[Federal Register Volume 87, Number 16 (Tuesday, January 25, 2022)]
[Proposed Rules]
[Pages 3702-3715]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-01035]


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DEPARTMENT OF ENERGY

10 CFR Part 430

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


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

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

ACTION: Request for information.

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

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

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

[[Page 3703]]

    The docket web pages can be found at: www.regulations.gov/docket/EERE-2021-BT-TP-0036 and www.regulations.gov/docket/EERE-2021-BT-STD-0035. The docket web page contains instructions on how to access all 
documents, including public comments, in the docket. See section IV for 
information on how to submit comments through 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-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1943. Email: [email protected].
    Ms. Amelia Whiting, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 586-2588. Email: 
[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. Introduction
    A. Statutory Authority
    B. Rulemaking History
    C. Rulemaking Process for Test Procedure
    D. Rulemaking Process for Energy Conservation Standards
    E. Deviation From Appendix A
II. Request for Information and Comments Pertaining to Potential 
Test Procedure
    A. Scope and Definition
    B. Test Procedure for Consumer Air Cleaners
     1. Current Industry Test Procedure
     2. Other Test Procedures
    C. Metric for Consumer Air Cleaners
III. Request for Information and Comments Pertaining to Potential 
Energy Conservation Standards
    A. Market and Technology Assessment
     1. Product Classes
     2. Technology Assessment
    B. Screening Analysis
    C. Engineering Analysis
    1. Efficiency Analysis
    2. Cost Analysis
    D. Distribution Channels and Markups Analysis
    E. Energy Use Analysis
     1. Consumer Samples and Market Breakdowns
     2. Operating Hours
    F. Life-Cycle Cost and Payback Period Analyses
    G. Repair and Maintenance Costs
    H. Shipments
    I. National Impact Analysis
    J. Manufacturer Impact Analysis
IV. Submission of Comments

I. Introduction

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

A. Statutory Authority

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

[[Page 3704]]

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

B. Rulemaking History

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

C. Rulemaking Process for Test Procedure

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

[[Page 3705]]

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

D. Rulemaking Process for Energy Conservation Standards

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

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

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

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

[[Page 3706]]

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

E. Deviation From Appendix A

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

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[[Page 3707]]

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

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

A. Scope and Definition

    Consumer air cleaners are products designed to remove particulate 
matter and other contaminants from the air to improve indoor air 
quality. A wide range of consumer air cleaners are available on the 
market, including tabletop units, units designed for single rooms or 
multiple rooms, and whole-home units integrated into a central heating 
and/or cooling system. Consumer air cleaners employ a wide variety of 
technologies to remove particular matter and other contaminants from 
the air. They may include secondary functions, typically indoor air 
quality improvement, that supplement or enhance that primary function, 
such as providing air circulation, humidification, or dehumidification.
    In the September 2021 NOPD, DOE proposed a definition for ``air 
cleaner'' to help inform its proposed scope of coverage and regulatory 
definition. 86 FR 51629, 51632. DOE consulted existing definitions and 
classifications of consumer air cleaners developed by AHAM--the 
industry trade group for consumer air cleaners--and the ENERGY STAR 
Program, and additional market research conducted by DOE. Id. at 86 FR 
51631.
    AHAM defined ``air cleaner'' in an industry standard, it published 
and which is certified by American National Standards Institute 
(``ANSI''), to measure the performance of portable household electric 
room air cleaners, titled ANSI/AHAM AC-1-2020 Portable Household 
Electric Room Air Cleaners (``ANSI/AHAM AC-1-2020'').\7\ Section 3.1 of 
ANSI/AHAM AC-1-2020 defines ``Portable Household Electric Room Air 
Cleaner'' as ``[a]n electric appliance with the function of removing 
particulate matter from the air and which can be moved from room to 
room.''
---------------------------------------------------------------------------

    \7\ ANSI/AHAM AC-1-2020 available at AHAM website at 
www.aham.org/itemdetail?iproductcode=30002&category=padstd.
---------------------------------------------------------------------------

