Loading (50 kb)...'
(continued)
iii. Electric, Compact (240v) (less than 4.4 ft \3\ 2.90
capacity)..................................................
iv. Gas..................................................... 2.67
------------------------------------------------------------------------
(i) Direct heating equipment.
------------------------------------------------------------------------
Annual fuel
utilization
efficiency,
Product class Jan. 1,
1990
(percent)
------------------------------------------------------------------------
1. Gas wall fan type up to 42,000 Btu/hour................. 73
2. Gas wall fan type over 42,000 Btu/hour.................. 74
3. Gas wall gravity type up to 10,000 Btu/hour............. 59
4. Gas wall gravity type over 10,000 Btu/hour up to 12,000 60
Btu/hour..................................................
5. Gas wall gravity type over 12,000 Btu/hour up to 15,000 61
Btu/hour..................................................
6. Gas wall gravity type over 15,000 Btu/hour up to 19,000 62
Btu/hour..................................................
7. Gas wall gravity type over 19,000 Btu/hour up to 27,000 63
Btu/hour..................................................
8. Gas wall gravity type over 27,000 Btu/hour up to 46,000 64
Btu/hour..................................................
9. Gas wall gravity type over 46,000 Btu/hour.............. 65
10. Gas floor up to 37,000 Btu/hour........................ 56
11. Gas floor over 37,000 Btu/hour......................... 57
12. Gas room up to 18,000 Btu/hour......................... 57
13. Gas room over 18,000 Btu/hour up to 20,000 Btu/hour.... 58
14. Gas room over 20,000 Btu/hour up to 27,000 Btu/hour.... 63
15. Gas room over 27,000 Btu/hour up to 46,000 Btu/hour.... 64
16. Gas room over 46,000 Btu/hour.......................... 65
------------------------------------------------------------------------
(j) Cooking Products. Gas cooking products with an electrical supply cord shall not be equipped with a constant burning pilot light. This standard is effective on January 1, 1990.
(k) Pool heaters. The thermal efficiency of pool heaters must be no less than 78%. The standard is effective on January 1, 1990.
(l) Television sets. [Reserved]
(m)(1) Fluorescent lamp ballasts. Except as provided in paragraphs (m)(2), (m)(3), (m)(4), (m)(5), (m)(6) and (m)(7) of this section, each fluorescent lamp ballast—
(i) (A) Manufactured on or after January 1, 1990;
(B) Sold by the manufacturer on or after April 1, 1990; or
(C) Incorporated into a luminaire by a luminaire manufacturer on or after April 1, 1991; and
(ii) Designed—
(A) To operate at nominal input voltages of 120 or 277 volts;
(B) To operate with an input current frequency of 60 Hertz; and
(C) For use in connection with an F40T12, F96T12, or F96T12HO lamps shall have a power factor of 0.90 or greater and shall have a ballast efficacy factor not less than the following:
------------------------------------------------------------------------
Total
Ballast nominal Ballast
Application for operation of input lamp efficacy
voltage watts factor
------------------------------------------------------------------------
One F40 T12 lamp....................... 120 40 1.805
277 40 1.805
Two F40 T12 lamps...................... 120 80 1.060
277 80 1.050
Two F96T12 lamps....................... 120 150 0.570
277 150 0.570
Two F96T12HO lamps..................... 120 220 0.390
277 220 0.390
------------------------------------------------------------------------
(2) The standards described in paragraph (m)(1) of this section do not apply to—
(i) A ballast that is designed for dimming or for use in ambient temperatures of 0 °F or less, or
(ii) A ballast that has a power factor of less than 0.90 and is designed for use only in residential building applications.
