Source: 

Lucy deButts 

BUILDING TECHNOLOGIES PROGRAM 

March 22, 2013 

Energy Conservation Standards for Ceiling Fans and Ceiling 

Fan Light Kits: Framework Public Meeting 
2 

Welcome and Introduction 

• Introductions 

• Role of the Facilitator 

• Ground Rules (Norms) 

– Listen as an ally 

– Use short, succinct statements/keep to the point 

– Hold sidebar conversations outside the room 

– Focus on issues, not personalities 

– One person speak at a time (raise hand to be recognized; state your 

name for the record) 

– Set cell phones to silent/vibrate 

• Housekeeping Items 

• Agenda Review 

• Opening Remarks 
3 

Morning Agenda 

9:00 – 9:05 am Welcome 

9:05 – 9:20 am Introductions, Agenda Review, and Opening Remarks 

9:20 – 9:30 am Regulatory History and Rulemaking Overview 

9:30 – 9:55 am Scope of Coverage and Definitions 

9:55 – 10:40 am Test Procedures and Metrics 

10:40 – 10:55 am Break 

10:55 – 11:20 am Market &Technology Assessment, Screening Analysis 

11:20 – 11:45 am Engineering Analysis 
4 

Afternoon Agenda 

11:45 – 12:45 pm Break for Lunch 

12:45 – 1:00 pm Markups and Energy Use Analysis 

1:00 – 1:15 pm Life-Cycle Cost and Payback Period Analysis 

1:15 – 1:30 pm Shipments Analysis and National Impact Analysis 

1:30 – 1:40 pm Manufacturer Impact Analysis 

1:40 – 1:50 pm Notice of Proposed Rulemaking (NOPR) Analyses 

1:50 – 2:00 pm Questions, Comments, and Closing Remarks 
5 

• Present potential issues with the test procedures for 

Ceiling Fans (CF) and Ceiling Fan Light Kits (CFLK). 

• Present the analytical approaches to be used to 

evaluate energy conservation standards for Ceiling 

Fans and CFLKs. 

• Inform interested parties of and facilitate the 

rulemaking process. 

• Provide a forum for public discussion of rulemaking 

issues. 

• Encourage interested parties to submit data, 

information, and written comments. 

Purpose of the Public Meeting 
6 

Request for Comment 

Issue Box: Although DOE invites comment on all aspects of 

the material presented here, several specific issues on which 

DOE seeks comment are set out in comment boxes like this 

one. DOE uses these comment boxes to highlight issues and 

ask specific questions regarding the approaches DOE plans to 

follow to conduct the analyses required for the energy 

conservation standards rulemaking. 

• Issue box numbering corresponds to the list of items published in Appendix 

A of the Framework Document 
7 

Instructions for Submitting Comments 

• In all correspondence, please refer to this Residential Ceiling Fans and Ceiling Fan 

Light Kits Rulemaking by: 

– Docket # EERE-2012-BT-STD-0045, and/or RIN 1904-AC87 

• Electronic: CeilingFanLightKits2012STD0045@ee.doe.gov or www.regulations.gov 

• Postal Mail: Ms. Brenda Edwards 

 U.S. Department of Energy 

 Building Technologies Program, Mailstop EE-2J

 1000 Independence Avenue, SW. 

 Washington, D.C. 20585-0121

• Courier: Ms. Brenda Edwards, 950 L’Enfant Plaza, SW., Suite 600

• Phone: (202) 586-2945

Request for Comment 

Comment period closes April 29, 2013
8 

Opening Remarks 

Interested parties who contacted DOE to request an 

opportunity to issue an opening statement should speak 

now. 
9 

4 

2 

1 

NOPR Analyses 

Overview 

Test Procedures and Metrics 

5 Closing Remarks 

Public Meeting Outline 

3 Preliminary Analyses 
10

Overview: Regulatory History 

• The Energy Policy Act of 2005 amended the Energy Policy and Conservation Act 

of 1975 (EPCA) by adding ceiling fans and CFLKs as covered products. (42 U.S.C. 

6295(ff)) 

− “Ceiling fans” and “ceiling fan light kits,” as defined by 42 U.S.C. 6291 (49) and (50), 

must meet the energy conservation standards specified in the Code of Federal 

Regulations 10 CFR 430.32(s). 

• On October 18, 2005, DOE published a final rule technical amendment 

codifying statutorily-prescribed design standards for ceiling fans and energy 

efficiency standards for two product classes of CFLKs. 70 FR 60407, 60413. 

• On December 8, 2006, DOE published a final rule in the Federal Register for test 

procedures for ceiling fans and CFLKs. 71 FR 71340. 

• On January 11, 2007, DOE published a final rule technical amendment codifying 

energy efficiency standards for a third product class of CFLKs. 72 FR 1270. 

• DOE is initiating this energy conservation standards rulemaking pursuant to 42 

U.S.C. 6295(ff)(5) and (6) for CFLKs and ceiling fans, respectively. 

