[Federal Register Volume 86, Number 159 (Friday, August 20, 2021)]
[Proposed Rules]
[Pages 46793-46803]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-16341]


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 Proposed Rules
                                                 Federal Register
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 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
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  Federal Register / Vol. 86, No. 159 / Friday, August 20, 2021 / 
Proposed Rules  

[[Page 46793]]



DEPARTMENT OF ENERGY

10 CFR Parts 430 and 431

[EERE-2019-BT-NOA-0011]
RIN 1904-AE24


Test Procedure Interim Waiver Process

AGENCY: Office of Energy Efficiency and Renewable Energy (EERE), U.S. 
Department of Energy.

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'' or the ``Department'') 
proposes to revise the Department's test procedure interim waiver 
process. The proposed revisions address areas of the test procedure 
interim waiver process regulations that may result in alternate test 
procedures that are inconsistent with the purpose and requirements of 
the Energy Policy and Conservation Act (``EPCA''), and that otherwise 
appear not to effectuate the statute properly.

DATES: DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking on or before September 20, 2021.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at https://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by ``2021 Test Procedure 
Interim Waiver Process NOPR'' and docket number EERE-2019-BT-NOA-0011 
and/or the regulatory information number (RIN) 1904-AE24, by any of the 
following methods:
    (1) Federal eRulemaking Portal: https://www.regulations.gov. Follow 
the instructions for submitting comments.
    (2) Email: [email protected]. Include ``2021 
Test Procedure Interim Waiver Process NOPR'' and docket number EERE-
2019-BT-NOA-0011 and/or RIN number 1904-AE24 in the subject line of the 
message. Submit electronic comments in WordPerfect, Microsoft Word, 
PDF, or ASCII file format, and avoid the use of special characters or 
any form of encryption.
    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 Covid-19 pandemic. DOE is currently accepting only 
electronic submissions at this time. 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.
    No telefacsimiles (faxes) will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V (Public Participation) of this 
document.
    Docket: The docket for this rulemaking, which includes Federal 
Register notices, public meeting attendee lists and transcripts, 
comments, and other supporting documents/materials, is available for 
review at https://www.regulations.gov. All documents in the docket are 
listed in the https://www.regulations.gov index. However, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.
    The docket web page can be found at: https://www.regulations.gov/docket?D=EERE-2019-BT-NOA-0011. The https://www.regulations.gov web 
page contains instructions on how to access all documents, including 
public comments, in the docket.

FOR FURTHER INFORMATION CONTACT: 
    Ms. Sarah Butler, U.S. Department of Energy, Office of General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Email: [email protected].
    Ms. Lucy deButts, 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. Email: 
[email protected].

SUPPLEMENTARY INFORMATION:

I. Summary of Proposal

    On December 11, 2020, DOE published a final rule (``December 2020 
Final Rule'') in the Federal Register that made significant revisions 
to its procedures for processing petitions for interim waivers from 
test procedures mandated pursuant to EPCA, found in 10 CFR 430.27 and 
10 CFR 431.401 (85 FR 79802).
    Subsequently, on January 20, 2021, the White House issued Executive 
Order 13990, ``Protecting Public Health and the Environment and 
Restoring Science to Tackle the Climate Crisis.'' 86 FR 7037 (Jan. 25, 
2021). Section 1 of that Order listed several policies related to the 
protection of public health and the environment, including reducing 
greenhouse gas emissions and bolstering the Nation's resilience to 
climate change. Id. at 86 FR 7037, 7041. Section 2 of the Order 
instructs all agencies to review ``existing regulations, orders, 
guidance documents, policies, and any other similar agency actions 
(agency actions) promulgated, issued, or adopted between January 20, 
2017, and January 20, 2021, that are or may be inconsistent with, or 
present obstacles to, [these policies].'' Id. Agencies are then 
directed, as appropriate and consistent with applicable law, to 
consider suspending, revising, or rescinding these agency actions and 
to immediately commence work to confront the climate crisis. Id. In 
addition, the White House explicitly enumerated certain agency actions, 
including the December 2020 Final Rule, as actions that would be 
reviewed to determine consistency with Section 1 of the Order.\1\ 
Executive Order 13990, Fact Sheet.
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    \1\ Fact Sheet: List of Agency Actions for Review (Jan. 20, 
2021), https://www.whitehouse.gov/briefing-room/statements-releases/2021/01/20/fact-sheet-list-of-agency-actions-for-review/.
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    While E.O. 13990 triggered the Department's re-evaluation, DOE is 
relying on the analysis presented below, based upon EPCA, to revise its 
prior rule. In conducting its review of the December 2020 Final Rule, 
DOE has identified areas that do not meet DOE's responsibilities under 
EPCA. The December 2020 Final Rule mandates a process that may result 
in alternate test

[[Page 46794]]

procedures that are inconsistent with EPCA's purpose and requirements. 
In addition, as discussed in greater detail in section III. of this 
document, upon reconsideration DOE believes provisions implemented by 
the December 2020 Final Rule could weaken energy conservation standards 
by allowing manufacturers to place noncompliant products in the market. 
In furtherance of its duties under EPCA and in accordance with 
Executive Order 13990, DOE is proposing revisions to its procedures for 
processing interim waiver requests.
    In this document, DOE proposes to amend 10 CFR 430.27 and 10 CFR 
431.401 by: (1) Removing the provisions, adopted in the December 2020 
Final Rule, that interim waivers will be automatically granted if DOE 
fails to notify the petitioner of the disposition of the petition 
within 45 business days of receipt of the petition, and instead 
specifying that DOE will make best efforts to process any interim 
waiver request within 90 days of receipt; (2) providing the 
requirements for a complete petition for interim waiver, and specifying 
that DOE would notify petitioners of incomplete petitions via email, 
and that DOE will post a petition for interim waiver on its website 
within five business days of receipt of a complete petition; (3) 
stating the information that must be provided in a request to extend a 
waiver to additional basic models; (4) revising the compliance 
certification and representations requirements; (5) specifying that 
interim waivers will automatically terminate on the compliance date of 
a new or amended test procedure; (6) harmonizing 10 CFR 430.27(j) and 
10 CFR 431.401(j) with enforcement requirements; and (7) allowing DOE 
to rescind or modify a waiver for appropriate reasons.

