[Federal Register Volume 87, Number 135 (Friday, July 15, 2022)]
[Rules and Regulations]
[Pages 42297-42308]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-13655]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[EERE-2021-BT-DET-0022]
RIN 1904-AF25


Energy Conservation Program: Final Determination of Air Cleaners 
as a Covered Consumer Product

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

ACTION: Final rule; final determination.

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SUMMARY: The U.S. Department of Energy (``DOE'') has determined that 
air cleaners qualify as a covered product under Part A of Title III of 
the Energy Policy and Conservation Act, as amended (``EPCA''). DOE has 
determined that classifying air cleaners as covered products is 
necessary or appropriate to carry out the purposes of EPCA, and that 
the average U.S. household energy use for air cleaners is likely to 
exceed 100 kilowatt-hours per year.

DATES: This final determination is effective September 13, 2022.

ADDRESSES: The docket for this rulemaking, 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, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.
    The docket web page can be found at www.regulations.gov/docket/EERE-2021-BT-DET-0022. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket.

FOR FURTHER INFORMATION CONTACT: Dr. Stephanie Johnson, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Office, EE-2J, 1000 Independence Avenue SW, Washington, DC 
20585-0121. Telephone: (202) 287-1943. Email: 
<a href="/cdn-cgi/l/email-protection#d190a1a1bdb8b0bfb2b482a5b0bfb5b0a3b5a280a4b4a2a5b8bebfa291b4b4ffb5beb4ffb6bea7"><span class="__cf_email__" data-cfemail="beffceced2d7dfd0dddbedcadfd0dadfccdacdefcbdbcdcad7d1d0cdfedbdb90dad1db90d9d1c8">[email protected]</span></a>.
    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: 
<a href="/cdn-cgi/l/email-protection#77361a121b1e1659201f1e031e1910371f065913181259101801"><span class="__cf_email__" data-cfemail="fabb979f96939bd4ad92938e93949dba928bd49e959fd49d958c">[email protected]</span></a>.

[[Page 42298]]


SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Statutory Authority
II. Current Rulemaking Process
III. General Discussion
    A. Scope of Coverage
    B. Evaluation of Air Cleaners as a Covered Product Subject to 
Energy Conservation Standards
    1. Coverage Necessary or Appropriate To Carry Out Purposes of 
EPCA
    2. Average Household Energy Use
IV. Final Determination
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866 and 13563
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act of 1969
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act of 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act of 2001
    K. Review Under Executive Order 13211
    L. Information Quality
    M. Congressional Notification
VI. Approval of the Office of the Secretary

I. Statutory Authority

    EPCA \1\ 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 consumer products, referred to generally 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. For a given consumer product to be 
classified as a covered product, the Secretary must determine that: 
classifying the product as a covered product is necessary or 
appropriate to carry out the purposes of this chapter; and the average 
annual per-household energy use by products of such type is likely to 
exceed 100 kilowatt-hours (``kWh'') (or its British thermal unit 
(``Btu'') equivalent) per year. (42 U.S.C. 6292(b)(1)) \4\
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020), which reflect the last statutory amendments that impact 
Parts A and A-1 of EPCA.
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part B was redesignated Part A.
    \3\ The 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: 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. 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. Separate 
living quarters means living quarters: to which the occupants have 
access either: directly from outside of the building, or through a 
common hall that is accessible to other living quarters and that 
does not go through someone else's living quarters, and 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.
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    When considering covering additional consumer product types, DOE 
must first determine whether these criteria from 42 U.S.C. 6292(b)(1) 
are met. Once a determination is made, the Secretary may prescribe test 
procedures to measure the energy efficiency or energy use of such 
product. (42 U.S.C. 6293(a)) Furthermore, once a product is determined 
to be a covered product, the Secretary may establish standards for such 
product, subject to the provisions in 42 U.S.C. 6295(o) and (p), 
provided that DOE determines that the additional criteria at 42 U.S.C. 
6295(l) have been met. Specifically, 42 U.S.C. 6295(l) requires the 
Secretary to determine that: the average household energy use of the 
products has exceeded 150 kWh per household for a 12-month period; the 
aggregate 12-month energy use of the products has exceeded 4,200 
gigawatt-hours; substantial improvement in energy efficiency of 
products of such type is technologically feasible; and application of a 
labeling rule under 42 U.S.C. 6294 is unlikely to be sufficient to 
induce manufacturers to produce, and consumers and other persons to 
purchase, covered products of such type (or class) that achieve the 
maximum energy efficiency that is technologically feasible and 
economically justified. (42 U.S.C. 6295(l)(1))

II. Current Rulemaking Process

    DOE has not previously conducted a rulemaking for air cleaners. DOE 
published in the Federal Register a notification of proposed 
determination of coverage (``NOPD'') on September 16, 2021 (``September 
2021 NOPD''), in which it determined tentatively that air cleaners 
satisfy the provisions of 42 U.S.C. 6292(b)(1). 86 FR 51629.
    DOE received comments in response to the September 2021 NOPD from 
the interested parties listed in Table II.1.

                    Table II--1 Written Comments Received in Response to September 2021 NOPD
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               Commenter(s)                        Abbreviation          Docket No.         Commenter type
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and             AHRI.......................            9  Trade Association.
 Refrigeration Institute (``AHRI'').
The Appliance Standards Awareness Project  ASAP et al.................            7  Efficiency Organizations.
 (``ASAP''), the American Council for an
 Energy-Efficient Economy (``ACEEE''),
 Consumer Federation of America
 (``CFA''), and the Natural Resources
 Defense Council (``NRDC'').
The Association of Home Appliance          AHAM.......................           13  Trade Association.
 Manufacturers (``AHAM'').
ACEEE, ASAP, AHAM, CFA, and NRDC.........  Joint Commenters...........           12  Efficiency Organizations
                                                                                      and Trade Association.
Carrier Corporation......................  Carrier....................            6  Manufacturer.
Corn.....................................  Corn.......................            4  Individual.
Daikin U.S. Corporation..................  Daikin.....................           10  Manufacturer.
Brassell Estate..........................  Brassell Estate............            3  Individual.
Kodiak Steel Homes.......................  KSH........................            2  Builder.
New York State Energy Research and         NYSERDA....................            5  State Agency.
 Development Authority.
Northwest Energy Efficiency Alliance.....  NEEA.......................           11  Efficiency Organization.
Pacific Gas and Electric Company, San      CA IOUs....................            8  Utility.
 Diego Gas and Electric, and Southern
 California Edison; collectively, the
 California Investor-Owned Utilities.
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[[Page 42299]]

    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\5\
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    \5\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to determine 
coverage for air cleaners. (Docket No. EERE-2021-BT-DET-0022, which 
is maintained at www.regulations.gov). The references are arranged 
as follows: (commenter name, comment docket ID number, page of that 
document). When referring to comments received on another docket, 
the docket number is included prior to the commenter's name.
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    After considering public comments on the September 2021 NOPD, DOE 
is issuing this final determination of coverage for this product. DOE 
is not prescribing test procedures or energy conservation standards as 
part of this determination.
    After publishing the September 2021 NOPD, DOE initiated rulemaking 
activities to consider potential test procedure and energy conservation 
standards for consumer air cleaners by publishing a request for 
information (``RFI'') on January 25, 2022 (``January 2022 RFI''). 87 FR 
3207.\6\ Through the January 2022 RFI, DOE sought 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, the January 2022 RFI 
solicited information regarding the development and evaluation of 
potential new energy conservation standards for air cleaners, and 
whether such standards would result in significant energy savings, be 
technologically feasible and economically justified.
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    \6\ In response to requests from stakeholders, DOE re-opened the 
comment period to the January 2022 RFI for an additional 40 days. 87 
FR 11326 (Mar. 1, 2022).
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    In response to the January 2022 RFI, DOE received certain comments 
pertaining to the scope of coverage and definition for air cleaners, 
which are discussed in the following sections. All other comments in 
response to the January 2022 RFI pertaining to the test procedure or 
standards rulemaking will be addressed in the subsequent rulemakings, 
should DOE pursue such rulemakings.

