[Federal Register Volume 80, Number 249 (Tuesday, December 29, 2015)]
[Proposed Rules]
[Pages 81199-81216]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-32796]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
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 

  Federal Register / Vol. 80, No. 249 / Tuesday, December 29, 2015 / 
Proposed Rules  

[[Page 81199]]



DEPARTMENT OF ENERGY

10 CFR Part 429

[Docket No. EERE-2015-BT-CE-0019]
RIN 1990-AA44


Energy Conservation Program: Certification and Enforcement--
Import Data Collection

AGENCY: Office of the General Counsel, Department of Energy.

ACTION: Notice of proposed rulemaking.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (DOE) is proposing a requirement 
that a person importing into the United States any covered product or 
equipment subject to an applicable energy conservation standard 
provide, prior to importation, a certification of admissibility to the 
DOE for the covered product or equipment. The certification would be 
submitted to DOE through the U.S. Customs and Border Protection's 
Automated Commercial Environment (ACE).

DATES: DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking (NOPR) no later than February 12, 2016. 
See section V, ``Public Participation,'' of this NOPR for details.

ADDRESSES: Any comments submitted must identify the NOPR for Import 
Data Collection, and provide docket number EERE-2015-BT-CE-0019 and/or 
regulatory information number (RIN) number 1990-AA44. 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: [email protected]. Include the docket 
number and/or RIN in the subject line of the message.
    3. Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-5B, 1000 Independence Avenue SW., 
Washington, DC, 20585-0121. If possible, please submit all items on a 
CD. It is not necessary to include printed copies.
    4. Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 
600, Washington, DC, 20024. Telephone: (202) 586-2945. If possible, 
please submit all items on a CD. 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, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at regulations.gov. All 
documents in the docket are listed in the regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    A link to the docket Web page can be found at: http://www.regulations.gov/#!docketDetail;D=EERE-2015-BT-CE-0019. This Web 
page will contain a link to the docket for this notice on the 
regulations.gov site. The regulations.gov Web page will contain 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 regulations.gov.
    For further information on how to submit a comment, review other 
public comments and the docket, or to request a public meeting, contact 
Ms. Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-5B, 1000 Independence Avenue SW., Washington, 
DC 20585-0121. Telephone: 202-586-6590. Email: 
[email protected]; or Mr. Steven Goering, U.S. Department of 
Energy, Office of the General Counsel, Forrestal Building, GC-32, 1000 
Independence Avenue SW., Washington, DC 20585-0121. Telephone: 202-286-
5691. Email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Authority and Background
II. Summary of the Notice of Proposed Rulemaking
III. Discussion
    A. Relevant Harmonized Tariff Schedule Codes
    B. Applicability of provision
    C. Information to be collected regarding products not previously 
certified to DOE as compliant with applicable energy conservation 
standards
    D. Method of Collection
    E. Effective Date and Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
V. Public Participation
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III, Part B \1\ of the Energy Policy and Conservation Act of 
1975 (EPCA or the Act), Public Law 94-163 (codified at 42 U.S.C. 6291-
6317) sets forth a variety of provisions designed to improve energy 
efficiency and established the Energy Conservation Program for Consumer 
Products Other Than Automobiles.\2\ Part C \3\ of title III (42 U.S.C. 
6311-6317) establishes an energy conservation program for certain 
industrial and commercial equipment. The Act provides DOE authority to 
enforce certain prohibited acts listed in section 6302(a), including 
EPCA's prohibition on the importation of covered products and equipment 
that do not conform to applicable energy conservation standards. (42 
U.S.C. 6302(a)(5), 6303, 6316(a),(b)) \4\
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015, 
Public Law 114-11 (Apr. 30, 2015).
    \3\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
    \4\ Section 6302(a)(5) states that it is unlawful for any 
``manufacturer'' to ``distribute in commerce'' products that do not 
conform to applicable energy conservations standards. Section 6291 
defines the term ``manufacturers'' so as to include importers, and 
states that ``to distribute in commerce'' means, among other things, 
``to import.'' (42 U.S.C. 6291(10), (12), (16)).

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[[Page 81200]]

    EPCA further provides that any covered product or equipment 
``offered for importation in violation of section 6302 of this title 
shall be refused admission into the customs territory of the United 
States under rules issued by the Secretary of the Treasury,'' except 
under certain terms and conditions authorized under those rules. (42 
U.S.C. 6301) Under the regulations issued by the Department of Treasury 
and the U.S. Customs and Border Protection (CBP), if the DOE or the 
Federal Trade Commission ``notifies CBP that a covered import does not 
comply with an applicable energy conservation or energy labeling 
standard, CBP will refuse admission to the covered import, or pursuant 
to paragraph (d) of this section, CBP may allow conditional release of 
the covered import so that it may be brought into compliance.'' (19 CFR 
12.50(b))
    In addition, EPCA authorizes DOE to require importers of covered 
products and equipment ``to submit information or reports'' with 
respect to energy efficiency, energy use, or water use of covered 
products and equipment ``as the Secretary determines may be necessary . 
. . to insure compliance with the requirements of this part.'' (42 
U.S.C. 6296(d))
    In its current form, 10 CFR 429.5 requires that persons importing 
covered products or covered equipment comply with the provisions of 10 
CFR parts 429, 430, and 431. Part 429 requires, among other things, 
that importers of covered products or covered equipment subject to an 
applicable energy conservation standard \5\ submit a certification 
report to DOE prior to distributing their products in U.S. commerce. 
The certification report must provide specific information for each 
basic model, including the product or equipment type, the brand name, 
and the basic model number, as well as specific energy use information. 
(10 CFR 429.12(b)). Importers are currently required to submit 
certifications on product-specific templates to DOE's Compliance and 
Certification Management System (CCMS), which assigns each 
certification submission a unique attachment identification number. (10 
CFR 429.12(h)).
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    \5\ Under DOE regulations, ``energy conservation standard'' is 
defined as any standard ``meeting the definitions of that term in 42 
U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water 
conservation standards and design requirements found'' in 10 CFR 
parts 429, 430, or 431. (10 CFR 429.2(b))
---------------------------------------------------------------------------

    In prior rulemakings, the DOE has received comments from a number 
of interested parties urging DOE to work with CBP to enforce EPCA and 
its implementing regulations. For example, in 1996, the National 
Electrical Manufacturers Association (NEMA) called on the DOE to 
``provide sufficient guidelines to Customs Officers in order to 
facilitate enforcement of requirements similar to those placed on U.S. 
manufacturers.'' (Docket No. EE-RM-96-400, NEMA, No. 38 at p. 15). More 
recently, in April 2011, in response to a DOE Request for Information 
concerning ``Increased Scope of Coverage for Electric Motors,'' NEMA 
and the Appliance Standards Awareness Project (ASAP), addressed this 
issue in joint comments supported by the American Council for an 
Energy-Efficient Economy, the Alliance to Save Energy, Natural 
Resources Defense Council, Northeast Energy Efficiency Partnerships, 
Northwest Energy Efficiency Alliance and the Northwest Power and 
Conservation Council. The commenters estimated that more effective 
enforcement of standards vis-[agrave]-vis imported electric motors 
could produce as much as one billion kilowatt-hours in incremental 
savings each year, and further noted that ``manufacturers who comply 
are placed at a competitive disadvantage. . . . Therefore, we strongly 
urge DOE to work with Customs to expedite efforts for improved 
monitoring and enforcement with respect to imported motors. Without 
improved enforcement, the benefits of both existing standards and 
future standards are jeopardized.'' (Docket No. EERE-2010-BT-STD-0027, 
ASAP, NEMA, No. 20 at p. 5).
    On February 19, 2014, the President issued Executive Order 13659, 
Streamlining the Export/Import Process for America's Businesses (EO 
13659), which requires certain federal agencies to significantly 
enhance their use of technology to modernize and simplify the trade 
processing infrastructure. Specifically, EO 13659 requires applicable 
government agencies to use CBP's International Trade Data System 
(ITDS), and its supporting systems, such as the Automated Commercial 
Environment (ACE), to create a ``single window'' through which 
businesses will electronically submit import-related data for 
clearance. EO 13659 envisions and is working toward a simpler, more 
efficient portal for trade use, to the benefit of both the trade and 
those government agencies with related authorities and 
responsibilities.
    Based upon its specific authority to require the submission of 
information by importers and its broader authority to regulate the 
importation of covered products and equipment, DOE seeks in this 
proposed rule to require importers to provide a certification of 
admissibility to DOE prior to importation of products or equipment 
subject to DOE regulations. Importers would be required to submit the 
certification to DOE through ACE, which currently is being deployed to 
support electronic data filing through its Automated Broker Interface 
(ABI).

II. Summary of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to require that importers of covered 
products or equipment subject to an applicable energy conservation 
standard set forth in 10 CFR part 430 or 431 \6\ and falling under 
specified classifications of the Harmonized Tariff Schedule of the 
United States \7\ provide a certification of admissibility for each 
shipment of such products or equipment before their arrival at a U.S. 
port of entry. Importers of such covered products or equipment are 
currently required to submit annual certifications to DOE that the 
products or equipment they intend to import are compliant with all 
applicable energy conservation standards, using CCMS. DOE proposes 
that, if an importer has already submitted its required certification 
report to DOE, the importer would provide a certification of 
admissibility with only the information necessary to tie the shipment 
back to its most recent CCMS submission. Any importer that has not 
already filed its required annual certification would be required to 
provide more detailed information regarding the covered product or 
equipment contained in the shipment.
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    \6\ 10 CFR parts 430 and 431 do not apply to covered products or 
equipment imported for export from the United States, provided that 
such products or equipment ``or any container in which it is 
enclosed, when distributed in commerce, bears a stamp or label 
stating `NOT FOR SALE FOR USE IN THE UNITED STATES' '' and ``such 
product is, in fact, not distributed in commerce for use in the 
United States.'' (10 CFR 429.6). See also CBP Ruling No. HQ W231173 
(``equipment subject to the standards set by the Department of 
Energy under 10 CFR 430.32 that are not in compliance with those 
standards, may be imported into the United States for the purpose of 
exportation, and placed in either a foreign trade zone or customs 
bonded warehouse pursuant to that purpose''), available at http://rulings.cbp.gov/index.asp?ru=w231173&qu=CBP+Ruling+HQ+W231173&vw=detail.
    \7\ http://www.usitc.gov/tata/hts/index.htm.

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[[Page 81201]]

III. Discussion

A. Relevant Harmonized Tariff Schedule Codes

    All importers must provide the appropriate code for the products or 
equipment they are importing as explained in the Harmonized Tariff 
Schedule of the United States, Annotated for Statistical Reporting 
Purposes, (HTS) which is published by the U.S. International Trade 
Commission pursuant to section 1207 of the Omnibus Trade and 
Competitiveness Act of 1988 (Pub. L. 100-418; 19 U.S.C. 3007) (Trade 
Act). The HTS code is meant in part to allow CBP to make classification 
distinctions of U.S. interest. Consistent with this practice, DOE would 
require importers of shipments containing covered products and 
equipment falling under specified classifications of the HTS to file a 
certification of admissibility with DOE. The relevant HTS codes that 
would require a certification filing to DOE are presented in Table 
III.1.\8\
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    \8\ The HTS codes that would require a certification to DOE 
would be updated to reflect the then-current version of the HTS.