II. Authority and Background

A. Authority

    EPCA,\2\ Public Law 94-163 (42 U.S.C. 6291-6317) authorizes DOE to 
regulate the energy efficiency of a number of consumer products and 
industrial equipment types. Title III, Part B \3\ of EPCA established 
the Energy Conservation Program for Consumer Products Other Than 
Automobiles. Title III, Part C \4\ of EPCA established the Energy 
Conservation Program for Certain Industrial Equipment. 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.
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    \2\ 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).
    \3\ For editorial reasons, Part B was redesignated as Part A 
upon codification in the U.S. Code.
    \4\ For editorial reasons, Part C was redesignated as Part A-1 
upon codification in the U.S. Code.
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    The Federal testing requirements consist of test procedures that 
manufacturers of covered products and equipment generally must use as 
the basis for: (1) Certifying to DOE that the product or equipment 
complies with the applicable energy conservation standards adopted 
pursuant to EPCA (42 U.S.C. 6295(s); 42 U.S.C. 6316(a)), and (2) making 
representations about the efficiency of the products or equipment (42 
U.S.C. 6293(c); 42 U.S.C. 6314(d)). Similarly, DOE must use these test 
procedures to determine whether the product or equipment complies with 
relevant standards promulgated under EPCA. (42 U.S.C. 6295(s); 42 
U.S.C. 6316(a))
    Under 42 U.S.C. 6293 and 42 U.S.C. 6314, EPCA sets forth the 
criteria and procedures DOE is required to follow when prescribing or 
amending test procedures for covered products and equipment. 
Specifically, test procedures must be reasonably designed to produce 
test results that reflect energy efficiency, energy use or estimated 
annual operating cost of a covered product or covered equipment during 
a representative average use cycle or period of use, and must not be 
unduly burdensome to conduct. (42 U.S.C. 6293(b)(3); 42 U.S.C. 
6314(a)(2))

B. Background

    This Notice of Proposed Rulemaking (``NOPR'') involves the 
regulatory provisions governing the submission and processing of test 
procedure waivers for both consumer products under Part A of EPCA and 
industrial equipment under Part A-1. DOE's regulations in Title 10 of 
the Code of Federal Regulations (CFR), Sec.  430.27 (consumer products) 
and Sec.  431.401 (commercial equipment) contain provisions allowing a 
person to seek a waiver from the test procedure requirements if certain 
conditions are met. DOE will grant a waiver from the test procedure 
requirements if DOE determines either that the basic model for which 
the waiver was requested contains a design characteristic that prevents 
testing of the basic model according to the prescribed test procedures, 
or that the prescribed test procedure evaluates the basic model in a 
manner so unrepresentative of its true energy consumption 
characteristics as to provide materially inaccurate comparative data. 
10 CFR 430.27(a)(1) and 10 CFR 431.401(a)(1). DOE may grant the waiver 
subject to conditions, including adherence to alternate test 
procedures. In addition, the waiver process permits parties submitting 
a petition for waiver to also file an application for interim waiver 
from the applicable test procedure requirements. 10 CFR 430.27(a) and 
10 CFR 431.401(a). DOE will grant an interim waiver if it appears 
likely that the petition for waiver will be granted or if DOE 
determines that it would be desirable for public policy reasons to 
grant immediate relief pending a decision on the petition for waiver. 
10 CFR 430.27(e)(2) and 10 CFR 431.401(e)(2).
    On May 1, 2019, DOE published a NOPR to amend the existing test 
procedure interim waiver process (the ``May 2019 NOPR''). 84 FR 18414. 
After considering the comments received, DOE published the December 
2020 Final Rule, which significantly revised its procedures for test 
procedure interim waivers. 85 FR 79802.
    The December 2020 Final Rule adopted an approach to DOE's test 
procedure interim waiver decision-making process that requires the 
Department to notify, in writing, an applicant for an interim waiver of 
the disposition of the request within 45 business days of receipt of 
the application. 10 CFR 430.27(e)(ii) and 10 CFR 431.401(e)(ii). 
Importantly, under the recent amendments, if DOE does not notify the 
applicant in writing of the disposition of the interim waiver within 45 
business days, the interim waiver is granted and the manufacturer is 
authorized to test subject products or equipment using the alternate 
test procedure proposed by the manufacturer in the petition. Id. If DOE 
denies the interim waiver petition, DOE is required to notify the 
petitioner within 45 business days and post the notice on the website 
as well as publish its determination in the Federal Register as soon as 
possible after such notification. Id. If DOE ultimately denies an 
associated petition for waiver or grants the petition with a test 
procedure that differs from the alternate test procedure specified in 
the interim waiver, manufacturers are allowed a 180-day grace period 
before the manufacturer is required to use the DOE test procedure or 
the alternate test procedure specified in the decision and order to 
make representations regarding energy efficiency. 10 CFR 430.27(i)(1) 
and 10 CFR 431.401(i)(1).
    In the December 2020 Final Rule, DOE made a policy decision to 
place significant weight on reducing manufacturers' burdens, providing

[[Page 46795]]

greater certainty and transparency to manufacturers, and reducing 
delays in manufacturers' ability to bring innovative product options to 
consumers. 85 FR 79816. To justify these changes to DOE's interim 
waiver process, DOE noted that it intended to shift the burden of any 
delays in the review process onto the Department and allow for 
innovative products to be made available more quickly to consumers. 85 
FR 79802, 79803 and 79811. However, as discussed further in section 
III. of this document, in reconsideration of the December 2020 Final 
Rule, DOE is weighing these policy considerations differently. DOE has 
tentatively determined that the changes under the December 2020 Final 
Rule may not allow DOE sufficient time to review an alternate test 
procedure, leading to increased risks to consumers of purchasing 
noncompliant products and decreased energy savings. Given EPCA's goal 
of energy conservation and DOE's statutory obligations under EPCA, DOE 
is placing greater weight on ensuring compliant test procedures, 
decreasing risks to consumers, and ensuring that DOE meets its 
statutory obligations.

