[Federal Register Volume 88, Number 168 (Thursday, August 31, 2023)]
[Rules and Regulations]
[Pages 60105-60111]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-18860]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2021-BT-STD-0035]
RIN 1904-AF46


Energy Conservation Program: Energy Conservation Standards for 
Air Cleaners

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

ACTION: Direct final rule; confirmation of effective and compliance 
dates.

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SUMMARY: The U.S. Department of Energy (``DOE'') published a direct 
final rule to establish new energy conservation standards for air 
cleaners in the Federal Register on April 11, 2023. DOE has determined 
that the comments received in response to the direct final rule do not 
provide a reasonable basis for withdrawing the direct final rule. 
Therefore, DOE provides this document confirming adoption of the energy 
conservation standards established in the direct final rule and 
announcing the effective date of those standards.

DATES: The effective date of August 9, 2023, for the direct final rule 
published April 11, 2023 (88 FR 21752) is confirmed. Compliance with 
the new standards established in the direct final rule will be required 
on December 31, 2023.

ADDRESSES: The docket for this rulemaking, which includes Federal 
Register notices, public meeting attendee lists and transcripts, 
comments, and other supporting documents/materials, is available for 
review at 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-STD-0035. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket.
    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].

[[Page 60106]]


FOR FURTHER INFORMATION CONTACT: 
    Mr. Troy Watson, 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) 449-9387. 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].

SUPPLEMENTARY INFORMATION: 

I. Authority

    The Energy Policy and Conservation Act, Public Law 94-163, as 
amended (``EPCA''),\1\ authorizes DOE to issue a direct final rule 
establishing an energy conservation standard for a product on receipt 
of a statement submitted jointly by interested persons that are fairly 
representative of relevant points of view (including representatives of 
manufacturers of covered products, States, and efficiency advocates), 
as determined by the Secretary, that contains recommendations with 
respect to an energy or water conservation standard that are in 
accordance with the provisions of 42 U.S.C. 6295(o) or 42 U.S.C. 6316, 
as applicable. (42 U.S.C. 6295(p)(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.
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    The direct final rule must be published simultaneously with a 
notice of proposed rulemaking (``NOPR'') that proposes an energy or 
water conservation standard that is identical to the standard 
established in the direct final rule, and DOE must provide a public 
comment period of at least 110 days on this proposal. (42 U.S.C. 
6295(p)(4)(A)-(B)) Not later than 120 days after issuance of the direct 
final rule, DOE shall withdraw the direct final rule if (1) DOE 
receives one or more adverse public comments relating to the direct 
final rule or any alternative joint recommendation; and (2) based on 
the rulemaking record relating to the direct final rule, DOE determines 
that such adverse public comments or alternative joint recommendation 
may provide a reasonable basis for withdrawing the direct final rule. 
(42 U.S.C. 6295(p)(4)(C)) If DOE makes such a determination, DOE must 
proceed with the NOPR published simultaneously with the direct final 
rule and publish in the Federal Register the reasons why the direct 
final rule was withdrawn. Id.
    DOE determined that it did not receive any adverse comments 
providing a basis for withdrawal described above for the direct final 
rule that is the subject of this document--air cleaners. As such, DOE 
did not withdraw this direct final rule and allowed it to become 
effective. Although not required under EPCA, DOE customarily publishes 
a summary of the comments received during the 110-day comment period 
and its responses to those comments. This document contains such a 
summary, as well as DOE's responses, for air cleaners.

