3702 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 

application to the smallest regional 

production area which is practicable, 

consistent with carrying out the 

declared policy of the Act, and the 

issuance of several marketing orders 

applicable to subdivisions of the 

production area would not effectively 

carry out the declared policy of the Act; 

4. Marketing Order 925 as hereby 

proposed to be amended prescribes, 

insofar as practicable, such different 

terms applicable to different parts of the 

production area as are necessary to give 

due recognition to the differences in the 

production and marketing of grapes 

produced or packed in the production 

area; and 

5. All handling of grapes produced or 

packed in the production area as 

defined in Marketing Order 925 is in the 

current of interstate or foreign 

commerce or directly burdens, 

obstructs, or affects such commerce. 

Order Relative to Handling 

It is therefore ordered, that on and 

after the effective date hereof, all 

handling of grapes grown in a 

designated area of southeastern 

California shall be in conformity to, and 

in compliance with, the terms and 

conditions of the said Order as hereby 

proposed to be amended as follows: 

The provisions of the proposed 

marketing order amending the Order 

contained in the proposed rule issued 

by the Administrator and published in 

the Federal Register (86 FR 44644) on 

August 13, 2021, will be and are the 

terms and provisions of this order 

amending the Order and are set forth in 

full herein. 

List of Subjects in 7 CFR Part 925 

Grapes, Marketing agreements, 

Reporting and recordkeeping 

requirements. 

For the reasons set forth in the 

preamble, the Agricultural Marketing 

Service proposes to amend 7 CFR part 

925 as follows: 

PART 925—GRAPES GROWN IN A 

DESIGNATED AREA OF 

SOUTHEASTERN CALIFORNIA 

■ 1. The authority citation for 7 CFR 

part 925 continues to read as follows: 

Authority: 7 U.S.C. 601–674. 

■ 2. In § 925.20, revise paragraph (a) to 

read as follows: 

§ 925.20 Establishment and membership. 

(a) There is hereby established a 

California Desert Grape Committee 

consisting of 10 members, each of whom 

shall have an alternate who shall have 

the same qualifications as the member. 

Four of the members and their alternates 

shall be producers, or officers or 

employees of producers (producer 

members). Four of the members and 

their alternates shall be handlers, or 

officers or employees of handlers 

(handler members). One member and 

alternate shall be either a producer or 

handler, or an officer or employee 

thereof. One member and alternate shall 

represent the public. 

* * * * * 

■ 3. In § 925.30, revise paragraph (a) to 

read as follows: 

§ 925.30 Procedure. 

(a) Six members of the committee 

shall constitute a quorum, including at 

a minimum one producer member and 

one handler member, and any action of 

the committee shall require at least six 

concurring votes. 

* * * * * 

Erin Morris, 

Associate Administrator, Agricultural 

Marketing Service. 

[FR Doc. 2022–01306 Filed 1–24–22; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[EERE–2021–BT–STD–0035 and EERE– 

2021–TP–0036] 

Energy Conservation Program: Test 

Procedure and Energy Conservation 

Standards for Consumer Products; 

Consumer Air Cleaners 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Request for information. 

SUMMARY: The U.S. Department of 

Energy (‘‘DOE’’) is initiating rulemaking 

activities to consider potential test 

procedure and energy conservation 

standards for consumer air cleaners. 

Through this request for information 

(‘‘RFI’’), DOE seeks data and 

information regarding development and 

evaluation of a new test procedure that 

would be reasonably designed to 

produce test results which reflect energy 

use during a representative average use 

cycle for the product without being 

unduly burdensome to conduct. 

Additionally, this RFI solicits 

information regarding the development 

and evaluation of potential new energy 

conservation standards for consumer air 

cleaners, and whether such standards 

would result in significant energy 

savings, be technologically feasible and 

economically justified. DOE also 

welcomes written comments from the 

public on any subject within the scope 

of this document (including those topics 

not specifically raised), as well as the 

submission of data and other relevant 

information. 

DATES: Written comments and 

information are requested and will be 

accepted on or before February 24, 2022. 

ADDRESSES: Interested persons are 

encouraged to submit comments using 

the Federal eRulemaking Portal at 

www.regulations.gov. Follow the 

instructions for submitting comments. 

Alternatively, interested persons may 

submit comments, identified by docket 

number EERE–2021–BT–STD–0035 and 

EERE–2021–BT–TP–0036, by any of the 

following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: to 

AirCleaners2021STD0035@ee.doe.gov or 

AirCleaners2021TP0036@ee.doe.gov. 

Include docket number EERE–2021–BT– 

STD–0035 and EERE–2021–BT–TP– 

0036 in the subject line of the message. 

No telefacsimilies (‘‘faxes’’) will be 

accepted. For detailed instructions on 

submitting comments and additional 

information on this process, see section 

IV of this document. 

Although DOE has routinely accepted 

public comment submissions through a 

variety of mechanisms, including postal 

mail and hand delivery/courier, the 

Department has found it necessary to 

make temporary modifications to the 

comment submission process in light of 

the ongoing Coronavirus disease 2019 

(‘‘COVID–19’’) pandemic. DOE is 

currently suspending receipt of public 

comments via postal mail and hand 

delivery/courier. If a commenter finds 

that this change poses an undue 

hardship, please contact Appliance 

Standards Program staff at (202) 586– 

1445 to discuss the need for alternative 

arrangements. Once the COVID–19 

pandemic health emergency is resolved, 

DOE anticipates resuming all of its 

regular options for public comment 

submission, including postal mail and 

hand delivery/courier. 

Docket: The docket for this activity, 

which includes Federal Register 

notices, comments, and other 

supporting documents/materials, is 

available for review at 

www.regulations.gov. All documents in 

the docket are listed in the 

www.regulations.gov index. However, 

some documents listed in the index, 

such as those containing information 

that is exempt from public disclosure, 

may not be publicly available. 


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1All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 2For editorial reasons, upon codification in the 

U.S. Code, Part B was redesignated Part A. 3The enumerated list of covered products is at 42 

U.S.C. 6292(a)(1)–(19). 

4 DOE has defined ‘‘household’’ to mean an entity 

consisting of either an individual, a family, or a 

group of unrelated individuals, who reside in a 

particular housing unit. For the purpose of this 

definition: 

(1) Group quarters means living quarters that are 

occupied by an institutional group of 10 or more 

unrelated persons, such as a nursing home, military 

barracks, halfway house, college dormitory, 

fraternity or sorority house, convent, shelter, jail or 

correctional institution. 

(2) Housing unit means a house, an apartment, a 

group of rooms, or a single room occupied as 

separate living quarters, but does not include group 

quarters. 

(3) Separate living quarters means living quarters: 

(i) To which the occupants have access either: 

(A) Directly from outside of the building, or 

(B) Through a common hall that is accessible to 

other living quarters and that does not go through 

someone else’s living quarters, and 

(ii) Occupied by one or more persons who live 

and eat separately from occupant(s) of other living 

quarters, if any, in the same building. 10 CFR 430.2. 

The docket web pages can be found 

at: www.regulations.gov/docket/EERE– 

2021–BT–TP–0036 and 

www.regulations.gov/docket/EERE– 

2021–BT–STD–0035. The docket web 

page contains instructions on how to 

access all documents, including public 

comments, in the docket. See section IV 

for information on how to submit 

comments through 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Dr. Stephanie Johnson, U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Office, EE–5B, 

1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 287–1943. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Ms. Amelia Whiting, U.S. Department 

of Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–2588. Email: 

Amelia.Whiting@hq.doe.gov. 

For further information on how to 

submit a comment or review other 

public comments and the docket, 

contact the Appliance and Equipment 

Standards Program staff at (202) 287– 

1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Introduction 

A. Statutory Authority 

B. Rulemaking History 

C. Rulemaking Process for Test Procedure 

D. Rulemaking Process for Energy 

Conservation Standards 

E. Deviation From Appendix A 

II. Request for Information and Comments 

Pertaining to Potential Test Procedure 

A. Scope and Definition 

B. Test Procedure for Consumer Air 

Cleaners 

1. Current Industry Test Procedure 

2. Other Test Procedures 

C. Metric for Consumer Air Cleaners 

III. Request for Information and Comments 

Pertaining to Potential Energy 

Conservation Standards 

A. Market and Technology Assessment 

1. Product Classes 

2. Technology Assessment 

B. Screening Analysis 

C. Engineering Analysis 

1. Efficiency Analysis 

2. Cost Analysis 

D. Distribution Channels and Markups 

Analysis 

E. Energy Use Analysis 

1. Consumer Samples and Market 

Breakdowns 

2. Operating Hours 

F. Life-Cycle Cost and Payback Period 

Analyses 

G. Repair and Maintenance Costs 

H. Shipments 

I. National Impact Analysis 

J. Manufacturer Impact Analysis 

IV. Submission of Comments 

I. Introduction 

Consumer air cleaners are not 

currently subject to a DOE test 

procedure or energy conservation 

standards. On September 16, 2021, DOE 

published a notice of proposed 

determination (‘‘NOPD’’) in which DOE 

tentatively determined that consumer 

air cleaners qualify as a ‘‘covered 

product’’ under the Energy Policy and 

Conservation Act, as amended 

(‘‘EPCA’’) 1 (‘‘September 2021 NOPD’’). 

86 FR 51629. DOE tentatively 

determined in the September 2021 

NOPD that coverage of consumer air 

cleaners is necessary or appropriate to 

carry out the purposes of EPCA, and 

that the average U.S. household energy 

use for consumer air cleaners is likely 

to exceed 100 kilowatt-hours (‘‘kWh’’) 

per year. Id. 

The following sections discuss DOE’s 

authority to establish test procedures 

and energy conservation standards for 

covered products, relevant background 

information regarding DOE’s 

consideration of establishing federal 

regulations for consumer air cleaners, if 

DOE determines such products are 

covered products, and a discussion of 

DOE’s rulemaking process for test 

procedures and energy conservation 

standards. 

A. Statutory Authority 

EPCA authorizes DOE to regulate the 

energy efficiency of a number of 

consumer products and certain 

industrial equipment. (42 U.S.C. 6291– 

6317) Title III, Part B 2 of EPCA 

established the Energy Conservation 

Program for Consumer Products Other 

Than Automobiles, which sets forth a 

variety of provisions designed to 

improve energy efficiency for certain 

products, referred to as ‘‘covered 

products.’’ 3 In addition to specifying a 

list of consumer products that are 

covered products, EPCA contains 

provisions that enable the Secretary of 

Energy to classify additional types of 

consumer products as covered products. 

To classify a consumer product as a 

covered product, the Secretary must 

determine that: 

(1) Classifying the product as a 

covered product is necessary or 

appropriate to carry out the purposes of 

EPCA; and 

(2) The average annual per 

household 4 energy use by products of 

such type is likely to exceed 100 kWh 

(or British thermal unit (‘‘Btu’’) 

equivalent) per year. (42 U.S.C. 

6292(b)(1)) As stated, DOE has 

preliminarily determined that consumer 

air cleaners are covered products. 86 FR 

51629. 

The energy conservation program 

under EPCA consists essentially of four 

parts: (1) Testing, (2) labeling, (3) 

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. Relevant provisions of 

EPCA include definitions (42 U.S.C. 