III. Discussion of Proposed Revisions

    DOE is reconsidering whether certain provisions implemented by the 
December 2020 Final Rule are appropriate or necessary. DOE acknowledges 
that its interim waiver process often involves a lengthy period 
following submission of interim waiver and waiver applications and 
imposes burdens on manufacturers who are unable to certify their 
products or equipment absent an interim waiver or waiver from DOE. The 
December 2020 Final Rule, however, mandates a process that, by 
prioritizing the speeding up of the petition process, may result in 
alternate test procedures that are inconsistent with EPCA's purpose and 
requirements and have adverse environmental impacts.
    As noted previously, DOE is required to develop test procedures to 
measure the energy efficiency, energy use, or estimated annual 
operating cost of each covered product and covered equipment during a 
representative average use cycle or period of use. (42 U.S.C. 6293; 42 
U.S.C. 6314) Manufacturers of covered products and covered equipment 
must use the prescribed DOE test procedure to certify that their 
products and equipment meet the applicable energy conservation 
standards adopted under EPCA, and also when making any other 
representations to the public regarding the energy use or efficiency of 
those products. (42 U.S.C. 6293(c), 6295(s), 42 U.S.C. 6314(d) and 42 
U.S.C. 6316(a)) In accordance with EPCA, manufacturers are prohibited 
from distributing a covered product without first demonstrating 
compliance with applicable standards through the use of DOE test 
procedures. (42 U.S.C. 6302(a)(5), 42 U.S.C. 6295(s)) Under the interim 
waiver process established in the December 2020 Final Rule, an interim 
waiver granted by default after the 45-day period would lack DOE review 
and would not benefit from a determination that the alternate test 
procedure meets EPCA requirements. As demonstrated in the examples 
discussed, DOE often requires longer than 45 business days to 
adequately evaluate an alternate test procedure to make a determination 
that will accurately reflect the product's energy consumption during an 
average use cycle. The default waiver process may result in test 
procedures later found to be inconsistent with EPCA which would allow 
manufacturers to distribute noncompliant products in commerce, 
resulting in additional costs (i.e., cost of energy use) to consumers.
    DOE noted in the December 2020 Final Rule that some commenters 
stated that the amendments to the interim waiver process would weaken 
the energy conservation standards program because the automatic 
granting of interim waivers without review could place noncompliant 
products in the market and allow them to remain for an additional 180 
days after DOE acts on the associated petition. 85 FR 79802, 79806. In 
addition, some commenters noted that the amendments could indirectly 
allow for backsliding of energy conservation standards, noting that 42 
U.S.C. 6295(o)(1) forbids DOE from prescribing an energy conservation 
standard that decreases the required energy efficiency of a product. 85 
FR 79802, 79813. These commenters argued that the amendments proposed 
in the May 2019 NOPR (and that were ultimately adopted in the December 
2020 Final Rule) would lead to the same loss of efficiency that EPCA's 
anti-backsliding provision was intended to prevent. Id. DOE's decision 
under the December 2020 Final Rule reflected a policy choice to reject 
these comments raising concerns about the risks of non-compliant 
products in favor of greater certainty and transparency, and a less 
burdensome process for manufacturers. In support of the December 2020 
Final Rule, DOE explained that the changes were in response to concerns 
that the current system for processing interim waiver petitions was not 
working as it should, and in DOE's view, manufacturers should not be 
constrained from selling their products for significant periods while 
DOE reviews the interim waiver petition. 85 FR 79802, 79807.
    Upon further consideration, DOE is weighing these factors 
differently in light of recent analysis of petitions suggesting that 
the number of non-compliant test procedures granted without sufficient 
time to review is higher than DOE estimated and considering DOE's 
statutory obligations under EPCA. For example, on June 30, 2021, DOE 
issued a notice denying the interim waiver application from General 
Electric Appliance (GEA) for certain miscellaneous refrigeration 
product (MREF) basic models. 86 FR 35766. The original petition for 
waiver and interim waiver from the test procedure for MREFs set forth 
at appendix A to subpart B of 10 CFR part 430 was received on April 9, 
2021. (GEA, No. 1 at p. 1) The original GEA petition did not contain 
sufficient information about the MREF basic models including necessary 
information about the use of these products, which is needed to 
determine an appropriate alternative method for testing. In response to 
the lack of information in the original petition, DOE sent GEA a number 
of technical questions, and GEA revised and supplemented its original 
petition twice. The revised alternate test procedure \5\ included in 
the April 26, 2021 petition lead DOE to ask further technical questions 
to understand how the basic models subject to the petition worked in 
the field, to which GEA provided additional correspondence on June 2, 
2021.\6\ Based on these final clarifications, DOE was able to 
successfully evaluate the proposed interim wavier test procedure, which 
led DOE to deny the interim waiver because the alternative method 
proposed by GEA was not representative of an average use cycle for the 
basic models in question. 86 FR 35766.
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    \5\ This document can be found in the docket for this test 
procedure waiver under Document No. 002.
    \6\ This document can be found in the docket for this test 
procedure waiver under Document No. 003.
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    From the time that DOE received GEA's original petition, to the 
time that the petition was denied, 55 business days passed. DOE was 
provided more than the 45-business day period in this case because GEA 
revised and supplemented its original petition in response to DOE's 
technical questions. However, if DOE did not have sufficient time to 
gather the additional information about GEA's MREF basic

[[Page 46796]]