Table III.1--HTS Codes of Products and Equipment Requiring Certification
                            of Admissibility
------------------------------------------------------------------------
            HTS Code (2014)               HTS Product description (2014)
------------------------------------------------------------------------
3922...................................  Baths, shower baths, sinks,
                                          washbasins, bidets, lavatory
                                          pans, seats and covers,
                                          flushing cisterns and similar
                                          sanitary ware, of plastics.
6910...................................  Ceramic sinks, washbasins,
                                          washbasin pedestals, baths,
                                          bidets, water closet bowls,
                                          flush tanks, urinals and
                                          similar sanitary fixtures.
7011.10................................  Glass envelopes (including
                                          bulbs and tubes), open, and
                                          glass parts thereof, without
                                          fittings, for electric lamps,
                                          cathode-ray tubes or the like:
                                          For electric lighting.
7321...................................  Stoves, ranges, grates, cookers
                                          (including those with
                                          subsidiary boilers for central
                                          heating), barbecues, braziers,
                                          gas rings, plate warmers and
                                          similar nonelectric domestic
                                          appliances, and parts thereof,
                                          of iron or steel.
7322.90.0015...........................  Air heaters, not electrically
                                          heated, incorporating a motor-
                                          driven fan or blower.
7322.90.0030...........................  Hot air distributors, not
                                          electrically heated,
                                          incorporating a motor-driven
                                          fan or blower.
7322.90.0045...........................  Parts of air heaters and hot
                                          air distributors.
8402...................................  Steam or other vapor generating
                                          boilers (other than central
                                          heating hot water boilers
                                          capable also of producing low
                                          pressure steam); super-heated
                                          water boilers; parts thereof.
8403...................................  Central heating boilers (other
                                          than those of heading 8402)
                                          and parts thereof.
8413...................................  Pumps for liquids, whether or
                                          not fitted with a measuring
                                          device; liquid elevators; part
                                          thereof.
8414...................................  Air or vacuum pumps, air or
                                          other gas compressors and
                                          fans; ventilating or recycling
                                          hoods incorporating a fan,
                                          whether or not fitted with
                                          filters; parts thereof.
8415...................................  Air conditioning machines,
                                          comprising a motor-driven fan
                                          and elements for changing the
                                          temperature and humidity,
                                          including those machines in
                                          which the humidity cannot be
                                          separately regulated; parts
                                          thereof.
8416...................................  Furnace burners for liquid
                                          fuel, for pulverized solid
                                          fuel or for gas; mechanical
                                          stokers, including their
                                          mechanical grates, mechanical
                                          ash dischargers and similar
                                          appliances; parts thereof.
8417...................................  Industrial or laboratory
                                          furnaces and ovens, including
                                          incinerators, nonelectric, and
                                          parts thereof.
8418...................................  Refrigerators, freezers and
                                          other refrigerating or
                                          freezing equipment, electric
                                          or other; heat pumps, other
                                          than the air conditioning
                                          machines of heading 8415;
                                          parts thereof.
8419.11.00.............................  Instantaneous gas water
                                          heaters.
8419.19.0020...........................  Instantaneous water heaters,
                                          non-electric.
8419.81.50.............................  Cooking stoves, ranges and
                                          ovens.
8421.12.0000...........................  Clothes-dryers (centrifugal).
8422.11.00.............................  Dishwashing machines, of the
                                          household type.
8422.19.00.............................  Dishwashing machines, other.
8422.90................................  Parts of dishwashing machines.
8427.10................................  Self-propelled trucks powered
                                          by an electric motor.
8428...................................  Other lifting, handling,
                                          loading or unloading machinery
                                          (for example, elevators,
                                          escalators, conveyors,
                                          teleferics).
8429...................................  Self-propelled bulldozers,
                                          angledozers, graders,
                                          levelers, scrapers, mechanical
                                          shovels, excavators, shovel
                                          loaders, tamping machines and
                                          road rollers:.
8430...................................  Other moving, grading,
                                          leveling, scraping,
                                          excavating, tamping,
                                          compacting, extracting or
                                          boring machinery, for earth,
                                          minerals or ores; pile-drivers
                                          and pile-extractors; snowplows
                                          and snowblowers.
8431...................................  Parts suitable for use solely
                                          or principally with the
                                          machinery of headings 8425 to
                                          8430.
8432...................................  Agricultural, horticultural or
                                          forestry machinery for soil
                                          preparation or cultivation;
                                          lawn or sports ground rollers;
                                          parts thereof.
8433...................................  Harvesting or threshing
                                          machinery, including straw or
                                          fodder balers; grass or hay
                                          mowers; machines for cleaning,
                                          sorting or grading eggs, fruit
                                          or other agricultural produce,
                                          other than machinery of
                                          heading 8437; parts thereof.
8434...................................  Milking machines and dairy
                                          machinery, and parts thereof.
8435...................................  Presses, crushers and similar
                                          machinery, used in the
                                          manufacture of wine, cider,
                                          fruit juices or similar
                                          beverages; parts thereof.
8436...................................  Other agricultural,
                                          horticultural, forestry,
                                          poultry-keeping or bee-keeping
                                          machinery, including
                                          germination plant fitted with
                                          mechanical or thermal
                                          equipment; poultry incubators
                                          and brooders; parts thereof.

[[Page 81202]]

 
8437...................................  Machines for cleaning, sorting
                                          or grading seed, grain or
                                          dried leguminous vegetables,
                                          and parts thereof; machinery
                                          used in the milling industry
                                          or for the working of cereals
                                          or dried leguminous
                                          vegetables, other than farm
                                          type machinery; parts thereof.
8438...................................  Machinery, not specified or
                                          included elsewhere in this
                                          chapter, for the industrial
                                          preparation or manufacture of
                                          food or drink, other than
                                          machinery for the extraction
                                          or preparation of animal or
                                          fixed vegetable fats or oils;
                                          parts thereof.
8439...................................  Machinery for making pulp of
                                          fibrous cellulosic material or
                                          for making or finishing paper
                                          or paperboard (other than the
                                          machinery of heading 8419);
                                          parts thereof.
8440...................................  Bookbinding machinery,
                                          including book-sewing
                                          machines, and parts thereof.
8441...................................  Other machinery for making up
                                          paper pulp, paper or
                                          paperboard, including cutting
                                          machines of all kinds, and
                                          parts thereof.
8442...................................  Machinery, apparatus and
                                          equipment (other than the
                                          machine tools of headings 8456
                                          to 8465), for preparing or
                                          making plates, cylinders or
                                          other printing components;
                                          plates, cylinders and other
                                          printing components; plates,
                                          cylinders and lithographic
                                          stones.
8443...................................  Printing machinery used for
                                          printing by means of plates,
                                          cylinders and other printing
                                          components of heading 8442;
                                          other printers, copying
                                          machines and facsimile
                                          machines, whether or not
                                          combined; parts and
                                          accessories thereof.
8444...................................  Machines for extruding,
                                          drawing, texturing or cutting
                                          man-made textile materials.
8445...................................  Machines for preparing textile
                                          fibers; spinning, doubling or
                                          twisting machines and other
                                          machinery for producing
                                          textile yarns; textile reeling
                                          or winding (including weft
                                          winding) machines and machines
                                          for preparing textile yarns
                                          for use on the machines.
8446...................................  Weaving machines (looms).
8447...................................  Knitting machines, stitch-
                                          bonding machines and machines
                                          for making gimped yarn, tulle,
                                          lace, embroidery, trimmings,
                                          braid or net and machines for
                                          tufting.
8448...................................  Auxiliary machinery for use
                                          with machines of heading 8444,
                                          8445, 8446 or 8447 (for
                                          example, dobbies, Jacquards,
                                          automatic stop motions and
                                          shuttle changing mechanisms);
                                          parts and accessories suitable
                                          for use solely or principally
                                          with the machines of this
                                          heading or of heading 8444,
                                          8445, 8446 or 8447 (for
                                          example, spindles and spindle
                                          flyers, card clothing, combs,
                                          extruding nipples, shuttles,
                                          healds and heald-frames,
                                          hosiery needles).
8449...................................  Machinery for the manufacture
                                          or finishing of felt or
                                          nonwovens in the piece or in
                                          shapes, including machinery
                                          for making felt hats; blocks
                                          for making hats; parts
                                          thereof.
8450...................................  Household- or laundry-type
                                          washing machines, including
                                          machines which both wash and
                                          dry; parts thereof.
8451...................................  Machinery (other than machines
                                          of heading 8450) for washing,
                                          cleaning, wringing, drying,
                                          ironing, pressing (including
                                          fusing presses), bleaching,
                                          dyeing, dressing, finishing,
                                          coating or impregnating
                                          textile yarns, fabrics or made
                                          up textile articles and
                                          machines for applying the
                                          paste to the base fabric or
                                          other support used in the
                                          manufacture of floor coverings
                                          such as linoleum; machines for
                                          reeling, unreeling, folding,
                                          cutting or pinking textile
                                          fabrics; parts thereof.
8452...................................  Sewing machines, other than
                                          book-sewing machines of
                                          heading 8440; furniture, bases
                                          and covers specially designed
                                          for sewing machines; sewing
                                          machine needles; parts
                                          thereof.
8453...................................  Machinery for preparing,
                                          tanning or working hides,
                                          skins or leather or for making
                                          or repairing footwear or other
                                          articles of hides, skins or
                                          leather, other than sewing
                                          machines; parts thereof.
8454...................................  Converters, ladles, ingot molds
                                          and casting machines, of a
                                          kind used in metallurgy or in
                                          metal foundries, and parts
                                          thereof.
8455...................................  Metal-rolling mills and rolls
                                          therefor; parts thereof.
8456...................................  Machine tools for working any
                                          material by removal of
                                          material, by laser or other
                                          light or photon beam,
                                          ultrasonic, electro-discharge,
                                          electro-chemical, electron-
                                          beam, ionic-beam or plasma arc
                                          processes; water-jet cutting
                                          machines.
8457...................................  Machining centers, unit
                                          construction machines (single
                                          station) and multistation
                                          transfer machines, for working
                                          metal.
8458...................................  Lathes (including turning
                                          centers) for removing metal.
8459...................................  Machine tools (including way-
                                          type unit head machines) for
                                          drilling, boring, milling,
                                          threading or tapping by
                                          removing metal, other than
                                          lathes (including turning
                                          centers) of heading 8458.
8460...................................  Machine tools for deburring,
                                          sharpening, grinding, honing,
                                          lapping, polishing or
                                          otherwise finishing metal or
                                          cermets by means of grinding
                                          stones, abrasives or polishing
                                          products, other than gear
                                          cutting, gear grinding or gear
                                          finishing machines [listed in
                                          prior subheadings].
8461...................................  Machine tools for planing,
                                          shaping, slotting, broaching,
                                          gear cutting, gear grinding or
                                          gear finishing, sawing,
                                          cutting-off and other machine
                                          tools working by removing
                                          metal or cermets, not
                                          elsewhere specified or
                                          included.
8462...................................  Machine tools (including
                                          presses) for working metal by
                                          forging, hammering or die-
                                          stamping; machine tools
                                          (including presses) for
                                          working metal by bending,
                                          folding, straightening,
                                          flattening, shearing, punching
                                          or notching; presses for
                                          working metal.
8463...................................  Other machine tools for working
                                          metal or cermets, without
                                          removing material.
8464...................................  Machine tools for working
                                          stone, ceramics, concrete,
                                          asbestos-cement or like
                                          mineral materials or for cold
                                          working glass.