III. General Discussion

    Air cleaners are consumer products designed to remove particulate 
matter and other contaminants from the air to improve indoor air 
quality. DOE's analysis indicates that air cleaners meet the statutory 
requirements under 42 U.S.C. 6292(b)(1), and therefore issues this 
final determination that air cleaners are a covered product. DOE will 
consider test procedure and energy conservation standards rulemakings 
for air cleaners in the future. DOE will determine if air cleaners 
satisfy the provisions of 42 U.S.C. 6295(l)(1) during the course of the 
energy conservation standards rulemaking.
    While DOE received comments on specific topics in response to the 
September 2021 NOPD, discussed in sections III.A and III.B of this 
document, commenters also provided general feedback on the proposed 
determination of coverage for air cleaners.
    The Joint Commenters supported DOE's proposal to include room air 
cleaners as a covered product and stated that they are negotiating 
potential test procedures and energy conservation standards for air 
cleaners. (Joint Commenters, No. 12 at p. 1) In additional comments 
filed separately, AHAM supported DOE's efforts to establish air 
cleaners as a covered product. (AHAM, No. 13 at p. 1) AHAM also 
commented that it is working on an updated standard to measure energy 
consumption for room air cleaners, AHAM AC-7-2021 and requested DOE to 
incorporate this standard by reference, once it is published, as the 
DOE test procedure. (AHAM, No. 13 at pp. 1-2)
    The CA IOUs also supported DOE's proposal to make air cleaners a 
covered consumer product. (CA IOUs, No. 8 at p. 1) The CA IOUs cited 
the U.S. Environmental Protection Agency (``EPA'') and various State 
Technical Reference Manuals in commenting that the estimated lifetime 
of air cleaners is 9 years, and therefore, urged DOE to regulate air 
cleaners as soon as possible. (CA IOUs, No. 8 at p. 2) The CA IOUs 
encouraged DOE to work towards ensuring that air cleaners are not only 
efficient, but also meet consumer expectations for effectiveness, and 
that the information provided to consumers is clear. (CA IOUs, No. 8 at 
p. 5)
    NYSERDA estimated that a potential standard for air cleaners would 
yield 0.19 million metric tons of carbon dioxide emissions reductions 
and result in $290 million of net present value for the state of New 
York. Given the significant emissions reductions, net present value, 
anticipated continued growth in sales, and important health benefits 
delivered by air cleaners, NYSERDA supported the coverage of air 
cleaners and encouraged DOE to move quickly to establish standards and 
test procedures. NYSERDA further indicated that there are many high 
efficiency, low-priced air cleaners on the market, which would make air 
cleaners a strong candidate for DOE standards. NYSERDA commented that 
other states have started establishing standards for air cleaners and a 
federal standard, established by DOE, is thus important. (NYSERDA, No. 
5 at pp. 2-3)
    AHRI commented that DOE should account for potential conflicts that 
could be caused by multiple regulations, and enumerated the various 
performance-based requirements and state regulations applicable to air 
filters that remove particulates from the air stream in ducted forced-
air heating or cooling systems in residential and commercial buildings. 
According to AHRI, energy efficiency is important, but the main purpose 
of air cleaners it to provide clean air, which should be the primary 
focus for product design. (AHRI, No. 9 at pp. 1-3) Carrier generally 
supported the initiative to establish air cleaners as a covered 
product, but stated that the proposed definition and scope of coverage 
is broad and would include air cleaners that may not meet EPCA 
requirements. (Carrier, No. 6 at p. 1)
    Corn and the Brassell Estate supported the air cleaners coverage 
determination with Corn stating that they are vital especially given 
Covid-19. (Corn, No. 4 at p. 1; Brassell Estate, No. 3 at p. 1)
    DOE notes that many stakeholders commented in support of DOE's 
efforts to establish air cleaners as a covered consumer product. In 
this notice, DOE is classifying air cleaners as a covered product.

A. Scope of Coverage

    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 cleaner products are available on the market, 
including tabletop units, units designed for single rooms or multiple 
rooms, and whole-home units integrated into a central heating and 
cooling system. Air cleaners employ a wide variety of technologies to 
achieve the primary function of removing particulate matter and other 
contaminants from the air, and may also include other secondary 
functions that supplement or enhance the primary function such as 
providing air circulation, humidification or dehumidification, and 
other forms of indoor air quality improvement.
    EPCA does not define air cleaners. In the September 2021 NOPD, DOE 
proposed the following definition to describe the scope of ``air 
cleaners'' as a covered product:
    An air cleaner is a consumer product that:


[[Page 42300]]


    (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;
    (4) Excludes products that destroy or deactivate particulates 
and microorganisms solely by means of ultraviolet 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.

    DOE developed the definition proposed in the September 2021 NOPD 
based on reviewing definitions specified in the industry standard ANSI/
AHAM AC-1-2020, Portable Household Electric Room Air Cleaners (``ANSI/
AHAM AC-1-2020''), the definitions on the ENERGY STAR website and the 
ENERGY STAR Product Specification for Room Air Cleaners, Version 2.0, 
Rev. April--2021 (``ENERGY STAR V. 2.0 Specification''), and a wide 
variety of air cleaning consumer products currently on the market. 86 
FR 51629, 51632.
    In response to the September 2021 NOPD, the Joint Commenters stated 
that they generally agreed with DOE's proposed definition and provided 
some suggested revisions. Specifically, the Joint Commenters suggested 
the second criterion in the proposed definition to be clarified to 
state that it is a unit that includes ``an electric cord'' to 
differentiate from whole-home units. With regard to the third 
criterion, the Joint Commenters suggested edits to note that an air 
cleaner may also remove pollutants such as volatile organic compounds 
(``VOCs'') and/or microorganisms from the air, in addition to 
particulates, to include all types of air cleaner functionality. With 
regard to the fourth criterion, the Joint Commenters suggested 
replacing ``destroy or deactivate particulates and microorganisms'' 
with ``operate'' to remove language that commenters stated was not 
necessary to repeat. (Joint Commenters, No. 12 at p. 2)
    In response to the January 2022 RFI, the Joint Commenters further 
commented on DOE's proposed definition. The Joint Commenters suggested 
a definition of ``consumer room air cleaner'' as follows: Consumer room 
air cleaner means a consumer product which (1) includes conventional 
room air cleaners and miscellaneous room air cleaners; (2) is a self-
contained, mechanically encased assembly; (3) is powered by single-
phase electric current; and (4) excludes central air conditioners, room 
air conditioners, portable air conditioners, dehumidifiers, and 
furnaces, as defined in 10 CFR 430.2. (EERE-2021-BT-STD-0035, Joint 
Commenters, No. 8 at p. 2) The Joint Commenters further suggested 
definitions for the terms ``conventional room air cleaner'' and 
``miscellaneous room air cleaner'' as follows: Conventional room air 
cleaner means a consumer room air cleaner that (1) is an electric 
corded unit; (2) operates with a fan for air circulation; and (3) 
removes, destroys, and/or deactivates particulates and may also remove 
pollutants, such as VOCs and microorganisms, from the air. 
Miscellaneous room air cleaner means a consumer room air cleaner that 
(1) operates without a fan for air circulation; and (2) removes, 
destroys, and/or deactivates particulates and may also remove 
pollutants, such as VOCs and microorganisms, from the air. (Id.) The 
Joint Commenters stated that their recommended definition is restricted 
to consumer room air cleaners because that corresponds to the scope of 
products subject to their ongoing negotiations. (Id.) In particular, 
the Joint Commenters suggested clarifying that ``conventional room air 
cleaners'' have electric cords, which would differentiate portable air 
cleaners from whole-home units. (Id.)
    The Joint Commenters further stated that they no longer agree with 
DOE's proposal to exclude from coverage products that use only an 
ultraviolet (``UV'') light and do not have a fan for air circulation, 
stating that these products are already beginning to appear on the 
market and are being marketed as room air cleaners. (Id. at p. 3) The 
Joint Commenters stated that products that use UV light for air 
cleaning purposes should be addressed as air cleaners, not illumination 
devices, and that it is important for them to be included in the scope 
of coverage such that a test procedure and standards can be developed 
at some point. (Id.)
    Additionally, the Joint Commenters stated that they no longer 
recommend that DOE include the requirement for a cord for all air 
cleaners because they expect that future products might be powered via 
a terminal box, socket, or other type of direct connection. (Id.) The 
Joint Commenters stated that such possible products would include UV 
bulbs represented to be air cleaners, but may not be connected via a 
cord. (Id.)
    Daikin suggested the following additions to the air cleaners 
definition: specifying that the air cleaner be powered directly from 
120V supplied by a plug; has a maximum airflow rate of 400 cubic feet 
per minute (``CFM''); is marketed for residential use with the primary 
function of removing, destroying, or deactivating particulates and 
microorganisms from the air; and excludes products without a fan, 
products that provide incidental air cleaning, products powered by 
external transformers, or ancillary products used in conjunction with, 
or inside ducts of, heating, ventilation, and air conditioning 
(``HVAC'') equipment. (Daikin, No. 10 at pp. 2-3) Carrier provided 
similar suggestions including: specifying the air cleaner must be rated 
at 120V; designed to supply nominal airflow rate less than or equal to 
400 CFM; and marketed for the primary functions of removing, 
destroying, or deactivating particulates and microorganisms from the 
air in a residential occupancy. (Carrier, No. 6 at p. 2) Daikin 
additionally commented that since clean air delivery rate (``CADR''), 
which is the metric that is calculated in ANSI/AHAM AC-1-2020, is a 
performance metric that is determined via testing, the scope should be 
defined based on the nominal airflow rate of the unit. Daikin commented 
that air cleaners in a residential space with existing HVAC equipment 
would rarely require high CFM. According to Daikin, air cleaners with 
airflow rates of 400 CFM and above would be considered excessive and 
unnecessary for residential spaces. (Daikin, No. 10 at p. 2) Similarly, 
Carrier also commented that it did not support including large portable 
air cleaners with nominal airflow rates higher than 400 CFM typically 
used in commercial applications, since these would not meet the airflow 
limits of ANSI/AHAM AC-1-2020. (Carrier, No. 6 at p. 2) Carrier 
commented that it would be reasonable to include air cleaners that are 
currently within the scope of ANSI/AHAM AC-1-2020 and the ENERGY STAR 
V. 2.0 Specification (i.e., those with airflow rates equal to or less 
than 400 CFM) in the definition of a covered air cleaner, but asserted 
that including any other air cleaner products within the scope would 
not meet the requirements of 42 U.S.C. 6292(b)(1)(B) and therefore it 
would not be appropriate to include such products in the air cleaner 
scope of coverage. (Carrier, No. 6 at p. 3)
    In a comment in response to the January 2022 RFI, Daikin reiterated 
its concerns about products that may be included within DOE's proposed 
definition, and urged DOE to review its recommendations in Daikin's 
September 2021 NOPD comments. (Daikin, EERE-2021-BT-STD-0035, No. 12 at 
p. 2)
    AHRI suggested several revisions to the definitions DOE proposed in 
the September 2021 NOPD and reiterated these comments in response to 
the January 2022 RFI. Specifically, AHRI suggested revising the second 
criterion in DOE's proposed definition to state that an air cleaner is 
directly powered