models and how such models are applied in the field, an alternate test 
procedure could have erroneously been applied that did not meet the 
requirements in EPCA. DOE needed time to understand more about the 
product and the proposed alternate test procedure, and after several 
exchanges, came to understand that the GEA proposed alternate test 
procedure did not include all the energy consumption to represent an 
average use cycle and thus, the test procedure proposed by GEA was not 
representative. See 42 U.S.C. 6293. If the alternate test procedure 
proposed by GEA was automatically granted, the basic models subject to 
the interim waiver would be using a test procedure that underestimates 
the energy consumption of the product.
    In another example on October 25, 2016, AHT filed a petition for 
waiver and interim waiver from the DOE test procedure for commercial 
refrigeration equipment set forth in 10 CFR part 431, subpart C, 
appendix B. (EERE-2017-BT-WAV-0027-0009, AHT, No. 0001 at pp. 1-10 (3)) 
AHT petitioned for waiver for six model lines that are capable of 
multi-mode operation (i.e., as ice cream freezer and commercial 
refrigerator). In the petition, AHT stated that the DOE test procedure 
is not clear regarding how to test multi-mode equipment. 82 FR 15345, 
15349. To address multi-mode operation, AHT requested that their 
equipment be tested and rated only as ice cream freezers (with 
integrated average temperature of -15 [deg]F +/- 2.0 [deg]F and use of 
total display area (TDA) to determine associated energy conservation 
standards). 82 FR 15345, 15349-15350.
    In evaluating and adopting energy conservation standards, DOE 
generally divides covered equipment into classes by the type of energy 
used, or by capacity or other performance-related feature that 
justifies a different standard for equipment having such a feature. (42 
U.S.C. 6295(q) and 42 U.S.C. 6316(e)(1)) Commercial refrigeration 
equipment is divided into various equipment classes categorized by 
specific physical and design characteristics, such as operating 
temperatures. These equipment classes have characteristics that impact 
efficiency and have different corresponding energy conservation 
standards for refrigerators, freezers, and ice-cream freezers under the 
current DOE regulations. AHT's proposed alternate test procedure would 
have rated its multi-mode basic models in a manner that was 
unrepresentative because it would have only accounted for ice-cream 
freezer mode operation and would not have accounted for freezer mode 
operation. As DOE explained in the notice of a petition for waiver, 
partial grant of an interim waiver, and request for public comment, DOE 
did not agree with AHT's assertion that the multi-mode regulations for 
commercial refrigeration equipment were unclear. 82 FR 15345, 15347. 
DOE reiterated that in the most recent commercial refrigeration 
equipment test procedure final rule, self-contained equipment or remote 
condensing equipment with thermostats capable of operating at 
temperatures that span multiple equipment categories must be certified 
and comply with DOE's regulations for each applicable equipment 
category. (Id.)
    After evaluating AHT's petition and alternate test procedure, DOE 
partially granted AHT's interim waiver. 82 FR 15345. DOE required 102 
business days for this review. If DOE did not have sufficient time to 
evaluate this test procedure waiver and AHT moved forward with its 
request without modification, AHT would not have been evaluating the 
multi-mode operation in a manner representative of field use in freezer 
mode and it may have resulted in equipment being distributed in 
commerce that may have otherwise been non-compliant with the energy 
conservation standards.
    DOE has tentatively determined that the December 2020 Final Rule 
did not place sufficient weight on the potential for alternate test 
procedures granted without sufficient DOE review to allow manufacturers 
to place products in the market that do not meet applicable energy 
conservation standards. To the extent that test procedure results are 
unrepresentative and do not provide comparative data, energy savings 
may not be realized, and consumers may not be able to make informed 
choices. As discussed previously, DOE has an obligation under EPCA to 
ensure that all test procedures authorized by the Department yield 
measurements of energy consumption that are representative of actual 
product or equipment performance. (42 U.S.C. 6293) As commenters noted 
in the December 2020 Final Rule, a DOE test procedure that inaccurately 
measures energy use of a covered product or equipment could 
inadvertently allow for the backsliding of energy conservation measures 
in violation of 42 U.S.C. 9265(o). As seen with the GEA and AHT 
petitions, DOE cannot appropriately determine whether an alternate test 
procedure will accurately measure energy use if there is insufficient 
time to understand a product and validate an alternate test procedure. 
Accordingly, DOE is proposing to remove the provision that interim 
waivers will be automatically granted if DOE fails to notify the 
petitioner of the disposition of the petition within 45 business days 
of receipt. DOE also proposes to remove the language at 10 CFR 
430.27(e)(1)(iii) and 10 CFR 431.401(e)(1)(iii) specifying when a 
petition is considered ``received'' by DOE. These provisions were added 
for purposes of determining the start of the 45 business day window and 
would serve no purpose if interim waivers are not automatically granted 
within a specified time period.
    DOE requests comments, information, and data on its proposal to 
remove the provision that interim waivers will be automatically granted 
if DOE fails to respond to the request within 45 business days of 
receipt of the petition.
    In addition, after further reflection of the approach adopted in 
the December 2020 Final Rule and considering DOE's available resources, 
DOE is reconsidering whether the 45 business day review timeframe 
provides sufficient time for DOE to properly evaluate a proposed 
alternate test procedure. As discussed in the December 2020 Final Rule, 
DOE's analysis of the processing time of 33 interim waivers between 
2016 and 2018 showed long review periods between the receipt of the 
waiver application and issuance of an interim waiver. 85 FR 79802, 
79812-79813. Of those 33 interim waiver requests, only four were 
granted within 45 business days of receipt. Id. On average, interim 
waiver requests received in 2016 took 162 days to resolve, those 
received in 2017 took 202 days, and those received in 2018 took 208 
days. Id. DOE noted in the December 2020 Final Rule that this data 
illustrated that there was a need for issuance of a timely interim 
waiver. 85 FR 79802, 79813.
    After further consideration, DOE acknowledges that there is a need 
for improvement in its process to more timely address interim waivers 
but DOE believes the 45 business day timeframe implemented by the 
December 2020 Final Rule is too brief and rigid. An inflexible rule can 
fail to take relevant circumstances into account. As seen with the GEA 
and AHT petitions, a longer time frame is often needed for DOE to 
understand the product, the proposed alternate test procedure, and 
whether that alternate test procedure will accurately reflect the 
product's energy consumption during an average use cycle. As noted in 
DOE's 2014 rulemaking on the petitions for waiver and interim waiver 
regulations, many delays in processing waiver applications arise from 
iterative efforts by DOE to obtain sufficient information upon

[[Page 46797]]

