[Federal Register Volume 86, Number 177 (Thursday, September 16, 2021)]
[Proposed Rules]
[Pages 51629-51636]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-19950]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2021-BT-DET-0022]
RIN 1904-AF25


Energy Conservation Program: Proposed Determination of Air 
Cleaners as a Covered Consumer Product

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

ACTION: Notification of proposed determination and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'') has tentatively

[[Page 51630]]

determined that air cleaners qualify as a covered product under Part A 
of Title III of the Energy Policy and Conservation Act (``EPCA''), as 
amended. DOE has tentatively determined that coverage of air cleaners 
is necessary and appropriate to carry out the purposes of EPCA, and 
that the average U.S. household energy use for air cleaners is likely 
to exceed 100 kilowatt-hours per year.

DATES: Written comments, data, and information are requested and will 
be accepted on or before November 15, 2021.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments, identified by docket number EERE-2021-BT-DET-0022, 
by any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: to [email protected]. Include docket 
number EERE-2021-BT-DET-0022 in the subject line of the message.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section VI of this document.
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including postal mail and hand 
delivery/courier, DOE has found it necessary to make temporary 
modifications to the comment submission process in light of the ongoing 
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, which includes Federal Register notices, 
comments, and other supporting documents/materials, is available for 
review at www.regulations.gov. All documents in the docket are listed 
in the 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 www.regulations.gov/docket/EERE-2021-BT-DET-0022. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket. See 
section VI, ``Public Participation,'' for further information on how to 
submit comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT:
Dr. Stephanie Johnson, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1943. Email: [email protected].
Ms. Linda Field, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-3440. Email: [email protected].

    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: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Statutory Authority
II. Current Rulemaking Process
III. Scope of Coverage
IV. Evaluation of Air Cleaners as a Covered Product Subject to 
Energy Conservation Standards
    A. Coverage Necessary or Appropriate To Carry Out Purposes of 
EPCA
    B. Average Household Energy Use
    C. Preliminary Determination
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act of 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act of 2001
    K. Review Under Executive Order 13211
    L. Information Quality
VI. Public Participation
    A. Submission of Comments
    B. Issues on Which DOE Seeks Comments
VII. Approval of the Office of the Secretary

I. Statutory Authority

    EPCA \1\ 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 consumer products, referred to generally 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. For a given consumer product to be 
classified as a covered product, the Secretary must determine that:
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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).
    \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 kilowatt-hours (``kWh'') (or its 
British thermal unit (``Btu'') equivalent) per year. (42 U.S.C. 
6292(b)(1))
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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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    When attempting to cover additional consumer product types, DOE 
must first determine whether these criteria from 42 U.S.C. 6292(b)(1) 
are met. Once a determination is made, the Secretary may prescribe test 
procedures to measure the energy efficiency or energy use of such 
product. (42 U.S.C.

[[Page 51631]]

6293(a)(1)(B)) Furthermore, once a product is determined to be a 
covered product, the Secretary may set standards for such product, 
subject to the provisions in 42 U.S.C. 6295(o) and (p), provided that 
DOE determines that four additional criteria at 42 U.S.C. 6295(l) have 
been met. Specifically, 42 U.S.C. 6295(l) requires the Secretary to 
determine that:
    (1) The average household energy use of the products has exceeded 
150 kWh per household for a 12-month period;
    (2) The aggregate 12-month energy use of the products has exceeded 
4200 gigawatt-hours;
    (3) Substantial improvement in energy efficiency of products of 
such type is technologically feasible; and
    (4) Application of a labeling rule under 42 U.S.C. 6294 is unlikely 
to be sufficient to induce manufacturers to produce, and consumers and 
other persons to purchase, covered products of such type (or class) 
that achieve the maximum energy efficiency that is technologically 
feasible and economically justified. (42 U.S.C. 6295(l)(1))

II. Current Rulemaking Process

    DOE has not previously conducted a rulemaking for air cleaners. If, 
after public comment, DOE issues a final determination of coverage for 
this product, DOE may prescribe both test procedures and energy 
conservation standards for this product. DOE will publish a final 
decision on coverage as a separate notice, an action that will be 
completed prior to the initiation of any test procedure or energy 
conservation standards rulemaking. 10 CFR part 430 subpart C appendix A 
section 5(c). If DOE determines that coverage is warranted, DOE will 
proceed with its typical rulemaking process for both test procedures 
and standards. Id. DOE is not proposing test procedures or energy 
conservation standards as part of this proposed determination. If DOE 
proceeds with a rulemaking to establish energy conservation standards, 
DOE would determine if air cleaners satisfy the provisions of 42 U.S.C. 
6295(l)(1) during the course of that rulemaking.