    The ENERGY STAR Program also establishes a definition for room air 
cleaners (also referred to as air purifiers), in addition to 
qualification criteria for an air cleaner to earn the ENERGY STAR 
label.\8\ The current ENERGY STAR V2.0 Product Specification \9\ 
defines ``room air cleaner'' as ``an electric appliance with the 
function of removing particulate matter from the air and which can be 
moved from room to room,'' consistent with ANSI/AHAM AC-1-2020.
---------------------------------------------------------------------------

    \8\ See ENERGY STAR website for air purifiers (cleaners) at 
www.energystar.gov/products/air_purifiers_cleaners.
    \9\ 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.
---------------------------------------------------------------------------

    As discussed in the September 2021 NOPD, the definitions in ANSI/
AHAM AC-1-2020 and the ENERGY STAR V2.0 Product Specification include 
specific air cleaning and air purifying designs and technologies, but 
are limited to ``portable'' air cleaners that ``can be moved from room 
to room.'' DOE noted in the September 2021 NOPD that while ANSI/AHAM 
AC-1-2020 specifies that the standard is applicable only to portable 
air cleaners, it includes definitions and setup instructions for air 
cleaners that include wall mounting brackets or instructions to mount 
the air cleaner integrally to the wall. 86 FR 51629, 51632. To cover a 
more comprehensive range of the consumer market for air cleaning and 
purification, an expanded definition of a consumer air cleaner may be 
appropriate. DOE therefore considered a modified definition that would 
include other consumer air cleaners, such as those that are mounted on 
walls and ceilings, or that are designed for whole-home air cleaning in 
conjunction with central heating or air conditioning systems. 86 FR 
51629, 51632. The proposed definition expands the range of products to 
include those that use technologies that clean the air by destroying or 
deactivating contaminants, including microbes as well as particulates, 
from the air (instead of only removing them). Id. at 86 FR 51632.
    DOE proposed in the September 2021 NOPD to define a consumer air 
cleaner as a consumer product that:
    (1) Is a self-contained, mechanically encased assembly;
    (2) Is powered by single-phase electric current;
    (3) Removes, destroys, or deactivates particulates and 
microorganisms from the air; and
    (4) Excludes products that destroy or deactivate particulates and 
microorganisms solely by means of ultraviolet (``UV'') light without a 
fan for air circulation; and
    (5) Excludes central air conditioners, room air conditioners, 
portable air conditioners, dehumidifiers, and furnaces as defined in 10 
CFR 430.2. . 86 FR 51629, 51632.
    As discussed in the September 2021 NOPD, DOE proposed to exclude 
from coverage those consumer products that purify air solely by means 
of UV light without circulating air through the product using a fan 
because the energy-consuming component of such products would be a 
fluorescent lamp or light-emitting diode designed to emit light in the 
UV portion of the electromagnetic spectrum. 86 FR 51629, 51632. 
Accordingly, DOE would classify these products under EPCA as a type of 
lamp (see the definition of ``lamps primarily designed to produce 
radiation in the ultraviolet region of the spectrum'' and ``light-
emitting diode or LED'' in 10 CFR 430.2), and therefore, did not 
consider applying any future consumer air cleaner requirements to these 
products. Id.
    DOE continues to evaluate comments received from interested parties 
in response to the proposed definition for consumer air cleaners in the 
September 2021 NOPD.

B. Test Procedure for Consumer Air Cleaners

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

[[Page 3708]]

chamber when the air cleaner is turned on, minus the rate of ``natural 
decay'' \10\ when the air cleaner is not running, multiplied by the 
volume of the test chamber (specified as 1,008 cubic feet). As such, 
testing an air cleaner requires conducting two separate tests: A first 
test with the air cleaner turned off, and a second test with the air 
cleaner turned on. The CADR value is expressed in units of cubic feet 
per minute (``cfm'').\11\
---------------------------------------------------------------------------

