## Process Improvement Plan for Appliance Efficiency Standards

March 19®0, 1996 U.S. Department ' of Energy 1000 Independence Avenue, SW Washington, DC 20585 

## Process ImprovementPlan for

.Appliance EfficiencyStandards

March 19-20, 1996 

### u.s. Departmentof Energy 1000 Independence Avenue, SW Washington, DC 20585

DOE/EI-031596-01

# Major Objectives

Increase Participation of Stakeholders Reduce Uncertainty of Process Improve Impact Analyses 

### Consider Alternatives to Standards 

## Major Objectives Increase Participation of Stakeholders Reduce Uncertainty of Process Improve Impact Analyses Consider Alternatives to Standards

OOE/E1-031596-04

# Increase Participation of Stakeholders

n Early participation in -setting priorities - structuring analysis design options analysis model(s) 

### n Use of technical experts n Peer review -sharing the analysis prior to its publication/adoption by DOE 

## Increase Participation ofStakeholders • Early participation in

- setting priorities

- structuring analysis**~** design options**~** analysis model{s) 

### • Use oftechnical experts • Peer review

- sharing the analysis priorto its 'publication/adoption by DOE

OOE/E1-031596-05

## Reduce Uncertainty of Process n Set clear priorities and initiate standards development process for only priority products Screen out impractical or problematic design options earlier n Use Advance Notice of Proposed Rulemaking to provide results of screening analysis and to identify candidate standard levels under serious consideration 

## Reduce Uncertainty of Process • Set clear priorities and initiate standards development process for only priority products • Scre,en out impractical or problematic design options earlier • Use Advance Notice of Proposed Rulemaking to provide results of screening analysis and to identify candidate standard levels under serious consideration

OOE/E1-031596-06'

## Improve Impact Analyses n Initiate cooperative effort to - improve analysis of impacts on manufacturers - make other improvements to key analysis methods 

### n Improve contractor expertise and increase peer review n Broaden the scope of analysis - consider variability of impacts 

### - recognize limits of quantitative analyses 

## Improve Impact Analyses •**Initiat~** 

### cooperative effort to

- improve analysis of impacts on manufacturers

- make other improvements to key analysis methods 

### • Improve contractor expertise and increas'e peer • 

### review • Broaden the scope of analysis

- consider variability of impacts

- recognize limits ofquantitative analyses

DOE/EI-031596-07

## Consider Alternatives to Standards n Voluntary efforts to increase efficiency may achieve comparable results without regulation n Market forces may be sufficient for some products 

## Consider Alternatives to Standards
• Voluntary efforts to increase efficiency may achieve comparable results without regulation • Market forces may be sufficient for some products

DOE/EI-031596-08Std Process Priority Setting Screening Impact Standard Setting Regulatory Agenda
ANOPR Proposed Standards Final Rule DOE/EI-031596-09 Publication Stage Priority Setting Screening Impact Standard Setting Process Publication Regulatory Agenda ANOPR Proposed Standards Final Rule

OOE/E1-031596-09

## Process. Evolution

Current Process New Process 

## Process. Evolut'ion

Current Process I I New 

### Process

DOE/EI-031596-10Stage Process Priority Setting Screening Impact Standard. Setting 

### 111111 1 rmm nr,nf+

11111111111111 Il^p 'iigp^

Iloilo Public Comments>u^ 

### J

FMJ

Final Analysisa Publication Regulatory Agenda
ANOPR Proposed Standards Final Rule DOE/EI-031596-11 Stage Priority Setting Screening Impact Standard - Setting Stakeholder & Expert Review
Public Comments
Public Comments Process Publication Regulatory Agenda ANOPR Proposed Standards Final Rule

DOE/EI-031596-11Staae Process Priority Setting Draft

Agenda IIIIII!'l;I



# 1 5 Publication Regulatory Agenda 0 Screening 

### Impact Standard Setting Final Rule
DOE/El-031596-12 Proposed Standards Stage Priority Setting Screening Impact. Standard Setting Process Publication Regulatory Agenda ANOPR ,Proposed Standards Final Rule

