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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 and Test Procedures for Consumer Products and Certain Commercial/Industrial Equipment

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§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]

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§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. Standard size dishwashers have a capacity equal to or greater than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1-2010 (incorporated by reference, see §430.3) using the test load specified in section 2.7 of appendix C1 in subpart B of this part.

(ii) Compact size dishwashers shall not exceed 222 kwh/year and 3.5 gallons per cycle. Compact size dishwashers have a capacity less than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1-2010 (incorporated by reference, see §430.3) using the test load specified in section 2.7 of appendix C1 in subpart B of this part.

(iii) Standard size dishwashers with a “normal cycle”, as defined in section 1.12 of appendix C1 in subpart B of this part, of 60 minutes or less are not currently subject to energy or water conservation standards. Standard size dishwashers have a capacity equal to or greater than eight place settings plus six serving pieces as specified in ANSI/AHAM DW-1-2010 (incorporated by reference, see §430.3) using the test load specified in section 2.7 of appendix C1 in subpart B of this part.

(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)(i) Except as provided in paragraph (g)(4)(ii) of this section, 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.)
(A) Top-loading, Compact (less than 1.6 ft3 capacity)1.1512.0
(B) Top-loading, Standard (1.6 ft3 or greater capacity)1.576.5
(C) Front-loading, Compact (less than 1.6 ft3 capacity)1.138.3
(D) Front-loading, Standard (1.6 ft3 or greater capacity)1.844.7

(ii) Top-loading, standard clothes washers with an average cycle time of less than 30 minutes and front-loading, standard clothes washers with an average cycle time of less than 45 minutes are not currently subject to energy or water conservation standards.

(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)(i) Except as provided in paragraph (h)(3)(ii) of this section, clothes dryers manufactured on or after January 1, 2015, shall have a combined energy factor no less than:

Product classCombined
energy factor
(lbs/kWh)
(A) Vented Electric, Standard (4.4 ft3 or greater capacity)3.73
(B) Vented Electric, Compact (120V) (less than 4.4 ft3 capacity)3.61
(C) Vented Electric, Compact (240V) (less than 4.4 ft3 capacity)3.27
(D) Vented Gas3.30
(E) Ventless Electric, Compact (240V) (less than 4.4 ft3 capacity)2.55
(F) Ventless Electric, Combination Washer-Dryer2.08

(ii) Vented, electric standard clothes dryers and vented gas clothes dryers with a cycle time of less than 30 minutes are not currently subject to energy conservation standards.

(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)).

(3) All uninterruptible power supplies (UPS) manufactured on and after January 10, 2022, that utilize a NEMA 1-15P or 5-15P input plug and have an AC output shall have an average load adjusted efficiency that meets or exceeds the values shown in the table in this paragraph (z)(3) based on the rated output power (Prated) of the UPS.

Battery charger product classRated output powerMinimum efficiency
10a (VFD UPSs)0 W < Prated ≤ 300 W−1.20E-06 * P2rated + 7.17E-04 * Prated + 0.862.
   300 W < Prated ≤ 700 W−7.85E-08 * P2rated + 1.01E-04 * Prated + 0.946.
   Prated > 700 W−7.23E-09 * P2rated + 7.52E-06 * Prated + 0.977.
10b (VI UPSs)0 W < Prated ≤ 300 W−1.20E-06 * P2rated + 7.19E-04 * Prated + 0.863.
   300 W < Prated ≤ 700 W−7.67E-08 * P2rated + 1.05E-04 * Prated + 0.947.
   Prated > 700 W−4.62E-09 * P2rated + 8.54E-06 * Prated + 0.979.
10c (VFI UPSs)0 W < Prated ≤ 300 W−3.13E-06 * P2rated + 1.96E-03 * Prated + 0.543.
   300 W < Prated ≤ 700 W−2.60E-07 * P2rated + 3.65E-04 * Prated + 0.764.
   Prated > 700 W−1.70E-08 * P2rated + 3.85E-05 * Prated + 0.876.

(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.

(cc) Portable air conditioners. Single-duct portable air conditioners and dual-duct portable air conditioners manufactured on or after January 10, 2025 must have a combined energy efficiency ratio (CEER) in Btu/Wh no less than SACC: Seasonally adjusted cooling capacity in Btu/h, as determined in appendix CC of subpart B of this part.

eCFR graphic er10ja20.020.gif

View or download PDF

[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.

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§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]

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§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]

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§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]

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

1. Objectives

2. Scope

3. Mandatory Application of the Process Rule

4. Setting Priorities for Rulemaking Activity

5. Coverage Determination Rulemakings

6. Process for Developing Energy Conservation Standards

7. Policies on Selection of Standards

8. Test Procedures

9. ASHRAE Equipment

10. Direct Final Rules

11. Negotiated Rulemaking Process

12. Principles for Distinguishing Between Effective and Compliance Dates

13. Principles for the Conduct of the Engineering Analysis

14. Principles for the Analysis of Impacts on Manufacturers

15. Principles for the Analysis of Impacts on Consumers

16. Consideration of Non-Regulatory Approaches

17. Cross-cutting Analytical Assumptions

1. Objectives

This appendix establishes procedures, interpretations, and policies that DOE will follow in the consideration and promulgation of new or revised appliance energy conservation standards and test procedures under the Energy Policy and Conservation Act (EPCA). This appendix applies to both covered consumer products and covered commercial/industrial equipment. The Department's objectives in establishing these procedures 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 procedures established by this appendix, DOE will seek early input from interested parties in determining whether establishing new or amending existing energy conservation standards will result in significant savings of energy and is economically justified and technologically feasible. In the context of test procedure rulemakings, DOE will seek early input from interested parties in determining whether—

(1) Establishing a new or amending an existing test procedure will better measure the energy efficiency, energy use, water use (as specified in EPCA), or estimated annual operating cost of a covered product/equipment during a representative average use cycle or period of use (for consumer products); and

(2) Will not be unduly burdensome to conduct.