II. Air Cleaners Direct Final Rule

    Air cleaners are not currently subject to Federal energy 
conservation standards. On January 25, 2022, DOE published a request 
for information (``January 2022 RFI''), seeking comments on potential 
test procedure and energy conservation standards for air cleaners. 87 
FR 3702. In the January 2022 RFI, DOE requested information to aid in 
the development of the technical and economic analyses to support 
energy conservation standards for air cleaners, should they be 
warranted. Id.
    In a final determination published on July 15, 2022 (``July 2022 
Final Determination''), DOE determined that coverage of air cleaners is 
necessary or appropriate to carry out the purposes of EPCA; the average 
U.S. household energy use for air cleaners is likely to exceed 100 
kilowatt-hours per year (``kWh/yr''); and thus, air cleaners qualify as 
a ``covered product'' under EPCA. 87 FR 42297.
    On August 23, 2022, DOE received a proposal jointly submitted by 
groups representing manufacturers, energy and environmental advocates, 
and consumer groups, hereinafter referred to as ``the Joint 
Stakeholders.'' \2\ This proposal, titled ``Joint Statement of Joint 
Stakeholder Proposal On Recommended Energy Conservation Standards And 
Test Procedure For Consumer Room Air Cleaners'' (hereafter, the ``Joint 
Proposal'' \3\), recommended specific energy conservation standards for 
air cleaners that, in the commenters' view, would satisfy the EPCA 
requirements in 42 U.S.C. 6295(o). The Joint Proposal urged DOE to 
publish final rules adopting the consumer room air cleaner test 
procedure and standards and compliance dates contained in the Joint 
Proposal, as soon as possible, but not later than December 31, 2022. 
(Joint Stakeholders, No. 16 at p. 1) The Joint Proposal also 
recommended that DOE adopt industry standard AHAM AC-7-2022 \4\ as the 
DOE test procedure. (Id. at p. 6) In regard to energy conservation 
standards, the Joint Proposal specified two-tiered (i.e., Tier 1 and 
Tier 2) standard levels, as shown in Table II.1, for conventional room 
air cleaners with proposed compliance dates of December 31, 2023, and 
December 31, 2025, respectively. (Id. at p. 9).
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    \2\ The Joint Stakeholders include the Association of Home 
Appliance Manufacturers (``AHAM''), Appliance Standards Awareness 
Project (``ASAP''), American Council for an Energy-Efficient Economy 
(``ACEEE''), Consumer Federation of America (``CFA''), Natural 
Resources Defense Council (``NRDC''), the New York State Energy 
Research and Development Authority (``NYSERDA''), and the Pacific 
Gas and Electric Company (``PG&E''). AHAM is representing the 
companies who manufacture consumer room air cleaners and are members 
of the Portable Appliance Division (DOE has included names of all 
manufacturers listed in the footnote on page 1 of the Joint Proposal 
and the signatories listed on pages 13-14): 3M Co.; Access Business 
Group, LLC; ACCO Brands Corporation; Air King, Air King Ventilation 
Products; Airgle Corporation; Alticor, Inc.; Beijing Smartmi 
Electronic Technology Co., Ltd.; BISSELL Inc.; Blueair Inc.; BSH 
Home Appliances Corporation; De'Longhi America, Inc.; Dyson Limited; 
Essick Air Products; Fellowes Inc.; Field Controls; Foxconn 
Technology Group; GE Appliances, a Haier company; Gree Electric 
Appliances Inc.; Groupe SEB; Guardian Technologies, LLC; Haier Smart 
Home Co., Ltd.; Helen of Troy-Health & Home; iRobot; Lasko Products, 
Inc.; Molekule Inc.; Newell Brands Inc.; Oransi LLC; Phillips 
Domestic Appliances NA Corporation; SharkNinja Operating, LLC; Sharp 
Electronics Corporation; Sharp Electronics of Canada Ltd.; Sunbeam 
Products, Inc.; Trovac Industries Ltd; Vornado Air LLC; Whirlpool 
Corporation; Winix Inc.; and Zojirushi America Corporation.
    \3\ The Joint Proposal is available in the docket for this 
rulemaking at www.regulations.gov/comment/EERE-2021-BT-STD-0035-0016.
    \4\ AHAM AC-7-2022 Energy Test Method for Consumer Room Air 
Cleaners. Available for purchase at: https://www.aham.org/ItemDetail?iProductCode=37002&Category=PADSTD&websiteKey=c0a5e5a1-ea1c-42f1-9b84-d62256c16ea2.

      Table II.1--Tier 1 and Tier 2 Standards Proposed by the Joint
                   Stakeholders in the Joint Proposal
------------------------------------------------------------------------
                               IEF (PM2.5 CADR/W)    IEF (PM2.5 CADR/W)
     Product description            Tier 1 *              Tier 2 **
------------------------------------------------------------------------
10 <= PM2.5 CADR < 100......                  1.69                  1.89

[[Page 60107]]

 
100 <= PM2.5 CADR < 150.....                  1.90                  2.39
PM2.5 CADR >= 150...........                  2.01                  2.91
------------------------------------------------------------------------
* Tier 1 standards would have a compliance date of December 31, 2023.
** Tier 2 standards would have a compliance date of December 31, 2025.

