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Electronic Code of Federal Regulations

e-CFR data is current as of November 12, 2019

Title 10Chapter IISubchapter DPart 430 → Subpart C


Title 10: Energy
PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS


Subpart C—Energy and Water Conservation Standards


Contents
§430.31   Purpose and scope.
§430.32   Energy and water conservation standards and their compliance dates.
§430.33   Preemption of State regulations.
§430.34   Energy and water conservation standards amendments
§430.35   Petitions with respect to general service lamps.
Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products

§430.31   Purpose and scope.

This subpart contains energy conservation standards and water conservation standards (in the case of faucets, showerheads, water closets, and urinals) for classes of covered products that are required to be administered by the Department of Energy pursuant to the Energy Conservation Program for Consumer Products Other Than Automobiles under the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291 et seq.).

[63 FR 13317, Mar. 18, 1998, as amended at 78 FR 62993, Oct. 23, 2013]

§430.32   Energy and water conservation standards and their compliance dates.

The energy and water (in the case of faucets, showerheads, water closets, and urinals) conservation standards for the covered product classes are:

(a) Refrigerators/refrigerator-freezers/freezers. These standards do not apply to refrigerators and refrigerator-freezers with total refrigerated volume exceeding 39 cubic feet (1104 liters) or freezers with total refrigerated volume exceeding 30 cubic feet (850 liters). The energy standards as determined by the equations of the following table(s) shall be rounded off to the nearest kWh per year. If the equation calculation is halfway between the nearest two kWh per year values, the standard shall be rounded up to the higher of these values.

The following standards remain in effect from July 1, 2001 until September 15, 2014:

Product classEnergy standard equations for maximum energy use
(kWh/yr)
1. Refrigerators and refrigerator-freezers with manual defrost8.82AV + 248.4
0.31av + 248.4
2. Refrigerator-freezers—partial automatic defrost8.82AV + 248.4
0.31av + 248.4
3. Refrigerator-freezers—automatic defrost with top-mounted freezer without through-the-door ice service and all-refrigerator—automatic defrost9.80AV + 276.0
0.35av + 276.0
4. Refrigerator-freezers—automatic defrost with side-mounted freezer without through-the-door ice service4.91AV + 507.5
0.17av + 507.5
5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service4.60AV + 459.0
0.16av + 459.0
6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service10.20AV + 356.0
0.36av + 356.0
7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service10.10AV + 406.0
0.36av + 406.0
8. Upright freezers with manual defrost7.55AV + 258.3
0.27av + 258.3
9. Upright freezers with automatic defrost12.43AV + 326.1
0.44av + 326.1
10. Chest freezers and all other freezers except compact freezers9.88AV + 143.7
0.35av + 143.7
11. Compact refrigerators and refrigerator-freezers with manual defrost10.70AV + 299.0
0.38av + 299.0
12. Compact refrigerator-freezer—partial automatic defrost7.00AV + 398.0
0.25av + 398.0
13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer and compact all-refrigerator—automatic defrost12.70AV + 355.0
0.45av + 355.0
14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer7.60AV + 501.0
0.27av + 501.0
15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer13.10AV + 367.0
0.46av + 367.0
16. Compact upright freezers with manual defrost9.78AV + 250.8
0.35av + 250.8
17. Compact upright freezers with automatic defrost11.40AV + 391.0
0.40av + 391.0
18. Compact chest freezers10.45AV + 152.0
0.37av + 152.0

AV: Adjusted Volume in ft3; av: Adjusted Volume in liters (L).

The following standards apply to products manufactured starting on September 15, 2014:


Product class
Equations for maximum energy use
(kWh/yr)
Based on AV (ft3)Based on av (L)
1. Refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost7.99AV + 225.00.282av + 225.0
1A. All-refrigerators—manual defrost6.79AV + 193.60.240av + 193.6
2. Refrigerator-freezers—partial automatic defrost7.99AV + 225.00.282av + 225.0
3. Refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker8.07AV + 233.70.285av + 233.7
3-BI. Built-in refrigerator-freezer—automatic defrost with top-mounted freezer without an automatic icemaker9.15AV + 264.90.323av + 264.9
3I. Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service8.07AV + 317.70.285av + 317.7
3I-BI. Built-in refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service9.15AV + 348.90.323av + 348.9
3A. All-refrigerators—automatic defrost7.07AV + 201.60.250av + 201.6
3A-BI. Built-in All-refrigerators—automatic defrost8.02AV + 228.50.283av + 228.5
4. Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker8.51AV + 297.80.301av + 297.8
4-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker10.22AV + 357.40.361av + 357.4
4I. Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service8.51AV + 381.80.301av + 381.8
4I-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service10.22AV + 441.40.361av + 441.4
5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker8.85AV + 317.00.312av + 317.0
5-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker9.40AV + 336.90.332av + 336.9
5I. Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service8.85AV + 401.00.312av + 401.0
5I-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service9.40AV + 420.90.332av + 420.9
5A. Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service9.25AV + 475.40.327av + 475.4
5A-BI. Built-in refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service9.83AV + 499.90.347av + 499.9
6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service8.40AV + 385.40.297av + 385.4
7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service8.54AV + 432.80.302av + 432.8
7-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service10.25AV + 502.60.362av + 502.6
8. Upright freezers with manual defrost5.57AV + 193.70.197av + 193.7
9. Upright freezers with automatic defrost without an automatic icemaker8.62AV + 228.30.305av + 228.3
9I. Upright freezers with automatic defrost with an automatic icemaker8.62AV + 312.30.305av + 312.3
9-BI. Built-In Upright freezers with automatic defrost without an automatic icemaker9.86AV + 260.90.348av + 260.9
9I-BI. Built-in upright freezers with automatic defrost with an automatic icemaker9.86AV + 344.90.348av + 344.9
10. Chest freezers and all other freezers except compact freezers7.29AV + 107.80.257av + 107.8
10A. Chest freezers with automatic defrost10.24AV + 148.10.362av + 148.1
11. Compact refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost9.03AV + 252.30.319av + 252.3
11A.Compact all-refrigerators—manual defrost7.84AV + 219.10.277av + 219.1
12. Compact refrigerator-freezers—partial automatic defrost5.91AV + 335.80.209av + 335.8
13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer11.80AV + 339.20.417av + 339.2
13I. Compact refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker11.80AV + 423.20.417av + 423.2
13A. Compact all-refrigerators—automatic defrost9.17AV + 259.30.324av + 259.3
14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer6.82AV + 456.90.241av + 456.9
14I. Compact refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker6.82AV + 540.90.241av + 540.9
15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer11.80AV + 339.20.417av + 339.2
15I. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker11.80AV + 423.20.417av + 423.2
16. Compact upright freezers with manual defrost8.65AV + 225.70.306av + 225.7
17. Compact upright freezers with automatic defrost10.17AV + 351.90.359av + 351.9
18. Compact chest freezers9.25AV + 136.80.327av + 136.8

AV = Total adjusted volume, expressed in ft3, as determined in appendices A and B of subpart B of this part.

av = Total adjusted volume, expressed in Liters.

(b) Room air conditioners.

Product classEnergy efficiency ratio, effective from Oct. 1, 2000 to
May 31, 2014
Combined energy
efficiency ratio,
effective as of
June 1, 2014
1. Without reverse cycle, with louvered sides, and less than 6,000 Btu/h9.711.0
2. Without reverse cycle, with louvered sides, and 6,000 to 7,999 Btu/h9.711.0
3. Without reverse cycle, with louvered sides, and 8,000 to 13,999 Btu/h9.810.9
4. Without reverse cycle, with louvered sides, and 14,000 to 19,999 Btu/h9.710.7
5a. Without reverse cycle, with louvered sides, and 20,000 to 27,999 Btu/h8.59.4
5b. Without reverse cycle, with louvered sides, and 28,000 Btu/h or more8.59.0
6. Without reverse cycle, without louvered sides, and less than 6,000 Btu/h9.010.0
7. Without reverse cycle, without louvered sides, and 6,000 to 7,999 Btu/h9.010.0
8a. Without reverse cycle, without louvered sides, and 8,000 to 10,999 Btu/h8.59.6
8b. Without reverse cycle, without louvered sides, and 11,000 to 13,999 Btu/h8.59.5
9. Without reverse cycle, without louvered sides, and 14,000 to 19,999 Btu/h8.59.3
10. Without reverse cycle, without louvered sides, and 20,000 Btu/h or more8.59.4
11. With reverse cycle, with louvered sides, and less than 20,000 Btu/h9.09.8
12. With reverse cycle, without louvered sides, and less than 14,000 Btu/h8.59.3
13. With reverse cycle, with louvered sides, and 20,000 Btu/h or more8.59.3
14. With reverse cycle, without louvered sides, and 14,000 Btu/h or more8.08.7
15. Casement-Only8.79.5
16. Casement-Slider9.510.4

(c) Central air conditioners and heat pumps. The energy conservation standards defined in terms of the heating seasonal performance factor are based on Region IV, the minimum standardized design heating requirement, and the provisions of 10 CFR 429.16.

(1) Central air conditioners and central air conditioning heat pumps manufactured on or after January 1, 2015, and before January 1, 2023, must have Seasonal Energy Efficiency Ratio and Heating Seasonal Performance Factor not less than:

Product classSeasonal
energy
efficiency ratio
(SEER)
Heating
seasonal
performance
factor (HSPF)
(i) Split systems—air conditioners13
(ii) Split systems—heat pumps148.2
(iii) Single package units—air conditioners14
(iv) Single package units—heat pumps148.0
(v) Small-duct, high-velocity systems127.2
(vi)(A) Space-constrained products—air conditioners12
(vi)(B) Space-constrained products—heat pumps127.4

(2) In addition to meeting the applicable requirements in paragraph (c)(1) of this section, products in product class (i) of paragraph (c)(1) of this section (i.e., split-systems—air conditioners) that are installed on or after January 1, 2015, and before January 1, 2023, in the States of Alabama, Arkansas, Delaware, Florida, Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, or Virginia, or in the District of Columbia, must have a Seasonal Energy Efficiency Ratio (SEER) of 14 or higher. Any outdoor unit model that has a certified combination with a rating below 14 SEER cannot be installed in these States. The least efficient combination of each basic model must comply with this standard.

(3)(i) In addition to meeting the applicable requirements in paragraph (c)(1) of this section, products in product classes (i) and (iii) of paragraph (c)(1) of this section (i.e., split systems—air conditioners and single-package units—air conditioners) that are installed on or after January 1, 2015, and before January 1, 2023, in the States of Arizona, California, Nevada, or New Mexico must have a Seasonal Energy Efficiency Ratio (SEER) of 14 or higher and have an Energy Efficiency Ratio (EER) (at a standard rating of 95 °F dry bulb outdoor temperature) not less than the following:

Product classEnergy
efficiency ratio (EER)
(i) Split systems—air conditioners with rated cooling capacity less than 45,000 Btu/hr12.2
(ii) Split systems—air conditioners with rated cooling capacity equal to or greater than 45,000 Btu/hr11.7
(iii) Single-package units—air conditioners11.0

(ii) Any outdoor unit model that has a certified combination with a rating below 14 SEER or the applicable EER cannot be installed in this region. The least-efficient combination of each basic model must comply with this standard.

(4) Each basic model of single-package central air conditioners and central air conditioning heat pumps and each individual combination of split-system central air conditioners and central air conditioning heat pumps manufactured on or after January 1, 2015, shall have an average off mode electrical power consumption not more than the following:

Product classAverage off mode power
consumption PW,OFF
(watts)
(i) Split-system air conditioners30
(ii) Split-system heat pumps33
(iii) Single-package air conditioners30
(iv) Single-package heat pumps33
(v) Small-duct, high-velocity systems30
(vi) Space-constrained air conditioners30
(vii) Space-constrained heat pumps33

(5) Central air conditioners and central air conditioning heat pumps manufactured on or after January 1, 2023, must have a Seasonal Energy Efficiency Ratio 2 and a Heating Seasonal Performance Factor 2 not less than:

Product classSeasonal
energy
efficiency
ratio 2 (SEER2)
Heating
seasonal
performance
factor 2 (HSPF2)
(i)(A) Split systems—air conditioners with a certified cooling capacity less than 45,000 Btu/hr13.4
(i)(B) Split systems—air conditioners with a certified cooling capacity equal to or greater than 45,000 Btu/hr13.4
(ii) Split systems—heat pumps14.37.5
(iii) Single-package units—air conditioners13.4
(iv) Single-package units—heat pumps13.46.7
(v) Small-duct, high-velocity systems126.1
(vi)(A) Space-constrained products—air conditioners11.7
(vi)(B) Space-constrained products—heat pumps11.96.3

(6)(i) In addition to meeting the applicable requirements in paragraph (c)(5) of this section, products in product classes (i) and (iii) of paragraph (c)(5) of this section (i.e., split systems—air conditioners and single-package units—air conditioners) that are installed on or after January 1, 2023, in the southeast or southwest must have a Seasonal Energy Efficiency Ratio 2 and a Energy Efficiency Ratio 2 not less than:

Product classSoutheast*Southwest**
SEER2SEER2EER2***
(i)(A) Split-systems—air conditioners with a certified cooling capacity less than 45,000 Btu/hr14.314.311.7/9.8†
(i)(B) Split-systems—air conditioners with a certified cooling capacity equal to or greater than 45,000 Btu/hr13.813.811.2/9.8††
(iii) Single-package units—air conditioners10.6

*“Southeast” includes the States of Alabama, Arkansas, Delaware, Florida, Georgia, Hawaii, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, Oklahoma, Puerto Rico, South Carolina, Tennessee, Texas, Virginia, the District of Columbia, and the U.S. Territories.

