Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE NNSA Assistance to 

Foreign Atomic 

Energy 

Activities

1994-AA02 DOE issued a comprehensive 

update of regulations 

concerning Assistance to 

Foreign Atomic Energy 

Activities, making the 

regulations consistent with 

current global civil nuclear trade 

practices and nonproliferation 

norms. DOE has also initiated a 

process improvement program 

to reduce the public burden 

associated with nuclear 

technology export 

authorizations.

New The rule was published on 

Feb. 23, 2015 (80 FR 9359) 

DOE continues to develop the 

process improvement 

program. 

Yes. In the 10 CFR Part 810 rule, DOE 

delineates the process for applying for specific 

authorization from the Secretary of Energy and 

identifies the reporting requirements for 

activities subject to part 810. To streamline the 

process, however, DOE also identifies activities 

that can be ‘‘generally authorized’’ by the 

Secretary, requiring no further authorization 

under part 810. DOE also identified the need to 

improve its export authorization process and has 

begun implementing a process improvement 

program. The program is designed to provide 

for submission including documentation and 

tracking requirements. 

DOE sought public comment on the 

proposed revisions to part 810. As a result 

of the comments received, DOE issued and 

took further comment on a supplemental 

proposed rule. DOE considered all 

comments received in developing the final 

rule. DOE will continue, as part of its 

retrospective review efforts, to consider any 

additional feedback received as the rule is 

implemented. DOE has also initiated a 

process improvement program to reduce 

specific authorization processing time, and 

to create a guide to part 810 and an 

electronic application and tracking (e-810) 

system. 

As a result of the rule revisions, DOE estimates a net benefit, for 

the period 2013-2030, of $19,896,142 per year at a 7-percent 

discount rate and $19,253,076 per year at a 3-percent discount 

rate. The process improvement program is expected to reduce the 

time needed for DOE to process nuclear export authorizations and 

provide more transparency to submitters regarding process steps 

and the associated time needed to complete each step. 

DOE EE Retrospective 

Analysis of 

Costs and 

Benefits of 

Appliance 

Efficiency 

Standards

N/A DOE has conducted 

retrospective analyses of the 

costs of a number of its 

appliance efficiency standards, 

to determine if compliance costs 

were incurred by manufacturers 

as projected in the rule.

New In process Yes. This initiative will allow DOE to better 

predict the costs of manufacturer compliance 

with its efficiency standards. DOE may also 

consider retrospective analysis of the benefits of 

its appliance efficiency standards. 

As part of its retrospective review efforts, 

DOE will seek public comment, as 

appropriate, on its analyses. 

Better cost and benefit predictions could allow DOE to develop 

more cost-effective standards for manufacturers. 

DOE OE Export of 

Electricity & 

Permitting of 

Electricity 

Transmission 

Facilities at 

International 

Boundaries; 

New 

Administrative 

Procedures; 

Proposed Rule

Undetermin

ed

DOE is considering 

amendments to 10 C.F.R. Part 

205 to modernize the existing 

regulations governing (i) 

authorizations to transmit 

electric energy across 

international boundaries under 

Section 202(e) of the Federal 

Power Act (16 U.S.C. § 

824a(e)), and (ii) Presidential 

permits authorizing the 

construction, operation, 

maintenance, and connection of 

facilities for transmission of 

electric energy at international 

boundaries under Executive 

Order 10485, as amended by 

Executive Order 12038.

Ongoing In process Yes. DOE is considering lesser filing fees for 

smaller projects with a lower voltage rating. In 

addition, smaller projects would also potentially 

require less information during the application 

process.

DOE will seek public comment on the 

proposed rule and consider any comments 

received in the development of any final 

rule. 

For both electricity export authorizations and Presidential permits, 

the anticipated benefits are to streamline the application process 

and increase transparency by: (1) providing for increased 

communication between DOE staff and applicants, and (2) 

providing applicants with additional details about the project 

information necessary for a determination on an application.

Page 1
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Energy 

Conservation 

Standards for 

Battery Chargers

1904-AB57 DOE is considering energy 

conservation standards for 

battery chargers.

Ongoing In process DOE energy efficiency standards are 

performance standards that afford 

manufacturers flexibility in determining how 

best to meet the standard for their products. 

DOE published a proposed rule (77 FR 

18478, Mar. 12, 2012) and is considering 

comments on the proposal in developing any 

final standards.