    After carefully considering the consensus recommendations for 
establishing energy conservation standards for air cleaners submitted 
by the Joint Stakeholders, DOE determined that these recommendations 
were in accordance with the statutory requirements of 42 U.S.C. 
6295(p)(4) for the issuance of a direct final rule and published a 
direct final rule on April 11, 2023 (``April 2023 Direct Final Rule''). 
88 FR 21752, 21760. DOE also evaluated whether the recommendation 
satisfies 42 U.S.C. 6295(o), as applicable, and found that the Joint 
Proposal recommended standard levels would result in significant energy 
savings and are technologically feasible and economically justified. 88 
FR 21752, 21753. Accordingly, the consensus-recommended efficiency 
levels for air cleaners were adopted as the new standard levels in the 
April 2023 Direct Final Rule.\5\ 88 FR 21752, 21807-21810.
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    \5\ The standard levels enacted by the April 2023 Direct Final 
Rule were rounded to the nearest tenth decimal consistent with the 
sampling plan requirements in 10 CFR 429.68. The rounding has no 
functional impact on the standards as compared to the levels 
proposed in the Joint Proposal.
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    These standards, which are expressed as an integrated energy factor 
(``IEF'') in terms of PM2.5 \6\ clean air delivery rate per 
watt (``PM2.5 CADR/W''), based on the product's measured 
PM2.5 CADR. These standards apply to all products listed in 
Table II.2 and manufactured in, or imported into, the United States 
starting on December 31, 2023, for Tier 1 standards and on December 31, 
2025, for Tier 2 standards. The April 2023 Direct Final Rule provides a 
detailed discussion of DOE's analysis of the benefits and burdens of 
the new standards pursuant to the criteria set forth in EPCA. 88 FR 
21752.
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    \6\ Section 2.8 of the industry standard AHAM AC-7-2022 defines 
PM2.5 as particulate matter with an aerodynamic diameter 
less than or equal to a nominal 2.5 micrometers as measured by a 
reference method based on 40 CFR part 50 Annex I and designated in 
accordance with 40 CFR part 53 or by an equivalent method designated 
in accordance with 40 CFR part 53.

       Table II.2--Energy Conservation Standards for Air Cleaners
    [Tier 1 compliance starting December 31, 2023; Tier 2 compliance
                       starting December 31, 2025]
------------------------------------------------------------------------
                                        IEF (PM2.5 CADR/W) \7\
                             -------------------------------------------
        Product class         Tier 1  December 31,  Tier 2  December 31,
                                      2023                  2025
------------------------------------------------------------------------
PC1: 10 <= PM2.5 CADR < 100.                   1.7                   1.9
PC2: 100 <= PM2.5 CADR < 150                   1.9                   2.4
PC3: PM2.5 CADR >= 150......                   2.0                   2.9
------------------------------------------------------------------------

    As required by EPCA, DOE also simultaneously published a NOPR 
proposing the identical standard levels contained in the April 2023 
Direct Final Rule. 88 FR 21512. DOE considered whether any comment 
received during the 110-day comment period following the direct final 
rule was sufficiently ``adverse'' as to provide a reasonable basis for 
withdrawal of the direct final rule and continuation of this rulemaking 
under the NOPR. When making a determination whether to withdraw a 
direct final rule, it is the substance, rather than the quantity, of 
comments that will ultimately determine whether a direct final rule 
will be withdrawn. To this end, DOE weighs the substance of any adverse 
comment(s) received against the anticipated benefits of the consensus 
recommendations and the likelihood that further consideration of the 
comment(s) would change the results of the rulemaking. DOE notes that 
to the extent an adverse comment had been previously raised and 
addressed in the rulemaking proceeding, such a submission will not 
typically provide a basis for withdrawal of a direct final rule.
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    \7\ These values from the Joint Proposal are rounded according 
to the sampling plan in 10 CFR 429.68. The rounding has no 
functional impact on the standards as compared to the levels in the 
Joint Proposal.
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III. Comments on the Direct Final Rule

    As discussed in section I of this document, not later than 120 days 
after publication of a direct final rule, DOE shall withdraw the direct 
final rule if (1) DOE receives one or more adverse public comments 
relating to the direct final rule or any alternative joint 
recommendation; and (2) based on the rulemaking record relating to the 
direct final rule, DOE determines that such adverse public comments or 
alternative joint recommendation may provide a reasonable basis for 
withdrawing the direct final rule. (42 U.S.C. 6295(p)(4)(C)(i))
    DOE received comments in response to the April 2023 Direct Final 
Rule from the interested parties listed in Table III.1.

[[Page 60108]]



    Table III.1--List of Commenters With Written Submissions in Response to the April 2023 Direct Final Rule
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                                                                       Comment
             Commenter(s)                      Abbreviation        number in  the          Commenter type
                                                                       docket
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SENSIRON AG...........................  SENSIRON AG..............              27  Component Manufacturer.
IQAir North America...................  IQAir....................              28  Manufacturer.
Slaughter.............................  Slaughter................              29  Individual.
Association of Home Appliance           AHAM.....................              30  Trade Association.
 Manufacturers.
ACEEE, ASAP, AHAM, CFA, NRDC..........  Joint Stakeholders.......              31  Individual Efficiency
                                                                                    Organizations, Consumer
                                                                                    Organization, and Trade
                                                                                    Association.
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    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\8\ 
The following sections discuss the substantive comments DOE received on 
the April 2023 Direct Final Rule as well as DOE's responses.
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    \8\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop 
energy conservation standards for air cleaners. (Docket No. EERE-
2021-BT-STD-0035, which is maintained at www.regulations.gov). The 
references are arranged as follows: (commenter name, comment docket 
ID number, page of that document).
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A. General Comments