III. Scope of Coverage

    Air cleaners are products that remove, destroy, or deactivate 
particulate matter and other contaminants from the air to improve 
indoor air quality. A wide range of consumer air cleaner products are 
available on the market, including tabletop units, units sized for 
single rooms or multiple rooms, and whole-home units integrated into a 
central heating and cooling system. Air cleaners employ a wide variety 
of technologies to remove particulate matter and other contaminants 
from the air, and may also provide air circulation or humidification, 
and other forms of indoor air quality improvement.
    To help inform its proposed scope of coverage, DOE utilized 
existing classifications of air cleaners developed by the Association 
of Home Appliance Manufacturers (``AHAM'')--the industry trade group 
for air cleaners--and the U.S. Environmental Protection Agency's 
(``EPA's'') ENERGY STAR[supreg] program, as well as additional market 
research conducted by DOE. The following paragraphs discuss DOE's 
considerations from these sources and present the proposed definition 
that would provide the basis for coverage of air cleaners under EPCA.
    AHAM publishes a standard method of test, certified by American 
National Standards Institute (``ANSI''), for measuring 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'').\5\ AHAM describes this standard as establishing a uniform, 
repeatable procedure or standard method for measuring specified product 
characteristics of household portable air cleaners. The standard 
methods provide a means to compare and evaluate different brands and 
models of household portable air cleaners on the basis of 
characteristics significant to product use. Section 3.1 of ANSI/AHAM 
AC-1-2020 defines ``Portable Household Electric Room Air Cleaner (`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. Hereinafter referred to as `air cleaner'.'' In addition, Sections 
3.1.1 through 3.1.6 of ANSI/AHAM AC-1-2020 define the following 
installation configurations of air cleaners:
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    \5\ ANSI/AHAM AC-1-2020 available at AHAM website at 
www.aham.org/itemdetail?iproductcode=30002&category=padstd.
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    (1) Air Cleaner--Floor Type: Floor type air cleaners are designed 
to stand alone on the floor of a room and are designated as stand-alone 
floor models by the manufacturer. Appliances of this type are tested on 
the floor facing the test window as close to the center of the test 
chamber as possible.
    (2) Air Cleaner--Table Type: Table type air cleaners are designed 
to set on a table or counter by the manufacturer. Appliances of this 
type are tested on the table stand facing the test window at the center 
of the test chamber.
    (3) Air Cleaner--Wall Type: Wall type air cleaners are designed 
either to attach to a wall and are designated as wall mountable by the 
manufacturer or as a plug-in air cleaner. A wall type air cleaner must 
include appropriate wall mounting brackets or specifically designated 
instructions to mount the air cleaner integrally to the wall (i.e., not 
a shelf). Appliances of this type are tested on the wall mount stand 
facing the test window placed at the center of the test chamber.
    (4) Air Cleaner--Combination Type: Combination type air cleaners 
are designed to operate in one or more orientations/positions (floor, 
table, wall) as designed by the manufacturer. A combination type air 
cleaner may be tested at the center of the test chamber facing the test 
window on the floor, table, or wall mount stand, according to how it 
has been designated by the manufacturer.
    (5) Air Cleaner--Ceiling Type: Air cleaner appliances designed to 
be mounted on the ceiling are considered outside the scope of this 
method. Uniform testing practices and statistical examination of such 
appliances have not been conducted.
    (6) Air Cleaner--Plug-In Type: A fixed location air cleaner 
directly connected to an electric receptacle (outlet) by means of 
direct plug-in (no electric cord). Appliances of this type are tested 
at the lower level electrical receptacle of the plug-in type test stand 
facing the test window.
    In addition, Section 3.2 of ANSI/AHAM AC-1-2020 defines the 
following specific design characteristics of portable household 
electric room air cleaners:
    (1) Fan with Filter: Air cleaners that operate with an electrical 
source of power and which contain a motor and fan for drawing air 
through a filter media.
    (2) Fan with Electrostatic Plates: Air cleaners that operate with a 
fan and incorporate electrically charged plates or wires to 
electrostatically collect particulate matter. Such devices may include 
filter(s).
    (3) Fan Filter with Ion Generator: Air cleaners that incorporate an 
ion generator in addition to a fan and filter.
    (4) Ion Generator: Air cleaners that incorporate an ion generator 
only.
    (5) Hybrid: An air cleaner employing a combination of the above 
definitions of fan with filter, electrostatic plate/wire, and ion 
generator.
    (6) Other Types: A device that has the stated capability to reduce 
the concentration of particulate matter in a room. Such devices do not 
have to contain a fan and can incorporate any of the particle removal 
methods previously noted.

