[Federal Register Volume 87, Number 135 (Friday, July 15, 2022)]
[Rules and Regulations]
[Pages 42297-42308]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-13655]
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DEPARTMENT OF ENERGY
10 CFR Part 430
[EERE-2021-BT-DET-0022]
RIN 1904-AF25
Energy Conservation Program: Final Determination of Air Cleaners
as a Covered Consumer Product
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule; final determination.
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SUMMARY: The U.S. Department of Energy (``DOE'') has determined that
air cleaners qualify as a covered product under Part A of Title III of
the Energy Policy and Conservation Act, as amended (``EPCA''). DOE has
determined that classifying air cleaners as covered products is
necessary or appropriate to carry out the purposes of EPCA, and that
the average U.S. household energy use for air cleaners is likely to
exceed 100 kilowatt-hours per year.
DATES: This final determination is effective September 13, 2022.
ADDRESSES: The docket for this rulemaking, which includes Federal
Register notices, comments, and other supporting documents/materials,
is available for review at www.regulations.gov. All documents in the
docket are listed in the www.regulations.gov index. However, not all
documents listed in the index may be publicly available, such as
information that is exempt from public disclosure.
The docket web page can be found at www.regulations.gov/docket/EERE-2021-BT-DET-0022. The docket web page contains instructions on how
to access all documents, including public comments, in the docket.
FOR FURTHER INFORMATION CONTACT: Dr. Stephanie Johnson, U.S. Department
of Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies Office, EE-2J, 1000 Independence Avenue SW, Washington, DC
20585-0121. Telephone: (202) 287-1943. Email:
[email protected].
Ms. 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].
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SUPPLEMENTARY INFORMATION:
Table of Contents
I. Statutory Authority
II. Current Rulemaking Process
III. General Discussion
A. Scope of Coverage
B. Evaluation of Air Cleaners as a Covered Product Subject to
Energy Conservation Standards
1. Coverage Necessary or Appropriate To Carry Out Purposes of
EPCA
2. Average Household Energy Use
IV. Final Determination
V. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866 and 13563
B. Review Under the Regulatory Flexibility Act
C. Review Under the Paperwork Reduction Act
D. Review Under the National Environmental Policy Act of 1969
E. Review Under Executive Order 13132
F. Review Under Executive Order 12988
G. Review Under the Unfunded Mandates Reform Act of 1995
H. Review Under the Treasury and General Government
Appropriations Act of 1999
I. Review Under Executive Order 12630
J. Review Under the Treasury and General Government
Appropriations Act of 2001
K. Review Under Executive Order 13211
L. Information Quality
M. Congressional Notification
VI. Approval of the Office of the Secretary
I. Statutory Authority
EPCA \1\ authorizes DOE to regulate the energy efficiency of a
number of consumer products and certain industrial equipment. (42
U.S.C. 6291-6317) Title III, Part B \2\ of EPCA established the Energy
Conservation Program for Consumer Products Other Than Automobiles,
which sets forth a variety of provisions designed to improve energy
efficiency for certain consumer products, referred to generally as
``covered products.'' \3\ In addition to specifying a list of consumer
products that are covered products, EPCA contains provisions that
enable the Secretary of Energy to classify additional types of consumer
products as covered products. For a given consumer product to be
classified as a covered product, the Secretary must determine that:
classifying the product as a covered product is necessary or
appropriate to carry out the purposes of this chapter; and the average
annual per-household energy use by products of such type is likely to
exceed 100 kilowatt-hours (``kWh'') (or its British thermal unit
(``Btu'') equivalent) per year. (42 U.S.C. 6292(b)(1)) \4\
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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), which reflect the last statutory amendments that impact
Parts A and A-1 of EPCA.
\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).
\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: 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. 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. Separate
living quarters means living quarters: to which the occupants have
access either: directly from outside of the building, or through a
common hall that is accessible to other living quarters and that
does not go through someone else's living quarters, and occupied by
one or more persons who live and eat separately from occupant(s) of
other living quarters, if any, in the same building. 10 CFR 430.2.
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When considering covering additional consumer product types, DOE
must first determine whether these criteria from 42 U.S.C. 6292(b)(1)
are met. Once a determination is made, the Secretary may prescribe test
procedures to measure the energy efficiency or energy use of such
product. (42 U.S.C. 6293(a)) Furthermore, once a product is determined
to be a covered product, the Secretary may establish standards for such
product, subject to the provisions in 42 U.S.C. 6295(o) and (p),
provided that DOE determines that the additional criteria at 42 U.S.C.
6295(l) have been met. Specifically, 42 U.S.C. 6295(l) requires the
Secretary to determine that: the average household energy use of the
products has exceeded 150 kWh per household for a 12-month period; the
aggregate 12-month energy use of the products has exceeded 4,200
gigawatt-hours; substantial improvement in energy efficiency of
products of such type is technologically feasible; and application of a
labeling rule under 42 U.S.C. 6294 is unlikely to be sufficient to
induce manufacturers to produce, and consumers and other persons to
purchase, covered products of such type (or class) that achieve the
maximum energy efficiency that is technologically feasible and
economically justified. (42 U.S.C. 6295(l)(1))
II. Current Rulemaking Process
DOE has not previously conducted a rulemaking for air cleaners. DOE
published in the Federal Register a notification of proposed
determination of coverage (``NOPD'') on September 16, 2021 (``September
2021 NOPD''), in which it determined tentatively that air cleaners
satisfy the provisions of 42 U.S.C. 6292(b)(1). 86 FR 51629.
DOE received comments in response to the September 2021 NOPD from
the interested parties listed in Table II.1.
Table II--1 Written Comments Received in Response to September 2021 NOPD
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Commenter(s) Abbreviation Docket No. Commenter type
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Air-Conditioning, Heating, and AHRI....................... 9 Trade Association.
Refrigeration Institute (``AHRI'').
The Appliance Standards Awareness Project ASAP et al................. 7 Efficiency Organizations.
(``ASAP''), the American Council for an
Energy-Efficient Economy (``ACEEE''),
Consumer Federation of America
(``CFA''), and the Natural Resources
Defense Council (``NRDC'').
The Association of Home Appliance AHAM....................... 13 Trade Association.
Manufacturers (``AHAM'').
ACEEE, ASAP, AHAM, CFA, and NRDC......... Joint Commenters........... 12 Efficiency Organizations
and Trade Association.
Carrier Corporation...................... Carrier.................... 6 Manufacturer.
Corn..................................... Corn....................... 4 Individual.
Daikin U.S. Corporation.................. Daikin..................... 10 Manufacturer.
Brassell Estate.......................... Brassell Estate............ 3 Individual.
Kodiak Steel Homes....................... KSH........................ 2 Builder.
New York State Energy Research and NYSERDA.................... 5 State Agency.
Development Authority.
Northwest Energy Efficiency Alliance..... NEEA....................... 11 Efficiency Organization.
Pacific Gas and Electric Company, San CA IOUs.................... 8 Utility.
Diego Gas and Electric, and Southern
California Edison; collectively, the
California Investor-Owned Utilities.
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[[Page 42299]]
A parenthetical reference at the end of a comment quotation or
paraphrase provides the location of the item in the public record.\5\
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\5\ The parenthetical reference provides a reference for
information located in the docket of DOE's rulemaking to determine
coverage for air cleaners. (Docket No. EERE-2021-BT-DET-0022, which
is maintained at www.regulations.gov). The references are arranged
as follows: (commenter name, comment docket ID number, page of that
document). When referring to comments received on another docket,
the docket number is included prior to the commenter's name.
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After considering public comments on the September 2021 NOPD, DOE
is issuing this final determination of coverage for this product. DOE
is not prescribing test procedures or energy conservation standards as
part of this determination.
After publishing the September 2021 NOPD, DOE initiated rulemaking
activities to consider potential test procedure and energy conservation
standards for consumer air cleaners by publishing a request for
information (``RFI'') on January 25, 2022 (``January 2022 RFI''). 87 FR
3207.\6\ Through the January 2022 RFI, DOE sought 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, the January 2022 RFI
solicited information regarding the development and evaluation of
potential new energy conservation standards for air cleaners, and
whether such standards would result in significant energy savings, be
technologically feasible and economically justified.