**“Southwest” includes the States of Arizona, California, Nevada, and New Mexico.

***EER refers to the energy efficiency ratio at a standard rating of 95 °F dry bulb outdoor temperature.

†The 11.7 EER2 standard applies to products with a certified SEER2 less than 15.2. The 9.8 EER2 standard applies to products with a certified SEER2 greater than or equal to 15.2.

††The 11.2 EER2 standard applies to products with a certified SEER2 less than 15.2. The 9.8 EER2 standard applies to products with a certified SEER2 greater than or equal to 15.2.

(ii) Any outdoor unit model that has a certified combination with a rating below the applicable standard level(s) for a region cannot be installed in that region. The least-efficient combination of each basic model must comply with this standard.

(d) Water heaters. The uniform energy factor of water heaters shall not be less than the following:

Product classRated storage volume
and input rating
(if applicable)
Draw patternUniform energy factor
Gas-fired Storage Water Heater≥20 gal and ≤55 galVery Small0.3456 − (0.0020 × Vr)
   Low0.5982 − (0.0019 × Vr)
   Medium0.6483 − (0.0017 × Vr)
   High0.6920 − (0.0013 × Vr)
   >55 gal and ≤100 galVery Small0.6470 − (0.0006 × Vr)
   Low0.7689 − (0.0005 × Vr)
   Medium0.7897 − (0.0004 × Vr)
   High0.8072 − (0.0003 × Vr)
Oil-fired Storage Water Heater≤50 galVery Small0.2509 − (0.0012 × Vr)
   Low0.5330 − (0.0016 × Vr)
   Medium0.6078 − (0.0016 × Vr)
   High0.6815 − (0.0014 × Vr)
Electric Storage Water Heaters≥20 gal and ≤55 galVery Small0.8808 − (0.0008 × Vr)
   Low0.9254 − (0.0003 × Vr)
   Medium0.9307 − (0.0002 × Vr)
   High0.9349 − (0.0001 × Vr)
   >55 gal and ≤120 galVery Small1.9236 − (0.0011 × Vr)
   Low2.0440 − (0.0011 × Vr)
   Medium2.1171 − (0.0011 × Vr)
   High2.2418 − (0.0011 × Vr)
Tabletop Water Heater≥20 gal and ≤120 galVery Small0.6323 − (0.0058 × Vr)
   Low0.9188 − (0.0031 × Vr)
   Medium0.9577 − (0.0023 × Vr)
   High0.9884 − (0.0016 × Vr)
Instantaneous Gas-fired Water Heater<2 gal and >50,000 Btu/hVery Small
Low
0.80
0.81
   Medium0.81
   High0.81
Instantaneous Electric Water Heater<2 galVery Small0.91
   Low0.91
   Medium0.91
   High0.92
Grid-Enabled Water Heater>75 galVery Small1.0136 − (0.0028 × Vr)
   Low0.9984 − (0.0014 × Vr)
   Medium0.9853 − (0.0010 × Vr)
   High0.9720 − (0.0007 × Vr)

*Vr is the Rated Storage Volume (in gallons), as determined pursuant to 10 CFR 429.17.

(e) Furnaces and boilers. (1) Furnaces. (i) The Annual Fuel Utilization Efficiency (AFUE) of residential furnaces shall not be less than the following for non-weatherized gas furnaces manufactured before November 19, 2015, non-weatherized oil furnaces manufactured before May 1, 2013, and weatherized furnaces manufactured before January 1, 2015:

Product classAFUE
(percent)1
(A) Furnaces (excluding classes noted below)78
(B) Mobile Home furnaces75
(C) Small furnaces (other than those designed solely for installation in mobile homes) having an input rate of less than 45,000 Btu/hr
(1) Weatherized (outdoor)78
(2) Non-weatherized (indoor)78

1Annual Fuel Utilization Efficiency, as determined in §430.23(n)(2) of this part.

(ii) The AFUE of residential furnaces shall not be less than the following starting on the compliance date indicated in the table below:

Product classAFUE
(percent)1
Compliance date
(A) Non-weatherized gas furnaces (not including mobile home furnaces)80November 19, 2015.
(B) Mobile Home gas furnaces80November 19, 2015.
(C) Non-weatherized oil-fired furnaces (not including mobile home furnaces)83May 1, 2013.
(D) Mobile Home oil-fired furnaces75September 1, 1990.
(E) Weatherized gas furnaces81January 1, 2015.
(F) Weatherized oil-fired furnaces78January 1, 1992.
(G) Electric furnaces78January 1, 1992.

1Annual Fuel Utilization Efficiency, as determined in §430.23(n)(2) of this part.

(iii) Furnaces manufactured on or after May 1, 2013, shall have an electrical standby mode power consumption (PW,SB) and electrical off mode power consumption (PW,OFF) not more than the following:

Product classMaximum standby mode electrical power consumption, PW,SB (watts)Maximum off mode electrical power consumption, PW,OFF (watts)
(A) Non-weatherized oil-fired furnaces (including mobile home furnaces)1111
(B) Electric furnaces1010

(2) Boilers. (i) The AFUE of residential boilers manufactured before September 1, 2012, shall not be less than the following:

Product classAFUE1 (percent)
(A) Boilers (excluding gas steam)80
(B) Gas steam boilers75

1Annual Fuel Utilization Efficiency, as determined in §430.22(n)(2) of this part.

(ii) Except as provided in paragraph (e)(2)(iv) of this section, the AFUE of residential boilers, manufactured on or after September 1, 2012, and before January 15, 2021, shall not be less than the following and must comply with the design requirements as follows:

Product classAFUE1
(percent)
Design requirements
(A) Gas-fired hot water boiler82Constant burning pilot not permitted.
Automatic means for adjusting water temperature required (except for boilers equipped with tankless domestic water heating coils).
(B) Gas-fired steam boiler80Constant burning pilot not permitted.
(C) Oil-fired hot water boiler84Automatic means for adjusting temperature required (except for boilers equipped with tankless domestic water heating coils).
(D) Oil-fired steam boiler82None.
(E) Electric hot water boilerNoneAutomatic means for adjusting temperature required (except for boilers equipped with tankless domestic water heating coils).

1Annual Fuel Utilization Efficiency, as determined in §430.22(n)(2) of this part.

(iii)(A) Except as provided in paragraph (e)(2)(v) of this section, the AFUE of residential boilers, manufactured on and after January 15, 2021, shall not be less than the following and must comply with the design requirements as follows:

Product classAFUE1
(percent)
Design requirements
(1) Gas-fired hot water boiler84Constant-burning pilot not permitted. Automatic means for adjusting water temperature required (except for boilers equipped with tankless domestic water heating coils).
(2) Gas-fired steam boiler82Constant-burning pilot not permitted.
(3) Oil-fired hot water boiler86Automatic means for adjusting temperature required (except for boilers equipped with tankless domestic water heating coils).
(4) Oil-fired steam boiler85None.
(5) Electric hot water boilerNoneAutomatic means for adjusting temperature required (except for boilers equipped with tankless domestic water heating coils).
(6) Electric steam boilerNoneNone.

1Annual Fuel Utilization Efficiency, as determined in §430.23(n)(2) of this part.

(B) Except as provided in paragraph (e)(2)(v) of this section, the standby mode power consumption (PW,SB) and off mode power consumption (PW,OFF) of residential boilers, manufactured on and after January 15, 2021, shall not be more than the following:

Product classPW,SB
(watts)
PW,OFF
(watts)
(1) Gas-fired hot water boiler99
(2) Gas-fired steam boiler88
(3) Oil-fired hot water boiler1111
(4) Oil-fired steam boiler1111
(5) Electric hot water boiler88
(6) Electric steam boiler88

(iv) Automatic means for adjusting water temperature. (A) The automatic means for adjusting water temperature as required under paragraph (e)(2)(ii) of this section must automatically adjust the temperature of the water supplied by the boiler to ensure that an incremental change in inferred heat load produces a corresponding incremental change in the temperature of water supplied.

(B) For boilers that fire at a single input rate, the automatic means for adjusting water temperature requirement may be satisfied by providing an automatic means that allows the burner or heating element to fire only when the means has determined that the inferred heat load cannot be met by the residual heat of the water in the system.

(C) When there is no inferred heat load with respect to a hot water boiler, the automatic means described in this paragraph shall limit the temperature of the water in the boiler to not more than 140 degrees Fahrenheit.

(D) A boiler for which an automatic means for adjusting water temperature is required shall be operable only when the automatic means is installed.

(v) A boiler that is manufactured to operate without any need for electricity or any electric connection, electric gauges, electric pumps, electric wires, or electric devices is not required to meet the AFUE or design requirements applicable to the boiler requirements of paragraph (e)(2)(ii) of this section, but must meet the requirements of paragraph (e)(2)(i) of this section, as applicable.

(f) Dishwashers. (1) All dishwashers manufactured on or after May 30, 2013, shall meet the following standard—

(i) Standard size dishwashers shall not exceed 307 kwh/year and 5.0 gallons per cycle.

(ii) Compact size dishwashers shall not exceed 222 kwh/year and 3.5 gallons per cycle.

Product class Energy factor
(cycles/kWh)
(i) Compact Dishwasher (capacity less than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1 [Incorporated by reference, see §430.22] using the test load specified in section 2.7 of appendix C in subpart B)0.62
(ii) Standard Dishwasher (capacity equal to or greater than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1 [Incorporated by Reference, see §430.22] using the test load specified in section 2.7 of appendix C in subpart B)0.46

(2) [Reserved]

(g) Clothes washers. (1) Clothes washers manufactured on or after January 1, 2007 shall have a Modified Energy Factor no less than:

Product classModified energy factor
(cu.ft./kWh/cycle)
i. Top-loading, Compact (less than 1.6 ft3 capacity)0.65.
ii. Top-loading, Standard (1.6 ft3 or greater capacity)1.26.
iii. Top-Loading, Semi-AutomaticNot Applicable.1
iv. Front-loading1.26.
v. Suds-savingNot Applicable.1

1Must have an unheated rinse water option.

(2) All top-loading or front-loading standard-size residential clothes washers manufactured on or after January 1, 2011, and before March 7, 2015, shall meet the following standard—

(i) A Modified Energy Factor of at least 1.26; and

(ii) A Water Factor of not more than 9.5.

(3) Clothes washers manufactured on or after March 7, 2015, and before January 1, 2018, shall have an Integrated Modified Energy Factor no less than, and an Integrated Water Factor no greater than:

Product classIntegrated modified energy factor
(cu.ft./kWh/cycle)
Integrated water
factor
(gal/cycle/cu.ft.)
i. Top-loading, Compact (less than 1.6 ft3 capacity)0.8614.4
ii. Top-loading, Standard (1.6 ft3 or greater capacity)1.298.4
iii. Front-loading, Compact (less than 1.6 ft3 capacity)1.138.3
iv. Front-loading, Standard (1.6 ft3 or greater capacity)1.844.7

(4) Clothes washers manufactured on or after January 1, 2018 shall have an Integrated Modified Energy Factor no less than, and an Integrated Water Factor no greater than:

Product classIntegrated modified energy factor
(cu.ft./kWh/cycle)
Integrated water
factor
(gal/cycle/cu.ft.)
i. Top-loading, Compact (less than 1.6 ft3 capacity)1.1512.0
ii. Top-loading, Standard (1.6 ft3 or greater capacity)1.576.5
iii. Front-loading, Compact (less than 1.6 ft3 capacity)1.138.3
iv. Front-loading, Standard (1.6 ft3 or greater capacity)1.844.7

(h) Clothes dryers. (1) Gas clothes dryers manufactured after January 1, 1988 shall not be equipped with a constant burning pilot.