(3) Except as provided in paragraph (m)(4) of this section, each fluorescent lamp ballast—
(i) (A) Manufactured on or after April 1, 2005;
(B) Sold by the manufacturer on or after July 1, 2005; or
(C) Incorporated into a luminaire by a luminaire manufacturer on or after April 1, 2006; and
(ii) Designed—
(A) To operate at nominal input voltages of 120 or 277 volts;
(B) To operate with an input current frequency of 60 Hertz; and
(C) For use in connection with an F40T12, F96T12, or F96T12HO lamps; shall have a power factor of 0.90 or greater and shall have a ballast efficacy factor not less than the following:
------------------------------------------------------------------------
Total
Ballast nominal Ballast
Application of operation of input lamp efficacy
voltage watts factor
------------------------------------------------------------------------
One F40 T12 lamp....................... 120 40 2.29
277 40 2.29
Two F40 T12 lamps...................... 120 80 1.17
277 80 1.17
Two F96T12 lamps....................... 120 150 0.63
277 150 0.63
Two F96T12HO lamps..................... 120 220 0.39
277 220 0.39
------------------------------------------------------------------------
(4) (i) The standards described in paragraph (m)(3) do not apply to:
(A) A ballast that is designed for dimming to 50 percent or less of its maximum output;
(B) A ballast that is designed for use with two F96T12HO lamps at ambient temperatures of -20 °F or less and for use in an outdoor sign;
(C) A ballast that has a power factor of less than 0.90 and is designed and labeled for use only in residential building applications; or
(D) A replacement ballast as defined in paragraph (m)(4)(ii) of this section.
(ii) For purposes of this paragraph (m), a replacement ballast is defined as a ballast that:
(A) Is manufactured on or before June 30, 2010;
(B) Is designed for use to replace an existing ballast in a previously installed luminaire;
(C) Is marked “FOR REPLACEMENT USE ONLY”;
(D) Is shipped by the manufacturer in packages containing not more than 10 ballasts;
(E) Has output leads that when fully extended are a total length that is less than the length of the lamp with which it is intended to be operated; and
(F) Meets or exceeds the ballast efficacy factor in the following table:
------------------------------------------------------------------------
Total
Ballast nominal Ballast
Application for operation of input lamp efficacy
voltage watts factor
------------------------------------------------------------------------
One F40 T12 lamp....................... 120 40 1.805
277 40 1.805
Two F40 T12 lamps...................... 120 80 1.060
277 80 1.050
Two F96T12 lamps....................... 120 150 0.570
277 150 0.570
Two F96T12HO lamps..................... 120 220 0.390
277 220 0.390
------------------------------------------------------------------------
(5) Except as provided in paragraph (m)(7) of this section, each fluorescent lamp ballast (other than replacement ballasts defined in §430.2)—
(i)(A) Manufactured on or after July 1, 2009;
(B) Sold by the manufacturer on or after October 1, 2009; or
(C) Incorporated into a luminaire by a luminaire manufacturer on or after July 1, 2010; and
(ii) Designed—
(A) To operate at nominal input voltages of 120 or 277 volts;
(B) To operate with an input current frequency of 60 Hertz; and
(C) For use in connection with F34T12 lamps, F96T12/ES lamps, or F96T12HO/ES lamps; shall have a power factor of 0.90 or greater and shall have a ballast efficacy factor of not less than the following:
----------------------------------------------------------------------------------------------------------------
Ballast
Application for operation of Ballast input Total nominal efficacy
voltage lamp watts factor
----------------------------------------------------------------------------------------------------------------
One F34T12 lamp................................................. 120/277 34 2.61
Two F34T12 lamps................................................ 120/277 68 1.35
Two F96T12/ES lamps............................................. 120/277 120 0.77
Two F96T12HO/ES lamps........................................... 120/277 190 0.42
----------------------------------------------------------------------------------------------------------------
(6) The standards in paragraph (m)(5) shall apply to all ballasts covered by paragraph (m)(5)(ii), including replacement ballasts and ballasts described in paragraph (m)(7) of this section, that are manufactured on or after July 1, 2010, or sold by the manufacturer on or after October 1, 2010.
(7) The standards in paragraph (m)(5) do not apply to—
(i) A ballast that is designed for dimming to 50 percent or less of the maximum output of the ballast;
(ii) A ballast that is designed for use with 2 F96T12HO lamps at ambient temperatures of 20 degrees F or less and for use in an outdoor sign; or
(iii) A ballast that has a power factor of less than 0.90 and is designed and labeled for use only in residential applications.
