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Proposed Rule2022-01035

Energy Conservation Program: Test Procedure and Energy Conservation Standards for Consumer Products; Consumer Air Cleaners

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Published

January 25, 2022

Issuing agencies

Energy Department

Abstract

The U.S. Department of Energy ("DOE") is initiating rulemaking activities to consider potential test procedure and energy conservation standards for consumer air cleaners. Through this request for information ("RFI"), DOE seeks data and information regarding development and evaluation of a new test procedure that would be reasonably designed to produce test results which reflect energy use during a representative average use cycle for the product without being unduly burdensome to conduct. Additionally, this RFI solicits information regarding the development and evaluation of potential new energy conservation standards for consumer air cleaners, and whether such standards would result in significant energy savings, be technologically feasible and economically justified. DOE also welcomes written comments from the public on any subject within the scope of this document (including those topics not specifically raised), as well as the submission of data and other relevant information.

Full Text

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<title>Federal Register, Volume 87 Issue 16 (Tuesday, January 25, 2022)</title>
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[Federal Register Volume 87, Number 16 (Tuesday, January 25, 2022)]
[Proposed Rules]
[Pages 3702-3715]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-01035]

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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2021-BT-STD-0035 and EERE-2021-TP-0036]

Energy Conservation Program: Test Procedure and Energy
Conservation Standards for Consumer Products; Consumer Air Cleaners

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

ACTION: Request for information.

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SUMMARY: The U.S. Department of Energy (``DOE'') is initiating
rulemaking activities to consider potential test procedure and energy
conservation standards for consumer air cleaners. Through this request
for information (``RFI''), DOE seeks data and information regarding
development and evaluation of a new test procedure that would be
reasonably designed to produce test results which reflect energy use
during a representative average use cycle for the product without being
unduly burdensome to conduct. Additionally, this RFI solicits
information regarding the development and evaluation of potential new
energy conservation standards for consumer air cleaners, and whether
such standards would result in significant energy savings, be
technologically feasible and economically justified. DOE also welcomes
written comments from the public on any subject within the scope of
this document (including those topics not specifically raised), as well
as the submission of data and other relevant information.

DATES: Written comments and information are requested and will be
accepted on or before February 24, 2022.

ADDRESSES: Interested persons are encouraged to submit comments using
the Federal eRulemaking Portal at <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow the
instructions for submitting comments. Alternatively, interested persons
may submit comments, identified by docket number EERE-2021-BT-STD-0035
and EERE-2021-BT-TP-0036, by any of the following methods:
1. Federal eRulemaking Portal: <a href="http://www.regulations.gov">www.regulations.gov</a>. Follow the
instructions for submitting comments.
2. Email: to <a href="/cdn-cgi/l/email-protection#06476f74456a63676863747534363437555242363635334663632862696328616970">[email&#160;protected]</a> or
<a href="/cdn-cgi/l/email-protection#d190b8a392bdb4b0bfb4a3a2e3e1e3e08581e1e1e2e791b4b4ffb5beb4ffb6bea7">[email&#160;protected]</a>. Include docket number EERE-2021-BT-
STD-0035 and EERE-2021-BT-TP-0036 in the subject line of the message.
No telefacsimilies (``faxes'') will be accepted. For detailed
instructions on submitting comments and additional information on this
process, see section IV of this document.
Although DOE has routinely accepted public comment submissions
through a variety of mechanisms, including postal mail and hand
delivery/courier, the Department has found it necessary to make
temporary modifications to the comment submission process in light of
the ongoing Coronavirus disease 2019 (``COVID-19'') pandemic. DOE is
currently suspending receipt of public comments via postal mail and
hand delivery/courier. If a commenter finds that this change poses an
undue hardship, please contact Appliance Standards Program staff at
(202) 586-1445 to discuss the need for alternative arrangements. Once
the COVID-19 pandemic health emergency is resolved, DOE anticipates
resuming all of its regular options for public comment submission,
including postal mail and hand delivery/courier.
Docket: The docket for this activity, which includes Federal
Register notices, comments, and other supporting documents/materials,
is available for review at <a href="http://www.regulations.gov">www.regulations.gov</a>. All documents in the
docket are listed in the <a href="http://www.regulations.gov">www.regulations.gov</a> index. However, some
documents listed in the index, such as those containing information
that is exempt from public disclosure, may not be publicly available.

[[Page 3703]]

The docket web pages can be found at: <a href="http://www.regulations.gov/docket/EERE-2021-BT-TP-0036">www.regulations.gov/docket/EERE-2021-BT-TP-0036</a> and <a href="http://www.regulations.gov/docket/EERE-2021-BT-STD-0035">www.regulations.gov/docket/EERE-2021-BT-STD-0035</a>. The docket web page contains instructions on how to access all
documents, including public comments, in the docket. See section IV for
information on how to submit comments through <a href="http://www.regulations.gov">www.regulations.gov</a>.

FOR FURTHER INFORMATION CONTACT:
Dr. Stephanie Johnson, U.S. Department of Energy, Office of Energy
Efficiency and Renewable Energy, Building Technologies Office, EE-5B,
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone:
(202) 287-1943. Email: <a href="/cdn-cgi/l/email-protection#773607071b1e1619141224031619131605130426021204031e1819043712125913181259101801">[email&#160;protected]</a>.
Ms. Amelia Whiting, U.S. Department of Energy, Office of the
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 586-2588. Email:
<a href="/cdn-cgi/l/email-protection#83c2eee6efeae2add4ebeaf7eaede4c3ebf2ade7ece6ade4ecf5">[email&#160;protected]</a>.
For further information on how to submit a comment or review other
public comments and the docket, contact the Appliance and Equipment
Standards Program staff at (202) 287-1445 or by email:
<a href="/cdn-cgi/l/email-protection#612011110d08000f02043215000f05001305123014041215080e0f122104044f050e044f060e17">[email&#160;protected]</a>.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Introduction
A. Statutory Authority
B. Rulemaking History
C. Rulemaking Process for Test Procedure
D. Rulemaking Process for Energy Conservation Standards
E. Deviation From Appendix A
II. Request for Information and Comments Pertaining to Potential
Test Procedure
A. Scope and Definition
B. Test Procedure for Consumer Air Cleaners
1. Current Industry Test Procedure
2. Other Test Procedures
C. Metric for Consumer Air Cleaners
III. Request for Information and Comments Pertaining to Potential
Energy Conservation Standards
A. Market and Technology Assessment
1. Product Classes
2. Technology Assessment
B. Screening Analysis
C. Engineering Analysis
1. Efficiency Analysis
2. Cost Analysis
D. Distribution Channels and Markups Analysis
E. Energy Use Analysis
1. Consumer Samples and Market Breakdowns
2. Operating Hours
F. Life-Cycle Cost and Payback Period Analyses
G. Repair and Maintenance Costs
H. Shipments
I. National Impact Analysis
J. Manufacturer Impact Analysis
IV. Submission of Comments

I. Introduction

Consumer air cleaners are not currently subject to a DOE test
procedure or energy conservation standards. On September 16, 2021, DOE
published a notice of proposed determination (``NOPD'') in which DOE
tentatively determined that consumer air cleaners qualify as a
``covered product'' under the Energy Policy and Conservation Act, as
amended (``EPCA'') \1\ (``September 2021 NOPD''). 86 FR 51629. DOE
tentatively determined in the September 2021 NOPD that coverage of
consumer air cleaners is necessary or appropriate to carry out the
purposes of EPCA, and that the average U.S. household energy use for
consumer air cleaners is likely to exceed 100 kilowatt-hours (``kWh'')
per year. Id.
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\1\ All references to EPCA in this document refer to the statute
as amended through the Energy Act of 2020, Public Law 116-260 (Dec.
27, 2020).
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The following sections discuss DOE's authority to establish test
procedures and energy conservation standards for covered products,
relevant background information regarding DOE's consideration of
establishing federal regulations for consumer air cleaners, if DOE
determines such products are covered products, and a discussion of
DOE's rulemaking process for test procedures and energy conservation
standards.

A. Statutory Authority

EPCA authorizes DOE to regulate the energy efficiency of a number
of consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part B \2\ of EPCA established the Energy Conservation
Program for Consumer Products Other Than Automobiles, which sets forth
a variety of provisions designed to improve energy efficiency for
certain products, referred to as ``covered products.'' \3\ In addition
to specifying a list of consumer products that are covered products,
EPCA contains provisions that enable the Secretary of Energy to
classify additional types of consumer products as covered products. To
classify a consumer product as a covered product, the Secretary must
determine that:
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\2\ For editorial reasons, upon codification in the U.S. Code,
Part B was redesignated Part A.
\3\ The enumerated list of covered products is at 42 U.S.C.
6292(a)(1)-(19).
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(1) Classifying the product as a covered product is necessary or
appropriate to carry out the purposes of EPCA; and
(2) The average annual per household \4\ energy use by products of
such type is likely to exceed 100 kWh (or British thermal unit
(``Btu'') equivalent) per year. (42 U.S.C. 6292(b)(1)) As stated, DOE
has preliminarily determined that consumer air cleaners are covered
products. 86 FR 51629.
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\4\ DOE has defined ``household'' to mean an entity consisting
of either an individual, a family, or a group of unrelated
individuals, who reside in a particular housing unit. For the
purpose of this definition:
(1) Group quarters means living quarters that are occupied by an
institutional group of 10 or more unrelated persons, such as a
nursing home, military barracks, halfway house, college dormitory,
fraternity or sorority house, convent, shelter, jail or correctional
institution.
(2) Housing unit means a house, an apartment, a group of rooms,
or a single room occupied as separate living quarters, but does not
include group quarters.
(3) Separate living quarters means living quarters:
(i) To which the occupants have access either:
(A) Directly from outside of the building, or
(B) Through a common hall that is accessible to other living
quarters and that does not go through someone else's living
quarters, and
(ii) Occupied by one or more persons who live and eat separately
from occupant(s) of other living quarters, if any, in the same
building. 10 CFR 430.2.
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The energy conservation program under EPCA consists essentially of
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation
standards, and (4) certification and enforcement procedures. Relevant
provisions of EPCA include definitions (42 U.S.C. 6291), test
procedures (42 U.S.C. 6293), labeling provisions (42 U.S.C. 6294),
energy conservation standards (42 U.S.C. 6295), and the authority to
require information and reports from manufacturers (42 U.S.C. 6296).
Federal energy efficiency requirements for covered products
established under EPCA generally supersede State laws and regulations
concerning energy conservation testing, labeling, and standards. (42
U.S.C. 6297) DOE may, however, grant waivers of Federal preemption for
particular State laws or regulations, in accordance with the procedures
and other provisions of EPCA. (42 U.S.C. 6297(d))
The Federal testing requirements consist of test procedures that
manufacturers of covered products must use as the basis for: (1)
Certifying to DOE that their products comply with the applicable energy
conservation standards adopted pursuant to EPCA (42 U.S.C. 6295(s)),
and (2) making other representations about the efficiency of that
product (42 U.S.C. 6293(c)). Similarly, DOE must use these test
procedures to determine whether the product complies with relevant