[[Page 51632]]

    The ENERGY STAR program provides qualification criteria for room 
air cleaners (also referred to as air purifiers).\6\ On its web page, 
ENERGY STAR describes room air cleaners as portable, electric 
appliances that remove fine particles, such as dust and pollen, from 
indoor air. The current ENERGY STAR Product Specification \7\ 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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    \6\ See ENERGY STAR website for air purifiers (cleaners) at 
www.energystar.gov/products/air_purifiers_cleaners.
    \7\ See Eligibility Criteria Version 2.0, Rev. April 2021, 
available at www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf.
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    The definitions in both ANSI/AHAM AC-1-2020 and the ENERGY STAR 
Product Specification include specific air cleaning and air purifying 
designs and technologies, but state that they cover only ``portable'' 
air cleaners that ``can be moved from room to room.'' DOE notes that 
while ANSI/AHAM AC-1-2020 specifies coverage of portable air cleaners, 
it includes air cleaners that include appropriate wall mounting 
brackets or specifically designated instructions to mount the air 
cleaner integrally to the wall. In order 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 
has therefore considered a modified definition that would include 
``non-portable'' air cleaners, such as those that are mounted on walls 
and ceilings, or that provide whole-home air cleaning in conjunction 
with central heating or air conditioning systems. The proposed 
definition also includes technologies that clean the air by destroying 
or deactivating contaminants, including microbes as well as 
particulates, from the air (instead of only removing them).
    DOE is also proposing to exclude from coverage those consumer 
products which purify air solely by means of ultraviolet (``UV'') light 
without circulating air through the product by means of a fan. The 
energy-consuming component of such products would be a fluorescent lamp 
or light-emitting diode that emits light in the UV portion of the 
electromagnetic spectrum. Accordingly, DOE would classify these 
products as a type of lamp under EPCA (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, is not considering coverage for these products as a 
consumer air cleaner.
    DOE additionally proposes to make clear that a product that meets 
the definition of a central air conditioners, room air conditioners, 
portable air conditioners, dehumidifiers, and furnaces as defined in 10 
CFR 430.2 is not included in the proposed definition of air cleaner. 
Although these products may eliminate certain particulates from the air 
by means of filters or through collection and removal of condensate 
containing the particulates, DOE is proposing to exclude them. (See the 
definitions for ``central air conditioner,'' ``room air conditioner,'' 
``portable air conditioner,'' ``dehumidifier,'' and ``furnace'' in 10 
CFR 430.2.)
    For the purpose of this analysis, DOE evaluated air cleaners, which 
DOE defined 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;
    (4) Excludes products that destroy or deactivate particulates and 
microorganisms solely by means of ultraviolet 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.
    DOE proposes to adopt this definition to inform stakeholders while 
DOE continues its analysis. The proposed definition considers the air 
cleaning and air purification function of the product that is described 
in ANSI/AHAM AC-1-2020, the current ENERGY STAR Version 2.0 Product 
Specification for consumer room air cleaners, and the wide variety of 
air cleaning and air purifying consumer products currently on the 
market.
    As stated, EPCA authorizes DOE to classify a type of consumer 
product as a covered product upon making certain determinations. EPCA 
defines a ``consumer product'' as any article (other than an 
automobile) of a type--(A) which in operation consumes, or is designed 
to consume energy; and (B) which, to any significant extent, is 
distributed in commerce for personal use or consumption by individuals; 
without regard to whether such article of such type is in fact 
distributed in commerce for personal use or consumption by an 
individual. (42 U.S.C. 6291(a)(1)) As such, in considering the 
potential scope of coverage, DOE does not consider whether an 
individual product is distributed in commerce for residential or 
commercial use, but whether it is of a type of product distributed in 
commerce for residential use.
    DOE seeks feedback from interested parties on its proposed 
definition and scope of coverage of air cleaners.