    \10\ AHAM defines ``natural decay'' as the reduction of 
particulate matter due to natural phenomena in the test chamber: 
Principally agglomeration [a process in which fine particles 
``clump'' together], surface deposition [a process in which 
particles attach to a surface] (including sedimentation [a process 
in which particles settle out of suspension in the air onto a 
surface due to gravity]), and air exchange.
    \11\ Although the unit of measurement for CADR is cfm, ANSI/AHAM 
AC-1-2020 explains that CADR values indicate the performance of an 
air cleaner as a complete system and that the metric has no linear 
relationship to air movement or to the characteristics of any 
particular particle removal methodology per se.
---------------------------------------------------------------------------

    Sections 5, 6, and 7 of ANSI/AHAM AC-1-2020 specify procedures for 
measuring air cleaner efficacy using three different types of 
particulates representing three ranges of particulate matter size: 
Pollen (5 micrometer (``[mu]m'') to 11 [mu]m diameter), dust (0.5 [mu]m 
to 3.0 [mu]m diameter), and cigarette smoke (0.10 [mu]m to 1.0 [mu]m 
diameter), respectively.
    Section 2 of ANSI/AHAM AC-1-2020 indicates that the precision of 
the test method is as follows:  25 cfm for pollen CADR; 
 10 cfm for dust CADR; and  10 cfm for 
cigarette smoke CADR. Given these levels of precision, ANSI/AHAM AC-1-
2020 is limited to measuring air cleaners within rated CADR ranges of 
10 to 600 cfm for dust and cigarette smoke and 25 to 450 cfm for 
pollen.
    Section 9 of ANSI/AHAM AC-1-2020 also includes methods to measure 
the air cleaner's operating power and standby power usage in Watts 
(``W''), as discussed further in sections II.B.1.a and II.B.1.b of this 
document.
    All CADR and power testing are performed in a test chamber with a 
controlled environment. Section 4 of ANSI/AHAM AC-1-2020 specifies 
requirements for electrical power supply, test chamber ambient 
temperature, test chamber air exchange rate, test chamber particulate 
concentrations, and use of a recirculation fan in the test chamber.
a. Operating (Active) Mode Testing
    ANSI/AHAM AC-1-2020 specifies methodologies to obtain consistent 
levels of particulate concentration in the test chamber for each of the 
three particulate types. An aerosol generator disseminates the 
appropriate particulate for each test. The method also discusses using 
other devices, such as a cigarette smoke diluter and aerosol 
spectrometer to maintain consistent test particulate levels during the 
test and to measure the particle size distribution within the room air, 
respectively. For each particulate, two tests are performed, one with 
the air cleaner not operating and one with it operating. First, to 
measure the natural decay of the particulate under evaluation, the air 
cleaner is not operated and the particulates are distributed within the 
room at a specified concentration. Particulate concentration is 
measured and averaged over a period of time prescribed for each 
particulate type. In the second test, the air cleaner is operated at 
the setting that results in the maximum particulate removal rate and 
the particulate matter removal is measured using the same process as in 
the first test. Particulate concentration is again measured over a 
prescribed period of time, and the rate of particulate reduction is 
calculated. The difference of the rate of particulate reduction with 
the air cleaner operating minus the rate of natural decay with the air 
cleaner not operating, multiplied by the volume of the test chamber, 
provides the CADR value for that particulate type.
    Section 9 of ANSI/AHAM AC-1-2020 specifies methods for measuring 
operating power. The section allows measuring operating power during 
the CADR test for either cigarette smoke or dust, the duration of each 
being greater than 15 minutes, which is enough time to measure 
operating power. After the air cleaner motor has been conditioned as 
specified in Section 9.2 of ANSI/AHAM AC-1-2020, the power measuring 
instrument is connected between the power supply and air cleaner, and 
all settings/options are set at the maximum level. The air cleaner is 
operated for 2 minutes without any power measurements, and then power 
consumption is recorded at 1-minute intervals for 13 minutes (for a 
total test time of 15 minutes). Up to three of the 13 data points may 
be discarded as anomalous to account for line surges and other 
variables. The remaining power measurements are averaged to obtain the 
operating power, in W, of the air cleaner.
    DOE requests comments on whether ANSI/AHAM AC-1-2020 provides an 
appropriate method to use as the basis for a Federal test method and 
for defining energy conservation standard levels for consumer air 
cleaners.
    DOE requests comment on the use of the CADR, as opposed to another 
metric such as rate of decay, to characterize consumer air cleaner 
performance. In particular, DOE requests comment on whether consumers 
could find the unit of measurement of cfm for CADR confusing and 
misunderstand it as referring to the rate of air movement through the 
device.
    DOE requests comment on whether the power measurement could vary 
based on the particulate test that is used to measure operating power. 
If power measurement varies based on the particulate test, DOE requests 
comment on which particulate test (pollen, dust, or cigarette smoke) 
should be used as the basis for the power measurement in any Federal 
test procedure that DOE may develop. Alternately, DOE requests comment 
on whether it should consider requiring power measurements for each 
particulate test and use a simple or weighted average to determine 
operating power.
    DOE requests comment on whether it should consider testing consumer 
air cleaners at any other power level in addition to the maximum power 
level required by ANSI/AHAM AC-1-2020.
    DOE requests comment on whether ANSI/AHAM AC-1-2020 could also be 
used to test other types of consumer air cleaners, such as ceiling- 
mounted products.
b. Standby Mode Testing
    Section 10 of ANSI/AHAM AC-1-2020 specifies a measurement procedure 
for standby mode that is performed as a separate test from the CADR and 
operating power tests. The standby power test specifies allowable 
ranges for three environmental conditions: Air speed in the room, 
ambient air temperature, and voltage supply. As specified, the standby 
power test method may only be used when the selected mode and measured 
power consumption are stable (defined as a variation of less than 5 
percent in measured power consumption over 5 minutes). When stability 
is not achieved, power consumption can be determined by alternative 
methods: By averaging the power readings over a specified period of 
time or by recording the energy consumption over a specified period and 
dividing by the total time period.
    To perform the standby mode test, the air cleaner is connected to 
the metering equipment. After the air cleaner has been allowed to 
stabilize for at least 5 minutes, the power consumption is monitored 
for not less than an additional 5 minutes. If the power consumption 
does not drift by more than 5 percent (from the maximum value observed) 
during the latter 5 minutes, the load is considered stable