− In addition to energy conservation standards, DOE will undertake a test procedure 

rulemaking for ceiling fans and CFLKs, pursuant to 42 U.S.C. 6295(r). 
11

2013 2015 2016 2019

 Projected Energy 

Conservation Standard 

Compliance Date 

Q1 2019

2014

Overview: Rulemaking Schedule 

Milestone Date 

Standards Framework Document March 2013 

Test Procedure (TP) Notice of Proposed Rulemaking (projected) Q4 2013 

Standards Preliminary Analysis (projected) Q1 2014 

Test Procedure Final Rule (projected) Q2 2014 

Standards Notice of Proposed Rulemaking (projected) Q1 2015

Standards Final Rule (projected) Q1 2016 

Compliance Date (projected) Q1 2019 
12

• EPCA directs DOE to consider seven factors for analysis when determining 

whether a potential standard is economically justified: 

• : 

Overview: EPCA Factors 

(42 U.S.C. § 6295(o)(2)(B)(i)(I)-(VII))

EPCA Requirement Corresponding DOE Analyses 

1. Economic impact on consumers and 

manufacturers

• Life-Cycle Cost Analysis 

• Manufacturer Impact Analysis

2. Lifetime operating cost savings compared to 

increased product cost • Life-Cycle Cost Analysis

3. Total projected energy savings • National Impact Analysis 

4. Impact on utility or performance • Engineering Analysis 

• Screening Analysis

5. Impact of any lessening of competition • Manufacturer Impact Analysis

6. Need for national energy conservation • National Impact Analysis

7. Other factors the Secretary considers 

relevant

• Emissions Analysis 

• Utility Impact Analysis 

• Employment Impact Analysis
13

Scope of Coverage 

Overview: Ceiling Fans 

• EPCA defines a “ceiling fan” as "a nonportable device that is suspended from a 

ceiling for circulating air via the rotation of fan blades." (42 U.S.C. 6291(49)) 

• DOE is considering reinterpreting the definition of “ceiling fan” to incorporate 

hugger fans. 

• DOE is required to consider establishing a separate exempted product class 

for highly decorative fans for which air movement performance is a secondary 

feature. (42 U.S.C. 6295(ff)(6)(B)(ii)) 

• DOE is considering including in this rulemaking fans that do not have external 

blades, but that produce airflow with a set of internal disks or blades. 

• Statutorily-prescribed design standards will remain in place. 
14

Overview: Ceiling Fans 

• Ceiling Fan Types: 

• Regulatory Definitions Under Consideration: 

─ Hugger ceiling fan: “a ceiling fan where the average vertical distance between the 

fan blades and the ceiling is no more than [a specified number of] inches.”

─ Highly decorative fan: "a ceiling fan that circulates air via the rotation of fan blades 

at a maximum rotational speed of 50 RPM.“

─ Outdoor fan: a ceiling fan with either a wet or damp rating. 

• DOE also plans to consider regulatory definitions for “standard fan” and “multimount fan.”

DOE Ceiling Fan 

Type Functionality Market Description May 

Include...

Standard Indoor Suitable for use indoors, in rooms 

without low ceilings

Standard, indoor, extended

Hugger Suitable for use in rooms with low 

ceilings

Hugger, low-profile 

Outdoor Suitable for use in wet or damp 

environments

Outdoor, damp-rated, wetrated

Highly 

Decorative

Decorative only; air movement 

performance is not a primary feature

Decorative
15

Overview: Ceiling Fans 

Item 1: DOE seeks comments on its proposed reinterpretation of the 

“ceiling fan” definition. 

Item 2: DOE seeks comments on whether ceiling fans without external 

blades should be included in this rulemaking if they meet the definition 

of a “ceiling fan.”

Item 3: DOE seeks comments on its proposed approach for developing 

definitions for the four types of ceiling fans, the vertical distance that is 

used to characterize whether a fan can safely be used in rooms with low 

ceiling heights, and any other physical characteristics used to determine 

the different types of ceiling fans currently on the market. 

Item 4: DOE seeks comments on its proposed definition of “highly 

decorative ceiling fan.”
16

Scope of Coverage 

• 42 U.S.C. 6291 (50) 

− (50) The term “ceiling fan light kit” means equipment designed to 

provide light from a ceiling fan that can be: 

• (A) integral, such that the equipment is attached to the ceiling fan 

prior to the time of retail sale; or 

• (B) attachable, such that at the time of retail sale the equipment is 

not physically attached to the ceiling fan, but may be included 

inside the ceiling fan at the time of sale or sold separately for 

subsequent attachment to the fan. 

− Therefore, all ceiling fan light kits (CFLK) that are either built into, or 

designed to be attachable to, ceilings fans (as defined by 42 U.S.C. 

6291(49)), are covered products. 

Overview: Ceiling Fan Light Kits 
17

4 

2 

1 

NOPR Analyses 

Overview 

Test Procedures and Metrics 

5 Closing Remarks 

Public Meeting Outline 

3 Preliminary Analyses 
18

Test Procedures 

Test Procedures and Metrics 

• DOE is conducting test procedure rulemakings for ceiling fans and CFLKs. 

• When establishing or amending Federal test procedures, DOE reviews 

existing test procedures (e.g., from Federal, State, international, and 

industry sources) that are applicable for measuring the energy use or 

efficiency of the covered products. 

• Manufacturers must use the DOE test procedures to certify compliance 

with applicable energy conservation standards and to make 

representations of the energy efficiency of the covered products. 
19

Review of Test Procedures 

Test Procedures and Metrics: Ceiling Fans 

• Current DOE test procedure (10 CFR part 430, subpart B, Appendix U): 

— Version 1.1 of the ENERGY STAR test procedure for ceiling fans (71 FR 71340 (Dec. 

8, 2006)). 