(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 and test procedure development activities, and to announce these prioritization decisions so that all interested parties have a common expectation about the timing of different rulemaking activities. Further, DOE will offer the opportunity to provide input on the prioritization of rulemakings through a request for comment as DOE begins preparation of its Regulatory Agenda each spring.

(c) 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 procedures 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 have a material adverse impact on the utility of the product, or if the design option will have a material adverse impact on safety or health. DOE will also eliminate from consideration proprietary design options that represent a unique pathway to achieving a given efficiency level. This screening will be done at the outset of a rulemaking.

(d) 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 programs can be used most effectively. DOE will continue to support voluntary efforts by manufacturers, retailers, utilities, and others to increase product/equipment efficiency.

(e) Conduct thorough analysis of impacts. In addition to understanding the aggregate social and private costs and benefits of standards, the Department seeks to understand the distribution of those costs and benefits among consumers, manufacturers, and others, as well as the uncertainty associated with these analyses of costs and benefits, so that any adverse impacts on subgroups and uncertainty concerning any adverse impacts can be fully considered in selecting a standard. Pursuant to this appendix, the analyses will consider the variability of impacts on significant groups of manufacturers and consumers in addition to aggregate social and private costs and benefits, report the range of uncertainty associated with these impacts, and take into account cumulative impacts of regulation on manufacturers. The Department will also conduct appropriate analyses to assess the impact that new or amended test procedures will have on manufacturers and consumers.

(f) 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.

(g) 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 various interests affected by such standards.

2. Scope

The procedures, interpretations, and policies described in this appendix apply to rulemakings concerning new or revised Federal energy conservation standards and test procedures, and related rule documents (i.e., coverage determinations) for consumer products in Part A and commercial and industrial equipment under Part A-1 of the Energy Policy and Conservation Act (EPCA), as amended, except covered ASHRAE equipment in Part A-1 are governed separately under section 9 in this appendix.

3. Mandatory Application of the Process Rule

The rulemaking procedures established in this appendix are binding on DOE.

4. Setting Priorities for Rulemaking Activity

(a) In establishing its priorities for undertaking energy conservation standards and test procedure rulemakings, DOE will consider the following factors, consistent with applicable legal obligations:

(1) Potential energy savings;

(2) Potential social and private, including environmental or energy security, benefits;

(3) Applicable deadlines for rulemakings;

(4) Incremental DOE resources required to complete the rulemaking process;

(5) Other relevant regulatory actions affecting the products/equipment;

(6) Stakeholder recommendations;

(7) Evidence of energy efficiency gains in the market absent new or revised standards;

(8) Status of required changes to test procedures; and

(9) Other relevant factors.

(b) DOE will offer the opportunity to provide input on prioritization of rulemakings through a request for comment as DOE begins preparation of its Regulatory Agenda each spring.

5. Coverage Determination Rulemakings

(a) DOE has discretion to conduct proceedings to determine whether additional consumer products and commercial/industrial equipment should be covered under EPCA if certain statutory criteria are met. (42 U.S.C. 6292 and 42 U.S.C. 6295(l) for consumer products; 42 U.S.C. 6312 for commercial/industrial equipment)

(b) If DOE determines to initiate the coverage determination process, it will first publish a notice of proposed determination, providing an opportunity for public comment of not less than 60 days, in which DOE will explain how such products/equipment that it seeks to designate as “covered” meet the statutory criteria for coverage and why such coverage is “necessary or appropriate” to carry out the purposes of EPCA. In the case of commercial equipment, DOE will follow the same process, except that the Department must demonstrate that coverage of the equipment type is “necessary” to carry out the purposes of EPCA.

(c) DOE will publish its final decision on coverage as a separate notice, an action that will be completed prior to the initiation of any test procedure or energy conservation standards rulemaking (i.e., DOE will not issue any Requests for Information (RFIs), Notices of Data Availability (NODAs), or any other mechanism to gather information for the purpose of initiating a rulemaking to establish a test procedure or energy conservation standard for the proposed covered product/equipment prior to finalization of the coverage determination). If DOE determines that coverage is warranted, DOE will proceed with its typical rulemaking process for both test procedures and standards. Specifically, DOE will finalize coverage for a product/equipment at least 180 days prior to publication of a proposed rule to establish a test procedure. And, DOE will complete the test procedure rulemaking at least 180 days prior to publication of a proposed energy conservation standard.

(d) If, during the substantive rulemaking proceedings to establish test procedures or energy conservation standards after completing a coverage determination, DOE finds it necessary and appropriate to expand or reduce the scope of coverage, a new coverage determination process will be initiated and finalized prior to moving forward with the test procedure or standards rulemaking.