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\6\ In response to requests from stakeholders, DOE re-opened the
comment period to the January 2022 RFI for an additional 40 days. 87
FR 11326 (Mar. 1, 2022).
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In response to the January 2022 RFI, DOE received certain comments
pertaining to the scope of coverage and definition for air cleaners,
which are discussed in the following sections. All other comments in
response to the January 2022 RFI pertaining to the test procedure or
standards rulemaking will be addressed in the subsequent rulemakings,
should DOE pursue such rulemakings.
III. General Discussion
Air cleaners are consumer products designed to remove particulate
matter and other contaminants from the air to improve indoor air
quality. DOE's analysis indicates that air cleaners meet the statutory
requirements under 42 U.S.C. 6292(b)(1), and therefore issues this
final determination that air cleaners are a covered product. DOE will
consider test procedure and energy conservation standards rulemakings
for air cleaners in the future. DOE will determine if air cleaners
satisfy the provisions of 42 U.S.C. 6295(l)(1) during the course of the
energy conservation standards rulemaking.
While DOE received comments on specific topics in response to the
September 2021 NOPD, discussed in sections III.A and III.B of this
document, commenters also provided general feedback on the proposed
determination of coverage for air cleaners.
The Joint Commenters supported DOE's proposal to include room air
cleaners as a covered product and stated that they are negotiating
potential test procedures and energy conservation standards for air
cleaners. (Joint Commenters, No. 12 at p. 1) In additional comments
filed separately, AHAM supported DOE's efforts to establish air
cleaners as a covered product. (AHAM, No. 13 at p. 1) AHAM also
commented that it is working on an updated standard to measure energy
consumption for room air cleaners, AHAM AC-7-2021 and requested DOE to
incorporate this standard by reference, once it is published, as the
DOE test procedure. (AHAM, No. 13 at pp. 1-2)
The CA IOUs also supported DOE's proposal to make air cleaners a
covered consumer product. (CA IOUs, No. 8 at p. 1) The CA IOUs cited
the U.S. Environmental Protection Agency (``EPA'') and various State
Technical Reference Manuals in commenting that the estimated lifetime
of air cleaners is 9 years, and therefore, urged DOE to regulate air
cleaners as soon as possible. (CA IOUs, No. 8 at p. 2) The CA IOUs
encouraged DOE to work towards ensuring that air cleaners are not only
efficient, but also meet consumer expectations for effectiveness, and
that the information provided to consumers is clear. (CA IOUs, No. 8 at
p. 5)
NYSERDA estimated that a potential standard for air cleaners would
yield 0.19 million metric tons of carbon dioxide emissions reductions
and result in $290 million of net present value for the state of New
York. Given the significant emissions reductions, net present value,
anticipated continued growth in sales, and important health benefits
delivered by air cleaners, NYSERDA supported the coverage of air
cleaners and encouraged DOE to move quickly to establish standards and
test procedures. NYSERDA further indicated that there are many high
efficiency, low-priced air cleaners on the market, which would make air
cleaners a strong candidate for DOE standards. NYSERDA commented that
other states have started establishing standards for air cleaners and a
federal standard, established by DOE, is thus important. (NYSERDA, No.
5 at pp. 2-3)
AHRI commented that DOE should account for potential conflicts that
could be caused by multiple regulations, and enumerated the various
performance-based requirements and state regulations applicable to air
filters that remove particulates from the air stream in ducted forced-
air heating or cooling systems in residential and commercial buildings.
According to AHRI, energy efficiency is important, but the main purpose
of air cleaners it to provide clean air, which should be the primary
focus for product design. (AHRI, No. 9 at pp. 1-3) Carrier generally
supported the initiative to establish air cleaners as a covered
product, but stated that the proposed definition and scope of coverage
is broad and would include air cleaners that may not meet EPCA
requirements. (Carrier, No. 6 at p. 1)
Corn and the Brassell Estate supported the air cleaners coverage
determination with Corn stating that they are vital especially given
Covid-19. (Corn, No. 4 at p. 1; Brassell Estate, No. 3 at p. 1)
DOE notes that many stakeholders commented in support of DOE's
efforts to establish air cleaners as a covered consumer product. In
this notice, DOE is classifying air cleaners as a covered product.
A. Scope of Coverage
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 cleaner products 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
cooling system. Air cleaners employ a wide variety of technologies to
achieve the primary function of removing particulate matter and other
contaminants from the air, and may also include other secondary
functions that supplement or enhance the primary function such as
providing air circulation, humidification or dehumidification, and
other forms of indoor air quality improvement.
EPCA does not define air cleaners. In the September 2021 NOPD, DOE
proposed the following definition to describe the scope of ``air
cleaners'' as a covered product:
An air cleaner is a consumer product that:
[[Page 42300]]
(1) Is a self-contained, mechanically encased assembly;
(2) Is powered by single-phase electric current;
(3) Removes, destroys, or deactivates particulates and
microorganisms from the air;
(4) Excludes products that destroy or deactivate particulates
and microorganisms solely by means of ultraviolet light without a
fan for air circulation; and
(5) Excludes central air conditioners, room air conditioners,
portable air conditioners, dehumidifiers, and furnaces as defined in
10 CFR 430.2. 86 FR 51629, 51632.
DOE developed the definition proposed in the September 2021 NOPD
based on reviewing definitions specified in the industry standard ANSI/
AHAM AC-1-2020, Portable Household Electric Room Air Cleaners (``ANSI/
AHAM AC-1-2020''), the definitions on the ENERGY STAR website and the
ENERGY STAR Product Specification for Room Air Cleaners, Version 2.0,
Rev. April--2021 (``ENERGY STAR V. 2.0 Specification''), and a wide
variety of air cleaning consumer products currently on the market. 86
FR 51629, 51632.
In response to the September 2021 NOPD, the Joint Commenters stated
that they generally agreed with DOE's proposed definition and provided
some suggested revisions. Specifically, the Joint Commenters suggested
the second criterion in the proposed definition to be clarified to
state that it is a unit that includes ``an electric cord'' to
differentiate from whole-home units. With regard to the third
criterion, the Joint Commenters suggested edits to note that an air
cleaner may also remove pollutants such as volatile organic compounds
(``VOCs'') and/or microorganisms from the air, in addition to
particulates, to include all types of air cleaner functionality. With
regard to the fourth criterion, the Joint Commenters suggested
replacing ``destroy or deactivate particulates and microorganisms''
with ``operate'' to remove language that commenters stated was not
necessary to repeat. (Joint Commenters, No. 12 at p. 2)
In response to the January 2022 RFI, the Joint Commenters further
commented on DOE's proposed definition. The Joint Commenters suggested
a definition of ``consumer room air cleaner'' as follows: Consumer room
air cleaner means a consumer product which (1) includes conventional
room air cleaners and miscellaneous room air cleaners; (2) is a self-
contained, mechanically encased assembly; (3) is powered by single-
phase electric current; and (4) excludes central air conditioners, room
air conditioners, portable air conditioners, dehumidifiers, and
furnaces, as defined in 10 CFR 430.2. (EERE-2021-BT-STD-0035, Joint
Commenters, No. 8 at p. 2) The Joint Commenters further suggested
definitions for the terms ``conventional room air cleaner'' and
``miscellaneous room air cleaner'' as follows: Conventional room air
cleaner means a consumer room air cleaner that (1) is an electric
corded unit; (2) operates with a fan for air circulation; and (3)
removes, destroys, and/or deactivates particulates and may also remove
pollutants, such as VOCs and microorganisms, from the air.
Miscellaneous room air cleaner means a consumer room air cleaner that
(1) operates without a fan for air circulation; and (2) removes,
destroys, and/or deactivates particulates and may also remove
pollutants, such as VOCs and microorganisms, from the air. (Id.) The
Joint Commenters stated that their recommended definition is restricted
to consumer room air cleaners because that corresponds to the scope of
products subject to their ongoing negotiations. (Id.) In particular,
the Joint Commenters suggested clarifying that ``conventional room air
cleaners'' have electric cords, which would differentiate portable air
cleaners from whole-home units. (Id.)
The Joint Commenters further stated that they no longer agree with
DOE's proposal to exclude from coverage products that use only an
ultraviolet (``UV'') light and do not have a fan for air circulation,
stating that these products are already beginning to appear on the
market and are being marketed as room air cleaners. (Id. at p. 3) The
Joint Commenters stated that products that use UV light for air
cleaning purposes should be addressed as air cleaners, not illumination
devices, and that it is important for them to be included in the scope
of coverage such that a test procedure and standards can be developed
at some point. (Id.)