• “ENERGY STAR® Testing Facility Guidance Manual: Building a Testing Facility 

and Performing the Solid State Test Method for ENERGY STAR® Qualified 

Ceiling Fans, Version 1.1 “(42 U.S.C. 6293(b)(16)(A)(i)).*

• Other ceiling fan test procedures: 

— Version 1.2 of the ENERGY STAR test procedure for ceiling fans: 

• Changes include: increased allowable tolerance for velocity sensor accuracy, 

lowered room temperature, increased fan warm-up time, more flexibility with 

ceiling material and sensor arm set up, detailed calibration is no longer 

required. 

— Canadian Standards Association's Energy Performance of Ceiling Fans Standards 

(CAN/CSA-C814-10): 

• Differences include: test set-up for hugger fans, sampling plan, standby power 

measurement, lowered room temperature and fan warm up time, some 

different test cylinder sizes, no calibration system between testing facilities. 

*with minor modifications 
20

Key Issues for Test Procedures 

• Active Mode: 

– Accuracy of velocity sensors 

• Average air velocity can vary widely at low speed, depending on sensor-arm 

position. Symmetry of test set-up suggests potential issue with accuracy of the 

velocity sensors. 

– Performance variability between ceiling fans within a specific fan model 

• Measured RPM can be inconsistent with RPM listed in the owner’s manuals or 

online. DOE is seeking feedback on whether the representations of RPM are 

based on test procedure values and whether DOE should consider a larger 

sample size to determine ceiling fan rating. 

Test Procedures and Metrics: Ceiling Fans 

Item 7: DOE requests comments on the accuracy tolerance of the velocity 

sensors for either the current DOE or current ENERGY STAR test procedures 

and potential sources of inaccuracy for low-speed airflow measurements. 

Item 8: DOE requests comments on the potential performance variability 

between ceiling fans for a specific fan model and the possibility of requiring 

a sample of ceiling fans to certify a model. 
21

Key Issues for Test Procedures, Continued...

• Active Mode: 

– Hugger fans 

• DOE is investigating potential methods of testing, e.g., with an artificial ceiling. 

– Multi-mount fans 

• DOE is considering testing multi-mount fans in the hugger fan configuration. 

– Fans having non-flat or unusually shaped blades 

• DOE is considering investigating appropriate configurations and methodologies. 

– Fans not exactly 8” smaller in diameter than an existing test cylinder

• DOE is considering: (1) allowing testing within a tolerance of the current 8” 

requirement, or (2) developing a correlation between bladespan and cylinder size. 

Test Procedures and Metrics: Ceiling Fans 

Item 9: DOE requests comments on its proposal to investigate 

methodologies (including the use of an artificial ceiling) to enable hugger 

fans to be tested. Item 10: DOE requests comments on its proposal to test 

multi-mount fans in hugger fan configuration. 

Item 12: DOE requests information on the effects of testing ceiling fans in 

cylinders having diameters other than 8 inches wider than the blade span 

and seeks comments on the potential modifications to the test procedure. 
22

Key Issues for Test Procedures, Continued...

• Active Mode: 

– Fans with multiple fan heads 

• DOE is considering testing only one fan head, with the other fan head motors 

turned off, treating the fan head like a standard single-head ceiling fan. 

– Fans where the airflow is not directed straight downwards 

• DOE is considering: (1) adjusting the fan such that the airflow is vertical, (2) 

using an adjustable mount to achieve a vertical orientation, (3) testing without 

changing the orientation of the fan, providing a conservative estimate. 

– Fans sold with combined heaters 

• DOE tentatively plans to test with heater switched off. 

– Testing in reverse direction 

• DOE anticipates fans are primarily used in forward direction, efficiency in 

forward and reverse is likely to be correlated. 

Test Procedures and Metrics: Ceiling Fans 

Item 13: DOE requests comments on its proposed approach to testing 

ceiling fans with multiple fan heads. 

Item 14: DOE requests comments on its approach to testing ceiling fans 

where the airflow is not directed vertically. 
23

Key Issues for Test Procedures, Continued...

• Active Mode: 

– Testing at multiple fan speeds 

• Current test procedure allows testing at all available speeds. DOE could test 

at one or multiple speeds, depending on representativeness. 

• Standby Mode and Off Mode: 

– Test procedure must be amended to include standby mode and off mode 

energy consumption. (42 U.S.C. 6295(gg)(1), (2)(A)) 

– Only ceiling fans with a remote control appear to have standby mode 

energy consumption, and no off mode energy consumption is 

anticipated. 

Test Procedures and Metrics: Ceiling Fans 

Item 16: DOE seeks comment on the possibility of testing at one or multiple 

fan speeds. DOE seeks input on the amount of time spent at each fan 

speed. 

Item 17: DOE seeks on how to define “high,” “medium,” and “low” speeds 

on fans with more than three speeds or variable speed controls. 
24

Efficiency Metric 

• Active Mode: 

– Airflow efficiency (airflow per unit energy consumption): cubic feet per minute 

per watt (CFM/W). 

• Standby Mode and Off Mode: 

– If technically feasible , DOE plans to incorporate standby mode power 

consumption of ceiling fans into an integrated metric that addresses overall 

energy efficiency. 

