[Federal Register Volume 69, Number 203 (Thursday, October 21, 2004)]
[Rules and Regulations]
[Pages 61916-61949]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-17729]



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Part II





Department of Energy





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Office of Energy Efficiency and Renewable Energy



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10 CFR Part 431



Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Test Procedures and Efficiency Standards; Final Rules

  Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / 
Rules and Regulations  

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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

[Docket No. EE-RM/TP-99-450]
RIN 1904-AA96


Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Test Procedures and Efficiency Standards for Commercial Warm 
Air Furnaces; General Provisions for Commercial Heating, Air 
Conditioning and Water Heating Equipment; Energy Efficiency Provisions 
for Electric Motors

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

ACTION: Final rule.

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SUMMARY: Pursuant to Part C of Title III of the Energy Policy and 
Conservation Act (EPCA), the Department of Energy (DOE or the 
Department) promulgates a rule prescribing test procedures to rate the 
energy efficiency of commercial warm air furnaces. The rule also 
recodifies existing commercial warm air furnace energy conservation 
standards so that they are located contiguous with the test procedures 
that DOE promulgates today. For commercial heating, air conditioning 
and water heating products generally, the rule prescribes definitions 
and procedural provisions, and incorporates from EPCA general 
enforcement and administrative provisions. Finally, we are placing the 
new requirements for this equipment in the part of our regulations that 
already contains existing efficiency requirements for electric motors, 
and we are reorganizing and republishing, without substantive change, 
the existing requirements for motors.

DATES: This rule is effective November 22, 2004. The incorporation by 
reference of certain publications listed in this rule is approved by 
the Director of the Federal Register as of November 22, 2004.

FOR FURTHER INFORMATION CONTACT: Mohammed Khan, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Forrestal Building, EE-2J, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121, (202) 586-7892, fax (202) 586-
4617, e-mail: [email protected], or Francine Pinto, Esq., U.S. 
Department of Energy, Office of General Counsel, Forrestal Building, 
GC-72, 1000 Independence Avenue, SW., Washington, DC 20585, (202) 586-
9507, e-mail: [email protected].

SUPPLEMENTARY INFORMATION: This final rule incorporates, by reference, 
into Subpart D of Part 431, two test procedures contained in industry 
testing standards referenced by the American Society of Heating, 
Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE) and the 
Illuminating Engineering Society of North America (IES) Standard 90.1 
(``ASHRAE/IES Standard 90.1''), for commercial warm air furnaces. Those 
industry testing standards are: American National Standards Institute 
(ANSI) Standard Z21.47-1998, ``Gas-Fired Central Furnaces,'' and 
Underwriters Laboratories (UL) Standard 727-1994, ``Standard for Safety 
Oil-Fired Central Furnaces.'' This final rule also incorporates by 
reference into Subpart D of Part 431, (1) sections 8.2.2, 11.1.4, 
11.1.5 and 11.1.6.2 of the Hydronics Institute Division of the Gas 
Appliance Manufacturers Association Boiler Testing Standard BTS-2000, 
``Method to Determine Efficiency of Commercial Space Heating Boilers,'' 
published January 2001 (HI BTS-2000) which specify a flue loss 
calculation procedure for oil-fired equipment, and (2) sections 
7.2.2.4, 7.8, 9.2 and 11.3.7 of the ASHRAE Standard 103-1993, ``Method 
of Testing for Annual Fuel Utilization Efficiency of Residential 
Central Furnaces and Boilers,'' which specify a test procedure for 
measuring the incremental efficiency of condensing furnaces under 
steady state operation.
    You can view copies of these standards in the resource room of the 
Building Technologies Program, room 1J-018 at the U.S. Department of 
Energy, 1000 Independence Avenue, SW., Washington, DC 20585, between 
the hours of 9 a.m. and 4 p.m., Monday through Friday, except Federal 
holidays. Please call Ms. Brenda Edwards-Jones at (202) 586-2945, for 
additional information regarding visiting the resource room.
    You can purchase copies of the ASHRAE Standard 103-1993 from the 
American Society of Heating, Refrigerating, and Air-Conditioning 
Engineers, Inc., 1971 Tullie Circle, NE., Atlanta, GA 30329, http://www.ashrae.org/book/bookshop.htm; HI Standard BTS-2000 from Hydronics 
Institute Division of GAMA, P.O. Box 218, Berkeley Heights, NJ 07922, 
http://www.gamanet.org/publist/ hydroordr.htm; and Standards ANSI 
Z21.47-1998 and UL 727-1994 from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, http://global.ihs.com/ 
respectively.

I. Introduction
    A. Authority
    B. Background
    C. Summary of the Final Rule
II. Discussion
    A. General
    B. Warm Air Furnaces
    1. Definitions
    a. ``Commercial Warm Air Furnace''
    b. ``Thermal Efficiency'' for Furnaces
    2. ASHRAE/IES Standard 90.1 Referenced Furnace Test Standards
    3. Procedures for Measuring the Flue Losses of Oil Furnaces and 
the Incremental Efficiency of Condensing Furnaces
    a. Flue Loss Calculation for Oil-Fired Furnaces
    b. Condensing Furnaces
    C. Procedural, Administrative and Enforcement Provisions for 
Commercial Heating, Air Conditioning and Water Heating Products
    D. Effect of Amended Test Procedure on Measured Energy 
Efficiency
III. Procedural Requirements
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
    M. Congressional Notification
    N. Approval of the Office of the Secretary

I. Introduction

A. Authority

    Title III of the Energy Policy and Conservation Act (EPCA) sets 
forth a variety of provisions designed to improve energy efficiency. 
Part B of Title III (42 U.S.C. 6291-6309) provides for the ``Energy 
Conservation Program for Consumer Products other than Automobiles.'' 
Part C of Title III (42 U.S.C. 6311-6317) provides for a program 
similar to Part B which is entitled ``Certain Industrial Equipment,'' 
and which includes commercial air conditioning equipment, furnaces, and 
other types of equipment.
    DOE publishes today's final rule pursuant to Part C which 
specifically provides for definitions, test procedures, labeling 
provisions, energy conservation standards, and the authority to require 
information and reports from