Additionally, the Joint Commenters stated that they no longer
recommend that DOE include the requirement for a cord for all air
cleaners because they expect that future products might be powered via
a terminal box, socket, or other type of direct connection. (Id.) The
Joint Commenters stated that such possible products would include UV
bulbs represented to be air cleaners, but may not be connected via a
cord. (Id.)
Daikin suggested the following additions to the air cleaners
definition: specifying that the air cleaner be powered directly from
120V supplied by a plug; has a maximum airflow rate of 400 cubic feet
per minute (``CFM''); is marketed for residential use with the primary
function of removing, destroying, or deactivating particulates and
microorganisms from the air; and excludes products without a fan,
products that provide incidental air cleaning, products powered by
external transformers, or ancillary products used in conjunction with,
or inside ducts of, heating, ventilation, and air conditioning
(``HVAC'') equipment. (Daikin, No. 10 at pp. 2-3) Carrier provided
similar suggestions including: specifying the air cleaner must be rated
at 120V; designed to supply nominal airflow rate less than or equal to
400 CFM; and marketed for the primary functions of removing,
destroying, or deactivating particulates and microorganisms from the
air in a residential occupancy. (Carrier, No. 6 at p. 2) Daikin
additionally commented that since clean air delivery rate (``CADR''),
which is the metric that is calculated in ANSI/AHAM AC-1-2020, is a
performance metric that is determined via testing, the scope should be
defined based on the nominal airflow rate of the unit. Daikin commented
that air cleaners in a residential space with existing HVAC equipment
would rarely require high CFM. According to Daikin, air cleaners with
airflow rates of 400 CFM and above would be considered excessive and
unnecessary for residential spaces. (Daikin, No. 10 at p. 2) Similarly,
Carrier also commented that it did not support including large portable
air cleaners with nominal airflow rates higher than 400 CFM typically
used in commercial applications, since these would not meet the airflow
limits of ANSI/AHAM AC-1-2020. (Carrier, No. 6 at p. 2) Carrier
commented that it would be reasonable to include air cleaners that are
currently within the scope of ANSI/AHAM AC-1-2020 and the ENERGY STAR
V. 2.0 Specification (i.e., those with airflow rates equal to or less
than 400 CFM) in the definition of a covered air cleaner, but asserted
that including any other air cleaner products within the scope would
not meet the requirements of 42 U.S.C. 6292(b)(1)(B) and therefore it
would not be appropriate to include such products in the air cleaner
scope of coverage. (Carrier, No. 6 at p. 3)
In a comment in response to the January 2022 RFI, Daikin reiterated
its concerns about products that may be included within DOE's proposed
definition, and urged DOE to review its recommendations in Daikin's
September 2021 NOPD comments. (Daikin, EERE-2021-BT-STD-0035, No. 12 at
p. 2)
AHRI suggested several revisions to the definitions DOE proposed in
the September 2021 NOPD and reiterated these comments in response to
the January 2022 RFI. Specifically, AHRI suggested revising the second
criterion in DOE's proposed definition to state that an air cleaner is
directly powered
[[Page 42301]]
by 120 volt (``V''), single-phase electric current supplied by a
National Electrical Manufacturers Association (``NEMA'') 1-15P or 5-15P
plug. AHRI additionally recommended including the following items in
DOE's proposed definition of an air cleaner: is designed to supply
airflow less than or equal to 400 CFM; is marketed for the primary
functions of removing, destroying, or deactivating particulates and
microorganisms from the air in a residential occupancy; excludes
products that destroy or deactivate particulates and microorganisms
solely by means of UV light or electrostatic air filters with or
without a fan for air circulation; excludes products without a fan;
and, excludes incidental air cleaning products, which AHRI defined as a
consumer product that would meet the definition of an air cleaner, but
which provides an additional function, not related to air purification,
within the same housing, such as a vacuum cleaner, fresh air
ventilators, oven hood, refrigerator, or desiccant dehumidifier, and
whose air purification function is incidental to its other functions.
(AHRI, No. 9 at pp. 4-5; EERE-2021-BT-STD-0035, AHRI, No. 15 at p. 5)
In response to the January 2022 RFI, Madison Indoor Air Quality
(``MIAQ'') provided the same suggested modifications to the proposed
definitions in the September 2021 NOPD as suggested by AHRI in its
comments. (EERE-2021-BT-STD-0035, MIAQ, No. 5 at pp. 4-5) AHRI and MIAQ
asserted that the modifications it provided to the air cleaners
definition would ensure that the scope of coverage only included
portable, plug-in air cleaners. AHRI commented that limiting the
voltage to ``directly powered by 120V'' would ensure that products
powered by single-phase 240V electrical supply or through an external
transformer would be excluded. AHRI further commented that combination
products, as defined in the ENERGY STAR V. 2.0 Specification, and
defined as incidental products in AHRI's comments, should also be
excluded. (AHRI, No. 9 at pp. 5-6; EERE-2021-BT-STD-0035, AHRI, No. 15
at pp. 5-6; EERE-2021-BT-STD-0035, MIAQ, No. 5 at pp. 4-5)
AHRI commented that the DOE proposed definition would include
products that are not presently included in ANSI/AHAM AC-1-2020 or
covered by the ENERGY STAR V. 2.0 Specification. AHRI commented that
the definition it suggested would ensure non-portable air cleaners,
such as those that are mounted on walls and ceilings, or that provide
whole-home cleaning in conjunction with central heating or air
conditioning systems, would not be included in the scope of coverage.
Further, AHRI explained that justifying a scope expansion would require
robust analysis that would involve significant time and resources.
(AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No. 15 at pp. 3-4)
AHRI further commented that products with airflow rates over 400 CFM
should be excluded from the scope of coverage because they are not
currently covered by the ENERGY STAR V. 2.0 Specification or ANSI/AHAM
AC-1-2020 and cannot be tested according to the ANSI/AHAM AC-1-2020
standard. (AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No. 15 at
p. 4)
In response to the January 2022 RFI, MIAQ provided similar
suggestions as AHRI for products that should be excluded from the air
cleaner scope of coverage. MIAQ disagreed with the inclusion of non-
portable air cleaners, such as those mounted on walls and ceilings, or
that provide whole-home air cleaning in conjunction with central
heating or air conditioning systems. (EERE-2021-BT STD-0035, MIAQ, No.
5 at p. 3) Further, MIAQ commented that the ANSI/AHAM AC-1-2020
standard does not adequately cover non-portable products, and products
with airflow rates over 450 CFM are not covered by the ENERGY STAR
Program. (EERE-2021-BT STD-0035, MIAQ, No. 5 at p. 3)
In response to the January 2022 RFI, Synexis LLC (``Synexis'')
commented that the proposed DOE definition for consumer air cleaners
does not account for all of the various technologies that exist in this
space and could benefit from further clarification. (EERE-2021-BT-STD-
0035, Synexis, No. 14 at p. 1) Synexis agreed with the first and second
criteria in the proposed definition, but stated that the third and
fourth criteria could be further clarified by providing specific
information about air cleaning mechanisms and claims associated with
these devices (e.g., devices that utilize high efficiency particulate
air (``HEPA''), charcoal, carbon, or minimum efficiency reporting value
(``MERV'') filters or devices that utilize photocatalytic oxidation
(``PCO''), bipolar ionization, or other similar technologies, etc.)
that would be in scope. Regarding the fifth criterion, Synexis stated
that portable air conditioners that incorporate filtration mechanisms
with any supplemental claims related to cleaning the air (i.e., in
addition to cooling) should not be excluded from the definition of
consumer air cleaners. (EERE-2021-BT-STD-0035, Synexis, No. 14 at pp.
1-2)
Blueair commented in response to the January 2022 RFI that it
supports the definition proposed in the September 2021 NOPD (EERE-2021-
BT-STD-0035, Blueair, No. 10 at p. 2) Lennox International Inc.