(n) General service fluorescent lamps and incandescent reflector lamps. (1) Each of the following general service fluorescent lamps manufactured after the effective dates specified in the table shall meet or exceed the lamp efficacy and CRI standards shown in the table below:
Fluorescent Lamps
----------------------------------------------------------------------------------------------------------------
Minimum
average
Lamp type Nominal lamp wattage Minimum lamp Effective date
CRI efficacy
(LPW)
----------------------------------------------------------------------------------------------------------------
4-foot medium bi-pin.................. gt;35W 69 75.0 Nov. 1, 1995.
[le]35W 45 75.0 Nov. 1, 1995.
2-foot U-shaped....................... gt;35W 69 68.0 Nov. 1, 1995.
[le]35W 45 64.0 Nov. 1, 1995.
8-foot slimline....................... gt;65W 69 80.0 May 1, 1994.
[le]65W 45 80.0 May 1, 1994.
8-foot high output.................... gt;100W 69 80.0 May 1, 1994.
[le]100W 45 80.0 May 1, 1994.
----------------------------------------------------------------------------------------------------------------
(2) Each of the following incandescent reflector lamps manufactured after November 1, 1995, shall meet or exceed the lamp efficacy standards shown in the table in this paragraph:
Incandescent Reflector Lamps
------------------------------------------------------------------------
Minimum
average
Nominal lamp wattage lamp
efficacy
(LPW)
------------------------------------------------------------------------
40-50....................................................... 10.5
51-66....................................................... 11.0
67-85....................................................... 12.5
86-115...................................................... 14.0
116-155..................................................... 14.5
156-205..................................................... 15.0
------------------------------------------------------------------------
(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:
------------------------------------------------------------------------
Maximum flow rate (gpm (L/min)) or
Faucet type (gal/cycle (L/cycle))
------------------------------------------------------------------------
Lavatory faucets................... 2.2 gpm (8.3 L/min) \1,2\
Lavatory replacement aerators...... 2.2 gpm (8.3 L/min)
Kitchen faucets.................... 2.2 gpm (8.3 L/min)
Kitchen replacement aerators....... 2.2 gpm (8.3 L/min)
Metering faucets................... 0.25 gal/cycle (0.95 L/cycle) \3,4\
------------------------------------------------------------------------
Note:
\1\ Sprayheads 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.
\2\ Sprayheads 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)).
\3\ Sprayheads 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.
\4\ Sprayheads 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). Any such showerhead shall also meet the requirements of ASME/ANSI Standard A112.18.1M–1996, 7.4.4(a).
(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:
------------------------------------------------------------------------
Maximum flush
Water closet type rate (gpf
(Lpf))
------------------------------------------------------------------------
Gravity tank-type toilets............................... 1.6 (6.0)
Flushometer tank toilets................................ 1.6 (6.0)
Electromechanical hydraulic toilets..................... 1.6 (6.0)
Blowout toilets......................................... 3.5 (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) Outdoor applications; and
(C) Cases in which safety standards would be violated by the use of the reversible mode.
(2)(i) Ceiling fan light kits with medium screw base sockets manufactured on or after January 1, 2007, shall be packaged with screw-based lamps to fill all screw base sockets.
(ii) The screw-based lamps required under paragraph (2)(i) of this section shall—
(A) Meet the ENERGY STAR Program requirements for Compact Fluorescent Lamps, version 3; or
(B) Use light sources other than compact fluorescent lamps that have lumens per watt performance at least equivalent to comparable configured compact fluorescent lamps meeting the energy conservation standards described in paragraph (2)(ii)(A) of this section.
(3) Ceiling fan light kits with pin-based sockets for fluorescent lamps manufactured on or after January 1, 2007 shall—
(i) Meet the ENERGY STAR Program Requirements for Residential Light Fixtures version 4.0 issued by the Environmental Protection Agency; and
(ii) Be packaged with lamps to fill all sockets.
(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) Medium Base Compact Fluorescent Lamps. A bare lamp and covered lamp (no reflector) medium base compact fluorescent lamp manufactured on or after January 1, 2006, shall meet the following requirements:
------------------------------------------------------------------------
Factor Requirements
------------------------------------------------------------------------
Lamp Power (Watts) & Minimum Efficiency: lumen/watt
Configuration\1\. (Based upon initial lumen
data).\2\
Base Lamp:
Lamp Power <15.................. 45.0.
Lamp Power >=15.................... 60.0.
Covered Lamp (no reflector):
Lamp Power <15.................. 40.0.