[[Page 3704]]

standards promulgated under EPCA. (42 U.S.C. 6295(s))
In 42 U.S.C. 6293, EPCA sets forth the criteria and procedures DOE
must follow when prescribing or amending test procedures for covered
products. Specifically, EPCA provides that DOE may, in accordance with
certain requirements, prescribe test procedures for any consumer
product classified as a covered product under section 6292(b). (42
U.S.C. 6293(b)(1)(B)) EPCA requires that any test procedures prescribed
or amended under this section must be reasonably designed to produce
test results which reflect energy efficiency, energy use or estimated
annual operating cost of a given type of covered product during a
representative average use cycle and must not be unduly burdensome to
conduct. (42 U.S.C. 6293(b)(3))
In addition, EPCA requires DOE to amend its test procedures for all
covered products to integrate measures of standby mode and off mode
energy consumption into the overall energy efficiency, energy
consumption, or other energy descriptor. (42 U.S.C. 6295(gg)(2)(A))
When doing so, DOE must take into consideration the most current
versions of Standards 62301 and 62087 of the International
Electrotechnical Commission (``IEC''), unless the current test
procedure already incorporates the standby mode and off mode energy
consumption, or if such integration is technically infeasible. If an
integrated test procedure is technically infeasible, DOE must prescribe
separate standby mode and off mode energy use test procedures for the
covered product, if a separate test is technically feasible. (Id.)
If the Secretary determines, on her own behalf or in response to a
petition by any interested person, that a test procedure should be
prescribed, the Secretary shall promptly publish in the Federal
Register a proposed test procedure and afford interested persons an
opportunity to present oral and written data, views, and arguments with
respect to such a procedure. The comment period on a proposed rule to
amend a test procedure shall be at least 60 days and no more than 270
days. In prescribing or amending a test procedure, the Secretary shall
take into account such information as the Secretary determines relevant
to such procedure, including technological developments relating to
energy use or energy efficiency of the type (or class) of covered
products involved. (42 U.S.C. 6293(b)(2)) In prescribing a new or
amended test procedure, DOE must follow the statutory criteria of 42
U.S.C. 6293(b)(3)-(4), as discussed further in section I.C of this
document, and follow the rulemaking procedures set out in 42 U.S.C.
6293(b)(2). Before prescribing any final test procedure, the Secretary
must publish a proposed test procedure in the Federal Register, and
afford interested persons an opportunity (of not less than 60 days'
duration) to present oral and written data, views, and arguments on the
proposed test procedure. (42 U.S.C. 6293(b)(2)).
Similarly, DOE must follow specific statutory criteria for
prescribing new or amended standards for covered products. Following a
coverage determination, DOE may prescribe an energy conservation
standard for any type (or class) of covered products of a type
specified in section 6292(a)(20) of EPCA, if the substantive and
procedural requirements of 42 U.S.C. 6295(o) and (p) are met and the
Secretary determines that: (1) The average per household energy use
within the United States by products of such type (or class) exceeded
150 kWh (or its Btu equivalent) for any 12-month period ending before
such determination; (2) the aggregate household energy use within the
United States by products of such type (or class) exceeded
4,200,000,000 kWh (or its Btu equivalent) for any such 12-month period;
(3) substantial improvement in the energy efficiency of products of
such type (or class) is technologically feasible; and (4) the
application of a labeling rule under section 6294 of this title to such
type (or class) is not likely to be sufficient to induce manufacturers
to produce, and consumers and other persons to purchase, covered
products of such type (or class) which achieve the maximum energy
efficiency which is technologically feasible and economically
justified. (42 U.S.C. 6295(l)(1)) Further, any new or amended standard
for covered products of a type specified in paragraph (20) of section
6292(a) of this title shall not apply to products manufactured within 5
years after the publication of a final rule establishing such standard.
(42 U.S.C. 6295(1)(2)
Further, EPCA requires that any new or amended energy conservation
standard prescribed by the Secretary be designed to achieve the maximum
improvement in energy or water efficiency that is technologically
feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) The
Secretary may not prescribe an amended or new standard that will not
result in significant conservation of energy, or is not technologically
feasible or economically justified. (42 U.S.C. 6295(o)(3)) DOE must
evaluate proposed new standards against the criteria of 42 U.S.C.
6295(o), as described further in section I.D of this document, and
follow the rulemaking procedures set out in 42 U.S.C. 6295(p). DOE is
publishing this RFI consistent with its authority and these
obligations.

B. Rulemaking History

DOE has not previously conducted a rulemaking for consumer air
cleaners. As stated, DOE tentatively determined in the September 2021
NOPD that: Coverage of consumer air cleaners is necessary or
appropriate to carry out the purposes of EPCA; the average U.S.
household energy use for consumer air cleaners is likely to exceed 100
kWh per year; and thus, consumer air cleaners qualify as a ``covered
product'' under EPCA. 86 FR 51629. In the September 2021 NOPD, DOE
sought comment on: (1) A proposed definition for consumer air cleaners;
(2) the energy use analysis conducted in support of the September 2021
NOPD; and (3) additional information and data to support DOE's
preliminary determination to classify consumer air cleaners as a
covered product under EPCA. 86 FR 51629, 51632-51633.
DOE is currently evaluating comments received from interested
parties in response to the September 2021 NOPD. DOE will address these
comments and publish a final decision on coverage as a separate notice.

C. Rulemaking Process for Test Procedure

As stated, EPCA requires that any test procedure prescribed or
amended must be reasonably designed to produce test results which
reflect energy efficiency, energy use or estimated annual operating
cost of a particular type of covered product during a representative
average use cycle and not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))
DOE will publish a notification in the Federal Register (e.g., an
RFI or notice of data availability (``NODA'')) whenever DOE is
considering initiation of a rulemaking to establish or amend a test
procedure. Section 8(a) of the Process Rule.
As part of such document(s), DOE will solicit submission of
comments, data, and information on whether DOE should proceed with the
rulemaking. Potential topics include whether a test procedure rule
would more accurately measure energy efficiency, energy use, or
estimated annual operating cost of a product during a representative
average use cycle or period of use without being unduly burdensome to
conduct; or reduce testing burden. Based on the information received in
response to

[[Page 3705]]

such request and its own analysis, DOE will determine whether to
proceed with a rulemaking for a new or amended test procedure. Section
8(a)(1) and (a)(2) of the Process Rule.
As detailed throughout this RFI, DOE is publishing this document
seeking input and data from interested parties to aid in DOE's
determination whether (and if so, how) to establish a test procedure
for consumer air cleaners.

D. Rulemaking Process for Energy Conservation Standards

As stated previously, following a coverage determination, DOE may
prescribe an energy conservation standard for any type (or class) of
covered products of a type specified in section 6292(a)(20) of EPCA, if
the substantive and procedural requirements in 42 U.S.C. 6295(o) and
(p) are met and the Secretary determines that: (1) The average per
household energy use within the United States by products of such type
(or class) exceeded 150 kWh (or its Btu equivalent) for any 12-month
period ending before such determination; (2) the aggregate household
energy use within the United States by products of such type (or class)
exceeded 4,200,000,000 kWhs (or its Btu equivalent) for any such 12-
month period; (3) substantial improvement in the energy efficiency of
products of such type (or class) is technologically feasible; and (4)
the application of a labeling rule under section 6294 of this title to
such type (or class) is not likely to be sufficient to induce
manufacturers to produce, and consumers and other persons to purchase,
covered products of such type (or class) which achieve the maximum
energy efficiency which is technologically feasible and economically
justified. (42 U.S.C. 6295(l)(1)) Further, any new or amended standard
for covered products of a type specified in paragraph (20) of section
6292(a) of this title shall not apply to products manufactured within 5
years after the publication of a final rule establishing such standard.
(42 U.S.C. 6295(1)(2)
DOE must follow specific statutory criteria for prescribing new or
amended standards for covered products. As stated, EPCA requires that
any new or amended energy conservation standard prescribed by the
Secretary be designed to achieve the maximum improvement in energy (or
water efficiency for certain products specified by EPCA) that is
technologically feasible and economically justified. (42 U.S.C.
6295(o)(2)(A)) Furthermore, DOE may not adopt any standard that would
not result in the significant conservation of energy. (42 U.S.C.
6295(o)(3))
The significance of energy savings offered by a new or amended
energy conservation standard cannot be determined without knowledge of
the specific circumstances surrounding a given rulemaking.\5\ For
example, the United States rejoined the Paris Agreement on February 19,
2021. As part of that agreement, the United States has committed to
reducing greenhouse gas (``GHG'') emissions in order to limit the rise
in mean global temperature. As such, energy savings that reduce GHG
emission have taken on greater importance. Additionally, some covered
products and equipment have most of their energy consumption occur
during periods of peak energy demand. The impacts of these products on
the energy infrastructure can be more pronounced than products with
relatively constant demand. In evaluating the significance of energy
savings, DOE considers differences in primary energy and full-fuel-
cycle (``FFC'') effects for different covered products and equipment
when determining whether energy savings are significant. Primary energy
and FFC effects include the energy consumed in electricity production
(depending on load shape), in distribution and transmission, and in
extracting, processing, and transporting primary fuels (i.e., coal,
natural gas, petroleum fuels), and thus present a more complete picture
of the impacts of energy conservation standards.
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\5\ See 86 FR 70892, 70901 (Dec. 13, 2021).
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Accordingly, DOE evaluates the significance of energy savings on a
case-by-case basis.
To determine whether a standard is economically justified, EPCA
requires that DOE determine whether the benefits of the standard exceed
its burdens by considering, to the greatest extent practicable, the
following seven factors:

(1) The economic impact of the standard on the manufacturers and
consumers of the affected products;
(2) The savings in operating costs throughout the estimated
average life of the product compared to any increases in the initial
cost, or maintenance expenses;
(3) The total projected amount of energy and water (if
applicable) savings likely to result directly from the standard;
(4) Any lessening of the utility or the performance of the
products likely to result from the standard;
(5) The impact of any lessening of competition, as determined in
writing by the Attorney General, that is likely to result from the
standard;
(6) The need for national energy and water conservation; and
(7) Other factors the Secretary considers relevant.