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manufacturers. (42 U.S.C. 6311-6317) With regard to test procedures, 
Part C generally authorizes the Secretary of Energy to prescribe test 
procedures that are reasonably designed to produce results which 
reflect energy efficiency, energy use and estimated operating costs, 
and that are not unduly burdensome to conduct. (42 U.S.C. 6314)
    With respect to some commercial equipment for which EPCA prescribes 
energy conservation standards, including commercial warm air furnaces, 
Section 343 (a)(4)(A) provides ``the test procedures shall be those 
generally accepted industry testing procedures or rating procedures 
developed or recognized by the Air-Conditioning and Refrigeration 
Institute or by the American Society of Heating, Refrigerating and Air 
Conditioning Engineers, as referenced in ASHRAE/IES Standard 90.1 and 
in effect on June 30, 1992.'' (42 U.S.C. 6314(a)(4)(A)) Further, if 
such an industry testing or rating procedure is amended, DOE must 
revise the test procedure to be consistent with the amendment, unless 
the Secretary determines, based on clear and convincing evidence, that 
to do so would not meet certain general requirements spelled out in 
EPCA Section 343 for test procedures. (42 U.S.C. 6314(a)(4)(B)) Before 
prescribing any test procedures for such equipment, the Secretary must 
publish them in the Federal Register and afford interested persons at 
least 45 days to present data, views and arguments. (42 U.S.C. 6314(b)) 
Effective 360 days after a test procedure rule applicable to any 
covered commercial equipment, such as a commercial warm air furnace, is 
prescribed, no manufacturer, distributor, retailer or private labeler 
may make any representation in writing or in broadcast advertisement 
respecting the energy consumption or cost of energy consumed by such 
equipment, unless it has been tested in accordance with the prescribed 
procedure and such representation fairly discloses the results of the 
testing. (42 U.S.C. 6314(d)) Finally, under the terms of Part C of 
Title III of EPCA, the Secretary is authorized to require manufacturers 
of equipment covered by today's rule to submit information and reports 
for a variety of purposes, including insuring compliance with 
requirements. (42 U.S.C. 6316(b)(1))

B. Background

    DOE began implementation of Part C of Title III of EPCA by 
establishing 10 CFR Part 431. Part 431 is entitled ``Energy Efficiency 
Program for Certain Commercial and Industrial Equipment.'' It consists 
of test procedures, Federal energy conservation standards, labeling, 
and certification and enforcement procedures. Today, DOE amends Part 
431 in order further to implement Part C of Title III of EPCA.
    As a first step in the process that led to today's final rule, we 
convened public workshops on April 14 and 15, 1998, and on October 18, 
1998, to solicit views and information from interested parties to aid 
in developing proposed rules that would address test procedures, 
certification and enforcement procedures, and EPCA's coverage for this 
equipment. The workshop discussions and comments focused on the 
following issues for warm air furnaces specifically:
    (1) The efficiency descriptor;
    (2) Calculation of flue loss for oil fired furnaces; and
    (3) Adoption of a test procedure for condensing furnaces.
    We also requested comment on several issues for all commercial 
heating, air conditioning and water heating products, relating 
primarily to the most cost effective and reliable methodology for 
sampling, certification and enforcement. Discussion and comments 
focused largely on the following:
    (1) Whether we should require sampling procedures for compliance 
certification and enforcement testing that are similar to those used 
for consumer products;
    (2) Adapting for commercial equipment other compliance and 
enforcement procedures that currently apply to consumer products; and
    (3) The use of voluntary industry programs to help assure 
compliance, and the content of such programs.
    We published a Notice of Proposed Rulemaking and Public Hearing 
(``proposed rule'' or ``NOPR'') after considering statements made 
during the public workshops and written comments. (64 FR 69598, 
December 13, 1999). We proposed regulations to: (1) Implement the 
energy efficiency standards and test procedures mandated by EPCA for 
commercial warm air furnaces, and (2) set forth definitions, methods of 
determining efficiency, compliance certification procedures, prohibited 
actions, enforcement procedures, and general administrative and 
procedural provisions for all covered commercial heating, air 
conditioning and water heating products. The Department requested data, 
comments and information regarding the proposed regulations. We held a 
public hearing on January 27, 2000, (the January 2000 workshop) to 
receive oral comments, and we accepted written comments until February 
28, 2000.
    In formulating today's final rule, we considered the comments 
received, and have incorporated recommendations where appropriate. 
Section II below discusses comments that questioned or disagreed with 
the Department's positions as presented in the NOPR.
    Energy conservation standard levels are not at issue here. The NOPR 
merely proposed to incorporate into the Department's regulations on 
efficiency requirements for commercial warm air furnaces the standard 
levels that had been established by law in Section 342(a) of EPCA.
    Subsequent to issuance of the NOPR, in a separate proceeding, we 
promulgated a regulation (10 CFR Part 431, Subpart Q) to adopt as 
Federal standards some of the efficiency levels contained in amendments 
to ASHRAE/IES Standard 90.1. 66 FR 3336, 3354 (January 12, 2001). For 
furnaces, the levels contained in these amendments, and consequently in 
Subpart Q (10 CFR 431.702), are the same as the levels in Section 
342(a) of EPCA.

C. Summary of the Final Rule

    Today's final rule incorporates the following for commercial warm 
air furnaces: (1) Definitions for the equipment and for its efficiency 
descriptor, (2) energy efficiency test procedures, and (3) energy 
conservation standards. Pursuant to the definition of ``commercial warm 
air furnace'' in today's rule, the rule covers only those commercial 
furnaces for which EPCA specifies standard levels, i.e., furnaces 
having a maximum rated input capacity of 225,000 Btu (British thermal 
unit) per hour or more. The rule also uses ``thermal efficiency'' as 
the efficiency descriptor, as specified in the statute, but defines the 
term as having the meaning conventionally given to ``combustion 
efficiency,'' as proposed in the NOPR. The rule adopts, as the test 
procedures under EPCA, ANSI Standard Z21.47-1998 for gas-fired furnaces 
and UL Standard 727-1994 for oil-fired furnaces (incorporated by 
reference, see Sec.  431.75). We have incorporated provisions of the HI 
Standard BTS-2000 to calculate flue loss for oil-fired furnaces, and 
ASHRAE Standard 103-1993 (incorporated by reference, see Sec.  431.75) 
to determine the incremental efficiency of condensing furnaces under 
steady state conditions. Finally, so that the efficiency test 
procedures and standards for commercial warm air furnaces will be in 
the same place in our regulations, this rule also recodifies elsewhere 
in Part 431 the minimum energy efficiency levels prescribed by