15[le] Lamp Power <19........... 48.0.
19[le] Lamp Power <25........... 50.0.
Lamp Power >=25.................... 55.0.
Covered Lamp (with reflector):
Lamp Power <20.................. 33.0.
Lamp Power >=20.................... 40.0.
1,000-hour Lumen Maintenance........... The average of at least 5 lamps
must be a minimum 90.0% of
initial (100-hour) lumen
output @ 1,000 hours of rated
life.
Lumen Maintenance...................... 80.0% of initial (100-hour)
rating at 40 percent of rated
life (per ANSI C78.5 Clause
4.10).
Rapid Cycle Stress Test................ Per ANSI C78.5 and IESNA LM-65
(clauses 2,3,5, and 6).
Exception: Cycle times must be
5 minutes on, 5 minutes off.
Lamp will be cycled once for
every two hours of rated life.
At least 5 lamps must meet or
exceed the minimum number of
cycles.
Average Rated Lamp Life................ >=6,000 hours as declared by
the manufacturer on packaging
and qualification form. At 80%
of rated life, statistical
methods may be used to confirm
lifetime claims based on
sampling performance.
------------------------------------------------------------------------
\1\ Take performance and electrical requirements at the end of the 100-
hour aging period according to ANSI Standard C78.5. The lamp efficacy
shall be the average of the lesser of the lumens per watt measured in
the base up an/or other specified positions. Use wattages place on
packaging to select proper specification efficacy in this table, not
measured wattage. Labeled wattages are for reference only.
\2\ Efficacies are based on measured values for lumens and wattages from
pertinent test data. Wattages and lumens placed on packages may not be
used in calculation and are not governed by this specification. For
multi-level or dimmable systems, measurements shall be at the highest
setting. Acceptable measurement error is ±3%.
(v) Dehumidifiers. Dehumidifiers manufactured on or after October 1, 2007, shall have an energy factor that meets or exceeds the following values:
------------------------------------------------------------------------
Minimum energy
Product capacity (pints/day) factor (liters/
kWh)
------------------------------------------------------------------------
25.00 or less........................................... 1.00
25.01-35.00............................................. 1.20
35.01-54.00............................................. 1.30
54.01-74.99............................................. 1.50
75.00 or more........................................... 2.25
------------------------------------------------------------------------
[54 FR 6077, Feb. 7, 1989, as amended at 54 FR 47943, Nov. 17, 1989; 55 FR 42177, Oct. 17, 1990; 56 FR 22279, May 14, 1991; 56 FR 24333, May 30, 1991; 59 FR 49475, Sept. 28, 1994; 62 FR 23116, Apr. 28, 1997; 63 FR 13317, Mar. 18, 1998; 63 FR 48057, Sept. 8, 1998; 65 FR 56747, Sept. 19, 2000; 66 FR 3332, Jan. 12, 2001; 66 FR 65097, Dec. 18, 2001; 67 FR 36406, May 23, 2002; 67 FR 38324, June 3, 2002; 68 FR 51903, Aug. 29, 2003; 69 FR 51000, Aug. 17, 2004; 70 FR 59180, Oct. 11, 2005; 70 FR 60412, Oct. 18, 2005; 70 FR 61698, Oct. 25, 2005]
§ 430.33 Preemption of State regulations.
top
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 327 (b) and (c) of the Act.
[63 FR 13318, Mar. 18, 1998]
§ 430.34 Energy and water conservation standards amendments
top
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]
Appendix A to Subpart C of Part 430—Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products
top
1. Objectives
2. Scope
3. Setting Priorities for Rulemaking Activity
4. Process for Developing Efficiency Standards and Factors to be Considered
5. Policies on Selection of Standards
6. Effective Date of a Standard
7. Test Procedures
8. Joint Stakeholder Recommendations
9. Principles for the Conduct of Engineering Analysis
10. Principles for the Analysis of Impacts on Manufacturers
11. Principles for the Analysis of Impacts on Consumers
12. Consideration of Non-Regulatory Approaches
13. Crosscutting Analytical Assumptions
14. Deviations, Revisions, and Judicial Review
1. Objectives
This Appendix establishes procedures, interpretations and policies to guide the DOE in the consideration and promulgation of new or revised appliance efficiency standards under the Energy Policy and Conservation Act (EPCA). The Department's objectives in establishing these guidelines include:
(a) Provide for early input from stakeholders. The Department seeks to provide opportunities for public input early in the rulemaking process so that the initiation and direction of rulemakings is informed by comment from interested parties. Under the guidelines established by this Appendix, DOE will seek early input from interested parties in setting rulemaking priorities and structuring the analyses for particular products. Interested parties will be invited to provide input for the selection of design options and will help DOE identify analysis, data, and modeling needs. DOE will gather input from interested parties through a variety of mechanisms, including public workshops.