(42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))
DOE fulfills these and other applicable requirements by conducting
a series of analyses throughout the rulemaking process. Table I.1 shows
the individual analyses that are performed to satisfy each of the
requirements within EPCA.

Table I.1--EPCA Requirements and Corresponding DOE Analysis
------------------------------------------------------------------------
EPCA requirement Corresponding DOE analysis
------------------------------------------------------------------------
Significant Energy Savings............. <bullet> Shipments Analysis.
<bullet> National Impact
Analysis.
<bullet> Energy and Water Use
Determination.
Technological Feasibility.............. <bullet> Market and Technology
Assessment.
<bullet> Screening Analysis.
<bullet> Engineering Analysis.
Economic Justification:
1. Economic Impact on Manufacturers <bullet> Manufacturer Impact
and Consumers. Analysis.
<bullet> Life-Cycle Cost and
Payback Period Analysis.
<bullet> Life-Cycle Cost
Subgroup Analysis.
<bullet> Shipments Analysis.
2. Lifetime Operating Cost Savings <bullet> Markups for Product
Compared to Increased Cost for the Price Determination.
Product. <bullet> Energy and Water Use
Determination.
<bullet> Life-Cycle Cost and
Payback Period Analysis.

[[Page 3706]]

3. Total Projected Energy Savings.. <bullet> Shipments Analysis.
<bullet> National Impact
Analysis.
4. Impact on Utility or Performance <bullet> Screening Analysis.
<bullet> Engineering Analysis.
5. Impact of Any Lessening of <bullet> Manufacturer Impact
Competition. Analysis.
6. Need for National Energy and <bullet> Shipments Analysis.
Water Conservation. <bullet> National Impact
Analysis.
7. Other Factors the Secretary <bullet> Employment Impact
Considers Relevant. Analysis.
<bullet> Utility Impact
Analysis.
<bullet> Emissions Analysis.
<bullet> Monetization of
Emission Reductions Benefits.
<bullet> Regulatory Impact
Analysis.
------------------------------------------------------------------------

In determining whether to consider establishing or amending any
energy conservation standard, DOE's general process is to publish one
or more preliminary (i.e., ``pre-NOPR'') documents in the Federal
Register intended to gather information on key issues. Section 6(a)(1)
of the Process Rule. Such document(s) could take several forms
depending upon the specific proceeding, including a framework document,
RFI, NODA, preliminary analysis, or advance notice of proposed
rulemaking. Section 6(a)(2) of the Process Rule. Such document(s) will
be published in the Federal Register, with any accompanying documents
referenced and posted in the appropriate docket. Section 6(a)(1) of the
Process Rule.
The pre-NOPR-stage document(s) will solicit submission of comments,
data, and information on whether DOE should proceed with the standards
rulemaking, including whether any new or amended rule would, as EPCA
requires, be economically justified, technologically feasible, and
result in a significant savings of energy. Section 6(a)(1) of the
Process Rule.
DOE will determine whether to proceed with a rulemaking for a new
or amended energy conservation standard based on the information
received in response to such request and its own analysis. Section
6(a)(3) of the Process Rule.
As detailed throughout this RFI, DOE is publishing this document
seeking input and data from interested parties to aid in the
development of the technical analyses on which DOE will ultimately rely
to determine whether (and if so, how) to establish energy conservation
standards for consumer air cleaners.

E. Deviation From Appendix A

In accordance with Section 3(a) of 10 CFR part 430, subpart C,
appendix A, DOE notes that it is deviating from that Appendix's
provision that DOE will publish its final coverage determination prior
to the initiation of any test procedure or energy conservation
standards rulemaking. 10 CFR part 430, subpart C, appendix A, section
5(c). DOE is opting to deviate from this step because DOE believes that
providing an opportunity for comment on potential test procedure and
energy conservation standards prior to a final coverage determination
for consumer air cleaners allows stakeholders an earlier opportunity to
provide comment, information, and data that may help inform DOE's
priority setting. DOE also notes that in the Energy Conservation
Program for Appliance Standards: Procedures, Interpretations, and
Policies for Consideration in New or Revised Energy Conservation
Standards and Test Procedures for Consumer Products and Commercial/
Industrial Equipment NOPR published on July 7, 2021, DOE proposed to
eliminate the requirement that coverage determination rulemakings must
be finalized prior to initiation of a test procedure or energy
conservation standard rulemaking. 86 FR 35668, 35672. DOE explained
that the coverage determination, test procedure, and energy
conservation standard rulemakings are interdependent and a coverage
determination defines the product/equipment scope for which DOE can
establish test procedure and energy conservation standards. It also
signals that inclusion of the consumer product is necessary to carry
out the purpose of EPCA, i.e., to conserve energy and/or water. In
order to make this determination, DOE needs to consider whether a test
procedure and energy conservation standards can be established for the
consumer product. If DOE cannot develop a test procedure that measures
energy use during a representative average use cycle and is not unduly
burdensome to conduct (42 U.S.C. 6293(b)(3)) or prescribe energy
conservation standards that result in significant energy savings (42
U.S.C. 6295(o), then making a coverage determination is not necessary
as it will not result in the conservation of energy. Thus, it is
important that DOE be able to gather information and provide
stakeholders an opportunity to comment and provide information and data
pertinent to test procedure and energy conservation standard
rulemakings, while DOE conducts a coverage determination rulemaking.
Id.
In accordance with Section 3(a) of 10 CFR part 430, subpart C,
appendix A, DOE notes that it is deviating from that Appendix's
provision requiring a 75-day comment period for pre-NOPR rulemaking
documents for standards. 10 CFR part 430, subpart C, appendix A,
section 6(d)(2). DOE is opting to deviate from this step because the
30-day comment period will allow DOE to review comments received in
response to this document before finalizing its coverage determination.
It would also help inform the Department in prioritizing any potential
rulemakings for air cleaners in light of its other on-going rulemakings
and statutory requirements. The U.S. Environmental Protection Agency's
(``EPA's'') ENERGY STAR[supreg] Program (``ENERGY STAR Program'')
includes consumer air cleaners. In light of this, DOE expects that
stakeholders have established a strong understanding of the key
information and issues that would be of interest to DOE as it considers
developing test procedure and energy conservation standards for
consumer air cleaners. DOE also expects that test data are likely
readily available from the ENERGY STAR Program as well as the
Association of Home Appliance Manufacturers' (``AHAM's'') Directory of
Certified Portable Electric Room Air Cleaners.\6\
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\6\ See: <a href="http://www.ahamdir.com/room-air-cleaners/">www.ahamdir.com/room-air-cleaners/</a>.

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[[Page 3707]]

II. Request for Information and Comments Pertaining to Potential Test
Procedure

In the following sections, DOE has identified a variety of issues
on which it seeks input to assist in its evaluation of a potential test
procedure for consumer air cleaners, to ensure that any such test
procedure would, as EPCA requires, be reasonably designed to produce
test results which reflect energy use during a representative average
use cycle without being unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))