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Section 342(a) of EPCA and 10 CFR 431.702. Consequently, we are 
deleting Sec.  431.702 from the regulations.
    Today's final rule also adopts certain general provisions to 
implement efficiency requirements for the commercial air conditioning, 
heating, and water heating products, as well as boilers and furnaces, 
for which EPCA provides energy conservation standards (which we refer 
to collectively as ``commercial HVAC & WH products''). Specifically, as 
proposed in the NOPR, the rule contains provisions for these products 
that: (1) Allow manufacturers to obtain a waiver of an applicable test 
procedure, (2) require maintenance of records concerning compliance, 
(3) provide for subpoenas and confidential treatment of information, 
and (4) incorporate from EPCA a description of prohibited actions, 
general enforcement procedures, and provisions as to imported and 
exported equipment. At this time, however, the Department is not 
adopting for commercial HVAC &WH products methods and procedures for 
manufacturers to determine and certify compliance, or procedures 
(including testing regimens) that DOE will use in resolving any 
disputed performance claims and in deciding whether to pursue 
enforcement action. We proposed such methods and procedures in the 
NOPR, and are still considering what action to take with respect to 
these proposals.
    Finally, today's final rule combines in 10 CFR Part 431 the 
existing requirements for electric motors and the new requirements for 
commercial HVAC & WH products. Because we are reorganizing and 
renumbering 10 CFR Part 431 in this rule, we are republishing today the 
text of these provisions. The text of these provisions is substantively 
the same as currently exists in DOE's regulations. We have also 
reorganized and renumbered the proposed regulations.

II. Discussion

A. General

    Representatives from seven organizations representing stakeholders 
from trade associations (the Gas Appliance Manufacturers Association 
(GAMA) and the Air Conditioning and Refrigeration Institute (ARI)), 
manufacturers (A.O. Smith Water Products Co. (A.O. Smith), York 
International (York), and Bock Water Heaters (Bock)), and State 
government energy offices (the California Energy Commission (CEC) and 
the Oregon Office of Energy (OOE)) attended the January 2000 workshop. 
GAMA and ARI submitted written statements in advance of the hearing. 
GAMA, ARI and CEC also submitted additional written comments afterward. 
We provided a call-in telephone number (notifying stakeholders by 
telephone and e-mail on the day before) for interested stakeholders who 
could not attend the workshop due to adverse weather conditions along 
the east coast prior to the day of the workshop.
    In the next portion of this SUPPLEMENTARY INFORMATION, the 
Department addresses the points on which significant comments were made 
in response to the NOPR on issues concerning commercial warm air 
furnaces. Then, DOE addresses the NOPR's proposals as to certification, 
methods of determining compliance, and enforcement for commercial HVAC 
& WH products generally, and DOE's decision to adopt at this time only 
certain of these proposals.

B. Warm Air Furnaces

1. Definitions
a. ``Commercial Warm Air Furnace''
    In Sec.  431.141 of the rule language in the NOPR, we proposed to 
define a commercial warm air furnace as ``a warm air furnace that is a 
commercial HVAC & WH product,'' and to define ``commercial HVAC & WH 
product'' in part as a product ``to which an energy conservation 
standard is applicable under Section 342(a)'' of EPCA. 64 FR at 69610. 
Section 342(a) specifies standards for furnaces with capacities of 
225,000 Btu per hour or more, but no standard has been adopted under 
that section for any smaller commercial furnace. Thus, ``commercial 
warm air furnace'' as defined in the NOPR would not include any such 
smaller furnace, and the proposed requirements in the NOPR would not 
apply to these products. Moreover, proposed Sec. Sec.  431.162 and 
431.171 in the NOPR explicitly state that the test procedures and 
efficiency standards, respectively, would apply to commercial warm air 
furnaces of 225,000 Btu per hour or more. 64 FR 69611-12.
    At the January 2000 workshop, and in written comments following the 
workshop, the CEC asserted, that in the final rule, the Department 
should apply the efficiency standards for commercial furnaces to 
products less than 225,000 Btu per hour that are not consumer products, 
and that, in any event, it appeared from the NOPR that the 
certification, enforcement and compliance requirements in the proposed 
rule would apply to these smaller commercial furnaces. (CEC, Tr.\1\ 27-
29, and No. 7 at 4 \2\). The CEC referred to 10 CFR 430.2, which 
delineates the consumer products covered by EPCA efficiency 
requirements, and defines a ``furnace'' as one that (1) is an electric 
or fossil-fueled furnace that uses single-phase electric current, (2) 
is designed as the principal heating source for residential living 
space, (3) is not in a cabinet with a central air conditioner with a 
rated cooling capacity above 65,000 Btu per hour, and (4) has a heat 
input rate of less than 225,000 Btu per hour. Expressing particular 
concern about smaller equipment that uses three-phase electric current, 
CEC recommended that the final rule apply the efficiency standards for 
commercial furnaces to any warm air furnace with a capacity of less 
than 225,000 Btu per hour that does not meet this definition of a 
consumer product and, consequently, is not covered by the standards for 
such a product. CEC also stated that, regardless of what position we 
take on this point, we should make that position clear. The OOE 
concurred with the CEC's recommendation as to coverage of smaller 
three-phase equipment, with three-phase equipment with a capacity of 
150,000 Btu per hour. (OOE, Tr. 29). CEC recognized, however, that EPCA 
does not explicitly provide efficiency standards for such smaller 
commercial furnaces, and GAMA stated that there is a gap in the statute 
with respect to these products. (GAMA, Tr. 30).
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    \1\ ``Tr.'' followed by a number or numbers, refers to a page or 
pages in the transcript of the January 2000 workshop.
    \2\ A notation in the form ``CEC, No. 7 at 4'' identifies a 
written comment DOE received in this rulemaking subsequent to 
issuance of the NOPR. This notation refers to a comment (1) by CEC, 
(2) in document number 7 in the docket in this matter, and (3) 
appearing at page 4 of document number 7.
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    We have considered these comments, and have decided to adhere to 
the approach taken in the NOPR for the reasons set forth below. Thus, 
the efficiency requirements we are adopting at this point for 
commercial warm air furnaces will apply only to equipment with a 
capacity of 225,000 Btu per hour or greater.
    Section 340 of EPCA, which contains definitions for certain types 
of commercial and industrial equipment covered by EPCA, defines a 
``warm air furnace'' in terms of its features and its functions, 
specifically including or excluding certain equipment.\3\ Section