    In comments submitted in response to the April 2023 Direct Final 
Rule, the Joint Stakeholders and AHAM expressed support for the 
standard levels specified in the April 2023 Direct Final Rule as well 
as the process used to develop those standards. (Joint Stakeholders, 
No. 31 at pp. 1-2; AHAM. No. 30 at p. 1) The Joint Stakeholders noted 
their appreciation for DOE's swift action in publishing the DFR and 
stated their belief that the standards are economically justified and 
technologically feasible and will achieve significant savings. (Joint 
Stakeholders, No. 31 at pp. 1-2) DOE appreciates the Joint 
Stakeholder's comments and agrees that the standards are economically 
justified and technologically feasible and will result in significant 
energy savings.
    The Joint Stakeholders urged DOE to propose and finalize reporting 
criteria for air cleaners, especially because compliance with Tier 1 
standards would be required beginning December 31, 2023. The Joint 
Stakeholders stated that manufacturers would need to know the reporting 
criteria to begin completing their compliance reporting efforts. (Joint 
Stakeholders, No. 31 at p. 2) DOE acknowledges that certification data 
will be required for air cleaners; however, DOE did not adopt 
certification or reporting requirements for air cleaners in the April 
2023 Direct Final Rule. Instead, DOE may consider proposals to 
establish certification requirements and reporting for air cleaners 
under a separate rulemaking regarding certification for covered 
products and equipment.

B. Vacuum Cleaners With Air Cleaning Functionality

    AHAM commented that vacuum cleaners with a secondary air cleaning 
function should not be included in the scope of the air cleaners 
standards or test procedure at 10 CFR part 430, subpart B, appendix FF 
(``appendix FF''). AHAM noted that there are currently vacuum cleaners 
available on the market that clean the air as a secondary function 
simultaneously with the primary vacuuming function. (AHAM, No. 30 at 
pp. 1-2) AHAM commented that the air filter function for these products 
is not an independent function of the vacuum cleaner and that the 
product is not intended to be plugged in on an ongoing basis. For these 
reasons, AHAM commented that it understands that vacuum cleaners that 
also clean the air, while vacuuming are not under the scope of this 
rule or appendix FF. (AHAM, No. 30 at p. 2) AHAM commented that such 
vacuum cleaners would not meet the proposed standards, and asserted 
that the Joint Stakeholders had not considered such products in the 
scope when developing the standards that they presented to DOE in the 
Joint Proposal. AHAM also noted that it had examined these products as 
part of the AHAM AC-7-2022 task force and these products would not be 
in the scope of the AHAM AC-7-2022 standard. (Id.) AHAM suggested that 
DOE clarify that these products are not in the scope of the air cleaner 
standards via a guidance document. AHAM additionally stated that if 
these vacuum cleaners are included under the scope, then DOE could 
amend section 2.2.2 of appendix FF to indicate that if a product has 
air cleaning as a secondary function and one of the secondary listed 
functions is a primary function as defined by the product safety 
certification listing, then the test method would not apply to such 
products. (Id.)
    Air cleaners are defined as a product for improving indoor air 
quality, other than a central air conditioner, room air conditioner, 
portable air conditioner, dehumidifier, and furnace, that is an 
electrically-powered, self-contained, mechanically encased assembly 
that contains means to remove, destroy, or deactivate particulates, VOC 
[volatile organic compounds], and/or microorganisms from the air. It 
excludes products that operate solely by means of ultraviolet light 
without a far for air circulation. 10 CFR 430.2. In the July 2022 Final 
Determination, DOE noted that the reason for explicitly stating that 
``air cleaners are a product for improving indoor air quality'' was to 
clarify that the term ``air cleaners'' does not include products that 
may provide some air cleaning as an ancillary function (e.g., a vacuum 
cleaner). 87 FR 42297, 42302. Accordingly, vacuum cleaners that provide 
air cleaning as an ancillary function do not meet the definition of an 
air cleaner.

C. Air Cleaners With Gas Filtration

    IQAir North America, Inc. together with Swiss affiliate IQAir AG 
(collectively ``IQAir''), commented that the standards established in 
the April 2023 Direct Final Rule would have a permanent negative effect 
on some of its products and would eliminate an entire class of air 
purification products. (IQAir, No. 28 at pp. 1, 5) IQAir commented that 
it makes products for gaseous and odor filtration, including filtration 
of VOCs. (Id. at pp. 1-2) IQAir asserted that gas-phase filtration 
inherently requires greater energy than simple particulate/HEPA \9\ 
filtration, and that due to the increased energy usage of gas-phase 
filtration, these products will not meet the IEF levels specified in 
the direct final rule and therefore will no longer be able to be

