68e97c8828983c8818990"><span class="__cf_email__" data-cfemail="31745d584b50535445591f7a5e595d7159401f555e541f565e47">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION: DOE establishes that compliance statements 
and certification reports may be submitted to DOE through any of the 
following means:
    1. Compliance and Certification Management System (CCMS)--via the 
Web portal: http://regulations.doe.gov/ccms. Follow the instructions on 
the CCMS Web site for submitting compliance statements and 
certification reports. The CCMS is a tool for certification of 
compliance with applicable energy conservation standards. Submission of 
compliance statements and certification reports via the CCMS is 
preferred and will satisfy compliance and certification reporting 
requirements for DOE. For CCMS Help/Support Contact: Mr. Charles 
Llenza, U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Building Technologies, EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-2192. E-mail: 
<a href="/cdn-cgi/l/email-protection#387b50594a545d4b1674545d564259785d5d165c575d165f574e"><span class="__cf_email__" data-cfemail="37745f56455b5244197b5b52594d567752521953585219505841">[email protected]</span></a>.
    2. E-mail--send to: <a href="/cdn-cgi/l/email-protection#5f3c3a2d2b3639363c3e2b363031712d3a2f302d2b1f3a3a713b303a71383029"><span class="__cf_email__" data-cfemail="07646275736e616e6466736e6869297562776875734762622963686229606871">[email protected]</span></a> and indicate in 
the subject line the manufacturer, the third party representative if 
applicable, and the specific product or equipment for which the report 
is being submitted.
    3. Certified Mail--send to: Charles Llenza, Appliances and 
Commercial Equipment Standards, U.S. Department of Energy, Office of 
Energy Efficiency and Renewable Energy, Building Technologies Program 
(EE-2J), Forrestal Building, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121. Include in the address the subject line: Compliance and 
Certification Management System.
    Legislative Authority: Part A of Title III of the Energy Policy and 
Conservation Act of 1975 (EPCA), Public Law 94-163, as amended, 42 
U.S.C. 6291-6309, established the ``Energy Conservation Program for 
Consumer Products Other Than Automobiles.'' Similarly, Part A-1 of 
Title III of EPCA, as amended, 42 U.S.C. 6311-6317, established an 
energy efficiency program for ``Certain Industrial Equipment,'' which 
included certain commercial equipment.\1\ EPCA requires each 
manufacturer of a covered product to submit information or reports to 
the Secretary with respect to energy efficiency, energy use, or, in the 
case of showerheads, faucets, water closets, and urinals, water use of 
such covered product and the economic impact of any proposed energy 
conservation standard, as DOE determines may be necessary to establish 
and revise test procedures, labeling rules, and energy conservation 
standards for such product and to ensure compliance with the 
requirements. In so doing, DOE must consider existing public sources, 
including nationally recognized certification programs of trade 
associations. See 42 U.S.C. 6296(d). Further, the Energy Policy Act of 
2005 (EPACT 2005), Public Law 109-58, amended EPCA with respect to 
particular consumer products and commercial and industrial equipment by 
providing definitions, test procedures, labeling provisions, energy 
conservation standards, and the authority to require information and 
reports from manufacturers. EPACT 2005 also authorized DOE to require 
manufacturers of covered commercial and industrial equipment to submit 
information and reports for a variety of purposes, including ensuring

[[Page 27183]]