[[Page 81203]]

 
8465...................................  Machine tools (including
                                          machines for nailing,
                                          stapling, glueing or otherwise
                                          assembling) for working wood,
                                          cork, bone, hard rubber, hard
                                          plastics or similar hard
                                          materials.
8466...................................  Parts and accessories suitable
                                          for use solely or principally
                                          with the machines of headings
                                          8456 to 8465, including work
                                          or tool holders, self-opening
                                          dieheads, dividing heads and
                                          other special attachments for
                                          machine tools; tool holders
                                          for any type of tool for
                                          working in the hand.
8467.21.00, 8467.22.00, 8467.29.00,      Tools for working in the hand
 8467.81.0000, 8467.89.                   (with self-contained electric
                                          motor).
8469...................................  Typewriters other than printers
                                          of heading 8443; word
                                          processing machines.
8470...................................  Calculating machines and pocket-
                                          size data recording,
                                          reproducing and displaying
                                          machines with calculating
                                          functions; accounting
                                          machines, postage-franking
                                          machines, ticket-issuing
                                          machines and similar machines,
                                          incorporating a calculating
                                          device; cash registers.
8471...................................  Automatic data processing
                                          machines and units thereof;
                                          magnetic or optical readers,
                                          machines for transcribing data
                                          onto data media in coded form
                                          and machines for processing
                                          such data, not elsewhere
                                          specified or included.
8472...................................  Other office machines (for
                                          example, hectograph or stencil
                                          duplicating machines,
                                          addressing machines, automatic
                                          banknote dispensers, coin-
                                          sorting machines, coin-
                                          counting or wrapping machines,
                                          pencil-sharpening machines,
                                          perforating or stapling
                                          machines).
8473...................................  Parts and accessories (other
                                          than covers, carrying cases
                                          and the like) suitable for use
                                          solely or principally with
                                          machines of headings 8469 to
                                          8472.
8474...................................  Machinery for sorting,
                                          screening, separating,
                                          washing, crushing, grinding,
                                          mixing or kneading earth,
                                          stone, ores or other mineral
                                          substances, in solid
                                          (including powder or paste)
                                          form; machinery for
                                          agglomerating, shaping or
                                          molding solid mineral fuels.
8475...................................  Machines for assembling
                                          electric or electronic lamps,
                                          tubes or flashbulbs, in glass
                                          envelopes; machines for
                                          manufacturing or hot working
                                          glass or glassware; parts
                                          thereof.
8476...................................  Automatic goods-vending
                                          machines (for example, postage
                                          stamp, cigarette, food or
                                          beverage machines), including
                                          money-changing machines; parts
                                          thereof.
8477...................................  Machinery for working rubber or
                                          plastics or for the
                                          manufacture of products from
                                          these materials, not specified
                                          or included elsewhere in this
                                          chapter; parts thereof.
8478...................................  Machinery for preparing or
                                          making up tobacco, not
                                          specified or included
                                          elsewhere in this chapter;
                                          parts thereof.
8479...................................  Machines and mechanical
                                          appliances having individual
                                          functions, not specified or
                                          included elsewhere in this
                                          chapter; parts thereof.
8481.80.1020...........................  Bath and shower faucets (of
                                          copper).
8481.80.1030...........................  Sink and lavatory faucets (of
                                          copper).
8481.80.30.............................  Other taps, cocks, valves and
                                          similar appliances (of iron or
                                          steel).
8481.80.5060...........................  Bath, shower, sink and lavatory
                                          faucets (of other materials).
8486...................................  Machines and apparatus of a
                                          kind used solely or
                                          principally for the
                                          manufacture of semiconductor
                                          boules or wafers,
                                          semiconductor devices,
                                          electronic integrated circuits
                                          or flat panel displays;
                                          machines and apparatus
                                          specified in Note 9 (C) to
                                          this chapter; parts and
                                          accessories.
8501...................................  Electric motors and generators
                                          (excluding generating sets).
8502.40.0000...........................  Electric rotary converters.
8504...................................  Electrical transformers, static
                                          converters (for example,
                                          rectifiers) and inductors;
                                          parts thereof.
8508.11, 8508.19, 8508.70..............  Vacuum cleaners; parts thereof:
                                          With self-contained electric
                                          motor.
8509...................................  Electromechanical domestic
                                          appliances, with self-
                                          contained electric motor,
                                          other than vacuum cleaners of
                                          heading 8508; parts thereof.
8510...................................  Shavers, hair clippers and hair-
                                          removing appliances, with self-
                                          contained electric motor;
                                          parts thereof.
8511.40.0000...........................  Starter motors and dual purpose
                                          starter-generators.
8511.90.60.............................  Other parts of electrical
                                          ignition or starting
                                          equipment.
8512...................................  Electrical lighting or
                                          signaling equipment (excluding
                                          articles of heading 8539),
                                          windshield wipers, defrosters
                                          and demisters, of a kind used
                                          for cycles or motor vehicles;
                                          parts thereof.
8514...................................  Industrial or laboratory
                                          electric furnaces and ovens
                                          (including those functioning
                                          by induction or dielectric
                                          loss); other industrial or
                                          laboratory equipment for the
                                          heat treatment of materials by
                                          induction or dielectric loss;
                                          parts thereof.
8515...................................  Electric (including
                                          electrically heated gas),
                                          laser or other light or photon
                                          beam, ultrasonic, electron
                                          beam, magnetic pulse or plasma
                                          arc soldering, brazing or
                                          welding machines and
                                          apparatus, whether or not
                                          capable of cutting; electric
                                          machines and apparatus for hot
                                          spraying of metals or cermets;
                                          parts thereof.
8516...................................  Electric instantaneous or
                                          storage water heaters and
                                          immersion heaters; electric
                                          space heating apparatus and
                                          soil heating apparatus;
                                          electrothermic hairdressing
                                          apparatus (for example, hair
                                          dryers, hair curlers, curling
                                          tong heaters) and hand dryers.
8517...................................  Telephone sets, including
                                          telephones for cellular
                                          networks or for other wireless
                                          networks; other apparatus for
                                          the transmission or reception
                                          of voice, images or other
                                          data, including apparatus for
                                          communication in a wired or
                                          wireless network.

[[Page 81204]]

 
8518...................................  Microphones and stands
                                          therefor; loudspeakers,
                                          whether or not mounted in
                                          their enclosures; headphones
                                          and earphones, whether or not
                                          combined with a microphone,
                                          and sets consisting of a
                                          microphone and one or more
                                          loudspeakers; audio-frequency
                                          electric amplifiers; electric
                                          sound amplifier sets; parts
                                          thereof.
8519...................................  Sound recording or reproducing
                                          apparatus.
8521...................................  Video recording or reproducing
                                          apparatus, whether or not
                                          incorporating a video tuner.
8525...................................  Transmission apparatus for
                                          radio-broadcasting or
                                          television, whether or not
                                          incorporating reception
                                          apparatus or sound recording
                                          or reproducing apparatus;
                                          television cameras, digital
                                          cameras and video camera
                                          recorders.
8527...................................  Reception apparatus for radio
                                          broadcasting, whether or not
                                          combined, in the same housing,
                                          with sound recording or
                                          reproducing apparatus or a
                                          clock.
8528...................................  Monitors and projectors, not
                                          incorporating television
                                          reception apparatus; reception
                                          apparatus for television,
                                          whether or not incorporating
                                          radio-broadcast receivers or
                                          sound or video recording or
                                          reproducing apparatus.
8529...................................  Parts suitable for use solely
                                          or principally with the
                                          apparatus of headings 8525 to
                                          8528.
8530...................................  Electrical signaling, safety or
                                          traffic control equipment for
                                          railways, streetcar lines,
                                          subways, roads, inland
                                          waterways, parking facilities,
                                          port installations or
                                          airfields (other than those of
                                          heading 8608); parts thereof.
8539...................................  Electrical filament or
                                          discharge lamps, including
                                          sealed beam lamp units and
                                          ultraviolet or infrared lamps;
                                          arc lamps; parts thereof.
8543...................................  Electrical machines and
                                          apparatus, having individual
                                          functions, not specified or
                                          included elsewhere in this
                                          chapter; parts thereof.
8549...................................  Other electrical parts of
                                          machinery or apparatus, not
                                          specified or included
                                          elsewhere in this chapter.
8601...................................  Rail locomotives powered from
                                          an external source of
                                          electricity or by electric
                                          accumulators (batteries).
8602...................................  Other rail locomotives;
                                          locomotive tenders.
8603...................................  Self-propelled railway or
                                          tramway coaches, vans and
                                          trucks, other than those of
                                          heading 8604.
8604...................................  Railway or tramway maintenance
                                          or service vehicles, whether
                                          or not self-propelled (for
                                          example, workshops, cranes,
                                          ballast tampers, trackliners,
                                          testing coaches and track
                                          inspection vehicles).
8605...................................  Railway or tramway passenger
                                          coaches, not self-propelled;
                                          luggage vans, post office
                                          coaches and other special
                                          purpose railway or tramway
                                          coaches, not self-propelled
                                          (excluding those of heading
                                          8604).
8607...................................  Parts of railway or tramway
                                          locomotives or rolling stock:
                                          Truck assemblies, axles and
                                          wheels, and parts thereof.
8608...................................  Railway or tramway track
                                          fixtures and fittings;
                                          mechanical (including electro-
                                          mechanical) signaling, safety
                                          or traffic control equipment
                                          for railways, tramways, roads,
                                          inland waterways, parking
                                          facilities, port installations
                                          or airfields; parts of the
                                          foregoing.
8701...................................  Tractors (other than tractors
                                          of heading 8709).
8702...................................  Motor vehicles for the
                                          transport of ten or more
                                          persons, including the driver.
8703...................................  Motor cars and other motor
                                          vehicles principally designed
                                          for the transport of persons
                                          (other than those of heading
                                          8702), including station
                                          wagons and racing cars.
8704...................................  Motor vehicles for the
                                          transport of goods.
8705...................................  Special purpose motor vehicles,
                                          other than those principally
                                          designed for the transport of
                                          persons or goods (for example,
                                          wreckers, mobile cranes, fire
                                          fighting vehicles, concrete
                                          mixers, road sweepers,
                                          spraying vehicles, mobile
                                          workshops, mobile radiological
                                          units).
8707...................................  Bodies (including cabs), for
                                          the motor vehicles of headings
                                          8701 to 8705.
8708...................................  Parts and accessories of the
                                          motor vehicles of headings
                                          8701 to 8705.
8709...................................  Works trucks, self-propelled,
                                          not fitted with lifting or
                                          handling equipment, of the
                                          type used in factories,
                                          warehouses, dock areas or
                                          airports for short distance
                                          transport of goods; tractors
                                          of the type used on railway
                                          station platforms; parts of
                                          the foregoing vehicles.
8710...................................  Tanks and other armored
                                          fighting vehicles, motorized,
                                          whether or not fitted with
                                          weapons, and parts of such
                                          vehicles.
8713...................................  Carriages for disabled persons,
                                          whether or not motorized or
                                          otherwise mechanically
                                          propelled.
8714...................................  Parts and accessories of
                                          vehicles of headings 8711 to
                                          8713.
8802...................................  Other aircraft (for example,
                                          helicopters, airplanes);
                                          spacecraft (including
                                          satellites) and suborbital and
                                          spacecraft launch vehicles.
8803...................................  Parts of goods of heading 8801
                                          or 8802.
8805...................................  Aircraft launching gear; deck-
                                          arrestor or similar gear;
                                          ground flying trainers; parts
                                          of the foregoing articles.
8901...................................  Cruise ships, excursion boats,
                                          ferry boats, cargo ships,
                                          barges and similar vessels for
                                          the transport of persons or
                                          goods.
8902...................................  Fishing vessels; factory ships
                                          and other vessels for
                                          processing or preserving
                                          fishery products.
8904...................................  Tugs and pusher craft.
8905...................................  Light-vessels, fire-floats,
                                          dredgers, floating cranes, and
                                          other vessels the navigability
                                          of which is subsidiary to
                                          their main function; floating
                                          docks; floating or submersible
                                          drilling or production
                                          platforms.