[[Page 60109]]

sold in the United States. (Id. at pp. 2-3) IQAir stated that its gas-
phase air cleaners have played a vital role for specific segments of 
the population, such as those effected by natural gas exposure, which 
contains toxic VOCs and odorous gases. (Id. at p. 4) IQAir stated that 
gas-phase air cleaners are critical to its product lineup and being 
unable to sell them in the United States would be devastating to its 
business operations there. (Id. at p. 5)
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    \9\ High efficiency particulate air (``HEPA'') filter is a 
pleated mechanical air filter that includes a porous filtration 
medium typically composed of randomly arranged polypropylene or 
fiberglass fibers. As air passes through the porous media, 
particulates in the air become trapped on the filter surface, 
allowing clean air to be discharged by the air cleaner.
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    IQAir stated that one of the most effective ways to filter gases 
and odors is with granular sorbent media such as activated charcoal, 
and chemisorbant pellets. IQAir noted that its gas-filtration-based 
products include a proprietary blend of activated carbon and alumina, 
impregnated with potassium permanganate. (Id. at p. 2) IQAir noted that 
of the three of its products that offer this functionality, the top 
gas-filtration model is GCX, which includes cartridge-based granular 
filters containing over 20 pounds of media. IQAir noted that all three 
of these products meet the definition of an air cleaner as specified in 
the April 2023 Direct Final Rule, would be subject to the standards 
established in that direct final rule, and would be tested in the same 
way as air cleaners that do not offer gas-phase filtration. (Id.)
    In explaining how gas-phase filtration inherently requires greater 
energy than simple particulate/HEPA filtration, IQAir stated that 
pushing air through the pre-filter and varying types and amounts of 
granular media requires electric motors of a certain power level. IQAir 
commented that its models have already achieved the best possible 
energy efficiency at given levels of gas-phase reductions, capacity, 
and price. IQAir stated that the gas-phase filtration technology 
contained in its products performs a valuable, sought-after function, 
and that standard particulate/HEPA systems are physically incapable of 
performing this same function. IQAir also stated that there is no 
feasible combination of currently available components or technology 
that could allow their air cleaners to meet the standards established 
in the April 2023 Direct Final Rule without going into a price range 
that is far out of reach of its customers. IQAir requested that DOE 
consider the importance of the entire class of gas-phase products that 
it believes will be effectively banned by the standards established in 
the April 2023 Direct Final Rule. (Id. at p. 5) IQAir also asserted 
that the large capacity of its air cleaners enables more contaminates 
to be absorbed over a longer period of time before needing filter 
replacements. (Id. at p. 4)
    DOE has conducted an extensive review of products that provide 
gaseous and odor filtration through the use of carbon filter media, 
including those models referenced in IQAir's comments. Based on this 
review, DOE has concluded that it is technologically feasible to 
implement design options to achieve higher levels of efficiency in air 
cleaners that employ the key design characteristics observed in those 
models referenced in IQAir's comments. Specifically, DOE observed that 
the HEPA-type filter included in IQAir's products is up to 6 inches 
thick and that the units have an inlet/outlet air flow design that 
restricts airflow by drawing in air over a smaller surface area 
(compared to the size of the unit) at the base of the model and only 
allows air to exit over a small surface area at the topmost section of 
the cabinet. Further, DOE observed that IQAir's products use a 
permanent split capacitor (``PSC'') fan motor, rather than more 
efficient brushless direct current (``BLDC'') fan motors that are used 
in other products. In chapter 5 of the technical support document 
(``TSD'') that accompanied the April 2023 Direct Final Rule (``2023 
Direct Final Rule TSD''), DOE noted that at efficiency level 1 (``EL 
1''), which corresponds to the Tier 1 standards established in the 
April 2023 Direct Final Rule, efficiency improvements are achievable 
through optimizing the motor-filter relationship, typically by reducing 
the restriction of airflow (and therefore, the pressure drop across the 
filter) by increasing the filter surface area, reducing filter 
thickness, and/or increasing air inlet/outlet size.\10\ These design 
options improve airflow across the unit, enabling the use of a smaller 
motor and thereby reducing power consumption. Based on a detailed 
examination of air cleaner models from IQAir, DOE notes that IQAir 
could implement these design options by altering their case design to 
accommodate a thinner HEPA filter, while increasing the size of the air 
inlet at the base of the device. These changes would allow for a 
reduction in the size of the motor, while maintaining a similar 
airflow, which would decrease the power consumption of the unit. The 
case design could also be improved by expanding the size of the air 
outlet at the top of the device, which would further improve airflow. 
Additionally, IQAir could change to the more efficient BLDC motor.
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    \10\ See section 5.5.3 of the 2023 Direct Final Rule TSD for 
more information on technology options for improving efficiency. 
Available online at www.regulations.gov/document/EERE-2021-BT-STD-0035-0024.
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    IQAir expressed concern that the standards established in the April 
2023 Direct Final Rule would eliminate an entire class of air cleaner 
products from the market. (See IQAir, No. 28 at p. 5) As discussed 
previously, DOE has reviewed the products using gas-filtration 
technology and determined that there are technology options available 
that would allow their products to meet the standards in the April 2023 
Direct Final Rule. Given that there are technology options available 
for these products, DOE does not believe that this standard would cause 
the unavailability of air cleaner products with performance 
characteristics, features, sizes, capacities, or volumes that are 
substantially the same as those of the market at the time of the 
Secretary's findings. 42 U.S.C. 6295(o)(4).
    Regarding cost, DOE's engineering analysis for the April 2023 
Direct Final Rule considered the cost impacts of implementing the 
analyzed design options into air cleaners. See section 5.5.3 of the 
April 2023 Direct Final Rule TSD. DOE notes that EPCA does not require 
it to choose the standard level with the least consumer cost, or the 
least cost to manufacturers, but only to assess those, among other, 
costs and benefits (using the 7 factors articulated at 42 U.S.C. 
6295(o)) and determine whether the burdens outweigh the benefits. 
Additionally, as discussed above, DOE has not found that this standard 
would result in the unavailability in air cleaners of performance 
characteristics, features, size, capacities, and volumes that are 
substantially the same as those on the market at the time of this 
finding. (See 42 U.S.C. 6295(o)(4)) In this case, the recommended 
standards met that standard, and DOE's analysis and conclusions would 
not change based on the comments received. Thus, DOE does not consider 
these comments to provide a basis to justify a withdrawal of this 
direct final rule under EPCA.
    IQAir asserted that gas-phase air cleaners are unfairly measured by 
the DOE test procedure, and that their unique benefit is unrecognized. 
(Id. at p. 5) IQAir stated that the standards established in the April 
2023 Direct Final Rule encompass a broad range of devices including 
gas-phase air cleaners, but that they are based on a measure of only 
particulate performance. (Id.) IQAir noted that the standards are based 
on the measurement of CADR, which describes the initial cleaning 
performance of a filter and is expressed with respect to specific types 
of pollutants (i.e., PM2.5 CADR, pollen CADR, etc.). (Id. at 
p. 3) IQAir noted