– One possible approach would be to combine the energy consumed in standby 

mode and in active mode according to the operating hours (OH) spent in each 

mode: 

 

Test Procedures and Metrics: Ceiling Fans 

Item 20: DOE requests feedback on its planned approach to use an 

integrated energy efficiency metric for ceiling fans. 
25

Current test procedures and metrics 

(10 CFR 430.32(s); 10 CFR part 430, subpart B, Appendix V) 

differ by product class 

Product Class Primary Requirement of 

Standard

Energy Efficiency Metric 

[Test Procedure]

Class 1: 

Medium screw base 

sockets

Package with ENERGY STAR 

compact fluorescent lamps, 

V 3.0, or equivalent

Lamp efficacy

(lm/W) [IES LM-66]

Class 2: 

Pin-based sockets 

(for externally ballasted 

fluorescent lamps)

Meet requirements for 

ENERGY STAR Residential 

Light Fixtures, V 4.0. 

Package with lamps in all 

sockets that meet efficacy 

requirement

Lamp efficacy

(lm/W)[IES LM-9];

outdoor fixtures may 

comply by including 

automatic daylight shutoff 

and motion sensor controls.

Class 3: 

All other CFLKs

Shall not be capable of 

operating with lamps that 

total more than 190 watts.

Wattage [none]

Test Procedures and Metrics: Ceiling Fan Light Kits 
26

DOE is considering the following changes 

Test Procedures and Metrics: Ceiling Fan Light Kits 

• Adopting a single metric—lamp efficacy—for all CFLKs. 

─ Applicable to lamp technologies packaged with or integrated into the 

CFLK. 

• Two approaches to using the metric in a standard: 

─ All packaged lamps must meet minimum efficacy requirement (simpler); 

or

─ Average efficacy of all lamps must meet the standard (flexible, indicates 

actual performance of the light kit). 

• DOE’s CFLK test procedure would reference:

─ The existing DOE test procedure for the covered lamp; or 

─ The relevant industry test procedure, for lamps with no DOE test 

procedure 

─ Incandescent (LM-45), Fluorescent (LM-66, LM-9), LED (LM-79, LM-82). 
27

• DOE is considering two approaches: 

– (1) The inseparable solid-state lighting (SSL) luminaire test procedures 

specified in the latest version of ENERGY STAR Program Requirements for 

Luminaires. 

• Luminaire testing using LM-79; and 

– (2) Photometric testing of the LED light engine. 

• Light engine testing using LM-79

Test Procedures and Metrics: Ceiling Fan Light Kits 

Test procedures for inseparable solid state lighting 

(‘integral LED lighting’)
28

• The CFLK test procedure must be amended to include standby mode and 

off mode energy consumption. (42 U.S.C. 6295(gg)(1), (2)(A)) 

• DOE assumes that: 

• CFLKs consume no power in off mode. 

• Only CFLKs with remote controllers have standby mode energy consumption. 

• If the remote controller is shared by the ceiling fan and the CFLK, DOE 

tentatively plans to account for the energy consumption under the ceiling 

fan efficiency metric and not under the CFLK metric. 

• DOE is not currently aware of any cases in which the standby mechanism 

of the ceiling fan light kit is separate from the standby mechanism for the 

ceiling fan. 

Test Procedures and Metrics: Ceiling Fan Light Kits 

Standby Mode and Off Mode Power 
29

Test Procedures and Metrics: Ceiling Fan Light Kits 

Item 23: DOE requests comments on its proposal to use luminous 

efficacy as the efficiency metric for all ceiling fan light kits. 

Item 25: DOE requests information on the existing and/or future market 

availability of ceiling fan light kits with inseparable LED lighting 

components. 

Item 27: DOE requests comment on the advantages or disadvantages of 

defining “ceiling fan light kit efficacy” as the total lamp lumens divided 

by the total input wattage. 

Item 29: DOE requests feedback on its planned approach to attribute all 

standby power to the ceiling fan if ceiling fan standby is managed by a 

controller that is shared between the light kit and the ceiling fan. 
30

4 

2 

1 

NOPR Analyses 

Overview 

Test Procedures and Metrics 

5 Closing Remarks 

Public Meeting Outline 

3 Preliminary Analyses 
31

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis 

Shipments 

Analysis 

National 

Impact 

Analysis 

Markups 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 
32

• Purpose:

– Characterize the ceiling fans and CFLKs markets and the measures to improve 

efficiency. 

• Method: 

– Identify and characterize manufacturers of residential ceiling fans and CFLKs. 

– Estimate shipments and trends in the market. 

– Identify technologies that could improve efficiency. 

Market & Technology 
33

Product Classes 

Market & Technology: Ceiling Fans 

• Currently: only one product class. 

• Pursuant to EPCA, DOE establishes different product classes by: (1) type of 

energy used; (2) capacity of the product; or (3) any other performancerelated features that require different standard levels, such as features 

affecting consumer utility. (42 U.S.C. 6295(q))

• DOE is considering the following ceiling fan product classes: 

– Indoor ceiling fans 

• Bulk of the market. 

– Hugger ceiling fans 

• Suitable for use in rooms that have low ceilings. 

– Highly decorative ceiling fans 

• Air movement performance is a secondary feature. 

– Outdoor ceiling fans 

• Suitable for wet or damp conditions. 
34

Technology Options to Improve Efficiency 

Market & Technology: Ceiling Fans 

More-Efficient Blades 

• Fans with Fewer Blades 

• Twisted Blades 

• Airfoil Blades 

• Blade Attachments 

• Alternative Blade Materials 

Ceiling Fan Controls

• Occupancy Sensors 

More-Efficient Motors 

• More-Efficient Direct-Drive Single-Phase Induction Motors 

• Geared Single-Phase Induction Motors 

• Brushless Direct Current (DC) Motors 

• Three-Phase Induction Motors 
35

Market & Technology: Ceiling Fans 

Item 33: DOE welcomes comments on whether it should establish a 

separate product class for hugger fans. 