Manufacturers are currently complying with California energy 

efficiency standards for battery chargers published in 2012. For 

publicly available information on standards development in 

California, see .e.g, 

http://www.energy.ca.gov/appliances/battery_chargers/. In the 

proposed rule, DOE estimated a net benefit, for the period 2013-

2042, of $128.7 million per year at a 7-percent discount rate and 

$156.6 million per year at a 3-percent discount rate. DOE will 

consider the impact of the California standards on its cost-benefit 

analysis for any final rule. 

DOE EE Consumer 

welfare and use 

of price 

forecasts made 

in applying 

learning curve 

analyses

N/A DOE seeks comment in its 

energy conservation standards 

rulemakings on how to assess 

the potential impact of energy 

conservation standards on 

consumer choice and how to 

quantify any such impact in its 

regulatory analysis.

Ongoing In progress Undetermined. DOE continues to work with OMB during 

review of its energy conservation standards 

under Executive Order 12866/13563 to 

determine how best to assess and quantify 

the potential impact of energy conservation 

standards on consumer choice.

Undetermined

DOE EE Negotiated 

Rulemaking for 

Commercial/ 

Industrial 

Pumps

1904-AC54 A working group was created 

by the Appliance Standards and 

Rulemaking Federal Advisory 

Committee (ASRAC) on June 

27, 2013, to negotiate a 

standard for commercial and 

industrial pumps. A series of 

open meetings of the working 

group were held in 2013 and 

2014.

Ongoing The proposed rule is currently 

pending EO 12866 review. 

See reginfo.gov.

Yes. DOE energy efficiency standards are 

performance standards that afford 

manufacturers flexibility in determining how 

best to meet the standard for their products.

DOE will seek comment on the proposed 

rule and consider any comments received in 

developing any final standards. 

Not yet available. The proposed rule is currently pending EO 

12866 review. See reginfo.gov.

Page 2
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

Weatherization 

Assistance 

Program (WAP) 

Evaluation

1910-5168 This information collection 

evaluated the energy savings 

and progress made with the 

weatherization of homes in 

2007-2008 and during the 

American Recovery and 

Reinvestment Act funding 

period from 2009-2011. 

Completed The evaluation is complete, 

and no further data will be 

collected under this ICR. 

Therefore, this collection will 

be discontinued.

Over 90% of the data collection effort for this 

study involved some form of electronic 

exchange, either through the use of online 

survey instruments or the transfer of utility 

billing records or other relevant household data 

via electronic mail and attached files. 

Requesting utility bills and other relevant 

household data in electronic format eased the 

reporting burden of the utilities and local 

agencies providing the information and yielded 

information in a form that was easier for the 

evaluation contractor to process. This approach 

reduced the response time required by all 

parties. 

The evaluation is complete, and DOE will 

collect no further data under this ICR.

The evaluation is complete, and DOE will collect no further data 

under this ICR.

DOE MA Procurement 

Reporting and 

Record-keeping 

Burdens

1910-4100 DOE has initiated the use of 

asset management software to 

ease the reporting of property 

inventories required by the 

Department of Energy 

Acquisition Regulation (48 CFR 

970.5245-1). The software will 

reduce burden hours on DOE 

contractors as it automates the 

inventory planning, 

reconciliation, and reporting.

Completed December 2014. See 

http://www.reginfo.gov/public

/do/DownloadNOA?requestID

=262191.

Yes. The use of asset management software 

streamlines the requirements for submitting 

information to DOE.

DOE will continue, as part of its 

retrospective review efforts, to consider any 

additional feedback received regarding the 

paperwork collection. DOE will consider 

any feedback received in its next submission 

for this information collection. 

This initiative is estimated to reduce the reporting burden by 

225,166 hours for DOE property management and operating 

contractors.

Page 3
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Energy 

Efficiency 

Conservation 

Block Grant 

Program

1910-5150 This program, established by 

the Energy Independence and 

Security Act of 2007 and 

funded by the American 

Recovery and Reinvestment 

Act, authorizes DOE to issue or 

award formula-based and 

competitive grants under the 

program to States, units of local 

government, and Indian tribes to 

create and implement strategies 

to: Reduce fossil fuel emissions 

in a manner that is 

environmentally sustainable 

and, to the maximum extent 

practicable, maximize benefits 

for local and regional 

communities;

Reduce the total energy use of 

the eligible entities; and

Improve energy efficiency in 

the building sector, the 

transportation sector, and other 

appropriate sectors.