[[Page 42301]]

by 120 volt (``V''), single-phase electric current supplied by a 
National Electrical Manufacturers Association (``NEMA'') 1-15P or 5-15P 
plug. AHRI additionally recommended including the following items in 
DOE's proposed definition of an air cleaner: is designed to supply 
airflow less than or equal to 400 CFM; is marketed for the primary 
functions of removing, destroying, or deactivating particulates and 
microorganisms from the air in a residential occupancy; excludes 
products that destroy or deactivate particulates and microorganisms 
solely by means of UV light or electrostatic air filters with or 
without a fan for air circulation; excludes products without a fan; 
and, excludes incidental air cleaning products, which AHRI defined as a 
consumer product that would meet the definition of an air cleaner, but 
which provides an additional function, not related to air purification, 
within the same housing, such as a vacuum cleaner, fresh air 
ventilators, oven hood, refrigerator, or desiccant dehumidifier, and 
whose air purification function is incidental to its other functions. 
(AHRI, No. 9 at pp. 4-5; EERE-2021-BT-STD-0035, AHRI, No. 15 at p. 5) 
In response to the January 2022 RFI, Madison Indoor Air Quality 
(``MIAQ'') provided the same suggested modifications to the proposed 
definitions in the September 2021 NOPD as suggested by AHRI in its 
comments. (EERE-2021-BT-STD-0035, MIAQ, No. 5 at pp. 4-5) AHRI and MIAQ 
asserted that the modifications it provided to the air cleaners 
definition would ensure that the scope of coverage only included 
portable, plug-in air cleaners. AHRI commented that limiting the 
voltage to ``directly powered by 120V'' would ensure that products 
powered by single-phase 240V electrical supply or through an external 
transformer would be excluded. AHRI further commented that combination 
products, as defined in the ENERGY STAR V. 2.0 Specification, and 
defined as incidental products in AHRI's comments, should also be 
excluded. (AHRI, No. 9 at pp. 5-6; EERE-2021-BT-STD-0035, AHRI, No. 15 
at pp. 5-6; EERE-2021-BT-STD-0035, MIAQ, No. 5 at pp. 4-5)
    AHRI commented that the DOE proposed definition would include 
products that are not presently included in ANSI/AHAM AC-1-2020 or 
covered by the ENERGY STAR V. 2.0 Specification. AHRI commented that 
the definition it suggested would ensure non-portable air cleaners, 
such as those that are mounted on walls and ceilings, or that provide 
whole-home cleaning in conjunction with central heating or air 
conditioning systems, would not be included in the scope of coverage. 
Further, AHRI explained that justifying a scope expansion would require 
robust analysis that would involve significant time and resources. 
(AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No. 15 at pp. 3-4) 
AHRI further commented that products with airflow rates over 400 CFM 
should be excluded from the scope of coverage because they are not 
currently covered by the ENERGY STAR V. 2.0 Specification or ANSI/AHAM 
AC-1-2020 and cannot be tested according to the ANSI/AHAM AC-1-2020 
standard. (AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No. 15 at 
p. 4)
    In response to the January 2022 RFI, MIAQ provided similar 
suggestions as AHRI for products that should be excluded from the air 
cleaner scope of coverage. MIAQ disagreed with the inclusion of non-
portable air cleaners, such as those mounted on walls and ceilings, or 
that provide whole-home air cleaning in conjunction with central 
heating or air conditioning systems. (EERE-2021-BT STD-0035, MIAQ, No. 
5 at p. 3) Further, MIAQ commented that the ANSI/AHAM AC-1-2020 
standard does not adequately cover non-portable products, and products 
with airflow rates over 450 CFM are not covered by the ENERGY STAR 
Program. (EERE-2021-BT STD-0035, MIAQ, No. 5 at p. 3)
    In response to the January 2022 RFI, Synexis LLC (``Synexis'') 
commented that the proposed DOE definition for consumer air cleaners 
does not account for all of the various technologies that exist in this 
space and could benefit from further clarification. (EERE-2021-BT-STD-
0035, Synexis, No. 14 at p. 1) Synexis agreed with the first and second 
criteria in the proposed definition, but stated that the third and 
fourth criteria could be further clarified by providing specific 
information about air cleaning mechanisms and claims associated with 
these devices (e.g., devices that utilize high efficiency particulate 
air (``HEPA''), charcoal, carbon, or minimum efficiency reporting value 
(``MERV'') filters or devices that utilize photocatalytic oxidation 
(``PCO''), bipolar ionization, or other similar technologies, etc.) 
that would be in scope. Regarding the fifth criterion, Synexis stated 
that portable air conditioners that incorporate filtration mechanisms 
with any supplemental claims related to cleaning the air (i.e., in 
addition to cooling) should not be excluded from the definition of 
consumer air cleaners. (EERE-2021-BT-STD-0035, Synexis, No. 14 at pp. 
1-2)
    Blueair commented in response to the January 2022 RFI that it 
supports the definition proposed in the September 2021 NOPD (EERE-2021-
BT-STD-0035, Blueair, No. 10 at p. 2) Lennox International Inc. 
(``Lennox'') also commented in response to the January 2022 RFI 
supporting the exclusion of UV lights from the definition, commenting 
that these products are already subject to ``lamp'' regulations. (EERE-
2021-BT-STD-0035, Lennox, No. 7 at p. 2)
    In response to the January 2022 RFI, NEEA commented that it 
supports DOE's proposal to use a broad definition for room air cleaners 
that includes both portable and mounted units, but that it also 
supports excluding other products that fit into alternate DOE product 
categories, namely those that are classified as ``lamps primarily 
designed to produce radiation in the ultraviolet region of the 
spectrum.'' (NEEA, EERE-2021-BT-STD-0035, No. 13 at p. 3) The CA IOUs 
recommended that DOE change the third criterion to state ``removes, 
destroys, and/or deactivates particulates, microorganisms, and/or 
pollutants from the air'' to encompass technologies that do a 
combination of these actions. The CA IOUs also suggested that the 
fourth criterion should be edited such that it is as comprehensive as 
the third criterion. (CA IOUs, No. 8 at p. 3) The CA IOUs commented 
that the definition of air cleaners should encompass all air cleaner 
technologies, including UV light, heat, PCO, and photoelectrochemical 
oxidation (``PECO''), beyond the fan, filters, electrostatic plates, 
and ion generators that are referenced in ANSI/AHAM AC-1-2020. (CA 
IOUs, No. 8 at p. 3)
    In response to the January 2022 RFI, the CA IOUs reiterated its 
support for DOE's proposal in the September 2021 NOPD to cover a more 
comprehensive range of the consumer market for air cleaning and 
purification, rather than just portable air cleaners. The CA IOUs 
recommended that mounted and whole-home/in-duct units as well as UV 
lamps marketed as air cleaners be within the scope of coverage. (EERE-
2021-BT-STD-0035, CA IOUs, No. 9 at pp. 9-10)
    Regarding the clause ``single-phase electric current'' in DOE's 
proposed definition in the September 2021 NOPD DOE notes that this 
phrase was intended to include air cleaners that operate at both 120V 
and 240V. DOE has identified products that are designed to operate via 
both 120V and 240V supply power, but otherwise meet the criteria of the 
proposed definition of ``air cleaner.'' To remove any potential 
misunderstanding that the definition of ``air cleaner'' is