which to base a decision to grant an interim waiver. Making a 
determination that an alternate test procedure complies with EPCA also 
requires careful analysis and sometimes requires testing by DOE. 79 FR 
26591, 29593 (May 9, 2014). DOE stated in the December 2020 Final Rule 
that a downside of this iterative process is the inability of 
interested stakeholders to participate in the development of an interim 
test procedure (85 FR 79802, 79809); however, DOE believes the risk of 
non-compliant alternate test procedures outweighs early stakeholder 
input. Further, interested stakeholders will not lose the ability to 
provide comment on the alternate test procedures as the regulations 
require notification of a proposed alternated test procedure to 
affected manufacturers and opportunity for comment. 10 CFR 
430.24(b)(iv) and 10 CFR 431.401(b)(iv). DOE has a statutory obligation 
under EPCA to ensure that alternative test methods authorized by the 
Department yield measurements of energy consumption that are 
representative of actual performance. Providing a longer, flexible 
timeframe that better reflects DOE's experience will allow DOE to 
complete the analysis required, while providing a realistic timeframe 
on which manufacturers can more reasonably rely.
    Accordingly, DOE proposes that DOE will make best efforts to 
respond to interim waiver requests within 90 business days. Based on 
DOE's experience, a period of 90 business days would still represent an 
improvement in response time, and in most cases would allow DOE 
sufficient time for proper analysis, review, and testing. Importantly, 
this proposal would ensure that DOE can fulfill its obligation under 
EPCA to ensure that alternative test methods yield results that are 
representative of the product's true energy (or water) consumption 
characteristics so as to provide materially accurate comparative data, 
while still accounting for how circumstances may dictate a lengthier 
period for consideration of a particular request.
    DOE requests comments, information, and data on its proposal that 
DOE will make best efforts to respond to an interim waiver request 
within 90 business days.
    To clarify the necessary contents of a petition for interim waiver, 
DOE is also proposing amendments to 10 CFR 430.27(b) and 10 CFR 
431.401(b). As noted previously, many of the delays in interim waiver 
processing arise from the back-and-forth between DOE and manufacturers 
to ensure that the manufacturer has submitted the necessary information 
to support its request. Before DOE can act on a request for interim 
waiver, DOE may correspond with a manufacturer several times to obtain 
all necessary information and ensure that the manufacturer has 
submitted a complete petition. In addition, to formalize the process by 
which DOE will respond to incomplete petitions, DOE is proposing to 
specify at 10 CFR 430.27(e)(2) and 10 CFR 431.401(e)(2) that a petition 
for interim waiver will be considered incomplete if it does not meet 
the content requirements of 10 CFR 430.27(b) or 10 CFR 431.401(b), as 
applicable. In such a case, DOE will notify the petitioner of an 
incomplete petition via email. DOE will continue the iterative process 
by which DOE assists manufacturers in completing their petitions. DOE 
believes these amendments will provide clarity regarding the initial 
requirements for petition submissions. Consistent with these proposals, 
DOE also proposes to state at 10 CFR 430.27(e)(1) and 10 CFR 
431.401(e)(1) that DOE will post a petition for interim waiver on its 
website within five business days of receipt of a complete petition.
    DOE is similarly proposing amendments to 10 CFR 430.27(g) and 10 
CFR 431.401(g) to specify the information that must be provided in a 
request to extend a waiver to additional basic models. Specifically, 
DOE proposes that the petition for extension must identify the 
particular basic model(s) for which a waiver extension is requested, 
each brand name under which the identified basic model(s) will be 
distributed in commerce, and documentation supporting the claim that 
the additional basic models employ the same technology as the basic 
model(s) set forth in the original petition. DOE believes that 
including these requirements in the regulations will make clear to 
manufacturers the information required for an extension request and 
allow DOE to process such requests more expeditiously.
    DOE requests comments on its proposals to specify the contents of a 
complete petition for interim waiver, to formalize the process by which 
DOE will respond to incomplete petitions, and to specify the 
information that must be provided in a request to extend a waiver to 
additional basic models.
    DOE is also proposing amendments to 10 CFR 430.27(h) and 10 CFR 
431.401(h). The current regulations provide that upon publication in 
the Federal Register of a new or amended test procedure that addresses 
the issue(s) presented in a waiver, an interim waiver will cease to be 
in effect. 10 CFR 430.27(h)(1)(ii) and 10 CFR 431.401(h)(1)(ii). Under 
this provision, a manufacturer can no longer rely on an interim waiver 
upon the publication date of a new or amended test procedure. In 
contrast, final waivers automatically terminate on the date on which 
use of such test procedure is required to demonstrate compliance. To 
ensure equitable treatment of final waivers and interim waivers that 
are in place at the time a test procedure final rule publishes, DOE is 
proposing to specify that final waivers and interim waivers both 
automatically terminate on the compliance date of the test procedure 
final rule.
    DOE requests comments on its proposal to specify that interim 
waivers in place at the time a test procedure final rule is published 
will automatically terminate on the compliance date of the test 
procedure final rule.
    DOE is also proposing amendments to 10 CFR 430.27(i) and 10 CFR 
431.401(i) to clearly state the transition period for compliance with a 
decision and order or test procedure final rule. DOE believes these 
amendments are necessary to make clear the transition periods for 
scenarios not previously addressed by these provisions. These 
provisions would apply to required certifications and any 
representations. DOE proposes to specify at 10 CFR 430.27(i)(1) and 10 
CFR 431.401(i)(1) that manufacturers have 180 days (or up to 360 days, 
as applicable) to comply with a decision and order or test procedure 
methodology, unless otherwise specified by DOE in the decision and 
order. The existing language in these sections specifies that when 
basic models have already been certified using the test procedure 
permitted in DOE's grant of an interim test procedure waiver, a 
manufacturer is not required to re-test and re-rate those basic models 
under certain circumstances. DOE intends to retain this flexibility, 
but simplify this provision by stating that DOE may specify in the 
decision and order when certification reports and any representations 
need not be based on the decision and order test procedure methodology. 
DOE also proposes to specify at 10 CFR 430.27(i)(1) and 10 CFR 
431.401(i)(1) that once a manufacturer uses the decision and order test 
procedure methodology in a certification report or any representation, 
all subsequent certification reports and any representations would be 
required to be made using the decision and order test procedure 
methodology while the waiver is valid. In addition, DOE is proposing 
similar amendments to clarify

[[Page 46798]]

when certification reports and any representations are required to be 
based on a new or amended test procedure. Specifically, 10 CFR 
430.27(i)(2) and 10 CFR 431.401(i)(2) would provide that certification 
reports and any representations may be based on the testing methodology 
of an applicable final waiver or interim waiver, or the new or amended 
test procedure until the compliance date of the amended test procedure. 
Thereafter, certification reports and any representations must be based 
on the test procedure final rule methodology unless specified by DOE in 
the test procedure final rule. Consistent with this provision, as 
necessary, DOE would be able to specify in a test procedure final rule 
that a manufacturer need not recertify basic models where testing under 
the interim waiver or final waiver test procedure methodology, as 
compared to the amended test procedure methodology, does not result in 
a change in measured energy use. This section would also specify that 
once a manufacturer uses the test procedure final rule methodology in a 
certification report or any representation, all subsequent 
certification reports and any representations must be made using the 
test procedure final rule methodology.
    DOE requests comments on the proposed amendment to 10 CFR 430.27(i) 
and 10 CFR 431.401(i).
    In addition, DOE is proposing amendments to 10 CFR 430.27(j) and 10 
CFR 431.401(j) for simplification and consistency with the enforcement 
requirements at 10 CFR part 429. Under 10 CFR 430.27(j) and 10 CFR 
431.401(j) manufacturers of products or equipment employing a 
technology or characteristic for which a waiver was granted for another 
basic model must also seek a waiver for basic models of their product 
or equipment. Under these provisions, manufacturers currently 
distributing such products in commerce have 60 days to submit a waiver 
application and manufacturers of such products that are not currently 
distributing such products in commerce must petition for and be granted 
a waiver prior to distribution in commerce. When originally 
implemented, the intent of these provisions was to ensure that similar 
products are rated in a comparable manner. 77 FR 74616, 74618. DOE 
wishes to preserve this intent, but believes this language to be 
confusing when read in context with 10 CFR part 429. Pursuant to 10 CFR 
429.12, a basic model must be certified prior to distribution in 
commerce, and that certification must be based on testing conducted in 
conformance with the applicable test requirements prescribed in 10 CFR 
parts 429, 430 and 431, or in accordance with the terms of an 
applicable test procedure waiver. Manufacturers must comply with 10 CFR 
part 429 prior to distributing their product in commerce (i.e., there 
is no grace period) and 10 CFR part 429 draws no distinction between 
models currently being distributed and models that will be distributed 
in the future. To align with 10 CFR part 429, DOE proposes to remove 
the 60 day period and to make no distinction between models currently 
being distributed and models that will be distributed in the future. 
DOE believes the proposed amendments continue to achieve the original 
intent of paragraph (j) while better aligning with 10 CFR part 429.
    DOE requests comments on the proposed amendment to 10 CFR 430.27(j) 
and 10 CFR 431.401(j).
    Finally, DOE is proposing an amendment to 10 CFR 430.27(k)(1) and 
10 CFR 431.401(k)(1). Currently those provisions provide that DOE may 
rescind or modify a waiver or interim waiver at any time upon DOE's 
determination that the factual basis underlying the petition for waiver 
or interim waiver is incorrect or upon a determination that the results 
from the alternate test procedure are unrepresentative of the basic 
model(s)' true energy consumption characteristics. DOE envisions that 
there could be other circumstances, such as new methodology, that might 
necessitate modification of a waiver. As such, DOE proposes to add to 
this provision that DOE may rescind or modify a waiver for other 
appropriate reasons.
    DOE requests comments on the proposed amendment to 10 CFR 
430.27(k)(1) and 10 CFR 431.401(k)(1).