6291), test procedures (42 U.S.C. 6293), 

labeling provisions (42 U.S.C. 6294), 

energy conservation standards (42 

U.S.C. 6295), and the authority to 

require information and reports from 

manufacturers (42 U.S.C. 6296). 

Federal energy efficiency 

requirements for covered products 

established under EPCA generally 

supersede State laws and regulations 

concerning energy conservation testing, 

labeling, and standards. (42 U.S.C. 6297) 

DOE may, however, grant waivers of 

Federal preemption for particular State 

laws or regulations, in accordance with 

the procedures and other provisions of 

EPCA. (42 U.S.C. 6297(d)) 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered products must 

use as the basis for: (1) Certifying to 

DOE that their products comply with 

the applicable energy conservation 

standards adopted pursuant to EPCA (42 

U.S.C. 6295(s)), and (2) making other 

representations about the efficiency of 

that product (42 U.S.C. 6293(c)). 

Similarly, DOE must use these test 

procedures to determine whether the 

product complies with relevant 


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3704 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 

standards promulgated under EPCA. (42 

U.S.C. 6295(s)) 

In 42 U.S.C. 6293, EPCA sets forth the 

criteria and procedures DOE must 

follow when prescribing or amending 

test procedures for covered products. 

Specifically, EPCA provides that DOE 

may, in accordance with certain 

requirements, prescribe test procedures 

for any consumer product classified as 

a covered product under section 

6292(b). (42 U.S.C. 6293(b)(1)(B)) EPCA 

requires that any test procedures 

prescribed or amended under this 

section must be reasonably designed to 

produce test results which reflect energy 

efficiency, energy use or estimated 

annual operating cost of a given type of 

covered product during a representative 

average use cycle and must not be 

unduly burdensome to conduct. (42 

U.S.C. 6293(b)(3)) 

In addition, EPCA requires DOE to 

amend its test procedures for all covered 

products to integrate measures of 

standby mode and off mode energy 

consumption into the overall energy 

efficiency, energy consumption, or other 

energy descriptor. (42 U.S.C. 

6295(gg)(2)(A)) When doing so, DOE 

must take into consideration the most 

current versions of Standards 62301 and 

62087 of the International 

Electrotechnical Commission (‘‘IEC’’), 

unless the current test procedure 

already incorporates the standby mode 

and off mode energy consumption, or if 

such integration is technically 

infeasible. If an integrated test 

procedure is technically infeasible, DOE 

must prescribe separate standby mode 

and off mode energy use test procedures 

for the covered product, if a separate 

test is technically feasible. (Id.) 

If the Secretary determines, on her 

own behalf or in response to a petition 

by any interested person, that a test 

procedure should be prescribed, the 

Secretary shall promptly publish in the 

Federal Register a proposed test 

procedure and afford interested persons 

an opportunity to present oral and 

written data, views, and arguments with 

respect to such a procedure. The 

comment period on a proposed rule to 

amend a test procedure shall be at least 

60 days and no more than 270 days. In 

prescribing or amending a test 

procedure, the Secretary shall take into 

account such information as the 

Secretary determines relevant to such 

procedure, including technological 

developments relating to energy use or 

energy efficiency of the type (or class) 

of covered products involved. (42 U.S.C. 

6293(b)(2)) In prescribing a new or 

amended test procedure, DOE must 

follow the statutory criteria of 42 U.S.C. 

6293(b)(3)–(4), as discussed further in 

section I.C of this document, and follow 

the rulemaking procedures set out in 42 

U.S.C. 6293(b)(2). Before prescribing 

any final test procedure, the Secretary 

must publish a proposed test procedure 

in the Federal Register, and afford 

interested persons an opportunity (of 

not less than 60 days’ duration) to 

present oral and written data, views, 

and arguments on the proposed test 

procedure. (42 U.S.C. 6293(b)(2)). 

Similarly, DOE must follow specific 

statutory criteria for prescribing new or 

amended standards for covered 

products. Following a coverage 

determination, DOE may prescribe an 

energy conservation standard for any 

type (or class) of covered products of a 

type specified in section 6292(a)(20) of 

EPCA, if the substantive and procedural 

requirements of 42 U.S.C. 6295(o) and 

(p) are met and the Secretary determines 

that: (1) The average per household 

energy use within the United States by 

products of such type (or class) 

exceeded 150 kWh (or its Btu 

equivalent) for any 12-month period 

ending before such determination; (2) 

the aggregate household energy use 

within the United States by products of 

such type (or class) exceeded 

4,200,000,000 kWh (or its Btu 

equivalent) for any such 12-month 

period; (3) substantial improvement in 

the energy efficiency of products of such 

type (or class) is technologically 

feasible; and (4) the application of a 

labeling rule under section 6294 of this 

title to such type (or class) is not likely 

to be sufficient to induce manufacturers 

to produce, and consumers and other 

persons to purchase, covered products 

of such type (or class) which achieve the 

maximum energy efficiency which is 

technologically feasible and 

economically justified. (42 U.S.C. 

6295(l)(1)) Further, any new or amended 

standard for covered products of a type 

specified in paragraph (20) of section 

6292(a) of this title shall not apply to 

products manufactured within 5 years 

after the publication of a final rule 

establishing such standard. (42 U.S.C. 

6295(1)(2) 

Further, EPCA requires that any new 

or amended energy conservation 

standard prescribed by the Secretary be 

designed to achieve the maximum 

improvement in energy or water 

efficiency that is technologically 

feasible and economically justified. (42 

U.S.C. 6295(o)(2)(A)) The Secretary may 

not prescribe an amended or new 

standard that will not result in 

significant conservation of energy, or is 

not technologically feasible or 

economically justified. (42 U.S.C. 

6295(o)(3)) DOE must evaluate proposed 

new standards against the criteria of 42 

U.S.C. 6295(o), as described further in 

section I.D of this document, and follow 

the rulemaking procedures set out in 42 

U.S.C. 6295(p). DOE is publishing this 

RFI consistent with its authority and 

these obligations. 

B. Rulemaking History 

DOE has not previously conducted a 

rulemaking for consumer air cleaners. 

As stated, DOE tentatively determined 

in the September 2021 NOPD that: 

Coverage of consumer air cleaners is 

necessary or appropriate to carry out the 

purposes of EPCA; the average U.S. 

household energy use for consumer air 

cleaners is likely to exceed 100 kWh per 

year; and thus, consumer air cleaners 

qualify as a ‘‘covered product’’ under 

EPCA. 86 FR 51629. In the September 

2021 NOPD, DOE sought comment on: 

(1) A proposed definition for consumer 

air cleaners; (2) the energy use analysis 

conducted in support of the September 

2021 NOPD; and (3) additional 

information and data to support DOE’s 

preliminary determination to classify 

consumer air cleaners as a covered 

product under EPCA. 86 FR 51629, 

51632–51633. 

DOE is currently evaluating 

comments received from interested 

parties in response to the September 

2021 NOPD. DOE will address these 

comments and publish a final decision 

on coverage as a separate notice. 

C. Rulemaking Process for Test 

Procedure 

As stated, EPCA requires that any test 

procedure prescribed or amended must 

be reasonably designed to produce test 

results which reflect energy efficiency, 

energy use or estimated annual 

operating cost of a particular type of 

covered product during a representative 

average use cycle and not be unduly 

burdensome to conduct. (42 U.S.C. 

6293(b)(3)) 

DOE will publish a notification in the 

Federal Register (e.g., an RFI or notice 

of data availability (‘‘NODA’’)) 

whenever DOE is considering initiation 

of a rulemaking to establish or amend a 

test procedure. Section 8(a) of the 

Process Rule. 

As part of such document(s), DOE 

will solicit submission of comments, 

data, and information on whether DOE 

should proceed with the rulemaking. 

Potential topics include whether a test 

procedure rule would more accurately 

measure energy efficiency, energy use, 

or estimated annual operating cost of a 

product during a representative average 

use cycle or period of use without being 

unduly burdensome to conduct; or 

reduce testing burden. Based on the 

information received in response to 


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Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 3705 

5See 86 FR 70892, 70901 (Dec. 13, 2021). 

such request and its own analysis, DOE 

will determine whether to proceed with 

a rulemaking for a new or amended test 

procedure. Section 8(a)(1) and (a)(2) of 

the Process Rule. 

As detailed throughout this RFI, DOE 

is publishing this document seeking 

input and data from interested parties to 

aid in DOE’s determination whether 

(and if so, how) to establish a test 

procedure for consumer air cleaners. 

D. Rulemaking Process for Energy 

Conservation Standards 

As stated previously, following a 

coverage determination, DOE may 

prescribe an energy conservation 

standard for any type (or class) of 

covered products of a type specified in 

section 6292(a)(20) of EPCA, if the 

substantive and procedural 

requirements in 42 U.S.C. 6295(o) and 

(p) are met and the Secretary determines 

that: (1) The average per household 

energy use within the United States by 

products of such type (or class) 

exceeded 150 kWh (or its Btu 

equivalent) for any 12-month period 

ending before such determination; (2) 

the aggregate household energy use 

within the United States by products of 

such type (or class) exceeded 

4,200,000,000 kWhs (or its Btu 

equivalent) for any such 12-month 

period; (3) substantial improvement in 

the energy efficiency of products of such 

type (or class) is technologically 

feasible; and (4) the application of a 

labeling rule under section 6294 of this 

title to such type (or class) is not likely 

to be sufficient to induce manufacturers 

to produce, and consumers and other 

persons to purchase, covered products 

of such type (or class) which achieve the 

maximum energy efficiency which is 

technologically feasible and 

economically justified. (42 U.S.C. 

6295(l)(1)) Further, any new or amended 

standard for covered products of a type 

specified in paragraph (20) of section 

6292(a) of this title shall not apply to 

products manufactured within 5 years 

after the publication of a final rule 

establishing such standard. (42 U.S.C. 

6295(1)(2) 

DOE must follow specific statutory 

criteria for prescribing new or amended 

standards for covered products. As 

stated, EPCA requires that any new or 

amended energy conservation standard 

prescribed by the Secretary be designed 

to achieve the maximum improvement 

in energy (or water efficiency for certain 

products specified by EPCA) that is 

technologically feasible and 

economically justified. (42 U.S.C. 

6295(o)(2)(A)) Furthermore, DOE may 

not adopt any standard that would not 

result in the significant conservation of 

energy. (42 U.S.C. 6295(o)(3)) 

The significance of energy savings 

offered by a new or amended energy 

conservation standard cannot be 

determined without knowledge of the 

specific circumstances surrounding a 

given rulemaking.5 For example, the 

United States rejoined the Paris 

Agreement on February 19, 2021. As 

part of that agreement, the United States 

has committed to reducing greenhouse 

gas (‘‘GHG’’) emissions in order to limit 

the rise in mean global temperature. As 

such, energy savings that reduce GHG 

emission have taken on greater 

importance. Additionally, some covered 

products and equipment have most of 

their energy consumption occur during 

periods of peak energy demand. The 

impacts of these products on the energy 

infrastructure can be more pronounced 

than products with relatively constant 

demand. In evaluating the significance 

of energy savings, DOE considers 

differences in primary energy and fullfuel-cycle (‘‘FFC’’) effects for different 

covered products and equipment when 

determining whether energy savings are 

significant. Primary energy and FFC 

effects include the energy consumed in 

electricity production (depending on 

load shape), in distribution and 

transmission, and in extracting, 

processing, and transporting primary 

fuels (i.e., coal, natural gas, petroleum 

fuels), and thus present a more complete 

picture of the impacts of energy 

conservation standards. 

