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Regulatory Processes

Beginning with the Energy Policy and Conservation Act of 1975, Congress has enacted a series of laws establishing federal appliance and equipment standards and the Department of Energy's (DOE) authority to develop, amend, and implement standards. To implement these laws, the Appliance and Equipment Standards program manages the regulatory processes described below.

Standards Development and Revision

Standards for a given product may be mandated by Congress or established by DOE pursuant to statutory authority. Standards established by DOE are developed through a multi-step rulemaking process that includes public participation.

Test Procedure Development and Revision

Most standards rulemakings are accompanied by a concurrent test procedure rulemaking. Test procedures detail how manufacturers must test their products to certify that they comply with the applicable energy conservation standards. (42 U.S.C. 6293; 6314) DOE also uses the test procedures to determine compliance with the applicable standards. (42 U.S.C. 6295(s))

The Process Rule

The Process Rule describes the procedures, interpretations, and policies that guide DOE in establishing new or amended energy-efficiency standards. (Appendix A to Subpart C of Part 430).

Error-Correction Process

DOE has issued a pre-publication Federal Register final rule notice.  DOE is establishing a procedure through which an interested party can, within a 30-day period after DOE posts a rule establishing or amending an energy conservation standard, identify a possible error in such a rule and request that DOE correct the error before the rule is published in the Federal Register.

Determinations and Coverage Rulemakings

DOE is authorized to establish standards for 19 covered consumer products and 11 types of covered commercial and industrial equipment. DOE can also determine that other products and equipment are covered if they meet certain criteria. ( 42 U.S.C. 6292; 6311-6312)

Test Procedure Waivers

Products covered by standards may change as manufacturers incorporate new features and designs, and test procedures may not accurately reflect actual energy use as a result of these changes. For this reason, DOE will consider petitions for waivers from test procedures. (10 CFR 430.27 (consumer products); 10 CFR 431.401 (commercial and industrial equipment)).

Implementation, Certification, and Enforcement

In addition to developing energy conservation standards and test procedures, DOE has issued regulations to assure the implementation, certification, and enforcement of energy conservation standards:


Any person as defined by 10 CFR 1003.2 can apply to DOE for an exception from a rule, regulation or DOE action having the effect of a rule.

Small Business Exemptions

Manufacturers with annual gross revenues that do not exceed $8 million from all operations (including the manufacture and sale of covered products) for the 12-month period preceding the date of application may apply for a temporarily exemption from all or part of an energy conservation standard. (42 U.S.C. 6295(t)).

State Petitions for Exemption from Federal Preemption

Federal energy conservation standards generally preempt state laws or regulations concerning energy conservation testing, labeling, and standards. However, DOE can grant waivers of federal preemption for particular state laws or regulations. (42 U.S.C. 6297)


DOE and FTC share responsibility for labeling. Generally, the Federal Trade Commission (FTC) prescribes labeling rules for residential products and DOE prescribes labeling rules for commercial and industrial equipment. (42 U.S.C. 6294; 6315)