[[Page 42302]]

limited to products that are powered via 120V supply power, in this 
final determination, DOE is adopting a definition that specifies, in 
part, that air cleaners are units that are ``electrically powered'' so 
as not to limit the definition to any particular electrical power 
source.
    Similarly, DOE is not limiting the scope of coverage to a plug-in 
or corded unit. In-duct/whole-home air cleaners are of a type that are 
distributed in commerce for residential use, but may not be ``plug-in'' 
or ``corded.'' Additionally, as the Joint Commenters noted in their 
comments in response to the January 2022 RFI, products could be powered 
via other types of direct connections that are not plug-in or corded. 
(EERE-2021-BT-STD-0035, Joint Commenters, No. 8 at p. 3) As discussed 
in the September 2021 NOPD, ANSI/AHAM AC-1-2020 includes air cleaners 
that include appropriate wall mounting brackets or specifically 
designated instructions to mount the air cleaner integrally to the 
wall, i.e., ``non-portable'' air cleaners. 86 FR 51629, 51632. DOE 
recognizes that while these products may require additional 
considerations pertaining to the installation instructions as 
``portable'' air cleaners, such air cleaners may not be ``plug-in'' or 
``corded,'' but may be of a type distributed into commerce for personal 
use.
    Further, based on an analysis of products available on the market, 
DOE notes that the pollutants that may be removed by air cleaners are 
not limited to particulate matter and microorganisms. Accordingly, DOE 
is proposing to include VOCs in the list of pollutants. DOE is 
additionally clarifying that any air cleaner that contains means to 
remove, destroy, or deactivate pollutants would be considered an air 
cleaner. DOE is revising the definition proposed in the September 2021 
NOPD to state that an air cleaner ``contains means to remove, destroy, 
or deactivate particulates, VOCs, and/or microorganisms from the air.''
    Additionally, DOE is not limiting the definition based on an 
airflow threshold (e.g., less than or equal to 400 CFM). In-duct/whole-
home air cleaners have a range of airflow specifications and such 
specifications may not adequately distinguish between air cleaners and 
air cleaning products that are commercial and industrial equipment.\7\ 
Similarly, DOE is not including additional information about the types 
of filters or technologies utilized by air cleaners, since the 
definition specified in this notice is based on the functionality 
provided by the unit and would include all types of filters and 
technology types.
---------------------------------------------------------------------------

    \7\ AprilAire Electronic Air Purifier--Model 5000 is an example 
of such a whole-home air purifier. https://www.aprilaire.com/whole-house-products/air-purifiers/model-5000.
---------------------------------------------------------------------------

    Regarding products that operate only on UV light (e.g., without a 
fan for air circulation), as discussed in the September 2021 NOPD, the 
energy-consuming component of such products would be a fluorescent lamp 
or light-emitting diode that emits light in the UV portion of the 
electromagnetic spectrum. 86 FR 51629, 51632. Accordingly, DOE would 
classify these products as a type of lamp under EPCA (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). Id. DOE did not receive any comments regarding 
how such products would be distinguished from the currently applicable 
definitions.
    Regarding products that provide functionality in addition to air 
purification within the same housing, DOE proposed to exclude certain 
products that provide air cleaning functionality in addition to other 
functionality, such as central air conditioners, room air conditioners, 
portable air conditioners, dehumidifiers, and furnaces, in the 
September 2021 NOPD. Id. DOE is retaining these exclusions in the 
adopted definition of ``air cleaner.'' DOE is also modifying the 
definition as proposed to explicitly provide that ``air cleaners'' 
means a product for improving indoor air quality to clarify that the 
term does not include products that may provide some air cleaning as an 
ancillary function (e.g., a vacuum cleaner).
    In response to the January 2022 RFI, Lennox supported the exclusion 
of air cleaners associated with central air conditioning and furnace 
systems from the scope of a DOE consumer air cleaner efficiency 
standard, asserting that those products are already covered by DOE 
standards. Additionally, Lennox commented that the ANSI/AHAM AC-1-2020 
standard and ENERGY STAR V. 2.0 Specification are only applicable to 
portable units, so air cleaners associated with central air 
conditioning and furnace systems would not be appropriate for this 
rulemaking. (EERE-2021-BT-STD-0035, Lennox, No. 7 at pp. 1-2) AHRI also 
commented that there are no test procedures to measure the energy use 
of in-duct air cleaners with only air cleaning components without a fan 
and as such, these products should be excluded from the coverage 
determination. AHRI further stated that energy conservation standards 
for portable and non-portable air cleaners, or ``incidental air 
cleaners'' (as defined by AHRI), would be different and it would not be 
appropriate to include these products in the same regulation. (AHRI, 
No. 9 at p. 6)
    Additionally, AHRI commented that DOE should exclude commercial 
products, which AHRI described as products typically used in hospitals, 
airports, commercial buildings, and laboratories and have high airflow 
and capacity not meant for residential use. AHRI stated that air 
cleaners are not on the statutory list of commercial/industrial 
equipment permissible for regulation and noted that commercial products 
typically cannot be purchased by consumers, for consumer applications. 
AHRI noted that commercial air purifiers cannot be purchased for 
personal use and installation in homes and that these products are sold 
through business-to-business sales channels. Finally, AHRI commented 
that DOE has not conducted the appropriate analysis to include 
commercial air cleaners and that adequate test procedures do not exist. 
(AHRI, No. 9 at pp. 6-7; EERE-2021-BT-STD-0035, AHRI, No. 15 at pp. 4-
5)
    In response to the January 2022 RFI, MIAQ also stated that 
commercial products should be excluded since air cleaners are not on 
the statutory list of commercial equipment permissible for regulation, 
the determination of energy savings would be substantially different 
for commercial equipment, consumer and commercial equipment are 
fundamentally different and have different statutory requirements, and 
commercial products are not available to consumers for personal use. 
(EERE-2021-BT STD-0035, MIAQ, No. 5 at pp. 3-4)
    Daikin commented that the definition of an air cleaner as proposed 
in the September 2021 NOPD is broad and could encapsulate unintended 
products. Daikin asserted that DOE did not consider whether a product 
is distributed in commerce for residential or commercial use, but 
whether it is of a type of product distributed in commerce for 
residential use. Daikin stated that air cleaners marketed and sold 
solely for commercial applications are typically not sold through 
retail stores, but rather via a contractor, dealer, or distributor, and 
such products should be excluded from the definition of an air cleaner. 
(Daikin, No. 10 at pp. 1-2) Carrier commented that it did not support 
including whole-home air cleaners in conjunction with central heating/
air conditioning systems in the