[[Page 81205]]

 
8906...................................  Other vessels, including
                                          warships and lifeboats other
                                          than row boats.
8905...................................  Binoculars, monoculars, other
                                          optical telescopes, and
                                          mountings therefor; other
                                          astronomical instruments and
                                          mountings therefor, but not
                                          including instruments for
                                          radio-astronomy; parts and
                                          accessories thereof.
9006...................................  Photographic (other than
                                          cinematographic) cameras;
                                          photographic flashlight
                                          apparatus and flashbulbs other
                                          than discharge lamps of
                                          heading 8539; parts and
                                          accessories thereof.
9007...................................  Cinematographic cameras and
                                          projectors, whether or not
                                          incorporating sound recording
                                          or reproducing apparatus;
                                          parts and accessories thereof.
9008...................................  Image projectors, other than
                                          cinematographic; photographic
                                          (other than cinematographic)
                                          enlargers and reducers; parts
                                          and accessories thereof.
9010...................................  Apparatus and equipment for
                                          photographic (including
                                          cinematographic) laboratories,
                                          not specified or included
                                          elsewhere in this chapter;
                                          negatoscopes; projection
                                          screens; parts and accessories
                                          thereof.
9014...................................  Direction finding compasses;
                                          other navigational instruments
                                          and appliances; parts and
                                          accessories thereof.
9015...................................  Surveying (including
                                          photogrammetrical surveying),
                                          hydrographic, oceanographic,
                                          hydrological, meteorological
                                          or geophysical instruments and
                                          appliances, excluding
                                          compasses; rangefinders; parts
                                          and accessories thereof.
9018...................................  Instruments and appliances used
                                          in medical, surgical, dental
                                          or veterinary sciences,
                                          including scintigraphic
                                          apparatus, other electro-
                                          medical apparatus and sight-
                                          testing instruments; parts and
                                          accessories thereof.
9019...................................  Mechano-therapy appliances;
                                          massage apparatus;
                                          psychological aptitude-testing
                                          apparatus; ozone therapy,
                                          oxygen therapy, aerosol
                                          therapy, artificial
                                          respiration or other
                                          therapeutic respiration
                                          apparatus; parts and
                                          accessories thereof.
9022...................................  Apparatus based on the use of X-
                                          rays or of alpha, beta or
                                          gamma radiations, whether or
                                          not for medical, surgical,
                                          dental or veterinary uses,
                                          including radiography or
                                          radiotherapy apparatus, X-ray
                                          tubes and other X-ray
                                          generators, high tension
                                          generators, control panels and
                                          desks, screens, examination or
                                          treatment tables, chairs and
                                          the like; parts and
                                          accessories thereof.
9023...................................  Instruments, apparatus and
                                          models, designed for
                                          demonstrational purposes (for
                                          example, in education or
                                          exhibitions), unsuitable for
                                          other uses, and parts and
                                          accessories thereof.
9024...................................  Machines and appliances for
                                          testing the hardness,
                                          strength, compressibility,
                                          elasticity or other mechanical
                                          properties of materials (for
                                          example, metals, wood,
                                          textiles, paper, plastics),
                                          and parts and accessories
                                          thereof.
9027...................................  Instruments and apparatus for
                                          physical or chemical analysis
                                          (for example, polarimeters,
                                          refractometers, spectrometers,
                                          gas or smoke analysis
                                          apparatus); instruments and
                                          apparatus for measuring or
                                          checking viscosity, porosity,
                                          expansion, surface tension or
                                          the like; instruments and
                                          apparatus for measuring or
                                          checking quantities of heat,
                                          sound or light (including
                                          exposure meters); microtomes;
                                          parts and accessories thereof.
9030...................................  Oscilloscopes, spectrum
                                          analyzers and other
                                          instruments and apparatus for
                                          measuring or checking
                                          electrical quantities,
                                          excluding meters of heading
                                          9028; instruments and
                                          apparatus for measuring or
                                          detecting alpha, beta, gamma,
                                          X-ray, cosmic or other
                                          ionizing radiations; parts and
                                          accessories thereof.
9031...................................  Measuring or checking
                                          instruments, appliances and
                                          machines, not specified or
                                          included elsewhere in this
                                          chapter; profile projectors;
                                          parts and accessories thereof.
9033...................................  Parts and accessories (not
                                          specified or included
                                          elsewhere in this chapter) for
                                          machines, appliances,
                                          instruments or apparatus of
                                          chapter 90.
9105.11................................  Alarm clocks (electrically
                                          operated).
9105.19................................  Other clocks.
9207...................................  Musical instruments, the sound
                                          of which is produced, or must
                                          be amplified, electrically
                                          (for example, organs, guitars,
                                          accordions).
9209...................................  Parts (for example, mechanisms
                                          for music boxes) and
                                          accessories (for example,
                                          cards, discs and rolls for
                                          mechanical instruments) of
                                          musical instruments;
                                          metronomes, tuning forks and
                                          pitch pipes of all kinds.
9401...................................  Seats (other than those of
                                          heading 9402), whether or not
                                          convertible into beds, and
                                          parts thereof.
9402...................................  Medical, surgical, dental or
                                          veterinary furniture (for
                                          example, operating tables,
                                          examination tables, hospital
                                          beds with mechanical fittings,
                                          dentists' chairs); barbers'
                                          chairs and similar chairs,
                                          having rotating as well as
                                          both reclining and elevating
                                          movements; parts of the
                                          foregoing articles.
9405...................................  Lamps and lighting fittings
                                          including searchlights and
                                          spotlights and parts thereof,
                                          not elsewhere specified or
                                          included; illuminated signs,
                                          illuminated nameplates and the
                                          like, having a permanently
                                          fixed light source, and parts
                                          thereof not elsewhere
                                          specified or included.
9406...................................  Illuminated signs, illuminated
                                          nameplates and the like.
9504...................................  Video game consoles and
                                          machines, articles for arcade,
                                          table or parlor games,
                                          including pinball machines,
                                          bagatelle, billiards and
                                          special tables for casino
                                          games; automatic bowling alley
                                          equipment; parts and
                                          accessories thereof.

[[Page 81206]]

 
9506...................................  Articles and equipment for
                                          general physical exercise,
                                          gymnastics, athletics, other
                                          sports (including table-
                                          tennis) or outdoor games, not
                                          specified or included
                                          elsewhere in this chapter;
                                          swimming pools and wading
                                          pools; parts and accessories
                                          thereof.
9508...................................  Merry-go-rounds, boat-swings,
                                          shooting galleries and other
                                          fairground amusements;
                                          traveling circuses and
                                          traveling menageries;
                                          traveling theaters; parts and
                                          accessories thereof.
9518...................................  Tailors' dummies and other
                                          mannequins; automatons and
                                          other animated displays used
                                          for shopwindow dressing.
------------------------------------------------------------------------

    DOE requests comment on the requirement that importers importing 
covered products or equipment subject to DOE energy conservation 
standards that are within the above listed HTS codes provide a 
certification of admissibility to DOE. Further, DOE requests comment as 
to whether covered products or equipment subject to or being considered 
for energy conservation standards are currently imported using other 
HTS codes.

B. Applicability of Provision

    The requirement for a certification of admissibility would apply to 
all covered products and equipment subject to a DOE energy conservation 
standard set forth in 10 CFR part 430 or 431. The requirement would 
apply to all such products and equipment contained in the shipment, 
either as a final product or a component part of a final product. For 
example, an importer would need to submit an electronic record for all 
covered electric motors as defined in 10 CFR 431.12, provided that the 
electric motor is subject to a standard, regardless of whether the 
electric motor will be imported as a stand-alone product or as a 
component part of another product not subject to DOE regulations (a 
treadmill, for example). Similarly, an importer of a laptop computer 
that is bundled with an external power supply would be required to 
submit a certification of admissibility for the external power supply.
    If the shipment contains any such covered products or equipment, 
the importer would be required to state whether the product or 
equipment has been certified to DOE as compliant with all applicable 
energy conservation standards and, if so, the CCMS ticket number, the 
CCMS attachment identification number assigned to the certification 
submission, and the line number in the submission corresponding to the 
basic model certified. As discussed above, EPCA authorizes the 
Secretary of Energy to require importers of covered products and 
equipment ``to submit information or reports to the Secretary'' with 
respect to energy efficiency, energy use, or water use of covered 
products and equipment. (42 U.S.C. 6296(d)(1)) 10 CFR part 429 
requires, among other things, that importers submit a certification 
report to DOE prior to distributing their products in U.S. commerce, 
and the failure to properly certify covered products and covered 
equipment subject to DOE energy conservation standards is a prohibited 
act under those regulations. 10 CFR 429.12, 429.102(a)(1). Part of the 
certification report is a statement whereby the manufacturer (including 
an importer) certifies that the basic models listed in the 
certification report comply with the applicable energy conservation 
standard and have been tested according to the applicable test 
requirements. 10 CFR 429.12. DOE requests comment on its proposal to 
require, for a shipment that contains covered products or equipment 
subject to a DOE energy conservation standard, that the importer state 
whether the product or equipment has been certified to DOE as compliant 
with all applicable energy conservation standards and, if so, provide 
the CCMS ticket number, the CCMS attachment identification number 
assigned to the certification submission, and the line number in the 
submission corresponding to the basic model certified.
    If any covered product or equipment contained in the shipment has 
not been certified to DOE through CCMS, the importer would be required 
to include in its certification of admissibility; (1) the type of 
product or equipment; (2) the brand name of the covered product or 
equipment; (3) the individual model number of the covered product or 
equipment; (4) the original equipment manufacturer (OEM) of the covered 
product or equipment; and (5) a contact name and email address for the 
importer of record.
    Currently, 10 CFR part 429 uses the terms ``individual model 
number,'' ``manufacturer's individual model number,'' and 
``manufacturer's model number'' interchangeably and, of the three 
terms, only defines the term ``manufacturer's model number.'' For 
clarity, DOE proposes to replace the term ``manufacturer's model 
number'' with the term ``individual model number'' in the definitions 
at 10 CFR 429.2.\9\
---------------------------------------------------------------------------