A. Scope and Definition

Consumer air cleaners are products designed to remove particulate
matter and other contaminants from the air to improve indoor air
quality. A wide range of consumer air cleaners are available on the
market, including tabletop units, units designed for single rooms or
multiple rooms, and whole-home units integrated into a central heating
and/or cooling system. Consumer air cleaners employ a wide variety of
technologies to remove particular matter and other contaminants from
the air. They may include secondary functions, typically indoor air
quality improvement, that supplement or enhance that primary function,
such as providing air circulation, humidification, or dehumidification.
In the September 2021 NOPD, DOE proposed a definition for ``air
cleaner'' to help inform its proposed scope of coverage and regulatory
definition. 86 FR 51629, 51632. DOE consulted existing definitions and
classifications of consumer air cleaners developed by AHAM--the
industry trade group for consumer air cleaners--and the ENERGY STAR
Program, and additional market research conducted by DOE. Id. at 86 FR
51631.
AHAM defined ``air cleaner'' in an industry standard, it published
and which is certified by American National Standards Institute
(``ANSI''), to measure the performance of portable household electric
room air cleaners, titled ANSI/AHAM AC-1-2020 Portable Household
Electric Room Air Cleaners (``ANSI/AHAM AC-1-2020'').\7\ Section 3.1 of
ANSI/AHAM AC-1-2020 defines ``Portable Household Electric Room Air
Cleaner'' as ``[a]n electric appliance with the function of removing
particulate matter from the air and which can be moved from room to
room.''
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\7\ ANSI/AHAM AC-1-2020 available at AHAM website at
<a href="http://www.aham.org/itemdetail?iproductcode=30002&category=padstd">www.aham.org/itemdetail?iproductcode=30002&category=padstd</a>.
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The ENERGY STAR Program also establishes a definition for room air
cleaners (also referred to as air purifiers), in addition to
qualification criteria for an air cleaner to earn the ENERGY STAR
label.\8\ The current ENERGY STAR V2.0 Product Specification \9\
defines ``room air cleaner'' as ``an electric appliance with the
function of removing particulate matter from the air and which can be
moved from room to room,'' consistent with ANSI/AHAM AC-1-2020.
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\8\ See ENERGY STAR website for air purifiers (cleaners) at
<a href="http://www.energystar.gov/products/air_purifiers_cleaners">www.energystar.gov/products/air_purifiers_cleaners</a>.
\9\ See Eligibility Criteria Version 2.0, Rev. April 2021,
available at <a href="http://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf">www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf</a>.
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As discussed in the September 2021 NOPD, the definitions in ANSI/
AHAM AC-1-2020 and the ENERGY STAR V2.0 Product Specification include
specific air cleaning and air purifying designs and technologies, but
are limited to ``portable'' air cleaners that ``can be moved from room
to room.'' DOE noted in the September 2021 NOPD that while ANSI/AHAM
AC-1-2020 specifies that the standard is applicable only to portable
air cleaners, it includes definitions and setup instructions for air
cleaners that include wall mounting brackets or instructions to mount
the air cleaner integrally to the wall. 86 FR 51629, 51632. To cover a
more comprehensive range of the consumer market for air cleaning and
purification, an expanded definition of a consumer air cleaner may be
appropriate. DOE therefore considered a modified definition that would
include other consumer air cleaners, such as those that are mounted on
walls and ceilings, or that are designed for whole-home air cleaning in
conjunction with central heating or air conditioning systems. 86 FR
51629, 51632. The proposed definition expands the range of products to
include those that use technologies that clean the air by destroying or
deactivating contaminants, including microbes as well as particulates,
from the air (instead of only removing them). Id. at 86 FR 51632.
DOE proposed in the September 2021 NOPD to define a consumer air
cleaner as a consumer product that:
(1) Is a self-contained, mechanically encased assembly;
(2) Is powered by single-phase electric current;
(3) Removes, destroys, or deactivates particulates and
microorganisms from the air; and
(4) Excludes products that destroy or deactivate particulates and
microorganisms solely by means of ultraviolet (``UV'') light without a
fan for air circulation; and
(5) Excludes central air conditioners, room air conditioners,
portable air conditioners, dehumidifiers, and furnaces as defined in 10
CFR 430.2. . 86 FR 51629, 51632.
As discussed in the September 2021 NOPD, DOE proposed to exclude
from coverage those consumer products that purify air solely by means
of UV light without circulating air through the product using a fan
because the energy-consuming component of such products would be a
fluorescent lamp or light-emitting diode designed to emit light in the
UV portion of the electromagnetic spectrum. 86 FR 51629, 51632.
Accordingly, DOE would classify these products under EPCA as a type of
lamp (see the definition of ``lamps primarily designed to produce
radiation in the ultraviolet region of the spectrum'' and ``light-
emitting diode or LED'' in 10 CFR 430.2), and therefore, did not
consider applying any future consumer air cleaner requirements to these
products. Id.
DOE continues to evaluate comments received from interested parties
in response to the proposed definition for consumer air cleaners in the
September 2021 NOPD.

B. Test Procedure for Consumer Air Cleaners

DOE has examined existing test methods to measure key performance
characteristics for determining the energy efficiency of consumer air
cleaners. These performance characteristics include clean air delivery
rate (``CADR''), operating (i.e., active) mode power consumption, and
standby mode power consumption. DOE is seeking comment on whether the
test methods identified below, could be used as the basis for a DOE
test procedure for consumer air cleaners. In particular, DOE is seeking
comment on any modifications to these test methods that would be needed
to test the full range of products under DOE's proposed definition of
consumer air cleaner.
1. Current Industry Test Procedure
As discussed, AHAM published ANSI/AHAM AC-1-2020 for measuring the
performance of portable household electric room air cleaners.
Section 3.14 of ANSI/AHAM AC-1-2020 defines CADR as the metric to
measure an air cleaner's efficacy in removing particulate matter from
the air. CADR represents the rate of particulate reduction in the test

[[Page 3708]]

chamber when the air cleaner is turned on, minus the rate of ``natural
decay'' \10\ when the air cleaner is not running, multiplied by the
volume of the test chamber (specified as 1,008 cubic feet). As such,
testing an air cleaner requires conducting two separate tests: A first
test with the air cleaner turned off, and a second test with the air
cleaner turned on. The CADR value is expressed in units of cubic feet
per minute (``cfm'').\11\
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\10\ AHAM defines ``natural decay'' as the reduction of
particulate matter due to natural phenomena in the test chamber:
Principally agglomeration [a process in which fine particles
``clump'' together], surface deposition [a process in which
particles attach to a surface] (including sedimentation [a process
in which particles settle out of suspension in the air onto a
surface due to gravity]), and air exchange.
\11\ Although the unit of measurement for CADR is cfm, ANSI/AHAM
AC-1-2020 explains that CADR values indicate the performance of an
air cleaner as a complete system and that the metric has no linear
relationship to air movement or to the characteristics of any
particular particle removal methodology per se.
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Sections 5, 6, and 7 of ANSI/AHAM AC-1-2020 specify procedures for
measuring air cleaner efficacy using three different types of
particulates representing three ranges of particulate matter size:
Pollen (5 micrometer (``[mu]m'') to 11 [mu]m diameter), dust (0.5 [mu]m
to 3.0 [mu]m diameter), and cigarette smoke (0.10 [mu]m to 1.0 [mu]m
diameter), respectively.
Section 2 of ANSI/AHAM AC-1-2020 indicates that the precision of
the test method is as follows: <plus-minus> 25 cfm for pollen CADR;
<plus-minus> 10 cfm for dust CADR; and <plus-minus> 10 cfm for
cigarette smoke CADR. Given these levels of precision, ANSI/AHAM AC-1-
2020 is limited to measuring air cleaners within rated CADR ranges of
10 to 600 cfm for dust and cigarette smoke and 25 to 450 cfm for
pollen.
Section 9 of ANSI/AHAM AC-1-2020 also includes methods to measure
the air cleaner's operating power and standby power usage in Watts
(``W''), as discussed further in sections II.B.1.a and II.B.1.b of this
document.
All CADR and power testing are performed in a test chamber with a
controlled environment. Section 4 of ANSI/AHAM AC-1-2020 specifies
requirements for electrical power supply, test chamber ambient
temperature, test chamber air exchange rate, test chamber particulate
concentrations, and use of a recirculation fan in the test chamber.
a. Operating (Active) Mode Testing
ANSI/AHAM AC-1-2020 specifies methodologies to obtain consistent
levels of particulate concentration in the test chamber for each of the
three particulate types. An aerosol generator disseminates the
appropriate particulate for each test. The method also discusses using
other devices, such as a cigarette smoke diluter and aerosol
spectrometer to maintain consistent test particulate levels during the
test and to measure the particle size distribution within the room air,
respectively. For each particulate, two tests are performed, one with
the air cleaner not operating and one with it operating. First, to
measure the natural decay of the particulate under evaluation, the air
cleaner is not operated and the particulates are distributed within the
room at a specified concentration. Particulate concentration is
measured and averaged over a period of time prescribed for each
particulate type. In the second test, the air cleaner is operated at
the setting that results in the maximum particulate removal rate and
the particulate matter removal is measured using the same process as in
the first test. Particulate concentration is again measured over a
prescribed period of time, and the rate of particulate reduction is
calculated. The difference of the rate of particulate reduction with
the air cleaner operating minus the rate of natural decay with the air
cleaner not operating, multiplied by the volume of the test chamber,
provides the CADR value for that particulate type.
Section 9 of ANSI/AHAM AC-1-2020 specifies methods for measuring
operating power. The section allows measuring operating power during
the CADR test for either cigarette smoke or dust, the duration of each
being greater than 15 minutes, which is enough time to measure
operating power. After the air cleaner motor has been conditioned as
specified in Section 9.2 of ANSI/AHAM AC-1-2020, the power measuring
instrument is connected between the power supply and air cleaner, and
all settings/options are set at the maximum level. The air cleaner is
operated for 2 minutes without any power measurements, and then power
consumption is recorded at 1-minute intervals for 13 minutes (for a
total test time of 15 minutes). Up to three of the 13 data points may
be discarded as anomalous to account for line surges and other
variables. The remaining power measurements are averaged to obtain the
operating power, in W, of the air cleaner.
DOE requests comments on whether ANSI/AHAM AC-1-2020 provides an
appropriate method to use as the basis for a Federal test method and
for defining energy conservation standard levels for consumer air
cleaners.
DOE requests comment on the use of the CADR, as opposed to another
metric such as rate of decay, to characterize consumer air cleaner
performance. In particular, DOE requests comment on whether consumers
could find the unit of measurement of cfm for CADR confusing and
misunderstand it as referring to the rate of air movement through the
device.
DOE requests comment on whether the power measurement could vary
based on the particulate test that is used to measure operating power.
If power measurement varies based on the particulate test, DOE requests
comment on which particulate test (pollen, dust, or cigarette smoke)
should be used as the basis for the power measurement in any Federal
test procedure that DOE may develop. Alternately, DOE requests comment
on whether it should consider requiring power measurements for each
particulate test and use a simple or weighted average to determine
operating power.
DOE requests comment on whether it should consider testing consumer
air cleaners at any other power level in addition to the maximum power
level required by ANSI/AHAM AC-1-2020.
DOE requests comment on whether ANSI/AHAM AC-1-2020 could also be
used to test other types of consumer air cleaners, such as ceiling-
mounted products.
b. Standby Mode Testing
Section 10 of ANSI/AHAM AC-1-2020 specifies a measurement procedure
for standby mode that is performed as a separate test from the CADR and
operating power tests. The standby power test specifies allowable
ranges for three environmental conditions: Air speed in the room,
ambient air temperature, and voltage supply. As specified, the standby
power test method may only be used when the selected mode and measured
power consumption are stable (defined as a variation of less than 5
percent in measured power consumption over 5 minutes). When stability
is not achieved, power consumption can be determined by alternative
methods: By averaging the power readings over a specified period of
time or by recording the energy consumption over a specified period and
dividing by the total time period.
To perform the standby mode test, the air cleaner is connected to
the metering equipment. After the air cleaner has been allowed to
stabilize for at least 5 minutes, the power consumption is monitored
for not less than an additional 5 minutes. If the power consumption
does not drift by more than 5 percent (from the maximum value observed)
during the latter 5 minutes, the load is considered stable