6. Process for Developing Energy Conservation Standards

This section describes the process to be used in developing energy conservation standards for covered products and equipment other than those covered equipment subject to ASHRAE/IES Standard 90.1.

(a) Early Assessment. (1) As the first step in any proceeding to consider establishing or amending any energy conservation standard, DOE will publish a document in the Federal Register announcing that DOE is considering initiating a rulemaking proceeding. As part of that document, DOE will solicit submission of related comments, including data and information on whether DOE should proceed with the rulemaking, including whether any new or amended rule would be cost effective, economically justified, technologically feasible, or would result in a significant savings of energy. Based on the information received in response to the notice and its own analysis, DOE will determine whether to proceed with a rulemaking for a new or amended energy conservation standard or an amended test procedure. If DOE determines that a new or amended standard would not satisfy applicable statutory criteria, DOE would engage in notice and comment rulemaking to issue a determination that a new or amended standard is not warranted. If DOE receives sufficient information suggesting it could justify a new or amended standard or the information received is inconclusive with regard to the statutory criteria, DOE would undertake the preliminary stages of a rulemaking to issue or amend an energy conservation standard, as discussed further in paragraph (a)(2) of this section.

(2) If the Department determines it is appropriate to proceed with a rulemaking, the preliminary stages of a rulemaking to issue or amend an energy conservation standard that DOE will undertake will be a Framework Document and Preliminary Analysis, or an Advance Notice of Proposed Rulemaking (ANOPR). Requests for Information (RFI) and Notices of Data Availability (NODA) could be issued, as appropriate, in addition to these preliminary-stage documents.

(3) In those instances where the early assessment either suggested that a new or amended energy conservation standard might be justified or in which the information was inconclusive on this point, and DOE undertakes the preliminary stages of a rulemaking to establish or amend an energy conservation standard, DOE may still ultimately determine that such a standard is not economically justified, technologically feasible or would not result in a significant savings of energy. Therefore, DOE will examine the potential costs and benefits and energy savings potential of a new or amended energy conservation standard at the preliminary stage of the rulemaking. DOE notes that it will, consistent with its statutory obligations, consider both cost effectiveness and economic justification when issuing a determination not to amend a standard.

(b) Significant Savings of Energy. (1) In evaluating the prospects of proposing a new or amended standard—or in determining that no new or amended standard is needed—DOE will first look to the projected energy savings that are likely to result. DOE will determine as a preliminary matter whether the rulemaking has the potential to result in “significant energy savings.” If the rulemaking passes the significant energy savings threshold, DOE will then compare these projected savings against the technological feasibility of and likely costs necessary to meet the new or amended standards needed to achieve these energy savings.

(2) Under its significant energy savings analysis, DOE will examine both the total amount of projected energy savings and the relative percentage decrease in energy usage that could be obtained from establishing or amending energy conservation standards for a given covered product or equipment. This examination will be based on the applicable product or equipment type as appropriate and will not be used to selectively examine classes or sub-classes of products and equipment solely for the purposes of projecting whether potential energy savings would satisfy (or not satisfy) the applicable thresholds detailed in this rule. Under the first step of this approach, the projected energy savings from a potential maximum technologically feasible (“max-tech”) standard will be evaluated against a threshold of 0.3 quads of site energy saved over a 30-year period.

(3) If the projected max-tech energy savings does not meet or exceed this threshold, those max-tech savings would then be compared to the total energy usage of the covered product or equipment to calculate a potential percentage reduction in energy usage.

(4) If this comparison does not yield a reduction in site energy use of at least 10 percent over a 30-year period, the analysis will end, and DOE will propose to determine that no significant energy savings would likely result from setting new or amended standards.

(5) If either one of the thresholds described in paragraphs (b)(3) or (b)(4) of this section is reached, DOE will conduct analyses to ascertain whether a standard can be prescribed that produces the maximum improvement in energy efficiency that is both technologically feasible and economically justified and still constitutes significant energy savings (using the same criteria of either 0.3 quad of aggregate site energy savings or a 10-percent decrease in energy use, as measured in quads—both over a 30-year period) at the level determined to be economically justified.

(6) In the case of ASHRAE equipment, DOE will examine the potential energy savings involved across the equipment category at issue.

(c) Design options—(1) General. Once the Department has initiated a rulemaking for a specific product/equipment but before publishing a proposed rule to establish or amend standards, DOE will identify the product/equipment categories and design options to be analyzed in detail, as well as those design options to be eliminated from further consideration. During the pre-proposal stages of the rulemaking, interested parties may be consulted to provide information on key issues through a variety of rulemaking documents. The preliminary stages of a rulemaking to issue or amend an energy conservation standard that DOE will undertake will be a framework document and preliminary analysis, or an advance notice of proposed rulemaking (ANOPR). Requests for Information (RFI) and Notice of Data Availability (NODA) could also be issued, as appropriate.

(2) Identification and screening of design options. During the pre-NOPR phase of the rulemaking process, 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 (c)(3) of this section and the policies stated in section 7 of this Appendix (i.e. Policies on Selection of Standards). The reasons for eliminating or retaining any design option at this stage of the process will be fully documented and published as part of the NOPR and as appropriate for a given rule, in the pre-NOPR documents. The technologically feasible design options that are not eliminated in this screening will be considered further in the Engineering Analysis described in paragraph (d) of this section.