IV. Evaluation of Air Cleaners as a Covered Product Subject to Energy 
Conservation Standards

    The following sections describe DOE's preliminary evaluation of 
whether air cleaners fulfill the criteria for being added as a covered 
product pursuant to 42 U.S.C. 6292(b)(1). As stated previously, DOE may 
classify a consumer product as a covered product if:
    (1) Classifying products of such type as covered products is 
necessary or appropriate to carry out the purposes of EPCA; and
    (2) The average annual per-household energy use by products of such 
type is likely to exceed 100 kWh (or its Btu equivalent) per year.

A. Coverage Necessary or Appropriate To Carry Out Purposes of EPCA

    DOE has preliminarily determined that coverage of air cleaners is 
necessary or appropriate to carry out the purposes of EPCA, which 
include:
    (1) To conserve energy supplies through energy conservation 
programs, and, where necessary, the regulation of certain energy uses; 
and
    (2) To provide for improved energy efficiency of motor vehicles, 
major appliances, and certain other consumer products. (42 U.S.C. 
6291(4)-(5))
    Although air cleaners are not currently subject to energy 
conservation standards under EPCA, as discussed, the ENERGY STAR 
program has developed qualifying specifications for room air cleaners, 
starting with the Version 1.0 specification that became effective July 
1, 2004. The current specification, Version 2.0 Rev. April 2021, became 
effective October 17, 2020. During the process of developing the 
Version 1.0 specification, EPA cited shipments data from AHAM showing 
1.65 million units shipped in 2000, and estimated that shipments would 
grow to 2.02 million units in 2010 with an installed base of 15 million 
units.\8\ EPA reported that shipments of ENERGY STAR-qualified room air 
cleaners in 2019 were 2.224 million units, with an estimated market

[[Page 51633]]

penetration of 43 percent, indicating overall shipments of air cleaners 
were 5.17 million units.\9\ Based on EPA's definition of room air 
cleaner, these shipments and installed base estimates comprise only 
portable configurations of air cleaners. Nevertheless, the ratings 
contained in the ENERGY STAR database of certified room air cleaners 
\10\ demonstrate significant variation in the total energy consumption 
among different models currently available, suggesting that 
technologies exist to reduce the energy consumption of air cleaners.
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    \8\ ENERGY STAR & Air Cleaners. January 14, 2003. Andrew Fanara, 
EPA. Available online at: www.energystar.gov/sites/default/files/specs//private/AirCleanersatIHS-Presentation-Final.ppt.
    \9\ ENERGY STAR[supreg] Unit Shipment and Market Penetration 
Report: Calendar Year 2019 Summary. Available online at: 
www.energystar.gov/sites/default/files/asset/document/2019%20Unit%20Shipment%20Data%20Summary%20Report.pdf.
    \10\ ENERGY STAR Certified Room Air Cleaners Database. Accessed 
June 24, 2021. Available online at www.energystar.gov/productfinder/product/certified-room-air-cleaners/.
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    DOE requests data and information regarding current annual 
shipments of air cleaners and the installed base of air cleaners, 
specifying the scope of products included in any such estimates (e.g., 
portable, non-portable (wall-mounted, ceiling-mounted, whole-home), 
etc.)
    DOE requests comment on the availability or lack of availability of 
technologies for improving energy efficiency of air cleaners.

B. Average Household Energy Use

    DOE estimated the average household energy use for air cleaners, in 
households that use the product, using power consumption data reported 
in the ENERGY STAR product database. The ENERGY STAR database is the 
only publicly available source, of which DOE is aware, that provides 
energy consumption data for air cleaners. For each model, the database 
lists the annual energy use in kilowatt-hours per year (``kWh/yr''), 
along with other relevant performance metrics, as measured according to 
ANSI/AHAM AC-1-2020. The reported annual energy consumption ranges from 
123 kWh/year to 770 kWh/year, with an average annual energy consumption 
of 299 kWh/year among all models in the ENERGY STAR database. The 
energy consumption of non-ENERGY STAR-qualified models, comprising 57 
percent of shipments in 2019 as discussed in section IV.A of this 
document, is likely to be higher. The ENERGY STAR program estimates 
that the standard (i.e., non-ENERGY STAR qualified) consumer air 
cleaner operating continuously uses around 550 kWh/year.\11\
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    \11\ Air Purifiers (Cleaners). Accessed June 28, 2021. Available 
online at: www.energystar.gov/products/air_purifiers_cleaners.
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    Although the ENERGY STAR program covers only portable 
configurations of air cleaners, the similarity in fundamental design 
and operation (i.e., a fan or other means for air circulation and a 
means for of removing, destroying, or deactivating particulates and 
microorganisms from the air) of non-portable products (e.g., wall-
mounted, ceiling-mounted, whole-home units) suggests that non-portable 
air cleaners are likely to have similar or higher energy consumption as 
compared to portable air cleaners.
    Based on this analysis, DOE tentatively determines that the average 
annual per-household energy use for air cleaners is very likely to 
exceed 100 kWh/year, satisfying the provisions of 42 U.S.C. 6292(b)(1).
    DOE requests data and information regarding annual energy use 
estimates for air cleaners, particularly for products not covered by 
the ENERGY STAR program, such as non-portable products (wall-mounted, 
ceiling-mounted, and whole-home units).