[[Page 42303]]

definition and scope of coverage. (Carrier, No. 6 at p. 1)
    Trane Technologies commented in response to the January 2022 RFI 
that permanently mounted HVAC systems in buildings are already 
substantially regulated through building codes, product standards, and 
DOE regulations, and that no further standards for these product types 
should be considered without an exhaustive and multi-stakeholder 
consultative process. (EERE-2021-BT-STD-0035, Trane Technologies, No. 3 
at p. 3)
    ASAP et al. supported a broad definition for air cleaners, such 
that it would include air cleaners such as whole-home units. (ASAP et 
al. No. 7 at p. 2) NEEA supported coverage for air cleaners, but noted 
that DOE's proposed definition did not specifically exclude whole home 
ventilation equipment. NEEA recommended clarifying the definition to 
apply only to products that have a primary purpose of removing, 
destroying, or deactivating particulates, which would exclude products 
with a secondary function of improved air quality through increased 
ventilation, such as energy recovery ventilation systems. NEEA stated 
that expanding the scope to include non-portable air cleaners may 
require future coordination with AHAM and ENERGY STAR to align 
certification requirements and definitions. (NEEA, No. 11 at p. 2)
    The purpose of the proposed definition, and the modified definition 
adopted in this final determination, is to identify the scope of 
certain consumer products (i.e., air cleaning products) that are 
covered products. In identifying whether a product is a consumer 
product for consideration as a covered product, DOE evaluates whether 
such product: in operation consumes, or is designed to consume, energy; 
and, to any significant extent, is distributed in commerce for personal 
use or consumption by individuals; without regard to whether such 
article of such type is in fact distributed in commerce for personal 
use or consumption by an individual. (42 U.S.C. 6291(1))
    DOE is also not including marketing considerations as part of the 
definition. In determining whether an air cleaning product were a 
consumer product, and therefore potentially a covered product, DOE 
would evaluate whether it is of a type of product distributed in 
commerce for residential use. (42 U.S.C. 6291(1); emphasis added)
    AHRI also commented that the ANSI/AHAM AC-1-2020 standard is not 
the appropriate test procedure for other products potentially included 
in the scope of DOE's proposed definition, such as oven hoods or fresh 
air ventilators. (AHRI, No. 9 at p. 4; EERE-2021-BT-STD-0035, AHRI, No. 
15 at p. 4)
    Daikin commented that DOE's proposed definition covers a broad 
range of products, many of which cannot be tested using ANSI/AHAM AC-1-
2020 or the ENERGY STAR V. 2.0 Specification. (Daikin, No. 10 at p. 2)
    In response to the January 2022 RFI, MIAQ stated that the ANSI/AHAM 
AC-1-2020 standard is not suitable for very large or very small 
products due to the fixed room size of the test chamber, and is not 
appropriate for other products potentially included in the proposed 
definition, such as oven hoods or fresh air ventilators. Since all of 
these products would require unique test methods, MIAQ asserted that 
they should be excluded from the air cleaner scope of coverage. (EERE-
2021-BT STD-0035, MIAQ, No. 5 at p. 3)
    KSH referenced the ENERGY STAR V. 2.0 Specification's definition 
for a plug-in type air cleaner and commented that the test method for 
plug-in type air cleaners should specify that the unit should be 
plugged in to the outlet such that the unused socket remains 
accessible. (KSH, No. 2 at p. 1)
    The CA IOUs commented that whole-home air purification solutions 
raise issues pertaining to the applicability of test procedures based 
on the installed application, and provided multiple examples in which 
according to the CA IOUs the energy use of such air purification 
systems is not addressed in DOE's current test procedures for consumer 
products. The CA IOUs also provided references to existing test 
procedures and building standards provisions \8\ that may be useful to 
DOE in its efforts to establish appropriate test procedures for such 
whole-home air purification systems. (EERE-2021-BT-STD-0035, CA IOUs, 
No. 9 at p. 11)
---------------------------------------------------------------------------

    \8\ As an example, the CA IOUs referenced ANSI/ASHRAE Standard 
62.1-2019 which prescribes certain requirements by reference to the 
UL 2998 standard regarding ozone and UV generation.
---------------------------------------------------------------------------

    AHRI additionally commented that it could not provide information 
on technology options to improve the efficiency of air cleaners until 
the scope of coverage and associate definition were amended to exclude 
non-portable products. (AHRI, No. 9 at p. 7)
    Daikin commented that it believed there may be challenges on 
further improving the energy efficiency of air cleaners due to the lack 
of potential technology options. Daikin commented that most air 
cleaners are free-air discharge cleaners, which do not have significant 
potential for energy savings. Additionally, Daikin commented that 
changes in motors and impellers, or modifications to reduce energy 
consumption in standby or off mode would not provide significant 
savings. Daikin commented that reducing energy consumption by reducing 
the pressure drop due to filters would impact the performance of air 
cleaners. (Daikin, No. 10 at p. 3) Daikin also stated that some 
products such as humidifiers or dehumidifiers may also filter/clean 
air, and the mechanism to generate airflow is the same and the energy 
consumption cannot be isolated to air cleaning only. (Daikin, No. 10 at 
p. 2) Carrier commented that it did not have additional information on 
efficiency-related technology options for air cleaners. (Carrier, No. 6 
at p. 3)
    NEEA recommended that air cleaner product classes should be 
separated by CADR/W and that standards should be established as a 
function of capacity. NEEA further recommended that DOE consider 
overall unit function when establishing standards because air cleaners 
that filter smaller particles often use more energy. (NEEA, No. 11 at 
p. 2-) NEEA also commented that efficient motors, fans, and controls 
should be investigated as design options for energy savings because the 
energy consumption of air cleaners is likely to increase in the coming 
years due to an increase in consumer interest for these products. 
(NEEA, No. 11 at p. 3) NEEA recommended that DOE include technology 
options such as UV light, heat, PCO, and PECO in its assessment of 
applicable product categories. (NEEA, No. 11 at p. 3)
    NEEA also supported the development of efficiency standards and 
test procedures for whole-home ventilation systems, but stated that 
metrics specific to such systems should be established through a 
separate rulemaking instead of combining these equipment types with air 
cleaners. (NEEA, No. 11 at p. 2) NEEA further commented that DOE should 
consider including a maximum allowable standby or partial on-mode power 
limit in any future energy conservation standard because the hours of 
operation as well as the functionality offered in standby mode (e.g., 
accent lights, heat, etc.) may vary widely. NEEA commented that DOE 
should consider efficient motors, fans, and controls as technology 
options and noted that it may be able to provide additional data 
sources through its Retail Products Platform program. (NEEA, No. 11 at 
p. 3)
    The CA IOUs recommended that DOE should take into account how air 
cleaners provide different services and applications for a variety of 
consumer