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Information and Regulatory Affairs (OIRA) in the 
Office of Management and Budget (OMB) waived Executive Order (``E.O.'') 
12866, ``Regulatory Planning and Review'' review of this proposed rule.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis 
(IRFA) for any rule that by law must be proposed for public comment and 
a final regulatory flexibility analysis (FRFA) for any such rule that 
an agency adopts as a final rule, unless the agency certifies that the 
rule, if promulgated, will not have a significant economic impact on a 
substantial number of small entities. A regulatory flexibility analysis 
examines the impact of the rule on small entities and considers 
alternative ways of reducing negative effects. Also, as required by 
Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's website at: https://energy.gov/gc/office-general-counsel.
    This proposed rule would not impose any new requirements on any 
manufacturers, including small businesses. This proposed rule removes 
the provision automatically granting interim waivers within 45 business 
days of receipt and proposes to add a new provision that DOE will make 
best efforts to process an interim waiver request within 90 days of 
receipt. While this proposal allows DOE a longer period to review 
interim waiver petitions, consistent with DOE's current enforcement 
policy, manufacturers can sell products tested in accordance with a 
filed petition without fear of enforcement action.\7\ As such, DOE 
anticipates any additional review period will minimally impact 
manufacturers, including small businesses. Under this proposed rule, 
DOE is also specifying a number of requirements for complete petitions 
for interim waiver and petitions for an extension of a waiver. These 
proposals are not new requirements (i.e., petitions must currently 
include this information), but are proposed to be included in DOE's 
regulations to make clear to manufacturers the information required for 
a petition or an extension request and allow DOE to process such 
requests more expeditiously. DOE is also proposing to eliminate the 60-
day period from 10 CFR 430.27(j) and 10 CFR 431.401(j) to align with 
enforcement requirements at 10 CFR part 429. DOE believes this 
amendment will minimally impact manufacturers, including small 
businesses, as they are already subject to the requirements at 10 CFR 
part 429 which provides no grace

[[Page 46799]]

period. Finally, DOE believes its proposals to revise the compliance 
certification and representation requirements and to clarify the 
duration of interim waivers will provide clarity to manufacturers and 
do not increase the burden on manufacturers, including small 
businesses. DOE does not anticipate any impact on small businesses as a 
result of the proposed amendments to 10 CFR 430.27(k)(1) and 10 CFR 
431.401(k)(1).
---------------------------------------------------------------------------

    \7\ Department of Energy, Enforcement Policy Statement--Pending 
Test Procedure Waiver Applications (Apr. 5. 2017), available at 
https://www.energy.gov/sites/default/files/2017/04/f34/Enforcement%20Policy%20-%20waivers.pdf.
---------------------------------------------------------------------------

    For these reasons, DOE certifies that this proposed rule, if 
promulgated, would not have a significant economic impact on a 
substantial number of small entities, and therefore, no regulatory 
flexibility analysis has been prepared. DOE's certification and 
supporting statement of factual basis will be provided to the Chief 
Counsel of Advocacy of the SBA pursuant to 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of covered products/equipment must certify to DOE 
that their products comply with any applicable energy conservation 
standards. In certifying compliance, manufacturers must test their 
products according to the DOE test procedures for such products/
equipment, including any amendments adopted for those test procedures, 
on the date that compliance is required. DOE has established 
regulations for the certification and recordkeeping requirements for 
all covered consumer products and commercial equipment. 76 FR 12422 
(March 7, 2011); 80 FR 5099 (Jan. 30, 2015). The collection-of-
information requirement for certification and recordkeeping is subject 
to review and approval by OMB under the Paperwork Reduction Act (PRA). 
This requirement has been approved by OMB under OMB control number 
1910-1400. Public reporting burden for the certification is estimated 
to average 35 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.
    Specifically, this proposed rule, addressing revisions to DOE's 
test procedure waiver process, does not contain any collection of 
information requirement that would trigger the PRA.

D. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act (NEPA) and DOE's NEPA implementing 
regulations (10 CFR part 1021). DOE's regulations include a categorical 
exclusion for rulemakings interpreting or amending an existing rule or 
regulation that does not change the environmental effect of the rule or 
regulation being amended. 10 CFR part 1021, subpart D, appendix A5. DOE 
anticipates that this rulemaking qualifies for categorical exclusion A5 
because it amends an existing rule and does not change the 
environmental effect of the rule and otherwise meets the requirements 
for application of a categorical exclusion. See 10 CFR 1021.410. DOE 
will complete its NEPA review before issuing the final rule.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism'' (64 FR 43255, Aug. 10, 1999), 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. Agencies are required to examine the constitutional and 
statutory authority supporting any action that would limit the 
policymaking discretion of the States and carefully assess the 
necessity for such actions. DOE has examined this proposed rule and has 
determined that it would not preempt State law and would not have a 
substantial direct effect on the States, the relationship between the 
national government and the States, or the distribution of power and 
responsibilities among the various levels of government. No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Regarding the review required by section 3(a), 
section 3(b) of Executive Order 12988 specifically requires that each 
Executive agency make every reasonable effort to ensure that when it 
issues a regulation, the regulation: (1) Clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and has determined that, to the extent permitted by 
law, the proposed rule meets the relevant standards of Executive Order 
12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. (Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531)) 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect them. On March 18, 1997, DOE published 
a statement of policy on its process for intergovernmental consultation 
under UMRA. (62 FR 12820) (This policy is also available at https://www.energy.gov/gc/office-general-counsel under ``Guidance & Opinions'' 
(Rulemaking)) DOE examined the proposed rule according to UMRA and its 
statement of policy and has determined that the rule contains neither 
an intergovernmental mandate, nor a mandate that may result

[[Page 46800]]

in the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector, of $100 million or more in any 
year. Accordingly, no further assessment or analysis is required under 
UMRA.

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This proposed rule would not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 18, 1988), DOE has determined that this proposed rule would 
not result in any takings that might require compensation under the 
Fifth Amendment to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for Federal agencies to review 
most disseminations of information to the public under information 
quality guidelines established by each agency pursuant to general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(Oct. 7, 2002). DOE has reviewed this proposed rule under the OMB and 
DOE guidelines and has concluded that it is consistent with the 
applicable policies in those guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001) requires Federal agencies to prepare and submit to OIRA 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that: (1)(i) Is a significant regulatory action under 
Executive Order 12866, or any successor order, and (ii) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (2) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use. This regulatory 
action would not have a significant adverse effect on the supply, 
distribution, or use of energy, and it has not been designated by the 
Administrator of OIRA as a significant energy action; it therefore is 
not a significant energy action. Accordingly, DOE has not prepared a 
Statement of Energy Effects.