Accordingly, DOE evaluates the 

significance of energy savings on a caseby-case basis. 

To determine whether a standard is 

economically justified, EPCA requires 

that DOE determine whether the 

benefits of the standard exceed its 

burdens by considering, to the greatest 

extent practicable, the following seven 

factors: 

(1) The economic impact of the standard 

on the manufacturers and consumers of the 

affected products; 

(2) The savings in operating costs 

throughout the estimated average life of the 

product compared to any increases in the 

initial cost, or maintenance expenses; 

(3) The total projected amount of energy 

and water (if applicable) savings likely to 

result directly from the standard; 

(4) Any lessening of the utility or the 

performance of the products likely to result 

from the standard; 

(5) The impact of any lessening of 

competition, as determined in writing by the 

Attorney General, that is likely to result from 

the standard; 

(6) The need for national energy and water 

conservation; and 

(7) Other factors the Secretary considers 

relevant. 

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

DOE fulfills these and other 

applicable requirements by conducting 

a series of analyses throughout the 

rulemaking process. Table I.1 shows the 

individual analyses that are performed 

to satisfy each of the requirements 

within EPCA. 

TABLE I.1—EPCA REQUIREMENTS AND CORRESPONDING DOE ANALYSIS

EPCA requirement Corresponding DOE analysis 

Significant Energy Savings ....................................................................... • Shipments Analysis. 

• National Impact Analysis. 

• Energy and Water Use Determination. 

Technological Feasibility .......................................................................... • Market and Technology Assessment. 

• Screening Analysis. 

• Engineering Analysis. 

Economic Justification: 

1. Economic Impact on Manufacturers and Consumers .................. • Manufacturer Impact Analysis. 

• Life-Cycle Cost and Payback Period Analysis. 

• Life-Cycle Cost Subgroup Analysis. 

• Shipments Analysis. 

2. Lifetime Operating Cost Savings Compared to Increased Cost 

for the Product.

• Markups for Product Price Determination. 

• Energy and Water Use Determination. 

• Life-Cycle Cost and Payback Period Analysis. 


khammond on DSKJM1Z7X2PROD with PROPOSALS
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6See: www.ahamdir.com/room-air-cleaners/. 

TABLE I.1—EPCA REQUIREMENTS AND CORRESPONDING DOE ANALYSIS—Continued 

EPCA requirement Corresponding DOE analysis 

3. Total Projected Energy Savings ................................................... • Shipments Analysis. 

• National Impact Analysis. 

4. Impact on Utility or Performance .................................................. • Screening Analysis. 

• Engineering Analysis. 

5. Impact of Any Lessening of Competition ...................................... • Manufacturer Impact Analysis. 

6. Need for National Energy and Water Conservation ..................... • Shipments Analysis. 

• National Impact Analysis. 

7. Other Factors the Secretary Considers Relevant ......................... • Employment Impact Analysis. 

• Utility Impact Analysis. 

• Emissions Analysis. 

• Monetization of Emission Reductions Benefits. 

• Regulatory Impact Analysis. 

In determining whether to consider 

establishing or amending any energy 

conservation standard, DOE’s general 

process is to publish one or more 

preliminary (i.e., ‘‘pre-NOPR’’) 

documents in the Federal Register 

intended to gather information on key 

issues. Section 6(a)(1) of the Process 

Rule. Such document(s) could take 

several forms depending upon the 

specific proceeding, including a 

framework document, RFI, NODA, 

preliminary analysis, or advance notice 

of proposed rulemaking. Section 6(a)(2) 

of the Process Rule. Such document(s) 

will be published in the Federal 

Register, with any accompanying 

documents referenced and posted in the 

appropriate docket. Section 6(a)(1) of 

the Process Rule. 

The pre-NOPR-stage document(s) will 

solicit submission of comments, data, 

and information on whether DOE 

should proceed with the standards 

rulemaking, including whether any new 

or amended rule would, as EPCA 

requires, be economically justified, 

technologically feasible, and result in a 

significant savings of energy. Section 

6(a)(1) of the Process Rule. 

DOE will determine whether to 

proceed with a rulemaking for a new or 

amended energy conservation standard 

based on the information received in 

response to such request and its own 

analysis. Section 6(a)(3) of the Process 

Rule. 

As detailed throughout this RFI, DOE 

is publishing this document seeking 

input and data from interested parties to 

aid in the development of the technical 

analyses on which DOE will ultimately 

rely to determine whether (and if so, 

how) to establish energy conservation 

standards for consumer air cleaners. 

E. Deviation From Appendix A 

In accordance with Section 3(a) of 10 

CFR part 430, subpart C, appendix A, 

DOE notes that it is deviating from that 

Appendix’s provision that DOE will 

publish its final coverage determination 

prior to the initiation of any test 

procedure or energy conservation 

standards rulemaking. 10 CFR part 430, 

subpart C, appendix A, section 5(c). 

DOE is opting to deviate from this step 

because DOE believes that providing an 

opportunity for comment on potential 

test procedure and energy conservation 

standards prior to a final coverage 

determination for consumer air cleaners 

allows stakeholders an earlier 

opportunity to provide comment, 

information, and data that may help 

inform DOE’s priority setting. DOE also 

notes that in the Energy Conservation 

Program for Appliance Standards: 

Procedures, Interpretations, and Policies 

for Consideration in New or Revised 

Energy Conservation Standards and Test 

Procedures for Consumer Products and 

Commercial/Industrial Equipment 

NOPR published on July 7, 2021, DOE 

proposed to eliminate the requirement 

that coverage determination 

rulemakings must be finalized prior to 

initiation of a test procedure or energy 

conservation standard rulemaking. 86 

FR 35668, 35672. DOE explained that 

the coverage determination, test 

procedure, and energy conservation 

standard rulemakings are 

interdependent and a coverage 

determination defines the product/ 

equipment scope for which DOE can 

establish test procedure and energy 

conservation standards. It also signals 

that inclusion of the consumer product 

is necessary to carry out the purpose of 

EPCA, i.e., to conserve energy and/or 

water. In order to make this 

determination, DOE needs to consider 

whether a test procedure and energy 

conservation standards can be 

established for the consumer product. If 

DOE cannot develop a test procedure 

that measures energy use during a 

representative average use cycle and is 

not unduly burdensome to conduct (42 

U.S.C. 6293(b)(3)) or prescribe energy 

conservation standards that result in 

significant energy savings (42 U.S.C. 

6295(o), then making a coverage 

determination is not necessary as it will 

not result in the conservation of energy. 

Thus, it is important that DOE be able 

to gather information and provide 

stakeholders an opportunity to comment 

and provide information and data 

pertinent to test procedure and energy 

conservation standard rulemakings, 

while DOE conducts a coverage 

determination rulemaking. Id. 

In accordance with Section 3(a) of 10 

CFR part 430, subpart C, appendix A, 

DOE notes that it is deviating from that 

Appendix’s provision requiring a 75-day 

comment period for pre-NOPR 

rulemaking documents for standards. 10 

CFR part 430, subpart C, appendix A, 

section 6(d)(2). DOE is opting to deviate 

from this step because the 30-day 

comment period will allow DOE to 

review comments received in response 

to this document before finalizing its 

coverage determination. It would also 

help inform the Department in 

prioritizing any potential rulemakings 

for air cleaners in light of its other ongoing rulemakings and statutory 

requirements. The U.S. Environmental 

Protection Agency’s (‘‘EPA’s’’) ENERGY 

STAR® Program (‘‘ENERGY STAR 

Program’’) includes consumer air 

cleaners. In light of this, DOE expects 

that stakeholders have established a 

strong understanding of the key 

information and issues that would be of 

interest to DOE as it considers 

developing test procedure and energy 

conservation standards for consumer air 

cleaners. DOE also expects that test data 

are likely readily available from the 

ENERGY STAR Program as well as the 

Association of Home Appliance 

Manufacturers’ (‘‘AHAM’s’’) Directory 

of Certified Portable Electric Room Air 

Cleaners.6


khammond on DSKJM1Z7X2PROD with PROPOSALS
Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 3707 

7ANSI/AHAM AC–1–2020 available at AHAM 

website at www.aham.org/itemdetail?i

productcode=30002&category=padstd. 

8See ENERGY STAR website for air purifiers 

(cleaners) at www.energystar.gov/products/air_

purifiers_cleaners. 

9See Eligibility Criteria Version 2.0, Rev. April 

2021, available at www.energystar.gov/sites/default/ 

files/ENERGY%20STAR%20

Version%202.0%20Room%20Air%20

Cleaners%20Specification_Rev%20April%202021_

with%20Partner%20Commitments.pdf. 

II. Request for Information and 

Comments Pertaining to Potential Test 

Procedure 

In the following sections, DOE has 

identified a variety of issues on which 

it seeks input to assist in its evaluation 

of a potential test procedure for 

consumer air cleaners, to ensure that 

any such test procedure would, as EPCA 

requires, be reasonably designed to 

produce test results which reflect energy 

use during a representative average use 

cycle without being unduly burdensome 

to conduct. (42 U.S.C. 6293(b)(3)) 

A. Scope and Definition 

Consumer air cleaners are products 

designed to remove particulate matter 

and other contaminants from the air to 

improve indoor air quality. A wide 

range of consumer air cleaners are 

available on the market, including 

tabletop units, units designed for single 

rooms or multiple rooms, and wholehome units integrated into a central 

heating and/or cooling system. 

Consumer air cleaners employ a wide 

variety of technologies to remove 

particular matter and other 

contaminants from the air. They may 

include secondary functions, typically 

indoor air quality improvement, that 

supplement or enhance that primary 

function, such as providing air 

circulation, humidification, or 

dehumidification. 

In the September 2021 NOPD, DOE 

proposed a definition for ‘‘air cleaner’’ 

to help inform its proposed scope of 

coverage and regulatory definition. 86 

FR 51629, 51632. DOE consulted 

existing definitions and classifications 

of consumer air cleaners developed by 

AHAM—the industry trade group for 

consumer air cleaners—and the 

ENERGY STAR Program, and additional 

market research conducted by DOE. Id. 

at 86 FR 51631. 

AHAM defined ‘‘air cleaner’’ in an 

industry standard, it published and 

which is certified by American National 

Standards Institute (‘‘ANSI’’), to 

measure the performance of portable 

household electric room air cleaners, 

titled ANSI/AHAM AC–1–2020 Portable 

Household Electric Room Air Cleaners 

(‘‘ANSI/AHAM AC–1–2020’’).7 Section 

3.1 of ANSI/AHAM AC–1–2020 defines 

‘‘Portable Household Electric Room Air 

Cleaner’’ as ‘‘[a]n electric appliance 

with the function of removing 

particulate matter from the air and 

which can be moved from room to 

room.’’ 

The ENERGY STAR Program also 

establishes a definition for room air 

cleaners (also referred to as air 

purifiers), in addition to qualification 

criteria for an air cleaner to earn the 

ENERGY STAR label.8 The current 

ENERGY STAR V2.0 Product 

Specification 9 defines ‘‘room air 

cleaner’’ as ‘‘an electric appliance with 

the function of removing particulate 

matter from the air and which can be 

moved from room to room,’’ consistent 

with ANSI/AHAM AC–1–2020. 