[[Page 42304]]

needs as the standard-setting process continues. They also commented 
that the technology options for air cleaners that use fans include 
multiple speed motors and sensors that automatically adjust fan speed. 
The CA IOUs also recommended an investigation into the sensitivity of 
sensors and controls, the number of fan speeds available, and the 
degree to which they can reduce energy consumption while maintaining 
performance. The CA IOUs also commented to investigate energy 
consumption in standby mode for these products. (CA IOUs, No. 8 at pp. 
3-4)
    DOE welcomes comments provided by stakeholders regarding applicable 
test procedures and potential technology options, product classes, and 
efficiency levels. However, the air cleaner definition adopted in this 
final determination establishes the coverage of ``air cleaners'' for 
the purpose of Part A of EPCA. The scope of coverage is separate from a 
determination of the applicability of test procedures or energy 
conservation standards, should DOE establish test procedures and energy 
conservation standards. The scope of any test procedure or energy 
conservation standards would be considered in these respective 
rulemakings to the extent DOE pursues such rulemakings. As such, DOE is 
not limiting the scope of ``air cleaner'' as a covered product based on 
the potential availability of an industry test standard, or other test 
procedure or standards related issues.
    Daikin commented that a labeling rule under 42 U.S.C. 6295(l)(1) 
could be a good driving factor for manufacturers and consumers to 
manufacture and consume higher efficiency products. (Daikin, No. 10 at 
pp. 3-4) DOE notes that the requirements under 42 U.S.C. 6295(l) are 
only applicable once a coverage determination has occurred and if and 
when DOE considers establishing standards.
    The CA IOUs stated that they are engaged in discussions with 
several stakeholders as part of a working group to develop further 
recommendations regarding definitions, scope, test procedures, and 
efficiency standards. The CA IOUs further commented that the working 
group is in alignment with DOE's proposal to exclude products that 
offer air purification as a secondary function, but for which the main 
functionality, and related energy consumption, is already regulated as 
a covered product, such as those for central air conditioners, 
dehumidifiers, etc. The CA IOUs suggested DOE consider recommendations 
that the working group develops. (CA IOUs, No. 8 at p. 3) DOE welcomes 
comments and recommendations from the working group and will consider 
developments made by the working group on matters concerning 
definitions, scope, test procedures, and efficiency standards during 
the appropriate stage of each rulemaking.
    In summary, based on the preceding discussion, DOE is defining 
``air cleaner'' as a product for improving indoor air quality, other 
than a central air conditioner, room air conditioner, portable air 
conditioner, dehumidifier, or furnace, that is an electrically-powered, 
self-contained, mechanically encased assembly that contains means to 
remove, destroy, or deactivate particulates, VOCs, and/or 
microorganisms from the air. It excludes products that operate solely 
by means of ultraviolet light without a fan for air circulation.

B. Evaluation of Air Cleaners as a Covered Product Subject to Energy 
Conservation Standards

    The following sections describe DOE's evaluation of whether air 
cleaners fulfill the criteria for being added as a covered product 
pursuant to 42 U.S.C. 6292(b)(1). As stated, DOE may classify a 
consumer product as a covered product if:
    (1) Classifying products of such type as covered products is 
necessary or appropriate to carry out the purposes of EPCA; and
    (2) The average annual per-household energy use by products of such 
type is likely to exceed 100 kWh (or its Btu equivalent) per year.
1. Coverage Necessary or Appropriate To Carry Out Purposes of EPCA
    DOE has determined that coverage of air cleaners is necessary or 
appropriate to carry out the purposes of EPCA, which include:
    (1) To conserve energy supplies through energy conservation 
programs, and, where necessary, the regulation of certain energy uses; 
and
    (2) To provide for improved energy efficiency of motor vehicles, 
major appliances, and certain other consumer products. (42 U.S.C. 
6201(4) and (5))
    In the September 2021 NOPD, DOE cited data presented by EPA for the 
ENERGY STAR Air Cleaners Program that estimated that overall shipments 
of room air cleaners (a subset of the products covered by the 
definition of ``air cleaner'' adopted in this final determination) were 
5.17 million units. 86 FR 51629, 51633. DOE also referenced the energy 
consumption ratings contained in the ENERGY STAR database of certified 
room air cleaners,\9\ which demonstrated significant variation in the 
total energy consumption among different models,\10\ suggesting that 
technologies exist to reduce the energy consumption of air cleaners. 
Id. DOE requested data and information regarding current annual 
shipments of air cleaners and the installed base of air cleaners. Id.
---------------------------------------------------------------------------

    \9\ The ENERGY STAR Product Specification 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.'' See Eligibility Criteria Version 2.0, Rev. April 2021, 
available at https://www.energystar.gov/sites/default/files/ENERGY%20STAR%20Version%202.0%20Room%20Air%20Cleaners%20Specification_Rev%20April%202021_with%20Partner%20Commitments.pdf.
    \10\ ENERGY STAR Certified Room Air Cleaners Database. Accessed 
June 24, 2021. Available online at www.energystar.gov/productfinder/product/certified-room-air-cleaners/.
---------------------------------------------------------------------------

    AHRI agreed with DOE's estimates of shipments data, based on EPA 
and AHAM data. (AHRI, No. 9 at p. 7) ASAP et al. commented that the 
most recent ENERGY STAR data for 2020 reported 6.5 million shipments of 
ENERGY STAR-certified units,\11\ total shipments are likely 
significantly greater, and product demand in the residential sector is 
projected to grow at a CAGR of 6.2 percent through 2028.\12\ 
Furthermore, ASAP et al. cited ENERGY STAR data to assert that air 
cleaners represent a large potential for energy savings. In particular, 
ASAP et al. stated that ENERGY STAR-certified room air cleaners are 
more than 25 percent more efficient than standard models and that the 
minimum CADR per watt (``CADR/W'') rating in the current ENERGY STAR 
database ranged from 1.9 to 2.9 CADR/W; the most efficient models had 
rated values of 14.8 CADR/W. (ASAP et al., No. 7 at p. 1)
---------------------------------------------------------------------------

    \11\ www.energystar.gov/sites/default/files/asset/document/2020%20USD%20Summary%20Report_Lighting%20%20EVSE%20Update.pdf. EPA 
did not report the ENERGY STAR market penetration of room air 
cleaners for 2020 ``due to indications of dramatic changes in the 
market in 2020 that are inconsistent with previous market trends.''
    \12\ www.grandviewresearch.com/industry-analysis/us-air-purifier-market.
---------------------------------------------------------------------------

    ASAP et al. commented that the most recent ENERGY STAR unit 
shipment data for room air cleaners is 6.5 million shipments of ENERGY 
STAR-certified units, and commented that the estimated market 
penetration is not provided in the ENERGY STAR data. Using the most 
recent year in which ENERGY STAR provided market penetration data 
(2019), DOE approximates that roughly 40 percent of the market is at or 
above the ENERGY STAR level and estimates the total shipments of room 
air cleaners to be approximately 16 million units.

[[Page 42305]]

    DOE has determined that the coverage of air cleaners is both 
necessary and appropriate to carry out the purposes of EPCA. As 
indicated by the ENERGY STAR and shipments data, air cleaners comprise 
a significant and growing sector of the consumer products market. As a 
coverage determination is a prerequisite to establishing standards for 
these products, classifying air cleaners as a covered product is 
necessary and appropriate to carry out EPCA's purposes to: Conserve 
energy supplies through energy conservation programs; and provide for 
improved energy efficiency of major appliances and certain other 
consumer products. (42 U.S.C. 6201(4) and (5))
2. Average Household Energy Use
    In the September 2021 NOPD, DOE estimated the average household 
energy use for air cleaners, in households that use the product, using 
power consumption data reported in the ENERGY STAR product 
database.\13\ 86 FR 51629, 51633. The ENERGY STAR database is the only 
publicly available source, of which DOE is aware, that provides energy 
consumption data for air cleaners. For each model, the database lists 
the annual energy use in kilowatt-hours per year (``kWh/yr''), along 
with other relevant performance metrics, as measured according to ANSI/
AHAM AC-1-2020. 86 FR 51629, 51633. In the September 2021 NOPD, DOE 
estimated the average annual energy consumption of air cleaners to be 
299 kWh/yr among all models in the ENERGY STAR database. DOE also noted 
that the ENERGY STAR program estimated that standard (i.e., non-ENERGY 
STAR qualified) consumer air cleaners operating continuously use around 
550 kWh/yr.\14\ DOE requested data and information regarding annual 
energy use estimates for air cleaners. 86 FR 51629, 51633.
---------------------------------------------------------------------------

    \13\ www.energystar.gov/productfinder/product/certified-room-air-cleaners/results.
    \14\ Air Purifiers (Cleaners). Accessed June 28, 2021. Available 
online at: www.energystar.gov/products/air_purifiers_cleaners.
---------------------------------------------------------------------------