DOE/EI-031596-12Priority Setting 9 Draft

Agenda Regulatory Agenda 

### The Draft Agenda is a priority list of product standards to be developed n The Draft Agenda will include input from -stakeholders -DOE analyses Priority Setting**_~~** Regulatory Agenda 

### • The Draft Agenda is a priority list of product standards to be developed • The Draft Agenda will include inputfrom

- stakeholders

- DOE analyses

DOE/EI-031596-J3Priority Setting Draft

Agenda I ff ,1^11111111^111111111 ntl I Regulatory

Agenda 

### n DOE will meet with stakeholders to obtain comments on - the priorities -the underlying assumptions -the analysis Priority Setting Draft Agenda Regulatory Agenda 

### • DOE will meet with stakeholders to obtain comments on
- the priorities

- the underlying assumptions

- the 'analysis

DOE/EI-031596-14Draft

Agenda Stakeholder Review Regulatory Agenda 

### n DOE will publish rulemaking schedules for priority products in the Regulatory Agenda Priority Setting Draft Agenda Regulatory Agenda 

### • DOE will publish rulemaking schedules for priority products in the Regulatory Agenda

DOE/EI-031596-15Stage Process Priority Setting
Impact Standard Setting Stakeholder &

Expert Review IMM I 

## r Publication

01 ANOPR Proposed Standards Final Rule DOE/Fl-031596-16 Stage Priority Setting Screening Impact Standard. Setting Stakeholder & Expert Review Process Publication Regulatory Agenda ANOPR Proposed Standards Final Rule

ODElE1-031596-16.Terminate ANOPR 

### n DOE will meet with stakeholders to obtain input regarding -how the analysis should be structured -which design options should be considered - what expertise may be needed Screening Screening Analysis Terminate



### • DOE will meet with stakeholders to obtain input regarding

- howthe analysis should be structured ANOPR

- which design options should be considered

- what expertise may be needed

OOE/E1-031596-17Screening Screening Analysis 

### n The screening analysis will consist of -engineering analysis -life-cycle cost and payback analyses -energy forecast analysis -national net present value analysis 

### n The screening analysis will be conducted by technical experts and will be peer reviewed Screening Stakeholder & Expert Review ANOPR • The screening analysis will consist of

.- engineering analysis

-life-cycle cost and payback analyses
- energy forecast analysis

- national net present value analysis • The screening analysis will be conducted by technical experts and will be peer reviewed

DOE/EI-031596-18II Screening Stakeholder & Expert Review Screening Analysis ANOPR 

### n DOE will review the results of the screening analysis and make a decision on whether to terminate the rulemaking n The screening analysis will be used to narrow the range of design options considered n The ANOPR will include results of the screening analysis .and will be accompanied by a Technical Support Document

DOE/El-031596-19 Screening Stakeholder & Expert Review**---~~** Screening Analysis 

### • DOE will review the results ofthe screening analysis and make a decision on whether to terminate the rulemaking ANOPR



### • The screening analysis will be used to narrowthe

_range of design options considered • The ANOPR will include results ofthe screening analysis and will be accompanied by a Technical Support Document

DOErE1-031596-19Stakeholder & Expert Review III ANOPR 

### Revised Test Procedures n During the screening process, DOE will decide whether test procedures need to be revised n DOE will issue the revised test procedures, if needed , PtIQt to proceeding with the development of proposed standards )creening**-----I~~** Screening Analysis ANOPR Revised Test Procedures • During the screening process, 