(b) Increase predictability of the rulemaking timetable. The Department seeks to make informed, strategic decisions about how to deploy its resources on the range of possible standards development activities, and to announce these prioritization decisions so that all interested parties have a common expectation about the timing of different rulemaking activities. The guidelines in this Appendix provide for setting priorities and timetables for standards development and test procedure modification and reflect these priorities in the Regulatory Agenda.
(c) Increase use of outside technical expertise. The Department seeks to expand its use of outside technical experts in evaluating product-specific engineering issues to ensure that decisions on technical issues are fully informed. The guidelines in this Appendix provide for increased use of outside technical experts in developing, performing and reviewing the analyses. Draft analytical results will be distributed for peer and stakeholder review.
(d) Eliminate problematic design options early in the process. The Department seeks to eliminate from consideration, early in the process, any design options that present unacceptable problems with respect to manufacturability, consumer utility, or safety, so that the detailed analysis can focus only on viable design options. Under the guidelines in this Appendix, DOE will eliminate from consideration design options if it concludes that manufacture, installation or service of the design will be impractical, or that the design option will adversely affect the utility of the product, or if the design has adverse safety or health impacts. This screening will be done at the outset of a rulemaking.
(e) Fully consider non-regulatory approaches. The Department seeks to understand the effects of market forces and voluntary programs on encouraging the purchase of energy efficient products so that the incremental impacts of a new or revised standard can be accurately assessed and the Department can make informed decisions about where standards and voluntary “market pull” programs can be used most effectively. Under the guidelines in this Appendix, DOE will solicit information on the effectiveness of market forces and non-regulatory approaches for encouraging the purchase of energy efficient products, and will carefully consider this information in assessing the benefits of standards. In addition, DOE will continue to support voluntary efforts by manufacturers, retailers, utilities and others to increase product efficiency.
(f) Conduct thorough analysis of impacts. In addition to understanding the aggregate costs and benefits of standards, the Department seeks to understand the distribution of those costs and benefits among consumers, manufacturers and others, and the uncertainty associated with these analyses of costs and benefits, so that any adverse impacts on significant subgroups and uncertainty concerning any adverse impacts can be fully considered in selecting a standard. Under the guidelines in this Appendix, the analyses will consider the variability of impacts on significant groups of manufacturers and consumers in addition to aggregate costs and benefits, report the range of uncertainty associated with these impacts, and take into account cumulative impacts of regulation on manufacturers.
(g) Use transparent and robust analytical methods. The Department seeks to use qualitative and quantitative analytical methods that are fully documented for the public and that produce results that can be explained and reproduced, so that the analytical underpinnings for policy decisions on standards are as sound and well-accepted as possible. Under the guidelines in this Appendix, DOE will solicit input from interested parties in identifying analysis, data, and modeling needs with respect to measurement of impacts on manufacturers and consumers.
(h) Articulate policies to guide selection of standards. The Department seeks to adopt policies elaborating on the statutory criteria for selecting standards, so that interested parties are aware of the policies that will guide these decisions. Under the guidelines in this Appendix, policies for screening design options, selecting candidate standard levels, selecting a proposed standard level, and establishing the final standard are established.
(i) Support efforts to build consensus on standards. The Department seeks to encourage development of consensus proposals for new or revised standards because standards with such broad-based support are likely to balance effectively the economic, energy, and environmental interests affected by standards. Under the guidelines in this Appendix, DOE will support the development and submission of consensus recommendations for standards by representative groups of interested parties to the fullest extent possible.