    The CA IOUs commented that the average household energy use from 
air cleaners likely exceeds the thresholds set by 42 U.S.C. 6292(b)(1) 
and 42 U.S.C. 6295(l), stating that the annual energy consumption of 
ENERGY STAR products currently listed is nearly 300 kWh/yr and 
estimating 450 kWh/yr for non-ENERGY STAR units. (CA IOUs, No. 8 at p. 
2) The CA IOUs further stated that the hours of use for air cleaners 
would likely vary based on household needs and there was a wide range 
of estimates in federal and state sources. The CA IOUs asserted that, 
based on various sources, air cleaners may be operated between 6 and 24 
hours per day.\15\ (CA IOUs, No. 8 at p. 2) The CA IOUs commented that 
DOE should account for the variable hours of operation for air cleaners 
depending on consumer needs. The CA IOUs provided examples in which 
some air cleaners may run constantly but seasonally to counter high 
pollen content or wildfire smoke, while others may be used during all 
seasons but only during portions of the day. (CA IOUs, No. 8 at p. 54) 
The CA IOUs also stated that while only a minority of households owned 
air cleaners, of those owners, more than 20 percent had at least two 
air cleaners, based on California Residential Appliance Saturation 
Survey (``RASS'') data. (CA IOUs No. 8 at p. 2)
---------------------------------------------------------------------------

    \15\ The CA IOUs commented that in a 2018 technical summary 
titled, Residential Air Cleaners, EPA stated that ``air cleaning is 
limited to less than 25 percent of the 8,760 hours in a year'', 
which translates to 6 hours per day.
---------------------------------------------------------------------------

    AHRI commented that it was difficult to provide data and 
information regarding annual energy use estimates for air cleaners, 
particularly for products not covered by the ENERGY STAR Program, such 
as non-portable products (wall mounted, ceiling-mounted, and whole home 
units). (AHRI No. 9 at p. 7) Carrier commented that it did not have 
information on energy use estimates for air cleaners, and stated that 
it is unlikely this data exists for whole-home air cleaners and large 
portable air cleaners with nominal airflow above 400 CFM because there 
is not a standard test procedure for these products. (Carrier No. 6 at 
p.3) Daikin commented that it did not have information on typical 
operational hours of air cleaners. (Daikin No. 10 at p. 3)
    AHRI urged DOE to publish its energy use analysis for the proposed 
determination. According to AHRI different types of air cleaners employ 
different technologies with distinctly different energy use patterns 
and hours of operation, which should be accounted for in the energy use 
analysis. (AHRI No. 9 at p. 6) Daikin asked if DOE's annual energy use 
estimate considered number of operating hours and also requested DOE to 
provide its methodology for the calculation of annual energy use. 
Daikin noted that this same methodology could be applied to non-ENERGY 
STAR qualified products to obtain data. (Daikin No. 10 at p.3)
    In the absence of additional data, DOE is using the estimates 
available from the ENERGY STAR database to estimate the energy use for 
this final determination. The ENERGY STAR database includes products 
with various technologies and EPA notes in the ENERGY STAR database 
that it calculates the annual energy consumption based on an estimated 
16 hours/day in active mode (also referred to as on mode or operating 
mode) and 8 hours/day in standby mode (or inactive mode). DOE has used 
these estimates for its energy use analysis. The ENERGY STAR database 
includes a range of air cleaners with reported annual energy 
consumption ranging from 123 kWh/yr to 770 kWh/yr, with an average 
annual energy consumption of 299 kWh/yr. The average energy consumption 
of non-ENERGY STAR qualified models is likely higher.
    Although the ENERGY STAR program covers only portable 
configurations of air cleaners, the similarity in fundamental design 
and operation (i.e., a fan or other means for air circulation and a 
means for of removing, destroying, or deactivating contaminants from 
the air) of non-portable products (e.g., wall-mounted, ceiling-mounted, 
whole-home units) indicates that non-portable air cleaners are likely 
to have similar or higher energy consumption as compared to portable 
air cleaners.
    Based on this analysis, DOE determines that the average annual per-
household energy use for air cleaners is likely to exceed 100 kWh/yr, 
satisfying the provisions of 42 U.S.C. 6292(b)(1).

IV. Final Determination

    Based on the foregoing discussion, DOE concludes that including air 
cleaners, as defined in this final determination, as covered products 
is necessary and appropriate to carry out the purposes of EPCA, and the 
average annual per-household energy use by products of such type is 
likely to exceed 100 kWh/yr. Based on the information discussed in 
sections III.B of this final determination, DOE is classifying air 
cleaners as covered product.
    This final determination does not establish test procedures or 
energy conservation standards for air cleaners. DOE will address test 
procedures and energy conservation standards through its normal 
rulemaking process.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866 and 13563

    Executive Order (``E.O.'') 12866, ``Regulatory Planning and 
Review,'' as supplemented and reaffirmed by E.O. 13563, ``Improving 
Regulation and Regulatory Review, 76 FR 3821 (Jan. 21, 2011), requires 
agencies, to the extent permitted by law, to (1) propose or adopt a 
regulation only upon a reasoned

[[Page 42306]]

determination that its benefits justify its costs (recognizing that 
some benefits and costs are difficult to quantify); (2) tailor 
regulations to impose the least burden on society, consistent with 
obtaining regulatory objectives, taking into account, among other 
things, and to the extent practicable, the costs of cumulative 
regulations; (3) select, in choosing among alternative regulatory 
approaches, those approaches that maximize net benefits (including 
potential economic, environmental, public health and safety, and other 
advantages; distributive impacts; and equity); (4) to the extent 
feasible, specify performance objectives, rather than specifying the 
behavior or manner of compliance that regulated entities must adopt; 
and (5) identify and assess available alternatives to direct 
regulation, including providing economic incentives to encourage the 
desired behavior, such as user fees or marketable permits, or providing 
information upon which choices can be made by the public. DOE 
emphasizes as well that E.O. 13563 requires agencies to use the best 
available techniques to quantify anticipated present and future 
benefits and costs as accurately as possible. In its guidance, the 
Office of Information and Regulatory Affairs (``OIRA'') in the Office 
of Management and Budget (``OMB'') has emphasized that such techniques 
may include identifying changing future compliance costs that might 
result from technological innovation or anticipated behavioral changes. 
For the reasons stated in the preamble, this proposed regulatory action 
is consistent with these principles.
    Section 6(a) of E.O. 12866 also requires agencies to submit 
``significant regulatory actions'' to OIRA for review. OIRA has 
determined that this regulatory action does not constitute a 
``significant regulatory action'' under section 3(f) of E.O. 12866. 
Accordingly, this action was not submitted to OIRA for review under 
E.O. 12866. This determination has been determined to be not 
significant for purposes of E.O. 12866. As a result, OMB did not review 
this determination.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment and a 
final regulatory flexibility analysis (``FRFA'') for any such rule that 
an agency adopts as a final rule, unless the agency certifies that the 
rule, if promulgated, will not have a significant economic impact on a 
substantial number of small entities. As required by E.O. 13272, 
``Proper Consideration of Small Entities in Agency Rulemaking,'' 67 FR 
53461 (Aug. 16, 2002), DOE published procedures and policies on 
February 19, 2003, to ensure that the potential impacts of its rules on 
small entities are properly considered during the rulemaking process. 
68 FR 7990. DOE has made its procedures and policies available on the 
Office of the General Counsel's website (www.energy.gov/gc/office-general-counsel).
    DOE reviewed this determination under the provisions of the 
Regulatory Flexibility Act and the policies and procedures published on 
February 19, 2003. This determination sets no standards; it only 
positively determines that future standards may be warranted and should 
be explored in an energy conservation standards and test procedure 
rulemaking. Economic impacts on small entities would be considered in 
the context of such rulemakings. On the basis of the foregoing, DOE 
certifies that the coverage determination would have no significant 
economic impact on a substantial number of small entities. Accordingly, 
DOE has not prepared a FRFA for this determination. DOE will transmit 
this certification and supporting statement of factual basis to the 
Chief Counsel for Advocacy of the Small Business Administration for 
review under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act

    This determination, which concludes that air cleaners meet the 
criteria for a covered product for which the Secretary may prescribe an 
energy conservation standard pursuant to 42 U.S.C. 6295(o) and (p), 
imposes no new information or record-keeping requirements. Accordingly, 
the OMB clearance is not required under the Paperwork Reduction Act. 
(44 U.S.C. 3501 et seq.)