C. Preliminary Determination

    Based on the foregoing, DOE has tentatively determined that 
classifying air cleaners, as proposed to be defined in this document, 
is necessary and appropriate to carry out the purposes of EPCA; and the 
average annual per-household energy use by air cleaners is likely to 
exceed 100 kWh (or its Btu equivalent) per year. As such, DOE has 
preliminarily determined to classify air cleaners as a covered product 
under Part A of Title III of EPCA, as amended.
    DOE requests comment on whether classifying air cleaners as a 
covered product is necessary or appropriate to carry out the purposes 
of EPCA.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    This proposed determination has been determined to be not 
significant for purposes of Executive Order (``E.O.'') 12866, 
``Regulatory Planning and Review,'' 58 FR 51735 (Oct. 4, 1993). As a 
result, the Office of Management and Budget (``OMB'') did not review 
this proposed determination.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment, unless 
the agency certifies that the proposed rule, if promulgated, will not 
have a significant economic impact on a substantial number of small 
entities. As required by E.O. 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking'' 67 FR 53461 (Aug. 16, 2002), DOE 
published procedures and policies on February 19, 2003 to ensure that 
the potential impact 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 (www.energy.gov/gc/office-assistant-general-counsel-legislation-regulation-and-energy-efficiency).
    This proposed determination would not establish test procedures or 
energy conservation standards for air cleaners. If adopted, the 
proposed determination would only positively determine that future 
standards may be warranted and should be explored in an energy 
conservation standards and test procedure rulemaking. Economic impacts 
on small entities would be considered in the context of such 
rulemakings. Therefore, DOE initially concludes that the impacts of the 
proposed determination would not have a ``significant economic impact 
on a substantial number of small entities,'' and that the preparation 
of an IRFA is not warranted. DOE will transmit the certification and 
supporting statement of factual basis to the Chief Counsel for Advocacy 
of the Small Business Administration for review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act

    Manufacturers of covered products must certify to DOE that their 
products comply with any applicable energy conservation standards. To 
certify compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment. (See generally 10 CFR part 
429.) The collection-of-information requirement for the 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,

[[Page 51634]]

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. As noted previously, this 
proposed determination, if made final, would not establish any testing 
requirements or energy conservation standards for air cleaners.

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 that are strictly procedural. 
10 CFR part 1021, subpart D, appendix A6. DOE anticipates that this 
rulemaking qualifies for categorical exclusion A6 because it is a 
strictly procedural rulemaking 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

    E.O. 13132, ``Federalism'' 64 FR 43255 (Aug. 10, 1999), imposes 
certain requirements on federal agencies formulating and implementing 
policies or regulations that preempt state law or that have Federalism 
implications. The Executive order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process that it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed determination 
and had tentatively determined that it would not have a substantial 
direct effects on the States, on the relationship between the Federal 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government. EPCA governs 
and prescribes Federal preemption of State regulations as to energy 
conservation for the products that are the subject of this proposed 
determination. States can petition DOE for exemption from such 
preemption to the extent, and based on criteria, set forth in EPCA. (42 
U.S.C. 6297) Therefore, no further action is required by E.O. 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of E.O. 12988, ``Civil 
Justice Reform,'' 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. 61 FR 
4729 (Feb. 7, 1996). Regarding the review required by section 3(a), 
section 3(b) of E.O. 12988 specifically requires that Executive 
agencies make every reasonable effort to ensure that the regulation: 
(1) Clearly specifies the preemptive effect, if any, to be given to the 
law (2) clearly specifies any effect on existing Federal law or 
regulation, (3) provides a clear legal standard for affected conduct, 
(4) specifies the retroactive effect, if any, to be given to the law, 
(5) defines key terms, either explicitly or by reference to other 
statues that explicitly define those terms, and (6) addresses other 
important issues affecting clarity and general draftsmanship of 
legislation under any guidelines issued by the Attorney General. 
Section 3(c) of E.O. 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 those standards. DOE completed the required review and 
determined that, to the extent permitted by law, this proposed 
determination meets the relevant standards of E.O. 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a 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 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 requirement 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. DOE's policy statement is also available at 
www.energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
    DOE examined this proposed determination according to UMRA and its 
statement of policy and determined that the proposed determination does 
not contain a Federal intergovernmental mandate, nor is it expected to 
require expenditures of $100 million or more in any one year by State, 
local, and Tribal governments, in the aggregate, or by the private 
sector. As a result, the analytical requirements of UMRA do not apply.