[[Page 3709]]

and the power consumption can be recorded directly from the instrument
at the end of the latter 5 minute period. The resulting standby power
is reported in W, rounded to the nearest hundredths.
The standby mode test method specified in ANSI/AHAM AC-1-2020 is
different from that specified in the most current version of IEC
Standard 62301, Edition 2.0, ``Household electrical appliances--
Measurement of standby power'' (``IEC 62301 Ed. 2.0''), which is the
standard that EPCA directs DOE to consider when including measurements
of standby mode and off mode energy use in its test procedures for
covered products, if technically feasible. (42 U.S.C. 6295(gg)(2)(A))
IEC 62301 Ed. 2.0 provides three methods to measure standby power,
depending on the characteristics of the power consumption in standby
mode (e.g., stable, unstable, cyclic, of a limited duration, etc.) The
three methods are: the sampling method, the average reading method, and
the direct meter reading method. The sampling method, which is the
method incorporated by reference most frequently in DOE test procedures
for other covered products, specifies that the unit under test must be
operated in standby mode for at least 15 minutes and standby power is
recorded at least once every second. To determine standby power, the
data from the second two-thirds of the total test duration is used to
determine stability. If the measured power is less than or equal to 1
W, stability is established when a linear regression through all power
readings for the second two-thirds of the total period has a slope of
less than 10 milliwatts per hour (``mW/h''). If the measured power is
greater than 1 W, stability is established when a linear regression
through all power readings for the second two-thirds of the total
period has a slope that is less than 1 percent of the measured input
power per hour.
DOE requests comment on the suitability of the standby power
measurement procedure specified in ANSI/AHAM AC-1-2020, IEC 62301 Ed.
2.0, or any other test method for measuring standby mode and off mode
energy use of consumer air cleaners, in light of EPCA's requirement in
42 U.S.C. 6295(gg)(2)(A)) for DOE to consider the most current version
of IEC Standard 62301.
2. Other Test Procedures
In addition to ANSI/AHAM AC-1-2020, DOE is aware of a few other
test methods for air cleaners. DOE has identified two test methods to
measure how effectively a unit removes microorganisms from the air (as
opposed to particles such as smoke, pollen, and dust). DOE has
additionally identified two other test methods that measure the
effectiveness of removing particulates from the air, similar to the
ANSI/AHAM AC-1-2020 testing standard.
The first of these test methods was developed by the Center for
Engineering and Environmental Technology at Research Triangle Institute
(``RTI''), titled ``Methodology to Perform Clean Air Delivery Rate Type
Determinations with Microbiological Aerosols'' \12\ (``RTI Test
Method''). The stated objective of the RTI Test Method is to determine
a CADR-type measurement for an air cleaner using microbiological
aerosols. The method is described as a modification of the ANSI/AHAM
AC-1 test method that can be used for evaluating a wide range of air
cleaning devices. Similar to the ANSI/AHAM AC-1-2020 test method, the
RTI Test Method requires measuring the natural decay rate without the
air cleaner operating and the particulate removal rate while the air
cleaner is operating in a test chamber. The RTI Test Method has been
conducted using mold, bacteria, and viruses, representing the primary
groups of microorganisms that a household air cleaner would be expected
to remove in a home.
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\12\ RTI Test Method available at: <a href="http://doi.org/10.1080/713834074">doi.org/10.1080/713834074</a>.
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The second of these test methods was developed by researchers at
Korea Testing Laboratory (``KTL''), Dongguk University, and Biot Korea
Inc., titled ``Assessment of air purifier on efficient removal of
airborne bacteria, Staphylococcus epidermidis, using single-chamber
method'' \13\ (``KTL Test Method''). The objective of the KTL Test
Method is to measure an air cleaner's efficacy of removing airborne
bacteria from indoor air. Similar to ANSI/AHAM AC-1-2020 and the RTI
Test Method, the KTL Test Method involves measuring both a natural
decay rate (i.e., without the air cleaner operating) and a particulate
decay rate while the air cleaner is operating in a test chamber. The
output of the KTL Test Method, unlike ANSI/AHAM AC-1-2020 and the RTI
Test Method, which output a CADR value (with units of cfm), is a
unitless value representing the ratio of the natural decay rate to the
particulate decay rate.
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\13\ KTL Test Method available at: <a href="http://link.springer.com/article/10.1007/s10661-019-7876-3">link.springer.com/article/10.1007/s10661-019-7876-3</a>.
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The third of these test methods is the ANSI/American Society of
Heating, Refrigerating and Air-Conditioning Engineers (``ASHRAE'')
standard 52.2-2017, titled ``Method of Testing General Ventilation Air-
Cleaning Devices for Removal Efficiency by Particle Size'' \14\
(``ASHRAE 52.2-2017''). ASHRAE 52.2-2017 specifies a test method to
evaluate air cleaner performance as a function of particle size using
an aerosol generator to introduce standardized amounts of dust at
periodic intervals to simulate accumulation of particles over the
lifetime of the air cleaner. The standard measures air cleaner
performance based on the removal efficiency of particles with 12
defined particle size ranges between 0.3 and 10 [mu]m in diameter.
Efficiency measurements for each of the 12 particle size ranges are
taken at various dust loads by challenging the filter with potassium
chloride particles. This test aerosol provides particles over the
entire range of 0.3 to 10 [mu]m required by the test procedure. The
output metric is the minimum efficiency reporting value (``MERV''),
that quantifies the effectiveness of the air cleaner's filtration on a
16-point scale.
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\14\ ASHRAE 52.2-2017 available at: <a href="http://ashrae.org/File%20Library/Technical%20Resources/COVID-19/52_2_2017_COVID-19_20200401.pdf">ashrae.org/File%20Library/Technical%20Resources/COVID-19/52_2_2017_COVID-19_20200401.pdf</a>.
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The fourth testing method is from the National Research Council
Canada (``NRCC''). The NRCC's publication is titled, ``Method for
Testing Portable Air Cleaner's'' \15\ (``NRCC Test Method''). The NRCC
Test Method determines the air cleaner's performance by measuring
particle, volatile organic compounds (``VOCs'') (including
formaldehyde, toluene, and d-limonene), and ozone removal. Known
quantities of particles of different sizes, ozone, and the selected
VOCs are introduced in different tests until a certain established
target concentration is achieved. The NRCC Test Method provides
multiple suggested procedures for injecting particles and VOCs into the
test chamber. Once target contaminant levels in the test chamber have
been achieved, the injection of particles or VOCs is stopped, and the
concentration decay rate is measured while the air cleaner is
operating. Particle concentration is recommended to be measured using
either a condensation particle counter, optical particle counter, or an
aerodynamic particle sizer. Formaldehyde concentration is determined
using a high-performance liquid chromatograph technique and toluene and
d-limonene concentrations are measured using a gas chromatograph--mass
spectrometer technique. Ozone levels in the chamber air are determined
using an analyzer

[[Page 3710]]

based on either chemiluminescence or UV absorption. These results are
then compared to test results without the air cleaner operating to
assess the removal effectiveness of the unit.
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\15\ NRCC Test Method available at: nrc-publications.canada.ca/
eng/view/ft/?id=cc1570e0-53cc-476d-b2ee-3e252d8bd739.
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Additionally, in response to the September 2021 NOPD, AHAM
commented that it was working on an updated standard to measure the
energy efficiency for room air cleaners, AHAM AC-7-2021, ``Energy Test
Method for Portable Air Cleaners''. (Docket No. EERE-2021-BT-DET-0022,
AHAM, No. 13 at p. 1) AHAM has not yet issued this test method.
DOE requests comment on whether it should consider any methodology
for measuring the removal efficacy of microorganisms (i.e., viruses,
bacteria, mold, etc.) from indoor air as part of a Federal test
procedure for consumer air cleaners.
DOE requests comment on the suitability of each of the RTI Test
Method and the KTL Test Method for measuring a consumer air cleaner's
removal efficacy of microorganisms from indoor air.
DOE requests comment on the additional test methods identified in
this section that measure the performance of consumer air cleaners
using various particulates. In particular, DOE requests comment on the
scope, methodology, and types of particulates, pollutants, and/or
microorganisms that are included in each test method.
DOE requests comments on whether any other test methods have been
developed for consumer air cleaners that would be relevant to DOE's
consideration of a Federal test procedure to measure the energy
efficiency of consumer air cleaners. In particular, DOE seeks comment
on test methods that could be used to test ``non-portable'' consumer
air cleaners, such as those that are permanently mounted (e.g.,
ceiling-mounted air cleaners) or that provide whole-home air cleaning
in conjunction with central heating or air conditioning systems; and
test methods that could be used to measure the performance of consumer
air cleaners that destroy or deactivate contaminants from the air
instead of removing them.