As discussed in the September 2021 

NOPD, the definitions in ANSI/AHAM 

AC–1–2020 and the ENERGY STAR 

V2.0 Product Specification include 

specific air cleaning and air purifying 

designs and technologies, but are 

limited to ‘‘portable’’ air cleaners that 

‘‘can be moved from room to room.’’ 

DOE noted in the September 2021 

NOPD that while ANSI/AHAM AC–1– 

2020 specifies that the standard is 

applicable only to portable air cleaners, 

it includes definitions and setup 

instructions for air cleaners that include 

wall mounting brackets or instructions 

to mount the air cleaner integrally to the 

wall. 86 FR 51629, 51632. To cover a 

more comprehensive range of the 

consumer market for air cleaning and 

purification, an expanded definition of 

a consumer air cleaner may be 

appropriate. DOE therefore considered a 

modified definition that would include 

other consumer air cleaners, such as 

those that are mounted on walls and 

ceilings, or that are designed for wholehome air cleaning in conjunction with 

central heating or air conditioning 

systems. 86 FR 51629, 51632. The 

proposed definition expands the range 

of products to include those that use 

technologies that clean the air by 

destroying or deactivating 

contaminants, including microbes as 

well as particulates, from the air 

(instead of only removing them). Id. at 

86 FR 51632. 

DOE proposed in the September 2021 

NOPD to define a consumer air cleaner 

as a consumer product that: 

(1) Is a self-contained, mechanically 

encased assembly; 

(2) Is powered by single-phase electric 

current; 

(3) Removes, destroys, or deactivates 

particulates and microorganisms from 

the air; and 

(4) Excludes products that destroy or 

deactivate particulates and 

microorganisms solely by means of 

ultraviolet (‘‘UV’’) light without a fan for 

air circulation; and 

(5) Excludes central air conditioners, 

room air conditioners, portable air 

conditioners, dehumidifiers, and 

furnaces as defined in 10 CFR 430.2. . 

86 FR 51629, 51632. 

As discussed in the September 2021 

NOPD, DOE proposed to exclude from 

coverage those consumer products that 

purify air solely by means of UV light 

without circulating air through the 

product using a fan because the energyconsuming component of such products 

would be a fluorescent lamp or lightemitting diode designed to emit light in 

the UV portion of the electromagnetic 

spectrum. 86 FR 51629, 51632. 

Accordingly, DOE would classify these 

products under EPCA as a type of lamp 

(see the definition of ‘‘lamps primarily 

designed to produce radiation in the 

ultraviolet region of the spectrum’’ and 

‘‘light-emitting diode or LED’’ in 10 CFR 

430.2), and therefore, did not consider 

applying any future consumer air 

cleaner requirements to these products. 

Id. 

DOE continues to evaluate comments 

received from interested parties in 

response to the proposed definition for 

consumer air cleaners in the September 

2021 NOPD. 

B. Test Procedure for Consumer Air 

Cleaners 

DOE has examined existing test 

methods to measure key performance 

characteristics for determining the 

energy efficiency of consumer air 

cleaners. These performance 

characteristics include clean air delivery 

rate (‘‘CADR’’), operating (i.e., active) 

mode power consumption, and standby 

mode power consumption. DOE is 

seeking comment on whether the test 

methods identified below, could be 

used as the basis for a DOE test 

procedure for consumer air cleaners. In 

particular, DOE is seeking comment on 

any modifications to these test methods 

that would be needed to test the full 

range of products under DOE’s proposed 

definition of consumer air cleaner. 

1. Current Industry Test Procedure 

As discussed, AHAM published 

ANSI/AHAM AC–1–2020 for measuring 

the performance of portable household 

electric room air cleaners. 

Section 3.14 of ANSI/AHAM AC–1– 

2020 defines CADR as the metric to 

measure an air cleaner’s efficacy in 

removing particulate matter from the 

air. CADR represents the rate of 

particulate reduction in the test 


khammond on DSKJM1Z7X2PROD with PROPOSALS
3708 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 

10AHAM defines ‘‘natural decay’’ as the 

reduction of particulate matter due to natural 

phenomena in the test chamber: Principally 

agglomeration [a process in which fine particles 

‘‘clump’’ together], surface deposition [a process in 

which particles attach to a surface] (including 

sedimentation [a process in which particles settle 

out of suspension in the air onto a surface due to 

gravity]), and air exchange. 

11Although the unit of measurement for CADR is 

cfm, ANSI/AHAM AC–1–2020 explains that CADR 

values indicate the performance of an air cleaner as 

a complete system and that the metric has no linear 

relationship to air movement or to the 

characteristics of any particular particle removal 

methodology per se. 

chamber when the air cleaner is turned 

on, minus the rate of ‘‘natural decay’’ 10

when the air cleaner is not running, 

multiplied by the volume of the test 

chamber (specified as 1,008 cubic feet). 

As such, testing an air cleaner requires 

conducting two separate tests: A first 

test with the air cleaner turned off, and 

a second test with the air cleaner turned 

on. The CADR value is expressed in 

units of cubic feet per minute (‘‘cfm’’).11

Sections 5, 6, and 7 of ANSI/AHAM 

AC–1–2020 specify procedures for 

measuring air cleaner efficacy using 

three different types of particulates 

representing three ranges of particulate 

matter size: Pollen (5 micrometer 

(‘‘mm’’) to 11 mm diameter), dust (0.5 mm 

to 3.0 mm diameter), and cigarette smoke 

(0.10 mm to 1.0 mm diameter), 

respectively. 

Section 2 of ANSI/AHAM AC–1–2020 

indicates that the precision of the test 

method is as follows: ± 25 cfm for 

pollen CADR; ± 10 cfm for dust CADR; 

and ± 10 cfm for cigarette smoke CADR. 

Given these levels of precision, ANSI/ 

AHAM AC–1–2020 is limited to 

measuring air cleaners within rated 

CADR ranges of 10 to 600 cfm for dust 

and cigarette smoke and 25 to 450 cfm 

for pollen. 

Section 9 of ANSI/AHAM AC–1–2020 

also includes methods to measure the 

air cleaner’s operating power and 

standby power usage in Watts (‘‘W’’), as 

discussed further in sections II.B.1.a and 

II.B.1.b of this document. 

All CADR and power testing are 

performed in a test chamber with a 

controlled environment. Section 4 of 

ANSI/AHAM AC–1–2020 specifies 

requirements for electrical power 

supply, test chamber ambient 

temperature, test chamber air exchange 

rate, test chamber particulate 

concentrations, and use of a 

recirculation fan in the test chamber. 

a. Operating (Active) Mode Testing 

ANSI/AHAM AC–1–2020 specifies 

methodologies to obtain consistent 

levels of particulate concentration in the 

test chamber for each of the three 

particulate types. An aerosol generator 

disseminates the appropriate particulate 

for each test. The method also discusses 

using other devices, such as a cigarette 

smoke diluter and aerosol spectrometer 

to maintain consistent test particulate 

levels during the test and to measure the 

particle size distribution within the 

room air, respectively. For each 

particulate, two tests are performed, one 

with the air cleaner not operating and 

one with it operating. First, to measure 

the natural decay of the particulate 

under evaluation, the air cleaner is not 

operated and the particulates are 

distributed within the room at a 

specified concentration. Particulate 

concentration is measured and averaged 

over a period of time prescribed for each 

particulate type. In the second test, the 

air cleaner is operated at the setting that 

results in the maximum particulate 

removal rate and the particulate matter 

removal is measured using the same 

process as in the first test. Particulate 

concentration is again measured over a 

prescribed period of time, and the rate 

of particulate reduction is calculated. 

The difference of the rate of particulate 

reduction with the air cleaner operating 

minus the rate of natural decay with the 

air cleaner not operating, multiplied by 

the volume of the test chamber, 

provides the CADR value for that 

particulate type. 

Section 9 of ANSI/AHAM AC–1–2020 

specifies methods for measuring 

operating power. The section allows 

measuring operating power during the 

CADR test for either cigarette smoke or 

dust, the duration of each being greater 

than 15 minutes, which is enough time 

to measure operating power. After the 

air cleaner motor has been conditioned 

as specified in Section 9.2 of ANSI/ 

AHAM AC–1–2020, the power 

measuring instrument is connected 

between the power supply and air 

cleaner, and all settings/options are set 

at the maximum level. The air cleaner 

is operated for 2 minutes without any 

power measurements, and then power 

consumption is recorded at 1-minute 

intervals for 13 minutes (for a total test 

time of 15 minutes). Up to three of the 

13 data points may be discarded as 

anomalous to account for line surges 

and other variables. The remaining 

power measurements are averaged to 

obtain the operating power, in W, of the 

air cleaner. 

DOE requests comments on whether 

ANSI/AHAM AC–1–2020 provides an 

appropriate method to use as the basis 

for a Federal test method and for 

defining energy conservation standard 

levels for consumer air cleaners. 

DOE requests comment on the use of 

the CADR, as opposed to another metric 

such as rate of decay, to characterize 

consumer air cleaner performance. In 

particular, DOE requests comment on 

whether consumers could find the unit 

of measurement of cfm for CADR 

confusing and misunderstand it as 

referring to the rate of air movement 

through the device. 

DOE requests comment on whether 

the power measurement could vary 

based on the particulate test that is used 

to measure operating power. If power 

measurement varies based on the 

particulate test, DOE requests comment 

on which particulate test (pollen, dust, 

or cigarette smoke) should be used as 

the basis for the power measurement in 

any Federal test procedure that DOE 

may develop. Alternately, DOE requests 

comment on whether it should consider 

requiring power measurements for each 

particulate test and use a simple or 

weighted average to determine operating 

power. 

DOE requests comment on whether it 

should consider testing consumer air 

cleaners at any other power level in 

addition to the maximum power level 

required by ANSI/AHAM AC–1–2020. 

DOE requests comment on whether 

ANSI/AHAM AC–1–2020 could also be 

used to test other types of consumer air 

cleaners, such as ceiling- mounted 

products. 

b. Standby Mode Testing 

Section 10 of ANSI/AHAM AC–1– 

2020 specifies a measurement procedure 

for standby mode that is performed as 

a separate test from the CADR and 

operating power tests. The standby 

power test specifies allowable ranges for 

three environmental conditions: Air 

speed in the room, ambient air 

temperature, and voltage supply. As 

specified, the standby power test 

method may only be used when the 

selected mode and measured power 

consumption are stable (defined as a 

variation of less than 5 percent in 

measured power consumption over 5 

minutes). When stability is not 

achieved, power consumption can be 

determined by alternative methods: By 

averaging the power readings over a 

specified period of time or by recording 

the energy consumption over a specified 

period and dividing by the total time 

period. 

To perform the standby mode test, the 

air cleaner is connected to the metering 

equipment. After the air cleaner has 

been allowed to stabilize for at least 5 

minutes, the power consumption is 

monitored for not less than an 

additional 5 minutes. If the power 

consumption does not drift by more 

than 5 percent (from the maximum 

value observed) during the latter 5 

minutes, the load is considered stable 


khammond on DSKJM1Z7X2PROD with PROPOSALS
Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 3709 

12RTI Test Method available at: doi.org/10.1080/ 

713834074. 