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

    Section 654 of the Treasury and General Government Appropriations 
Act of 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 determination 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 E.O. 12630, ``Governmental Actions and Interference 
with Constitutionally Protected Property Rights'' 53 FR 8859 (Mar. 15, 
1988), DOE has determined that this proposed determination 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 
of 2001

    Section 515 of the Treasury and General Government Appropriation 
Act,

[[Page 51635]]

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). Pursuant to OMB Memorandum M-19-15, Improving 
Implementation of the Information Quality Act (April 24, 2019), DOE 
published updated guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this NOPD under the OMB and DOE guidelines and has concluded 
that it is consistent with applicable policies in those guidelines.

K. Review Under Executive Order 13211

    E.O. 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 the Office of 
Information and Regulatory Affairs (``OIRA'') at OMB a Statement of 
Energy Effects for any proposed significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgates or is expected to lead to promulgation of a final 
rule, and that (1) is a significant regulatory action under E.O. 12866, 
or any successor Executive order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    This proposed regulatory action to classify air cleaners as covered 
products is not a significant regulatory action under Executive Order 
12866. Moreover, it would not have a significant adverse effect on the 
supply, distribution, or use of energy, nor has it been designated as 
such by the Administrator of OIRA. Accordingly, DOE has not prepared a 
Statement of Energy Effects.

L. Information Quality

    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. DOE has determined that the 
analyses conducted for this rulemaking do not constitute ``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.'' 70 FR 2667 (Jan. 14, 2005). The analyses were 
subject to pre-dissemination review prior to issuance of this 
rulemaking.

VI. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
notification of proposed determination no later than the date provided 
at the DATES section at the beginning of this document. Interested 
parties may submit comments, data, and other information using any of 
the methods described in the ADDRESSES section at the beginning of this 
document.
    Submitting comments via www.regulations.gov. The 
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. Otherwise, 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 www.regulations.gov 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 www.regulations.gov 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 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 www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to 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 on a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. With this instruction followed, 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. Facsimile submissions 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 documents that 
are not secured, that are written in English, and that are free of any 
defects or viruses. Documents should not contain special characters or 
any form of encryption and, if possible, they should carry the 
electronic signature of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.

[[Page 51636]]

    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. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    It is DOE policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

B. Issues on Which DOE Seeks Comments

    DOE welcomes comments on all aspects of this proposed 
determination. DOE is particularly interested in receiving comments and 
views of interested parties concerning the following issues:
     Proposed definition and scope of coverage of air cleaners;
     Data and information regarding current annual shipments of 
air cleaners and the installed base of air cleaners, specifying the 
scope of products included in any such estimates (e.g., portable, non-
portable (wall-mounted, ceiling-mounted, whole-home), etc.);
     Availability or lack of availability of technologies for 
improving energy efficiency of air cleaners.
     Data and information regarding annual energy use estimates 
for air cleaners, particularly for products not covered by the ENERGY 
STAR program, such as non-portable products (wall-mounted, ceiling-
mounted, and whole-home units); and
     Whether classifying air cleaners as a covered product is 
necessary or appropriate to carry out the purposes of EPCA.
    DOE is interested in receiving views concerning other relevant 
issues that participants believe would affect its ability to establish 
test procedures and energy conservation standards for air cleaners.
    After the expiration of the period for submitting written 
statements, DOE will consider all comments and additional information 
that is obtained from interested parties or through further analyses, 
and it will prepare a final determination.

VII. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this 
notification of proposed determination.

Signing Authority

    This document of the Department of Energy was signed on September 
10, 2021, by Kelly Speakes-Backman, Principal Deputy Assistant 
Secretary and Acting 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 September 10, 2021
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
[FR Doc. 2021-19950 Filed 9-15-21; 8:45 am]
BILLING CODE 6450-01-P