C. Metric for Consumer Air Cleaners

As discussed, EPCA requires that any test procedure prescribed or
amended must be reasonably designed to produce test results which
reflect energy efficiency, energy use or estimated annual operating
cost of a given type of covered product during a representative average
use cycle and not be unduly burdensome to conduct. (42 U.S.C.
6293(b)(3))
In addition, EPCA requires DOE to amend its test procedure for all
covered products to integrate measures of standby mode and off mode
energy consumption into the overall energy efficiency, energy
consumption, or other energy descriptor, taking into consideration the
most current versions of IEC Standards 62301 and 62087. There are only
two exceptions: If the current test procedure already incorporates the
standby mode and off mode energy consumption, or if such integration is
technically infeasible. (42 U.S.C. 6295(gg)(2)(A)) If an integrated
test procedure is technically infeasible, DOE must prescribe separate
standby mode and off mode energy use test procedures for the covered
product, if a separate test is technically feasible. (Id.)
The ENERGY STAR V2.0 Product Specification \16\ for Room Air
Cleaners defines separate ``on mode'' (i.e., active mode) and ``partial
on mode'' (i.e., standby/off mode) metrics to certify air cleaners
under the ENERGY STAR label. The on mode criterion is defined in terms
of a minimum ``CADR/W'' metric. That metric, in turn, is defined as the
rated smoke CADR measurement divided by the operating power consumption
measured during the smoke particle removal test, each of which is
determined in accordance with ANSI/AHAM AC-1-2020. The partial on mode
criterion is defined in terms of a maximum wattage level, as determined
in accordance with IEC Standard 62301.
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\16\ See Eligibility Criteria Version 2.0, Rev. April 2021,
available at <a href="http://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf">www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf</a>.
---------------------------------------------------------------------------

In accordance with the requirements of EPCA, DOE would evaluate
whether an integrated test procedure (i.e., a test procedure that
integrates measures of standby mode and off mode energy consumption
into the overall energy efficiency descriptor) is technically feasible.
For example, DOE could define an integrated CADR/W metric in which the
denominator represents a weighted average of the power consumption
associated with active mode, standby mode, and off mode, weighted by
the amount of time spent in each mode. DOE notes that the ENERGY STAR
program assumes 16 active mode hours per day and 8 inactive mode (i.e.,
standby or off mode) hours per day to calculate annual energy
consumption of qualifying consumer air cleaners.\17\
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\17\ The ENERGY STAR online product database provides a
description of the Annual Energy Use calculation at
<a href="http://data.energystar.gov/dataset/ENERGY-STAR-Certified-Room-Air-Cleaners/jmck-i55n/data">data.energystar.gov/dataset/ENERGY-STAR-Certified-Room-Air-Cleaners/jmck-i55n/data</a>.
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DOE requests comment on the technical feasibility of integrating
measures of standby mode and off mode energy consumption into the
overall energy efficiency descriptor (i.e., creating an integrated
metric) for consumer air cleaners. In particular, DOE requests comment
on its example approach of defining an integrated CADR/W metric, in
which the denominator would represent a weighted average of the power
consumption associated with active mode, standby mode, and off mode,
weighted by the amount of time spent in each mode.
DOE requests comment on consumer usage of consumer air cleaners, in
particular, the amount of time spent in active mode, standby mode, and
off mode.
As discussed previously, ANSI/AHAM AC-1-2020 specifies procedures
for measuring CADR ratings for three types of particulate matter:
Pollen, dust, and cigarette smoke. Prior to Version 2.0 of the Product
Specification for Room Air Cleaners, the ENERGY STAR eligibility
criteria were based on the CADR/W metric using the dust particle
removal test. That changed in a draft version of the V2.0 Product
Specification,\18\ where EPA described its understanding that smoke
pollutants can have the greatest health risk for the general population
and that the AHAM Verification Program for room air cleaners calculates
the appropriate room size for a given room air cleaner based on the
cigarette smoke CADR measurement. (See Note box in Section 3.3.1 of the
draft.) EPA also stated that retailers appear to use this calculation
to direct consumers to a specific room air cleaner. Id. EPA noted that
cigarette smoke has the smallest particle size of the three pollutants
tested to the ANSI/AHAM AC-1-2015 standard and is typically the most
energy intensive to remove. Id. For these reasons, and in consideration
of stakeholder feedback, EPA asserted that cigarette smoke is the
appropriate pollutant to use as the basis for evaluating the energy
efficiency of room air cleaners. Id.
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\18\ See Draft 1 Version 2.0 specification at
<a href="http://www.energystar.gov/products/spec/room_air_cleaners_version_2_0_pd">www.energystar.gov/products/spec/room_air_cleaners_version_2_0_pd</a>.
---------------------------------------------------------------------------

DOE requests comment on whether cigarette smoke would be the
appropriate particulate for determining a CADR rating of air cleaners
under a DOE test procedure, should DOE adopt a measurement of CADR in a
test procedure for consumer air cleaners. If cigarette smoke is not the
most appropriate particulate, DOE requests comment on other
particulate(s) that

[[Page 3711]]

would be more appropriate as the basis for measurement, including data
and information to support such a recommendation.
As discussed previously, ANSI/AHAM AC-1-2020 specifies that it can
be used to test ``portable'' air cleaners that ``can be moved from room
to room.'' \19\ These include floor type, table type, and wall type
units. Ceiling type units are explicitly outside the scope of that test
method. ANSI/AHAM AC-1-2020 also does not apply to ``non-portable''
consumer air cleaners, such as those that are designed for whole-home
air cleaning in conjunction with central heating or air conditioning
systems. DOE is not aware of test procedures for these types of units
and seeks guidance on whether the CADR/W efficiency metric would be
appropriate for characterizing the energy efficiency of these types of
units. DOE also seeks guidance about consumer air cleaners that clean
the air by destroying or deactivating particulates and microorganisms
from the air instead of removing them (for example, a consumer air
cleaner designed to purify air using UV light or other heat in
combination with a fan to circulate air through the product). In
particular, DOE seeks input on whether the CADR/W metric would be
appropriate for such products.
---------------------------------------------------------------------------

\19\ DOE notes the vague nature of ``can be,'' which depends
greatly on the abilities of the person or people involved in
attempting to move the item.
---------------------------------------------------------------------------

DOE requests comment on whether the CADR/W efficiency metric would
be appropriate for characterizing the energy efficiency of consumer air
cleaner units permanently mounted to a structure.
DOE requests comment on whether the CADR/W metric would be
appropriate for consumer air cleaners that clean the air by destroying
or deactivating particulates and microorganisms from the air instead of
removing them.
DOE requests comment on whether any other metrics not already
discussed in this RFI would provide a better measure of energy
efficiency or energy use of consumer air cleaners during a
representative average use cycle or period of use.

III. Request for Information and Comments Pertaining to Potential
Energy Conservation Standards

DOE is also publishing this RFI to collect data and information to
inform its decision, consistent with its obligations under EPCA, as to
whether the Department should proceed with an energy conservation
standards rulemaking. In the following sections, DOE has identified a
variety of issues on which it seeks input to aid in the development of
the technical and economic analyses regarding whether standards for
consumer air cleaners may be warranted.
As stated previously, following a coverage determination, EPCA
outlines four criteria for prescribing an energy conservation standard
for a newly covered product. The four criteria are that: (1) The
average per household domestic energy use by such products exceeded 150
kWh (or its Btu equivalent) for any 12-month period ending before such
determination; (2) the aggregate domestic household energy use by such
product exceeded 4.2 million kWh (or its Btu equivalent) for any such
12-month period; (3) substantial improvement in the energy efficiency
of the products is technologically feasible; and (4) applying a
labeling rule is not likely to be sufficient to induce manufacturers to
produce, and consumers and other persons to purchase, products of such
type which achieve the maximum energy efficiency which is
technologically feasible and economically justified. (42 U.S.C.
6295(l)(1))
DOE seeks data and information on whether the four criteria for
prescribing an energy conservation standard for air cleaners are met.
DOE seeks comment on whether energy conservation standards for
consumer air cleaners would be economically justified, technologically
feasible, and would result in a significant savings of energy.

A. Market and Technology Assessment

The market and technology assessment that DOE routinely conducts
when analyzing the impacts of a potential new or amended energy
conservation standard provides information about the consumer air
cleaner industry that will be used in DOE's analysis throughout the
rulemaking process. DOE uses qualitative and quantitative information
to characterize the structure of the industry and market. DOE
identifies manufacturers, estimates market shares and trends, addresses
regulatory and non-regulatory initiatives intended to improve energy
efficiency or reduce energy consumption, and explores the potential for
efficiency improvements in the design and manufacturing of consumer air
cleaners. DOE also reviews product literature, industry publications,
and company websites. Additionally, DOE considers conducting interviews
with manufacturers to improve its assessment of the market and
available technologies.
For consumer air cleaners, DOE is interested in understanding the
consumer air cleaner market, the impact of the current COVID-19
pandemic on this market, and whether the current industry trends are a
result of the pandemic or expected to stay long-term.
DOE seeks feedback on how the COVID-19 pandemic has impacted the
consumer air cleaner market. DOE requests any available market data or
information on recent consumer behavior trends for consumer air
cleaners in response to the pandemic.
1. Product Classes
When evaluating and establishing energy conservation standards, DOE
may divide covered products into product classes by the type of energy
used, or by capacity or other performance-related features that justify
a different standard. (42 U.S.C. 6295(q)) In making a determination
whether capacity or another performance-related feature justifies a
different standard, DOE must consider such factors as the utility of
the feature to the consumer and other factors DOE deems appropriate.
(Id.) For consumer air cleaners, DOE may use CADR as a measurement of
capacity.
DOE requests comment on whether capacity or any other performance-
related features, such as air cleaning technology (i.e., whether the
product destroys or deactivates contaminants from the air or removes
them), of consumer air cleaners would justify the establishment of
different product classes (i.e., would justify different standards for
such classes).
2. Technology Assessment
In analyzing the feasibility of potential new energy conservation
standards, DOE uses information about technology options and prototype
designs to help identify technologies that manufacturers could use to
meet and/or exceed a given energy conservation standard level under
consideration. In consultation with interested parties, DOE intends to
develop a list of technologies to consider in its analysis.
DOE seeks information on technologies that are used to improve the
energy efficiency of consumer air cleaners. Specifically, DOE seeks
information on the range of efficiencies or performance characteristics
that are currently available for each technology option.
For each technology option suggested by stakeholders, DOE seeks
information regarding its market adoption, costs, and

[[Page 3712]]

any concerns with incorporating the technology into products (e.g.,
impacts on consumer utility, potential safety concerns, manufacturing
or production challenges, etc.).