(2) Clothes dryers manufactured on or after May 14, 1994 and before January 1, 2015, shall have an energy factor no less than:

Product classEnergy
factor
(lbs/kWh)
i. Electric, Standard (4.4 ft3 or greater capacity)3.01
ii. Electric, Compact (120V) (less than 4.4 ft3 capacity)3.13
iii. Electric, Compact (240V) (less than 4.4 ft3 capacity)2.90
iv. Gas2.67

(3) Clothes dryers manufactured on or after January 1, 2015, shall have a combined energy factor no less than:

Product classCombined energy
factor
(lbs/kWh)
i. Vented Electric, Standard (4.4 ft3 or greater capacity)3.73
ii. Vented Electric, Compact (120V) (less than 4.4 ft3 capacity)3.61
iii. Vented Electric, Compact (240V) (less than 4.4 ft3 capacity)3.27
iv. Vented Gas3.30
v. Ventless Electric, Compact (240V) (less than 4.4 ft3 capacity)2.55
vi. Ventless Electric, Combination Washer-Dryer2.08

(i) Direct heating equipment. (1) Vented home heating equipment manufactured on or after January 1, 1990 and before April 16, 2013, shall have an annual fuel utilization efficiency no less than:

Product classAnnual fuel utilization efficiency, Jan. 1, 1990 (percent)
1. Gas wall fan type up to 42,000 Btu/h73
2. Gas wall fan type over 42,000 Btu/h74
3. Gas wall gravity type up to 10,000 Btu/h59
4. Gas wall gravity type over 10,000 Btu/h up to 12, 000 Btu/h60
5. Gas wall gravity type over 12,000 Btu/h up to 15,000 Btu/h61
6. Gas wall gravity type over 15,000 Btu/h up to 19,000 Btu/h62
7. Gas wall gravity type over 19,000 Btu/h and up to 27,000 Btu/h63
8. Gas wall gravity type over 27,000 Btu/h and up to 46,000 Btu/h64
9. Gas wall gravity type over 46,000 Btu/h65
10. Gas floor up to 37,000 Btu/h56
11. Gas floor over 37,000 Btu/h57
12. Gas room up to 18,000 Btu/h57
13. Gas room over 18,000 Btu/h up to 20,000 Btu/h58
14. Gas room over 20,000 Btu/h up to 27,000 Btu/h63
15. Gas room over 27,000 Btu/h up to 46,000 Btu/h64
16. Gas room over 46,000 Btu/h65

(2) Vented home heating equipment manufactured on or after April 16, 2013, shall have an annual fuel utilization efficiency no less than:

Product classAnnual fuel utilization efficiency, April 16, 2013 (percent)
Gas wall fan type up to 42,000 Btu/h75
Gas wall fan type over 42,000 Btu/h76
Gas wall gravity type up to 27,000 Btu/h65
Gas wall gravity type over 27,000 Btu/h up to 46,000 Btu/h66
Gas wall gravity type over 46,000 Btu/h67
Gas floor up to 37,000 Btu/h57
Gas floor over 37,000 Btu/h58
Gas room up to 20,000 Btu/h61
Gas room over 20,000 Btu/h up to 27,000 Btu/h66
Gas room over 27,000 Btu/h up to 46,000 Btu/h67
Gas room over 46,000 Btu/h68

(j) Cooking Products (1) Gas cooking products with an electrical supply cord manufactured on or after January 1, 1990, shall not be equipped with a constant burning pilot light.

(2) Gas cooking products without an electrical supply cord manufactured on or after April 9, 2012, shall not be equipped with a constant burning pilot light.

(3) Microwave-only ovens and countertop convection microwave ovens manufactured on or after June 17, 2016 shall have an average standby power not more than 1.0 watt. Built-in and over-the-range convection microwave ovens manufactured on or after June 17, 2016 shall have an average standby power not more than 2.2 watts.

(k) Pool heaters. (1) Gas-fired pool heaters manufactured on or after January 1, 1990 and before April 16, 2013, shall have a thermal efficiency not less than 78%.

(2) Gas-fired pool heaters manufactured on or after April 16, 2013, shall have a thermal efficiency not less than 82%.

(l) Television sets. [Reserved]

(m) Fluorescent lamp ballasts—(1) Standards for fluorescent lamp ballasts (other than dimming ballasts). Except as provided in paragraphs (m)(2) and (3) of this section, each fluorescent lamp ballast manufactured on or after November 14, 2014,

(i) Designed and marketed—

(A) To operate at nominal input voltages at or between 120 and 277 volts;

(B) To operate with an input current frequency of 60 Hertz; and

(C) For use in connection with fluorescent lamps (as defined in §430.2)

(ii) Must have—

(A) A power factor of:

(1) 0.9 or greater for ballasts that are not residential ballasts; or

(2) 0.5 or greater for residential ballasts; and

(B) A ballast luminous efficiency not less than the following:

BLE = A/(1 + B × average total lamp arc power ^ −C) Where A, B, and C are as follows:
DescriptionABC
Instant start and rapid start ballasts (not classified as residential ballasts) that are designed and marketed to operate:
4-foot medium bipin lamps;0.9930.270.25
2-foot U-shaped lamps; or
8-foot slimline lamps.
Programmed start ballasts (not classified as residential ballasts) that are designed and marketed to operate:
4-foot medium bipin lamps;0.9930.510.37
2-foot U-shaped lamps;
4-foot miniature bipin standard output lamps; or
4-foot miniature bipin high output lamps.
Instant start and rapid start ballasts (not classified as sign ballasts) that are designed and marketed to operate 8-foot high output lamps0.9930.380.25
Programmed start ballasts (not classified as sign ballasts) that are designed and marketed to operate 8-foot high output lamps0.9730.700.37
Sign ballasts that are designed and marketed to operate 8-foot high output lamps0.9930.470.25
Instant start and rapid start residential ballasts that are designed and marketed to operate:
4-foot medium bipin lamps;0.9930.410.25
2-foot U-shaped lamps; or
8-foot slimline lamps.
Programmed start residential ballasts that are designed and marketed to operate:
4-foot medium bipin lamps or0.9730.710.37
2-foot U-shaped lamps.

(2) Standards for certain dimming ballasts. Except as provided in paragraph (m)(3) of this section, each dimming ballast manufactured on or after November 14, 2014; designed and marketed to operate one F34T12, two F34T12, two F96T12/ES, or two F96T12HO/ES lamps; and

(i) Designed and marketed—

(A) To operate at nominal input voltages at or between 120 and 277 volts;

(B) To operate with an input current frequency of 60 Hertz; and

(C) For use in connection with fluorescent lamps (as defined in §430.2)

(ii) Must have—

(A) A power factor of:

(1) 0.9 or greater for ballasts that are not residential ballasts; or

(2) 0.5 or greater for residential ballasts; and

(B) A ballast luminous efficiency not less than the following:

Designed and marketed for operation of a maximum ofNominal input
voltage
Total nominal lamp wattsBallast luminous efficiency
Low frequency ballastsHigh frequency ballasts
One F34T12 lamp120/277340.7770.778
Two F34T12 lamps120/277680.8040.805
Two F96T12/ES lamps120/2771200.8760.884
Two F96T12HO/ES lamps120/2771900.7110.713

(3) Exemptions. The power factor and ballast luminous efficiency standards described in paragraph (m)(1)(ii) and (m)(2)(ii) of this section do not apply to:

(i) A dimming ballast designed and marketed to operate exclusively lamp types other than one F34T12, two F34T12, two F96T12/ES, or two F96T12HO/ES lamps;

(ii) A low frequency ballast that is designed and marketed to operate T8 diameter lamps; is designed and marketed for use in electromagnetic-interference-sensitive-environments only; and is shipped by the manufacturer in packages containing 10 or fewer ballasts; or

(iii) A programmed start ballast that operates 4-foot medium bipin T8 lamps and delivers on average less than 140 milliamperes to each lamp.

(4) For the purposes of this paragraph (m), the definitions found in appendix Q of subpart B of this part apply.

(n) General service fluorescent lamps and incandescent reflector lamps. (1) Except as provided in paragraphs (n)(2), (n)(3), and (n)(4) of this section, each of the following general service fluorescent lamps manufactured after the effective dates specified in the table shall meet or exceed the following lamp efficacy and CRI standards:

Lamp typeNominal
lamp
wattage
Minimum
CRI
Minimum
average lamp
efficacy
lm/W
Effective date
4-foot medium bipin>35 W
≤35 W
69
45
75.0
75.0
Nov. 1, 1995.
Nov. 1, 1995.
2-foot U-shaped>35 W
≤ 35 W
69
45
68.0
64.0
Nov. 1, 1995.
Nov. 1, 1995.
8-foot slimline>65 W
≤65 W
69
45
80.0
80.0
May 1, 1994.
May 1, 1994.
8-foot high output>100 W
≤100 W
69
45
80.0
80.0
May 1, 1994.
May 1, 1994.

(2) The standards described in paragraph (n)(1) of this section do not apply to:

(i) Any 4-foot medium bipin lamp or 2-foot U-shaped lamp with a rated wattage less than 28 watts;

(ii) Any 8-foot high output lamp not defined in ANSI C78.81 (incorporated by reference; see §430.3) or related supplements, or not 0.800 nominal amperes; or

(iii) Any 8-foot slimline lamp not defined in ANSI C78.3 (incorporated by reference; see §430.3).

(3) Except as provided in paragraph (n)(4) of this section, each of the following general service fluorescent lamps manufactured after July 14, 2012, shall meet or exceed the following lamp efficacy standards shown in the table:

Lamp typeCorrelated color
temperature
Minimum
average lamp
efficacy
lm/W
4-foot medium bipin≤4,500K
>4,500K and ≤7,000K
89
88
2-foot U-shaped≤4,500K
>4,500K and ≤7,000K
84
81
8-foot slimline≤4,500K
>4,500K and ≤7,000K
97
93
8-foot high output≤4,500K
>4,500K and ≤7,000K
92
88
4-foot miniature bipin standard output≤4,500K
>4,500K and ≤7,000K
86
81
4-foot miniature bipin high output≤4,500K
>4,500K and ≤7,000K
76
72

(4) Each of the following general service fluorescent lamps manufactured on or after January 26, 2018, shall meet or exceed the following lamp efficacy standards shown in the table:

Lamp typeCorrelated color
temperature
Minimum
average lamp
efficacy
lm/W
4-foot medium bipin≤4,500K
>4,500K and ≤7,000K
92.4
88.7
2-foot U-shaped≤4,500K
>4,500K and ≤7,000K
85.0
83.3
8-foot slimline≤4,500K
>4,500K and ≤7,000K
97.0
93.0
8-foot high output≤4,500K
>4,500K and ≤7,000K
92.0
88.0
4-foot miniature bipin standard output≤4,500K
>4,500K and ≤7,000K
95.0
89.3
4-foot miniature bipin high output≤4,500K
>4,500K and ≤7,000K
82.7
76.9

(5) Except as provided in paragraph (n)(6) of this section, each of the following incandescent reflector lamps manufactured after November 1, 1995, shall meet or exceed the lamp efficacy standards shown in the table:

Nominal lamp wattageMinimum
average lamp
efficacy
lm/W
40-5010.5
51-6611.0
67-8512.5
86-11514.0
116-15514.5
156-20515.0

(6) Each of the following incandescent reflector lamps manufactured after July 14, 2012, shall meet or exceed the lamp efficacy standards shown in the table:

Rated lamp wattageLamp spectrumLamp diameter
inches
Rated voltageMinimum
average lamp
efficacy
lm/W
40-205Standard Spectrum>2.5≥125 V
<125 V
6.8*P0.27
5.9*P0.27
      ≤2.5≥125 V
<125 V
5.7*P0.27
5.0*P0.27
40-205Modified Spectrum>2.5≥125 V
<125 V
5.8*P0.27
5.0*P0.27
      ≤2.5≥125 V
<125 V
4.9*P0.27
4.2*P0.27

Note 1: P is equal to the rated lamp wattage, in watts.

Note 2: Standard Spectrum means any incandescent reflector lamp that does not meet the definition of modified spectrum in 430.2.

(7)(i)(A) Subject to the exclusions in paragraph (n)(7)(ii) of this section, the standards specified in this section shall apply to ER incandescent reflector lamps, BR incandescent reflector lamps, BPAR incandescent reflector lamps, and similar bulb shapes on and after January 1, 2008.