(j) Reduce time and cost of developing standards. The Department seeks to establish a clear protocol for initiating and conducting standards rulemakings in order to eliminate time-consuming and costly missteps. Under the guidelines in this Appendix, increased and earlier involvement by interested parties and increased use of technical experts should minimize the need for re-analysis. This process should reduce the period between the publication of an Advance Notice of Proposed Rulemaking (ANOPR) and the publication of a final rule to not more than 18 months, and should decrease the government and private sector resources required to complete the standard development process.
2. Scope
(a) The procedures, interpretations and policies described in this Appendix will be fully applicable to:
(1) Rulemakings concerning new or revised Federal energy conservation standards for consumer products initiated after August 14, 1996, and
(2) Rulemakings concerning new or revised Federal energy conservation standards for consumer products that have been initiated but for which a Notice of Proposed Rulemaking (NOPR) has not been published as of August 14, 1996.
(b) For rulemakings described in paragraph (a)(2) of this section, to the extent analytical work has already been done or public comment on an ANOPR has already been provided, such analyses and comment will be considered, as appropriate, in proceeding under the new process.
(c) With respect to incomplete rulemakings concerning new or revised Federal energy conservation standards for consumer products for which a NOPR was published prior to August 14, 1996, the Department will conduct a case-by-case review to decide whether any of the analytical or procedural steps already completed should be repeated. In any case, the approach described in this Appendix will be used to the extent possible to conduct any analytical or procedural steps that have not been completed.
3. Setting Priorities for Rulemaking Activity
(a) Priority-setting analysis and development of list of priorities. At least once a year, the Department will prepare an analysis of each of the factors identified in paragraph (d) of this section based on existing literature, direct communications with interested parties and other experts, and other available information. The results of this analysis will be used to develop rulemaking priorities and proposed schedules for the development and issuance of all rulemakings. The DOE analysis, priorities and proposed rulemaking schedules will be documented and distributed for review and comment.
(b) Public review and comment. Each year, DOE will invite public input to review and comment on the priority analysis.
(c) Issuance of final listing of rulemaking priorities. Each fall, the Department will issue, simultaneously with the issuance of the Administration's Regulatory Agenda, a final set of rulemaking priorities, the accompanying analysis, and the schedules for all priority rulemakings that it anticipates within the next two years.
(d) Factors for priority-setting. The factors to be considered by DOE in developing priorities and establishing schedules for conducting rulemakings will include:
(1) Potential energy savings.
(2) Potential economic benefits.
(3) Potential environmental or energy security benefits.
(4) Applicable deadlines for rulemakings.
(5) Incremental DOE resources required to complete rulemaking process.
(6) Other relevant regulatory actions affecting products.
(7) Stakeholder recommendations.
(8) Evidence of energy efficiency gains in the market absent new or revised standards.
(9) Status of required changes to test procedures.
(10) Other relevant factors.
4. Process for Developing Efficiency Standards and Factors to be Considered
This section describes the process to be used in developing efficiency standards and the factors to be considered in the process. The policies of the Department to guide the selection of standards and the decisions preliminary thereto are described in section 5.
(a) Identifying and screening design options. Once the Department has initiated a rulemaking for a specific product but before publishing an ANOPR, DOE will identify the product categories and design options to be analyzed in detail, and identify those design options eliminated from further consideration. Interested parties will be consulted to identify key issues, develop a list of design options, and to help the Department identify the expertise necessary to conduct the analysis.
(1) Identification of issues for analysis. The Department, in consultation with interested parties, will identify issues that will be examined in the standards development process.
(2) Identification of experts and other interested parties for peer review. DOE, in consultation with interested parties, will identify a group of independent experts and other interested parties who can provide expert review of the results of the engineering analysis and the subsequent impact analysis.
(3) Identification and screening of design options. In consultation with interested parties, the Department will develop a list of design options for consideration. Initially, the candidate design options will encompass all those technologies considered to be technologically feasible. Following the development of this initial list of design options, DOE will review each design option based on the factors described in paragraph (a)(4) of this section and the policies stated in section 5(b). The reasons for eliminating any design option at this stage of the process will be fully documented and published as part of the ANOPR. The technologically feasible design options that are not eliminated in this screening will be considered further in the Engineering Analysis described in paragraph (b) of this section.