[[Page 3709]]

and the power consumption can be recorded directly from the instrument 
at the end of the latter 5 minute period. The resulting standby power 
is reported in W, rounded to the nearest hundredths.
    The standby mode test method specified in ANSI/AHAM AC-1-2020 is 
different from that specified in the most current version of IEC 
Standard 62301, Edition 2.0, ``Household electrical appliances--
Measurement of standby power'' (``IEC 62301 Ed. 2.0''), which is the 
standard that EPCA directs DOE to consider when including measurements 
of standby mode and off mode energy use in its test procedures for 
covered products, if technically feasible. (42 U.S.C. 6295(gg)(2)(A)) 
IEC 62301 Ed. 2.0 provides three methods to measure standby power, 
depending on the characteristics of the power consumption in standby 
mode (e.g., stable, unstable, cyclic, of a limited duration, etc.) The 
three methods are: the sampling method, the average reading method, and 
the direct meter reading method. The sampling method, which is the 
method incorporated by reference most frequently in DOE test procedures 
for other covered products, specifies that the unit under test must be 
operated in standby mode for at least 15 minutes and standby power is 
recorded at least once every second. To determine standby power, the 
data from the second two-thirds of the total test duration is used to 
determine stability. If the measured power is less than or equal to 1 
W, stability is established when a linear regression through all power 
readings for the second two-thirds of the total period has a slope of 
less than 10 milliwatts per hour (``mW/h''). If the measured power is 
greater than 1 W, stability is established when a linear regression 
through all power readings for the second two-thirds of the total 
period has a slope that is less than 1 percent of the measured input 
power per hour.
    DOE requests comment on the suitability of the standby power 
measurement procedure specified in ANSI/AHAM AC-1-2020, IEC 62301 Ed. 
2.0, or any other test method for measuring standby mode and off mode 
energy use of consumer air cleaners, in light of EPCA's requirement in 
42 U.S.C. 6295(gg)(2)(A)) for DOE to consider the most current version 
of IEC Standard 62301.
2. Other Test Procedures
    In addition to ANSI/AHAM AC-1-2020, DOE is aware of a few other 
test methods for air cleaners. DOE has identified two test methods to 
measure how effectively a unit removes microorganisms from the air (as 
opposed to particles such as smoke, pollen, and dust). DOE has 
additionally identified two other test methods that measure the 
effectiveness of removing particulates from the air, similar to the 
ANSI/AHAM AC-1-2020 testing standard.
    The first of these test methods was developed by the Center for 
Engineering and Environmental Technology at Research Triangle Institute 
(``RTI''), titled ``Methodology to Perform Clean Air Delivery Rate Type 
Determinations with Microbiological Aerosols'' \12\ (``RTI Test 
Method''). The stated objective of the RTI Test Method is to determine 
a CADR-type measurement for an air cleaner using microbiological 
aerosols. The method is described as a modification of the ANSI/AHAM 
AC-1 test method that can be used for evaluating a wide range of air 
cleaning devices. Similar to the ANSI/AHAM AC-1-2020 test method, the 
RTI Test Method requires measuring the natural decay rate without the 
air cleaner operating and the particulate removal rate while the air 
cleaner is operating in a test chamber. The RTI Test Method has been 
conducted using mold, bacteria, and viruses, representing the primary 
groups of microorganisms that a household air cleaner would be expected 
to remove in a home.
---------------------------------------------------------------------------