    \9\ DOE anticipates that it would subsequently amend any 
relevant product-specific sections as necessary to harmonize with 
these proposed definitional changes.
---------------------------------------------------------------------------

    DOE initially considered requiring importers to provide all of the 
product-specific information specified above for all covered products 
and equipment subject to energy conservation standards. However, 
importers are already required to provide this information to DOE, 
prior to importation, when certifying that basic models of covered 
product and equipment meet applicable energy conservation standards. 
(10 CFR 429.12(a)) DOE proposes, therefore, to collect this additional 
information only regarding imported covered products and equipment 
subject to energy conservation standards that the importer has not 
certified to DOE as meeting applicable energy conservation standards. 
DOE believes this would be less burdensome to importers who have 
certified the basic models of covered products and equipment being 
imported, and therefore have already provided this information to DOE. 
DOE requests comment on its proposal to collect this additional 
information only regarding imported covered products and equipment 
subject to energy conservation standards that the importer has not 
certified to DOE as meeting applicable energy conservation standards.
    Currently, importers are not required, in certifying a covered 
product or equipment that is a component product of a final product, to 
provide the brand name and individual model number of the final 
product. Thus, an importer may certify a basic model once in CCMS but 
import that basic model as a component of a variety of different final 
products. In order to facilitate, as necessary, identification of 
covered products or equipment being imported

[[Page 81207]]

as a component of a final product, DOE proposes that, if a certified 
covered product or equipment is a component product of a final product 
being imported, the certification of admissibility must include the 
brand name and individual model number of the imported final product. 
DOE requests comment on this proposal. This information would be 
required regarding any covered product or equipment being imported as a 
component of another product, whether or not the covered product or 
equipment has been certified to DOE as meeting applicable energy 
conservation standards. DOE expects that it would be less of a 
reporting burden to provide the final product information during the 
importation process rather than as part of a complete certification 
through CCMS.
    As an alternative to this proposal, DOE would consider requiring 
this information from all manufacturers, including importers, as part 
of the process of certifying covered products or equipment. That 
requirement would not be adopted in this rulemaking, but rather in a 
separate rulemaking that DOE is preparing to revise its certification, 
compliance, and enforcement regulations applicable to consumer products 
and commercial and industrial equipment. See RIN: 1904-AD26. DOE 
requests comment regarding whether the reporting burden on importers 
would be less to provide this information as part of the certification 
of admissibility or as part of a compliance certification report 
submitted through CCMS.
    As in the case of products or equipment that are not ``covered,'' 
importers of products or equipment that are ``covered'' but not subject 
to standards (either DOE has not set standards or compliance with 
standards is not yet required) would not be required to provide a 
certification of admissibility. For example, although EPCA defines 
``covered equipment'' to include ``electric motors'' (42 U.S.C. 
6311(1)(A)), a small electric motor that is a component of a covered 
product or covered equipment is not subject to DOE energy conservation 
standards. (42 U.S.C. 6317(b)(3)). In addition, certain electric 
motors, such as NEMA Design C and IEC Design H, are not currently 
subject to the energy conservation standards for electric motors. 10 
CFR 431.25.
    The regulations issued by the Department of Treasury and CBP 
pursuant to EPCA, discussed herein, provide that, ``[u]pon a 
determination that a covered import is not in compliance with 
applicable energy conservation or labeling standards, DOE . . ., will 
provide CBP with a written or electronic notice that identifies the 
importer and contains a description of the noncompliant covered import 
that is sufficient to enable CBP to identify the subject merchandise 
and refuse admission thereof into the customs territory of the United 
States.'' (19 CFR 12.50(c)) The requirement for a certification of 
admissibility would ensure that DOE is aware of all shipments 
containing covered products and equipment subject to energy 
conservation standards prior to importation into the United States. 
This information will allow DOE to notify CBP if an importer is 
attempting to import a covered product or equipment that DOE has 
determined fails to meet the applicable energy conservation standard. 
Requiring importers to state whether the covered product or equipment 
being imported has been certified to DOE would allow DOE to identify 
importers that have not complied with these requirements, including 
potentially the failure to test; ensure that the product or equipment 
does, in fact, meet the applicable standards; and, if not, take 
appropriate enforcement action.
    DOE requests comment on the proposed requirement that importers 
submit a certification of admissibility to DOE for all covered products 
and equipment subject to energy conservation standards contained in the 
shipment, either as a final product or a component part of a final 
product.

C. Information to be Collected Regarding Products not Previously 
Certified to DOE as Compliant With Applicable Energy Conservation 
Standards

    If the product or equipment is covered and subject to a DOE energy 
conservation standard, and the basic model of the product or equipment 
has not been certified to DOE as compliant with all applicable energy 
conservation standards, then the certification of admissibility must 
include: (1) the type of product or equipment; (2) the brand name of 
the covered product or equipment; (3) the individual model number of 
the covered product or equipment; (4) whether the covered product or 
equipment is a final product or a component part of a final product 
and, if the covered product or equipment is a component, the brand name 
and individual model number of the final product; (5) the original 
equipment manufacturer (OEM) of the covered product or equipment, and 
in the case of electric motors, the Compliance Certification number; 
\10\ and (6) a contact name and email address for the importer of 
record. In the interest of the Single Window Initiative that is part of 
the Beyond the Border Action Plan on Perimeter Security and Economic 
Competiveness between the Canada Border Services Agency and CBP, the 
requested information is similar to that collected by Canada under Part 
VI, section 13, of their Energy Efficiency Regulations. (Regulations 
Amending the Energy Efficiency Regulations (1996), SOR/2011-182) \11\
---------------------------------------------------------------------------

    \10\ Under current regulations, DOE provides manufacturers of 
covered electric motors with a unique ``Compliance Certification 
number.'' 10 CFR 431.36(f). DOE anticipates issuing a rule regarding 
compliance certification of electric motors in the near future. DOE 
may make conforming changes to a final rule in this rulemaking as 
appropriate based on any regulatory changes made in that rulemaking. 
See RIN:1904-AD25.
    \11\ Available at http://laws-lois.justice.gc.ca/eng/regulations/SOR-94-651/page-2.html#h-3. Canada collects the 
following five pieces of information: (1) The name of the product 
using one of the names set forth in their regulations; (2) the model 
number or unique motor identifier of the product, as the case may 
be; (3) the brand, if any, of the product; (4) the address of the 
dealer; and (5) whether the product is being imported for sale or 
lease in Canada without modification, sale or lease in Canada after 
being modified to comply with the applicable energy efficiency 
standard, or use as a component for incorporation into any other 
product that is to be exported from Canada.
---------------------------------------------------------------------------

1. Type of Product or Equipment
    The specific products and equipment covered by DOE regulations 
found in 10 CFR parts 430 and 431 are divided into various types. DOE 
regulations refer to these types by the headers found in the applicable 
sections of 10 CFR part 429, subpart B. For example, to identify the 
type of product or equipment being imported, an importer would provide 
one of the following three-digit codes \12\ presented in Table III.2.
---------------------------------------------------------------------------

    \12\ This table is illustrative only. For example, the table 
does not reflect product types for which standards are being 
considered, but have not yet been adopted.

               Table III.2--Three-Digit Product Type Codes
------------------------------------------------------------------------
                                                            Three-digit
                      Product type                             code
------------------------------------------------------------------------
Refrigerators, refrigerator-freezers and freezers.......             014
Room air conditioners...................................             015
Central air conditioners and heat pumps.................             016
Water heaters...........................................             017
Furnaces................................................             018
Dishwashers.............................................             019
Clothes washers.........................................             020
Clothes dryers..........................................             021
Direct heating equipment................................             022
Kitchen ranges and ovens................................             023
Pool heaters............................................             024
Television sets.........................................             025

[[Page 81208]]

 
Fluorescent lamp ballasts...............................             026
General service fluorescent lamps.......................             027
Faucets.................................................             028
Showerheads.............................................             029
Water closets...........................................             030
Urinals.................................................             031
Ceiling fans............................................             032
Ceiling fan light kits..................................             033
Torchieres..............................................             034
Compact fluorescent lamps...............................             035
Dehumidifiers...........................................             036
External power supplies.................................             037
Battery chargers........................................             038
Electric motors.........................................             039
Commercial warm air furnaces............................             041
Commercial refrigerators, freezers, and refrigerator-                042
 freezers...............................................
Commercial heating, ventilating, air conditioning (HVAC)             043
 equipment..............................................
Commercial water heating equipment......................             044
Automatic commercial ice makers.........................             045
Commercial clothes washers..............................             046
Distribution transformers...............................             047
Illuminated exit signs..................................             048
Traffic signal modules and pedestrian modules...........             049
Commercial unit heaters.................................             050
Commercial pre-rinse spray valves.......................             051
Refrigerated bottled or canned beverage vending machines             052
Walk-in coolers and walk-in freezers....................             053
Metal halide lamp ballasts and fixtures.................             054
Light emitting diodes...................................             056
Furnace fans............................................             058
Pumps...................................................             059
Commercial packaged boilers.............................             060
Portable air conditioners...............................             062
------------------------------------------------------------------------

    For example, an importer of a consumer refrigerator would provide 
the code ``014,'' while an importer of a laptop bundled with an 
external power supply would provide code ``037.'' Collecting this 
information is essential to DOE's ability to identify possibly 
noncompliant products or equipment before they are imported into the 
United States. Once the type of product is identified, DOE can then 
focus its search of the relevant DOE databases to determine the 
compliance of the specific product or equipment being imported. DOE 
requests comment on requiring importers to identify the type of product 
or equipment being imported using a product-specific code in the 
certification of admissibility to DOE.\13\
---------------------------------------------------------------------------

    \13\ DOE anticipates issuing a Notice of Proposed Rulemaking to 
revise Part 429. That rulemaking would likely change the regulatory 
structure to provide a three-digit numbering system.
---------------------------------------------------------------------------