DOE is planning to reduce the 

frequency of reporting for 

grantees from quarterly to semiannually, which would reduce 

the number of responses by 50 

percent, from 12,504 to 6,252.

Completed May 2014. See 

http://www.reginfo.gov/public

/do/DownloadNOA?requestID

=254695.

Yes. All EECBG Formula recipients and the 

11 EECBG Competitive Topic 2 recipients 

administered by the Weatherization and 

Intergovernmental Program report through the 

online database Performance and Accountability 

for Grants in Energy (PAGE). PAGE provides 

all EECBG recipients with the ability to 

electronically submit and manage grant 

performance and financial information. This 

online system allows DOE to administer the 

EECBG grants and provides all network users 

access to current program records. PAGE 

reduces data redundancy and paperwork, 

offering universal and complementary data 

collection via electronic forms that enable 

program-wide mining and analysis of data. 

DOE has provided technical assistance to tribal 

entities and has worked closely with tribal 

councils and the Bureau of Indian Affairs to 

ensure that all tribal nation recipients can 

comply. These entities have not been penalized 

for delays due to any technical difficulties they 

may have experienced.

DOE will continue, as part of its 

retrospective review efforts, to consider any 

additional feedback received regarding the 

paperwork collection. DOE will consider 

any feedback received in its next submission 

for this information collection. 

This initiative reduces the reporting burden on state, local, and 

tribal government agencies by 77,344 hours and also reduce the 

cost burden on the federal government by $ 40,680 per year.

Page 4
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Test Procedure Waiver Regulations 1904-AC70 DOE amended its waiver 

regulations at 10 CFR 430.27 

and 10 CFR 431.401 to restore 

inadvertently deleted text and 

make other improvements to the 

process for manufacturers to 

petition for a waiver from the 

applicable DOE test procedure. 

. 

Completed 79 FR 26591 (May 9, 2014). Yes. The rule provides a means for 

manufacturers with innovative products to test 

those products and distribute them in commerce 

using an alternate test method. 

DOE developed many of the provisions of 

this rule in response to comments from 

stakeholders. As part of its retrospective 

review efforts, DOE will continue to 

consider comments received on its waiver 

process and consider whether future 

amendments to its regulations are warranted 

as a result of these comments. 

In response to comments from stakeholders, DOE promulgated 

amendments to its regulations that allow manufacturers to petition 

for a waiver from the applicable DOE test procedure if their 

product or equipment cannot be tested under the DOE test 

procedure, or if testing under the DOE test procedure would 

evaluate the product or equipment in a manner unrepresentative of 

its true energy or water consumption. The cost savings of this rule 

are realized through the grant of the waiver authorizing an 

alternative test method appropriate for the product or equipment at 

issue. A waiver allows the manufacturer to demonstrate that the 

product or equipment meets the applicable energy conservation 

standard and can be distributed in commerce. 

DOE EE Alternative 

Efficiency 

Determination 

Methods and 

Alternate Rating 

Methods rule

1904-AC46 DOE revised its regulations on 

the use of alternatives to testing 

to certify compliance with 

applicable energy conservation 

standards and the reporting of 

related ratings for covered 

commercial and industrial 

equipment. 

Completed. Dec. 31, 2013, 78 FR 79579 Yes. This rulemaking provides alternative 

means to demonstrate compliance with 

efficiency standards. In addition, as part of this 

rulemaking, DOE amended the compliance 

dates for the initial certification of commercial 

HVAC, water heater, and refrigeration 

equipment.

As part of its retrospective review efforts, 

DOE will continue to consider any feedback 

on its AEDM and ARM procedures and 

determine whether any revisions to these 

regulations are warranted as a result of these 

comments. 

These regulations arose from a negotiated rulemaking effort on 

issues regarding certification of commercial heating, ventilating, 

air-conditioning (HVAC), water heating, and refrigeration 

equipment. For details on the rulemaking process, please see 

http://www.regulations.gov/#!documentDetail;D=EERE-2011-BTTP-0024-0089. 