    \12\ RTI Test Method available at: doi.org/10.1080/713834074.
---------------------------------------------------------------------------

    The second of these test methods was developed by researchers at 
Korea Testing Laboratory (``KTL''), Dongguk University, and Biot Korea 
Inc., titled ``Assessment of air purifier on efficient removal of 
airborne bacteria, Staphylococcus epidermidis, using single-chamber 
method'' \13\ (``KTL Test Method''). The objective of the KTL Test 
Method is to measure an air cleaner's efficacy of removing airborne 
bacteria from indoor air. Similar to ANSI/AHAM AC-1-2020 and the RTI 
Test Method, the KTL Test Method involves measuring both a natural 
decay rate (i.e., without the air cleaner operating) and a particulate 
decay rate while the air cleaner is operating in a test chamber. The 
output of the KTL Test Method, unlike ANSI/AHAM AC-1-2020 and the RTI 
Test Method, which output a CADR value (with units of cfm), is a 
unitless value representing the ratio of the natural decay rate to the 
particulate decay rate.
---------------------------------------------------------------------------

    \13\ KTL Test Method available at: link.springer.com/article/10.1007/s10661-019-7876-3.
---------------------------------------------------------------------------

    The third of these test methods is the ANSI/American Society of 
Heating, Refrigerating and Air-Conditioning Engineers (``ASHRAE'') 
standard 52.2-2017, titled ``Method of Testing General Ventilation Air-
Cleaning Devices for Removal Efficiency by Particle Size'' \14\ 
(``ASHRAE 52.2-2017''). ASHRAE 52.2-2017 specifies a test method to 
evaluate air cleaner performance as a function of particle size using 
an aerosol generator to introduce standardized amounts of dust at 
periodic intervals to simulate accumulation of particles over the 
lifetime of the air cleaner. The standard measures air cleaner 
performance based on the removal efficiency of particles with 12 
defined particle size ranges between 0.3 and 10 [mu]m in diameter. 
Efficiency measurements for each of the 12 particle size ranges are 
taken at various dust loads by challenging the filter with potassium 
chloride particles. This test aerosol provides particles over the 
entire range of 0.3 to 10 [mu]m required by the test procedure. The 
output metric is the minimum efficiency reporting value (``MERV''), 
that quantifies the effectiveness of the air cleaner's filtration on a 
16-point scale.
---------------------------------------------------------------------------

    \14\ ASHRAE 52.2-2017 available at: ashrae.org/File%20Library/Technical%20Resources/COVID-19/52_2_2017_COVID-19_20200401.pdf.
---------------------------------------------------------------------------