(B) Subject to the exclusions in paragraph (n)(7)(ii) of this section, the standards specified in this section shall apply to incandescent reflector lamps with a diameter of more than 2.25 inches, but not more than 2.75 inches, on and after June 15, 2008.

(ii) The standards specified in this section shall not apply to the following types of incandescent reflector lamps:

(A) Lamps rated at 50 watts or less that are ER30, BR30, BR40, or ER40 lamps;

(B) Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; or

(C) R20 incandescent reflector lamps rated 45 watts or less.

(o) Faucets. The maximum water use allowed for any of the following faucets manufactured after January 1, 1994, when measured at a flowing water pressure of 60 pounds per square inch (414 kilopascals), shall be as follows:

Faucet typeMaximum flow rate
(gpm (L/min)) or (gal/cycle (L/cycle))
Lavatory faucets2.2 gpm (8.3 L/min)1 2
Lavatory replacement aerators2.2 gpm (8.3 L/min)
Kitchen faucets2.2 gpm (8.3 L/min)
Kitchen replacement aerators2.2 gpm (8.3 L/min)
Metering faucets0.25 gal/cycle (0.95 L/cycle)3 4

Note:

1Sprayheads with independently-controlled orifices and manual controls.

The maximum flow rate of each orifice that manually turns on or off shall not exceed the maximum flow rate for a lavatory faucet.

2Sprayheads with collectively controlled orifices and manual controls.

The maximum flow rate of a sprayhead that manually turns on or off shall be the product of (a) the maximum flow rate for a lavatory faucet and (b) the number of component lavatories (rim space of the lavatory in inches (millimeters) divided by 20 inches (508 millimeters)).

3Sprayheads with independently controlled orifices and metered controls.

The maximum flow rate of each orifice that delivers a pre-set volume of water before gradually shutting itself off shall not exceed the maximum flow rate for a metering faucet.

4Sprayheads with collectively-controlled orifices and metered controls.

The maximum flow rate of a sprayhead that delivers a pre-set volume of water before gradually shutting itself off shall be the product of (a) the maximum flow rate for a metering faucet and (b) the number of component lavatories (rim space of the lavatory in inches (millimeters) divided by 20 inches (508 millimeters)).

(p) Showerheads. The maximum water use allowed for any showerheads manufactured after January 1, 1994, shall be 2.5 gallons per minute (9.5 liters per minute) when measured at a flowing pressure of 80 pounds per square inch gage (552 kilopascals). When used as a component of any such showerhead, the flow-restricting insert shall be mechanically retained at the point of manufacture such that a force of 8.0 pounds force (36 Newtons) or more is required to remove the flow-restricting insert, except that this requirement shall not apply to showerheads for which removal of the flow-restricting insert would cause water to leak significantly from areas other than the spray face.

(q) Water closets. (1) The maximum water use allowed in gallons per flush for any of the following water closets manufactured after January 1, 1994, shall be as follows:

Water closet typeMaximum flush rate
(gpf (Lpf))
Gravity tank-type toilets1.6 (6.0)
Flushometer tank toilets1.6 (6.0)
Electromechanical hydraulic toilets1.6 (6.0)
Blowout toilets3.5 (13.2)

(2) The maximum water use allowed for flushometer valve toilets, other than blowout toilets, manufactured after January 1, 1997, shall be 1.6 gallons per flush (6.0 liters per flush).

(r) Urinals. The maximum water use allowed for any urinals manufactured after January 1, 1994, shall be 1.0 gallons per flush (3.8 liters per flush). The maximum water use allowed for a trough-type urinal shall be the product of:

(1) The maximum flow rate for a urinal and

(2) The length of the trough-type urinal in inches (millimeter) divided by 16 inches (406 millimeters).

(s) Ceiling fans and ceiling fan light kits. (1) All ceiling fans manufactured on or after January 1, 2007, shall have the following features:

(i) Fan speed controls separate from any lighting controls;

(ii) Adjustable speed controls (either more than 1 speed or variable speed);

(iii) The capability of reversible fan action, except for—

(A) Fans sold for industrial applications;

(B) Fans sold for outdoor applications; and

(C) Cases in which safety standards would be violated by the use of the reversible mode.

(2)(i) Ceiling fans manufactured on or after January 21, 2020 shall meet the requirements shown in the table:

Product class as defined in Appendix UMinimum efficiency
(CFM/W)1
Very small-diameter (VSD)D ≤ 12 in.: 21
D > 12 in.: 3.16 D −17.04
Standard0.65 D + 38.03
Hugger0.29 D + 34.46
High-speed small-diameter (HSSD)4.16 D + 0.02
Large-diameter0.91 D−30.00

1D is the ceiling fan's blade span, in inches, as determined in Appendix U of this part.

(ii) The provisions in this appendix apply to ceiling fans except:

(A) Ceiling fans where the plane of rotation of a ceiling fan's blades is not less than or equal to 45 degrees from horizontal, or cannot be adjusted based on the manufacturer's specifications to be less than or equal to 45 degrees from horizontal;

(B) Centrifugal ceiling fans, as defined in Appendix U of this part;

(C) Belt-driven ceiling fans, as defined in Appendix U of this part;

(D) Oscillating ceiling fans, as defined in Appendix U of this part; and

(E) Highly-decorative ceiling fans, as defined in Appendix U of this part.

(3) Ceiling fan light kits manufactured on or after January 1, 2007, and prior to January 21, 2020, with medium screw base sockets must be packaged with medium screw base lamps to fill all sockets. These medium screw base lamps must—

(i) Be compact fluorescent lamps that meet or exceed the following requirements or be as described in paragraph (s)(3)(ii) of this section:

FactorRequirements
Rated Wattage (Watts) & Configuration1Minimum Initial Lamp Efficacy (lumens per watt)2
Bare Lamp:
Lamp Power <1545.0
Lamp Power ≥1560.0
Covered Lamp (no reflector):
Lamp Power <1540.0
15≤Lamp Power <1948.0
19≤Lamp Power <2550.0
Lamp Power ≥2555.0
With Reflector:
Lamp Power <2033.0
Lamp Power ≥2040.0
Lumen Maintenance at 1,000 hours≥ 90.0%
Lumen Maintenance at 40 Percent of Lifetime≥ 80.0%
Rapid Cycle Stress TestEach lamp must be cycled once for every 2 hours of lifetime. At least 5 lamps must meet or exceed the minimum number of cycles.
Lifetime≥ 6,000 hours for the sample of lamps.

1Use rated wattage to determine the appropriate minimum efficacy requirements in this table.

2Calculate efficacy using measured wattage, rather than rated wattage, and measured lumens to determine product compliance. Wattage and lumen values indicated on products or packaging may not be used in calculation.

(ii) Be light sources other than compact fluorescent lamps that have lumens per watt performance at least equivalent to comparably configured compact fluorescent lamps meeting the energy conservation standards in paragraph (s)(3)(i) of this section.

(4) Ceiling fan light kits manufactured on or after January 1, 2007, and prior January 21, 2020, with pin-based sockets for fluorescent lamps must use an electronic ballast and be packaged with lamps to fill all sockets. These lamp ballast platforms must meet the following requirements:

FactorRequirement
System Efficacy Per Lamp Ballast Platform in Lumens Per Watt (lm/w)≥50 lm/w for all lamps below 30 total listed lamp watts.
   ≥60 lm/w for all lamps that are ≤ 24 inches and
   ≥30 total listed lamp watts.
   ≥70 lm/w for all lamps that are > 24 inches and
   ≥30 total listed lamp watts.

(5) Ceiling fan light kits manufactured on or after January 1, 2009, and prior to January 21, 2020, with socket types other than those covered in paragraph (s)(3) or (4) of this section, including candelabra screw base sockets, must be packaged with lamps to fill all sockets and must not be capable of operating with lamps that total more than 190 watts.

(6) Ceiling fan light kits manufactured on or after January 21, 2020 must be packaged with lamps to fill all sockets, and each basic model of lamp packaged with the basic model of CFLK and each basic model of integrated SSL in the CFLK basic model shall meet the requirements shown in the table:

Lumens1Minimum required efficacy
(lm/W)
<12050
≥120(74.0−29.42 × 0.9983lumens)

1Use the lumen output for each basic model of lamp packaged with the basic model of CFLK or each basic model of integrated SSL in the CFLK basic model to determine the applicable standard.

(i) Ceiling fan light kits with medium screw base sockets manufactured on or after January 21, 2020 and packaged with compact fluorescent lamps must include lamps that also meet the following requirements:

      
Lumen Maintenance at 1,000 hours≥90.0%.
Lumen Maintenance at 40 Percent of Lifetime≥80.0%.
Rapid Cycle Stress TestEach lamp must be cycled once for every 2 hours of lifetime of compact fluorescent lamp as defined in §430.2. At least 5 lamps must meet or exceed the minimum number of cycles.
Lifetime≥6,000 hours for the sample of lamps.

(ii) Ceiling fan light kits with pin based sockets for fluorescent lamps, manufactured on or after January 21, 2020, must also use an electronic ballast.

(t) Torchieres. A torchiere manufactured on or after January 1, 2006 shall:

(1) Consume not more than 190 watts of power; and

(2) Not be capable of operating with lamps that total more than 190 watts.

(u) Compact fluorescent lamps. (1) Medium Base Compact Fluorescent Lamps. A bare or covered (no reflector) medium base compact fluorescent lamp manufactured on or after January 1, 2006, must meet the following requirements:

FactorRequirements
Labeled Wattage (Watts) & Configuration*Measured initial lamp efficacy (lumens per watt) must be at least:
Bare Lamp:
Labeled Wattage < 1545.0.
Labeled Wattage ≥ 1560.0.
Covered Lamp (no reflector):
Labeled Wattage < 1540.0.
15 ≤ Labeled Wattage < 1948.0.
19 ≤ Labeled Wattage < 2550.0.
Labeled Wattage ≥ 2555.0.
Lumen Maintenance at 1,000 Hours≥90.0%.
Lumen Maintenance at 40 Percent of Lifetime**≥80.0%.
Rapid Cycle Stress TestEach lamp must be cycled once for every 2 hours of lifetime.** At least 5 lamps must meet or exceed the minimum number of cycles.
Lifetime**≥6,000 hours.

*Use labeled wattage to determine the appropriate efficacy requirements in this table; do not use measured wattage for this purpose.

**Lifetime refers to lifetime of a compact fluorescent lamp as defined in 10 CFR 430.2.

(2) [Reserved].

(v) Dehumidifiers. (1) Dehumidifiers manufactured on or after October 1, 2012, shall have an energy factor that meets or exceeds the following values:

Product capacity (pints/day)Minimum energy factor (liters/kWh)
Up to 35.001.35
35.01-45.001.50
45.01-54.001.60
54.01-75.001.70
75.01 or more2.5

(2) Dehumidifiers manufactured on or after June 13, 2019, shall have an integrated energy factor that meets or exceeds the following values:

Portable dehumidifier product capacity
(pints/day)
Minimum
integrated
energy factor
(liters/kWh)
25.00 or less1.30
25.01-50.001.60
50.01 or more2.80
Whole-home dehumidifier product case volume (cubic feet)   
8.0 or less1.77
More than 8.02.41

(w) External power supplies. (1)(i) Except as provided in paragraphs (w)(2) and (5) of this section, all class A external power supplies manufactured on or after July 1, 2008, shall meet the following standards:

Active mode
Nameplate outputRequired efficiency (decimal equivalent of a percentage)
Less than 1 watt0.5 times the Nameplate output.
From 1 watt to not more than 51 wattsThe sum of 0.09 times the Natural Logarithm of the Nameplate Output and 0.5.
Greater than 51 watts0.85.
No-load mode
Nameplate outputMaximum consumption
Not more than 250 watts0.5 watts.

(ii) Except as provided in paragraphs (w)(5), (w)(6), and (w)(7) of this section, all direct operation external power supplies manufactured on or after February 10, 2016, shall meet the following standards:

eCFR graphic er10fe14.042.gif

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eCFR graphic er10fe14.043.gif

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(iii) Except as provided in paragraphs (w)(5), (w)(6), and (w)(7) of this section, all external power supplies manufactured on or after February 10, 2016, shall meet the following standards:

   Class A EPSNon-Class A EPS
Direct Operation EPSLevel VI: 10 CFR 430.32(w)(1)(ii)Level VI: 10 CFR 430.32(w)(1)(ii).
Indirect Operation EPSLevel IV: 10 CFR 430.32(w)(1)(i)No Standards.