(3) 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 under consideration for use in commercially-available products (or equipment) 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.

(v) Unique-Pathway Proprietary Technologies. If a design option utilizes proprietary technology that represents a unique pathway to achieving a given efficiency level, that technology will not be considered further.

(d) 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 appropriate rulemaking documents.

(1) Identification of engineering analytical methods and tools. DOE 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. DOE and its contractor will perform engineering and life-cycle cost analyses of the design options.

(3) Review by stakeholders. Interested parties will have the opportunity to review the results of the engineering and life-cycle cost analyses. 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, 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 paragraph (c) of this section, DOE will select the candidate standard levels for further analysis.

(e) Pre-NOPR Stage—(1) Documentation of decisions on candidate standard selection.

(i) If the early assessment and screening analysis indicates that continued development of a standard is appropriate, the Department will publish either:

(A) A notice accompanying a framework document and, subsequently, a preliminary analysis or;

(B) An ANOPR. The notice document will be published in the Federal Register, with accompanying documents referenced and posted in the appropriate docket.

(ii) If DOE determines at any point in the pre-NOPR stage that no candidate standard level is likely to produce the maximum improvement in energy efficiency that is both technologically feasible and economically justified or constitute significant energy savings, that conclusion will be announced in the Federal Register with an opportunity for public comment provided to stakeholders. In such cases, the Department will proceed with a rulemaking that proposes not to adopt new or amended standards.

(2) Public comment and hearing. The length of the public comment period for pre-NOPR rulemaking documents will vary depending upon the circumstances of the particular rulemaking, but will not be less than 75 calendar days. For such documents, DOE will determine whether a public hearing is appropriate.

(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.

(f) Analysis of impacts and selection of proposed standard level. After the pre-NOPR stage, if DOE has determined preliminarily that a candidate standard level is likely to produce the maximum improvement in energy efficiency that is both technologically feasible and economically justified or constitute significant energy savings, economic analyses of the impacts of the candidate standard levels will be conducted. The Department will propose new or amended standards based on the results of the impact analysis.

(1) Identification of issues for analysis. The Department, in consideration of comments received, will identify issues that will be examined in the impacts analysis.

(2) Identification of analytical methods and tools. DOE 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.

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

(i) Impacts on manufacturers. The analysis of private manufacturer impacts will include: Estimated impacts on cash flow; assessment of impacts on manufacturers of specific categories of products/equipment 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 impacts on manufacturing capacity, plant closures, and loss of capital investment.

(ii) Private Impacts on consumers. The analysis of consumer impacts will include: Estimated private energy savings 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 reflecting both private transactions and social discount rates and high and low energy price forecasts; consideration of changes to product utility, changes to purchase rate of products, 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; consideration of the increased first cost to consumers and the time required for energy cost savings to pay back these first costs; and loss of utility.

(iii) Impacts on competition, including industry concentration analysis.

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

(v) 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, suppliers of complementary and substitution products, and the economy in general.

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

(vii) 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/equipment efficiency, usage, and related characteristics in the absence of updated efficiency standards.

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

(g) 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 post on its website a draft TSD documenting the analysis of impacts. The draft TSD will also be posted in the appropriate docket on http://www.regulations.gov. As required by 42 U.S.C. 6295(p)(1) 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 not less than 75 days for public comment on the NOPR, with at least one public hearing or workshop. (42 U.S.C. 6295(p)(2) and 42 U.S.C. 6306).

(3) Revisions to impact analyses and selection of final standard. Based on the public comments received, 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, DOE will publish a Supplemental Notice of Proposed Rulemaking (SNOPR), when required. DOE may also publish a NODA or RFI, where appropriate.

(h) Final Rule. The Department will publish a Final Rule in the Federal Register that promulgates standard levels, responds to public comments received on the NOPR, and explains how the selection of those standards meets the statutory requirement that any new or amended energy conservation standard produces the maximum improvement in energy efficiency that is both technologically feasible and economically justified and constitutes significant energy savings, accompanied by a final TSD.

7. Policies on Selection of Standards

(a) Purpose. (1) Section 5 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 concerning 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 42 U.S.C. 6295 of EPCA.

(2) The procedures described in this section are intended to assist the Department in making the determinations required by EPCA and do not preclude DOE's consideration of any other information consistent with the relevant statutory criteria. The Department will consider pertinent information in determining whether a new or revised standard is consistent with the statutory criteria.

(b) 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 commercially-viable, existing prototypes will not be considered further.

(2) Practicability to manufacture, install and service. If it is determined that mass production of a technology in commercial products and reliable installation and servicing of the technology could not be achieved on the scale necessary to serve the relevant market at the time of the compliance date of the standard, then that technology will not be considered further.

(3) Impacts on product utility. If a technology is determined to have significant adverse impact on the utility of the product/equipment to 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.

(5) Unique-pathway proprietary technologies. If a technology has proprietary protection and represents a unique pathway to achieving a given efficiency level, it will not be considered further, due to the potential for monopolistic concerns.