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342(a)(4), 42 U.S.C. 6313(a)(4), then specifies energy conservation 
standards for ``warm air furnaces with capacity of 225,000 Btu per hour 
or more.'' Section 342(a)(6) further mandates action by DOE should the 
conservation standards in ASHRAE/IES Standard 90.1 for warm air 
furnaces (and other specified equipment) be amended.
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    \3\ The definition reads as follows:
    ``Warm air furnace'' means a self-contained oil-fired or gas-
fired furnace designed to supply heated air through ducts to spaces 
that require it and includes combination warm air furnace/electric 
air conditioning units but does not include unit heaters and duct 
furnaces. EPCA Section 340(11)(A), 42 U.S.C. 6311(11)(A).
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    With regard to efficiency standards, the purpose of this rulemaking 
is to recodify standards already prescribed by statute or the 
Department's regulations. The only such existing standards for 
commercial warm air furnaces, set forth in Section 342(a)(4)(A) and (B) 
of EPCA and 10 CFR 431.702 (66 FR 3354), are for units with a capacity 
of 225,000 Btu per hour or more. In the NOPR, the Department did not 
propose, or even discuss, the adoption of efficiency standards for 
smaller furnaces; we did not invite comment on the issue or give any 
indication such standards might be promulgated. Therefore, we decline 
to adopt any such standards at this time. Similarly, we proposed test 
procedures in the NOPR only for furnaces with a capacity of 225,000 Btu 
per hour or more, and did not discuss application of these procedures 
to smaller furnaces. As to the certification and enforcement provisions 
proposed in the NOPR, by their terms they address compliance with 
applicable efficiency standards and do not apply to equipment for which 
no standards have been prescribed. The compliance provisions--the 
methods (other than the test procedures) for determining efficiency--
are also designed to assure compliance with existing standards, as 
illustrated by provisions such as proposed Sec. Sec.  431.481(a) and 
431.484(a)(10). For all of these reasons, and as proposed in the NOPR, 
the test procedures in today's final rule apply only to commercial warm 
air furnaces of 225,000 Btu per hour or more.\4\
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    \4\ We are not adopting compliance, certification or, for the 
most part, enforcement provisions for commercial HVAC equipment in 
today's final rule. But as with the enforcement procedures that are 
in the rule, we anticipate that when we adopt such provisions, the 
only commercial warm air furnaces to which they will apply will have 
capacities of 225,000 Btu per hour or more.
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    Accordingly, we have revised the definition of ``commercial warm 
air furnace'' in today's final rule to make explicit that it includes 
only furnaces (1) with capacities of 225,000 Btu per hour or larger, 
i.e., furnaces for which standards have been prescribed, and (2) that 
are ``industrial equipment,'' a term which EPCA defines and which we 
define in today's rule by incorporating and paraphrasing language from 
the EPCA definition. These language changes will not in any way alter 
the coverage of warm air furnaces as proposed in the NOPR, or the 
substance of the regulation. But they should make the rule clearer.
    Finally, EPCA and the NOPR refer to commercial furnaces with a 
``capacity'' of 225,000 Btu per hour or more, but do not state whether 
``capacity'' refers to an input or output value. Because any given Btu 
per hour level of input and output actually represents two different 
values and sizes of equipment, we believe we should clarify what 
``capacity'' means so as to make clear what equipment is covered. We 
note first that ASHRAE/IES Standard 90.1-1989 delineated categories of 
furnaces by reference to the 225,000 Btu per hour value, without 
mentioning input or output, whereas Standard 90.1-1999 explicitly 
states that such size categories are based on ``input.'' We believe 
this change was designed to clarify rather than alter the scope of the 
applicable efficiency requirements. Because EPCA's efficiency 
requirements for commercial furnaces are based on these same provisions 
in ASHRAE 90.1, and also use the 225,000 Btu/hr level as a cut-off for 
differentiating efficiency requirements, ASHRAE's categorization of 
commercial furnace sizes by reference to input strongly suggests that 
furnace ``capacity'' in EPCA should be interpreted to mean input 
capacity. Second, the Department believes that, because EPCA provides 
efficiency standards for furnaces that are consumer (residential) 
products if they have an ``input rate'' of less than 225,000 Btu/hr, 
(42 U.S.C. 6291-6292), the ``capacity'' of commercial furnaces to which 
Section 342(a)(4)(A)-(B) of EPCA refers is also the input rate. The 
most reasonable construction of EPCA is that the capacities of 
residential and commercial furnaces must be measured in a uniform 
manner under the statute. If the term ``capacity'' in EPCA were 
construed as providing standards for commercial furnaces with an output 
rate of 225,000 BTU/hr or more, there would be a gap between the 
capacities of the largest consumer furnace and the smallest commercial 
furnace for which EPCA prescribes standards. We do not believe Congress 
intended such a result.
    For these reasons, we construe the term ``capacity,'' as applied to 
commercial warm air furnaces in Section 342(a)(4)(A)-(B) of EPCA, to 
mean the rated input capacity and not the output capacity. To clarify 
this point, we are including in our definition of ``commercial warm air 
furnace,'' in 10 CFR 431.72, the parenthetical ``(rated maximum 
input)'' to modify the term ``capacity.''
b. ``Thermal Efficiency'' for Furnaces
    EPCA specifies the energy efficiency standard levels for commercial 
warm air furnaces in terms of ``thermal efficiency,'' 42 U.S.C. 
6313(a)(4)(A)-(B), but provides no definition for this term. For 
reasons discussed in detail in the NOPR, 64 FR 69601, we proposed to 
interpret this term, for purposes of commercial warm air furnaces as 
meaning what is commonly known as ``combustion efficiency'' in other 
contexts, i.e., 100 percent minus percent flue loss.
    No one opposed this proposal during the January 2000 workshop, 
although in its subsequent written comments CEC supported our approach 
but advocated use of the term ``combustion efficiency'' rather than 
``thermal efficiency.'' (CEC, No. 7 at 3). Given use of the latter term 
in EPCA, and its continued use as the efficiency descriptor for 
furnaces in ANSI Standard Z21.47, which we reference in today's rule, 
we believe it would be confusing to use the term ``combustion 
efficiency'' in the final rule. Accordingly, as proposed in the NOPR, 
we are defining the term ``thermal efficiency'' to mean 100 percent 
minus the percent flue loss.
2. ASHRAE/IES Standard 90.1 Referenced Furnace Test Standards
    EPCA requires that the testing procedures for measuring the energy 
efficiency of commercial warm air furnaces must be those generally 
accepted industry testing procedures or rating procedures that were 
developed or are recognized by ASHRAE, as referenced in ASHRAE/IES 
Standard 90.1-1989 and in effect on June 30, 1992. EPCA also specifies 
that if such an industry test procedure or rating procedure for 
commercial warm air furnaces is amended, we must adopt the revisions 
unless we determine that they are not reasonably designed to produce 
test results which reflect energy efficiency, energy use, and estimated 
operating costs, or that the revised procedures would be unduly 
burdensome to conduct.
    ASHRAE/IES Standard 90.1 as in effect on June 30, 1992 referenced 
two industry test standards: One for gas-fired furnaces, ANSI Standard 
Z21.47-1987, and the other for oil-fired furnaces, UL Standard 727-
1986. Both standards were subsequently revised, resulting in ANSI 
Standard Z21.47-1993 and UL Standard 727-1994. We proposed in the NOPR 
to incorporate by reference as the applicable test