2. Brand
    The certification of compliance information DOE collects pursuant 
to 10 CFR 429.12 is brand-specific. A manufacturer provides the 
relevant information demonstrating compliance of their product or 
equipment specific to each brand under which a basic model may be 
labeled. Collecting information in the certification of admissibility 
regarding the brand of the covered product or equipment being imported 
would facilitate the DOE's determination of compliance of the product 
or equipment with applicable energy conservation standards and 
certification requirements. Moreover, collecting information as to the 
brand of the covered product or equipment is essential for DOE to 
provide CBP a description sufficient for CBP to identify the covered 
product and equipment and take appropriate action based upon the non-
compliance of the product or equipment. DOE requests comment on 
requiring importers to provide the brand of the covered product or 
equipment being imported in their certification of admissibility to 
DOE.
3. Individual Model Number
    The certification of compliance information DOE collects pursuant 
to 10 CFR 429.12 also includes the individual model number(s) within 
each basic model. By requiring importers to provide the individual 
model number of the covered product or equipment, DOE will be better 
able to determine if the product or equipment has, in fact, been 
certified as compliant or has been found noncompliant. Moreover, 
collecting information as to the individual model number of the covered 
product or equipment is essential for DOE, when required, to provide 
CBP a description sufficient for CBP to identify the product or 
equipment and take appropriate action based upon the non-compliance of 
the product or equipment. DOE requests comment on requiring importers 
to provide the individual model number of the covered product or 
equipment subject to DOE energy conservation standards in their 
certification of admissibility to DOE.
4. Identification of Covered Product or Equipment Subject to DOE Energy 
Conservation Standards as a Product or Component
    As a practical matter, a description of covered product or 
equipment subject to DOE energy conservation standards that is a 
component of a final product must include information (e.g., brand and 
model number) regarding the final product sufficient to allow CBP to 
identify the final product and take appropriate action based upon the 
non-compliance of the component contained therein or packaged with the 
final product. It is therefore essential that the importer identify in 
its certification of admissibility whether the covered product or 
equipment subject to DOE energy conservation standards is a final 
product or a component of a final product and, if a component, the 
brand and individual model number of the final product. DOE requests 
comment on requiring importers to indicate in their certification of 
admissibility to DOE whether the covered product or equipment subject 
to DOE energy conservation standards being imported is a final product 
or a component of a final product and, if a component, the brand and 
individual model number of the final product.
5. Original Equipment Manufacturer
    DOE routinely identifies noncompliant products by the original 
producer or assembler of the product (OEM). Collecting the OEM's name 
is therefore essential to DOE's ability to identify noncompliant 
products or equipment before they are imported into the United States. 
Once the OEM is identified, DOE can use that information to compare to 
the lists of products certified as compliant by that same OEM or, 
conversely, found to be noncompliant from the OEM. Identifying the OEM 
of the product will further help avoid confusion between similar 
products in the case where one OEM produces a compliant product while 
another does not. DOE requests comment on requiring importers to 
provide the name of the OEM for covered products and equipment subject 
to DOE energy conservation standards they are importing and, in the 
case of electric motors, the Compliance Certification number on the 
electric motor nameplate.
6. Contact Name and Email Address for Importer of Record
    In cases where a certification of admissibility raises questions of 
possible noncompliance with energy conservation standards, DOE will

[[Page 81209]]

follow-up with the importer of record regarding the covered products or 
equipment certified. Requiring importers to provide a contact name and 
email address would facilitate DOE's efforts in this regard and would 
serve the interest of the importer in expeditiously resolving any 
issues raised. DOE requests comment on requiring importers to provide a 
contact name and email address in their certification of admissibility 
to DOE.

D. Method of Collection

    All importers would be required to submit their certifications of 
admissibility to DOE via CBP's ACE system. Importers are encouraged by 
CBP to use ACE as it allows them to file manifests electronically; make 
periodic payments on an interest-free monthly basis; file and process 
formal consumption entries and informal entries, including ABI Census 
Warning Overrides; view and respond to certain CBP forms through the 
ACE Portal; and file and process AD/CVD entries (also known as type 03 
entries) and track the lifecycle of their AD/CVD cases. Participating 
in ACE also supports the U.S. Department of Homeland Security's dual 
mission to facilitate legitimate trade and secure the nation's borders. 
Importers will be able to provide required information to multiple 
federal agencies through ACE, thereby simplifying the paperwork 
submission process for importers. DOE requests comment on requiring 
importers to file the certification of admissibility to DOE through the 
ACE system.

E. Effective Date and Compliance Date

    If adopted, the effective date for this rule would be 30 days after 
publication of the final rule in the Federal Register. The compliance 
date for the rule, on or after which importers must submit 
certifications of admissibility in accordance with the rule, would be 2 
years after the date of publication of the final rule in the Federal 
Register.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that 
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 (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 OMB.

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 (IRFA) 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 has made its 
procedures and policies available on the Office of the General 
Counsel's Web site (http://energy.gov/gc/office-general-counsel).
    DOE has prepared an IRFA for this rulemaking. As presented and 
discussed below, the IRFA describes potential impacts on importers of 
covered products or equipment subject to DOE energy conservation 
standards and the associated compliance costs.
    A statement of the objectives of, and reasons and legal basis for, 
the proposed rule are set forth elsewhere in the preamble and not 
repeated here.
1. Description and Estimated Number of Small Entities Regulated
    For companies classified in different NAICS codes, the Small 
Business Administration (SBA) has set a size threshold, which defines 
those entities classified as ``small businesses'' for the purposes of 
the statute. DOE used the SBA's small business size standards to 
determine whether any small entities would be subject to the 
requirements of the rule. The size standards are listed by North 
American Industry Classification System (NAICS) code and industry 
description available at: http://www.sba.gov/content/table-small-business-size-standards and vary by NAICS code. Because the small 
business sizes vary by industry and the proposed rule affects companies 
in a range of NAICS codes, DOE used the most common threshold of 500 
employees or less for an entity to be considered as a small business 
for this category.
    No comprehensive list of importers of covered products or equipment 
subject to DOE energy conservation standards exists. DOE evaluated many 
information sources to assess the availability of data needed to 
estimate the number of companies that could be both importers of 
products covered by this rulemaking and United States small businesses. 
DOE's research involved information from the Department of Commerce, 
the United States Census, the American Association of Exporters and 
Importers, the National Small Business Association, the Small Business 
Exporters Association, and the United States Customs and Border 
Protection Office. Ultimately, DOE's analysis relied most heavily on 
information from the Department of Commerce and the United States 
Census to estimate the number of affected small business importers.
    After assessing the data available, DOE relied on a three-step 
process for estimating the number of small business importers: (1) 
Determine the potentially affected industries; (2) Find the number of 
small businesses in each industry; (3) Estimate the number of those 
small businesses that import covered products or equipment subject to 
DOE energy conservation standards.
    Determination of potentially affected industries. To calculate the 
number of small businesses potentially impacted by this rule, DOE first 
screened out the sectors listed in Table IV.1 (using two-digit NAICS 
code) from consideration based on the nature of their business (i.e., 
businesses operating in these sectors are unlikely to be an importer of 
covered products or equipment subject to DOE energy conservation 
standards or products that contain such covered products or equipment):

Table IV.1--NAICS Sectors Screened Out From Consideration as Potentially
                            Impacted by Rule
------------------------------------------------------------------------
              NAICS                             Description
------------------------------------------------------------------------
11...............................  Agriculture.
21...............................  Mining, Quarrying, and Oil and Gas
                                    Extraction Quarrying.
22...............................  Utilities.
23...............................  Construction.
48-49............................  Transportation and Warehousing.
51...............................  Information.
52...............................  Finance and Insurance.
53...............................  Real Estate.
54...............................  Professional, Scientific and
                                    Technical Services.
55...............................  Management of Companies and
                                    Enterprises.
56...............................  Administrative and Support and Waste
                                    Management and Remediation Services.
61...............................  Educational Services.
62...............................  Health Care and Social Assistance.
71...............................  Arts, Entertainment, and Recreation.
72...............................  Accommodation and Food Services.

[[Page 81210]]

 
81...............................  Other Services, except Public
                                    Administration.
99...............................  Unclassified.
------------------------------------------------------------------------

    The industries that passed the screening are shown in Table IV.2.

Table IV.2--NAICS Sectors (Two-Digit Code Level) Potentially Impacted by
                                  Rule
------------------------------------------------------------------------
              NAICS                             Description
------------------------------------------------------------------------
31-33............................  Manufacturing.
42...............................  Wholesale Trade.
44-45............................  Retail Trade.
------------------------------------------------------------------------

    Next, DOE evaluated each of the two-digit sectors that passed the 
first screening at the most granular five-digit NAICS code level.\14\ 
Table IV.3 shows the final industry NAICS codes DOE assumed could be 
affected by this rule based on the description of the industry.
---------------------------------------------------------------------------

    \14\ NAICS codes can be disaggregated into discrete non-
overlapping subsets of firms based on their primary business 
activity.

 Table IV.3--NAICS Sectors (Five-Digit Code Level) Potentially Impacted
                                 by Rule
------------------------------------------------------------------------
              NAICS                             Description
------------------------------------------------------------------------
33241............................  Power Boiler and Heat Exchanger
                                    Manufacturing.
33331............................  Commercial and Service Industry
                                    Machinery Manufacturing.
33341............................  Ventilation, Heating, Air-
                                    Conditioning, and Commercial
                                    Refrigeration Equipment
                                    Manufacturing.
33361............................  Engine, Turbine, and Power
                                    Transmission Equipment
                                    Manufacturing.
33391............................  Pump and Compressor Manufacturing.
33399............................  All Other General Purpose Machinery
                                    Manufacturing.
33411............................  Computer and Peripheral Equipment
                                    Manufacturing.
33422............................  Radio and Television Broadcasting and
                                    Wireless Communications Equipment
                                    Manufacturing.
33431............................  Audio and Video Equipment
                                    Manufacturing.
33511............................  Electric Lamp Bulb and Part
                                    Manufacturing.
33512............................  Lighting Fixture Manufacturing.
33521............................  Small Electrical Appliance
                                    Manufacturing.
33522............................  Major Appliance Manufacturing.
33531............................  Electrical Equipment Manufacturing.
33591............................  Battery Manufacturing.
33599............................  All Other Electrical Equipment and
                                    Component Manufacturing.
33611............................  Automobile and Light Duty Motor
                                    Vehicle Manufacturing.
33612............................  Heavy Duty Truck Manufacturing.
42342............................  Office Equipment Merchant
                                    Wholesalers.
42343............................  Computer and Computer Peripheral
                                    Equipment and Software Merchant
                                    Wholesalers.
42344............................  Other Commercial Equipment Merchant
                                    Wholesalers.
42361............................  Electrical Apparatus and Equipment,
                                    Wiring Supplies, and Related
                                    Equipment Merchant Wholesalers.
42362............................  Household Appliances, Electric
                                    Housewares, and Consumer Electronics
                                    Merchant Wholesalers.
42369............................  Other Electronic Parts and Equipment
                                    Merchant Wholesalers.
42372............................  Plumbing and Heating Equipment and
                                    Supplies (Hydronics) Merchant
                                    Wholesalers.
42373............................  Warm Air Heating and Air-Conditioning
                                    Equipment and Supplies Merchant
                                    Wholesalers.
42374............................  Refrigeration Equipment and Supplies
                                    Merchant Wholesalers.
42383............................  Industrial Machinery and Equipment
                                    Merchant Wholesalers.
42386............................  Transportation Equipment and Supplies
                                    (except Motor Vehicle) Merchant
                                    Wholesalers.
44229............................  Other Home Furnishings Stores.
44314............................  Electronics and Appliance Stores.
45411............................  Electronic Shopping and Mail-Order
                                    Houses.
------------------------------------------------------------------------

    Calculation of small businesses in affected industries. Second, DOE 
used firm-size data from the United States Census to determine the 
number of small businesses in each five-digit NAICS code sector that 
passed the screening. DOE used 2012 data because it was the most 
recently available data and, as mentioned above, DOE used the 500-
employee threshold as the small business cut off.
    Calculation of the number of small business importers. Step 3 
provides the total number of small businesses in the industries that 
may be affected by this rulemaking. DOE is not aware of data on the 
share of these small businesses that act as importers. To estimate this 
share, DOE divided the total number of importers--Department of 
Commerce data from 2011 shows that there were 183,960 U.S. businesses 
importing to the United States--by the total number of businesses in 
those sectors that might be engaged in importing (1,318,818) \15\ to 
calculate the percentage of total businesses that are importers. In 
this way, DOE estimated that approximately 14 percent of businesses in 
the remaining sectors are engaged in importing activities. Lacking more 
specific importer data by industry, DOE assumed this percentage 
represented, on average, the share of total firms in each relevant 
industry that were importers. DOE then multiplied this share by the 
number of the small businesses in each covered NAICS sector (from Step 
2) to yield the number of small business importers by each of those 
NAICS codes, as shown in Table IV.4.
---------------------------------------------------------------------------

    \15\ This value was determined by subtracting the number of 
businesses in NAICS sectors not engaged in importing from the total 
number of businesses according to the Census. This was necessary 
because the data on the total number of importers could not be 
disaggregated in meaningful detail, but clearly some industries 
(such as services) are much less likely to have a significant 
presence in importing when compared to wholesale, manufacturing, and 
retail.