(c) Identification of candidate standard levels. Based on the results of the engineering and cost/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 that have payback periods that exceed the median life of the product or which result in life-cycle cost increases relative to the base case, using typical fuel costs, usage, and private 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 this Appendix, 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 pre-NOPR documents 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) Pre-NOPR Stage. New information provided in public comments on any pre-NOPR documents will be considered to determine whether any changes to the candidate standard levels are needed before proceeding to the analysis of impacts.

(e)(1) 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. As required under 42 U.S.C. 6295(o)(2)(A), any new or revised standard must be designed to achieve the maximum improvement in energy efficiency that is determined to be both technologically feasible and economically justified.

(2) Statutory policies. The fundamental policies concerning the selection of standards include:

(i) A trial standard level will not be proposed or promulgated if the Department determines that it is not both technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A) and 42 U.S.C. (o)(3)(B)) For a trial standard level to be economically justified, the Secretary must determine that the benefits of the standard exceed its burdens by, to the greatest extent practicable, considering the factors listed in 42 U.S.C. 6295(o)(2)(B)(i). In making such a determination, the Secretary shall compare the benefits and burdens of the standard against the benefits and burdens of the baseline case (“no new standards” case) and all other trial standard levels under consideration. This comparative analysis includes assessing the incremental changes in costs and benefits for each TSL's benefits and burdens relative to other TSLs and as part of a holistic analysis across all TSLs. 42 U.S.C. 6295(o)(2)(B). The Secretary will also consider, consistent with the statute, other economic measures such as life-cycle cost analysis, manufacturer impact analysis, and other relevant measures. A standard level is subject to a rebuttable presumption that it is economically justified if the payback period is three years or less. (42 U.S.C. 6295(o)(2)(B)(iii))

(ii) If the Department determines that interested persons have established by a preponderance of the evidence that a standard level is likely to result in the unavailability in the United States of any covered product/equipment type (or class) 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 of the determination, then that standard level will not be proposed. (42 U.S.C. 6295(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. (42 U.S.C. 6295(o)(3)(B))

(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 issuance of a new or amended energy conservation standard produces the maximum improvement in energy efficiency that is both technologically feasible and economically justified and still constitutes significant energy savings or 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 this section, will be used to guide the selection of the final standard level or a determination that no new or amended standard is justified.

8. Test Procedures

(a) General. As with the early assessment process for energy conservation standards, DOE believes that early stakeholder input is also very important during test procedure rulemakings. DOE will follow an early assessment process similar to that described in the preceding sections discussing DOE's consideration of amended energy conservation standards. Consequently, DOE will publish a notice in the Federal Register whenever DOE is considering initiation of a rulemaking to amend a test procedure. In that notice, DOE will request submission of comments, including data and information on whether an amended test procedure rule would:

(1) More accurately measure energy efficiency, energy use, water use (as specified in EPCA), or estimated annual operating cost of a covered product during a representative average use cycle or period of use without being unduly burdensome to conduct; or

(2) Reduce testing burden. DOE will review comments submitted and, subject to statutory obligations, determine whether it agrees with the submitted information. If DOE determines that an amended test procedure is not justified at that time, it will not pursue the rulemaking and will publish a notice in the Federal Register to that effect. If DOE receives sufficient information suggesting an amended test procedure could more accurately measure energy efficiency, energy use, water use (as specified in EPCA), or estimated annual operating cost of a covered product during a representative average use cycle or period of use and not be unduly burdensome to conduct, reduce testing burden, or the information received is inconclusive with regard to these points, DOE would undertake the preliminary stages of a rulemaking to amend the test procedure, as discussed further in the paragraphs that follow in this section.

(b) Identifying the need to modify test procedures. DOE will identify any necessary modifications to established test procedures prior to initiating the standards development process. It will consider all stakeholder comments with respect to needed test procedure modifications. If DOE determines that it is appropriate to continue the test procedure rulemaking after the early assessment process, it would provide further opportunities for early public input through Federal Register documents, including NODAs and/or RFIs.

(c) Adoption of Industry Test Methods. DOE will adopt industry test standards as DOE test procedures for covered products and equipment, unless such methodology would be unduly burdensome to conduct or would not produce test results that reflect the energy efficiency, energy use, water use (as specified in EPCA) or estimated operating costs of that equipment during a representative average use cycle.

(d) Issuing final test procedure modification. Test procedure rulemakings establishing methodologies used to evaluate proposed energy conservation standards will be finalized at least 180 days prior to publication of a NOPR proposing new or amended energy conservation standards.

(e) Effective Date of Test Procedures. If required only for the evaluation and issuance of updated efficiency standards, use of the modified test procedures typically will not be required until the implementation date of updated standards.

9. ASHRAE Equipment

(a) EPCA provides that ASHRAE equipment are subject to unique statutory requirements and their own set of timelines. More specifically, pursuant to EPCA's statutory scheme for covered ASHRAE equipment, DOE is required to consider amending the existing Federal energy conservation standards and test procedures for certain enumerated types of commercial and industrial equipment (generally, commercial water heaters, commercial packaged boilers, commercial air-conditioning and heating equipment, and packaged terminal air conditioners and heat pumps) when ASHRAE Standard 90.1 is amended with respect to standards and test procedures applicable to such equipment. Not later than 180 days after the amendment of the standard, the Secretary will publish in the Federal Register for public comment an analysis of the energy savings potential of amended energy efficiency standards. For each type of equipment, EPCA directs that if ASHRAE Standard 90.1 is amended, not later than 18 months after the date of publication of the amendment to ASHRAE Standard 90.1, DOE must adopt amended energy conservation standards at the new efficiency level in ASHRAE Standard 90.1 as the uniform national standard for such equipment, or amend the test procedure referenced in ASHRAE Standard 90.1 for the equipment at issue to be consistent with the applicable industry test procedure, respectively, unless—

(1) DOE determines by rule, and supported by clear and convincing evidence, that a more-stringent standard would result in significant additional conservation of energy and is technologically feasible and economically justified; or

(2) The test procedure would not meet the requirements for such test procedures specified in EPCA. In such case, DOE must adopt the more stringent standard not later than 30 months after the date of publication of the amendment to ASHRAE/IES Standard 90.1 for the affected equipment.