Item 34: DOE welcomes comments on whether it should establish a 

separate product class for “highly decorative fans” for which air 

movement performance is a secondary feature. 

Item 35: DOE seeks input on whether the differences between the 

construction of outdoor and indoor ceiling fans warrants establishing a 

separate product class for outdoor ceiling fans. 
36

 There are currently 3 products classes 

Product Class

Class 1: 

Medium screw base sockets

Class 2: 

Pin-based sockets 

(for externally ballasted fluorescent lamps)

Class 3: 

All other CFLKs 

Market & Technology: Ceiling Fan Light Kits 

Product Classes 

(10 CFR 430.32(s); 10 CFR part 430, subpart B, Appendix V, section 4) 
37

Types of Ceiling Fan Light Kits on the Market 

• Characterized by: 

– Light source type 

• Incandescent / Halogen 

• Compact fluorescent 

• LED 

– Socket type 

• Screw base (medium, intermediate, candelabra, mini candelabra) 

• Pin-based for externally ballasted lamps (2GX13, G10Q, G24Q-1, GX-23)

• Bayonet-type connectors for internally ballasted lamps (GU-10, GU-24)

• Non-socket (non-replaceable lamps, i.e., integrated LED) 

– Dimming controls 

• Packaged with 

• Integrated into 

Market & Technology: Ceiling Fan Light Kits 
38

• Product Classes: 

– Pursuant to EPCA, DOE establishes different product classes by: (1) 

type of energy used; (2) capacity of the product; or (3) any other 

performance-related features that require different standard levels, 

such as features affecting consumer utility. (42 U.S.C. 6295(q)) 

– DOE is considering combining or restructuring CFLK product classes 

• Technology Options: 

– DOE plans to consider more-efficient light source types (e.g., halogen, 

fluorescent, LEDs).

• DOE plans to take into account that certain socket types can 

restrict the light source type to more-efficient technologies. 

Market & Technology: Ceiling Fan Light Kits 
39

Market and Technology: Ceiling Fan Light Kits 

Item 37: DOE requests feedback on the possibility of combining or 

restructuring product classes for ceiling fan light kits, specifically on (i) 

significant consumer utility differences among ceiling fan light kits,(ii) 

which products should be combined, and (iii) what issues should be 

considered. 
40

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis 

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
41

• Purpose: 

─ Screen out technology options that DOE will not consider in the engineering 

analysis for ceiling fans and CFLKs. 

• Method: 

─ DOE will evaluate each technology option based on the following criteria: 

• Technological feasibility; 

• Practicability to manufacture, install, and service; 

• Adverse impacts on product utility or available to consumers; and 

• Adverse impact on health and safety. 

Screening Analysis 
42

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
43

• Purpose: 

– To determine the relationship between manufacturer selling price (MSP) and 

efficiency. 

• DOE may determine an appropriate subset of product classes to analyze 

(representative product classes). 

– DOE may extrapolate analysis results to the remaining product classes. 

• For each representative product class, DOE may analyze a subset of 

representative units at selected fan sizes (i.e., blade spans). 

• Once DOE has identified cost-efficiency relationships at those selected sizes, 

it is considering scaling the results to cover the full range of blade spans, 

which could result in a standard in the form of an equation that is a function 

of size. 

Overview 

Engineering Analysis: Ceiling Fans 
44

 Choose representative product classes and fan sizes to be analyzed. 

 Select baseline efficiency level based on common features and 

bottom-of-market efficiency. 

 For each representative product class and size, identify the 

efficiency and cost of more efficient units based on design option 

modeling, product testing, and teardowns. Identify the maximum 

technologically feasible (max-tech) level for each representative 

class/size. 

 Develop efficiency levels that range from the baseline to max-tech. 

 The result of the engineering analysis will be a set of priceefficiency curves (MSP vs. efficiency) for each product class and fan 

size analyzed. 

Choose 

Representative 

Product Classes and 

Sizes 

Select Baseline 

Efficiency Levels 

Identify Higher 

Efficiency 

Units 

Develop 

Efficiency Levels for 

Analysis 

Determine Cost 

Efficiency 

Relationship 

Engineering Analysis: Ceiling Fans 
45

• Design option technologies: 

– The design options that DOE is tentatively considering include: more 

efficient alternating current (AC) motors, brushless DC (BLDC) motors, 

different fan blade shapes and materials, and different numbers of blades. 

• Manufacturer selling price (MSP) is based on the cost of the 

motor, fan blades, and other hardware times the manufacturer 

markup. 

– Component costs will be determined using reverse-engineering (product 

teardowns) and manufacturer feedback (engineering interviews). 

– The industry-wide manufacturer markup will be determined based on 

publicly available financial sources (e.g. SEC 10-K’s) and manufacturer 

feedback. 

Engineering Analysis: Ceiling Fans 
46

• DOE plans to consider more efficient lighting technologies when 

identifying higher efficiency levels (e.g. incandescent, compact 

fluorescent, light-emitting diode [LED] light sources).

• DOE is considering the following to develop a cost-efficiency 

relationship: 

– The cost of the ceiling fan light kit includes the cost of the lamp as well 

as the cost of any other components of the light kit. 

– DOE does not believe that changing the lamp type will add to the cost of 

the remaining light kit components. 