### DOE will' decide whether test procedures need to be revised 

### • DOE will issue the revised test procedures, if needed, prior to proceeding with the

.development of proposed standards

DOE/EI-031596-20Staae Process Priority Setting Screening Impact Standard Setting a a Public Comments Impact Analysis Final Rule DOE/EI-031596-21 Publication Regulatory Agenda Stage Priority Setting Screening Impact Standard - Setting Public Comments Process Publication Regulatory Agenda ANOPR Proposed Standards Final Rule

DOE/EI-031596-21Impact Stakeholder Negotiations Impact

Analysis Proposed Standards 

### n DOE will obtain public comments on the ANOPR 

### DOE will obtain stakeholder and expert review of the analysis contained in the Technical Support Document Impact Stakeholder Negotiations Impact Analysis Proposed Standards
• DOE will obtain public comments on the ANOPR • DOE will obtain stakeholder and expert review of the analysis contained in 

### the Technical Support Document

OOE/E1-031596-22Impact 1111111 Public Comments 2S E 

### n DOE will encourage stakeholder negotiations immediately following issuance of an ANOPR n DOE will provide technical support to 

### negotiations initiated by stakeholders Impact 

## iiiiiii Public Comments Impact Analysis· Proposed Standards
• DOE 

### will encourage stakeholder negotiations immediately following issuance of an ANOPR • DOE 

### will provide technical support to negotiations initiated 

## by stakeholders

OOE/E1-031596-23Impact Comments 

### n The impact analysis will fine-tune earlier analyses based on comments n Economic impact analyses will be performed - manufacturing impacts - utility impacts - regulatory impacts -environmental impacts Stakeholder Public Negotiations Impact 

# itttttt Public Comments Stakeholder Negotiations • The impact analysis will fine-tune earlier analyses based on cQmments Proposed Standards

• Economic impact analyses will be performed
- manufacturing impacts
- utility impacts
- regulatory impacts
- environmental impacts

DOE/EI-031596-24Impact Stakeholder Public Negotiations Impact Comments Analysis 

### n DOE will propose updated standards based on the results of the impact analysis or stakeholder negotiations 

### n The Proposed Rule Will also be accompanied by a complete Technical Support Document Proposed Standards Impact 

## iiiiiii Public

.Comments Stakeholder Negotiations Impact Analysis 

### • DOE will propose updated standards based on the results of the impact analysis or stakeholder negotiations • The Proposed Rule 

### ,will also be accompanied by a complete Technical Support Document Proposed Standards

DOElEI-031596-25Stage Process Priority Setting Screening Impact Standard Setting 2 11 Final Analysis Publication Regulatory Agenda ANOPR Proposed Standards Final Rule Stage Priority Setting Screening Impact Standard. Setting Public Comments Process Publication Regulatory Agenda ANOPR Proposed Standards Final Rule

DOE/E1-031596-26Standard Setting Final Analysis 

### n DOE will obtain public comments on the Proposed Standards n DOE will obtain stakeholder and expert review of the analysis contained in the revised Technical Support Document Standard Setting Final Analysis 

### -• DOE will obtain public comments on the Proposed Standards • DOE will obtain stakeholder and expert revi-ew ofthe analysis contained in the revised Technical Support Document Final Rule

DOE/EI-031596-27Standard Setting Public Comments Final Analysis 

### n DOE will update the analysis in response to the comments received Standard Setting 

## iiiiiii Public Comments
• DOE will update the analysis in response to the comments received Final Rule

DOE/EI-031596-28'"H,, Public Comments Final Analysis I ^^^!I^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^Illllll^^^^llllllllllllllllllllllllllllllllllllllilllllllll MR 

### n DOE will issue the Final Rule with updated standards based on the results of all the prior steps Final Rule I Il if Standard Setting 

## iiiiiii Public Comments 

# .. Final Analysis


### • DOE will issue the Final Rule with updated standards based on the results of all the prior steps Final Rule

DOE/E1-031596-29,Expert & Stakeholder Consultation.

DOE/El-031596-30 Priority Setting { Screening { Impacts Standard Setting {

DOE/EI-031596-30