(b) For ASHRAE equipment, DOE will adopt the revised ASHRAE levels or the industry test procedure, as contemplated by EPCA, except in very limited circumstances.

With respect to DOE's consideration of standards more-stringent than the ASHRAE levels or changes to the industry test procedure, DOE will do so only if it can meet a very high bar to demonstrate the “clear and convincing evidence” threshold. Clear and convincing evidence would exist only where the specific facts and data made available to DOE regarding a particular ASHRAE amendment demonstrates that there is no substantial doubt that a standard more stringent than that contained in the ASHRAE Standard 90.1 amendment is permitted because it would result in a significant additional amount of energy savings, is technologically feasible and economically justified, or, in the case of test procedures, that the industry test procedure does not meet the EPCA requirements. DOE will make this determination only after seeking data and information from interested parties and the public to help inform the Agency's views. DOE will seek from interested stakeholders and the public data and information to assist in making this determination, prior to publishing a proposed rule to adopt more-stringent standards or a different test procedure.

(c) DOE's review in adopting amendments based on an action by ASHRAE to amend Standard 90.1 is strictly limited to the specific standards or test procedure amendment for the specific equipment for which ASHRAE has made a change (i.e., determined down to the equipment class level). DOE believes that ASHRAE not acting to amend Standard 90.1 is tantamount to a decision that the existing standard remain in place. Thus, when undertaking a review as required by 42 U.S.C. 6313(a)(6)(C), DOE would need to find clear and convincing evidence, as defined in this section, to issue a standard more stringent than the existing standard for the equipment at issue.

10. Direct Final Rules

(a) A direct final rule (DFR), as contemplated in 42 U.S.C. 6295(p)(4), is a procedural mechanism separate from the negotiated rulemaking process outlined under the Negotiated Rulemaking Act (5 U.S.C. 563). DOE may issue a DFR adopting energy conservation standards for a covered product provided that:

(1) DOE receives a joint proposal from a group of “interested persons that are fairly representative of relevant points of view,” which does not include DOE as a member of the group. At a minimum, to be “fairly representative of relevant points of view” the group submitting a joint statement must include larger concerns and small businesses in the regulated industry/manufacturer community, energy advocates, energy utilities, as appropriate, consumers, and States. However, it will be necessary to evaluate the meaning of “fairly representative” on a case-by-case basis, subject to the circumstances of a particular rulemaking, to determine whether additional parties must be part of a joint statement in order to be “fairly representative of relevant points of view.”

(2) This paragraph (a)(2) describes the steps DOE will follow with respect to a DFR.

(i) DOE must determine whether the energy conservation standard recommended in the joint proposal is in accordance with the requirements of 42 U.S.C. 6295(o) or section 342(a)(6)(B) as applicable. Because the DFR provision is procedural, and not a separate grant of rulemaking authority, any standard issued under the DFR process must comply fully with the provisions of the EPCA subsection under which the rule is authorized. DOE will not accept or issue as a DFR a submitted joint proposal that does not comply with all applicable EPCA requirements.

(ii) Upon receipt of a joint statement recommending energy conservation standards, DOE will publish in the Federal Register that statement, as submitted to DOE, in order to obtain feedback as to whether the joint statement was submitted by a group that is fairly representative of relevant points of view. If DOE determines that the DFR was not submitted by a group that is fairly representative of relevant points of view, DOE will not move forward with a DFR and will consider whether any further rulemaking activity is appropriate. If the Secretary determines that a DFR cannot be issued based on the statement, the Secretary shall publish a notice of the determination, together with an explanation of the reasons for the determination.

(iii) Simultaneous with the issuance of a DFR, DOE must also publish a NOPR containing the same energy conservation standards as in the DFR. Following publication of the DFR, DOE must solicit public comment for a period of at least 110 days; then, not later than 120 days after issuance of the DFR, the Secretary must determine whether any adverse comments “may provide a reasonable basis for withdrawing the direct final rule,” based on the rulemaking record. If DOE determines that one or more substantive comments objecting to the DFR provides a sufficient reason to withdraw the DFR, DOE will do so, and will instead proceed with the published NOPR (unless the information provided suggests that withdrawal of that NOPR would likewise be appropriate). In making this determination, DOE may consider comments as adverse, even if the issue was brought up previously during DOE-initiated discussions (e.g. publication of a framework or RFI document), if the Department concludes that the comments merit further consideration.