13 KTL Test Method available at: 

link.springer.com/article/10.1007/s10661-019-7876- 

3. 

14ASHRAE 52.2–2017 available at: ashrae.org/ 

File%20Library/Technical%20Resources/COVID19/52_2_2017_COVID-19_20200401.pdf. 15NRCC Test Method available at: nrcpublications.canada.ca/eng/view/ft/?id=cc1570e0-

53cc-476d-b2ee-3e252d8bd739. 

and the power consumption can be 

recorded directly from the instrument at 

the end of the latter 5 minute period. 

The resulting standby power is reported 

in W, rounded to the nearest 

hundredths. 

The standby mode test method 

specified in ANSI/AHAM AC–1–2020 is 

different from that specified in the most 

current version of IEC Standard 62301, 

Edition 2.0, ‘‘Household electrical 

appliances—Measurement of standby 

power’’ (‘‘IEC 62301 Ed. 2.0’’), which is 

the standard that EPCA directs DOE to 

consider when including measurements 

of standby mode and off mode energy 

use in its test procedures for covered 

products, if technically feasible. (42 

U.S.C. 6295(gg)(2)(A)) IEC 62301 Ed. 2.0 

provides three methods to measure 

standby power, depending on the 

characteristics of the power 

consumption in standby mode (e.g., 

stable, unstable, cyclic, of a limited 

duration, etc.) The three methods are: 

the sampling method, the average 

reading method, and the direct meter 

reading method. The sampling method, 

which is the method incorporated by 

reference most frequently in DOE test 

procedures for other covered products, 

specifies that the unit under test must 

be operated in standby mode for at least 

15 minutes and standby power is 

recorded at least once every second. To 

determine standby power, the data from 

the second two-thirds of the total test 

duration is used to determine stability. 

If the measured power is less than or 

equal to 1 W, stability is established 

when a linear regression through all 

power readings for the second twothirds of the total period has a slope of 

less than 10 milliwatts per hour (‘‘mW/ 

h’’). If the measured power is greater 

than 1 W, stability is established when 

a linear regression through all power 

readings for the second two-thirds of the 

total period has a slope that is less than 

1 percent of the measured input power 

per hour. 

DOE requests comment on the 

suitability of the standby power 

measurement procedure specified in 

ANSI/AHAM AC–1–2020, IEC 62301 

Ed. 2.0, or any other test method for 

measuring standby mode and off mode 

energy use of consumer air cleaners, in 

light of EPCA’s requirement in 42 U.S.C. 

6295(gg)(2)(A)) for DOE to consider the 

most current version of IEC Standard 

62301. 

2. Other Test Procedures 

In addition to ANSI/AHAM AC–1– 

2020, DOE is aware of a few other test 

methods for air cleaners. DOE has 

identified two test methods to measure 

how effectively a unit removes 

microorganisms from the air (as 

opposed to particles such as smoke, 

pollen, and dust). DOE has additionally 

identified two other test methods that 

measure the effectiveness of removing 

particulates from the air, similar to the 

ANSI/AHAM AC–1–2020 testing 

standard. 

The first of these test methods was 

developed by the Center for Engineering 

and Environmental Technology at 

Research Triangle Institute (‘‘RTI’’), 

titled ‘‘Methodology to Perform Clean 

Air Delivery Rate Type Determinations 

with Microbiological Aerosols’’ 12 (‘‘RTI 

Test Method’’). The stated objective of 

the RTI Test Method is to determine a 

CADR-type measurement for an air 

cleaner using microbiological aerosols. 

The method is described as a 

modification of the ANSI/AHAM AC–1 

test method that can be used for 

evaluating a wide range of air cleaning 

devices. Similar to the ANSI/AHAM 

AC–1–2020 test method, the RTI Test 

Method requires measuring the natural 

decay rate without the air cleaner 

operating and the particulate removal 

rate while the air cleaner is operating in 

a test chamber. The RTI Test Method 

has been conducted using mold, 

bacteria, and viruses, representing the 

primary groups of microorganisms that 

a household air cleaner would be 

expected to remove in a home. 

The second of these test methods was 

developed by researchers at Korea 

Testing Laboratory (‘‘KTL’’), Dongguk 

University, and Biot Korea Inc., titled 

‘‘Assessment of air purifier on efficient 

removal of airborne bacteria, 

Staphylococcus epidermidis, using 

single-chamber method’’ 13 (‘‘KTL Test 

Method’’). The objective of the KTL Test 

Method is to measure an air cleaner’s 

efficacy of removing airborne bacteria 

from indoor air. Similar to ANSI/AHAM 

AC–1–2020 and the RTI Test Method, 

the KTL Test Method involves 

measuring both a natural decay rate (i.e., 

without the air cleaner operating) and a 

particulate decay rate while the air 

cleaner is operating in a test chamber. 

The output of the KTL Test Method, 

unlike ANSI/AHAM AC–1–2020 and 

the RTI Test Method, which output a 

CADR value (with units of cfm), is a 

unitless value representing the ratio of 

the natural decay rate to the particulate 

decay rate. 

The third of these test methods is the 

ANSI/American Society of Heating, 

Refrigerating and Air-Conditioning 

Engineers (‘‘ASHRAE’’) standard 52.2– 

2017, titled ‘‘Method of Testing General 

Ventilation Air-Cleaning Devices for 

Removal Efficiency by Particle Size’’ 14

(‘‘ASHRAE 52.2–2017’’). ASHRAE 52.2– 

2017 specifies a test method to evaluate 

air cleaner performance as a function of 

particle size using an aerosol generator 

to introduce standardized amounts of 

dust at periodic intervals to simulate 

accumulation of particles over the 

lifetime of the air cleaner. The standard 

measures air cleaner performance based 

on the removal efficiency of particles 

with 12 defined particle size ranges 

between 0.3 and 10 mm in diameter. 

Efficiency measurements for each of the 

12 particle size ranges are taken at 

various dust loads by challenging the 

filter with potassium chloride particles. 

This test aerosol provides particles over 

the entire range of 0.3 to 10 mm required 

by the test procedure. The output metric 

is the minimum efficiency reporting 

value (‘‘MERV’’), that quantifies the 

effectiveness of the air cleaner’s 

filtration on a 16-point scale. 

The fourth testing method is from the 

National Research Council Canada 

(‘‘NRCC’’). The NRCC’s publication is 

titled, ‘‘Method for Testing Portable Air 

Cleaner’s’’ 15 (‘‘NRCC Test Method’’). 

The NRCC Test Method determines the 

air cleaner’s performance by measuring 

particle, volatile organic compounds 

(‘‘VOCs’’) (including formaldehyde, 

toluene, and d-limonene), and ozone 

removal. Known quantities of particles 

of different sizes, ozone, and the 

selected VOCs are introduced in 

different tests until a certain established 

target concentration is achieved. The 

NRCC Test Method provides multiple 

suggested procedures for injecting 

particles and VOCs into the test 

chamber. Once target contaminant 

levels in the test chamber have been 

achieved, the injection of particles or 

VOCs is stopped, and the concentration 

decay rate is measured while the air 

cleaner is operating. Particle 

concentration is recommended to be 

measured using either a condensation 

particle counter, optical particle 

counter, or an aerodynamic particle 

sizer. Formaldehyde concentration is 

determined using a high-performance 

liquid chromatograph technique and 

toluene and d-limonene concentrations 

are measured using a gas 

chromatograph—mass spectrometer 

technique. Ozone levels in the chamber 

air are determined using an analyzer 


khammond on DSKJM1Z7X2PROD with PROPOSALS
3710 Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 

16See Eligibility Criteria Version 2.0, Rev. April 

2021, available at www.energystar.gov/sites/default/ 

files/ENERGY%20STAR%20

Version%202.0%20Room%20Air%20Cleaners%20

Specification_Rev%20April%202021_

with%20Partner%20Commitments.pdf. 

17The ENERGY STAR online product database 

provides a description of the Annual Energy Use 

calculation at data.energystar.gov/dataset/ENERGYSTAR-Certified-Room-Air-Cleaners/jmck-i55n/data. 

18See Draft 1 Version 2.0 specification at 

www.energystar.gov/products/spec/room_air_

cleaners_version_2_0_pd. 

based on either chemiluminescence or 

UV absorption. These results are then 

compared to test results without the air 

cleaner operating to assess the removal 

effectiveness of the unit. 

Additionally, in response to the 

September 2021 NOPD, AHAM 

commented that it was working on an 

updated standard to measure the energy 

efficiency for room air cleaners, AHAM 

AC–7–2021, ‘‘Energy Test Method for 

Portable Air Cleaners’’. (Docket No. 

EERE–2021–BT–DET–0022, AHAM, No. 

13 at p. 1) AHAM has not yet issued this 

test method. 

DOE requests comment on whether it 

should consider any methodology for 

measuring the removal efficacy of 

microorganisms (i.e., viruses, bacteria, 

mold, etc.) from indoor air as part of a 

Federal test procedure for consumer air 

cleaners. 

DOE requests comment on the 

suitability of each of the RTI Test 

Method and the KTL Test Method for 

measuring a consumer air cleaner’s 

removal efficacy of microorganisms 

from indoor air. 

DOE requests comment on the 

additional test methods identified in 

this section that measure the 

performance of consumer air cleaners 

using various particulates. In particular, 

DOE requests comment on the scope, 

methodology, and types of particulates, 

pollutants, and/or microorganisms that 

are included in each test method. 

DOE requests comments on whether 

any other test methods have been 

developed for consumer air cleaners 

that would be relevant to DOE’s 

consideration of a Federal test 

procedure to measure the energy 

efficiency of consumer air cleaners. In 

particular, DOE seeks comment on test 

methods that could be used to test ‘‘nonportable’’ consumer air cleaners, such as 

those that are permanently mounted 

(e.g., ceiling-mounted air cleaners) or 

that provide whole-home air cleaning in 

conjunction with central heating or air 

conditioning systems; and test methods 

that could be used to measure the 

performance of consumer air cleaners 

that destroy or deactivate contaminants 

from the air instead of removing them. 

C. Metric for Consumer Air Cleaners 

As discussed, EPCA requires that any 

test procedure prescribed or amended 

must be reasonably designed to produce 

test results which reflect energy 

efficiency, energy use or estimated 

annual operating cost of a given type of 

covered product during a representative 

average use cycle and not be unduly 

burdensome to conduct. (42 U.S.C. 

6293(b)(3)) 

In addition, EPCA requires DOE to 

amend its test procedure for all covered 

products to integrate measures of 

standby mode and off mode energy 

consumption into the overall energy 

efficiency, energy consumption, or other 

energy descriptor, taking into 

consideration the most current versions 

of IEC Standards 62301 and 62087. 

There are only two exceptions: If the 

current test procedure already 

incorporates the standby mode and off 

mode energy consumption, or if such 

integration is technically infeasible. (42 

U.S.C. 6295(gg)(2)(A)) If an integrated 

test procedure is technically infeasible, 

DOE must prescribe separate standby 

mode and off mode energy use test 

procedures for the covered product, if a 

separate test is technically feasible. (Id.) 

The ENERGY STAR V2.0 Product 

Specification 16 for Room Air Cleaners 

defines separate ‘‘on mode’’ (i.e., active 

mode) and ‘‘partial on mode’’ (i.e., 

standby/off mode) metrics to certify air 

cleaners under the ENERGY STAR label. 