(``Lennox'') also commented in response to the January 2022 RFI
supporting the exclusion of UV lights from the definition, commenting
that these products are already subject to ``lamp'' regulations. (EERE-
2021-BT-STD-0035, Lennox, No. 7 at p. 2)
In response to the January 2022 RFI, NEEA commented that it
supports DOE's proposal to use a broad definition for room air cleaners
that includes both portable and mounted units, but that it also
supports excluding other products that fit into alternate DOE product
categories, namely those that are classified as ``lamps primarily
designed to produce radiation in the ultraviolet region of the
spectrum.'' (NEEA, EERE-2021-BT-STD-0035, No. 13 at p. 3) The CA IOUs
recommended that DOE change the third criterion to state ``removes,
destroys, and/or deactivates particulates, microorganisms, and/or
pollutants from the air'' to encompass technologies that do a
combination of these actions. The CA IOUs also suggested that the
fourth criterion should be edited such that it is as comprehensive as
the third criterion. (CA IOUs, No. 8 at p. 3) The CA IOUs commented
that the definition of air cleaners should encompass all air cleaner
technologies, including UV light, heat, PCO, and photoelectrochemical
oxidation (``PECO''), beyond the fan, filters, electrostatic plates,
and ion generators that are referenced in ANSI/AHAM AC-1-2020. (CA
IOUs, No. 8 at p. 3)
In response to the January 2022 RFI, the CA IOUs reiterated its
support for DOE's proposal in the September 2021 NOPD to cover a more
comprehensive range of the consumer market for air cleaning and
purification, rather than just portable air cleaners. The CA IOUs
recommended that mounted and whole-home/in-duct units as well as UV
lamps marketed as air cleaners be within the scope of coverage. (EERE-
2021-BT-STD-0035, CA IOUs, No. 9 at pp. 9-10)
Regarding the clause ``single-phase electric current'' in DOE's
proposed definition in the September 2021 NOPD DOE notes that this
phrase was intended to include air cleaners that operate at both 120V
and 240V. DOE has identified products that are designed to operate via
both 120V and 240V supply power, but otherwise meet the criteria of the
proposed definition of ``air cleaner.'' To remove any potential
misunderstanding that the definition of ``air cleaner'' is
[[Page 42302]]
limited to products that are powered via 120V supply power, in this
final determination, DOE is adopting a definition that specifies, in
part, that air cleaners are units that are ``electrically powered'' so
as not to limit the definition to any particular electrical power
source.
Similarly, DOE is not limiting the scope of coverage to a plug-in
or corded unit. In-duct/whole-home air cleaners are of a type that are
distributed in commerce for residential use, but may not be ``plug-in''
or ``corded.'' Additionally, as the Joint Commenters noted in their
comments in response to the January 2022 RFI, products could be powered
via other types of direct connections that are not plug-in or corded.
(EERE-2021-BT-STD-0035, Joint Commenters, No. 8 at p. 3) As discussed
in the September 2021 NOPD, ANSI/AHAM AC-1-2020 includes air cleaners
that include appropriate wall mounting brackets or specifically
designated instructions to mount the air cleaner integrally to the
wall, i.e., ``non-portable'' air cleaners. 86 FR 51629, 51632. DOE
recognizes that while these products may require additional
considerations pertaining to the installation instructions as
``portable'' air cleaners, such air cleaners may not be ``plug-in'' or
``corded,'' but may be of a type distributed into commerce for personal
use.
Further, based on an analysis of products available on the market,
DOE notes that the pollutants that may be removed by air cleaners are
not limited to particulate matter and microorganisms. Accordingly, DOE
is proposing to include VOCs in the list of pollutants. DOE is
additionally clarifying that any air cleaner that contains means to
remove, destroy, or deactivate pollutants would be considered an air
cleaner. DOE is revising the definition proposed in the September 2021
NOPD to state that an air cleaner ``contains means to remove, destroy,
or deactivate particulates, VOCs, and/or microorganisms from the air.''
Additionally, DOE is not limiting the definition based on an
airflow threshold (e.g., less than or equal to 400 CFM). In-duct/whole-
home air cleaners have a range of airflow specifications and such
specifications may not adequately distinguish between air cleaners and
air cleaning products that are commercial and industrial equipment.\7\
Similarly, DOE is not including additional information about the types
of filters or technologies utilized by air cleaners, since the
definition specified in this notice is based on the functionality
provided by the unit and would include all types of filters and
technology types.
---------------------------------------------------------------------------
\7\ AprilAire Electronic Air Purifier--Model 5000 is an example
of such a whole-home air purifier. https://www.aprilaire.com/whole-house-products/air-purifiers/model-5000.
---------------------------------------------------------------------------
Regarding products that operate only on UV light (e.g., without a
fan for air circulation), as discussed in the September 2021 NOPD, the
energy-consuming component of such products would be a fluorescent lamp
or light-emitting diode that emits light in the UV portion of the
electromagnetic spectrum. 86 FR 51629, 51632. Accordingly, DOE would
classify these products as a type of lamp under EPCA (See the
definition of ``lamps primarily designed to produce radiation in the
ultraviolet region of the spectrum'' and ``light-emitting diode or
LED'' in 10 CFR 430.2). Id. DOE did not receive any comments regarding
how such products would be distinguished from the currently applicable
definitions.
Regarding products that provide functionality in addition to air
purification within the same housing, DOE proposed to exclude certain
products that provide air cleaning functionality in addition to other
functionality, such as central air conditioners, room air conditioners,
portable air conditioners, dehumidifiers, and furnaces, in the
September 2021 NOPD. Id. DOE is retaining these exclusions in the
adopted definition of ``air cleaner.'' DOE is also modifying the
definition as proposed to explicitly provide that ``air cleaners''
means a product for improving indoor air quality to clarify that the
term does not include products that may provide some air cleaning as an
ancillary function (e.g., a vacuum cleaner).
In response to the January 2022 RFI, Lennox supported the exclusion
of air cleaners associated with central air conditioning and furnace
systems from the scope of a DOE consumer air cleaner efficiency
standard, asserting that those products are already covered by DOE
standards. Additionally, Lennox commented that the ANSI/AHAM AC-1-2020
standard and ENERGY STAR V. 2.0 Specification are only applicable to
portable units, so air cleaners associated with central air
conditioning and furnace systems would not be appropriate for this
rulemaking. (EERE-2021-BT-STD-0035, Lennox, No. 7 at pp. 1-2) AHRI also
commented that there are no test procedures to measure the energy use
of in-duct air cleaners with only air cleaning components without a fan
and as such, these products should be excluded from the coverage
determination. AHRI further stated that energy conservation standards
for portable and non-portable air cleaners, or ``incidental air
cleaners'' (as defined by AHRI), would be different and it would not be
appropriate to include these products in the same regulation. (AHRI,
No. 9 at p. 6)
Additionally, AHRI commented that DOE should exclude commercial
products, which AHRI described as products typically used in hospitals,
airports, commercial buildings, and laboratories and have high airflow
and capacity not meant for residential use. AHRI stated that air
cleaners are not on the statutory list of commercial/industrial
equipment permissible for regulation and noted that commercial products
typically cannot be purchased by consumers, for consumer applications.
AHRI noted that commercial air purifiers cannot be purchased for
personal use and installation in homes and that these products are sold
through business-to-business sales channels. Finally, AHRI commented
that DOE has not conducted the appropriate analysis to include
commercial air cleaners and that adequate test procedures do not exist.
(AHRI, No. 9 at pp. 6-7; EERE-2021-BT-STD-0035, AHRI, No. 15 at pp. 4-
5)
In response to the January 2022 RFI, MIAQ also stated that
commercial products should be excluded since air cleaners are not on
the statutory list of commercial equipment permissible for regulation,
the determination of energy savings would be substantially different
for commercial equipment, consumer and commercial equipment are
fundamentally different and have different statutory requirements, and
commercial products are not available to consumers for personal use.
(EERE-2021-BT STD-0035, MIAQ, No. 5 at pp. 3-4)
Daikin commented that the definition of an air cleaner as proposed
in the September 2021 NOPD is broad and could encapsulate unintended
products. Daikin asserted that DOE did not consider whether a product
is distributed in commerce for residential or commercial use, but
whether it is of a type of product distributed in commerce for
residential use. Daikin stated that air cleaners marketed and sold
solely for commercial applications are typically not sold through
retail stores, but rather via a contractor, dealer, or distributor, and
such products should be excluded from the definition of an air cleaner.