– Therefore, to isolate efficiency-related cost, DOE is considering only 

including the cost of the lamp (and any lamp-specific parts as necessary) 

in its analysis. 

 Engineering Analysis: Ceiling Fan Light Kits 
47

Engineering Analysis 

Item 47: DOE seeks comments on its proposed methods for 

determining costs associated with incremental efficiency improvements 

in both ceiling fans and ceiling fan light kits. 

Item 48: DOE welcomes comments on how ceiling fan efficiency varies 

with airflow capacity, motor type, blade span, number and design of 

blades, or any other parameter. DOE also seeks comments on how 

ceiling fan light kit efficiency varies with bulb type, number of bulbs, or 

any other parameter. 
48

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis 

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
49

• Purpose: 

– Develop markups to relate MSPs to end-user prices of products.

• Method: 

– Identify distribution channels and estimate share of each channel in the 

aggregate sales volume. 

– Estimate markups for each step along the distribution chain. 

• Distribution Channels: 

– Home Improvement Retailer Distribution Channel 

– Electrical Wholesaler (Distributor) Distribution Channel 

Markups Analysis 

Manufacturer

Home

Improvement

Retailer

Consumer Manufacturer

Electrical

Wholesaler

(Distributor)

Contractor Consumer
50

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
51

• Purpose: 

– Identify how ceiling fans and CFLKs are operated by users and determine the 

energy savings potential of more-efficient designs in the field. 

– Estimate annual energy consumption for baseline and higher-efficiency designs. 

• Method: 

– Obtain data to develop a distribution of operating hours for ceiling fans and 

CFLKs by region (e.g., Census Division). Data sources include for example: 

• Ceiling Fans: 

– Usage studies, regional residential utility monitoring studies, Energy 

Information Administration’s (EIA) Residential Energy Consumption 

Surveys (RECS) 

• CFLKs: 

– DOE’s 2012 Residential Lighting End-Use Consumption Study, 

DOE’s 2010 U.S. Lighting Market Characterization, EIA’s 2009 RECS . 

– Use product input power rating developed in engineering analysis. 

– Multiply product input power rating by annual operating hours. 

Energy Use Analysis 
52

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
53

• Purpose: 

– Assess life-cycle cost (LCC) impacts of different efficiency levels on the 

consumer. The LCC reflects the total cost of an appliance over its lifetime. 

– Assess the Payback Period (PBP), which is the amount of time required for 

energy cost savings to pay back any increased cost of a higher-efficiency 

product. 

• Method: 

– Economic evaluation from the consumer perspective. 

– LCC equals consumer price plus the sum of annual operating costs (including 

repair and maintenance costs) discounted to a particular base year. 

– Results are expressed as LCC difference (base case minus higher efficiency 

level). 

Life-Cycle Cost and Payback Period Analysis 
54

Approach 

• For each of the representative units in each product class: 

– Develop ceiling fan and CFLK selection process to reflect product choices by 

customers. 

– Develop distribution of product efficiencies expected for the compliance year. 

– Aggregate the annual energy consumption over a products lifetime. 

– Model uncertainty and variability in the inputs using a Monte Carlo simulation 

method that samples probability distributions. 

• Installation Costs 

– For ceiling fans and CFLKs, DOE expects installation costs to be independent of 

efficiency improvements; accordingly, such costs will be excluded from the LCC 

analysis. 

• Energy Prices 

– DOE will use the latest version of EIA’s Annual Energy Outlook to estimate future 

energy prices. 

• Maintenance & Repair Costs 

– DOE will consider maintenance and repair costs and plans to determine whether 

such costs change with increased efficiency. 

Life-Cycle Cost and Payback Period Analysis 
55

Approach 

• Product Lifetime 

– DOE will estimate the product lifetime of ceiling fans using data from 

Appliance Magazine, expert opinions, and other relevant sources. 

– DOE anticipates ceiling fan lifetime to vary significantly depending on usage. 

– DOE plans to correlate CFLK lifetime with ceiling fan lifetime (i.e., equal 

lifetimes). 

• Energy savings depend on lifetime of packaged lamp and substitutable 

lamps. 

– For calculating energy savings, the relevant lifetime will be the lesser of the 

light kit lifetime and the ceiling fan lifetime. 

Life-Cycle Cost and Payback Period Analysis 

Item 61: DOE welcomes comments on appropriate lifetimes for both 

ceiling fans and ceiling fan light kits covered in this rulemaking. DOE is 

particularly interested in regional lifetime data and data on the 

relationship between ceiling fan usage and ceiling fan life expectancy. 
56

Approach 

• Discount Rates 

– DOE will derive the discount rates for residential users of ceiling fans and 

CFLKs by estimating the financial costs to consumers that purchase residential 

products generally. 

• Base-Case Efficiency 

– Used to characterize the ceiling fan and ceiling fan light kit market in the 

compliance year in the absence of DOE energy conservation standards. 

– If market share efficiency data are not available, DOE may develop efficiency 

distributions based on available models and information from ceiling fan 

manufacturers and experts. 

Life-Cycle Cost and Payback Period Analysis 
57

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
58

• Purpose: 

– Project future shipments by product class to calculate national impacts of 

adopting an energy efficiency standard. 

• Approach: 

– DOE typically projects shipments over a 30-year period beginning on the 

expected compliance date of the standard. 

– DOE will estimate the stock and shipments of ceiling fans and CFLKs based on 

existing data, including: 

• EIA’s RECS; and

• ENERGY STAR (Unit Shipments and Sales Data Archives). 