DOE EE Energy 

Conservation 

Standards for 

Distribution 

Transformers

1904-AC04 DOE conducted a negotiated 

rulemaking to develop proposed 

standards for distribution 

transformers.

Completed. Apr. 18, 2013, 78 FR 

23335

Yes. DOE energy efficiency standards are 

performance standards that afford 

manufacturers flexibility in determining how 

best to meet the standard for their products.

DOE conducted a negotiated rulemaking to 

develop the proposed standards. DOE 

believes that the negotiated rulemaking 

process provided valuable information to 

DOE and led to energy conservation 

standards that minimize the burden on 

manufacturers and consumers of distribution 

transformers. DOE will continue to accept 

feedback from interested parties in 

determining whether to amend the standards 

for distribution transformers. 

DOE estimated a net benefit, for the period 2013-2042, of $561 

million per year at a 7-percent discount rate and $950 million per 

year at a 3-percent discount rate. 

DOE GC National Environmental Policy Act Implementing Regulations 1990-AA34 DOE finalized changes to its 

existing National Environmental 

Policy Act (NEPA) regulations.

Completed Oct. 13, 2011; 76 FR 63764 Yes. The changes, proposed primarily for the 

categorical exclusions provisions, are intended 

to better align DOE‘s categorical exclusions 

with current activities and recent experiences, 

and to update the provisions with respect to 

current technologies and regulatory 

requirements.

As part of its retrospective review efforts, 

DOE will continue to consider feedback on 

its NEPA process and determine whether 

further amendments to its NEPA regulations 

are warranted as a result of those comments. 

Changes made by this rulemaking are expected to save the 

taxpayers as much as $100 million over ten years and provide 

greater transparency to the public as to the NEPA standards that 

DOE employs in analyzing particular technologies.

Page 5
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Test Procedure 

Compliance 

Date for WalkIn Coolers and 

Freezers and 

Metal Halide

1904-AC58 DOE published a final rule to, 

among other things: (1) clarify 

the compliance date by which 

manufacturers must use 

portions of the test procedure 

published on April 15, 2011 

when certifying walk-in coolers 

and walk-in freezers; and (2) 

adopt an extension to the 

compliance date for which 

manufacturers, including 

importers, need to certify 

compliance to the Department 

of metal halide lamp ballasts 

and fixtures.

Completed Oct. 21, 2011, (76 FR 65362) Yes. This rule clarified when use of the 

amended test procedure is required to certify 

walk-in coolers and freezers. The rule also 

provided additional time before submission of 

certification reports was required metal halide 

lamp ballasts and fixtures.

This rule was developed in response to 

concerns raised by manufacturers. DOE will 

continue, as part of its retrospective review 

process, to consider feedback from interested 

parties in determining whether amendments 

to its testing and certification procedures for 

these products are warranted. 

The rule provided additional time and guidance for manufacturers 

in the certification process. 

DOE EE DOE 

Showerhead 

Enforcement 

Guidance

N/A DOE established water 

conservation standards for 

showerheads to implement the 

Energy Policy Conservation Act 

and provided this guidance to 

clarify the definition of the 

types of showerheads affected 

by the rule.

Completed Mar. 4, 2011. Guidance is 

available at: 

http://www1.eere.energy.gov/

guidance/default.aspx?pid=2

&spid=1.

DOE provided a two year enforcement grace 

period for the water conservation standards for 

showerheads to allow manufacturers to sell any 

remaining non-compliant products and to give 

manufacturers additional time to adjust their 

product designs to meet the 2.5 gpm standard.

DOE sought public comment on the 

guidance before issuance. DOE will 

continue to consider feedback on its 

guidance to determine whether changes are 

warranted.

Industry estimated a one-time $400 million reduction in 

compliance costs to manufacturers due to the two year extension 

of the enforcement grace period.

Page 6
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Energy 

Conservation 

Program: 

Certification, 

Compliance, and 

Enforcement for 

Consumer 

Products and 

Commercial and 

Industrial 

Equipment

1904-AC23 DOE established an extension 

of compliance dates for some 

commercial products subject to 

final energy efficiency 

certification and enforcement 

rule. Commercial products 

affected include: commercial 

refrigeration equipment; 

commercial heating, ventilating, 

air-conditioning (HVAC) 

equipment; commercial water 

heating equipment; and 

automatic commercial ice 

makers. Manufacturers of these 

products and equipment were 

not required to certify until 

December 31, 2012.