[[Page 60110]]

that while it is possible to determine CADR for gas-phase pollutants, 
it would still only measure initial air cleaning performance and would 
not account for degradation of performance over time. IQAir noted this 
is particularly relevant to gas-phase filtration, which relies on the 
capacity of granular media in order to maintain effective filtration, 
and without sufficient capacity, a granular filter might produce good 
initial gas-phase CADR and then degrade to little or no filtration. 
Therefore, IQAir stated, accurate measurement of gas-phase filtration 
must include capacity. (Id.)
    IQAir stated that the most advanced standardized testing protocol 
for consumer gas-phase filtration is China's GB/T 18801-2022, titled 
Air Cleaner, which measures both initial CADR and the amount of 
pollutant removed from the air until CADR drops to 50 percent of the 
initial value. IQAir stated that this methodology effectively measures 
the capacity of granular filters, enabling regulators and consumers to 
ensure that manufacturers do not game the system by achieving high CADR 
or high energy efficiency with unacceptable filter life. (Id.) IQAir 
suggested DOE include means of measuring gas-phase performance and 
capacity, and add a proportionate allowance in the calculation of IEF, 
which would recognize the value of gas-phase filtration and the 
practicality of implementing this technology without reducing the 
effectiveness of the air cleaner standards on non-gas-phase air 
cleaners. (Id. at p. 6)
    The Joint Stakeholders commented that it reviewed comments on the 
docket and observed a comment that suggested that certain products may 
have difficulty meeting the standards because the test procedure does 
not accurately measure the efficiency of the product. The Joint 
Stakeholders suggested test procedure waivers as a viable pathway for 
such products. (Joint Stakeholders, No. 31 at p. 2)
    As these comments pertain to the test procedure and not the 
establishment of standards, DOE does not consider these comments to 
provide a basis to justify a withdrawal of this direct final rule under 
EPCA. DOE finalized its test procedure for Air Cleaners on March 06, 
2023, noting that the air cleaner test procedure at appendix FF 
measures the PM2.5 CADR and power consumption of air 
cleaners using an established industry standard, AHAM AC-7-2022. 88 FR 
14014. DOE will consider any comments pertaining to test procedures, 
including comments suggesting additional tests for evaluating gas-
filtration of air cleaners, in a future air cleaner test procedure 
rulemaking. In response to the comments from Joint Stakeholders, DOE 
notes that any interested person may submit a petition for test 
procedure waiver upon the grounds that the basic model contains one or 
more design characteristics which either prevent testing of the basic 
model according to the prescribed test procedures or cause the 
prescribed test procedures to evaluate the basic model in a manner so 
unrepresentative of its true energy and/or water consumption 
characteristics as to provide materially inaccurate comparative data. 
10 CFR 430.27(a)(1)).