[[Page 61920]]

procedures under EPCA these revised versions of the two test 
procedures.
    During the January 2000 workshop, all attendees supported the DOE 
proposal to incorporate by reference revised versions of the two 
industry test procedures. However, GAMA pointed out that ANSI Z21.47-
1993 has been revised to ANSI Z21.47-1998. (GAMA, Tr. 32, No. 3, at 3.) 
GAMA stated that since there is no change in the energy efficiency test 
sections between these two versions of the test standard, DOE should 
reference the latest version of that standard. York supported GAMA's 
recommendation and pointed out that the only change between the two 
versions is the thermal efficiency test Section number (Section 2.37 in 
the 1993 version versus Section 2.38 in the 1998 version). (York, Tr. 
32.) A.O. Smith questioned whether the designation ANSI Z21.47 is still 
appropriate since it is also a harmonized Canadian standard with a 
different designation. (A.O. Smith, Tr . 33.) CEC stated that the ANSI 
Z21.47 designation is still valid for use in the United States. (CEC, 
Tr. 34.) CEC also supported referencing the 1998 version.
    We compared the 1993 and 1998 versions of ANSI Z21.47 with respect 
to the sections that involve thermal efficiency testing. Except for the 
difference in the designation of the section number for the thermal 
efficiency test, mentioned above, there is no change in the test 
procedure for the thermal efficiency test. Therefore, we agree with 
GAMA's recommendation, and are incorporating by reference in today's 
final rule the latest version of the ANSI test procedure, ANSI Z21.47-
1998, (incorporated by reference, see Sec.  431.75) for the energy 
efficiency test of gas-fired furnaces. Also, as proposed, we are 
incorporating by reference in today's final rule the energy efficiency 
test sections of UL 727-1994 for oil-fired furnaces (incorporated by 
reference, see Sec.  431.75).
3. Procedures for Measuring the Flue Losses of Oil Furnaces and the 
Incremental Efficiency of Condensing Furnaces
a. Flue Loss Calculation for Oil-Fired Furnaces
    The referenced test standard for oil-fired furnaces, UL Standard 
727, does not provide a procedure for calculating the percent flue 
loss. Accordingly, in the NOPR we proposed that this calculation be 
made using the flue loss calculation specified for oil-fired boilers in 
the 1989 edition of the Hydronics Institute Testing and Rating Standard 
for Heating Boilers (HI-1989). We received no comments opposing our 
proposal. Subsequent to the January 2000 workshop, however, in January 
2001, a revised test standard, BTS-2000, ``Method to Determine 
Efficiency of Commercial Space Heating Boilers,'' replaced HI-1989. 
BTS-2000 contains provisions for calculating flue loss that are 
identical to the provisions of HI-1989 that we proposed in the NOPR to 
adopt for oil-fired furnaces. Therefore, in today's final rule, we are 
adopting these provisions of BTS-2000 as the calculation procedure for 
percent flue loss for oil-fired furnaces. (We note that the forms in 
BTS-2000 that have replaced Forms 715 and 721 of HI-1989, which are 
referenced in the NOPR, are no longer integral to the flue loss 
calculation. Therefore, we are not incorporating the BTS-2000 forms in 
today's rule.)
b. Condensing Furnaces
    ASHRAE/IES Standard 90.1, and the two warm air furnace test 
standards referenced by it, do not specifically provide test conditions 
or procedures for testing a condensing furnace. In the NOPR, we stated 
that a test procedure should be in place to test these more efficient 
products in the future, and to enable evaluation of this design option 
during any consideration of possible revisions to the efficiency 
standard, even if no commercial condensing furnaces are currently 
available in the market as asserted by some participants in earlier 
workshops. Therefore we proposed to adopt for commercial warm air 
furnaces the test procedure specified in the steady state efficiency 
test sections of ASHRAE Standard 103-1993 (sections 7.2.2.4, 7.8, 9.2 
and 11.3.7) (incorporated by reference, see Sec.  431.75) for 
determining the increment in energy efficiency due to the condensing 
feature of a residential furnace. In proposing to adopt this test 
procedure, we applied a slight modification to the equation in Section 
11.3.7.2 of ASHRAE Standard 103-1993 for steady-state heat loss due to 
hot condensate flowing down the drain. In the aforementioned section, 
the assumed indoor temperature is 70[deg]F, and the average outside 
temperature is 42[deg]F. The modification replaces both of these 
temperatures with the actual temperature of the test area during the 
steady-state thermal efficiency test, consistent with Section 2.2.8 of 
ANSI Standard Z21.47-1993 (now ANSI Standard Z21.47-1998).
    At the January 2000 workshop, York International (York, Tr. 39-41) 
stated that the regulation should make clear that DOE is referencing 
the steady-state test in ASHRAE Standard 103, not its annual fuel 
utilization efficiency test. CEC supported our proposal to incorporate 
Standard 103 as the test method for condensing furnaces. (CEC, Tr. 42, 
No. 7 at p. 3.)
    With regard to the concern expressed by York, the specific sections 
of the ASHRAE Standard 103-1993 that we proposed to adopt for 
commercial condensing furnaces all deal with steady state testing only. 
The Department did not propose to adopt those sections of ASHRAE 
Standard 103-1993 dealing with cyclic tests and AFUE calculations.
    For the reasons stated above and in the NOPR, we are incorporating 
by reference, in today's final rule, the test procedure specified in 
sections 7.2.2.4, 7.8, 9.2 and 11.3.7 of ASHRAE Standard 103-1993 
(incorporated by reference, see Sec.  431.75) for determining the 
increment in energy efficiency, under steady state conditions, of a 
condensing furnace, including modifications which replace the values of 
the indoor and outdoor temperatures with the actual measured test room 
temperature as described earlier in this section.