    The fourth testing method is from the National Research Council 
Canada (``NRCC''). The NRCC's publication is titled, ``Method for 
Testing Portable Air Cleaner's'' \15\ (``NRCC Test Method''). The NRCC 
Test Method determines the air cleaner's performance by measuring 
particle, volatile organic compounds (``VOCs'') (including 
formaldehyde, toluene, and d-limonene), and ozone removal. Known 
quantities of particles of different sizes, ozone, and the selected 
VOCs are introduced in different tests until a certain established 
target concentration is achieved. The NRCC Test Method provides 
multiple suggested procedures for injecting particles and VOCs into the 
test chamber. Once target contaminant levels in the test chamber have 
been achieved, the injection of particles or VOCs is stopped, and the 
concentration decay rate is measured while the air cleaner is 
operating. Particle concentration is recommended to be measured using 
either a condensation particle counter, optical particle counter, or an 
aerodynamic particle sizer. Formaldehyde concentration is determined 
using a high-performance liquid chromatograph technique and toluene and 
d-limonene concentrations are measured using a gas chromatograph--mass 
spectrometer technique. Ozone levels in the chamber air are determined 
using an analyzer

[[Page 3710]]

based on either chemiluminescence or UV absorption. These results are 
then compared to test results without the air cleaner operating to 
assess the removal effectiveness of the unit.
---------------------------------------------------------------------------

    \15\ NRCC Test Method available at: nrc-publications.canada.ca/
eng/view/ft/?id=cc1570e0-53cc-476d-b2ee-3e252d8bd739.
---------------------------------------------------------------------------

    Additionally, in response to the September 2021 NOPD, AHAM 
commented that it was working on an updated standard to measure the 
energy efficiency for room air cleaners, AHAM AC-7-2021, ``Energy Test 
Method for Portable Air Cleaners''. (Docket No. EERE-2021-BT-DET-0022, 
AHAM, No. 13 at p. 1) AHAM has not yet issued this test method.
    DOE requests comment on whether it should consider any methodology 
for measuring the removal efficacy of microorganisms (i.e., viruses, 
bacteria, mold, etc.) from indoor air as part of a Federal test 
procedure for consumer air cleaners.
    DOE requests comment on the suitability of each of the RTI Test 
Method and the KTL Test Method for measuring a consumer air cleaner's 
removal efficacy of microorganisms from indoor air.
    DOE requests comment on the additional test methods identified in 
this section that measure the performance of consumer air cleaners 
using various particulates. In particular, DOE requests comment on the 
scope, methodology, and types of particulates, pollutants, and/or 
microorganisms that are included in each test method.
    DOE requests comments on whether any other test methods have been 
developed for consumer air cleaners that would be relevant to DOE's 
consideration of a Federal test procedure to measure the energy 
efficiency of consumer air cleaners. In particular, DOE seeks comment 
on test methods that could be used to test ``non-portable'' consumer 
air cleaners, such as those that are permanently mounted (e.g., 
ceiling-mounted air cleaners) or that provide whole-home air cleaning 
in conjunction with central heating or air conditioning systems; and 
test methods that could be used to measure the performance of consumer 
air cleaners that destroy or deactivate contaminants from the air 
instead of removing them.

C. Metric for Consumer Air Cleaners

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

    \16\ 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.
---------------------------------------------------------------------------

    In accordance with the requirements of EPCA, DOE would evaluate 
whether an integrated test procedure (i.e., a test procedure that 
integrates measures of standby mode and off mode energy consumption 
into the overall energy efficiency descriptor) is technically feasible. 
For example, DOE could define an integrated CADR/W metric in which the 
denominator represents a weighted average of the power consumption 
associated with active mode, standby mode, and off mode, weighted by 
the amount of time spent in each mode. DOE notes that the ENERGY STAR 
program assumes 16 active mode hours per day and 8 inactive mode (i.e., 
standby or off mode) hours per day to calculate annual energy 
consumption of qualifying consumer air cleaners.\17\
---------------------------------------------------------------------------

    \17\ The ENERGY STAR online product database provides a 
description of the Annual Energy Use calculation at 
data.energystar.gov/dataset/ENERGY-STAR-Certified-Room-Air-Cleaners/jmck-i55n/data.
---------------------------------------------------------------------------