D. Automatic Mode

    SENSIRON AG commented that there is significant potential for 
energy savings by using air quality sensors for controlling the level 
of operation of the air cleaner, depending on the level of pollution in 
the indoor space where the device is used. SENSIRON AG requested that 
DOE consider the adoption of air quality sensors for operation control. 
SENSIRON AG also commented that to ensure sensors of appropriate 
quality are used, DOE should utilize sensor performance requirements as 
defined in existing healthy building standards (such as WELL \11\ and 
RESET \12\). (SENSIRON AG, No. 27 at p. 1)
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    \11\ www.wellcertified.com/.
    \12\ www.reset.build/.
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    DOE addressed public comments received regarding the use of 
automatic mode in the air cleaner test procedure final rule published 
March 6, 2023 (``March 2023 TP Final Rule''). 88 FR 14014, 14032. DOE 
noted in the March 2023 TP Final Rule that industry-accepted test 
methods for other modes, such as automatic mode or low speed mode, do 
not currently exist. Id. at 88 FR 14032. As discussed in section 
5.5.1.7 of the 2023 Direct Final Rule TSD, operation of air cleaners in 
automatic mode is not currently tested and, therefore, DOE determined 
that air quality sensors to improve automatic mode efficiency would not 
impact the efficiency levels analyzed for the direct final rule.
    While SENSIRON AG included recommended standards, DOE notes that 
these standards are applicable to the sensors that monitor air quality, 
not to the air cleaner itself. As this comment pertains to the test 
procedure and not the establishment of standards, DOE does not consider 
this comment to provide a basis to justify a withdrawal of this direct 
final rule under EPCA. DOE is participating in the AHAM task force that 
is currently developing a test method for testing air cleaners with 
automatic mode. As stated previously, DOE would consider any updates to 
the test procedure in a future test procedure rulemaking.

IV. Impact of Any Lessening of Competition

    EPCA directs DOE to consider any lessening of competition that is 
likely to result from new or amended standards. (42 U.S.C. 6295 
(p)(4)(A)(i) and (C)(i)(II); 42 U.S.C. 6295(o)(2)(B)(i)(V)) It also 
directs the Attorney General of the United States (``Attorney 
General'') to determine the impact, if any, of any lessening of 
competition likely to result from a proposed standard and to transmit 
such determination to the Secretary within 60 days of the publication 
of a proposed rule, together with an analysis of the nature and extent 
of the impact. (42 U.S.C. 6295(o)(2)(B)(i)(V) and (B)(ii)) To assist 
the Attorney General in making this determination, DOE provided the 
Department of Justice (``DOJ'') with copies of the April 2023 Direct 
Final Rule, the corresponding NOPR, and the 2023 Direct Final Rule TSD 
for review. DOE has published DOJ's comments at the end of this 
document.
    In its letter responding to DOE, DOJ concluded that based on its 
review, it does not have an evidentiary basis to conclude that the 
proposed energy conservation standards for air cleaners are likely to 
substantially lessen competition. Although the rule may limit 
consumers' ability to purchase non-compliant products, DOJ stated that 
those impacts appear to result from the rule, itself. DOJ also stated 
that it is not aware of likely impacts on competition or the 
competitive process for air cleaners that will continue to be offered. 
DOJ acknowledged comments expressing concerns regarding whether the 
proposed standard is appropriate for certain products that may have 
functionality beyond air cleaning (e.g., vacuums) or provide air 
cleaning functionality that requires additional energy consumption 
(e.g., gas phase air cleaners). DOJ stated its understanding that DOE 
has discretion to grant waivers from a test procedure in certain 
circumstances (10 CFR 430.27(f)(2)). DOJ took no positions on these 
comments and concerns, but encouraged DOE, should it grant waivers in 
other product segments, to do so in a manner that preserves 
competition.
    In response to the April 2023 Direct Final Rule, an individual 
commented that the April 2023 Direct Final Rule would not allow a free 
market. (Slaughter, No. 29 at p. 1)

[[Page 60111]]

    DOE considered any lessening of competition that would be likely to 
result from new or amended standards. Based on the DOJ review, DOE has 
determined it does not have an evidentiary basis to conclude that the 
April 2023 Direct Final Rule energy conservation standards for air 
cleaners are likely to substantially lessen competition.