D. Review Under the National Environmental Policy Act of 1969

    Pursuant to the National Environmental Policy Act of 1969 
(``NEPA''), DOE has analyzed this proposed action rule in accordance 
with NEPA and DOE's NEPA implementing regulations (10 CFR part 1021). 
DOE analyzed this regulation in accordance with the National 
Environmental Policy Act (``NEPA'') and DOE's NEPA implementing 
regulations (10 CFR part 1021). DOE has determined that this rule 
qualifies for categorical exclusion under 10 CFR part 1021, subpart D, 
appendix A6. This rulemaking qualifies for categorical exclusion A6 
because it is a strictly procedural rulemaking and otherwise meets the 
requirements for application of a categorical exclusion. See 10 CFR 
1021.410. In this final determination, DOE positively determines that 
future standards may be warranted and that environmental impacts should 
be explored in an energy conservation standards rulemaking. Therefore, 
DOE has determined that promulgation of this rule is not a major 
Federal action significantly affecting the quality of the human 
environment within the meaning of NEPA, and does not require an 
environmental assessment or an environmental impact statement.

E. Review Under Executive Order 13132

    E.O. 13132, ``Federalism,'' 64 FR 43255 (Aug. 10, 1999), imposes 
certain requirements on Federal agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. The Executive order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this determination and 
concludes that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
product that is the subject of this determination. States can petition 
DOE for exemption from such preemption to the extent, and based on 
criteria, set forth in EPCA. (42 U.S.C. 6297) Therefore, no further 
action is required by E.O. 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of E.O. 12988, ``Civil 
Justice Reform,'' imposes on Federal agencies the general duty to 
adhere to the following requirements: (1) eliminate drafting errors and 
ambiguity, (2) write regulations to

[[Page 42307]]

minimize litigation, (3) provide a clear legal standard for affected 
conduct rather than a general standard, and (4) promote simplification 
and burden reduction. 61 FR 4729 (Feb. 7, 1996). Regarding the review 
required by section 3(a), section 3(b) of E.O. 12988 specifically 
requires that executive agencies make every reasonable effort to ensure 
that the regulation: (1) clearly specifies the preemptive effect, if 
any, (2) clearly specifies any effect on existing Federal law or 
regulation, (3) provides a clear legal standard for affected conduct 
while promoting simplification and burden reduction, (4) specifies the 
retroactive effect, if any, (5) adequately defines key terms, and (6) 
addresses other important issues affecting clarity and general 
draftsmanship under any guidelines issued by the Attorney General. 
Section 3(c) of E.O. 12988 requires executive agencies to review 
regulations in light of applicable standards in section 3(a) and 
section 3(b) to determine whether they are met or it is unreasonable to 
meet one or more of them. DOE has completed the required review and 
determined that, to the extent permitted by law, this determination 
meets the relevant standards of E.O. 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments, and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA requires a Federal agency to develop 
an effective process to permit timely input by elected officers of 
State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirement that might 
significantly or uniquely affect them. On March 18, 1997, DOE published 
a statement of policy on its process for intergovernmental consultation 
under UMRA. 62 FR 12820. DOE's policy statement is also available at 
www.energy.gov/sites/prod/files/gcprod/documents/umra_97.pdf.
    DOE examined this determination according to UMRA and its statement 
of policy and determined that the determination does not contain a 
Federal intergovernmental mandate, nor is it expected to require 
expenditures of $100 million or more in any one year by State, local, 
and Tribal governments, in the aggregate, or by the private sector. As 
a result, the analytical requirements of UMRA do not apply.

H. Review Under the Treasury and General Government Appropriations Act 
of 1999

    Section 654 of the Treasury and General Government Appropriations 
Act of 1999 (Pub. L. 105-277) requires Federal agencies to issue a 
Family Policymaking Assessment for any rule that may affect family 
well-being. This determination would not have any impact on the 
autonomy or integrity of the family as an institution. Accordingly, DOE 
has concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

    Pursuant to E.O. 12630, ``Governmental Actions and Interference 
with Constitutionally Protected Property Rights'' 53 FR 8859 (Mar. 15, 
1988), DOE has determined that this determination would not result in 
any takings that might require compensation under the Fifth Amendment 
to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act 
of 2001

    Section 515 of the Treasury and General Government Appropriation 
Act, 2001 (44 U.S.C. 3516, note) provides for Federal agencies to 
review most disseminations of information to the public under 
information quality guidelines established by each agency pursuant to 
general guidelines issued by OMB. OMB's guidelines were published at 67 
FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR 
62446 (Oct. 7, 2002). Pursuant to OMB Memorandum M-19-15, Improving 
Implementation of the Information Quality Act (April 24, 2019), DOE 
published updated guidelines which are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this determination under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    E.O. 13211, ``Actions Concerning Regulations That Significantly 
Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 (May 22, 
2001), requires Federal agencies to prepare and submit to OIRA a 
Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgates or is expected to lead to promulgation of a final 
rule, and that (1) is a significant regulatory action under E.O. 12866, 
or any successor Executive order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use should the proposal be implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This determination, which does not amend or establish energy 
conservation standards for air cleaners, is not a significant 
regulatory action under E. O. 12866. Moreover, it would not have a 
significant adverse effect on the supply, distribution, or use of 
energy, nor has it been designated as such by the Administrator at 
OIRA. Accordingly, DOE has not prepared a Statement of Energy Effects.

L. Information Quality

    On December 16, 2004, OMB, in consultation with the Office of 
Science and Technology Policy (``OSTP''), issued its Final Information 
Quality Bulletin for Peer Review (``the Bulletin''). 70 FR 2664 (Jan. 
14, 2005). The Bulletin establishes that certain scientific information 
shall be peer reviewed by qualified specialists before it is 
disseminated by the Federal Government, including influential 
scientific information related to agency regulatory actions. The 
purpose of the bulletin is to enhance the quality and credibility of 
the Government's scientific information. Under the Bulletin, the energy 
conservation standards rulemaking analyses are ``influential scientific 
information,'' which the Bulletin defines as ``scientific information 
the agency reasonably can determine will have, or does have, a clear 
and substantial impact on important public policies or private sector 
decisions.'' Id. at 70 FR 2667.
    In response to OMB's Bulletin, DOE conducted formal peer reviews of 
the energy conservation standards

[[Page 42308]]

development process and the analyses that are typically used and has 
prepared a Peer Review report pertaining to the energy conservation 
standards rulemaking analyses.\16\ Generation of this report involved a 
rigorous, formal, and documented evaluation using objective criteria 
and qualified and independent reviewers to make a judgment as to the 
technical/scientific/business merit, the actual or anticipated results, 
and the productivity and management effectiveness of programs and/or 
projects. Because available data, models, and technological 
understanding have changed since 2007, DOE has engaged with the 
National Academy of Sciences to review DOE's analytical methodologies 
to ascertain whether modifications are needed to improve the 
Department's analyses. DOE is in the process of evaluating the 
resulting report.\17\
---------------------------------------------------------------------------

    \16\ ``Energy Conservation Standards Rulemaking Peer Review 
Report.'' 2007. Available at www.energy.gov/eere/buildings/downloads/energy-conservation-standards-rulemaking-peer-review-report-0.
    \17\ The report is available at www.nationalacademies.org/our-work/review-of-methods-for-setting-building-and-equipment-performance-standards.
---------------------------------------------------------------------------

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this final determination prior to its effective date. 
The report will state that it has been determined that the final 
determination is not a ``major rule'' as defined by 5 U.S.C. 804(2).

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
determination.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Intergovernmental relations, 
Reporting and recordkeeping requirements, Small businesses.

Signing Authority

    This document of the Department of Energy was signed on June 21, 
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 June 22, 2022.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE amends part 430 of 
Chapter II of Title 10, Code of Federal Regulations as set forth below:

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

0
1. The authority citation for part 430 continues to read as follows:

    Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.


0
2. Section 430.2 is amended by adding in alphabetical order the 
definition of ``air cleaner'' to read as follows:


Sec.  430.2   Definitions.

* * * * *
    Air cleaner means a product for improving indoor air quality, other 
than a central air conditioner, room air conditioner, portable air 
conditioner, dehumidifier, or furnace, that is an electrically-powered, 
self-contained, mechanically encased assembly that contains means to 
remove, destroy, or deactivate particulates, VOC, and/or microorganisms 
from the air. It excludes products that operate solely by means of 
ultraviolet light without a fan for air circulation.
* * * * *
[FR Doc. 2022-13655 Filed 7-14-22; 8:45 am]
BILLING CODE 6450-01-P


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