[[Page 81211]]



    Table IV.4--Number of Small Business Potentially Impacted by Rule
------------------------------------------------------------------------
                                                          Small business
          NAICS                     Description              importers
------------------------------------------------------------------------
33241....................  Power Boiler and Heat                      33
                            Exchanger Manufacturing.
33331....................  Commercial and Service                    249
                            Industry Machinery
                            Manufacturing.
33341....................  Ventilation, Heating, Air-                204
                            Conditioning, and Commercial
                            Refrigeration Equipment
                            Manufacturing.
33361....................  Engine, Turbine, and Power                105
                            Transmission Equipment
                            Manufacturing.
33391....................  Pump and Compressor                        90
                            Manufacturing.
33399....................  All Other General Purpose                 443
                            Machinery Manufacturing.
33411....................  Computer and Peripheral                   137
                            Equipment Manufacturing.
33422....................  Radio and Television                       96
                            Broadcasting and Wireless
                            Communications Equipment
                            Manufacturing.
33431....................  Audio and Video Equipment                  63
                            Manufacturing.
33511....................  Electric Lamp Bulb and Part                 7
                            Manufacturing.
33512....................  Lighting Fixture                          131
                            Manufacturing.
33521....................  Small Electrical Appliance                 15
                            Manufacturing.
33522....................  Major Appliance Manufacturing              18
33531....................  Electrical Equipment                      253
                            Manufacturing.
33591....................  Battery Manufacturing........              17
33599....................  All Other Electrical                      122
                            Equipment and Component
                            Manufacturing.
33611....................  Automobile and Light Duty                  27
                            Motor Vehicle Manufacturing.
33612....................  Heavy Duty Truck                            7
                            Manufacturing.
42342....................  Office Equipment Merchant                 349
                            Wholesalers.
42343....................  Computer and Computer                     982
                            Peripheral Equipment and
                            Software Merchant
                            Wholesalers.
42344....................  Other Commercial Equipment                508
                            Merchant Wholesalers.
42361....................  Electrical Apparatus and                1,196
                            Equipment, Wiring Supplies,
                            and Related Equipment
                            Merchant Wholesalers.
42362....................  Household Appliances,                     291
                            Electric Housewares, and
                            Consumer Electronics
                            Merchant Wholesalers.
42369....................  Other Electronic Parts and              1,284
                            Equipment Merchant
                            Wholesalers.
42372....................  Plumbing and Heating                      398
                            Equipment and Supplies
                            (Hydronics) Merchant
                            Wholesalers.
42373....................  Warm Air Heating and Air-                 290
                            Conditioning Equipment and
                            Supplies Merchant
                            Wholesalers.
42374....................  Refrigeration Equipment and                97
                            Supplies Merchant
                            Wholesalers.
42383....................  Industrial Machinery and                3,213
                            Equipment Merchant
                            Wholesalers.
42386....................  Transportation Equipment and              293
                            Supplies (except Motor
                            Vehicle) Merchant
                            Wholesalers.
44229....................  Other Home Furnishings Stores           1,408
44314....................  Electronics and Appliance               3,626
                            Stores.
45411....................  Electronic Shopping and Mail-           3,989
                            Order Houses.
                           Total........................          19,941
------------------------------------------------------------------------

    This represents a conservative upper-bound estimate because there 
are companies contained in some NAICS sectors (e.g., heat exchanger 
manufacturers in NAICS 33241) that could be importers of non-covered 
products or equipment, but are included here because DOE lacks the data 
necessary to cull those out. The estimate of 19,941 importers includes 
both importers of covered products or equipment subject to DOE energy 
conservation standards and other end-use products meant for 
distribution in commerce that contain such covered products as 
components (e.g., any end-use product bundled with a covered external 
power supply or a non-covered end-use product with a covered motor.)
2. Description and Estimate of Compliance Requirements
    DOE assumes small businesses that import covered products or 
equipment will have already complied with their legal obligation to 
certify to DOE, through CCMS, all basic models of such products or 
equipment, and therefore would be required to report only the following 
information regarding the most recent certification of the basic model 
of covered products or equipment subject to DOE energy conservation 
standards they import:
    1. The CCMS ticket number;
    2. The CCMS attachment identification number assigned to the 
certification submission;
    3. The line number in the submission corresponding to the basic 
model certified; and
    4. If the covered product or equipment is a component of a final 
product, the brand name and individual model number of the final 
product.
    The role of customs brokers. In assessing the burden of any new 
reporting requirements on importers, it is important to understand the 
process by which the typical importer complies with existing customs 
requirements. The vast majority of importers use customs brokers for a 
bundle of import-related services, including notification of regulatory 
requirements and aid in completing and submitting the required 
paperwork. For importers, who typically operate on tight schedules, 
delays at port can cause missed deliveries and result in heavy 
financial and reputational penalty. For these reasons, the job of 
negotiating the regulatory terrain of the import business is usually 
entrusted to third-party customs brokers who specialize in importation 
reporting requirements (among other services). Customs brokers are 
familiar with the necessary regulatory filings and procedures required 
to ensure that a shipment clears customs in a timely manner. Typically, 
an importer will contract with a broker who will file all necessary 
paperwork including the commercial invoice and any supplemental 
information required by various regulatory bodies. Additionally, 
brokers already have bond coverage to cover any duties associated with 
the importation and can save importers from having to post a separate 
bond for each shipment.
    Because this proposed rule entails only an electronic reporting 
requirement through ACE, DOE does not anticipate any significant 
incremental investment in product or capital conversion costs to 
comply. Currently, more than 96 percent of all entries filed with CBP 
are already being filed through the ABI. By the end of 2016, ACE will 
become the Single Window--the primary system through which the trade 
community will report imports and exports and the

[[Page 81212]]

government will determine admissibility, with the ABI as the method 
through which entries and entry summaries are transmitted to ACE.\16\
---------------------------------------------------------------------------

    \16\ http://www.cbp.gov/trade/automated.
---------------------------------------------------------------------------

    While the ABI interface helps to facilitate the process, there are 
new data elements proposed as reporting requirements in this NOPR. 
Those fall into two categories: (1) data fields that are already 
typically collected during the importation process and (2) those that 
are not.
    Data Already Collected: Based on interviews with customs brokers, 
DOE believes that the brand name of the final product being imported, 
which would be required in the instances where the covered product or 
equipment is a component of the final product, is on the commercial 
invoice that is already filed with the customs broker as part of the 
importation process. When required, this data can be keyed in during 
the electronic filing process that brokers and importers already go 
through and thus should have minimal impact on both the importer and 
customs broker.
    Data Not Currently Collected: The individual model number, required 
in the instances where the covered product or equipment is a component 
of the final product, the CCMS ticket number, the CCMS attachment 
identification number assigned to the certification submission, and the 
line number in the submission corresponding to the basic model 
certified are the only data fields proposed as a new reporting 
requirement that are not typically on any of the invoices. Depending on 
the product, the individual model numbers may be included on the 
invoice. In any case, customs brokers indicated they would most likely 
go to their client (the importer) to ask them for any missing 
information, which the importer would have as part of the process of 
certifying compliance to DOE.
    Furthermore, brokers maintain databases of their customers and 
associated products, and one of their service offerings is to be 
proactive with their clients in notifying them of new regulations. In 
interviews, brokers indicated they would likely review their customer 
databases to determine which companies are subject to new requirements 
and alert them to the additional data requirements discussed above. By 
contacting customers prior to the regulations going into effect, 
brokers can minimize the likelihood of any delays due to new DOE 
reporting requirements and also give customers time to prepare for the 
new requirements, particularly given the proposed two-year lead time.
    Therefore, DOE estimates a one-time burden of approximately twenty 
hours per small business importer to learn the reporting requirements 
and set up a system of information flow internally. DOE notes that all 
information should be readily available, as importers of covered 
products or equipment subject to energy conservation standards are 
already required to certify compliance.
    Because importers are currently required to submit certifications 
of compliance annually through CCMS, the information that would be 
submitted in a certification of admissibility prior to each importation 
of a basic model covered product or equipment (the most recent CCMS 
ticket number, attachment number, and line number) would need to be 
obtained and keyed in only once per year, for the first shipment of the 
covered product or equipment following the annual CCMS filing. Because 
this information would be readily available to the importer, DOE 
estimates annual burden of 0.03 hours per basic model of covered 
product or equipment imported by the small business importer to obtain 
and enter the data required for a certification of admissibility. For 
all subsequent certifications of admissibility submitted over the 
course of the year, the importer would only be required to 
electronically resubmit the same data, and the burden imposed by these 
subsequent electronic submissions would be negligible.
    Based upon information in the CCMS database, DOE estimates that, on 
average, each small business importer submits compliance certification 
reports for 157 basic models of covered product or equipment annually. 
Therefore, DOE estimates that the requirement of submission of 
certifications of admissibility proposed in this rule would result in 
an annual burden of approximately 4.71 hours per small business 
importer.
3. Request for Comments
    DOE seeks comments on the following topics regarding this IRFA:
    (1) The five-digit NAICS codes believed to include importers of 
covered products or equipment subject to DOE energy conservation 
standards or such products or equipment with covered components.
    (2) The availability of data on the number of small business 
importers in sectors covered by DOE regulations.
    (3) The estimated burden associated with the reporting of 
individual model numbers for both importers and customs brokers.
    (4) How brokers will react to the necessary reporting requirements 
and if there will be any increase in costs.
4. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the rule being proposed.
5. Significant Alternatives to the Rule
    This section considers alternatives to the proposals for the 
submission of certifications of admissibility in this rulemaking. As 
noted in Section III.B, DOE initially considered requiring importers to 
provide, in their certifications of admissibility, detailed product-
specific information for all covered products and equipment subject to 
energy conservation standards. However, in order reduce the potential 
burden on importers, DOE proposes to collect this additional 
information only where the importer has not already certified to DOE 
the compliance of the product or equipment through CCMS.
    DOE could further mitigate the potential impacts on small business 
importers by not requiring a certification of admissibility prior to 
the importation of any covered consumer product or commercial and 
industrial equipment subject to an applicable energy conservation 
standard. However, DOE strongly believes the proposals in this 
rulemaking are essential to a sustainable and consistent enforcement 
program vis-[agrave]-vis imports of covered products and covered 
equipment. While the alternative may mitigate the potential economic 
impacts on small entities compared to the proposed provisions, the 
ability for DOE to enforce its energy conservation regulations far 
exceeds any potential burdens. Furthermore, small businesses may 
benefit from stronger enforcement against noncompliant imports. Thus, 
DOE rejected this alternative and is adopting the provisions set forth 
in this rulemaking for all importers of covered products and covered 
equipment. DOE continues to seek input from businesses that would be 
affected by this rulemaking and will consider comments received in the 
development of any final rule.