Completed June 30, 2011; 76 FR 38287 Yes. DOE extended compliance dates for a 

number commercial products. 

The rule was developed based on feedback 

from manufacturers. DOE will continue to 

consider information from interested parties 

in determining whether future adjustments to 

its certification and enforcement procedures 

are warranted. 

The extension of the compliance dates is particularly significant as 

industry has suggested that testing under the current rule could 

take several years to complete and undermine their research and 

development efforts. More information is available at 

http://www1.eere.energy.gov/buildings/appliance_standards/certif

ication_enforcement.html.

DOE EE Test Procedure 

for Residential 

Clothes Washers

1904-AC08 DOE published a final rule to 

amend the test procedure for 

clothes washers.

Completed Mar. 7, 2012; 77 FR 13888 Yes. The rule provides for use of the current 

industry test method already used by 

manufacturers. 

DOE solicited comment on the proposed test 

procedures before finalizing the rule. DOE 

will continue, as part of its retrospective 

review efforts, to consider feedback from 

interested parties in determining whether 

further amendments to its test procedures are 

warranted.

DOE believes that the final test procedure will reduce 

manufacturer test burden by using the most recent industry test 

method, clarifying ambiguous provisions and providing a means 

to test large-capacity clothes washers. Previously, manufacturers 

of large- capacity units had to apply for a DOE waiver to test and 

market these machines.

DOE EE Utility Billing 

information 

collection 

request (ICR)

1910-5156 DOE reduced the number of 

responses for its utility billing 

ICR 608,424 to 60, 629.

Completed Dec. 8, 2011 Yes. DOE significantly reduced the number of 

responses for this information collection, by 

approximately a factor of 10. 

DOE solicited comment on the information 

collection as part of the OMB approval 

process.

As a result in the reduction of responses for this ICR, burden 

hours for this ICR were reduced from 312,500 to 29,998. The cost 

of the ICR was also reduced from $428,000 to $37,000.

DOE EE Energy 

Conservation 

Standards for 

Residential 

Clothes Washers

1904-AB90 DOE issued a direct final rule to 

establish amended energy 

conservation standards for 

residential clothes washers and, 

after the required 110-day 

comment period, confirmed 

adoption of the standards 

established direct final rule.

Completed May 11, 2012; 

http://www1.eere.energy.gov/

buildings/appliance_standards

/pdfs/rcw_direct_final_rule_5

_14_2012.pdf; 77 FR 59719 

(Oct. 1, 2012).

Yes. DOE energy efficiency standards are 

performance standards that afford 

manufacturers flexibility in determining how 

best to meet the standard for their products.

DOE requested comment on the direct final 

rule for 110 days, as required by Energy 

Policy and Conservation Act (EPCA). DOE 

considered all comments received and 

published a notice on October 1, 2012 

affirming the direct final rule.

These standards were developed and submitted to DOE as a 

consensus agreement signed on behalf of all major manufacturers 

of these products, as well as energy advocates and consumer 

groups. DOE believes that the consensus agreement process will 

lead to standards that minimize manufacturer burden while 

reducing energy consumption and maintaining product quality for 

consumers.

Page 7
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Energy 

Conservation 

Standards for 

Residential 

Dishwashers

1904-AC64 DOE issued a direct final rule to 

establish amended energy 

conservation standards for 

residential dishwashers and, 

after the required 110-day 

comment period, confirmed 

adoption of the standards 

established direct final rule.

Completed May 11, 2012; 

http://www1.eere.energy.gov/

buildings/appliance_standards

/pdfs/dw_direct_final_rule_5_

14_2012.pdf; 77 FR 59712 

(Oct. 1, 2012).

Yes. DOE energy efficiency standards are 

performance standards that afford 

manufacturers flexibility in determining how 

best to meet the standard for their products.

DOE requested comment on the direct final 

rule for 110 days, as required by Energy 

Policy and Conservation Act (EPCA). DOE 

considered all comments received and 

published a notice on October 1, 2012 

affirming the direct final rule.

These standards were developed and submitted to DOE as a 

consensus agreement signed on behalf of all major manufacturers 

of these products, as well as energy advocates and consumer 

groups. DOE believes that the consensus agreement process will 

lead to standards that minimize manufacturer burden while 

reducing energy consumption and maintaining product quality for 

consumers.