(2) A basic model of external power supply is not subject to the energy conservation standards of paragraph (w)(1)(ii) of this section if the external power supply—

(i) Is manufactured during the period beginning on February 10, 2016, and ending on February 10, 2020;

(ii) Is marked in accordance with the External Power Supply International Efficiency Marking Protocol, as in effect on February 10, 2016;

(iii) Meets, where applicable, the standards under paragraph (w)(1)(i) of this section, and has been certified to the Secretary as meeting those standards; and

(iv) Is made available by the manufacturer only as a service part or a spare part for an end-use product that—

(A) Constitutes the primary load; and

(B) Was manufactured before February 10, 2016.

(3) The standards described in paragraph (w)(1) of this section shall not constitute an energy conservation standard for the separate end-use product to which the external power supply is connected.

(4) Any external power supply subject to the standards in paragraph (w)(1) of this section shall be clearly and permanently marked in accordance with the International Efficiency Marking Protocol for External Power Supplies (incorporated by reference; see §430.3), published by the U.S. Department of Energy.

(5) Non-application of no-load mode requirements. The no-load mode energy efficiency standards established in paragraph (w)(1) of this section shall not apply to an external power supply that—

(i) Is an AC-to-AC external power supply;

(ii) Has a nameplate output of 20 watts or more;

(iii) Is certified to the Secretary as being designed to be connected to a security or life safety alarm or surveillance system component; and

(iv) On establishment within the External Power Supply International Efficiency Marking Protocol, as referenced in the “Energy Star Program Requirements for Single Voltage External Ac-Dc and Ac-Ac Power Supplies” (incorporated by reference, see §430.3), published by the Environmental Protection Agency, of a distinguishing mark for products described in this clause, is permanently marked with the distinguishing mark.

(6) An external power supply shall not be subject to the standards in paragraph (w)(1) of this section if it is a device that requires Federal Food and Drug Administration (FDA) listing and approval as a medical device in accordance with section 513 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)).

(7) A direct operation, AC-DC external power supply with nameplate output voltage less than 3 volts and nameplate output current greater than or equal to 1,000 milliamps that charges the battery of a product that is fully or primarily motor operated shall not be subject to the standards in paragraph (w)(1)(ii) of this section.

(x) General service incandescent lamps, intermediate base incandescent lamps and candelabra base incandescent lamps. (1) The energy conservation standards in this paragraph apply to general service incandescent lamps:

(i) Intended for a general service or general illumination application (whether incandescent or not);

(ii) Has a medium screw base or any other screw base not defined in ANSI C81.61 (incorporated by reference; see §430.3); and

(iii) Is capable of being operated at a voltage at least partially within the range of 110 to 130 volts.

(A) General service incandescent lamps manufactured after the effective dates specified in the tables below, except as described in paragraph (x)(1)(B) of this section, shall have a color rendering index greater than or equal to 80 and shall have rated wattage no greater than and rated lifetime no less than the values shown in the table below:

General Service Incandescent Lamps

Rated lumen ranges Maximum rate wattage Minimum rate life-time Effective date
1490-2600721,000 hrs1/1/2012
1050-1489531,000 hrs1/1/2013
750-1049431,000 hrs1/1/2014
310-749291,000 hrs1/1/2014

(B) Modified spectrum general service incandescent lamps manufactured after the effective dates specified shall have a color rendering index greater than or equal to 75 and shall have a rated wattage no greater than and rated lifetime no less than the values shown in the table below:

Modified Spectrum General Service Incandescent Lamps

Rated lumen ranges Maximum rate wattage Minimum rate life-time Effective date
1118-1950721,000 hrs1/1/2012
788-1117531,000 hrs1/1/2013
563-787431,000 hrs1/1/2014
232-562291,000 hrs1/1/2014

(2) Each candelabra base incandescent lamp shall not exceed 60 rated watts.

(3) Each intermediate base incandescent lamp shall not exceed 40 rated watts.

(y) Residential furnace fans. Residential furnace fans incorporated in the products listed in Table 1 of this paragraph and manufactured on and after July 3, 2019, shall have a fan energy rating (FER) value that meets or is less than the following values:

Table 1—Energy Conservation Standards for Covered Residential Furnace Fans*

Product classFER** (Watts/1000 cfm)
Non-Weatherized, Non-Condensing Gas Furnace Fan (NWG-NC)FER = 0.044 × QMax + 182
Non-Weatherized, Condensing Gas Furnace Fan (NWG-C)FER = 0.044 × QMax + 195
Weatherized Non-Condensing Gas Furnace Fan (WG-NC)FER = 0.044 × QMax + 199
Non-Weatherized, Non-Condensing Oil Furnace Fan (NWO-NC)FER = 0.071 × QMax + 382
Non-Weatherized Electric Furnace/Modular Blower Fan (NWEF/NWMB)FER = 0.044 × QMax + 165
Mobile Home Non-Weatherized, Non-Condensing Gas Furnace Fan (MH-NWG-NC)FER = 0.071 × QMax + 222
Mobile Home Non-Weatherized, Condensing Gas Furnace Fan (MH-NWG-C)FER = 0.071 × QMax + 240
Mobile Home Electric Furnace/Modular Blower Fan (MH-EF/MB)FER = 0.044 × QMax + 101
Mobile Home Non-Weatherized Oil Furnace Fan (MH-NWO)Reserved
Mobile Home Weatherized Gas Furnace Fan (MH-WG)**Reserved

*Furnace fans incorporated into hydronic air handlers, SDHV modular blowers, SDHV electric furnaces, and CAC/HP indoor units are not subject to the standards listed in this table.

**QMax is the airflow, in cfm, at the maximum airflow-control setting measured using the final DOE test procedure at 10 CFR part 430, subpart B, appendix AA.

(z) Battery chargers. (1) Battery chargers manufactured on or after June 13, 2018, must have a unit energy consumption (UEC) less than or equal to the prescribed “Maximum UEC” standard when using the equations for the appropriate product class and corresponding rated battery energy as shown in the following table:

Product classProduct class descriptionRated battery energy (Ebatt**)Special characteristic or battery voltageMaximum UEC (kWh/yr)
(as a function of Ebatt**)
1Low-Energy≤5 WhInductive Connection*3.04
2Low-Energy, Low-Voltage<100 Wh<4 V0.1440 * Ebatt + 2.95
3Low-Energy, Medium-Voltage   4-10 VFor Ebatt <10 Wh,
1.42 kWh/y
Ebatt ≥10 Wh,
0.0255 * Ebatt + 1.16
4Low-Energy, High-Voltage   >10 V0.11 * Ebatt + 3.18
5Medium-Energy, Low-Voltage100-3000 Wh<20 V0.0257 * Ebatt + .815
6Medium-Energy, High-Voltage   ≥20 V0.0778 * Ebatt + 2.4
7High-Energy>3000 Wh0.0502 * Ebatt + 4.53

*Inductive connection and designed for use in a wet environment (e.g. electric toothbrushes).

**Ebatt = Rated battery energy as determined in 10 CFR part 429.39(a).

(2) A battery charger shall not be subject to the standards in paragraph (z)(1) of this section if it is a device that requires Federal Food and Drug Administration (FDA) listing and approval as a life-sustaining or life-supporting device in accordance with section 513 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 360(c)).

(aa) Miscellaneous refrigeration products. The energy standards as determined by the equations of the following table(s) shall be rounded off to the nearest kWh per year. If the equation calculation is halfway between the nearest two kWh per year values, the standard shall be rounded up to the higher of these values.

(1) Coolers manufactured starting on October 28, 2019 shall have Annual Energy Use (AEU) no more than:

Product classAEU (kWh/yr)
1. Built-in compact7.88AV + 155.8
2. Built-in
3. Freestanding compact
4. Freestanding

AV = Total adjusted volume, expressed in ft3, as calculated according to appendix A of subpart B of this part.

(2) Combination cooler refrigeration products manufactured starting on October 28, 2019 shall have Annual Energy Use (AEU) no more than:

Product classAEU (kWh/yr)
C-3A. Cooler with all-refrigerator—automatic defrost4.57AV + 130.4
C-3A-BI. Built-in cooler with all-refrigerator—automatic defrost5.19AV + 147.8
C-9. Cooler with upright freezers with automatic defrost without an automatic icemaker5.58AV + 147.7
C-9-BI. Built-in cooler with upright freezer with automatic defrost without an automatic icemaker6.38AV + 168.8
C-9I. Cooler with upright freezer with automatic defrost with an automatic icemaker5.58AV + 231.7
C-9I-BI. Built-in cooler with upright freezer with automatic defrost with an automatic icemaker6.38AV + 252.8
C-13A. Compact cooler with all-refrigerator—automatic defrost5.93AV + 193.7
C-13A-BI. Built-in compact cooler with all-refrigerator—automatic defrost6.52AV + 213.1

AV = Total adjusted volume, expressed in ft3, as calculated according to appendix A of subpart B of this part.

(bb) Rough service lamps and vibration service lamps. (1) Rough service lamps manufactured on or after January 25, 2018 must:

(i) Have a shatter-proof coating or equivalent technology that is compliant with NSF/ANSI 51 (incorporated by reference; see §430.3) and is designed to contain the glass if the glass envelope of the lamp is broken and to provide effective containment over the life of the lamp;

(ii) Have a rated wattage not greater than 40 watts; and

(iii) Be sold at retail only in a package containing one lamp.

(2) Vibration service lamps manufactured on or after January 25, 2018 must:

(i) Have a rated wattage no greater than 40 watts; and

(ii) Be sold at retail only in a package containing one lamp.

[54 FR 6077, Feb. 7, 1989]

Editorial Note: For Federal Register citations affecting §430.32, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

§430.33   Preemption of State regulations.

(a) Any State regulation providing for any energy conservation standard, or water conservation standard (in the case of faucets, showerheads, water closets, and urinals), or other requirement with respect to the energy efficiency, energy use, or water use (in the case of faucets, showerheads, water closets, or urinals) of a covered product that is not identical to a Federal standard in effect under this subpart is preempted by that standard, except as provided for in sections 325(i)(6)(A)(vi), 327(b) and (c) of the Act.

(b) No State regulation, or revision thereof, concerning the energy efficiency, energy use, or water use of the covered product shall be effective with respect to such covered product, unless the State regulation or revision in the case of any portion of any regulation that establishes requirements for general service incandescent lamps, intermediate base incandescent lamps, or candelabra base lamps, was enacted or adopted by the State of California or Nevada before December 4, 2007, except that—

(1) The regulation adopted by the California Energy Commission with an effective date of January 1, 2008, shall only be effective until the effective date of the Federal standard for the applicable lamp category under paragraphs (A), (B), and (C) of section 325(i)(1) of EPCA; and

(2) The States of California and Nevada may, at any time, modify or adopt a State standard for general service lamps to conform with Federal standards with effective dates no earlier than 12 months prior to the Federal effective dates prescribed under paragraphs (A), (B), and (C) of section 325(i)(1) of EPCA, at which time any prior regulations adopted by the State of California or Nevada shall no longer be effective.

[63 FR 13318, Mar. 18, 1998, as amended at 74 FR 12070, Mar. 23, 2009; 78 FR 62993, Oct. 23, 2013]

§430.34   Energy and water conservation standards amendments

The Department of Energy may not prescribe any amended standard which increases the maximum allowable energy use or, in the case of showerheads, faucets, water closets or urinals, the maximum allowable water use, or which decreases the minimum required energy efficiency of a covered product.

[67 FR 36406, May 23, 2002]

§430.35   Petitions with respect to general service lamps.

(a) Any person may petition the Secretary for an exemption for a type of general service lamp from the requirements of this subpart. The Secretary may grant an exemption only to the extent that the Secretary finds, after a hearing and opportunity for public comment, that it is not technically feasible to serve a specialized lighting application (such as a military, medical, public safety or certified historic lighting application) using a lamp that meets the requirements of this subpart. To grant an exemption for a product under this paragraph, the Secretary shall include, as an additional criterion, that the exempted product is unlikely to be used in a general service lighting application.

(b) Any person may petition the Secretary to establish standards for lamp shapes or bases that are excluded from the definition of general service lamps. The petition shall include evidence that the availability or sales of exempted lamps have increased significantly since December 19, 2007. The Secretary shall grant a petition if the Secretary finds that:

(1) The petition presents evidence that demonstrates that commercial availability or sales of exempted incandescent lamp types have increased significantly since December 19, 2007 and are being widely used in general lighting applications; and

(2) Significant energy savings could be achieved by covering exempted products, as determined by the Secretary based on sales data provided to the Secretary from manufacturers and importers.