– DOE plans to use an economic model to project shipments in the standards 

case, as compared to the base case. 

• Based on observed and projected technology price trends. 

• Modeled CFLK shipments will depend on ceiling fan shipments. 

Shipments Analysis 
59

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
60

• Purpose: 

– Determine the projected national energy savings (NES) and consumer national 

net present value (NPV) associated with potential energy conservation 

standards. 

• Method: 

– Develop annual series of national energy and economic impacts. 

– Utilize the shipments model to estimate stock each year. 

– Utilize the LCC to develop input about total installed cost and energy use per 

unit in any year. 

– Aggregate the costs and energy use for all years in the analysis period. 

– Report NES in terms of primary and full-fuel-cycle savings. 

– Report change in national customer NPV (in constant year dollars).

– Account for the time-value of money though defined discount rates. 

National Impact Analysis 
61

Preliminary Analyses 

Framework

Document

Preliminary 

Analyses 

NOPR Final

Rule

Effective

Date

Market & 

Technology 

Screening 

Analysis 

Engineering 

Analysis 

Energy Use 

Analysis

Shipments 

Analysis 

National 

Impact 

Analysis 

Life-Cycle 

Cost and 

Payback 

Period Analysis 

Preliminary 

Manufacturer 

Impact 

Analysis 

Markups 

Analysis 
62

• Purpose 

– To assess the economic impacts of potential energy conservation 

standards on manufacturers; 

– To identify and estimate impacts on manufacturer subgroups that 

may be more severely affected than the industry as a whole; and 

– To examine the direct employment impacts, manufacturing capacity, 

and the cumulative regulatory impact on the manufacturing industry. 

• Methodology 

– Analyze industry cash flow and industry net present value through 

use of the Government Regulatory Impact Model (GRIM); and 

– Interview manufacturers to refine inputs to the GRIM, develop 

subgroup analyses, and address qualitative issues. 

Preliminary Manufacturer Impact Analysis
63

Industry 

profile 

Develop 

strawman 

GRIM 

Develop 

interview 

guide 

 Interviews & 

industrywide/ 

subgroup 

analyses 

Assess direct 

employment, 

manufacturing 

capacity, and 

cumulative 

burden 

Finalize 

MIA 

results 

for 

NOPR 

Phase 1 Phase 2 Phase 3 

Preliminary Manufacturer Impact Analysis

Overview 

Item 70: DOE welcomes comments on what other existing regulations 

or pending regulations it should consider in its examination of 

cumulative regulatory burden. 
64

4 

2 

1 

NOPR Analyses 

Overview 

Test Procedures and Metrics 

5 Closing Remarks 

Public Meeting Outline 

3 Preliminary Analyses 
65

Manufacturer 

 Impact 

 Analysis 

Utility 

 Impact 

Analysis 

Employment 

 Impact 

 Analysis 

Consumer 

Subgroup 

Analysis 

Revise 

Preliminary 

Analysis 

Emissions 

 Analysis and 

Monetization 

Regulatory 

 Impact 

Analysis 

Engineering 

Analysis 

Life-Cycle 

Cost & 

Payback 

Period 

Analysis 

National 

 Impact 

Analysis 

Framework

Document

Preliminary 

Analyses 

NOPR 

Analyses

Final

Rule

Effective

Date

NOPR Analyses 
66

• Purpose: 

– Analyze the economic impacts of standards on consumers, including 

subgroups who may be disproportionately impacted compared with the 

general user population 

• A subgroup comprises a subset of the population likely to be disaffected 

disproportionately by new or revised energy conservation standards 

• Method: 

– Extend the LCC analysis to examine the impacts for defined subgroups 

– DOE will use inputs specific to each of the considered consumer subgroups 

Customer Subgroup Analysis 

Item 68: DOE welcomes input from interested parties regarding which, 

if any, consumer subgroups should be considered when developing 

potential energy conservation standards for ceiling fans and ceiling fan 

light kits. 
67

Manufacturer 

 Impact 

 Analysis 

Utility 

 Impact 

Analysis 

Employment 

 Impact 

 Analysis 

Consumer 

Subgroup 

Analysis 

Revise 

Preliminary 

Analysis 

Emissions 

 Analysis and 

Monetization 

Regulatory 

 Impact 

Analysis 

Engineering 

Analysis 

Life-Cycle 

Cost & 

Payback 

Period 

Analysis 

National 

 Impact 

Analysis 

Framework

Document

Preliminary 

Analyses 

NOPR 

Analyses

Final

Rule

Effective

Date

NOPR Analyses 
68

• Purpose: 

– Estimate environmental impacts from potential energy conservation standards 

for ceiling fans and ceiling fan light kits including changes in Full Fuel Cycle 

(FFC) emissions 

• Method: 

– DOE will base the emission factors for FFC on EIA’s Annual Energy Outlook, 

supplemented by data from other sources. The following emissions are 

assessed: Carbon dioxide (CO2), Sulfur dioxide (SO2), Nitrogen oxides (NOx), 

Methane (CH4), Nitrous Oxide (N2O), Mercury (Hg) 