(4) Factors for screening of design options. The factors for screening design options include:
(i) Technological feasibility. Technologies incorporated in commercial products or in working prototypes will be considered technologically feasible.
(ii) Practicability to manufacture, install and service. If mass production of a technology in commercial products and reliable installation and servicing of the technology could be achieved on the scale necessary to serve the relevant market at the time of the effective date of the standard, then that technology will be considered practicable to manufacture, install and service.
(iii) Adverse Impacts on Product Utility or Product Availability.
(iv) Adverse Impacts on Health or Safety.
(5) Selection of contractors. Using the specifications of necessary contractor expertise developed in consultation with interested parties, DOE will select appropriate contractors, subcontractors, and as necessary, expert consultants to perform the engineering analysis and the impact analysis.
(b) Engineering analysis of design options and selection of candidate standard levels. After design options are identified and screened, DOE will perform the engineering analysis and the benefit/cost analysis and select the candidate standard levels based on these analyses. The results of the analyses will be published in a Technical Support Document (TSD) to accompany the ANOPR.
(1) Identification of engineering analytical methods and tools. DOE, in consultation with outside experts, will select the specific engineering analysis tools (or multiple tools, if necessary to address uncertainty) to be used in the analysis of the design options identified as a result of the screening analysis.
(2) Engineering and life-cycle cost analysis of design options. The DOE and its contractor will perform engineering and life-cycle cost analyses of the design options.
(3) Review by expert group and stakeholders. The results of the engineering and life-cycle cost analyses will be distributed for review by experts and interested parties. If appropriate, a public workshop will be conducted to review these results. The analyses will be revised as appropriate on the basis of this input.
(4) New information relating to the factors used for screening design options. If further information or analysis leads to a determination that a design option, or a combination of design options, has unacceptable impacts based on the policies stated in section 5(b), that design option or combination of design options will not be included in a candidate standard level.
(5) Selection of candidate standard levels. Based on the results of the engineering and life-cycle cost analysis of design options and the policies stated in section 5(c), DOE will select the candidate standard levels for further analysis.
(c) Advance Notice of Proposed Rulemaking—(1) Documentation of decisions on candidate standard selection. (i) If the screening analysis indicates that continued development of a standard is appropriate, the Department will publish an ANOPR in the Federal Register and will distribute a draft TSD containing the analyses performed to this point. The ANOPR will specify candidate standard levels but will not propose a particular standard. The ANOPR will also include the preliminary analysis of consumer life-cycle costs, national net present value, and energy impacts for the candidate standard levels based on the engineering analysis.
(ii) If the preliminary analysis indicates that no candidate standard level is likely to meet the criteria specified in law, that conclusion will be announced. In such cases, the Department may decide to proceed with a rulemaking that proposes not to adopt new or amended standards, or it may suspend the rulemaking and conclude that further action on such standards should be assigned a low priority under section 3.
(2) Public comment and hearing. There will be 75 days for public comment on the ANOPR with at least one public hearing or workshop.
(3) Revisions based on comments. Based on consideration of the comments received, any necessary changes to the engineering analysis or the candidate standard levels will be made.
If major changes are required at this stage, interested parties and experts will be given an opportunity to review the revised analysis.
(d) Analysis of impacts and selection of proposed standard level. After the ANOPR, economic analyses of the impacts of the candidate standard levels will be conducted. The Department will propose updated standards based on the results of the impact analysis.
(1) Identification of issues for analysis. The Department, in consultation with interested parties, will identify issues that will be examined in the impacts analysis.
(2) Identification of analytical methods and tools. DOE, in consultation with outside experts, will select the specific economic analysis tools (or multiple tools if necessary to address uncertainty) to be used in the analysis of the candidate standard levels.
(3) Analysis of impacts. DOE will conduct the analysis of the impacts of candidate standard levels including analysis of the factors described in paragraphs (d)(7)(ii)–(viii) of this section.
(4) Review by expert group and stakeholders. The results of the analysis of impacts will be distributed for review by experts and interested parties. If appropriate, a public workshop will be conducted to review these results. The analysis will be revised as appropriate on the basis of this input.
(5) Efforts to develop consensus among stakeholders. If a representative group of interested parties undertakes to develop joint recommendations to the Department on standards, DOE will consider deferring its impact analysis until these discussions are completed or until participants in the efforts indicate that they are unable to reach a timely agreement.