[74 FR 12070, Mar. 23, 2009]

Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products

1. Objectives

2. Scope

3. Setting Priorities for Rulemaking Activity

4. Process for Developing Efficiency Standards and Factors to be Considered

5. Policies on Selection of Standards

6. Effective Date of a Standard

7. Test Procedures

8. Joint Stakeholder Recommendations

9. Principles for the Conduct of Engineering Analysis

10. Principles for the Analysis of Impacts on Manufacturers

11. Principles for the Analysis of Impacts on Consumers

12. Consideration of Non-Regulatory Approaches

13. Crosscutting Analytical Assumptions

14. Deviations, Revisions, and Judicial Review

1. Objectives

This appendix establishes procedures, interpretations and policies to guide the DOE in the consideration and promulgation of new or revised appliance efficiency standards under the Energy Policy and Conservation Act (EPCA). The Department's objectives in establishing these guidelines include:

(a) Provide for early input from stakeholders. The Department seeks to provide opportunities for public input early in the rulemaking process so that the initiation and direction of rulemakings is informed by comment from interested parties. Under the guidelines established by this appendix, DOE will seek early input from interested parties in setting rulemaking priorities and structuring the analyses for particular products. Interested parties will be invited to provide input for the selection of design options and will help DOE identify analysis, data, and modeling needs. DOE will gather input from interested parties through a variety of mechanisms, including public workshops.

(b) Increase predictability of the rulemaking timetable. The Department seeks to make informed, strategic decisions about how to deploy its resources on the range of possible standards development activities, and to announce these prioritization decisions so that all interested parties have a common expectation about the timing of different rulemaking activities. The guidelines in this appendix provide for setting priorities and timetables for standards development and test procedure modification and reflect these priorities in the Regulatory Agenda.

(c) Increase use of outside technical expertise. The Department seeks to expand its use of outside technical experts in evaluating product-specific engineering issues to ensure that decisions on technical issues are fully informed. The guidelines in this appendix provide for increased use of outside technical experts in developing, performing and reviewing the analyses. Draft analytical results will be distributed for peer and stakeholder review.

(d) Eliminate problematic design options early in the process. The Department seeks to eliminate from consideration, early in the process, any design options that present unacceptable problems with respect to manufacturability, consumer utility, or safety, so that the detailed analysis can focus only on viable design options. Under the guidelines in this appendix, DOE will eliminate from consideration design options if it concludes that manufacture, installation or service of the design will be impractical, or that the design option will adversely affect the utility of the product, or if the design has adverse safety or health impacts. This screening will be done at the outset of a rulemaking.

(e) Fully consider non-regulatory approaches. The Department seeks to understand the effects of market forces and voluntary programs on encouraging the purchase of energy efficient products so that the incremental impacts of a new or revised standard can be accurately assessed and the Department can make informed decisions about where standards and voluntary “market pull” programs can be used most effectively. Under the guidelines in this appendix, DOE will solicit information on the effectiveness of market forces and non-regulatory approaches for encouraging the purchase of energy efficient products, and will carefully consider this information in assessing the benefits of standards. In addition, DOE will continue to support voluntary efforts by manufacturers, retailers, utilities and others to increase product efficiency.

(f) Conduct thorough analysis of impacts. In addition to understanding the aggregate costs and benefits of standards, the Department seeks to understand the distribution of those costs and benefits among consumers, manufacturers and others, and the uncertainty associated with these analyses of costs and benefits, so that any adverse impacts on significant subgroups and uncertainty concerning any adverse impacts can be fully considered in selecting a standard. Under the guidelines in this appendix, the analyses will consider the variability of impacts on significant groups of manufacturers and consumers in addition to aggregate costs and benefits, report the range of uncertainty associated with these impacts, and take into account cumulative impacts of regulation on manufacturers.

(g) Use transparent and robust analytical methods. The Department seeks to use qualitative and quantitative analytical methods that are fully documented for the public and that produce results that can be explained and reproduced, so that the analytical underpinnings for policy decisions on standards are as sound and well-accepted as possible. Under the guidelines in this appendix, DOE will solicit input from interested parties in identifying analysis, data, and modeling needs with respect to measurement of impacts on manufacturers and consumers.

(h) Articulate policies to guide selection of standards. The Department seeks to adopt policies elaborating on the statutory criteria for selecting standards, so that interested parties are aware of the policies that will guide these decisions. Under the guidelines in this appendix, policies for screening design options, selecting candidate standard levels, selecting a proposed standard level, and establishing the final standard are established.

(i) Support efforts to build consensus on standards. The Department seeks to encourage development of consensus proposals for new or revised standards because standards with such broad-based support are likely to balance effectively the economic, energy, and environmental interests affected by standards. Under the guidelines in this appendix, DOE will support the development and submission of consensus recommendations for standards by representative groups of interested parties to the fullest extent possible.

(j) Reduce time and cost of developing standards. The Department seeks to establish a clear protocol for initiating and conducting standards rulemakings in order to eliminate time-consuming and costly missteps. Under the guidelines in this appendix, increased and earlier involvement by interested parties and increased use of technical experts should minimize the need for re-analysis. This process should reduce the period between the publication of an Advance Notice of Proposed Rulemaking (ANOPR) and the publication of a final rule to not more than 18 months, and should decrease the government and private sector resources required to complete the standard development process.

2. Scope

(a) The procedures, interpretations and policies described in this appendix will be fully applicable to:

(1) Rulemakings concerning new or revised Federal energy conservation standards for consumer products initiated after August 14, 1996, and

(2) Rulemakings concerning new or revised Federal energy conservation standards for consumer products that have been initiated but for which a Notice of Proposed Rulemaking (NOPR) has not been published as of August 14, 1996.

(b) For rulemakings described in paragraph (a)(2) of this section, to the extent analytical work has already been done or public comment on an ANOPR has already been provided, such analyses and comment will be considered, as appropriate, in proceeding under the new process.

(c) With respect to incomplete rulemakings concerning new or revised Federal energy conservation standards for consumer products for which a NOPR was published prior to August 14, 1996, the Department will conduct a case-by-case review to decide whether any of the analytical or procedural steps already completed should be repeated. In any case, the approach described in this appendix will be used to the extent possible to conduct any analytical or procedural steps that have not been completed.

3. Setting Priorities for Rulemaking Activity

(a) Priority-setting analysis and development of list of priorities. At least once a year, the Department will prepare an analysis of each of the factors identified in paragraph (d) of this section based on existing literature, direct communications with interested parties and other experts, and other available information. The results of this analysis will be used to develop rulemaking priorities and proposed schedules for the development and issuance of all rulemakings. The DOE analysis, priorities and proposed rulemaking schedules will be documented and distributed for review and comment.

(b) Public review and comment. Each year, DOE will invite public input to review and comment on the priority analysis.

(c) Issuance of final listing of rulemaking priorities. Each fall, the Department will issue, simultaneously with the issuance of the Administration's Regulatory Agenda, a final set of rulemaking priorities, the accompanying analysis, and the schedules for all priority rulemakings that it anticipates within the next two years.

(d) Factors for priority-setting. The factors to be considered by DOE in developing priorities and establishing schedules for conducting rulemakings will include:

(1) Potential energy savings.

(2) Potential economic benefits.

(3) Potential environmental or energy security benefits.

(4) Applicable deadlines for rulemakings.

(5) Incremental DOE resources required to complete rulemaking process.

(6) Other relevant regulatory actions affecting products.

(7) Stakeholder recommendations.

(8) Evidence of energy efficiency gains in the market absent new or revised standards.

(9) Status of required changes to test procedures.

(10) Other relevant factors.

4. Process for Developing Efficiency Standards and Factors to be Considered

This section describes the process to be used in developing efficiency standards and the factors to be considered in the process. The policies of the Department to guide the selection of standards and the decisions preliminary thereto are described in section 5.

(a) Identifying and screening design options. Once the Department has initiated a rulemaking for a specific product but before publishing an ANOPR, DOE will identify the product categories and design options to be analyzed in detail, and identify those design options eliminated from further consideration. Interested parties will be consulted to identify key issues, develop a list of design options, and to help the Department identify the expertise necessary to conduct the analysis.

(1) Identification of issues for analysis. The Department, in consultation with interested parties, will identify issues that will be examined in the standards development process.

(2) Identification of experts and other interested parties for peer review. DOE, in consultation with interested parties, will identify a group of independent experts and other interested parties who can provide expert review of the results of the engineering analysis and the subsequent impact analysis.

(3) Identification and screening of design options. In consultation with interested parties, the Department will develop a list of design options for consideration. Initially, the candidate design options will encompass all those technologies considered to be technologically feasible. Following the development of this initial list of design options, DOE will review each design option based on the factors described in paragraph (a)(4) of this section and the policies stated in section 5(b). The reasons for eliminating any design option at this stage of the process will be fully documented and published as part of the ANOPR. The technologically feasible design options that are not eliminated in this screening will be considered further in the Engineering Analysis described in paragraph (b) of this section.

(4) Factors for screening of design options. The factors for screening design options include:

(i) Technological feasibility. Technologies incorporated in commercial products or in working prototypes will be considered technologically feasible.

(ii) Practicability to manufacture, install and service. If mass production of a technology in commercial products and reliable installation and servicing of the technology could be achieved on the scale necessary to serve the relevant market at the time of the effective date of the standard, then that technology will be considered practicable to manufacture, install and service.

(iii) Adverse Impacts on Product Utility or Product Availability.

(iv) Adverse Impacts on Health or Safety.

(5) Selection of contractors. Using the specifications of necessary contractor expertise developed in consultation with interested parties, DOE will select appropriate contractors, subcontractors, and as necessary, expert consultants to perform the engineering analysis and the impact analysis.

(b) Engineering analysis of design options and selection of candidate standard levels. After design options are identified and screened, DOE will perform the engineering analysis and the benefit/cost analysis and select the candidate standard levels based on these analyses. The results of the analyses will be published in a Technical Support Document (TSD) to accompany the ANOPR.

(1) Identification of engineering analytical methods and tools. DOE, in consultation with outside experts, will select the specific engineering analysis tools (or multiple tools, if necessary to address uncertainty) to be used in the analysis of the design options identified as a result of the screening analysis.

(2) Engineering and life-cycle cost analysis of design options. The DOE and its contractor will perform engineering and life-cycle cost analyses of the design options.

(3) Review by expert group and stakeholders. The results of the engineering and life-cycle cost analyses will be distributed for review by experts and interested parties. If appropriate, a public workshop will be conducted to review these results. The analyses will be revised as appropriate on the basis of this input.

(4) New information relating to the factors used for screening design options. If further information or analysis leads to a determination that a design option, or a combination of design options, has unacceptable impacts based on the policies stated in section 5(b), that design option or combination of design options will not be included in a candidate standard level.

(5) Selection of candidate standard levels. Based on the results of the engineering and life-cycle cost analysis of design options and the policies stated in section 5(c), DOE will select the candidate standard levels for further analysis.

(c) Advance Notice of Proposed Rulemaking—(1) Documentation of decisions on candidate standard selection. (i) If the screening analysis indicates that continued development of a standard is appropriate, the Department will publish an ANOPR in the Federal Register and will distribute a draft TSD containing the analyses performed to this point. The ANOPR will specify candidate standard levels but will not propose a particular standard. The ANOPR will also include the preliminary analysis of consumer life-cycle costs, national net present value, and energy impacts for the candidate standard levels based on the engineering analysis.

(ii) If the preliminary analysis indicates that no candidate standard level is likely to meet the criteria specified in law, that conclusion will be announced. In such cases, the Department may decide to proceed with a rulemaking that proposes not to adopt new or amended standards, or it may suspend the rulemaking and conclude that further action on such standards should be assigned a low priority under section 3.

(2) Public comment and hearing. There will be 75 days for public comment on the ANOPR with at least one public hearing or workshop.

(3) Revisions based on comments. Based on consideration of the comments received, any necessary changes to the engineering analysis or the candidate standard levels will be made.

If major changes are required at this stage, interested parties and experts will be given an opportunity to review the revised analysis.

(d) Analysis of impacts and selection of proposed standard level. After the ANOPR, economic analyses of the impacts of the candidate standard levels will be conducted. The Department will propose updated standards based on the results of the impact analysis.

(1) Identification of issues for analysis. The Department, in consultation with interested parties, will identify issues that will be examined in the impacts analysis.

(2) Identification of analytical methods and tools. DOE, in consultation with outside experts, will select the specific economic analysis tools (or multiple tools if necessary to address uncertainty) to be used in the analysis of the candidate standard levels.

(3) Analysis of impacts. DOE will conduct the analysis of the impacts of candidate standard levels including analysis of the factors described in paragraphs (d)(7)(ii)-(viii) of this section.