The on mode criterion is defined in 

terms of a minimum ‘‘CADR/W’’ metric. 

That metric, in turn, is defined as the 

rated smoke CADR measurement 

divided by the operating power 

consumption measured during the 

smoke particle removal test, each of 

which is determined in accordance with 

ANSI/AHAM AC–1–2020. The partial 

on mode criterion is defined in terms of 

a maximum wattage level, as 

determined in accordance with IEC 

Standard 62301. 

In accordance with the requirements 

of EPCA, DOE would evaluate whether 

an integrated test procedure (i.e., a test 

procedure that integrates measures of 

standby mode and off mode energy 

consumption into the overall energy 

efficiency descriptor) is technically 

feasible. For example, DOE could define 

an integrated CADR/W metric in which 

the denominator represents a weighted 

average of the power consumption 

associated with active mode, standby 

mode, and off mode, weighted by the 

amount of time spent in each mode. 

DOE notes that the ENERGY STAR 

program assumes 16 active mode hours 

per day and 8 inactive mode (i.e., 

standby or off mode) hours per day to 

calculate annual energy consumption of 

qualifying consumer air cleaners.17

DOE requests comment on the 

technical feasibility of integrating 

measures of standby mode and off mode 

energy consumption into the overall 

energy efficiency descriptor (i.e., 

creating an integrated metric) for 

consumer air cleaners. In particular, 

DOE requests comment on its example 

approach of defining an integrated 

CADR/W metric, in which the 

denominator would represent a 

weighted average of the power 

consumption associated with active 

mode, standby mode, and off mode, 

weighted by the amount of time spent 

in each mode. 

DOE requests comment on consumer 

usage of consumer air cleaners, in 

particular, the amount of time spent in 

active mode, standby mode, and off 

mode. 

As discussed previously, ANSI/ 

AHAM AC–1–2020 specifies procedures 

for measuring CADR ratings for three 

types of particulate matter: Pollen, dust, 

and cigarette smoke. Prior to Version 2.0 

of the Product Specification for Room 

Air Cleaners, the ENERGY STAR 

eligibility criteria were based on the 

CADR/W metric using the dust particle 

removal test. That changed in a draft 

version of the V2.0 Product 

Specification,18 where EPA described 

its understanding that smoke pollutants 

can have the greatest health risk for the 

general population and that the AHAM 

Verification Program for room air 

cleaners calculates the appropriate room 

size for a given room air cleaner based 

on the cigarette smoke CADR 

measurement. (See Note box in Section 

3.3.1 of the draft.) EPA also stated that 

retailers appear to use this calculation to 

direct consumers to a specific room air 

cleaner. Id. EPA noted that cigarette 

smoke has the smallest particle size of 

the three pollutants tested to the ANSI/ 

AHAM AC–1–2015 standard and is 

typically the most energy intensive to 

remove. Id. For these reasons, and in 

consideration of stakeholder feedback, 

EPA asserted that cigarette smoke is the 

appropriate pollutant to use as the basis 

for evaluating the energy efficiency of 

room air cleaners. Id. 

DOE requests comment on whether 

cigarette smoke would be the 

appropriate particulate for determining 

a CADR rating of air cleaners under a 

DOE test procedure, should DOE adopt 

a measurement of CADR in a test 

procedure for consumer air cleaners. If 

cigarette smoke is not the most 

appropriate particulate, DOE requests 

comment on other particulate(s) that 


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19 DOE notes the vague nature of ‘‘can be,’’ which 

depends greatly on the abilities of the person or 

people involved in attempting to move the item. 

would be more appropriate as the basis 

for measurement, including data and 

information to support such a 

recommendation. 

As discussed previously, ANSI/ 

AHAM AC–1–2020 specifies that it can 

be used to test ‘‘portable’’ air cleaners 

that ‘‘can be moved from room to 

room.’’ 19 These include floor type, table 

type, and wall type units. Ceiling type 

units are explicitly outside the scope of 

that test method. ANSI/AHAM AC–1– 

2020 also does not apply to ‘‘nonportable’’ consumer air cleaners, such as 

those that are designed for whole-home 

air cleaning in conjunction with central 

heating or air conditioning systems. 

DOE is not aware of test procedures for 

these types of units and seeks guidance 

on whether the CADR/W efficiency 

metric would be appropriate for 

characterizing the energy efficiency of 

these types of units. DOE also seeks 

guidance about consumer air cleaners 

that clean the air by destroying or 

deactivating particulates and 

microorganisms from the air instead of 

removing them (for example, a 

consumer air cleaner designed to purify 

air using UV light or other heat in 

combination with a fan to circulate air 

through the product). In particular, DOE 

seeks input on whether the CADR/W 

metric would be appropriate for such 

products. 

DOE requests comment on whether 

the CADR/W efficiency metric would be 

appropriate for characterizing the 

energy efficiency of consumer air 

cleaner units permanently mounted to a 

structure. 

DOE requests comment on whether 

the CADR/W metric would be 

appropriate for consumer air cleaners 

that clean the air by destroying or 

deactivating particulates and 

microorganisms from the air instead of 

removing them. 

DOE requests comment on whether 

any other metrics not already discussed 

in this RFI would provide a better 

measure of energy efficiency or energy 

use of consumer air cleaners during a 

representative average use cycle or 

period of use. 

III. Request for Information and 

Comments Pertaining to Potential 

Energy Conservation Standards 

DOE is also publishing this RFI to 

collect data and information to inform 

its decision, consistent with its 

obligations under EPCA, as to whether 

the Department should proceed with an 

energy conservation standards 

rulemaking. In the following sections, 

DOE has identified a variety of issues on 

which it seeks input to aid in the 

development of the technical and 

economic analyses regarding whether 

standards for consumer air cleaners may 

be warranted. 

As stated previously, following a 

coverage determination, EPCA outlines 

four criteria for prescribing an energy 

conservation standard for a newly 

covered product. The four criteria are 

that: (1) The average per household 

domestic energy use by such products 

exceeded 150 kWh (or its Btu 

equivalent) for any 12-month period 

ending before such determination; (2) 

the aggregate domestic household 

energy use by such product exceeded 

4.2 million kWh (or its Btu equivalent) 

for any such 12-month period; (3) 

substantial improvement in the energy 

efficiency of the products is 

technologically feasible; and (4) 

applying a labeling rule is not likely to 

be sufficient to induce manufacturers to 

produce, and consumers and other 

persons to purchase, products of such 

type which achieve the maximum 

energy efficiency which is 

technologically feasible and 

economically justified. (42 U.S.C. 

6295(l)(1)) 

DOE seeks data and information on 

whether the four criteria for prescribing 

an energy conservation standard for air 

cleaners are met. 

DOE seeks comment on whether 

energy conservation standards for 

consumer air cleaners would be 

economically justified, technologically 

feasible, and would result in a 

significant savings of energy. 

A. Market and Technology Assessment 

The market and technology 

assessment that DOE routinely conducts 

when analyzing the impacts of a 

potential new or amended energy 

conservation standard provides 

information about the consumer air 

cleaner industry that will be used in 

DOE’s analysis throughout the 

rulemaking process. DOE uses 

qualitative and quantitative information 

to characterize the structure of the 

industry and market. DOE identifies 

manufacturers, estimates market shares 

and trends, addresses regulatory and 

non-regulatory initiatives intended to 

improve energy efficiency or reduce 

energy consumption, and explores the 

potential for efficiency improvements in 

the design and manufacturing of 

consumer air cleaners. DOE also reviews 

product literature, industry 

publications, and company websites. 

Additionally, DOE considers conducting 

interviews with manufacturers to 

improve its assessment of the market 

and available technologies. 

For consumer air cleaners, DOE is 

interested in understanding the 

consumer air cleaner market, the impact 

of the current COVID–19 pandemic on 

this market, and whether the current 

industry trends are a result of the 

pandemic or expected to stay long-term. 

DOE seeks feedback on how the 

COVID–19 pandemic has impacted the 

consumer air cleaner market. DOE 

requests any available market data or 

information on recent consumer 

behavior trends for consumer air 

cleaners in response to the pandemic. 

1. Product Classes 

When evaluating and establishing 

energy conservation standards, DOE 

may divide covered products into 

product classes by the type of energy 

used, or by capacity or other 

performance-related features that justify 

a different standard. (42 U.S.C. 6295(q)) 

In making a determination whether 

capacity or another performance-related 

feature justifies a different standard, 

DOE must consider such factors as the 

utility of the feature to the consumer 

and other factors DOE deems 

appropriate. (Id.) For consumer air 

cleaners, DOE may use CADR as a 

measurement of capacity. 

DOE requests comment on whether 

capacity or any other performancerelated features, such as air cleaning 

technology (i.e., whether the product 

destroys or deactivates contaminants 

from the air or removes them), of 

consumer air cleaners would justify the 

establishment of different product 

classes (i.e., would justify different 

standards for such classes). 

2. Technology Assessment 

In analyzing the feasibility of 

potential new energy conservation 

standards, DOE uses information about 

technology options and prototype 

designs to help identify technologies 

that manufacturers could use to meet 

and/or exceed a given energy 

conservation standard level under 

consideration. In consultation with 

interested parties, DOE intends to 

develop a list of technologies to 

consider in its analysis. 

DOE seeks information on 

technologies that are used to improve 

the energy efficiency of consumer air 

cleaners. Specifically, DOE seeks 

information on the range of efficiencies 

or performance characteristics that are 

currently available for each technology 

option. 

For each technology option suggested 

by stakeholders, DOE seeks information 

regarding its market adoption, costs, and 


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any concerns with incorporating the 

technology into products (e.g., impacts 

on consumer utility, potential safety 

concerns, manufacturing or production 

challenges, etc.). 

B. Screening Analysis 

The purpose of the screening analysis 

is to evaluate the technologies that 

improve energy efficiency to determine 

which technologies will be eliminated 

from further consideration and which 

will be passed to the engineering 

analysis for further consideration. 

DOE determines whether to eliminate 

certain technology options from further 

consideration based on the following 

criteria: 

(1) Technological feasibility. Technologies 

that are not incorporated in commercial 

products or in working prototypes will not be 

considered further. 

(2) Practicability to manufacture, install, 

and service. If it is determined that mass 

production of a technology in commercial 

products and reliable installation and 

servicing of the technology could not be 

achieved on the scale necessary to serve the 

relevant market at the time of the compliance 

date of the standard, then that technology 

will not be considered further. 

(3) Impacts on product utility or product 

availability. If a technology is determined to 

have significant adverse impact on the utility 

of the product to significant subgroups of 

consumers, or result in the unavailability of 

any covered product type with performance 

characteristics (including reliability), 

features, sizes, capacities, and volumes that 

are substantially the same as products 

generally available in the United States at the 

time, it will not be considered further. 

(4) Adverse impacts on health or safety. If 

it is determined that a technology will have 

significant adverse impacts on health or 

safety, it will not be considered further. 

(5) Unique-Pathway Proprietary 

Technologies. If a design option utilizes 

proprietary technology that represents a 

unique pathway to achieving a given 

efficiency level, that technology will not be 

considered further due to the potential for 

monopolistic concerns. 

Sections 6(b)(3) and 7(b) of the Process 

Rule. 