(Daikin, No. 10 at pp. 1-2) Carrier commented that it did not support
including whole-home air cleaners in conjunction with central heating/
air conditioning systems in the
[[Page 42303]]
definition and scope of coverage. (Carrier, No. 6 at p. 1)
Trane Technologies commented in response to the January 2022 RFI
that permanently mounted HVAC systems in buildings are already
substantially regulated through building codes, product standards, and
DOE regulations, and that no further standards for these product types
should be considered without an exhaustive and multi-stakeholder
consultative process. (EERE-2021-BT-STD-0035, Trane Technologies, No. 3
at p. 3)
ASAP et al. supported a broad definition for air cleaners, such
that it would include air cleaners such as whole-home units. (ASAP et
al. No. 7 at p. 2) NEEA supported coverage for air cleaners, but noted
that DOE's proposed definition did not specifically exclude whole home
ventilation equipment. NEEA recommended clarifying the definition to
apply only to products that have a primary purpose of removing,
destroying, or deactivating particulates, which would exclude products
with a secondary function of improved air quality through increased
ventilation, such as energy recovery ventilation systems. NEEA stated
that expanding the scope to include non-portable air cleaners may
require future coordination with AHAM and ENERGY STAR to align
certification requirements and definitions. (NEEA, No. 11 at p. 2)
The purpose of the proposed definition, and the modified definition
adopted in this final determination, is to identify the scope of
certain consumer products (i.e., air cleaning products) that are
covered products. In identifying whether a product is a consumer
product for consideration as a covered product, DOE evaluates whether
such product: in operation consumes, or is designed to consume, energy;
and, to any significant extent, is distributed in commerce for personal
use or consumption by individuals; without regard to whether such
article of such type is in fact distributed in commerce for personal
use or consumption by an individual. (42 U.S.C. 6291(1))
DOE is also not including marketing considerations as part of the
definition. In determining whether an air cleaning product were a
consumer product, and therefore potentially a covered product, DOE
would evaluate whether it is of a type of product distributed in
commerce for residential use. (42 U.S.C. 6291(1); emphasis added)
AHRI also commented that the ANSI/AHAM AC-1-2020 standard is not
the appropriate test procedure for other products potentially included
in the scope of DOE's proposed definition, such as oven hoods or fresh
air ventilators. (AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No.
15 at p. 4)
Daikin commented that DOE's proposed definition covers a broad
range of products, many of which cannot be tested using ANSI/AHAM AC-1-
2020 or the ENERGY STAR V. 2.0 Specification. (Daikin, No. 10 at p. 2)
In response to the January 2022 RFI, MIAQ stated that the ANSI/AHAM
AC-1-2020 standard is not suitable for very large or very small
products due to the fixed room size of the test chamber, and is not
appropriate for other products potentially included in the proposed
definition, such as oven hoods or fresh air ventilators. Since all of
these products would require unique test methods, MIAQ asserted that
they should be excluded from the air cleaner scope of coverage. (EERE-
2021-BT STD-0035, MIAQ, No. 5 at p. 3)
KSH referenced the ENERGY STAR V. 2.0 Specification's definition
for a plug-in type air cleaner and commented that the test method for
plug-in type air cleaners should specify that the unit should be
plugged in to the outlet such that the unused socket remains
accessible. (KSH, No. 2 at p. 1)
The CA IOUs commented that whole-home air purification solutions
raise issues pertaining to the applicability of test procedures based
on the installed application, and provided multiple examples in which
according to the CA IOUs the energy use of such air purification
systems is not addressed in DOE's current test procedures for consumer
products. The CA IOUs also provided references to existing test
procedures and building standards provisions \8\ that may be useful to
DOE in its efforts to establish appropriate test procedures for such
whole-home air purification systems. (EERE-2021-BT-STD-0035, CA IOUs,
No. 9 at p. 11)
---------------------------------------------------------------------------
\8\ As an example, the CA IOUs referenced ANSI/ASHRAE Standard
62.1-2019 which prescribes certain requirements by reference to the
UL 2998 standard regarding ozone and UV generation.
---------------------------------------------------------------------------
AHRI additionally commented that it could not provide information
on technology options to improve the efficiency of air cleaners until
the scope of coverage and associate definition were amended to exclude
non-portable products. (AHRI, No. 9 at p. 7)
Daikin commented that it believed there may be challenges on
further improving the energy efficiency of air cleaners due to the lack
of potential technology options. Daikin commented that most air
cleaners are free-air discharge cleaners, which do not have significant
potential for energy savings. Additionally, Daikin commented that
changes in motors and impellers, or modifications to reduce energy
consumption in standby or off mode would not provide significant
savings. Daikin commented that reducing energy consumption by reducing
the pressure drop due to filters would impact the performance of air
cleaners. (Daikin, No. 10 at p. 3) Daikin also stated that some
products such as humidifiers or dehumidifiers may also filter/clean
air, and the mechanism to generate airflow is the same and the energy
consumption cannot be isolated to air cleaning only. (Daikin, No. 10 at
p. 2) Carrier commented that it did not have additional information on
efficiency-related technology options for air cleaners. (Carrier, No. 6
at p. 3)
NEEA recommended that air cleaner product classes should be
separated by CADR/W and that standards should be established as a
function of capacity. NEEA further recommended that DOE consider
overall unit function when establishing standards because air cleaners
that filter smaller particles often use more energy. (NEEA, No. 11 at
p. 2-) NEEA also commented that efficient motors, fans, and controls
should be investigated as design options for energy savings because the
energy consumption of air cleaners is likely to increase in the coming
years due to an increase in consumer interest for these products.
(NEEA, No. 11 at p. 3) NEEA recommended that DOE include technology
options such as UV light, heat, PCO, and PECO in its assessment of
applicable product categories. (NEEA, No. 11 at p. 3)
NEEA also supported the development of efficiency standards and
test procedures for whole-home ventilation systems, but stated that
metrics specific to such systems should be established through a
separate rulemaking instead of combining these equipment types with air
cleaners. (NEEA, No. 11 at p. 2) NEEA further commented that DOE should
consider including a maximum allowable standby or partial on-mode power
limit in any future energy conservation standard because the hours of
operation as well as the functionality offered in standby mode (e.g.,
accent lights, heat, etc.) may vary widely. NEEA commented that DOE
should consider efficient motors, fans, and controls as technology
options and noted that it may be able to provide additional data
sources through its Retail Products Platform program. (NEEA, No. 11 at
p. 3)
The CA IOUs recommended that DOE should take into account how air
cleaners provide different services and applications for a variety of
consumer
[[Page 42304]]
needs as the standard-setting process continues. They also commented
that the technology options for air cleaners that use fans include
multiple speed motors and sensors that automatically adjust fan speed.
The CA IOUs also recommended an investigation into the sensitivity of
sensors and controls, the number of fan speeds available, and the
degree to which they can reduce energy consumption while maintaining
performance. The CA IOUs also commented to investigate energy
consumption in standby mode for these products. (CA IOUs, No. 8 at pp.
3-4)
DOE welcomes comments provided by stakeholders regarding applicable
test procedures and potential technology options, product classes, and
efficiency levels. However, the air cleaner definition adopted in this
final determination establishes the coverage of ``air cleaners'' for
the purpose of Part A of EPCA. The scope of coverage is separate from a
determination of the applicability of test procedures or energy
conservation standards, should DOE establish test procedures and energy
conservation standards. The scope of any test procedure or energy
conservation standards would be considered in these respective
rulemakings to the extent DOE pursues such rulemakings. As such, DOE is
not limiting the scope of ``air cleaner'' as a covered product based on
the potential availability of an industry test standard, or other test
procedure or standards related issues.
Daikin commented that a labeling rule under 42 U.S.C. 6295(l)(1)
could be a good driving factor for manufacturers and consumers to
manufacture and consume higher efficiency products. (Daikin, No. 10 at
pp. 3-4) DOE notes that the requirements under 42 U.S.C. 6295(l) are
only applicable once a coverage determination has occurred and if and
when DOE considers establishing standards.