(4) Review by expert group and stakeholders. The results of the analysis of impacts will be distributed for review by experts and interested parties. If appropriate, a public workshop will be conducted to review these results. The analysis will be revised as appropriate on the basis of this input.

(5) Efforts to develop consensus among stakeholders. If a representative group of interested parties undertakes to develop joint recommendations to the Department on standards, DOE will consider deferring its impact analysis until these discussions are completed or until participants in the efforts indicate that they are unable to reach a timely agreement.

(6) Selection of proposed standard level based on analysis of impacts. On the basis of the analysis of the factors described in paragraph (d)(7) of this section and the policies stated in section 5(e), DOE will select a proposed standard level.

(7) Factors to be considered in selecting a proposed standard. The factors to be considered in selection of a proposed standard include:

(i) Consensus stakeholder recommendations.

(ii) Impacts on manufacturers. The analysis of manufacturer impacts will include: Estimated impacts on cash flow; assessment of impacts on manufacturers of specific categories of products and small manufacturers; assessment of impacts on manufacturers of multiple product-specific Federal regulatory requirements, including efficiency standards for other products and regulations of other agencies; and impact on manufacturing capacity, plant closures, and loss of capital investment.

(iii) Impacts on consumers. The analysis of consumer impacts will include: Estimated impacts on consumers based on national average energy prices and energy usage; assessments of impacts on subgroups of consumers based on major regional differences in usage or energy prices and significant variations in installation costs or performance; sensitivity analyses using high and low discount rates and high and low energy price forecasts; consideration of changes to product utility and other impacts of likely concern to all or some consumers, based to the extent practicable on direct input from consumers; estimated life-cycle cost with sensitivity analysis; and consideration of the increased first cost to consumers and the time required for energy cost savings to pay back these first costs.

(iv) Impacts on competition.

(v) Impacts on utilities. The analysis of utility impacts will include estimated marginal impacts on electric and gas utility costs and revenues.

(vi) National energy, economic and employment impacts. The analysis of national energy, economic and employment impacts will include: Estimated energy savings by fuel type; estimated net present value of benefits to all consumers; and estimates of the direct and indirect impacts on employment by appliance manufacturers, relevant service industries, energy suppliers and the economy in general.

(vii) Impacts on the environment and energy security. The analysis of environmental and energy security impacts will include estimated impacts on emissions of carbon and relevant criteria pollutants, impacts on pollution control costs, and impacts on oil use.

(viii) Impacts of non-regulatory approaches. The analysis of energy savings and consumer impacts will incorporate an assessment of the impacts of market forces and existing voluntary programs in promoting product efficiency, usage and related characteristics in the absence of updated efficiency standards.

(ix) New information relating to the factors used for screening design options.

(e) Notice of Proposed Rulemaking—(1) Documentation of decisions on proposed standard selection. The Department will publish a NOPR in the Federal Register that proposes standard levels and explains the basis for the selection of those proposed levels, and will distribute a draft TSD documenting the analysis of impacts. As required by §325(p)(2) of EPCA, the NOPR also will describe the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible and, if the proposed standards would not achieve these levels, the reasons for proposing different standards.

(2) Public comment and hearing. There will be 75 days for public comment on the NOPR, with at least one public hearing or workshop.

(3) Revisions to impact analyses and selection of final standard. Based on the public comments received and the policies stated in section 5(f), DOE will review the proposed standard and impact analyses, and make modifications as necessary. If major changes to the analyses are required at this stage, interested parties and experts will be given an opportunity to review the revised analyses.

(f) Notice of Final Rulemaking. The Department will publish a Notice of Final Rulemaking in the Federal Register that promulgates standard levels and explains the basis for the selection of those standards, accompanied by a final TSD.

5. Policies on Selection of Standards.

(a) Purpose. (1) Section 4 describes the process that will be used to consider new or revised energy efficiency standards and lists a number of factors and analyses that will be considered at specified points in the process. Department policies co12467ncerning the selection of new or revised standards, and decisions preliminary thereto, are described in this section.

These policies are intended to elaborate on the statutory criteria provided in section 325 of the EPCA, 42 U.S.C. 6295.

(2) The policies described below are intended to provide guidance for making the determinations required by EPCA. This statement of policy is not intended to preclude consideration of any information pertinent to the statutory criteria. The Department will consider all pertinent information in determining whether a new or revised standard is consistent with the statutory criteria. Moreover, the Department will not be guided by a policy in this section if, in the particular circumstances presented, such a policy would lead to a result inconsistent with the criteria in section 325 of EPCA.

(b) Screening design options. Section 4(a)(4) lists factors to be considered in screening design options. These factors will be considered as follows in determining whether a design option will receive any further consideration:

(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 effective date of the standard, then that technology will not be considered further.

(3) Impacts on product utility to consumers. 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 U.S. at the time, it will not be considered further.

(4) Safety of technologies. If it is determined that a technology will have significant adverse impacts on health or safety, it will not be considered further.

(c) Identification of candidate standard levels. Based on the results of the engineering and cost and benefit analyses of design options, DOE will identify the candidate standard levels for further analysis. Candidate standard levels will be selected as follows:

(1) Costs and savings of design options. Design options which have payback periods that exceed the average life of the product or which cause life-cycle cost increases relative to the base case, using typical fuel costs, usage and discount rates, will not be used as the basis for candidate standard levels.

(2) Further information on factors used for screening design options. If further information or analysis leads to a determination that a design option, or a combination of design options, has unacceptable impacts under the policies stated in paragraph (b) of this section, that design option or combination of design options will not be included in a candidate standard level.

(3) Selection of candidate standard levels. Candidate standard levels, which will be identified in the ANOPR and on which impact analyses will be conducted, will be based on the remaining design options.

(i) The range of candidate standard levels will typically include:

(A) The most energy efficient combination of design options;

(B) The combination of design options with the lowest life-cycle cost; and

(C) A combination of design options with a payback period of not more than three years.

(ii) Candidate standard levels that incorporate noteworthy technologies or fill in large gaps between efficiency levels of other candidate standard levels also may be selected.

(d) Advance notice of proposed rulemaking. New information provided in public comments on the ANOPR will be considered to determine whether any changes to the candidate standard levels are needed before proceeding to the analysis of impacts. This review, and any appropriate adjustments, will be based on the policies in paragraph (c) of this section.

(e) Selection of proposed standard. Based on the results of the analysis of impacts, DOE will select a standard level to be proposed for public comment in the NOPR. Section 4(d)(7) lists the factors to be considered in selecting a proposed standard level. Section 325(o)(2)(A) of EPCA provides that any new or revised standard must be designed to achieve the maximum improvement in energy efficiency that is determined to be technologically feasible and economically justified.

(1) Statutory policies. The fundamental policies concerning selection of standards are established in the EPCA, including the following:

(i) A candidate standard level will not be proposed or promulgated if the Department determines that it is not technologically feasible and economically justified. See EPCA section 325(o)(3)(B). A standard level is economically justified if the benefits exceed the burdens. See EPCA section 325(o)(2)(B)(i). A standard level is rebuttably presumed to be economically justified if the payback period is three years or less. See EPCA section 325(o)(2)(B)(iii).

(ii) If the Department determines that a standard level is likely to 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 U.S. at the time, that standard level will not be proposed. See EPCA section 325(o)(4).

(iii) If the Department determines that a standard level would not result in significant conservation of energy, that standard level will not be proposed. See EPCA section 325(o)(3)(B).

(2) Selection of proposed standard on the basis of consensus stakeholder recommendations. Development of consensus proposals for new or revised standards is an effective mechanism for balancing the economic, energy, and environmental interests affected by standards. Thus, notwithstanding any other policy on selection of proposed standards, a consensus recommendation on an updated efficiency level submitted by a group that represents all interested parties will be proposed by the Department if it is determined to meet the statutory criteria.

(3) Considerations in assessing economic justification.

(i) The following policies will guide the application of the economic justification criterion in selecting a proposed standard:

(A) If the Department determines that a candidate standard level would result in a negative return on investment for the industry, would significantly reduce the value of the industry, or would cause significant adverse impacts to a significant subgroup of manufacturers (including small manufacturing businesses), that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(B) If the Department determines that a candidate standard level would be the direct cause of plant closures, significant losses in domestic manufacturer employment, or significant losses of capital investment by domestic manufacturers, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(C) If the Department determines that a candidate standard level would have a significant adverse impact on the environment or energy security, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(D) If the Department determines that a candidate standard level would not result in significant energy conservation relative to non-regulatory approaches, that standard level will be presumed not to be economically justified unless the Department determines that other specifically identified expected benefits of the standard would outweigh the expected adverse effects.

(E) If the Department determines that a candidate standard level is not consistent with the policies relating to practicability to manufacture, consumer utility, or safety in paragraphs (b) (2), (3) and (4) of this section, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(F) If the Department determines that a candidate standard level is not consistent with the policies relating to consumer costs in paragraph (c)(1) of this section, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(G) If the Department determines that a candidate standard level will have significant adverse impacts on a significant subgroup of consumers (including low-income consumers), that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(H) If the Department or the Department of Justice determines that a candidate standard level would have significant anticompetitive effects, that standard level will be presumed not to be economically justified unless the Department determines that specifically identified expected benefits of the standard would outweigh this and any other expected adverse effects.

(ii) The basis for a determination that triggers any presumption in paragraph (e)(3)(i) of this section and the basis for a determination that an applicable presumption has been rebutted will be supported by substantial evidence in the record and the evidence and rationale for making these determinations will be explained in the NOPR.

(iii) If none of the policies in paragraph (e)(3)(i) of this section is found to be dispositive, the Department will determine whether the benefits of a candidate standard level exceed the burdens considering all the pertinent information in the record.

(f) Selection of a final standard. New information provided in the public comments on the NOPR and any analysis by the Department of Justice concerning impacts on competition of the proposed standard will be considered to determine whether any change to the proposed standard level is needed before proceeding to the final rule. The same policies used to select the proposed standard level, as described in section 5(e) above, will be used to guide the selection of the final standard level.

6. Effective Date of a Standard

The effective date for new or revised standards will be established so that the period between the publication of the final rule and the effective date is not less than any period between the dates for publication and effective date provided for in EPCA. The effective date of any revised standard will be established so that the period between the effective date of the prior standard and the effective date of such revised standard is not less than period between the two effective dates provided for in EPCA.

7. Test Procedures

(a) Identifying the need to modify test procedures. DOE, in consultation with interested parties, experts, and the National Institute of Standards and Technology, will attempt to identify any necessary modifications to established test procedures when initiating the standards development process.

(b) Developing and proposing revised test procedures. Needed modifications to test procedures will be identified in consultation with experts and interested parties early in the screening stage of the standards development process. Any necessary modifications will be proposed before issuance of an ANOPR in the standards development process.

(c) Issuing final test procedure modification. Final, modified test procedures will be issued prior to the NOPR on proposed standards.

(d) Effective date of modified test procedures. If required only for the evaluation and issuance of updated efficiency standards, modified test procedures typically will not go into effect until the effective date of updated standards.

8. Joint Stakeholder Recommendations

(a) Joint recommendations. Consensus recommendations, and supporting analyses, submitted by a representative group of interested parties will be given substantial weight by DOE in the development of a proposed rule. See section 5(e)(2). If the supporting analyses provided by the group addresses all of the statutory criteria and uses valid economic assumptions and analytical methods, DOE expects to use this supporting analyses as the basis of a proposed rule. The proposed rule will explain any deviations from the consensus recommendations from interested parties.

(b) Breadth of participation. Joint recommendations will be of most value to the Department if the participants are reasonably representative of those interested in the outcome of the standards development process, including manufacturers, consumers, utilities, states and representatives of environmental or energy efficiency interest groups.

(c) DOE support of consensus development, including impact analyses. In order to facilitate such consensus development, DOE will make available, upon request, appropriate technical and legal support to the group and will provide copies of all relevant public documents and analyses. The Department also will consider any requests for its active participation in such discussions, recognizing that the procedural requirements of the Federal Advisory Committee Act may apply to such participation.

9. Principles for the Conduct of Engineering Analysis

(a) The purpose of the engineering analysis is to develop the relationship between efficiency and cost of the subject product. The Department will use the most appropriate means available to determine the efficiency/cost relationship, including an overall system approach or engineering modeling to predict the improvement in efficiency that can be expected from individual design options as discussed in the paragraphs below. From this efficiency/cost relationship, measures such as payback, life cycle cost, and energy savings can be developed. The Department, in consultation with interested parties, will identify issues that will be examined in the engineering analysis and the types of specialized expertise that may be required. With these specifications, DOE will select appropriate contractors, subcontractors, and expert consultants, as necessary, to perform the engineering analysis and the impact analysis. Also, the Department will consider data, information and analyses received from interested parties for use in the analysis wherever feasible.