L. Review Consistent With OMB's Information Quality Bulletin for Peer 
Review

    On December 16, 2004, OMB, in consultation with the Office of 
Science and Technology Policy (OSTP), issued its Final Information 
Quality Bulletin for Peer Review (the Bulletin). 70 FR 2664 (Jan. 14, 
2005). The Bulletin establishes that certain scientific information 
shall be peer reviewed by qualified specialists before it is 
disseminated by the Federal Government, including influential 
scientific information related to agency regulatory actions. The 
purpose of the bulletin is to enhance the quality and credibility of 
the Government's scientific information. Under the Bulletin, the energy 
conservation standards rulemaking analyses are ``influential scientific 
information,'' which the Bulletin defines as ``scientific information 
the agency reasonably can determine will have or does have a clear and 
substantial impact on important public policies or private sector 
decisions.'' Id. at 70 FR 2667.
    In response to OMB's Bulletin, DOE conducted formal in-progress 
peer reviews of the energy conservation standards development process 
and analyses and has prepared a Peer Review Report pertaining to the 
energy conservation standards rulemaking analyses. Generation of this 
report involved a rigorous, formal, and documented evaluation using 
objective criteria and qualified and independent reviewers to make a 
judgment as to the technical/scientific/business merit, the actual or 
anticipated results, and the productivity and management effectiveness 
of programs and/or projects. The ``Energy Conservation Standards 
Rulemaking Peer Review Report,'' dated February 2007, has been 
disseminated and is available at the following website: https://www1.eere.energy.gov/buildings/appliance_standards/peer_review.html. 
Because available data, models, and technological understanding have 
changed since 2007, DOE has engaged with the National Academy of 
Sciences to review DOE's analytical methodologies to ascertain whether 
modifications are needed to improve the Department's analyses. The 
results from that review are expected later in 2021.

V. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via https://www.regulations.gov. The https://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to https://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
https://www.regulations.gov cannot be claimed as CBI. Comments received 
through the

[[Page 46801]]

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 https://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that https://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email. Comments and documents submitted via 
email will be posted to https://www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information in 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. No telefacsimiles (faxes) will 
be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English, and 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. Pursuant 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. Submit these 
documents via email. 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).

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking.

Signing Authority

    This document of the Department of Energy was signed on July 26, 
2021, by Dr. Kathleen B. Hogan, Acting Under Secretary for Energy and 
Science, 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.

List of Subjects

10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Test procedures, Incorporation by reference, Reporting and 
recordkeeping requirements.

     Signed in Washington, DC, on July 27, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 430, and 431 of chapter II of title 10, Code of Federal 
Regulations as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.

0
2. Section 430.27 is amended by revising paragraphs (b), (e), (g), (h), 
(i), (j), and (k)(1) to read as follows:


Sec.  430.27  Petitions for waiver and interim waiver of the test 
procedure.

* * * * *
    (b) Petition content and publication. (1) Each petition for interim 
waiver and waiver must:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, each brand name under which the identified basic model(s) 
will be distributed in commerce, the design characteristic(s) 
constituting the grounds for the petition, and the specific 
requirements sought to be waived, and must discuss in detail the need 
for the requested waiver;
    (ii) Identify manufacturers of all other basic models distributed 
in commerce in the United States and known to the petitioner to 
incorporate design characteristic(s) similar to those found in the 
basic model that is the subject of the petition;
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate the performance of the product type in a manner 
representative of the energy and/or water consumption characteristics 
of the basic model; and
    (iv) Be signed by the petitioner or an authorized representative. 
In accordance with the provisions set forth in 10 CFR 1004.11, any 
request for confidential treatment of any information contained in a 
petition or in supporting documentation must be accompanied by a copy 
of the petition, application or supporting documentation from which the 
information claimed to be confidential has been deleted. DOE will 
publish in the Federal Register the petition and supporting documents 
from which confidential information, as determined by DOE, has been 
deleted in accordance with 10 CFR 1004.11 and will solicit comments, 
data and information with respect to the determination of the petition.
    (2) In addition to the requirements in paragraph (b)(1) of this 
section, each petition for interim waiver must reference the related 
petition for waiver, demonstrate likely success of the petition for 
waiver, and address what economic hardship and/or competitive 
disadvantage is likely to result absent a

[[Page 46802]]

favorable determination on the petition for interim waiver.
* * * * *
    (e) Provisions specific to interim waivers--(1) Disposition of 
petition. DOE will post a petition for interim waiver on its website 
within 5 business days of receipt of a complete petition. DOE will make 
best efforts to review a petition for interim waiver within 90 business 
days of receipt of a complete petition.
    (2) Incomplete petitions. A petition for interim waiver that does 
not meet the content requirements of paragraph (b) of this section will 
be considered incomplete. DOE will notify the petitioner of an 
incomplete petition via email.
    (3) Criteria for granting. DOE will grant an interim waiver from 
the test procedure requirements if it appears likely that the petition 
for waiver will be granted and/or if DOE determines that it would be 
desirable for public policy reasons to grant immediate relief pending a 
determination on the petition for waiver. Notice of DOE's determination 
on the petition for interim waiver will be published in the Federal 
Register.
* * * * *
    (g) Extension to additional basic models. A petitioner may request 
that DOE extend the scope of a waiver or an interim waiver to include 
additional basic models employing the same technology as the basic 
model(s) set forth in the original petition. The petition for extension 
must identify the particular basic model(s) for which a waiver 
extension is requested, each brand name under which the identified 
basic model(s) will be distributed in commerce, and documentation 
supporting the claim that the additional basic models employ the same 
technology as the basic model(s) set forth in the original petition. 
DOE will publish any such extension in the Federal Register.
    (h) Duration. (1) Within one year of issuance of an interim waiver, 
DOE will either:
    (i) Publish in the Federal Register a determination on the petition 
for waiver; or
    (ii) Publish in the Federal Register a new or amended test 
procedure that addresses the issues presented in the waiver.
    (2) When DOE publishes a decision and order on a petition for 
waiver in the Federal Register pursuant to paragraph (f) of this 
section, the interim waiver will terminate 180 days after the 
publication date of the decision and order.
    (3) When DOE amends the test procedure to address the issues 
presented in a waiver, the waiver or interim waiver will automatically 
terminate on the compliance date of the amended test procedure.
    (i) Compliance certification and representations. If the interim 
waiver test procedure methodology is different than the decision and 
order test procedure methodology, certification reports to DOE required 
under 10 CFR 429.12 and any representations may be based on either of 
the two methodologies until 180 days after the publication date of the 
decision and order.
    (j) Petition for waiver required of other manufactures. Any 
manufacturer of a basic model employing a technology or characteristic 
for which a waiver was granted for another basic model and that results 
in the need for a waiver (as specified by DOE in a published decision 
and order in the Federal Register) must petition for and be granted a 
waiver for that basic model. Manufacturers may also submit a request 
for interim waiver pursuant to the requirements of this section.
    (k) Rescission or modification. (1) DOE may rescind or modify a 
waiver or interim waiver at any time upon DOE's determination that the 
factual basis underlying the petition for waiver or interim waiver is 
incorrect, upon a determination that the results from the alternate 
test procedure are unrepresentative of the basic model(s)' true energy 
consumption characteristics, or for other appropriate reason. Waivers 
and interim waivers are conditioned upon the validity of statements, 
representations, and documents provided by the requestor; any evidence 
that the original grant of a waiver or interim waiver was based upon 
inaccurate information will weigh against continuation of the waiver. 
DOE's decision will specify the basis for its determination and, in the 
case of a modification, will also specify the change to the authorized 
test procedure.
* * * * *

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

0
3. The authority citation for part 431 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
4. Section 431.401 is amended by revising paragraphs (b), (e), (g), 
(h), (i), (j), and (k)(1) to read as follows:


Sec.  431.401  Petitions for waiver and interim waiver of the test 
procedure.