V. Review Under the National Environmental Policy Act of 1969

    Pursuant to the National Environmental Policy Act of 1969 
(``NEPA''), DOE had analyzed the direct final rule in accordance with 
NEPA and DOE's NEPA implementing regulations (10 CFR part 1021). DOE 
determined that the rule qualifies for categorical exclusion under 10 
CFR part 1021, subpart D, appendix B5.1 because it is a rulemaking that 
establishes energy conservation standards for consumer products or 
industrial equipment, none of the exceptions identified in B5.1(b) 
apply, no extraordinary circumstances exist that require further 
environmental analysis, and it meets the requirements for application 
of a categorical exclusion. See 10 CFR 1021.410. Therefore, DOE 
determined that promulgation of the direct final 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.

VI. Conclusion

    In summary, based on the previous discussion, DOE has determined 
that the comments received in response to the direct final rule for new 
energy conservation standards for air cleaners do not provide a 
reasonable basis for withdrawal of the direct final rule. As a result, 
the energy conservation standards set forth in the direct final rule 
became effective on August 9, 2023. Compliance with these standards is 
required on and after December 31, 2023.

Signing Authority

    This document of the Department of Energy was signed on August 28, 
2023, by Francisco Alejandro Moreno, Acting Assistant Secretary for 
Energy Efficiency and Renewable Energy, pursuant to delegated authority 
from the Secretary of Energy. That document with the original signature 
and date is maintained by DOE. For administrative purposes only, and in 
compliance with requirements of the Office of the Federal Register, the 
undersigned DOE Federal Register Liaison Officer has been authorized to 
sign and submit the document in electronic format for publication, as 
an official document of the Department of Energy. This administrative 
process in no way alters the legal effect of this document upon 
publication in the Federal Register.

    Signed in Washington, DC, on August 28, 2023.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

Appendix

August 9, 2023

Ami Grace-Tardy
Assistant General Counsel for
Legislation, Regulation and Energy Efficiency
U.S. Department of Energy
Washington, DC 20585
[email protected]

Re: Energy Conservation Standards for Air Cleaners, DOE Docket No. 
EERE-2021-BT-STD-0035

Dear Assistant General Counsel Grace-Tardy:

    I am responding to your June 16, 2023 letter seeking the views 
of the Attorney General about the potential impact on competition of 
proposed energy conservation standards for air cleaners.
    Your request was submitted under Section 325(o)(2)(B)(i)(V) of 
the Energy Policy and Conservation Act, as amended (EPCA), 42 U.S.C. 
6295(o)(2)(B)(i)(V), which requires the Attorney General to 
determine the impact of any lessening of competition likely to 
result from proposed energy conservation standards. The Attorney 
General's responsibility for responding to requests from other 
departments about the effect of a program on competition has been 
delegated to the Assistant Attorney General for the Antitrust 
Division in 28 CFR 0.40(g). The Assistant Attorney General for the 
Antitrust Division has authorized me, as the Policy Director for the 
Antitrust Division, to provide the Antitrust Division's views 
regarding the potential impact on competition of proposed energy 
conservation standards on his behalf.
    In conducting its analysis, the Antitrust Division examines 
whether a proposed standard may lessen competition, for example, by 
substantially limiting consumer choice, by placing certain 
manufacturers at an unjustified competitive disadvantage, or by 
inducing avoidable inefficiencies in production or distribution of 
particular products. A lessening of competition could result in 
higher prices to manufacturers and consumers.
    We have reviewed the proposed standard contained in the direct 
final rule (88 FR 21752, April 11, 2023), the companion notice of 
proposed rulemaking (88 FR 21512, April 11, 2023), and the related 
technical support document. We have also reviewed public comments 
and information provided by industry participants. No Public Meeting 
was held in relation to this direct final rule.
    Based on this review, we do not have an evidentiary basis to 
conclude that the proposed energy conservation standards for air 
cleaners are likely to substantially lessen competition. Although 
the rule may limit consumers' ability to purchase non-compliant 
products, those impacts appear to result from the rule, itself. We 
are not aware of likely impacts on competition or the competitive 
process for air cleaners that will continue to be offered.
    We are aware of comments expressing concerns regarding whether 
the proposed standard is appropriate for certain products that may 
have functionality beyond air cleaning (e.g., vacuums) or provide 
air cleaning functionality that requires additional energy 
consumption (e.g., gas phase air cleaners). We understand that the 
Department of Energy (DOE) has discretion to grant waivers from a 
test procedure in certain circumstances (10 CFR 430.27(f)(2)). We 
take no positions on these comments and concerns, but encourage DOE 
should it grant waivers in other product segments to do so in a 
manner that preserves competition.
    We ask that the DOE take these concerns into account in 
determining its final energy conservation standards for air 
cleaners.

Sincerely,

David G.B. Lawrence,

Policy Director.

[FR Doc. 2023-18860 Filed 8-30-23; 8:45 am]
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