11. Negotiated Rulemaking Process

(a)(1) In those instances where negotiated rulemaking is determined to be appropriate, DOE will comply with the requirements of the Negotiated Rulemaking Act (NRA) (5 U.S.C. 561-570) and the requirements of the Federal Advisory Committee Act (FACA) (5 U.S.C. App. 2). To facilitate potential negotiated rulemakings, and to comply with the requirements of the NRA and the FACA, DOE established the Appliance Standards and Rulemaking Federal Advisory Committee (ASRAC). Working groups can be established as subcommittees of ASRAC, from time to time, and for specific products/equipment, with one member representative from the ASRAC committee attending and participating in the meetings of a specific working group. (Consistent with 5 U.S.C. 565(b), committee membership is limited to 25 members, unless the agency determines that more members are necessary for the functioning of the committee or to achieve balanced membership.) Ultimately, the working group reports to ASRAC, and ASRAC itself votes on whether to make a recommendation to DOE to adopt a consensus agreement developed through the negotiated rulemaking.

(2) DOE will use the negotiated rulemaking process on a case-by-case basis and, in appropriate circumstances, in an attempt to develop a consensus proposal before issuing a proposed rule. When approached by one or more stakeholders or on its own initiative, DOE will use a convener to ascertain, in consultation with relevant stakeholders, whether the development of the subject matter of a potential rulemaking proceeding would be conducive to negotiated rulemaking, with the agency evaluating the convener's recommendation before reaching a decision on such matter. A neutral, independent convenor will identify issues that any negotiation would need to address, assess the full breadth of interested parties who should be included in any negotiated rulemaking to address those issues, and make a judgment as to whether there is the potential for a group of individuals negotiating in good faith to reach a consensus agreement given the issues presented. DOE will have a neutral and independent facilitator, who is not a DOE employee or consultant, present at all ASRAC working group meetings.

(3) DOE will base its decision to proceed with a potential negotiated rulemaking on the report of the convenor. The following additional factors militate in favor of a negotiated rulemaking:

(i) Stakeholders commented in favor of negotiated rulemaking in response to the initial rulemaking notice;

(ii) The rulemaking analysis or underlying technologies in question are complex, and DOE can benefit from external expertise and/or real-time changes to the analysis based on stakeholder feedback, information, and data;

(iii) The current standards have already been amended one or more times;

(iv) Stakeholders from differing points of view are willing to participate; and

(v) DOE determines that the parties may be able to reach an agreement.

(4) DOE will provide notice in the Federal Register of its intent to form an ASRAC working group (including a request for nominations to serve on the committee), announcement of the selection of working group members (including their affiliation), and announcement of public meetings and the subject matter to be addressed.

(b) DOE's role in the negotiated rulemaking process is to participate as a member of a group attempting to develop a consensus proposal for energy conservation standards for a particular product/equipment and to provide technical/analytical advice to the negotiating parties and legal input where needed to support the development of a potential consensus recommendation in the form of a term sheet.

(c) A negotiated rulemaking may be used to develop energy conservation standards, test procedures, product coverage, and other categories of rulemaking activities.

(d) A dedicated portion of each ASRAC working group meeting will be set aside to receive input and data from non-members of the ASRAC working group. This additional opportunity for input does nothing to diminish stakeholders' ability to provide comments and ask relevant questions during the course of the working group's ongoing deliberations at the public meeting.

(e) If DOE determines to proceed with a rulemaking at the conclusion of negotiations, DOE will publish a proposed rule. DOE will consider the approved term sheet in developing such proposed rule. A negotiated rulemaking in which DOE participates under the ASRAC process will not result in the issuance of a DFR. Further, any potential term sheet upon which an ASRAC working group reaches consensus must comply with all of the provisions of EPCA under which the rule is authorized. DOE cannot accept recommendations or issue a NOPR based upon a negotiated rulemaking that does not comply with all applicable EPCA requirements, including those product- or equipment-specific requirements included in the provision that authorizes issuance of the standard.

12. Principles for Distinguishing Between Effective and Compliance Dates

(a) Dates, generally. The effective and compliance dates for either DOE test procedures or DOE energy conservation standards are typically not identical and these terms should not be used interchangeably.

(b) Effective date. The effective date is the date a rule is legally operative after being published in the Federal Register.

(c) Compliance date. (1) For test procedures, the compliance date is the specific date when manufacturers are required to use the new or amended test procedure requirements to make representations concerning the energy efficiency or use of a product, including certification that the covered product/equipment meets an applicable energy conservation standard.

(2) For energy conservation standards, the compliance date is the specific date upon which manufacturers are required to meet the new or amended standards for applicable covered products/equipment that are distributed in interstate commerce.

13. Principles for the Conduct of the Engineering Analysis

(a) The purpose of the engineering analysis is to develop the relationship between efficiency and cost of the subject product/equipment. 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 reduction in energy use or improvement in energy efficiency that can be expected from individual design options as discussed in paragraphs (b) and (c) of this section. From this efficiency/cost relationship, measures such as payback, life-cycle cost, and energy savings can be developed. The Department will identify issues that will be examined in the engineering analysis and the types of specialized expertise that may be required. 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. 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/equipment. 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. DOE will then perform the engineering analysis and develop the cost-efficiency curve for the product/equipment. The cost efficiency curve and any necessary models will be available to stakeholders during the pre-NOPR stage of the rulemaking.