Emissions Analysis 

Item 71: DOE seeks input on its approach to conduct the emissions 

analysis for the products covered by this rulemaking. 
69

• DOE intends to use the most current Social Cost of Carbon (SCC) values 

developed by interagency reviews 

– SCC is intended to be a monetary measure of the incremental damage 

resulting from greenhouse gas (GHG) emissions, including but not limited to 

agricultural productivity loss, human health effects, property damage from 

rising sea level, and changes in the ecosystem 

• At present, the most recent interagency estimates of the potential global 

benefits resulting from reduced CO2 emissions in 2015, expressed in 

2011$, were $6.1, $25.4, $41.0, and $77.7 per metric ton avoided 

– For emission reductions that occur in later years, these values grow in real 

terms over time 

• DOE will also estimate the potential monetary benefit of reduced NOx

emissions resulting from the considered standard levels 

Monetization of Emission Reductions 

Item 72: DOE requests comments on the approach it plans to use for 

estimating monetary values associated with emissions reductions. 
70

Manufacturer 

 Impact 

 Analysis 

Utility 

 Impact 

Analysis 

Employment 

 Impact 

 Analysis 

Consumer 

Subgroup 

Analysis 

Revise 

Preliminary 

Analysis 

Emissions 

 Analysis and 

Monetization 

Regulatory 

 Impact 

Analysis 

Engineering 

Analysis 

Life-Cycle 

Cost & 

Payback 

Period 

Analysis 

National 

 Impact 

Analysis 

Framework

Document

Preliminary 

Analyses 

NOPR 

Analyses

Final

Rule

Effective

Date

NOPR Analyses 
71

• Purpose: 

– Assess key impacts on the electric utility sector from potential energy 

conservation standards. 

• Method: 

– DOE plans to use factors derived from NEMS-BT, a variant of the NEMS 

(National Energy Modeling System) developed and used by DOE/EIA for their 

Annual Energy Outlook (AEO) report, as the basis of the Utility Impact Analysis. 

– Outputs of the utility impact analysis include projections of electricity sales, 

price, generation, and capacity in the base and standards cases. 

Utility Impact Analysis 

Item 73: DOE welcomes input from stakeholders on its proposed 

approach to conduct the utility impact analysis. 
72

Manufacturer 

 Impact 

 Analysis 

Utility 

 Impact 

Analysis 

Employment 

 Impact 

 Analysis 

Consumer 

Subgroup 

Analysis 

Revise 

Preliminary 

Analysis 

Emissions 

 Analysis and 

Monetization 

Regulatory 

 Impact 

Analysis 

Engineering 

Analysis 

Life-Cycle 

Cost & 

Payback 

Period 

Analysis 

National 

 Impact 

Analysis 

Framework

Document

Preliminary 

Analyses 

NOPR 

Analyses

Final

Rule

Effective

Date

NOPR Analyses 
73

• Purpose: 

– Assess the overall impact on national employment from potential efficiency 

standards 

• Method: 

– Include both direct and indirect employment impacts 

• Direct employment impacts are estimated in the manufacturer impact 

analysis 

• Indirect employment impacts result from shifting consumer expenditures 

among goods and services ( “substitution effect”) and changing 

equipment and energy costs (“income effect”)

– DOE intends to use the ImSET (Impact of Sector Energy Technologies) model 

for the evaluation of indirect employment impacts 

Employment Impact Analysis 

Item 74: DOE welcomes feedback on its proposed approach to assessing 

national employment impacts. 
74

Manufacturer 

 Impact 

 Analysis 

Utility 

 Impact 

Analysis 

Employment 

 Impact 

 Analysis 

Consumer 

Subgroup 

Analysis 

Revise 

Preliminary 

Analysis 

Emissions 

 Analysis and 

Monetization 

Regulatory 

 Impact 

Analysis 

Engineering 

Analysis 

Life-Cycle 

Cost & 

Payback 

Period 

Analysis 

National 

 Impact 

Analysis 

Framework

Document

Preliminary 

Analyses 

NOPR 

Analyses

Final

Rule

Effective

Date

NOPR Analyses 
75

• Purpose: 

– Explore the potential for non-regulatory alternatives to new energy efficiency 

standards 

• Method: 

– Base the assessment on the actual impacts of any such initiatives to date, but 

consider information presented regarding the impacts that any existing 

initiative might have in the future 

Regulatory Impact Analysis 

Item 75: DOE requests any available data or reports that would 

contribute to the Regulatory Impact Analysis for ceiling fans and ceiling 

fan light kits covered in this rulemaking. In particular, DOE seeks 

information on the effectiveness of existing or past programs for these 

products that are similar to the policies noted above. 
76

4 

2 

1 

NOPR Analyses 

Overview 

Test Procedures and Metrics 

5 Closing Remarks 

Public Meeting Outline 

3 Preliminary Analyses 
77

How to Submit Written Comments 

In all correspondence, please refer to the Residential Ceiling Fans and Ceiling Fan Light Kits 

rulemaking by: 

• Framework Document for Residential Ceiling Fans and Ceiling Fan Light Kits 

• Docket Number: EERE-2012-BT-STD-0045

• Regulatory Identification Number (RIN): 1904-AC87 

Electronic: CeilingFanLightKits2012STD0045@ee.doe.gov or www.regulations.gov 

Postal Mail: Ms. Brenda Edwards 

 U.S. Department of Energy 

 Building Technologies Program, Mailstop EE-2J

 1000 Independence Avenue, SW 

 Washington, DC 20585-0121

Courier: Ms. Brenda Edwards 

U.S. Department of Energy 

Building Technologies Program 

Sixth Floor, 950 L’Enfant Plaza, SW

Washington, DC 20024 

 Telephone: (202) 586-2945

Comment period closes: April 29, 2013 

Closing Remarks