The CA IOUs stated that they are engaged in discussions with
several stakeholders as part of a working group to develop further
recommendations regarding definitions, scope, test procedures, and
efficiency standards. The CA IOUs further commented that the working
group is in alignment with DOE's proposal to exclude products that
offer air purification as a secondary function, but for which the main
functionality, and related energy consumption, is already regulated as
a covered product, such as those for central air conditioners,
dehumidifiers, etc. The CA IOUs suggested DOE consider recommendations
that the working group develops. (CA IOUs, No. 8 at p. 3) DOE welcomes
comments and recommendations from the working group and will consider
developments made by the working group on matters concerning
definitions, scope, test procedures, and efficiency standards during
the appropriate stage of each rulemaking.
In summary, based on the preceding discussion, DOE is defining
``air cleaner'' as a product for improving indoor air quality, other
than a central air conditioner, room air conditioner, portable air
conditioner, dehumidifier, or furnace, that is an electrically-powered,
self-contained, mechanically encased assembly that contains means to
remove, destroy, or deactivate particulates, VOCs, and/or
microorganisms from the air. It excludes products that operate solely
by means of ultraviolet light without a fan for air circulation.
B. Evaluation of Air Cleaners as a Covered Product Subject to Energy
Conservation Standards
The following sections describe DOE's evaluation of whether air
cleaners fulfill the criteria for being added as a covered product
pursuant to 42 U.S.C. 6292(b)(1). As stated, DOE may classify a
consumer product as a covered product if:
(1) Classifying products of such type as covered products is
necessary or appropriate to carry out the purposes of EPCA; and
(2) The average annual per-household energy use by products of such
type is likely to exceed 100 kWh (or its Btu equivalent) per year.
1. Coverage Necessary or Appropriate To Carry Out Purposes of EPCA
DOE has determined that coverage of air cleaners is necessary or
appropriate to carry out the purposes of EPCA, which include:
(1) To conserve energy supplies through energy conservation
programs, and, where necessary, the regulation of certain energy uses;
and
(2) To provide for improved energy efficiency of motor vehicles,
major appliances, and certain other consumer products. (42 U.S.C.
6201(4) and (5))
In the September 2021 NOPD, DOE cited data presented by EPA for the
ENERGY STAR Air Cleaners Program that estimated that overall shipments
of room air cleaners (a subset of the products covered by the
definition of ``air cleaner'' adopted in this final determination) were
5.17 million units. 86 FR 51629, 51633. DOE also referenced the energy
consumption ratings contained in the ENERGY STAR database of certified
room air cleaners,\9\ which demonstrated significant variation in the
total energy consumption among different models,\10\ suggesting that
technologies exist to reduce the energy consumption of air cleaners.
Id. DOE requested data and information regarding current annual
shipments of air cleaners and the installed base of air cleaners. Id.
---------------------------------------------------------------------------
\9\ The ENERGY STAR Product Specification 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.'' See Eligibility Criteria Version 2.0, Rev. April 2021,
available at https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf.
\10\ ENERGY STAR Certified Room Air Cleaners Database. Accessed
June 24, 2021. Available online at www.energystar.gov/productfinder/product/certified-room-air-cleaners/.
---------------------------------------------------------------------------
AHRI agreed with DOE's estimates of shipments data, based on EPA
and AHAM data. (AHRI, No. 9 at p. 7) ASAP et al. commented that the
most recent ENERGY STAR data for 2020 reported 6.5 million shipments of
ENERGY STAR-certified units,\11\ total shipments are likely
significantly greater, and product demand in the residential sector is
projected to grow at a CAGR of 6.2 percent through 2028.\12\
Furthermore, ASAP et al. cited ENERGY STAR data to assert that air
cleaners represent a large potential for energy savings. In particular,
ASAP et al. stated that ENERGY STAR-certified room air cleaners are
more than 25 percent more efficient than standard models and that the
minimum CADR per watt (``CADR/W'') rating in the current ENERGY STAR
database ranged from 1.9 to 2.9 CADR/W; the most efficient models had
rated values of 14.8 CADR/W. (ASAP et al., No. 7 at p. 1)
---------------------------------------------------------------------------
\11\ www.energystar.gov/sites/default/files/asset/document/2020%20USD%20Summary%20Report_Lighting%20%20EVSE%20Update.pdf. EPA
did not report the ENERGY STAR market penetration of room air
cleaners for 2020 ``due to indications of dramatic changes in the
market in 2020 that are inconsistent with previous market trends.''
\12\ www.grandviewresearch.com/industry-analysis/us-air-purifier-market.
---------------------------------------------------------------------------
ASAP et al. commented that the most recent ENERGY STAR unit
shipment data for room air cleaners is 6.5 million shipments of ENERGY
STAR-certified units, and commented that the estimated market
penetration is not provided in the ENERGY STAR data. Using the most
recent year in which ENERGY STAR provided market penetration data
(2019), DOE approximates that roughly 40 percent of the market is at or
above the ENERGY STAR level and estimates the total shipments of room
air cleaners to be approximately 16 million units.
[[Page 42305]]
DOE has determined that the coverage of air cleaners is both
necessary and appropriate to carry out the purposes of EPCA. As
indicated by the ENERGY STAR and shipments data, air cleaners comprise
a significant and growing sector of the consumer products market. As a
coverage determination is a prerequisite to establishing standards for
these products, classifying air cleaners as a covered product is
necessary and appropriate to carry out EPCA's purposes to: Conserve
energy supplies through energy conservation programs; and provide for
improved energy efficiency of major appliances and certain other
consumer products. (42 U.S.C. 6201(4) and (5))
2. Average Household Energy Use
In the September 2021 NOPD, DOE estimated the average household
energy use for air cleaners, in households that use the product, using
power consumption data reported in the ENERGY STAR product
database.\13\ 86 FR 51629, 51633. The ENERGY STAR database is the only
publicly available source, of which DOE is aware, that provides energy
consumption data for air cleaners. For each model, the database lists
the annual energy use in kilowatt-hours per year (``kWh/yr''), along
with other relevant performance metrics, as measured according to ANSI/
AHAM AC-1-2020. 86 FR 51629, 51633. In the September 2021 NOPD, DOE
estimated the average annual energy consumption of air cleaners to be
299 kWh/yr among all models in the ENERGY STAR database. DOE also noted
that the ENERGY STAR program estimated that standard (i.e., non-ENERGY
STAR qualified) consumer air cleaners operating continuously use around
550 kWh/yr.\14\ DOE requested data and information regarding annual
energy use estimates for air cleaners. 86 FR 51629, 51633.
---------------------------------------------------------------------------
\13\ www.energystar.gov/productfinder/product/certified-room-air-cleaners/results.
\14\ Air Purifiers (Cleaners). Accessed June 28, 2021. Available
online at: www.energystar.gov/products/air_purifiers_cleaners.
---------------------------------------------------------------------------
The CA IOUs commented that the average household energy use from
air cleaners likely exceeds the thresholds set by 42 U.S.C. 6292(b)(1)
and 42 U.S.C. 6295(l), stating that the annual energy consumption of
ENERGY STAR products currently listed is nearly 300 kWh/yr and
estimating 450 kWh/yr for non-ENERGY STAR units. (CA IOUs, No. 8 at p.
2) The CA IOUs further stated that the hours of use for air cleaners
would likely vary based on household needs and there was a wide range
of estimates in federal and state sources. The CA IOUs asserted that,
based on various sources, air cleaners may be operated between 6 and 24
hours per day.\15\ (CA IOUs, No. 8 at p. 2) The CA IOUs commented that
DOE should account for the variable hours of operation for air cleaners
depending on consumer needs. The CA IOUs provided examples in which
some air cleaners may run constantly but seasonally to counter high
pollen content or wildfire smoke, while others may be used during all
seasons but only during portions of the day. (CA IOUs, No. 8 at p. 54)
The CA IOUs also stated that while only a minority of households owned
air cleaners, of those owners, more than 20 percent had at least two
air cleaners, based on California Residential Appliance Saturation
Survey (``RASS'') data. (CA IOUs No. 8 at p. 2)
---------------------------------------------------------------------------
\15\ The CA IOUs commented that in a 2018 technical summary
titled, Residential Air Cleaners, EPA stated that ``air cleaning is
limited to less than 25 percent of the 8,760 hours in a year'',
which translates to 6 hours per day.