14. Principles for the Analysis of Impacts on Manufacturers

(a) Purpose. The purpose of the manufacturer analysis is to identify the likely private 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. This section describes the principles that will be used in conducting future manufacturing impact analyses.

(b) Issue identification. In the impact analysis stage (section 5(d)), the Department 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 current and historical 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/equipment characteristics and retail markets including manufacturer market shares and market concentration; 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 private cost impacts, including product/equipment-specific costs (based on cost impacts estimated for the engineering analysis) and front-end investment/conversion costs for the full range of product/equipment 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/equipment sales, features, prices, and cost recovery. In order to make manufacturer cash-flow calculations, it is necessary to predict the number of products/equipment sold and their sale price. This requires an assessment of the likely impacts of price changes on the number of products/equipment 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/trial 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/trial 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, with input from interested parties, as appropriate. 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; and

(3) Other measures of impact, such as revenue, net income, and return on equity, as appropriate. DOE also notes that the characteristics of a typical 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 or equipment. DOE will analyze and consider the impact on manufacturers of multiple product/equipment-specific regulatory actions. These factors will be considered in setting rulemaking priorities, conducting the early assessment as to whether DOE should proceed with a standards rulemaking, assessing manufacturer impacts of a particular standard, and establishing compliance dates for a new or revised standard that, consistent with any statutory requirements, 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 or equipment manufacturers within approximately three years of the compliance 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/equipment that are components of other products/equipment 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.

(1) Key modeling and analytical tools. In its assessment of the likely impacts of standards on manufacturers, the Department will use models that are clear and understandable, feature accessible calculations, and have clearly explained assumptions. As a starting point, the Department will use the Government Regulatory Impact Model (GRIM). 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.

(2) [Reserved]

15. 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/equipment to the consumer. See paragraph (c) of section 6.

(b) Impacts on product/equipment 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/equipment type with performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as products/equipment 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 Department of Justice on any lessening of competition 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 its 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/trial standard 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 also performs sensitivity and scenario analyses when appropriate. 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/trial standard level would result in a substantial increase in product/equipment first costs to consumers or would not pay back such additional first costs through energy cost savings in less than three years, Department will assess the likely impacts of such a standard on low-income households, product/equipment sales and fuel switching, as appropriate.

16. Consideration of Non-Regulatory Approaches

The Department recognizes that non-regulatory efforts by manufacturers, utilities, and other interested parties can result in substantial efficiency improvements. The Department intends to consider the likely effects of non-regulatory initiatives on product/equipment 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 non-regulatory efficiency improvements. This information will be used in assessing the likely incremental impacts of establishing or revising standards, in assessing—where possible—appropriate compliance dates for new or revised standards, and in considering DOE support of non-regulatory initiatives.

17. Cross-Cutting Analytical Assumptions

In selecting values for certain cross-cutting 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) Analytic time length. The appliance standards analyses will use two time lengths—30 years and another time length that is specific to the standard being considered such as the useful lifetime of the product under consideration. As a sensitivity case, the analyses will also use a 9-year regulatory time line in analyzing the effects of the standard.

(c) 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.

(d) Product/equipment-specific energy-efficiency trends, without updated standards. Product/equipment-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.

(e) Price forecasting. DOE will endeavor to use robust price forecasting techniques in projecting future prices of products.

(f) Private 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 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 typically uses 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.

(g) Social Discount Rates. Social discount rates as specified in OMB Circular A-4 will be used in assessing social effects such as costs and benefits.

(h) Environmental impacts. (1) DOE calculates emission reductions of carbon dioxide, sulfur dioxide, nitrogen oxides, methane, nitrous oxides, and mercury likely to be avoided by candidate/trial standard levels based on an emissions analysis that includes the two components described in paragraphs (h)(2) and (3) of this section.

(2) The first component estimates the effect of potential candidate/trial standard levels on power sector and site combustion emissions of carbon dioxide, nitrogen oxides, sulfur dioxide, mercury, methane, and nitrous oxide. DOE develops the power sector emissions analysis using a methodology based on DOE's latest Annual Energy Outlook. For site combustion of natural gas or petroleum fuels, the combustion emissions of carbon dioxide and nitrogen oxides are estimated using emission intensity factors from the Environmental Protection Agency.

(3) The second component of DOE's emissions analysis estimates the effect of potential candidate/trial standard levels on emissions of carbon dioxide, nitrogen oxides, sulfur dioxide, mercury, methane, and nitrous oxide due to “upstream activities” in the fuel production chain. These upstream activities include the emissions related to extracting, processing, and transporting fuels to the site of combustion as detailed in DOE's Fuel-Fuel-Cycle Statement of Policy (76 FR 51281 (August 18, 2011)). DOE will consider the effects of the candidate/trial standard levels on these emissions after assessing the seven factors required to demonstrate economic justification under EPCA. Consistent with Executive Order 13783, dated March 28, 2017, when monetizing the value of changes in reductions in CO2 and nitrous oxides emissions resulting from its energy conservation standards regulations, including with respect to the consideration of domestic versus international impacts and the consideration of appropriate discount rates, DOE ensures, to the extent permitted by law, that any such estimates are consistent with the guidance contained in OMB Circular A-4 of September 17, 2003 (Regulatory Analysis).

[85 FR 8703, Feb. 14, 2020, as amended at 85 FR 50944, Aug. 19, 2020]

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