B. Screening Analysis

The purpose of the screening analysis is to evaluate the
technologies that improve energy efficiency to determine which
technologies will be eliminated from further consideration and which
will be passed to the engineering analysis for further consideration.
DOE determines whether to eliminate certain technology options from
further consideration based on the following criteria:

(1) Technological feasibility. Technologies that are not
incorporated in commercial products or in working prototypes will
not be considered further.
(2) Practicability to manufacture, install, and service. If it
is determined that mass production of a technology in commercial
products and reliable installation and servicing of the technology
could not be achieved on the scale necessary to serve the relevant
market at the time of the compliance date of the standard, then that
technology will not be considered further.
(3) Impacts on product utility or product availability. If a
technology is determined to have significant adverse impact on the
utility of the product to significant subgroups of consumers, or
result in the unavailability of any covered product type with
performance characteristics (including reliability), features,
sizes, capacities, and volumes that are substantially the same as
products generally available in the United States at the time, it
will not be considered further.
(4) Adverse impacts on health or safety. If it is determined
that a technology will have significant adverse impacts on health or
safety, it will not be considered further.
(5) Unique-Pathway Proprietary Technologies. If a design option
utilizes proprietary technology that represents a unique pathway to
achieving a given efficiency level, that technology will not be
considered further due to the potential for monopolistic concerns.

Sections 6(b)(3) and 7(b) of the Process Rule.
Technology options identified in the technology assessment are
evaluated against these criteria using DOE analyses and inputs from
interested parties (e.g., manufacturers, trade organizations, and
energy efficiency advocates). Technologies that pass through the
screening analysis are referred to as ``design options'' in the
engineering analysis. Technology options that fail to meet one or more
of the five criteria are eliminated from consideration.
DOE requests feedback on whether any air cleaner technology options
would be screened out based on the five screening criteria described in
this section. DOE also requests information on the technologies that
would be screened out and the screening criteria that would be
applicable to each screened out technology option.

C. Engineering Analysis

The purpose of the engineering analysis is to establish the
relationship between the efficiency and cost of consumer air cleaners.
There are two elements to consider in the engineering analysis: The
selection of efficiency levels to analyze (i.e., the ``efficiency
analysis'') and the determination of product cost at each efficiency
level (i.e., the ``cost analysis''). In determining the performance of
higher-efficiency products, DOE considers technologies and design
option combinations not eliminated by the screening analysis. For each
product class, DOE estimates the baseline cost, as well as the
incremental cost for the product at efficiency levels above the
baseline. The output of the engineering analysis is a set of cost-
efficiency ``curves'' that are used in downstream analyses (i.e., the
life-cycle cost (``LCC'') analysis, payback period (``PBP'') analysis,
and the national impacts analysis (``NIA'')).
1. Efficiency Analysis
DOE typically uses one of two approaches to develop energy
efficiency levels for the engineering analysis: (1) Relying on observed
efficiency levels in the market (i.e., the efficiency-level approach),
or (2) determining the incremental efficiency improvements associated
with incorporating specific design options to a baseline model (i.e.,
the design-option approach). Using the efficiency-level approach, the
efficiency levels established for the analysis are determined based on
the market distribution of existing products (in other words, based on
the range of efficiencies and efficiency level ``clusters'' that
already exist on the market). Using the design option approach, the
efficiency levels established for the analysis are determined through
detailed engineering calculations and/or computer simulations of the
efficiency improvements from implementing specific design options that
have been identified in the technology assessment. DOE may also rely on
a combination of these two approaches. For example, the efficiency-
level approach (based on actual products on the market) may be extended
using the design option approach to interpolate to define ``gap fill''
levels (to bridge large gaps between other identified efficiency
levels) and/or to extrapolate to the max-tech level (particularly in
cases where the max-tech level exceeds the maximum efficiency level
currently available on the market).
For each product class DOE analyzes, DOE selects a baseline model
as a reference point against which any changes resulting from new or
amended energy conservation standards can be measured. The baseline
model in each product class represents the characteristics of common or
typical products in that class.
DOE requests feedback on appropriate baseline efficiency levels for
DOE to apply, and the product classes to which these baseline
efficiency levels would be applicable, in evaluating whether to
establish energy conservation standards for consumer air cleaners.
As part of DOE's analysis, the maximum available efficiency level
is the highest efficiency unit currently available on the market. DOE
defines a ``max-tech'' efficiency level to represent the theoretical
maximum possible efficiency if all available design options are
incorporated in a model. In applying these design options, DOE would
only include those options that are compatible with each other and that
when combined would represent the theoretical maximum possible
efficiency. Often, the max-tech efficiency level is not commercially
available because it is not economically feasible.
DOE seeks input on identifying the max-tech efficiency level for
consumer air cleaners. Additionally, for any max-tech efficiency level
identified by stakeholders, DOE also seeks input on whether such a max-
tech efficiency level would be appropriate and technologically feasible
for potential consideration as possible energy conservation standards
for consumer air cleaners, and if not, why not.
DOE seeks feedback on what design options would be incorporated at
a max-tech efficiency level, and the efficiencies associated with those
levels. As part of this request, DOE also seeks information as to
whether there are limitations on the use of certain combinations of
design options.
2. Cost Analysis
The cost analysis portion of the engineering analysis is conducted
using one or a combination of cost approaches. The selection of cost
approach depends on a suite of factors, including availability and
reliability of public information, characteristics of the regulated
product, and the availability and timeliness of purchasing the product
on the market.

[[Page 3713]]

The cost approaches are summarized as follows:
<bullet> Physical teardowns: Under this approach, DOE physically
dismantles a commercially available product, component-by-component, to
develop a detailed bill of materials for the product.
<bullet> Catalog teardowns: In lieu of physically deconstructing a
product, DOE identifies each component using parts diagrams (available
from manufacturer websites or appliance repair websites, for example)
to develop the bill of materials for the product.
<bullet> Price surveys: If neither a physical nor catalog teardown
is feasible (for example, for tightly integrated products such as
fluorescent lamps, which are infeasible to disassemble and for which
parts diagrams are unavailable) or cost-prohibitive and otherwise
impractical (e.g., large commercial boilers), DOE conducts price
surveys using publicly available pricing data published on major online
retailer websites and/or by soliciting prices from distributors and
other commercial channels.
The resulting bill of materials provides the basis for the
manufacturer production cost (``MPC'') estimates. DOE then applies a
manufacturer markup to convert the MPC to manufacturer selling price
(``MSP''). The manufacturer markup accounts for costs such as overhead
and profit.
As described at the beginning of this section, the main outputs of
the engineering analysis are cost-efficiency relationships that
describe the estimated increases in manufacturer production cost
associated with higher-efficiency products for the analyzed product
classes.
DOE requests feedback on design options that manufacturers would
use to increase energy efficiency in consumer air cleaners above the
baseline. This includes information on the order in which manufacturers
would incorporate the different technologies to incrementally improve
efficiency of products. DOE also requests feedback on whether the
increased energy efficiency would lead to other design changes that
would not occur otherwise. DOE is also interested in information
regarding any potential impact of design options on a manufacturer's
ability to incorporate additional functions or attributes in response
to consumer demand.
DOE also seeks input on the increase in MPC associated with
incorporating each particular design option. DOE also requests
information on the investments necessary to incorporate specific design
options, including, but not limited to, costs related to new or
modified tooling (if any), materials, engineering and development
efforts to implement each design option, and manufacturing/production
impacts.
DOE requests comment on whether certain design options may not be
applicable to (or incompatible with) certain types of air cleaners.

D. Distribution Channels and Markups Analysis

DOE derives customer prices based on manufacturer markups as
discussed, as well as retailer markups, distributor markups, contractor
markups (where appropriate), and sales taxes. In deriving the retailer
and distributor markups, DOE determines the major distribution channels
for product sales, the markup associated with each party in each
distribution channel, and the existence and magnitude of differences
between markups for baseline products (``baseline markups'') and
higher-efficiency products (``incremental markups''). The identified
distribution channels (i.e., how the products are distributed from the
manufacturer to the consumer), and estimated relative sales volumes
through each channel are used in generating end-user price inputs for
the LCC analysis and NIA.
DOE requests data and information on typical manufacturer markups
for consumer air cleaners (i.e., the markup applied to the MPC to
determine MSP).
DOE requests information on the existence of any distribution
channels other than the retail outlet distribution channel that are
used to distribute consumer air cleaners into the market.

E. Energy Use Analysis

As part of the rulemaking process, DOE conducts an energy use
analysis to identify how consumers use products, and thereby determine
the energy savings potential of energy efficiency improvements. The
energy use analysis is meant to represent typical energy consumption in
the field. DOE will base the energy consumption of consumer air
cleaners on the annual energy consumption as determined by the DOE test
procedure.
1. Consumer Samples and Market Breakdowns
To estimate the energy use of products in field operating
conditions, DOE typically develops consumer samples that are
representative of installation and operating characteristics of how
such products are used in the field, as well as distributions of annual
energy use by application and market segment. In a potential energy
conservation standards rulemaking for consumer air cleaners, DOE may
utilize the most current version of the Residential Energy Consumption
Survey (``RECS'') published by the U.S. Energy Information
Administration (``EIA'') (currently the 2015 RECS) and the most current
version of the Commercial Building Energy Consumption Survey (``CBECS)
also published by EIA (currently the 2012 CBECS).
DOE requests data and information regarding market applications of
consumer air cleaners and how those are broken down by economic sector
(e.g., residential versus commercial).
2. Operating Hours
One of the key inputs to the energy use analysis is the number of
annual operating hours of the product.
As discussed, the ENERGY STAR database \20\ assumes that a consumer
air cleaner operates for 16 hours per day and is inactive for 8 hours
per day, corresponding to 5,840 active mode hours per year and 2,920
inactive mode hours annually.
---------------------------------------------------------------------------

\20\ See ENERGY STAR database for air cleaners at <a href="https://data.energystar.gov/dataset/ENERGY-STAR-Certified-Room-Air-Cleaners/jmck-i55n">https://data.energystar.gov/dataset/ENERGY-STAR-Certified-Room-Air-Cleaners/jmck-i55n</a>.
---------------------------------------------------------------------------

DOE requests data or published reports on the number of annual
operating hours of consumer air cleaners. In particular, DOE requests
data or published reports on whether the annual operating hours may
differ for any of the types of consumer air cleaners that would be
within the scope of DOE's proposed definition of consumer air cleaner.