compliance with applicable energy conservation standards. See 42 U.S.C. 
6316(a) and (b).
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    \1\ For editorial reasons, Parts B (consumer products) and C 
(commercial equipment) of Title III of EPCA were re-designated as 
parts A and A-1, respectively, in the United States Code.
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    Initially, the CCMS database will be used only for the submission 
of compliance statements and certification reports for covered consumer 
products. Section 430.62 of the Code of Federal Regulations stipulates 
the requirements for manufacturers of particular consumer products 
regarding the submission of compliance and certification data to the 
DOE. Specifically, each manufacturer or private labeler before 
distributing in commerce any basic model of a covered product subject 
to the applicable energy conservation standard or water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals) shall certify by means of a compliance statement and 
certification report that each basic model(s) meets the applicable 
energy or water conservation standard as prescribed in Section 325 of 
the Act. Additionally, DOE adopted a final rule on January 5, 2010 
titled ``Certification, Compliance, and Enforcement Requirements for 
Certain Consumer Products and Commercial and Industrial Equipment.'' 75 
FR 652. This final rule adopted regulations to implement reporting 
requirements for energy conservation standards and energy use, and to 
address other matters, including compliance certification, prohibited 
actions, and enforcement procedures for specific consumer products (and 
commercial and industrial equipment) covered by EPACT 2005, as well as 
commercial heating, air-conditioning, and water heating equipment 
covered under EPACT 1992. In addition, DOE adopted provisions for 
manufacturer certification for distribution transformers (also a type 
of commercial equipment).
    Discussion: This rulemaking: (1) Implements an electronic Web-based 
tool known as the Compliance and Certification Management System (CCMS) 
to facilitate the development and submission of compliance statements 
and certification reports; (2) adds e-mail as a new option for 
submitting compliance statements and certification reports; and (3) 
updates the address and contact information for submitting compliance 
statements and certification reports by certified mail to DOE.
    The CCMS is a Web-based tool to facilitate the preparation, 
submission, and processing of compliance statements and certification 
reports. DOE prefers use of CCMS for submitting these documents. 
Submission of the documents through CCMS will satisfy reporting 
requirements for DOE. DOE believes that the CCMS will provide a 
convenient means for manufacturers and third party representatives to 
create, submit, and track the processing of compliance statements and 
certification reports and related information using customized, 
electronic product templates.
    The electronic product templates will serve as a combined 
compliance statement and certification report and be available for 
covered consumer products for which compliance statements and 
certification reports are currently required. The CCMS database will be 
updated to allow for submission of compliance statements and 
certification reports required for other consumer products in the 
future, as well as for commercial and industrial equipment. User guides 
with step-by-step instructions and Helpdesk support will be provided to 
assist users of the CCMS. DOE believes the CCMS will streamline and 
reduce the burden of reporting requirements for manufacturers and third 
party representatives, as well as facilitate the processing of 
compliance/certification reports by DOE.

I. Procedural Requirements

A. Executive Order 12866

    Today's regulatory action is not a ``significant regulatory 
action'' under section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review,'' 58 FR 51735 (October 4, 1993). Accordingly, this 
action was not subject to review under that Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) of the Office of 
Management and Budget (OMB).

B. Administrative Procedure Act

    DOE finds good cause to waive notice and comment on these 
regulations pursuant to 5 U.S.C. 553(b)(3)(B), and the 30-day delay in 
effective date pursuant to 5 U.S.C. 553(d). Notice and comment are 
unnecessary and contrary to the public interest because this final rule 
does not require any new actions on the part of manufacturers and 
third-party representatives; rather it simply allows an alternative 
option for submission of information which is already required. A delay 
in effective date is unnecessary and contrary to the public interest 
for these same reasons. Therefore, these regulations are being 
published as final regulations and are effective June 1, 2010.

C. National Environmental Policy Act

    DOE has determined that this rule falls into a class of actions 
that are categorically excluded from further 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. This rule amends an 
existing rule without changing its environmental effect, and, 
therefore, is covered by the Categorical Exclusion A5 found in appendix 
A to subpart D, 10 CFR part 1021. Accordingly, neither an environmental 
assessment nor an environmental impact statement is required.

D. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis for any rule 
that must be proposed for public comment, unless the agency certifies 
that the rule will have no 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 has made its procedures and policies available on the 
Office of the General Counsel's Web site at http://www.gc.doe.gov. 
Because a notice of proposed rulemaking is not required under the 
Administrative Procedure Act or other applicable law, the Regulatory 
Flexibility Act does not require certification or the conduct of a 
regulatory flexibility analysis for this rule.

E. Paperwork Reduction Act

    This rule contains a collection-of-information requirement subject 
to the Paperwork Reduction Act (PRA) and which has been approved by OMB 
under control number 1910-1400. Public reporting burden for submittals 
through CCMS is estimated to average 15 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. Written comments regarding the burden-
hour estimate or other aspects of the collection-of-information 
requirements contained in this final rule may be submitted to Mr. 
Charles Llenza, U.S. Department of Energy, Office of Energy Efficiency 
and Renewable Energy, Building Technologies, EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-

[[Page 27184]]

2192 and by e-mail to <a href="/cdn-cgi/l/email-protection#bcffd4ced5cfc8d5d2d9e3f7c5d1d2fcd3d1de92d9d3cc92dbd3ca"><span class="__cf_email__" data-cfemail="2e6d465c475d5a47404b71655743406e41434c004b415e00494158">[email protected]</span></a>.
    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.

F. Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. 
L. 104-4) requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. For proposed regulatory actions likely to result in a 
rule that may cause expenditures by State, local, and Tribal 
governments, in the aggregate, or by the private sector, of $100 
million or more (adjusted annually for inflation), section 202 of UMRA 
requires a Federal agency to publish estimates of 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.'' UMRA also requires an agency plan for giving notice and 
opportunity for timely input to small governments that may be affected 
before establishing a requirement that might significantly or uniquely 
affect them. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under UMRA (62 FR 12820) 
(also available at http://www.gc.doe.gov). Today's final 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.

G. 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. 
Today's rule would have no impact on the autonomy or integrity of the 
family as an institution. Accordingly, DOE has concluded that it is 
unnecessary to prepare a Family Policymaking Assessment.

H. 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. DOE has examined this final rule and 
determined that it would not preempt State law and would have no 
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. Executive 
Order 13132 requires no further action.

I. Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 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. Regarding the review required by 
section 3(a), 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, this rule meets the 
relevant standards of Executive Order 12988.

J. Treasury and General Government Appropriations Act, 2001

    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 (February 22, 2002), and DOE's guidelines 
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed 
today's rulemaking under the OMB and DOE guidelines and has concluded 
that it is consistent with applicable policies in those guidelines.

K. 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 is not a significant regulatory action under Executive Order 
12866 or any successor order; would not have a significant adverse 
effect on the supply, distribution, or use of energy; and has not been 
designated by the Administrator of OIRA as a significant energy action. 
Accordingly, DOE has not prepared a Statement of Energy Effects.

L. Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE has determined that this rule would not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

[[Page 27185]]

M. Section 32 of the Federal Energy Administration Act of 1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), the Department of Energy 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 
(Pub. L. 95-70). (15 U.S.C. 788) Section 32 provides that where a 
proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Department of Justice and the Federal Trade 
Commission concerning the impact of the commercial or industry 
standards on competition. This final rule to provide for use of the 
CCMS system, establish an e-mail address for the submission of e-mail 
compliance statements and certification reports, and update contact 
information does not require the use of any commercial standards. 
Therefore, no consultation with either DOJ or FTC is required.

N. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

II. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Energy conservation test 
procedures, Household appliances.

    Issued in Washington, DC, on May 7, 2010.
Cathy Zoi,
Assistant Secretary, Energy Efficiency and Renewable Energy.

0
For the reasons set forth in the preamble, chapter II of title 10, Code 
of Federal Regulations, part 430 is amended to read as set forth below.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
1. The authority citation for part 430 continues to read as follows:

    Authority: U.S.C. 6291-6309; 28 U.S.C. 2461, note.


0
2. Section 430.62 is amended by revising paragraphs (a)(1), (b)(1), and 
(c) to read as follows:


Sec.  430.62  Submission of data.

    (a) Certification. (1) Except as provided in paragraph (a)(2) of 
this section, each manufacturer or private labeler before distributing 
in commerce any basic model of a covered product subject to the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) set 
forth in subpart C of this part shall certify by means of a compliance 
statement and a certification report that each basic model(s) meets the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) as 
prescribed in section 325 of the Act. The compliance statement, signed 
by the company official submitting the statement, and the certification 
report(s) may be sent by certified mail to: U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121. Alternatively, the statement(s) 
may be submitted electronically at http://www.regulations.doe.gov/ccms.
* * * * *
    (b) Model Modifications. (1) Any change to a basic model which 
affects energy consumption or water consumption (in the case of 
faucets, showerheads, water closets, and urinals) constitutes the 
addition of a new basic model. If such change reduces consumption, the 
new model shall be considered in compliance with the standard without 
any additional testing. If, however, such change increases consumption 
while still meeting the standard, all information required by paragraph 
(a)(4) of this section for the new basic model must be submitted, 
either by certified mail, to: U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, or electronically to: http://www.regulations.doe.gov/ccms.
* * * * *
    (c) Discontinued model. When production of a basic model has ceased 
and it is no longer being distributed, this shall be reported, either 
by certified mail, to: U.S. Department of Energy, Building Technologies 
Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 
20585-0121, or electronically to: http://www.regulations.doe.gov/ccms. 
For each basic model, the report shall include: Product type, product 
class, the manufacturer's name, the private labeler name(s), if 
applicable, and the manufacturer's model number. If the reporting of 
discontinued models coincides with the submittal of a certification 
report, such information can be included in the certification report.
* * * * *
[FR Doc. 2010-11584 Filed 5-13-10; 8:45 am]
BILLING CODE 6450-01-P


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