Technology options identified in the 

technology assessment are evaluated 

against these criteria using DOE 

analyses and inputs from interested 

parties (e.g., manufacturers, trade 

organizations, and energy efficiency 

advocates). Technologies that pass 

through the screening analysis are 

referred to as ‘‘design options’’ in the 

engineering analysis. Technology 

options that fail to meet one or more of 

the five criteria are eliminated from 

consideration. 

DOE requests feedback on whether 

any air cleaner technology options 

would be screened out based on the five 

screening criteria described in this 

section. DOE also requests information 

on the technologies that would be 

screened out and the screening criteria 

that would be applicable to each 

screened out technology option. 

C. Engineering Analysis 

The purpose of the engineering 

analysis is to establish the relationship 

between the efficiency and cost of 

consumer air cleaners. There are two 

elements to consider in the engineering 

analysis: The selection of efficiency 

levels to analyze (i.e., the ‘‘efficiency 

analysis’’) and the determination of 

product cost at each efficiency level 

(i.e., the ‘‘cost analysis’’). In determining 

the performance of higher-efficiency 

products, DOE considers technologies 

and design option combinations not 

eliminated by the screening analysis. 

For each product class, DOE estimates 

the baseline cost, as well as the 

incremental cost for the product at 

efficiency levels above the baseline. The 

output of the engineering analysis is a 

set of cost-efficiency ‘‘curves’’ that are 

used in downstream analyses (i.e., the 

life-cycle cost (‘‘LCC’’) analysis, payback 

period (‘‘PBP’’) analysis, and the 

national impacts analysis (‘‘NIA’’)). 

1. Efficiency Analysis 

DOE typically uses one of two 

approaches to develop energy efficiency 

levels for the engineering analysis: (1) 

Relying on observed efficiency levels in 

the market (i.e., the efficiency-level 

approach), or (2) determining the 

incremental efficiency improvements 

associated with incorporating specific 

design options to a baseline model (i.e., 

the design-option approach). Using the 

efficiency-level approach, the efficiency 

levels established for the analysis are 

determined based on the market 

distribution of existing products (in 

other words, based on the range of 

efficiencies and efficiency level 

‘‘clusters’’ that already exist on the 

market). Using the design option 

approach, the efficiency levels 

established for the analysis are 

determined through detailed 

engineering calculations and/or 

computer simulations of the efficiency 

improvements from implementing 

specific design options that have been 

identified in the technology assessment. 

DOE may also rely on a combination of 

these two approaches. For example, the 

efficiency-level approach (based on 

actual products on the market) may be 

extended using the design option 

approach to interpolate to define ‘‘gap 

fill’’ levels (to bridge large gaps between 

other identified efficiency levels) and/or 

to extrapolate to the max-tech level 

(particularly in cases where the maxtech level exceeds the maximum 

efficiency level currently available on 

the market). 

For each product class DOE analyzes, 

DOE selects a baseline model as a 

reference point against which any 

changes resulting from new or amended 

energy conservation standards can be 

measured. The baseline model in each 

product class represents the 

characteristics of common or typical 

products in that class. 

DOE requests feedback on appropriate 

baseline efficiency levels for DOE to 

apply, and the product classes to which 

these baseline efficiency levels would 

be applicable, in evaluating whether to 

establish energy conservation standards 

for consumer air cleaners. 

As part of DOE’s analysis, the 

maximum available efficiency level is 

the highest efficiency unit currently 

available on the market. DOE defines a 

‘‘max-tech’’ efficiency level to represent 

the theoretical maximum possible 

efficiency if all available design options 

are incorporated in a model. In applying 

these design options, DOE would only 

include those options that are 

compatible with each other and that 

when combined would represent the 

theoretical maximum possible 

efficiency. Often, the max-tech 

efficiency level is not commercially 

available because it is not economically 

feasible. 

DOE seeks input on identifying the 

max-tech efficiency level for consumer 

air cleaners. Additionally, for any maxtech efficiency level identified by 

stakeholders, DOE also seeks input on 

whether such a max-tech efficiency 

level would be appropriate and 

technologically feasible for potential 

consideration as possible energy 

conservation standards for consumer air 

cleaners, and if not, why not. 

DOE seeks feedback on what design 

options would be incorporated at a maxtech efficiency level, and the 

efficiencies associated with those levels. 

As part of this request, DOE also seeks 

information as to whether there are 

limitations on the use of certain 

combinations of design options. 

2. Cost Analysis 

The cost analysis portion of the 

engineering analysis is conducted using 

one or a combination of cost 

approaches. The selection of cost 

approach depends on a suite of factors, 

including availability and reliability of 

public information, characteristics of 

the regulated product, and the 

availability and timeliness of 

purchasing the product on the market. 


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20See ENERGY STAR database for air cleaners at 

https://data.energystar.gov/dataset/ENERGY-STARCertified-Room-Air-Cleaners/jmck-i55n. 

The cost approaches are summarized as 

follows: 

• Physical teardowns: Under this 

approach, DOE physically dismantles a 

commercially available product, 

component-by-component, to develop a 

detailed bill of materials for the product. 

• Catalog teardowns: In lieu of 

physically deconstructing a product, 

DOE identifies each component using 

parts diagrams (available from 

manufacturer websites or appliance 

repair websites, for example) to develop 

the bill of materials for the product. 

• Price surveys: If neither a physical 

nor catalog teardown is feasible (for 

example, for tightly integrated products 

such as fluorescent lamps, which are 

infeasible to disassemble and for which 

parts diagrams are unavailable) or costprohibitive and otherwise impractical 

(e.g., large commercial boilers), DOE 

conducts price surveys using publicly 

available pricing data published on 

major online retailer websites and/or by 

soliciting prices from distributors and 

other commercial channels. 

The resulting bill of materials 

provides the basis for the manufacturer 

production cost (‘‘MPC’’) estimates. 

DOE then applies a manufacturer 

markup to convert the MPC to 

manufacturer selling price (‘‘MSP’’). The 

manufacturer markup accounts for costs 

such as overhead and profit. 

As described at the beginning of this 

section, the main outputs of the 

engineering analysis are cost-efficiency 

relationships that describe the estimated 

increases in manufacturer production 

cost associated with higher-efficiency 

products for the analyzed product 

classes. 

DOE requests feedback on design 

options that manufacturers would use to 

increase energy efficiency in consumer 

air cleaners above the baseline. This 

includes information on the order in 

which manufacturers would incorporate 

the different technologies to 

incrementally improve efficiency of 

products. DOE also requests feedback on 

whether the increased energy efficiency 

would lead to other design changes that 

would not occur otherwise. DOE is also 

interested in information regarding any 

potential impact of design options on a 

manufacturer’s ability to incorporate 

additional functions or attributes in 

response to consumer demand. 

DOE also seeks input on the increase 

in MPC associated with incorporating 

each particular design option. DOE also 

requests information on the investments 

necessary to incorporate specific design 

options, including, but not limited to, 

costs related to new or modified tooling 

(if any), materials, engineering and 

development efforts to implement each 

design option, and manufacturing/ 

production impacts. 

DOE requests comment on whether 

certain design options may not be 

applicable to (or incompatible with) 

certain types of air cleaners. 

D. Distribution Channels and Markups 

Analysis 

DOE derives customer prices based on 

manufacturer markups as discussed, as 

well as retailer markups, distributor 

markups, contractor markups (where 

appropriate), and sales taxes. In deriving 

the retailer and distributor markups, 

DOE determines the major distribution 

channels for product sales, the markup 

associated with each party in each 

distribution channel, and the existence 

and magnitude of differences between 

markups for baseline products 

(‘‘baseline markups’’) and higherefficiency products (‘‘incremental 

markups’’). The identified distribution 

channels (i.e., how the products are 

distributed from the manufacturer to the 

consumer), and estimated relative sales 

volumes through each channel are used 

in generating end-user price inputs for 

the LCC analysis and NIA. 

DOE requests data and information on 

typical manufacturer markups for 

consumer air cleaners (i.e., the markup 

applied to the MPC to determine MSP). 

DOE requests information on the 

existence of any distribution channels 

other than the retail outlet distribution 

channel that are used to distribute 

consumer air cleaners into the market. 

E. Energy Use Analysis 

As part of the rulemaking process, 

DOE conducts an energy use analysis to 

identify how consumers use products, 

and thereby determine the energy 

savings potential of energy efficiency 

improvements. The energy use analysis 

is meant to represent typical energy 

consumption in the field. DOE will base 

the energy consumption of consumer air 

cleaners on the annual energy 

consumption as determined by the DOE 

test procedure. 

1. Consumer Samples and Market 

Breakdowns 

To estimate the energy use of 

products in field operating conditions, 

DOE typically develops consumer 

samples that are representative of 

installation and operating 

characteristics of how such products are 

used in the field, as well as distributions 

of annual energy use by application and 

market segment. In a potential energy 

conservation standards rulemaking for 

consumer air cleaners, DOE may utilize 

the most current version of the 

Residential Energy Consumption Survey 

(‘‘RECS’’) published by the U.S. Energy 

Information Administration (‘‘EIA’’) 

(currently the 2015 RECS) and the most 

current version of the Commercial 

Building Energy Consumption Survey 

(‘‘CBECS) also published by EIA 

(currently the 2012 CBECS). 

DOE requests data and information 

regarding market applications of 

consumer air cleaners and how those 

are broken down by economic sector 

(e.g., residential versus commercial). 

2. Operating Hours 

One of the key inputs to the energy 

use analysis is the number of annual 

operating hours of the product. 

As discussed, the ENERGY STAR 

database 20 assumes that a consumer air 

cleaner operates for 16 hours per day 

and is inactive for 8 hours per day, 

corresponding to 5,840 active mode 

hours per year and 2,920 inactive mode 

hours annually. 

DOE requests data or published 

reports on the number of annual 

operating hours of consumer air 

cleaners. In particular, DOE requests 

data or published reports on whether 

the annual operating hours may differ 

for any of the types of consumer air 

cleaners that would be within the scope 

of DOE’s proposed definition of 

consumer air cleaner. 

F. Life-Cycle Cost and Payback Period 

Analyses 

DOE conducts the LCC and the 

payback period (‘‘PBP’’) analyses to 

evaluate the economic effects of 

potential energy conservation standards 

for consumer air cleaners on individual 

customers. The effects of more stringent 

energy conservation standards on a 

consumer of consumer air cleaners 

include changes in operating expenses 

(usually decreased) and changes in 

purchase prices (usually increased). For 

any given efficiency level, DOE 

measures the PBP and the change in 

LCC relative to an estimated baseline 

level. The LCC is the total customer 

expense over the life of the product, 

consisting of purchase, installation, and 

operating costs (expenses for energy use, 

maintenance, and repair). Inputs to the 

calculation of total installed cost 

include the cost of the product—which 

includes the MSP, distribution channel 

markups, and sales taxes—and 

installation costs. Inputs to the 

calculation of operating expenses 

include annual energy consumption, 

energy prices and price projections, 

repair and maintenance costs, product 


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21Available online at www.sba.gov/document/ 

support--table-size-standards. 

lifetimes, discount rates, and the year 

that compliance with new and amended 

standards is required. 

DOE measures savings of potential 

standards relative to a ‘‘no-newstandards’’ case that reflects conditions 

without new and/or amended standards, 

and uses efficiency market shares to 

characterize the ‘‘no-new-standards’’ 

case product mix. By accounting for 

consumers who already purchase more 

efficient products, DOE avoids 

overstating the potential benefits from 

potential standards. 