C. Procedural, Administrative, and Enforcement Provisions for 
Commercial Heating, Air Conditioning and Water Heating Products

    The NOPR proposed detailed provisions designed to provide 
reasonable assurance that commercial HVAC & WH products would be 
appropriately tested and comply with applicable energy conservation 
standards. These included methods for applying the DOE test procedures, 
as well as calculation methods, to be used by manufacturers to 
determine the efficiency of this equipment. We also proposed procedures 
for manufacturers to certify that their equipment complies with our 
efficiency requirements, and proposed to allow manufacturer 
participation in DOE-approved Voluntary Industry Certification Programs 
(VICPs) as a means of helping to assure such compliance. The NOPR had 
detailed criteria for a VICP to obtain our approval. The proposed rule 
set forth, in addition, procedures for DOE to use to address 
allegations of non-compliance. These included detailed procedures for 
enforcement testing of allegedly noncompliant products, criteria for 
determining whether the test results warranted pursuit of enforcement 
action, and provisions for ceasing distribution of non-compliant 
products, as well as provisions that largely incorporated EPCA 
procedures for DOE to seek injunctive relief and civil penalties. 
Finally, we proposed other general provisions, similar to

[[Page 61921]]

those in 10 CFR Part 430 for consumer products, such as a restatement 
of EPCA's list of prohibited actions, procedures for waiving test 
procedures and records maintenance requirements.
    During the January 2000 workshop, and in subsequent written 
statements, we received many comments concerning (1) methods for 
manufacturers to determine the efficiencies of their equipment, (2) 
certification of such efficiencies to DOE, (3) criteria for our 
approval of VICPs and (4) the procedures and criteria for DOE to pursue 
enforcement action. These comments, as well as the Department's further 
review of the proposed rule, raised significant issues, concerning 
these subjects, on which further comment appears to be warranted. 
Therefore, the Department has decided to continue its review of these 
subjects and it is not issuing final regulations at this time 
concerning methods for manufacturers to determine efficiency, 
certification of compliance, use of VICPs, and, for the most part, 
procedures and criteria for pursuing enforcement action. The Department 
intends to seek further comment on these issues.
    However, DOE received no comments on the proposed provisions, 
adapted from EPCA, as to prohibited actions and remedies, or on 
proposed general provisions such as those concerning waiver of test 
procedures, records maintenance, treatment of exported and imported 
products, subpoenas, and confidentiality of information. As a result, 
DOE concludes that these provisions are noncontroversial and supported 
by all stakeholders. Therefore, in today's final rule the Department is 
adopting these provisions as proposed in the NOPR, without substantive 
change but with some re-numbering, reorganization and editorial changes 
to reflect the combining of these provisions with existing requirements 
for electric motors in Part 431.
    Subpart D of Part 431 currently contains procedures for a State to 
seek and obtain a rule from DOE to waive Federal preemption of a State 
energy conservation requirement for electric motors, and for a party to 
seek to have such a rule withdrawn. The NOPR did not propose such 
provisions for commercial HVAC & WH products. Their adoption is 
warranted, however, because waiver provisions are already prescribed by 
law, i.e.--Section 345(b)(2)(D) of EPCA (42 U.S.C. 6316(b)(2)(D)), 
which provides for waiver of preemption for this equipment under the 
same procedures as for electric motors. Since Subpart D is purely 
procedural, and procedural rules can be adopted without notice and 
comment, 5 U.S.C. 553(b), today's final rule makes Subpart D applicable 
to commercial HVAC & WH products.
    We note also that Sec.  431.141 of the proposed rule contained 
definitions for furnaces and for commercial HVAC & WH products 
generally. Those definitions that would apply only to methods of 
determining efficiency, certification, or enforcement for these 
products are not included in today's final rule. The remainder of the 
definitions in proposed Sec.  431.141 are divided among three different 
sections, one applying to the revised Part 431 generally, another to 
furnaces only, and the third to commercial HVAC and water heating 
products generally.

D. Effect of Amended Test Procedure on Measured Energy Efficiency

    As to rulemakings to amend test procedures, section 323(e) of EPCA, 
42 U.S.C. 6293(e), provides that DOE shall determine whether the 
amended test procedure would alter measured energy efficiency of any 
covered product. ``If the amendment does alter measured efficiency, the 
Secretary must determine the average efficiency level under the new 
test procedure of products that minimally complied with the applicable 
energy conservation standard prior to the test procedure amendment, and 
must set the standard at that level. (42 U.S.C. 6293(e)(2)) In 
addition, any existing model of a product that complied with the 
previously applicable standard would be deemed to comply with the new 
standard. ``(42 U.S.C. 6293(e)(3)) These provisions prevent changes in 
a test procedure from indirectly altering the applicable Federal energy 
conservation standard. ``They also prevent products that complied with 
standards using the previous test procedure from being forced out of 
compliance by the new test procedure.
    For commercial furnaces, this final rule is adopting later versions 
of two test procedures referenced in ASHRAE 90.1-1989 and in effect on 
June 30, 1992: ANSI Standard Z21.47-1998 for gas-fired equipment and UL 
Standard 727-1994 for oil-fired equipment. These later versions do not 
contain amendments to the efficiency test methods for this equipment. 
Accordingly, section 323(e) does not apply to their adoption by DOE.
    In addition, this final rule adds two provisions, first a method 
for testing condensing furnaces, based upon ASHRAE Standard 103-1993, 
and second, a method for calculating the flue loss of oil-fired 
furnaces, a method necessary for determining furnace efficiency that is 
missing from ANSI Standard Z21.47-1998 and its predecessor version. 
This latter requirement is in HI BTS-2000.
    With respect to the first additional requirement, there is no 
existing DOE test procedure for condensing furnaces. Therefore, this 
added requirement does not represent an amended test procedure. 
Accordingly, section 323(e) does not apply.
    With respect to the second additional requirement, in order to 
determine the efficiency of oil-fired furnaces, a value for the percent 
flue loss is needed. Today's rule adopts a method which DOE understands 
the industry has been using unofficially to test oil-fired furnaces. 
Therefore, requiring use of this method will not alter measured energy 
efficiency of oil-fired furnaces for purposes of section 323(e) of 
EPCA.

