[Code of Federal Regulations]
[Title 10, Volume 3]
[Revised as of January 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 10CFR430.70]

[Page 284-286]
 
                            TITLE 10--ENERGY
 
                    CHAPTER II--DEPARTMENT OF ENERGY
 
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS--Table of Contents
 
                Subpart F--Certification and Enforcement
 
Sec. 430.70  Enforcement.

    (a) Performance standard--(1) Test notice. Upon receiving 
information in writing concerning the energy performance or water 
performance (in the case of faucets, showerheads, water closets, and 
urinals) of a particular covered product of a particular manufacturer or 
private labeler which indicates that the covered product may not be in 
compliance with the applicable energy performance standard or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals), the Secretary may conduct testing of that covered 
product under this subpart by means of a test notice addressed to the 
manufacturer in accordance with the following requirements:
    (i) Such a procedure will only be followed after the Secretary or 
his designated representative has examined the underlying test data 
provided by the manufacturer and after the manufacturer has been offered 
the opportunity to meet with DOE to verify compliance with the 
applicable performance standard. A representative designated by the 
Secretary shall be permitted to observe any reverification procedures by 
this subpart, and to inspect the results of such reverification.
    (ii) The test notice will be signed by the Secretary or his 
designee. The test notice will be mailed or delivered by DOE to the 
plant manager or other responsible official, as designated by the 
manufacturer.
    (iii) The test notice will specify the model or basic model to be 
selected for testing, the method of selecting the test sample, the time 
at which testing shall be initiated, the date by which testing is 
scheduled to be completed and the facility at which testing will be 
conducted. The test notice may also provide for situations in which the 
selected basic model is unavailable for testing, and may include 
alternative basic models.
    (iv) The Secretary may require in the test notice that the 
manufacturer of a

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covered product shall ship at his expense a reasonable number of units 
of a basic model specified in such test notice to a testing laboratory 
designated by the Secretary. The number of units of a basic model 
specified in a test notice shall not exceed twenty (20).
    (v) Within 5 working days of the time units are selected, the 
manufacturer shall ship the specified test units of a basic model to the 
testing laboratory.
    (2) Testing Laboratory. Whenever DOE conducts enforcement testing at 
a designated laboratory in accordance with a test notice under this 
section, the resulting test data shall constitute official test data for 
that basic model. Such test data will be used by DOE to make a 
determination of compliance or noncompliance if a sufficient number of 
tests have been conducted to satisfy the requirements of appendix B of 
this subpart.
    (3) Sampling. The determination that a manufacturer's basic model 
complies with the applicable energy performance standard or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals) shall be based on the testing conducted in 
accordance with the statistical sampling procedures set forth in 
appendix B of this subpart and the test procedures set forth in subpart 
B of this part.
    (4) Test unit selection. A DOE inspector shall select a batch, a 
batch sample, and test units from the batch sample in accordance with 
the provisions of this paragraph and the conditions specified in the 
test notice.
    (i) The batch may be subdivided by DOE utilizing criteria specified 
in the test notice, e.g., date of manufacture, component-supplier, 
location of manufacturing facility, or other criteria which may 
differentiate one unit from another within a basic model.
    (ii) A batch sample of up to 20 units will then be randomly selected 
from one or more subdivided groups within the batch. The manufacturer 
shall keep on hand all units in the batch sample until such time as the 
basic model is determined to be in compliance or noncompliance.
    (iii) Individual test units comprising the test sample shall be 
randomly selected from the batch sample.
    (iv) All random selection shall be achieved by sequentially 
numbering all of the units in a batch sample and then using a table of 
random numbers to select the units to be tested.
    (5) Test unit preparation. (i) Prior to and during testing, a test 
unit selected in accordance with paragraph (a)(4) of this section shall 
not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
DOE test procedure. One test shall be conducted for each test unit in 
accordance with the applicable test procedures prescribed in subpart B.
    (ii) No quality control, testing or assembly procedures shall be 
performed on a test unit, or any parts and subassemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (iii) A test unit shall be considered defective if such unit is 
inoperative or is found to be in noncompliance due to failure of the 
unit to operate according to the manufacturer's design and operating 
instructions. Defective units, including those damaged due to shipping 
or handling, shall be reported immediately to DOE. DOE shall authorize 
testing of an additional unit on a case-by-case basis.
    (6) Testing at manufacturer's option. (i) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard or water performance standard (in the case of 
faucets, showerheads, water closets, and urinals) at the conclusion of 
DOE testing in accordance with the double sampling plan specified in 
appendix B of this subpart, the manufacturer may request that DOE 
conduct additional testing of the model according to procedures set 
forth in appendix B of this subpart.
    (ii) All units tested under paragraph (a)(6) of this section shall 
be selected and tested in accordance with the provisions given in 
paragraphs (a) (1) through (5) of this section.
    (iii) The manufacturer shall bear the cost of all testing conducted 
under paragraph (a)(6) of this section.
    (iv) The manufacturer shall cease distribution of the basic model 
being

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tested under the provisions of paragraph (a)(6) of this section from the 
time the manufacturer elects to exercise the option provided in this 
paragraph until the basic model is determined to be in compliance. DOE 
may seek civil penalties for all units distributed during such period.
    (v) If the additional testing results in a determination of 
compliance, a notice of allowance to resume distribution shall be issued 
by the Department.
    (b) Design standard. In the case of a design standard, a model is 
determined noncompliant by DOE after the Secretary or his designated 
representative has examined the underlying design information provided 
by the manufacturer and after the manufacturer has been offered the 
opportunity to verify compliance with the applicable design standard.

[54 FR 6080, Feb. 7, 1989, as amended at 63 FR 13321, Mar. 18, 1998]