C. Review Under the Paperwork Reduction Act

1. Description of the Requirements
    DOE is proposing to require persons importing into the United 
States any covered consumer product or industrial equipment subject to 
an applicable energy conservation standard to provide a certification 
of admissibility to the DOE. DOE assumes that importers will have 
already complied with their legal obligation to certify to DOE, through 
CCMS, all basic models of products or

[[Page 81213]]

equipment subject to DOE energy conservation standards, such that the 
importer would only need to identify in its certification of 
admissibility the most recent CCMS ticket number, attachment number, 
and line number for the basic model of the covered product or equipment 
contained in the shipment. This information would enable DOE to 
identify, prior to arrival at a U.S. port of entry, shipments that 
contain covered products or equipment that have been found to be non-
compliant, allowing DOE to take appropriate proactive enforcement 
action. Such action could include providing notice to CBP sufficient to 
allow CBP to refuse admission of the non-compliant covered product or 
equipment into the U.S.
2. Method of Collection
    The certification of admissibility would be required to be 
submitted to DOE through CPB's ACE system.
3. Data
    The following are DOE estimates of the total annual reporting 
burden imposed on persons importing into the United States any covered 
product or equipment subject to an applicable energy conservation 
standard. These estimates take into account the time necessary to 
obtain and enter the required electronic information to be submitted to 
ACE. As explained in Section IV.B.3, for each basic model of covered 
product and equipment, the data required for a certification of 
admissibility would need to be obtained and entered only once per year. 
Subsequent certifications during the same year would only require 
electronic resubmission of the same data previously submitted, and the 
burden of each resubmission would be negligible.
    OMB Control Number: New.
    Form Number: None.
    Type of Review: Regular submission.
    Affected Public: Persons importing into the United States any 
covered consumer product or industrial equipment subject to an 
applicable energy conservation standard.
    Estimated Number of Respondents: 20,336
    Estimated Number of New Responses per Respondent Annually: 313
    Estimated Time per New Response: 0.03 hours.
    Estimated Total Annual Burden Hours: 109,955.
    Estimated Total Annual Cost to the Importers: $4,336,589 in 
reporting costs.
4. Comments
    Public comment is sought regarding: Whether this proposed 
collection of information is necessary for the proper performance of 
the functions of DOE, including whether the information shall have 
practical utility; the accuracy of the burden estimate; ways to enhance 
the quality, utility, and clarity of the information to be collected; 
and ways to minimize the burden of the collection of information, 
including through the use of automated collection techniques or other 
forms of information technology. Send comments on these or any other 
aspects of the collection of information to Chad Whiteman, Desk 
Officer, Office of Information and Regulatory Affairs, Office of 
Management and Budget, Washington, DC 20503 and by email to 
[email protected].
    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

    DOE anticipates that this proposed 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 amends an existing rule without changing its 
environmental effect and, therefore, DOE expects that it would be 
covered by the Categorical Exclusion in 10 CFR part 1021, subpart D, 
paragraph A5. Accordingly, DOE is not preparing an environmental 
assessment or an environmental impact statement.

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 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 this 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

[[Page 81214]]

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 this proposed rule according to UMRA 
and its statement of policy and determined that today's proposal 
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 proposal 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 proposal 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 (February 22, 2002), 
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). 
DOE has reviewed this 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 OIRA 
at 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 promulgates 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.
    DOE has tentatively concluded that today's proposed regulatory 
action, which sets forth a proposed requirement for the submission of a 
certification of admissibility to DOE by importers of products or 
equipment subject to energy conservation standards, is not a 
significant energy action because the requirement is not likely to have 
a significant adverse effect on the supply, distribution, or use of 
energy, nor has it been designated as such by the Administrator at 
OIRA. Accordingly, DOE has not prepared a Statement of Energy Effects 
on the proposed rule.

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 www.regulations.gov. The regulations.gov 
Web page will require you to provide your name and contact information. 
Your contact information will be viewable to DOE Building Technologies 
staff only. 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. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    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.
    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.

[[Page 81215]]

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 compact disk (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 concerning the following issues:
    1. DOE requests comment on the requirement that importers importing 
covered products or equipment subject to DOE energy conservation 
standards that are within the listed HTS codes provide a certification 
of admissibility to DOE. Further, DOE requests comment as to whether 
covered products or equipment subject to or are being considered for 
DOE energy conservation standards are currently imported using other 
HTS codes.
    2. DOE requests comment on its proposal to require, for a shipment 
that contains covered products or equipment subject to a DOE energy 
conservation standard, that the importer state whether the product or 
equipment has been certified to DOE as compliant with all applicable 
energy conservation standards and, if so, provide the CCMS ticket 
number, the CCMS attachment identification number, and line number 
associated with the specific basic model.
    3. DOE requests comment on the requirement that importers submit a 
certification of admissibility to DOE for all covered products and 
equipment subject to an energy conservation standard that is contained 
in the shipment, either as a final product or a component part of a 
final product.
    4. DOE requests comment on requiring importers to indicate in the 
import declaration to DOE whether the covered product or equipment 
being imported and subject to DOE energy conservation standards is a 
final product or a component of a final product and, if the covered 
product or equipment is a component, the brand name and individual 
model number of the final product. DOE also requests comment regarding 
whether the reporting burden on importers would be less to provide this 
information as part of the certification of admissibility or as part of 
a compliance certification report submitted through CCMS.
    5. DOE requests comment on its proposal to collect additional 
product-specific information only (e.g., brand, individual model 
number) regarding imported covered products and equipment subject to 
energy conservation standards that the importer has not certified to 
DOE as meeting applicable energy conservation standards, and whether, 
as DOE anticipates, this would result in less burden to those required 
to file certifications of admissibility.
    6. DOE requests comment on requiring importers to file the 
certification of admissibility through ACE.

VI. Approval of the Office of the Secretary

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

List of Subjects in 10 CFR Part 429

    Confidential business information, Energy conservation, Household 
appliances, Imports, Reporting and recordkeeping requirements.

    Issued in Washington, DC, on December 18, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
Steven P. Croley,
General Counsel.

    For the reasons stated in the preamble, DOE is proposing to amend 
part 429 of chapter II, subchapter D of title 10, Code of Federal 
Regulations, as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317

0
2. Section 429.2 is amended by removing the definition of 
``manufacturer's model number'' and adding in alphabetical order the 
definitions of ``individual model number'' and ``original equipment 
manufacturer'' to read as follows:


Sec.  429.2  Definitions.

* * * * *
    Individual model number means the identifier used by a manufacturer 
to uniquely identify the group of identical or essentially identical 
covered products or covered equipment to which a particular unit 
belongs. The individual model number typically appears on the product 
nameplates, in product

[[Page 81216]]

catalogs, and in other product advertising literature.
    Original equipment manufacturer or OEM means any person who 
produces or assembles a unit of a covered product or covered equipment. 
Only one OEM is responsible for the manufacture (production or 
assembly) of a particular unit.
0
3. Section 429.5 is amended by adding paragraph (c) to read as follows:


Sec.  429.5  Imported products.

* * * * *
    (c) Any person importing a unit of a covered product or covered 
equipment subject to an applicable energy conservation standard set 
forth in parts 430 or 431 of this chapter for entry into the United 
States on or after [2 YEARS AFTER DATE OF PUBLICATION OF FINAL RULE IN 
THE FEDERAL REGISTER], whether the unit is a component part of another 
product or a final product, must provide a certification of 
admissibility to the Secretary in accordance with Sec.  429.500.
0
4. Section 429.7 is amended by revising paragraph (b) to read as 
follows:


Sec.  429.7  Confidentiality.

* * * * *
    (b) An individual model number is public information unless:
    (1) The individual model number is a unique model number of a 
commercial packaged boiler, commercial water heating equipment, 
commercial HVAC equipment or commercial refrigeration equipment that 
was developed for an individual customer,
    (2) The individual model number is not displayed on product 
literature, and
    (3) Disclosure of the individual model number would reveal 
confidential business information as described at Sec.  1004.11 of this 
title--in which case, under these limited circumstances, a manufacturer 
may identify the individual model number as a private model number on a 
certification report submitted pursuant to Sec.  429.12(b)(6).
* * * * *
0
5. Section 429.12 is amended by revising paragraph (b)(6) to read as 
follows:


Sec.  429.12.  General requirements applicable to certification 
reports.

* * * * *
    (b) * * *
    (6) For each brand, the basic model number and the individual model 
number(s) in that basic model with the following exceptions: For walk-
in coolers, the basic model number for each brand must be submitted. 
For distribution transformers, the basic model number or kVA grouping 
model number (depending on the certification method) for each brand 
must be submitted. For commercial HVAC, WH, and refrigeration 
equipment, an individual model number may be identified as a ``private 
model number'' if it meets the requirements of Sec.  429.7(b).
* * * * *
0
6. Section 429.500 is added to read as follows:


Sec.  429.500.  Certification of admissibility.

    (a) A certification of admissibility submitted pursuant to Sec.  
429.5(c) must meet the provisions of this section.
    (b) The certification must be submitted through the Automated 
Commercial Environment (ACE) of the U.S. Customs and Border Protection 
(CBP) before the entry of the unit(s) at the port of arrival.
    (c) The certification must include whether the basic model of the 
product or equipment being imported has been certified to DOE as 
compliant with all applicable energy conservation standards;
    (d) If the importer has not submitted a certification report for 
the basic model of the product or equipment being imported pursuant to 
Sec.  429.12, the certification of admissibility must include:
    (1) The type of product or equipment (using a three-digit code 
corresponding to the applicable section in 10 CFR part 429, subpart B);
    (2) The brand name of the covered product or equipment;
    (3) The individual model number of the covered product or 
equipment;
    (4) Whether the covered product or equipment being imported is a 
final product or a component of a final product and, if the covered 
product or equipment is a component, the brand name and individual 
model number of the final product;
    (5) The original equipment manufacturer (OEM) of the covered 
product or equipment being imported as defined in Sec.  429.2 and, in 
the case of electric motors, the Compliance Certification number; and
    (6) A contact name and email address of the importer of record.
    (e) If the importer has submitted a certification report for the 
basic model of the product or equipment being imported pursuant to 
Sec.  429.12, the certification of admissibility must include:
    (1)The CCMS ticket number of the most recent certification 
submission;
    (2)The CCMS attachment identification number assigned to the 
certification submission;
    (3) The line number in the submission corresponding to the basic 
model certified; and
    (4) If the covered product or equipment is a component of a final 
product, the brand name and individual model number of the final 
product.

[FR Doc. 2015-32796 Filed 12-28-15; 8:45 am]
BILLING CODE 6450-01-P