* * * * *
    (b) Petition content and publication. (1) Each petition for interim 
waiver and waiver must:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, each brand name under which the identified basic model(s) 
will be distributed in commerce, the design characteristic(s) 
constituting the grounds for the petition, and the specific 
requirements sought to be waived, and must discuss in detail the need 
for the requested waiver;
    (ii) Identify manufacturers of all other basic models distributed 
in commerce in the United States and known to the petitioner to 
incorporate design characteristic(s) similar to those found in the 
basic model that is the subject of the petition;
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate the performance of the product type in a manner 
representative of the energy and/or water consumption characteristics 
of the basic model; and
    (iv) Be signed by the petitioner or an authorized representative. 
In accordance with the provisions set forth in 10 CFR 1004.11, any 
request for confidential treatment of any information contained in a 
petition or in supporting documentation must be accompanied by a copy 
of the petition, application or supporting documentation from which the 
information claimed to be confidential has been deleted. DOE will 
publish in the Federal Register the petition and supporting documents 
from which confidential information, as determined by DOE, has been 
deleted in accordance with 10 CFR 1004.11 and will solicit comments, 
data and information with respect to the determination of the petition.
    (2) Each petition for interim waiver must reference the related 
petition for waiver, demonstrate likely success of the petition for 
waiver, and address what economic hardship and/or competitive 
disadvantage is likely to result absent a favorable determination on 
the petition for interim waiver.
* * * * *
    (e) Provisions specific to interim waivers--(1) Disposition of 
petition. DOE will post a petition for interim waiver on its website 
within 5 business days of receipt of a complete petition. DOE will make 
best efforts to review a petition for interim waiver within 90 business 
days of receipt of a complete petition.
    (2) Incomplete petitions. A petition for interim waiver that does 
not meet

[[Page 46803]]

the content requirements of paragraph (b) of this section will be 
considered incomplete. DOE will notify the petitioner of an incomplete 
petition via email.
    (3) Criteria for granting. DOE will grant an interim waiver from 
the test procedure requirements if it appears likely that the petition 
for waiver will be granted and/or if DOE determines that it would be 
desirable for public policy reasons to grant immediate relief pending a 
determination on the petition for waiver. Notice of DOE's determination 
on the petition for interim waiver will be published in the Federal 
Register.
* * * * *
    (g) Extension to additional basic models. A petitioner may request 
that DOE extend the scope of a waiver or an interim waiver to include 
additional basic models employing the same technology as the basic 
model(s) set forth in the original petition. The petition for extension 
must identify the particular basic model(s) for which a waiver 
extension is requested, each brand name under which the identified 
basic model(s) will be distributed in commerce, and documentation 
supporting the claim that the additional basic models employ the same 
technology as the basic model(s) set forth in the original petition. 
DOE will publish any such extension in the Federal Register.
    (h) Duration. (1) Within one year of issuance of an interim waiver, 
DOE will either:
    (i) Publish in the Federal Register a final determination on the 
petition for waiver; or
    (ii) Publish in the Federal Register a new or amended test 
procedure that addresses the issues presented in the waiver.
    (2) When DOE publishes a decision and order on a petition for 
waiver in the Federal Register pursuant to paragraph (f) of this 
section, the interim waiver will 180 days after the publication date of 
the decision and order
    (3) When DOE amends the test procedure to address the issues 
presented in a waiver, the waiver or interim waiver will automatically 
terminate on the date on which use of that test procedure is required 
to demonstrate compliance.
    (i) Compliance certification and representations. (1) If the 
interim waiver test procedure methodology is different than the 
decision and order test procedure methodology, certification reports to 
DOE required under 10 CFR 429.12 and any representations may be based 
on either of the two methodologies until 180-360 days after the 
publication date of the decision and order, as specified by DOE in the 
decision and order. Thereafter, certification reports and any 
representations must be based on the decision and order test procedure 
methodology unless otherwise specified by DOE. Once a manufacturer uses 
the decision and order test procedure methodology in a certification 
report or any representation, all subsequent certification reports and 
any representations must be made using the decision and order test 
procedure methodology while the waiver is valid.
    (2) When DOE publishes a new or amended test procedure, 
certification reports to DOE required under 10 CFR 429.12 and any 
representations may be based on the testing methodology of an 
applicable waiver or interim waiver, or the new or amended test 
procedure until the date on which use of such test procedure is 
required to demonstrate compliance unless otherwise specified by DOE in 
the test procedure final rule. Thereafter, certification reports and 
any representations must be based on the test procedure final rule 
methodology. Once a manufacturer uses the test procedure final rule 
methodology in a certification report or any representation, all 
subsequent certification reports and any representations must be made 
using the test procedure final rule methodology.
    (j) Petition for waiver required of other manufactures. Any 
manufacturer of a basic model employing a technology or characteristic 
for which a waiver was granted for another basic model and that results 
in the need for a waiver (as specified by DOE in a published decision 
and order in the Federal Register) must petition for and be granted a 
waiver for that basic model. Manufacturers may also submit a request 
for interim waiver pursuant to the requirements of this section.
    (k) Rescission or modification. (1) DOE may rescind or modify a 
waiver or interim waiver at any time upon DOE's determination that the 
factual basis underlying the petition for waiver or interim waiver is 
incorrect, upon a determination that the results from the alternate 
test procedure are unrepresentative of the basic model(s)' true energy 
consumption characteristics, or for other appropriate reason. Waivers 
and interim waivers are conditioned upon the validity of statements, 
representations, and documents provided by the requestor; any evidence 
that the original grant of a waiver or interim waiver was based upon 
inaccurate information will weigh against continuation of the waiver. 
DOE's decision will specify the basis for its determination and, in the 
case of a modification, will also specify the change to the authorized 
test procedure.
* * * * *
[FR Doc. 2021-16341 Filed 8-19-21; 8:45 am]
BILLING CODE 6450-01-P