III. Procedural Requirements

A. Review Under Executive Order 12866

    The Office of Information and Regulatory Affairs of the Office of 
Management and Budget (OMB) has determined that today's regulatory 
action is not a ``significant regulatory action'' under Executive Order 
12866, ``Regulatory Planning and Review,'' 58 FR 51735 (October 4, 
1993). Accordingly, this action was not subject to review under the 
Executive Order.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis for any rule 
that by law must be proposed for public comment, unless the agency 
certifies that the rule, if promulgated, will not have a significant 
economic impact on a substantial number of small entities. As required 
by Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the rulemaking process (68 FR 7990). DOE has made its 
procedures and policies available on the Office of General Counsel's 
Web site: http://www.gc.doe.gov.
    DOE reviewed today's rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003, and certified in the NOPR that the proposed rule would not 
impose a significant economic impact on a substantial

[[Page 61922]]

number of small entities. (64 FR 69597). We received no comments on 
this issue, and after considering the potential small entity impact of 
this final rule, DOE affirms the certification that this rule will not 
have a significant economic impact on a substantial number of small 
entities. Accordingly, DOE has not prepared a regulatory flexibility 
analysis for this rulemaking. DOE will transmit the certification and 
supporting statement of factual basis to the Chief Counsel for Advocacy 
of the Small Business Administration for review pursuant to 5 U.S.C. 
605(b).

C. Review Under the Paperwork Reduction Act

    This rulemaking will impose no new information or recordkeeping 
requirements. Accordingly, OMB clearance is not required under the 
Paperwork Reduction Act (44 U.S.C. 3501 et seq.)

D. Review Under the National Environmental Policy Act

    DOE has determined that this rule falls into a class of actions 
that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and the 
Department's implementing regulations at 10 CFR Part 1021. 
Specifically, this rule amends an existing rule without changing the 
environmental effect of the rule being amended, and, therefore, is 
covered by the Categorical Exclusion in paragraph A5 to subpart D, 10 
CFR Part 1021. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations (65 FR 13735). DOE has examined today's rule and has 
determined that it does not preempt State law and does not have a 
substantial direct effect on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government. No further 
action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, Section 3(a) of Executive Order 12988, 
``Civil Justice Reform'' (61 FR 4729, February 7, 1996), imposes on 
Federal agencies the general duty to adhere to the following 
requirements: (1) Eliminate drafting errors and ambiguity; (2) write 
regulations to minimize litigation; and (3) provide a clear legal 
standard for affected conduct rather than a general standard and 
promote simplification and burden reduction. Section 3(b) of Executive 
Order 12988 specifically requires that Executive agencies make every 
reasonable effort to ensure that the regulation: (1) Clearly specifies 
the preemptive effect, if any; (2) clearly specifies any effect on 
existing Federal law or regulation; (3) provides a clear legal standard 
for affected conduct while promoting simplification and burden 
reduction; (4) specifies the retroactive effect, if any; (5) adequately 
defines key terms; and (6) addresses other important issues affecting 
clarity and general draftsmanship under any guidelines issued by the 
Attorney General. Section 3(c) of Executive Order 12988 requires 
Executive agencies to review regulations in light of applicable 
standards in Section 3(a) and Section 3(b) to determine whether they 
are met or it is unreasonable to meet one or more of them. DOE has 
completed the required review and determined that, to the extent 
permitted by law, this rule meets the relevant standards of Executive 
Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and tribal governments and the 
private sector. With respect to a proposed regulatory action that may 
result in the expenditure by State, local and tribal governments, in 
the aggregate, or by the private sector of $100 million or more 
(adjusted annually for inflation), Section 202 of the Act requires a 
Federal agency to publish estimates of the resulting costs, benefits, 
and other effects on the national economy (2 U.S.C. 1532(a),(b)). The 
Act also requires a Federal agency to develop an effective process to 
permit timely input by elected officers of State, local, and tribal 
governments on a proposed ``significant intergovernmental mandate,'' 
and requires an agency plan for giving notice and opportunity for 
timely input to potentially affected small governments before 
establishing any requirements that might significantly or uniquely 
affect small governments. On March 18, 1997, DOE published a statement 
of policy on its process for intergovernmental consultation under the 
Act (62 FR 12820) (also available at http://www.gc.doe.gov). The rule 
published today does not contain any Federal mandate, so these 
requirements do not apply.

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

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

I. Review Under Executive Order 12630

    DOE has determined pursuant to Executive Order 12630, 
``Governmental Actions and Interference with Constitutionally Protected 
Property Rights,'' 53 FR 8859 (March 18, 1988) that this regulation 
would not result in any takings which might require compensation under 
the Fifth Amendment to the United States Constitution.

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

    The Treasury and General Government Appropriations Act, 2001 (44 
U.S.C. 3516, note) provides for agencies to review most disseminations 
of information to the public under guidelines established by each 
agency pursuant to general guidelines issued by OMB. OMB's guidelines 
were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines 
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed 
today's final rule under the OMB and DOE guidelines and has concluded 
that it is consistent with applicable policies in those guidelines.

[[Page 61923]]

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001) requires Federal agencies to prepare and submit to the 
Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget, a Statement of Energy Effects for any proposed 
significant energy action. A ``significant energy action'' is defined 
as any action by an agency that promulgated or is expected to lead to 
promulgation of a final rule, and that: (1) Is a significant regulatory 
action under Executive Order 12866, or any successor order; and (2) is 
likely to have a significant adverse effect on the supply, 
distribution, or use of energy, or (3) is designated by the 
Administrator of OIRA as a significant energy action. For any proposed 
significant energy action, the agency must give a detailed statement of 
any adverse effects on energy supply, distribution, or use should the 
proposal be implemented, and of reasonable alternatives to the action 
and their expected benefits on energy supply, distribution, and use. 
Today's regulatory action would not have a significant adverse effect 
on the supply, distribution, or use of energy and, therefore, is not a 
significant energy action. Accordingly, DOE has not prepared a 
Statement of Energy Effects.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under Section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), the Department must comply with Section 32 of the 
Federal Energy Administration Act of 1974 (FEAA), as amended by the 
Federal Energy Administration Authorization Act of 1977. 15 U.S.C. 788. 
The Department stated in the NOPR the reasons why Section 32 does not 
apply to two of the commercial standards incorporated into the proposed 
rule, ANSI Standard Z21.47-1993 and UL Standard 727-1994. 64 FR 69608. 
The Department did not receive any comments on this issue. The rule 
published today incorporates the UL Standard, as well as an amended 
version of the ANSI Standard. The Department continues to adhere to the 
view expressed in the NOPR that Section 32 of the FEAA does not apply 
to these standards.
    The Department also indicated in the NOPR that Section 32 does 
apply to the other two commercial standards it is incorporating in this 
rule, ASHRAE Standard 103-1993 and HI BTS-2000. 64 FR 69608. As 
required by Section 32(c) of the FEAA, the Department has consulted 
with the Attorney General and the Chairman of the Federal Trade 
Commission concerning the impact of these two standards on competition, 
and neither recommended against incorporation of these standards.