F. Life-Cycle Cost and Payback Period Analyses

DOE conducts the LCC and the payback period (``PBP'') analyses to
evaluate the economic effects of potential energy conservation
standards for consumer air cleaners on individual customers. The
effects of more stringent energy conservation standards on a consumer
of consumer air cleaners include changes in operating expenses (usually
decreased) and changes in purchase prices (usually increased). For any
given efficiency level, DOE measures the PBP and the change in LCC
relative to an estimated baseline level. The LCC is the total customer
expense over the life of the product, consisting of purchase,
installation, and operating costs (expenses for energy use,
maintenance, and repair). Inputs to the calculation of total installed
cost include the cost of the product--which includes the MSP,
distribution channel markups, and sales taxes--and installation costs.
Inputs to the calculation of operating expenses include annual energy
consumption, energy prices and price projections, repair and
maintenance costs, product

[[Page 3714]]

lifetimes, discount rates, and the year that compliance with new and
amended standards is required.
DOE measures savings of potential standards relative to a ``no-new-
standards'' case that reflects conditions without new and/or amended
standards, and uses efficiency market shares to characterize the ``no-
new-standards'' case product mix. By accounting for consumers who
already purchase more efficient products, DOE avoids overstating the
potential benefits from potential standards.
DOE requests information on the current energy efficiency
distribution of consumer air cleaners.
DOE requests data and information on the installation costs of
consumer air cleaners, and whether those vary by product class or any
other factor affecting their efficiency.

G. Repair and Maintenance Costs

As noted, inputs to the calculation of operating expenses include
repair and maintenance costs, among other factors.
DOE requests feedback and data on whether maintenance costs differ
in comparison to the baseline maintenance costs for any air cleaner
technology options.
DOE requests information and data on the frequency of repair, and
repair and maintenance costs of consumer air cleaners. DOE is also
interested in the market share of consumers who simply replace the
products when they fail as opposed to repairing them, and factors that
affect whether consumers decide to repair or replace, such as income,
geographical location, or product replacement cost and repair costs.

H. Shipments

DOE develops shipments forecasts of products to calculate the
national impacts of potential new or amended energy conservation
standards on energy consumption, net present value (``NPV''), and
future manufacturer cash flows. DOE shipments projections are typically
based on available historical data categorized by product class,
capacity, and energy efficiency. Current sales estimates allow for a
more accurate model that captures recent trends in the market.
DOE requests annual sales data (i.e., number of shipments) of
consumer air cleaners from 2016 to 2020 disaggregated to the extent
possible by product class, capacity, energy efficiency level, or any
other differentiating factor used in the industry. For each class/
category, DOE also requests the fraction of sales that are ENERGY STAR-
qualified.
To project future shipments for the residential and commercial
sectors, DOE typically uses, respectively, new housing starts
projections and floorspace projections from the Annual Energy Outlook
(AEO) as market drivers.
DOE requests on the market drivers and saturation trends that would
help project shipments for consumer air cleaners.

I. National Impact Analysis

The purpose of the NIA is to estimate the aggregate economic
impacts of potential efficiency standards at the national level. The
NIA assesses the national energy savings (``NES'') and the national NPV
of total customer costs and savings that would be expected to result
from new or amended standards at specific efficiency levels.
A key component of DOE's estimates of NES and NPV is the equipment
energy efficiencies forecasted over time for the no-new-standards case
and for standards cases. DOE generally analyzes trends in market
efficiency to project the no-new standards case efficiency over the NIA
analysis period.
DOE seeks information on the expected efficiency trends in the
consumer air cleaner market.

J. Manufacturer Impact Analysis

The purpose of the manufacturer impact analysis (``MIA'') is to
estimate the financial impact of any new energy conservation standards
on manufacturers of consumer air cleaners, and to evaluate the
potential impact of such standards on direct employment and
manufacturing capacity. The MIA includes both quantitative and
qualitative aspects. The quantitative part of the MIA primarily relies
on the Government Regulatory Impact Model (``GRIM''), an industry cash-
flow model adapted for each product in this analysis, with the key
output of industry net present value (``INPV''). The qualitative part
of the MIA addresses the potential impacts of energy conservation
standards on manufacturing capacity and industry competition, as well
as factors such as product characteristics, impacts on particular
subgroups of firms, and important market and product trends.
As part of the MIA, DOE intends to analyze impacts of energy
conservation standards on subgroups of manufacturers of covered
products, including small business manufacturers. DOE uses the Small
Business Administration's (``SBA'') small business size standards to
determine whether manufacturers qualify as small businesses, which are
listed by the applicable North American Industry Classification System
(``NAICS'') code.\21\ Manufacturing of portable consumer air cleaners
is classified under NAICS 335210, ``Small Electrical Appliance
Manufacturing, whereas manufacturing of non-portable consumer air
cleaners is classified under NAICS 333413, ``Industrial and Commercial
Fan and Blower and Air Purification Equipment Manufacturing.'' The SBA
sets a threshold of 1,500 employees or less and 500 or less,
respectively, for a domestic entity to be considered as a small
business in these industry categories. These employee thresholds
include all employees in a business' parent company and any other
subsidiaries.
---------------------------------------------------------------------------

\21\ Available online at <a href="http://www.sba.gov/document/support--table-size-standards">www.sba.gov/document/support--table-size-standards</a>.
---------------------------------------------------------------------------

One aspect of assessing manufacturer burden involves examining the
cumulative impact of multiple DOE standards and the product-specific
regulatory actions of other federal agencies that affect the
manufacturers of a covered product. While any one regulation may not
impose a significant burden on manufacturers, the combined effects of
several existing or impending regulations may have serious consequences
for some manufacturers, groups of manufacturers, or an entire industry.
Assessing the impact of a single regulation may overlook this
cumulative regulatory burden. In addition to energy conservation
standards, other regulations can significantly affect manufacturers'
financial operations. Multiple regulations affecting the same
manufacturer can strain profits and lead companies to abandon product
lines or markets with lower expected future returns than competing
products. For these reasons, DOE conducts an analysis of cumulative
regulatory burden as part of its rulemakings pertaining to appliance
efficiency.
To the extent feasible, DOE seeks the names and contact information
of any domestic or foreign-based manufacturers that distribute consumer
air cleaners in the United States.
In particular, DOE requests the names and contact information of
small businesses, as defined by the SBA's size threshold, that
manufacture consumer air cleaners in the United States. In addition,
DOE requests comment on any other manufacturer subgroups that could be
disproportionally impacted by any new energy conservation standards.
DOE requests feedback on any potential approaches that it could
consider to address impacts on manufacturers, including small
businesses.

[[Page 3715]]

DOE requests information regarding the cumulative regulatory burden
impacts on manufacturers of consumer air cleaners associated with (1)
other DOE standards applying to different products that these
manufacturers may also make and (2) product-specific regulatory actions
of other federal agencies. DOE also requests comment on its methodology
for computing cumulative regulatory burden and whether there are any
flexibilities it can consider that would reduce this burden while
remaining consistent with the requirements of EPCA.

IV. Submission of Comments

DOE invites all interested parties to submit in writing by the date
specified under the DATES heading, comments and information on matters
addressed in this RFI and on other matters relevant to DOE's
consideration of establishing test procedure and energy conservation
standards for consumer air cleaners. These comments and information
will aid in the development of a test procedure NOPR and energy
conservation standard NOPR for consumer air cleaners in which DOE
determines that establishing test procedure and energy conservation
standards may be appropriate for these products.
Submitting comments via <a href="http://www.regulations.gov">www.regulations.gov</a>. The
<a href="http://www.regulations.gov">www.regulations.gov</a> 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. Following this instruction, 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 information to <a href="http://www.regulations.gov">www.regulations.gov</a> 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 <a href="http://www.regulations.gov">www.regulations.gov</a> cannot be claimed as CBI. Anyone submitting
comments through the website 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 <a href="http://www.regulations.gov">www.regulations.gov</a> 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 <a href="http://www.regulations.gov">www.regulations.gov</a>
provides after you have successfully uploaded your comment.
Submitting comments via email. Comments and documents submitted via
email also will be posted to <a href="http://www.regulations.gov">www.regulations.gov</a>. If you do not want
your personal contact information to be publicly viewable, do not
include it in your comment or any accompanying documents. Instead,
provide your contact information on a cover letter. Include your first
and last names, email address, telephone number, and optional mailing
address. The cover letter will not be publicly viewable as long as it
does not include any comments.
Include contact information each time you submit comments, data,
documents, and other information to DOE. Faxes will not 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 only documents
that are: Not secured, written in English and 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 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. DOE will make its own
determination about the confidential status of the information and
treat it according to its determination.
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).
DOE considers public participation to be a very important part of
the process for developing test procedures and energy conservation
standards. DOE actively encourages the participation and interaction of
the public during the comment period in each stage of this process.
Interactions with and between members of the public provide a balanced
discussion of the issues and assist DOE in the process. Anyone who
wishes to be added to the DOE mailing list to receive future notices
and information about this process should contact Appliance and
Equipment Standards Program staff at (202) 287-1445 or via email at
<a href="/cdn-cgi/l/email-protection#276657574b4e4649444274534649434655435476524254534e4849546742420943484209404851">[email&#160;protected]</a>.

Signing Authority

This document of the Department of Energy was signed on January 13,
2022, by Kelly J. Speakes-Backman, Principal Deputy Assistant Secretary
for Energy Efficiency and Renewable Energy, pursuant to delegated
authority from the Secretary of Energy. That document with the original
signature and date is maintained by DOE. For administrative purposes
only, and in compliance with requirements of the Office of the Federal
Register, the undersigned DOE Federal Register Liaison Officer has been
authorized to sign and submit the document in electronic format for
publication, as an official document of the Department of Energy. This
administrative process in no way alters the legal effect of this
document upon publication in the Federal Register.

Signed in Washington, DC, on January 14, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2022-01035 Filed 1-24-22; 8:45 am]
BILLING CODE 6450-01-P

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