DOE requests information on the 

current energy efficiency distribution of 

consumer air cleaners. 

DOE requests data and information on 

the installation costs of consumer air 

cleaners, and whether those vary by 

product class or any other factor 

affecting their efficiency. 

G. Repair and Maintenance Costs 

As noted, inputs to the calculation of 

operating expenses include repair and 

maintenance costs, among other factors. 

DOE requests feedback and data on 

whether maintenance costs differ in 

comparison to the baseline maintenance 

costs for any air cleaner technology 

options. 

DOE requests information and data on 

the frequency of repair, and repair and 

maintenance costs of consumer air 

cleaners. DOE is also interested in the 

market share of consumers who simply 

replace the products when they fail as 

opposed to repairing them, and factors 

that affect whether consumers decide to 

repair or replace, such as income, 

geographical location, or product 

replacement cost and repair costs. 

H. Shipments 

DOE develops shipments forecasts of 

products to calculate the national 

impacts of potential new or amended 

energy conservation standards on 

energy consumption, net present value 

(‘‘NPV’’), and future manufacturer cash 

flows. DOE shipments projections are 

typically based on available historical 

data categorized by product class, 

capacity, and energy efficiency. Current 

sales estimates allow for a more accurate 

model that captures recent trends in the 

market. 

DOE requests annual sales data (i.e., 

number of shipments) of consumer air 

cleaners from 2016 to 2020 

disaggregated to the extent possible by 

product class, capacity, energy 

efficiency level, or any other 

differentiating factor used in the 

industry. For each class/category, DOE 

also requests the fraction of sales that 

are ENERGY STAR-qualified. 

To project future shipments for the 

residential and commercial sectors, DOE 

typically uses, respectively, new 

housing starts projections and 

floorspace projections from the Annual 

Energy Outlook (AEO) as market 

drivers. 

DOE requests on the market drivers 

and saturation trends that would help 

project shipments for consumer air 

cleaners. 

I. National Impact Analysis 

The purpose of the NIA is to estimate 

the aggregate economic impacts of 

potential efficiency standards at the 

national level. The NIA assesses the 

national energy savings (‘‘NES’’) and the 

national NPV of total customer costs 

and savings that would be expected to 

result from new or amended standards 

at specific efficiency levels. 

A key component of DOE’s estimates 

of NES and NPV is the equipment 

energy efficiencies forecasted over time 

for the no-new-standards case and for 

standards cases. DOE generally analyzes 

trends in market efficiency to project the 

no-new standards case efficiency over 

the NIA analysis period. 

DOE seeks information on the 

expected efficiency trends in the 

consumer air cleaner market. 

J. Manufacturer Impact Analysis 

The purpose of the manufacturer 

impact analysis (‘‘MIA’’) is to estimate 

the financial impact of any new energy 

conservation standards on 

manufacturers of consumer air cleaners, 

and to evaluate the potential impact of 

such standards on direct employment 

and manufacturing capacity. The MIA 

includes both quantitative and 

qualitative aspects. The quantitative 

part of the MIA primarily relies on the 

Government Regulatory Impact Model 

(‘‘GRIM’’), an industry cash-flow model 

adapted for each product in this 

analysis, with the key output of industry 

net present value (‘‘INPV’’). The 

qualitative part of the MIA addresses the 

potential impacts of energy conservation 

standards on manufacturing capacity 

and industry competition, as well as 

factors such as product characteristics, 

impacts on particular subgroups of 

firms, and important market and 

product trends. 

As part of the MIA, DOE intends to 

analyze impacts of energy conservation 

standards on subgroups of 

manufacturers of covered products, 

including small business manufacturers. 

DOE uses the Small Business 

Administration’s (‘‘SBA’’) small 

business size standards to determine 

whether manufacturers qualify as small 

businesses, which are listed by the 

applicable North American Industry 

Classification System (‘‘NAICS’’) code.21

Manufacturing of portable consumer air 

cleaners is classified under NAICS 

335210, ‘‘Small Electrical Appliance 

Manufacturing, whereas manufacturing 

of non-portable consumer air cleaners is 

classified under NAICS 333413, 

‘‘Industrial and Commercial Fan and 

Blower and Air Purification Equipment 

Manufacturing.’’ The SBA sets a 

threshold of 1,500 employees or less 

and 500 or less, respectively, for a 

domestic entity to be considered as a 

small business in these industry 

categories. These employee thresholds 

include all employees in a business’ 

parent company and any other 

subsidiaries. 

One aspect of assessing manufacturer 

burden involves examining the 

cumulative impact of multiple DOE 

standards and the product-specific 

regulatory actions of other federal 

agencies that affect the manufacturers of 

a covered product. While any one 

regulation may not impose a significant 

burden on manufacturers, the combined 

effects of several existing or impending 

regulations may have serious 

consequences for some manufacturers, 

groups of manufacturers, or an entire 

industry. Assessing the impact of a 

single regulation may overlook this 

cumulative regulatory burden. In 

addition to energy conservation 

standards, other regulations can 

significantly affect manufacturers’ 

financial operations. Multiple 

regulations affecting the same 

manufacturer can strain profits and lead 

companies to abandon product lines or 

markets with lower expected future 

returns than competing products. For 

these reasons, DOE conducts an analysis 

of cumulative regulatory burden as part 

of its rulemakings pertaining to 

appliance efficiency. 

To the extent feasible, DOE seeks the 

names and contact information of any 

domestic or foreign-based 

manufacturers that distribute consumer 

air cleaners in the United States. 

In particular, DOE requests the names 

and contact information of small 

businesses, as defined by the SBA’s size 

threshold, that manufacture consumer 

air cleaners in the United States. In 

addition, DOE requests comment on any 

other manufacturer subgroups that 

could be disproportionally impacted by 

any new energy conservation standards. 

DOE requests feedback on any potential 

approaches that it could consider to 

address impacts on manufacturers, 

including small businesses. 


khammond on DSKJM1Z7X2PROD with PROPOSALS
Federal Register / Vol. 87, No. 16 / Tuesday, January 25, 2022 / Proposed Rules 3715 

DOE requests information regarding 

the cumulative regulatory burden 

impacts on manufacturers of consumer 

air cleaners associated with (1) other 

DOE standards applying to different 

products that these manufacturers may 

also make and (2) product-specific 

regulatory actions of other federal 

agencies. DOE also requests comment 

on its methodology for computing 

cumulative regulatory burden and 

whether there are any flexibilities it can 

consider that would reduce this burden 

while remaining consistent with the 

requirements of EPCA. 

IV. Submission of Comments 

DOE invites all interested parties to 

submit in writing by the date specified 

under the DATES heading, comments and 

information on matters addressed in this 

RFI and on other matters relevant to 

DOE’s consideration of establishing test 

procedure and energy conservation 

standards for consumer air cleaners. 

These comments and information will 

aid in the development of a test 

procedure NOPR and energy 

conservation standard NOPR for 

consumer air cleaners in which DOE 

determines that establishing test 

procedure and energy conservation 

standards may be appropriate for these 

products. 

Submitting comments via 

www.regulations.gov. The 

www.regulations.gov web page will 

require you to provide your name and 

contact information. Your contact 

information will be viewable to DOE 

Building Technologies staff only. Your 

contact information will not be publicly 

viewable except for your first and last 

names, organization name (if any), and 

submitter representative name (if any). 

If your comment is not processed 

properly because of technical 

difficulties, DOE will use this 

information to contact you. If DOE 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, DOE may not be 

able to consider your comment. 

However, your contact information 

will be publicly viewable if you include 

it in the comment or in any documents 

attached to your comment. Any 

information that you do not want to be 

publicly viewable should not be 

included in your comment, nor in any 

document attached to your comment. 

Following this instruction, persons 

viewing comments will see only first 

and last names, organization names, 

correspondence containing comments, 

and any documents submitted with the 

comments. 

Do not submit information to 

www.regulations.gov for which 

disclosure is restricted by statute, such 

as trade secrets and commercial or 

financial information (hereinafter 

referred to as Confidential Business 

Information (‘‘CBI’’)). Comments 

submitted through www.regulations.gov 

cannot be claimed as CBI. Anyone 

submitting comments through the 

website will waive any CBI claims for 

the information submitted. For 

information on submitting CBI, see the 

Confidential Business Information 

section. 

DOE processes submissions made 

through www.regulations.gov before 

posting. Normally, comments will be 

posted within a few days of being 

submitted. However, if large volumes of 

comments are being processed 

simultaneously, your comment may not 

be viewable for up to several weeks. 

Please keep the comment tracking 

number that www.regulations.gov 

provides after you have successfully 

uploaded your comment. 

Submitting comments via email. 

Comments and documents submitted 

via email also will be posted to 

www.regulations.gov. If you do not want 

your personal contact information to be 

publicly viewable, do not include it in 

your comment or any accompanying 

documents. Instead, provide your 

contact information on a cover letter. 

Include your first and last names, email 

address, telephone number, and 

optional mailing address. The cover 

letter will not be publicly viewable as 

long as it does not include any 

comments. 

Include contact information each time 

you submit comments, data, documents, 

and other information to DOE. Faxes 

will not be accepted. 

Comments, data, and other 

information submitted to DOE 

electronically should be provided in 

PDF (preferred), Microsoft Word or 

Excel, WordPerfect, or text (ASCII) file 

format. Provide only documents that 

are: Not secured, written in English and 

free of any defects or viruses. 

Documents should not contain special 

characters or any form of encryption 

and, if possible, they should carry the 

electronic signature of the author. 

Campaign form letters. Please submit 

campaign form letters by the originating 

organization in batches of between 50 to 

500 form letters per PDF or as one form 

letter with a list of supporters’ names 

compiled into one or more PDFs. This 

reduces comment processing and 

posting time. 

Confidential Business Information. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit via email two wellmarked copies: One copy of the 

document marked confidential 

including all the information believed to 

be confidential, and one copy of the 

document marked ‘‘non-confidential’’ 

with the information believed to be 

confidential deleted. DOE will make its 

own determination about the 

confidential status of the information 

and treat it according to its 

determination. 

It is DOE’s policy that all comments 

may be included in the public docket, 

without change and as received, 

including any personal information 

provided in the comments (except 

information deemed to be exempt from 

public disclosure). 

DOE considers public participation to 

be a very important part of the process 

for developing test procedures and 

energy conservation standards. DOE 

actively encourages the participation 

and interaction of the public during the 

comment period in each stage of this 

process. Interactions with and between 

members of the public provide a 

balanced discussion of the issues and 

assist DOE in the process. Anyone who 

wishes to be added to the DOE mailing 

list to receive future notices and 

information about this process should 

contact Appliance and Equipment 

Standards Program staff at (202) 287– 

1445 or via email at 

ApplianceStandardsQuestions@

ee.doe.gov. 

Signing Authority 

This document of the Department of 

Energy was signed on January 13, 2022, 

by Kelly J. Speakes-Backman, Principal 

Deputy Assistant Secretary for Energy 

Efficiency and Renewable Energy, 

pursuant to delegated authority from the 

Secretary of Energy. That document 

with the original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on January 14, 

2022. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

[FR Doc. 2022–01035 Filed 1–24–22; 8:45 am] 

BILLING CODE 6450–01–P 


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