---------------------------------------------------------------------------
AHRI commented that it was difficult to provide data and
information regarding annual energy use estimates for air cleaners,
particularly for products not covered by the ENERGY STAR Program, such
as non-portable products (wall mounted, ceiling-mounted, and whole home
units). (AHRI No. 9 at p. 7) Carrier commented that it did not have
information on energy use estimates for air cleaners, and stated that
it is unlikely this data exists for whole-home air cleaners and large
portable air cleaners with nominal airflow above 400 CFM because there
is not a standard test procedure for these products. (Carrier No. 6 at
p.3) Daikin commented that it did not have information on typical
operational hours of air cleaners. (Daikin No. 10 at p. 3)
AHRI urged DOE to publish its energy use analysis for the proposed
determination. According to AHRI different types of air cleaners employ
different technologies with distinctly different energy use patterns
and hours of operation, which should be accounted for in the energy use
analysis. (AHRI No. 9 at p. 6) Daikin asked if DOE's annual energy use
estimate considered number of operating hours and also requested DOE to
provide its methodology for the calculation of annual energy use.
Daikin noted that this same methodology could be applied to non-ENERGY
STAR qualified products to obtain data. (Daikin No. 10 at p.3)
In the absence of additional data, DOE is using the estimates
available from the ENERGY STAR database to estimate the energy use for
this final determination. The ENERGY STAR database includes products
with various technologies and EPA notes in the ENERGY STAR database
that it calculates the annual energy consumption based on an estimated
16 hours/day in active mode (also referred to as on mode or operating
mode) and 8 hours/day in standby mode (or inactive mode). DOE has used
these estimates for its energy use analysis. The ENERGY STAR database
includes a range of air cleaners with reported annual energy
consumption ranging from 123 kWh/yr to 770 kWh/yr, with an average
annual energy consumption of 299 kWh/yr. The average energy consumption
of non-ENERGY STAR qualified models is likely higher.
Although the ENERGY STAR program covers only portable
configurations of air cleaners, the similarity in fundamental design
and operation (i.e., a fan or other means for air circulation and a
means for of removing, destroying, or deactivating contaminants from
the air) of non-portable products (e.g., wall-mounted, ceiling-mounted,
whole-home units) indicates that non-portable air cleaners are likely
to have similar or higher energy consumption as compared to portable
air cleaners.
Based on this analysis, DOE determines that the average annual per-
household energy use for air cleaners is likely to exceed 100 kWh/yr,
satisfying the provisions of 42 U.S.C. 6292(b)(1).
IV. Final Determination
Based on the foregoing discussion, DOE concludes that including air
cleaners, as defined in this final determination, as covered products
is necessary and appropriate to carry out the purposes of EPCA, and the
average annual per-household energy use by products of such type is
likely to exceed 100 kWh/yr. Based on the information discussed in
sections III.B of this final determination, DOE is classifying air
cleaners as covered product.
This final determination does not establish test procedures or
energy conservation standards for air cleaners. DOE will address test
procedures and energy conservation standards through its normal
rulemaking process.
V. Procedural Issues and Regulatory Review
A. Review Under Executive Order 12866 and 13563
Executive Order (``E.O.'') 12866, ``Regulatory Planning and
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires
agencies, to the extent permitted by law, to (1) propose or adopt a
regulation only upon a reasoned
[[Page 42306]]
determination that its benefits justify its costs (recognizing that
some benefits and costs are difficult to quantify); (2) tailor
regulations to impose the least burden on society, consistent with
obtaining regulatory objectives, taking into account, among other
things, and to the extent practicable, the costs of cumulative
regulations; (3) select, in choosing among alternative regulatory
approaches, those approaches that maximize net benefits (including
potential economic, environmental, public health and safety, and other
advantages; distributive impacts; and equity); (4) to the extent
feasible, specify performance objectives, rather than specifying the
behavior or manner of compliance that regulated entities must adopt;
and (5) identify and assess available alternatives to direct
regulation, including providing economic incentives to encourage the
desired behavior, such as user fees or marketable permits, or providing
information upon which choices can be made by the public. DOE
emphasizes as well that E.O. 13563 requires agencies to use the best
available techniques to quantify anticipated present and future
benefits and costs as accurately as possible. In its guidance, the
Office of Information and Regulatory Affairs (``OIRA'') in the Office
of Management and Budget (``OMB'') has emphasized that such techniques
may include identifying changing future compliance costs that might
result from technological innovation or anticipated behavioral changes.
For the reasons stated in the preamble, this proposed regulatory action
is consistent with these principles.
Section 6(a) of E.O. 12866 also requires agencies to submit
``significant regulatory actions'' to OIRA for review. OIRA has
determined that this regulatory action does not constitute a
``significant regulatory action'' under section 3(f) of E.O. 12866.
Accordingly, this action was not submitted to OIRA for review under
E.O. 12866. This determination has been determined to be not
significant for purposes of E.O. 12866. As a result, OMB did not review
this determination.
B. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis (``IRFA'')
for any rule that by law must be proposed for public comment and a
final regulatory flexibility analysis (``FRFA'') for any such rule that
an agency adopts as a final rule, unless the agency certifies that the
rule, if promulgated, will not have a significant economic impact on a
substantial number of small entities. As required by E.O. 13272,
``Proper Consideration of Small Entities in Agency Rulemaking,'' 67 FR
53461 (Aug. 16, 2002), DOE published procedures and policies on
February 19, 2003, to ensure that the potential impacts of its rules on
small entities are properly considered during the rulemaking process.
68 FR 7990. DOE has made its procedures and policies available on the
Office of the General Counsel's website (www.energy.gov/gc/office-general-counsel).
DOE reviewed this determination under the provisions of the
Regulatory Flexibility Act and the policies and procedures published on
February 19, 2003. This determination sets no standards; it only
positively determines that future standards may be warranted and should
be explored in an energy conservation standards and test procedure
rulemaking. Economic impacts on small entities would be considered in
the context of such rulemakings. On the basis of the foregoing, DOE
certifies that the coverage determination would have no significant
economic impact on a substantial number of small entities. Accordingly,
DOE has not prepared a FRFA for this determination. DOE will transmit
this certification and supporting statement of factual basis to the
Chief Counsel for Advocacy of the Small Business Administration for
review under 5 U.S.C. 605(b).
C. Review Under the Paperwork Reduction Act
This determination, which concludes that air cleaners meet the
criteria for a covered product for which the Secretary may prescribe an
energy conservation standard pursuant to 42 U.S.C. 6295(o) and (p),
imposes no new information or record-keeping requirements. Accordingly,
the OMB clearance is not required under the Paperwork Reduction Act.
(44 U.S.C. 3501 et seq.)
D. Review Under the National Environmental Policy Act of 1969
Pursuant to the National Environmental Policy Act of 1969
(``NEPA''), DOE has analyzed this proposed action rule in accordance
with NEPA and DOE's NEPA implementing regulations (10 CFR part 1021).
DOE analyzed this regulation in accordance with the National
Environmental Policy Act (``NEPA'') and DOE's NEPA implementing
regulations (10 CFR part 1021). DOE has determined that this rule
qualifies for categorical exclusion under 10 CFR part 1021, subpart D,
appendix A6. This rulemaking qualifies for categorical exclusion A6
because it is a strictly procedural rulemaking and otherwise meets the
requirements for application of a categorical exclusion. See 10 CFR
1021.410. In this final determination, DOE positively determines that
future standards may be warranted and that environmental impacts should
be explored in an energy conservation standards rulemaking. Therefore,
DOE has determined that promulgation of this rule is not a major
Federal action significantly affecting the quality of the human
environment within the meaning of NEPA, and does not require an
environmental assessment or an environmental impact statement.
E. Review Under Executive Order 13132
E.O. 13132, ``Federalism,'' 64 FR 43255 (Aug. 10, 1999), imposes
certain requirements on Federal agencies formulating and implementing
policies or regulations that preempt State law or that have federalism
implications. The Executive order requires agencies to examine the
constitutional and statutory authority supporting any action that would
limit the policymaking discretion of the States and to carefully assess
the necessity for such actions. The Executive order also requires
agencies to have an accountable process to ensure meaningful and timely
input by State and local officials in the development of regulatory
policies that have federalism implications. On March 14, 2000, DOE
published a statement of policy describing the intergovernmental
consultation process it will follow in the development of such
regulations. 65 FR 13735. DOE has examined this determination and
concludes that it would not have a substantial direct effect on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among the
various levels of government. EPCA governs and prescribes Federal
preemption of State regulations as to energy conservation for the
product that is the subject of this determination. States can petition
DOE for exemption from such preemption to the extent, and based on
criteria, set forth in EPCA. (42 U.S.C. 6297) Therefore, no further
action is required by E.O. 13132.
F. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of E.O. 12988, ``Civil
Justice Reform,'' imposes on Federal agencies the general duty to
adhere to the following requirements: (1) eliminate drafting errors and
ambiguity, (2) write regulations to
[[Page 42307]]
minimize litigation, (3) provide a clear legal standard for affected
conduct rather than a general standard, and (4) promote simplification
and burden reduction. 61 FR 4729 (Feb. 7, 1996). Regarding the review
required by section 3(a), section 3(b) of E.O. 12988 specifically
requires that executive agencies make every reasonable effort to ensure
that the regulation: (1) clearly specifies the preemptive effect, if
any, (2) clearly specifies any effect on existing Federal law or
regulation, (3) provides a clear legal standard for affected conduct
while promoting simplification and burden reduction, (4) specifies the
retroactive effect, if any, (5) adequately defines key terms, and (6)
addresses other important issues affecting clarity and general
draftsmanship under any guidelines issued by the Attorney General.
Section 3(c) of E.O. 12988 requires executive agencies to review
regulations in light of applicable standards in section 3(a) and
section 3(b) to determine whether they are met or it is unreasonable to
meet one or more of them. DOE has completed the required review and
determined that, to the extent permitted by law, this determination
meets the relevant standards of E.O. 12988.
G. Review Under the Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'')
requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments, and the
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531).
For a proposed regulatory action likely to result in a rule that may
cause the expenditure by State, local, and Tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year (adjusted annually for inflation), section 202 of UMRA requires a
Federal agency to publish a written statement that estimates the
resulting costs, benefits, and other effects on the national economy.
(2 U.S.C. 1532(a), (b)) The UMRA requires a Federal agency to develop
an effective process to permit timely input by elected officers of
State, local, and Tribal governments on a proposed ``significant
intergovernmental mandate,'' and requires an agency plan for giving
notice and opportunity for timely input to potentially affected small
governments before establishing any requirement that might
significantly or uniquely affect them. On March 18, 1997, DOE published
a statement of policy on its process for intergovernmental consultation
under UMRA. 62 FR 12820. DOE's policy statement is also available at
www.energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
DOE examined this determination according to UMRA and its statement
of policy and determined that the determination does not contain a
Federal intergovernmental mandate, nor is it expected to require
expenditures of $100 million or more in any one year by State, local,
and Tribal governments, in the aggregate, or by the private sector. As
a result, the analytical requirements of UMRA do not apply.
H. Review Under the Treasury and General Government Appropriations Act
of 1999
Section 654 of the Treasury and General Government Appropriations
Act of 1999 (Pub. L. 105-277) requires Federal agencies to issue a
Family Policymaking Assessment for any rule that may affect family
well-being. This determination would not have any impact on the
autonomy or integrity of the family as an institution. Accordingly, DOE
has concluded that it is not necessary to prepare a Family Policymaking
Assessment.
I. Review Under Executive Order 12630
Pursuant to E.O. 12630, ``Governmental Actions and Interference
with Constitutionally Protected Property Rights'' 53 FR 8859 (Mar. 15,
1988), DOE has determined that this determination would not result in
any takings that might require compensation under the Fifth Amendment
to the U.S. Constitution.
J. Review Under the Treasury and General Government Appropriations Act
of 2001
Section 515 of the Treasury and General Government Appropriation
Act, 2001 (44 U.S.C. 3516, note) provides for Federal agencies to
review most disseminations of information to the public under
information quality guidelines established by each agency pursuant to
general guidelines issued by OMB. OMB's guidelines were published at 67
FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR
62446 (Oct. 7, 2002). Pursuant to OMB Memorandum M-19-15, Improving
Implementation of the Information Quality Act (April 24, 2019), DOE
published updated guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has
reviewed this determination under the OMB and DOE guidelines and has
concluded that it is consistent with applicable policies in those
guidelines.
K. Review Under Executive Order 13211
E.O. 13211, ``Actions Concerning Regulations That Significantly
Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22,
2001), requires Federal agencies to prepare and submit to OIRA a
Statement of Energy Effects for any significant energy action. A
``significant energy action'' is defined as any action by an agency
that promulgates or is expected to lead to promulgation of a final
rule, and that (1) is a significant regulatory action under E.O. 12866,
or any successor Executive order; and (2) is likely to have a
significant adverse effect on the supply, distribution, or use of
energy; or (3) is designated by the Administrator of OIRA as a
significant energy action. For any significant energy action, the
agency must give a detailed statement of any adverse effects on energy
supply, distribution, or use should the proposal be implemented, and of
reasonable alternatives to the action and their expected benefits on
energy supply, distribution, and use.
This determination, which does not amend or establish energy
conservation standards for air cleaners, is not a significant
regulatory action under E. O. 12866. Moreover, it would not have a
significant adverse effect on the supply, distribution, or use of
energy, nor has it been designated as such by the Administrator at
OIRA. Accordingly, DOE has not prepared a Statement of Energy Effects.
L. Information Quality
On December 16, 2004, OMB, in consultation with the Office of
Science and Technology Policy (``OSTP''), issued its Final Information
Quality Bulletin for Peer Review (``the Bulletin''). 70 FR 2664 (Jan.
14, 2005). The Bulletin establishes that certain scientific information
shall be peer reviewed by qualified specialists before it is
disseminated by the Federal Government, including influential
scientific information related to agency regulatory actions. The
purpose of the bulletin is to enhance the quality and credibility of
the Government's scientific information. Under the Bulletin, the energy
conservation standards rulemaking analyses are ``influential scientific
information,'' which the Bulletin defines as ``scientific information
the agency reasonably can determine will have, or does have, a clear
and substantial impact on important public policies or private sector
decisions.'' Id. at 70 FR 2667.
In response to OMB's Bulletin, DOE conducted formal peer reviews of
the energy conservation standards
[[Page 42308]]
development process and the analyses that are typically used and has
prepared a Peer Review report pertaining to the energy conservation
standards rulemaking analyses.\16\ Generation of this report involved a
rigorous, formal, and documented evaluation using objective criteria
and qualified and independent reviewers to make a judgment as to the
technical/scientific/business merit, the actual or anticipated results,
and the productivity and management effectiveness of programs and/or
projects. Because available data, models, and technological
understanding have changed since 2007, DOE has engaged with the
National Academy of Sciences to review DOE's analytical methodologies
to ascertain whether modifications are needed to improve the
Department's analyses. DOE is in the process of evaluating the
resulting report.\17\
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\16\ ``Energy Conservation Standards Rulemaking Peer Review
Report.'' 2007. Available at www.energy.gov/eere/buildings/downloads/energy-conservation-standards-rulemaking-peer-review-report-0.
\17\ The report is available at www.nationalacademies.org/our-work/review-of-methods-for-setting-building-and-equipment-performance-standards.
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M. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of this final determination prior to its effective date.
The report will state that it has been determined that the final
determination is not a ``major rule'' as defined by 5 U.S.C. 804(2).
VI. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
determination.
List of Subjects in 10 CFR Part 430
Administrative practice and procedure, Confidential business
information, Energy conservation, Intergovernmental relations,
Reporting and recordkeeping requirements, Small businesses.
Signing Authority
This document of the Department of Energy was signed on June 21,
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 June 22, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.
For the reasons stated in the preamble, DOE amends part 430 of
Chapter II of Title 10, Code of Federal Regulations as set forth below:
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
0
1. The authority citation for part 430 continues to read as follows:
Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
0
2. Section 430.2 is amended by adding in alphabetical order the
definition of ``air cleaner'' to read as follows:
Sec. 430.2 Definitions.
* * * * *
Air cleaner means a product for improving indoor air quality, other
than a central air conditioner, room air conditioner, portable air
conditioner, dehumidifier, or furnace, that is an electrically-powered,
self-contained, mechanically encased assembly that contains means to
remove, destroy, or deactivate particulates, VOC, and/or microorganisms
from the air. It excludes products that operate solely by means of
ultraviolet light without a fan for air circulation.
* * * * *
[FR Doc. 2022-13655 Filed 7-14-22; 8:45 am]
BILLING CODE 6450-01-P