(6) Selection of proposed standard level based on analysis of impacts. On the basis of the analysis of the factors described in paragraph (d)(7) of this section and the policies stated in section 5(e), DOE will select a proposed standard level.
(7) Factors to be considered in selecting a proposed standard. The factors to be considered in selection of a proposed standard include:
(i) Consensus stakeholder recommendations.
(ii) Impacts on manufacturers. The analysis of manufacturer impacts will include: Estimated impacts on cash flow; assessment of impacts on manufacturers of specific categories of products and small manufacturers; assessment of impacts on manufacturers of multiple product-specific Federal regulatory requirements, including efficiency standards for other products and regulations of other agencies; and impact on manufacturing capacity, plant closures, and loss of capital investment.
(iii) Impacts on consumers. The analysis of consumer impacts will include: Estimated impacts on consumers based on national average energy prices and energy usage; assessments of impacts on subgroups of consumers based on major regional differences in usage or energy prices and significant variations in installation costs or performance; sensitivity analyses using high and low discount rates and high and low energy price forecasts; consideration of changes to product utility and other impacts of likely concern to all or some consumers, based to the extent practicable on direct input from consumers; estimated life-cycle cost with sensitivity analysis; and consideration of the increased first cost to consumers and the time required for energy cost savings to pay back these first costs.
(iv) Impacts on competition.
(v) Impacts on utilities. The analysis of utility impacts will include estimated marginal impacts on electric and gas utility costs and revenues.
(vi) National energy, economic and employment impacts. The analysis of national energy, economic and employment impacts will include: Estimated energy savings by fuel type; estimated net present value of benefits to all consumers; and estimates of the direct and indirect impacts on employment by appliance manufacturers, relevant service industries, energy suppliers and the economy in general.
(vii) Impacts on the environment and energy security. The analysis of environmental and energy security impacts will include estimated impacts on emissions of carbon and relevant criteria pollutants, impacts on pollution control costs, and impacts on oil use.
(viii) Impacts of non-regulatory approaches. The analysis of energy savings and consumer impacts will incorporate an assessment of the impacts of market forces and existing voluntary programs in promoting product efficiency, usage and related characteristics in the absence of updated efficiency standards.
(ix) New information relating to the factors used for screening design options.
(e) Notice of Proposed Rulemaking—(1) Documentation of decisions on proposed standard selection. The Department will publish a NOPR in the Federal Register that proposes standard levels and explains the basis for the selection of those proposed levels, and will distribute a draft TSD documenting the analysis of impacts. As required by §325(p)(2) of EPCA, the NOPR also will describe the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible and, if the proposed standards would not achieve these levels, the reasons for proposing different standards.
(2) Public comment and hearing. There will be 75 days for public comment on the NOPR, with at least one public hearing or workshop.
(3) Revisions to impact analyses and selection of final standard. Based on the public comments received and the policies stated in section 5(f), DOE will review the proposed standard and impact analyses, and make modifications as necessary. If major changes to the analyses are required at this stage, interested parties and experts will be given an opportunity to review the revised analyses.
(f) Notice of Final Rulemaking. The Department will publish a Notice of Final Rulemaking in the Federal Register that promulgates standard levels and explains the basis for the selection of those standards, accompanied by a final TSD.
5. Policies on Selection of Standards.
(a) Purpose. (1) Section 4 describes the process that will be used to consider new or revised energy efficiency standards and lists a number of factors and analyses that will be considered at specified points in the process. Department policies co12467ncerning the selection of new or revised standards, and decisions preliminary thereto, are described in this section.
These policies are intended to elaborate on the statutory criteria provided in section 325 of the EPCA, 42 U.S.C. 6295.
(2) The policies described below are intended to provide guidance for making the determinations required by EPCA. This statement of policy is not intended to preclude consideration of any information pertinent to the statutory criteria. The Department will consider all pertinent information in determining whether a new or revised standard is consistent with the statutory criteria. Moreover, the Department will not be guided by a policy in this section if, in the particular circumstances presented, such a policy would lead to a result inconsistent with the criteria in section 325 of EPCA. (continued)