    DOE requests comment on the technical feasibility of integrating 
measures of standby mode and off mode energy consumption into the 
overall energy efficiency descriptor (i.e., creating an integrated 
metric) for consumer air cleaners. In particular, DOE requests comment 
on its example approach of defining an integrated CADR/W metric, in 
which the denominator would represent a weighted average of the power 
consumption associated with active mode, standby mode, and off mode, 
weighted by the amount of time spent in each mode.
    DOE requests comment on consumer usage of consumer air cleaners, in 
particular, the amount of time spent in active mode, standby mode, and 
off mode.
    As discussed previously, ANSI/AHAM AC-1-2020 specifies procedures 
for measuring CADR ratings for three types of particulate matter: 
Pollen, dust, and cigarette smoke. Prior to Version 2.0 of the Product 
Specification for Room Air Cleaners, the ENERGY STAR eligibility 
criteria were based on the CADR/W metric using the dust particle 
removal test. That changed in a draft version of the V2.0 Product 
Specification,\18\ where EPA described its understanding that smoke 
pollutants can have the greatest health risk for the general population 
and that the AHAM Verification Program for room air cleaners calculates 
the appropriate room size for a given room air cleaner based on the 
cigarette smoke CADR measurement. (See Note box in Section 3.3.1 of the 
draft.) EPA also stated that retailers appear to use this calculation 
to direct consumers to a specific room air cleaner. Id. EPA noted that 
cigarette smoke has the smallest particle size of the three pollutants 
tested to the ANSI/AHAM AC-1-2015 standard and is typically the most 
energy intensive to remove. Id. For these reasons, and in consideration 
of stakeholder feedback, EPA asserted that cigarette smoke is the 
appropriate pollutant to use as the basis for evaluating the energy 
efficiency of room air cleaners. Id.
---------------------------------------------------------------------------

    \18\ See Draft 1 Version 2.0 specification at 
www.energystar.gov/products/spec/room_air_cleaners_version_2_0_pd.
---------------------------------------------------------------------------

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

[[Page 3711]]

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

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

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

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

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

A. Market and Technology Assessment

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

[[Page 3712]]

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

B. Screening Analysis

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

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

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

C. Engineering Analysis

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

[[Page 3713]]

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

D. Distribution Channels and Markups Analysis

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

E. Energy Use Analysis

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

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

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

F. Life-Cycle Cost and Payback Period Analyses

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

[[Page 3714]]

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

G. Repair and Maintenance Costs

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

H. Shipments

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

I. National Impact Analysis

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

J. Manufacturer Impact Analysis

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

    \21\ Available online at www.sba.gov/document/support--table-size-standards.
---------------------------------------------------------------------------

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

[[Page 3715]]

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

IV. Submission of Comments

    DOE invites all interested parties to submit in writing by the date 
specified under the DATES heading, comments and information on matters 
addressed in this RFI and on other matters relevant to DOE's 
consideration of establishing test procedure and energy conservation 
standards for consumer air cleaners. These comments and information 
will aid in the development of a test procedure NOPR and energy 
conservation standard NOPR for consumer air cleaners in which DOE 
determines that establishing test procedure and energy conservation 
standards may be appropriate for these products.
    Submitting comments via 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. Following this instruction, persons viewing comments will see 
only first and last names, organization names, correspondence 
containing comments, and any documents submitted with the comments.
    Do not submit information to 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. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. Faxes will not be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide only documents 
that are: Not secured, written in English and free of any defects or 
viruses. Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. According to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: One copy of the document marked 
confidential including all the information believed to be confidential, 
and one copy of the document marked ``non-confidential'' with the 
information believed to be confidential deleted. DOE will make its own 
determination about the confidential status of the information and 
treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).
    DOE considers public participation to be a very important part of 
the process for developing test procedures and energy conservation 
standards. DOE actively encourages the participation and interaction of 
the public during the comment period in each stage of this process. 
Interactions with and between members of the public provide a balanced 
discussion of the issues and assist DOE in the process. Anyone who 
wishes to be added to the DOE mailing list to receive future notices 
and information about this process should contact Appliance and 
Equipment Standards Program staff at (202) 287-1445 or via email at 
[email protected].

Signing Authority

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

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