DOE OE Reliability 

Survivability 

and Resiliency 

Project

1910-5148 The project focused on possible 

supply chain constraints and 

vulnerabilities of energy sector 

asset owners and operators. As a 

voluntary program, it required 

cooperation from participants. 

The sensitivity of the possible 

information and protection of 

that information were major 

concerns from the sector. 

Results of the pilot and the 

memorandum, “Reducing 

Reporting and Paperwork 

Burden” issued by OMB on 

June 22, 2012, were key 

elements in determining the 

need for a project assessment. 

This project was found to be 

non essential to the mission of 

this program and imposed 

unjustified burden on the 

public. As a result of these 

findings, the project is no longer 

required.

Completed The information collection 

was discontinued on 

December 18, 2012.

Yes. A pilot program was used and the 

information collection was subsequently 

discontinued.

The program involved the participation of 

energy sector asset owners and operators. 

This initiative eliminated the entire 30,000 hour reporting burden 

on the energy sector. 

Page 8
Department of Energy Retrospective Plan Update as of February 2015

Agency SubagencyTitle Of 

Initiative/Rule 

or ICR

RIN/OMB 

Control 

Number

Summary of Initiative Status of 

Initiative -- New 

to this update, 

Ongoing, or 

Completed

 Target Completion Date (if 

completed, please add the 

publication date and cite in 

Federal Register for 

example)

Does the Initiative include regulatory 

flexibilities such as pilot projects, safe harbor 

exemptions, sunset provisions, trigger 

provisions, streamlined requirements, state 

flexibilities, or other similar strategies?

What methods will you engage in to 

Identify Improvements (public comment, 

analyses, third party assessments, etc). 

Please identify all that apply

If Available, anticipated or realized savings in costs &/or 

burdens and anticipated or realized changes in benefits

DOE EE Federal Building 

Standards 

Rule–Update–90

.1-2010

1904-AC60 EPCA, as amended, requires 

DOE to update the baseline 

Federal energy efficiency 

performance standards for the 

construction of new Federal 

buildings, including commercial 

and multi-family high-rise 

residential buildings. This 

action updates the baseline 

Federal commercial standard to 

the American Society of 

Heating, Refrigerating, and AirConditioning Engineers 

(ASHRAE) Standard 90.1-

2010.

Completed July 9, 2013; 78 FR 70945 Yes. This rule is intended to establish a baseline 

energy efficiency standard for the construction 

of new Federal buildings and result in 

corresponding energy savings and emissions 

reductions. As with DOE appliance standards, 

there is flexibility in how the standard is 

achieved. 

The standards must contain energy 

efficiency measures that are technologically 

feasible, economically justified, and meet the 

energy efficiency levels in the applicable 

voluntary consensus energy codes specified 

in EPCA. DOE considered all comments and 

information received from interested parties 

in developing standards that meet these 

requirements.

Undetermined

DOE EE Waiver of RValue Door 

Requirement for 

Walk-in Cooler/ 

Freezer (WICF)

N/A DOE worked with a small 

business that otherwise might 

have been severely harmed by a 

rigid application of the existing 

statutory standard. Using a 

flexible approach facilitates 

innovation while still preserving 

DOE’s mission of increasing 

energy efficiency and reducing 

overall demand.

Completed N/A Yes. DOE developed a waiver of the R-Value 

door requirement for an affected WICF 

manufacturer. 

DOE worked with the small business 

manufacturer in developing the waiver. 

Absent the waiver, the small business would no longer be 

permitted to manufacture the subject product. As a result of the 

waiver, the small business was able to retain over 100 employees. 

Additionally, similarly situated businesses could also take 

advantage of this opportunity for requesting regulatory relief.

DOE EE Test Procedure 

for Residential 

Clothes Dryers

1904-AC63 DOE issued a final rule 

containing amended test 

procedures for clothes dryers to 

measure the energy use/energy 

savings from automatic 

termination controls.

Completed Aug. 14, 2013; 78 FR 49608 Yes. The rule would allow manufacturers of 

products with automatic termination controls to 

account for the energy savings of such controls. 

DOE adopted the rule in response to 

comments from stakeholders and will 

continue to consider feedback received on 

how best to account for the energy 

use/energy savings from automatic 

termination controls.

Undetermined

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