(b) The engineering analysis begins with the list of design options developed in consultation with the interested parties as a result of the screening process. In consultation with the technology/industry expert peer review group, the Department will establish the likely cost and performance improvement of each design option. Ranges and uncertainties of cost and performance will be established, although efforts will be made to minimize uncertainties by using measures such as test data or component or material supplier information where available. Estimated uncertainties will be carried forward in subsequent analyses. The use of quantitative models will be supplemented by qualitative assessments as appropriate.

(c) The next step includes identifying, modifying or developing any engineering models necessary to predict the efficiency impact of any one or combination of design options on the product. A base case configuration or starting point will be established as well as the order and combination/blending of the design options to be evaluated. The DOE, utilizing expert consultants, will then perform the engineering analysis and develop the cost efficiency curve for the product. The cost efficiency curve and any necessary models will be subject to peer review before being issued with the ANOPR.

10. Principles for the Analysis of Impacts on Manufacturers

(a) Purpose. The purpose of the manufacturer analysis is to identify the likely impacts of efficiency standards on manufacturers. The Department will analyze the impact of standards on manufacturers with substantial input from manufacturers and other interested parties. The use of quantitative models will be supplemented by qualitative assessments by industry experts. This section describes the principles that will be used in conducting future manufacturing impact analysis.

(b) Issue identification. In the impact analysis stage (section 4(d)), the Department, in consultation with interested parties, will identify issues that will require greater consideration in the detailed manufacturer impact analysis. Possible issues may include identification of specific types or groups of manufacturers and concerns over access to technology. Specialized contractor expertise, empirical data requirements, and analytical tools required to perform the manufacturer impact analysis also would be identified at this stage.

(c) Industry characterization. Prior to initiating detailed impact studies, the Department will seek input on the present and past industry structure and market characteristics. Input on the following issues will be sought:

(1) Manufacturers and their relative market shares;

(2) Manufacturer characteristics, such as whether manufacturers make a full line of models or serve a niche market;

(3) Trends in the number of manufacturers;

(4) Financial situation of manufacturers;

(5) Trends in product characteristics and retail markets; and

(6) Identification of other relevant regulatory actions and a description of the nature and timing of any likely impacts.

(d) Cost impacts on manufacturers. The costs of labor, material, engineering, tooling, and capital are difficult to estimate, manufacturer-specific, and usually proprietary. The Department will seek input from interested parties on the treatment of cost issues. Manufacturers will be encouraged to offer suggestions as to possible sources of data and appropriate data collection methodologies. Costing issues to be addressed include:

(1) Estimates of total cost impacts, including product-specific costs (based on cost impacts estimated for the engineering analysis) and front-end investment/conversion costs for the full range of product models.

(2) Range of uncertainties in estimates of average cost, considering alternative designs and technologies which may vary cost impacts and changes in costs of material, labor and other inputs which may vary costs.

(3) Variable cost impacts on particular types of manufacturers, considering factors such as atypical sunk costs or characteristics of specific models which may increase or decrease costs.

(e) Impacts on product sales, features, prices and cost recovery. In order to make manufacturer cash flow calculations, it is necessary to predict the number of products sold and their sale price. This requires an assessment of the likely impacts of price changes on the number of products sold and on typical features of models sold. Past analyses have relied on price and shipment data generated by economic models. The Department will develop additional estimates of prices and shipments by drawing on multiple sources of data and experience including: actual shipment and pricing experience, data from manufacturers, retailers and other market experts, financial models, and sensitivity analyses. The possible impacts of candidate standard levels on consumer choices among competing fuels will be explicitly considered where relevant.

(f) Measures of impact. The manufacturer impact analysis will estimate the impacts of candidate standard levels on the net cash flow of manufacturers. Computations will be performed for the industry as a whole and for typical and atypical manufacturers. The exact nature and the process by which the analysis will be conducted will be determined by DOE, in conjunction with interested parties. Impacts to be analyzed include:

(1) Industry net present value, with sensitivity analyses based on uncertainty of costs, sales prices and sales volumes;

(2) Cash flows, by year;

(3) Other measures of impact, such as revenue, net income and return on equity, as appropriate;

The characteristics of atypical manufacturers worthy of special consideration will be determined in consultation with manufacturers and other interested parties and may include: manufacturers incurring higher or lower than average costs; and manufacturers experiencing greater or fewer adverse impacts on sales. Alternative scenarios based on other methods of estimating cost or sales impacts also will be performed, as needed.

(g) Cumulative impacts of other Federal regulatory actions. (1) The Department will recognize and seek to mitigate the overlapping effects on manufacturers of new or revised DOE standards and other regulatory actions affecting the same products. DOE will analyze and consider the impact on manufacturers of multiple product-specific regulatory actions. These factors will be considered in setting rulemaking priorities, assessing manufacturer impacts of a particular standard, and establishing the effective date for a new or revised standard. In particular, DOE will seek to propose effective dates for new or revised standards that are appropriately coordinated with other regulatory actions to mitigate any cumulative burden.

(2) If the Department determines that a proposed standard would impose a significant impact on product manufacturers within three years of the effective date of another DOE standard that imposes significant impacts on the same manufacturers (or divisions thereof, as appropriate), the Department will, in addition to evaluating the impact on manufacturers of the proposed standard, assess the joint impacts of both standards on manufacturers.

(3) If the Department is directed to establish or revise standards for products that are components of other products subject to standards, the Department will consider the interaction between such standards in setting rulemaking priorities and assessing manufacturer impacts of a particular standard. The Department will assess, as part of the engineering and impact analyses, the cost of components subject to efficiency standards.

(h) Summary of quantitative and qualitative assessments. The summary of quantitative and qualitative assessments will contain a description and discussion of uncertainties. Alternative estimates of impacts, resulting from the different potential scenarios developed throughout the analysis, will be explicitly presented in the final analysis results.

(i) Key modeling and analytical tools. In its assessment of the likely impacts of standards on manufacturers, the Department will use models which are clear and understandable, feature accessible calculations, and have assumptions that are clearly explained. As a starting point, the Department will use the Government Regulatory Impact Model (GRIM). The Department will consider any enhancements to the GRIM that are suggested by interested parties. If changes are made to the GRIM methodology, DOE will provide notice and seek public input. The Department will also support the development of economic models for price and volume forecasting. Research required to update key economic data will be considered.

11. Principles for the Analysis of Impacts on Consumers

(a) Early consideration of impacts on consumer utility. The Department will consider at the earliest stages of the development of a standard whether particular design options will lessen the utility of the covered products to the consumer. See section 4(a).

(b) Impacts on product availability. The Department will determine, based on consideration of information submitted during the standard development process, whether a proposed standard is likely to 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 U.S. at the time. DOE will not promulgate a standard if it concludes that it would result in such unavailability.

(c) Department of justice review. As required by law, the Department will solicit the views of the Justice Department on any lessening of competition that is likely to result from the imposition of a proposed standard and will give the views provided full consideration in assessing economic justification of a proposed standard. In addition, DOE may consult with the Department of Justice at earlier stages in the standards development process to seek to obtain preliminary views on competitive impacts.

(d) Variation in consumer impacts. The Department will use regional analysis and sensitivity analysis tools, as appropriate, to evaluate the potential distribution of impacts of candidate standards levels among different subgroups of consumers. The Department will consider impacts on significant segments of consumers in determining standards levels. Where there are significant negative impacts on identifiable subgroups, DOE will consider the efficacy of voluntary approaches as a means to achieve potential energy savings.

(e) Payback period and first cost. (1) In the assessment of consumer impacts of standards, the Department will consider Life-Cycle Cost, Payback Period and Cost of Conserved Energy to evaluate the savings in operating expenses relative to increases in purchase price. The Department intends to increase the level of sensitivity analysis and scenario analysis for future rulemakings. The results of these analyses will be carried throughout the analysis and the ensuing uncertainty described.

(2) If, in the analysis of consumer impacts, the Department determines that a candidate standard level would result in a substantial increase in the product first costs to consumers or would not pay back such additional first costs through energy cost savings in less than three years, Department will specifically assess the likely impacts of such a standard on low-income households, product sales and fuel switching.

12. Consideration of Non-Regulatory Approaches

(a) The Department recognizes that voluntary or other non-regulatory efforts by manufacturers, utilities and other interested parties can result in substantial efficiency improvements. The Department intends to consider fully the likely effects of non-regulatory initiatives on product energy use, consumer utility and life cycle costs, manufacturers, competition, utilities and the environment, as well as the distribution of these impacts among different regions, consumers, manufacturers and utilities. DOE will attempt to base its assessment on the actual impacts of such initiatives to date, but also will consider information presented regarding the impacts that any existing initiative might have in the future. Such information is likely to include a demonstration of the strong commitment of manufacturers, distribution channels, utilities or others to such voluntary efficiency improvements. This information will be used in assessing the likely incremental impacts of establishing or revising standards, in assessing appropriate effective dates for new or revised standards and in considering DOE support of non-regulatory initiatives.

(b) DOE believes that non-regulatory approaches are valuable complements to the standards program. In particular, DOE will consider pursuing voluntary programs where it appears that highly efficient products can obtain a significant market share but less efficient products cannot be eliminated altogether because, for instance, of unacceptable adverse impacts on a significant subgroup of consumers. In making this assessment, the Department will consider the success more efficient designs have had in the market, their acceptance to date, and their potential market penetration.

13. Crosscutting Analytical Assumptions

In selecting values for certain crosscutting analytical assumptions, DOE expects to continue relying upon the following sources and general principles:

(a) Underlying economic assumptions. The appliance standards analyses will generally use the same economic growth and development assumptions that underlie the most current Annual Energy Outlook (AEO) published by the Energy Information Administration (EIA).

(b) Energy price and demand trends. Analyses of the likely impact of appliance standards on typical users will generally adopt the mid-range energy price and demand scenario of the EIA's most current AEO. The sensitivity of such estimated impacts to possible variations in future energy prices are likely to be examined using the EIA's high and low energy price scenarios.

(c) Product-specific energy-efficiency trends, without updated standards. Product specific energy-efficiency trends will be based on a combination of the efficiency trends forecast by the EIA's residential and commercial demand model of the National Energy Modeling System (NEMS) and product-specific assessments by DOE and its contractors with input from interested parties.

(d) Discount rates. For residential and commercial consumers, ranges of three different real discount rates will be used. For residential consumers, the mid-range discount rate will represent DOE's approximation of the average financing cost (or opportunity costs of reduced savings) experienced by typical consumers. Sensitivity analyses will be performed using discount rates reflecting the costs more likely to be experienced by residential consumers with little or no savings and credit card financing and consumers with substantial savings. For commercial users, a mid-range discount rate reflecting the DOE's approximation of the average real rate of return on commercial investment will be used, with sensitivity analyses being performed using values indicative of the range of real rates of return likely to be experienced by typical commercial businesses. For national net present value calculations, DOE would use the Administration's approximation of the average real rate of return on private investment in the U.S. economy. For manufacturer impacts, DOE plans to use a range of real discount rates which are representative of the real rates of return experienced by typical U.S. manufacturers affected by the program.

(e) Environmental impacts. The emission rates of carbon, sulfur oxides and nitrogen oxides used by DOE to calculate the physical quantities of emissions likely to be avoided by candidate standard levels will be based on the current average carbon emissions of the U.S. electric utilities and on the projected rates of emissions of sulfur and nitrogen oxides. Projected rates of emissions, if available, will be used for the estimation of any other environmental impacts. The Department will consider the effects of the proposed standards on these emissions in reaching a decision about whether the benefits of the proposed standards exceed their burdens but will not determine the monetary value of these environmental externalities.

14. Deviations, Revisions, and Judicial Review

(a) Deviations. This appendix specifies procedures, interpretations and policies for the development of new or revised energy efficiency standards in considerable detail. As the approach described in this appendix is applied to the development of particular standards, the Department may find it necessary or appropriate to deviate from these procedures, interpretations or policies. If the Department concludes that such deviations are necessary or appropriate in a particular situation, DOE will provide interested parties with notice of the deviation and an explanation.

(b) Revisions. If the Department concludes that changes to the procedures, interpretations or policies in this appendix are necessary or appropriate, DOE will provide notice in the Federal Register of modifications to this appendix with an accompanying explanation. DOE expects to consult with interested parties prior to any such modification.

(c) Judicial review. The procedures, interpretations, and policies stated in this appendix are not intended to establish any new cause of action or right to judicial review.

[61 FR 36981, July 15, 1996]

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