Source: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&mc=true&n=sp10.3.429.c&r=SUBPART&ty=HTML
Timestamp: 2020-03-29 09:15:45
Document Index: 23727797

Matched Legal Cases: ['§429', 'arts 429', '§429', 'art 430', 'art 431', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429', '§429']

§429.100 Purpose and scope.
(a) DOE may initiate an investigation that a basic model may not be compliant with an applicable conservation standard, certification requirement or other regulation at any time.
(b) DOE may, at any time, request any information relevant to determining compliance with any requirement under parts 429, 430 and 431, including the data underlying certification of a basic model. Such data may be used by DOE to make a determination of compliance or noncompliance with an applicable standard.
Pursuant to §429.102(b)(2), if DOE determines that independent, third-party testing is necessary to ensure a manufacturer's compliance with the rules of this part, part 430, or part 431, a manufacturer must base its certification of a basic model under subpart B of this part on independent, third-party laboratory testing.
Any person who knowingly violates any provision of §429.102(a) may be subject to assessment of a civil penalty of no more than $468 for each violation. As to §429.102(a)(1) with respect to failure to certify, and as to §429.102(a)(2), (5) through (9), each unit of a covered product or covered equipment distributed in violation of such paragraph shall constitute a separate violation. For violations of §429.102(a)(1), (3), and (4), each day of noncompliance shall constitute a separate violation for each basic model at issue.
[76 FR 12451, Mar. 7, 2011, as amended at 81 FR 41794, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 2018; 85 FR 830, Jan. 8, 2020]
(a) The General Counsel (or delegee) shall provide notice of any proposed civil penalty.
(b) The notice of proposed penalty shall:
(3) Inform the person of the opportunity to elect in writing within 30 calendar days of receipt of the notice to have the procedures of §429.128 (in lieu of those of §429.126) apply with respect to the penalty.
(a) In responding to a notice of proposed civil penalty, the respondent may request:
(1) An administrative hearing before an Administrative Law Judge (ALJ) under §429.126 of this part; or
(2) Elect to have the procedures of §429.128 apply.
(b) Any election to have the procedures of §429.128 apply may not be revoked except with the consent of the General Counsel (or delegee).
(c) If the respondent fails to respond to a notice issued under §429.120 or otherwise fails to indicate its election of procedures, DOE shall refer the civil penalty action to an ALJ for a hearing under §429.126.
(a) When elected pursuant to §429.124, DOE shall refer a civil penalty action brought under §429.122 of this part to an ALJ, who shall afford the respondent an opportunity for an agency hearing on the record.
(b) After consideration of all matters of record in the proceeding, the ALJ will issue a recommended decision, if appropriate, recommending a civil penalty. The decision will include a statement of the findings and conclusions, and the reasons therefore, on all material issues of fact, law, and discretion.
(c)(1) The General Counsel (or delegee) shall adopt, modify, or set aside the conclusions of law or discretion contained in the ALJ's recommended decision and shall set forth a final order assessing a civil penalty. The General Counsel (or delegee) shall include in the final order the ALJ's findings of fact and the reasons for the final agency actions.
(2) Any person against whom a penalty is assessed under this section may, within 60 calendar days after the date of the final order assessing such penalty, institute an action in the United States Court of Appeals for the appropriate judicial circuit for judicial review of such order in accordance with chapter 7 of title 5, United States Code. The court shall have jurisdiction to enter a judgment affirming, modifying, or setting aside in whole or in part, the final order, or the court may remand the proceeding to the Department for such further action as the court may direct.
If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order under §429.126 or after the appropriate District Court has entered final judgment in favor of the Department under §429.128, the General Counsel (or delegee) shall institute an action to recover the amount of such penalty in any appropriate District Court of the United States. In such action, the validity and appropriateness of such final assessment order or judgment shall not be subject to review.
(a) DOE may compromise, modify, or remit, with or without conditions, any civil penalty (with leave of court if necessary).
(b) In exercising its authority under paragraph (a) of this section, DOE may consider the nature and seriousness of the violation, the efforts of the respondent to remedy the violation in a timely manner, and other factors as justice may require.
(c) DOE's authority to compromise, modify or remit a civil penalty may be exercised at any time prior to a final decision by the United States Court of Appeals if §429.126 procedures are utilized, or prior to a final decision by the United States District Court, if §429.128 procedures are utilized.
(d) Notwithstanding paragraph (a) of this section, DOE or the respondent may propose to settle the case. If a settlement is agreed to by the parties, the respondent is notified and the case is closed in accordance with the terms of the settlement.
The Department will determine compliance as follows:
(a) The first sample size (n1) must be four or more units, except as provided by §429.57(e)(1)(ii).
(e)(1) For an energy efficiency standard (EES), determine the appropriate lower control limit (LCL1) according to:
And use whichever is greater. Where EES is the energy efficiency standard and t is a statistic based on a 97.5 percent, one-sided confidence limit and a sample size of n1.
(2) For an energy consumption standard (ECS), determine the appropriate upper control limit (UCL1) according to:
And use whichever is less, where ECS is the energy consumption standard and t is a statistic based on a 97.5 percent, one-sided confidence limit and a sample size of n1.
(f)(1) Compare the sample mean to the control limit.
(i) The basic model is in compliance and testing is at an end if:
(A) For an energy or water efficiency standard, the sample mean is equal to or greater than the lower control limit, or
(B) For an energy or water consumption standard, the sample mean is equal to or less than the upper control limit.
[81 FR 89822, Dec. 12, 2016]