M. Congressional Notification

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

N. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's rule.

List of Subjects in 10 CFR Part 431

    Administrative practice and procedure, Energy conservation, 
Incorporation by reference.

    Issued in Washington, DC, on July 27, 2004.
David K. Garman,
Assistant Secretary, Energy Efficiency and Renewable Energy.


0
For the reasons set forth in the preamble, Part 431 of Chapter II of 
Title 10, Code of Federal Regulations, is amended, as set forth below:

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

0
1. The authority citation for Part 431 continues to read as follows:

    Authority: 42 U.S.C. 6311-6316.

Subpart A--General Provisions

0
2. Section 431.2 of subpart A is revised to read as follows:


Sec.  431.2  Definitions.

    The following definitions apply for purposes of this part. Any 
words or terms not defined in this Section or elsewhere in this Part 
shall be defined as provided in Section 340 of the Act.
    Act means the Energy Policy and Conservation Act of 1975, as 
amended, 42 U.S.C. 6291-6316.
    Btu means British thermal unit, which is the quantity of heat 
required to raise the temperature of one pound of water by one degree 
Fahrenheit.
    Covered equipment means any electric motor, as defined in Sec.  
431.12, or commercial heating, ventilating, and air conditioning, and 
water heating product (HVAC & WH product), as defined in Sec.  431.72.
    DOE or the Department means the U.S. Department of Energy.
    EPCA means the Energy Policy and Conservation Act, as amended, 42 
U.S.C. 6291-6316.
    Gas means propane or natural gas as defined by the Federal Power 
Commission.
    ISO means International Organization for Standardization.
    Manufacture means to manufacture, produce, assemble, or import.
    Manufacturer means any person who manufactures industrial 
equipment, including any manufacturer of a commercial packaged boiler.
    Secretary means the Secretary of Energy.
    State means a State, the District of Columbia, Puerto Rico, or any 
territory or possession of the United States.
    State regulation means a law or regulation of a State or political 
subdivision thereof.

Appendix A to Subpart A--[Removed]

0
3. Appendix A to subpart A of Part 431 is removed.

0
4. Subpart B is revised to read as follows:

Subpart B--Electric Motors

Sec.
431.11 Purpose and scope.
431.12 Definitions.

Test Procedures, Materials Incorporated and Methods of Determining 
Efficiency

431.15 Materials incorporated by reference.
431.16 Test procedures for the measurement of energy efficiency.
431.17 Determination of efficiency.
431.18 Testing laboratories.
431.19 Department of Energy recognition of accreditation bodies.
431.20 Department of Energy recognition of nationally recognized 
certification programs.
431.21 Procedures for recognition and withdrawal of recognition of 
accreditation bodies and certification programs.

Energy Conservation Standards

431.25 Energy conservation standards and effective dates.
431.26 Preemption of State regulations.

Labeling

431.30 Applicability of labeling requirements.
431.31 Labeling requirements.
431.32 Preemption of State regulations.

Certification

431.35 Applicability of certification requirements.
431.36 Compliance Certification.

Appendix A to Subpart B of 10 CFR Part 431--Policy Statement for 
Electric Motors Covered Under the Energy Policy and Conservation Act

[[Page 61924]]

Appendix B to Subpart B of Part 431--Uniform Test Method for 
Measuring Nominal Full Load Efficiency of Electric Motors
Appendix C to Subpart B of Part 431--Compliance Certification

Subpart B--Electric Motors


Sec.  431.11  Purpose and scope.

    This subpart contains energy conservation requirements for electric 
motors. It contains test procedures that EPCA requires DOE to 
prescribe, related requirements, energy conservation standards 
prescribed by EPCA, labeling rules, and compliance procedures. It also 
identifies materials incorporated by reference in this part.


Sec.  431.12  Definitions.

    The following definitions apply for purposes of this subpart, and 
of subparts K through M of this part. Any words or terms not defined in 
this Section or elsewhere in this Part shall be defined as provided in 
Section 340 of the Act.
    Accreditation means recognition by an accreditation body that a 
laboratory is competent to test the efficiency of electric motors 
according to the scope and procedures given in Test Method B of 
Institute of Electrical and Electronics Engineers (IEEE) Standard 112-
1996, Test Procedure for Polyphase Induction Motors and Generators, and 
Test Method (1) of CSA Standard C390-93, Energy Efficient Test Methods 
for Three-Phase Induction Motors. (Incorporated by reference, see Sec.  
431.15)
    Accreditation body means an organization or entity that conducts 
and administers an accreditation system and grants accreditation.
    Accreditation system means a set of requirements to be fulfilled by 
a testing laboratory, as well as rules of procedure and management, 
that are used to accredit laboratories.
    Accredited laboratory means a testing laboratory to which 
accreditation has been granted.
    Alternative efficiency determination method or AEDM means, with 
respect to an electric motor, a method of calculating the total power 
loss and average full load efficiency.
    Average full load efficiency means the arithmetic mean of the full 
load efficiencies of a population of electric motors of duplicate 
design, where the full load efficiency of each motor in the population 
is the ratio (expressed as a percentage) of the motor's useful power 
output to its total power input when the motor is operated at its full 
rated load, rated voltage, and rated frequency.
    Basic model means, with respect to an electric motor, all units of 
a given type of electric motor (or class thereof) manufactured by a 
single manufacturer, and which have the same rating, have electrical 
characteristics that are essentially identical, and do not have any 
differing physical or functional characteristics which affect energy 
consumption or efficiency. For the purpose of this definition, 
``rating'' means one of the 113 combinations of an electric motor's 
horsepower (or standard kilowatt equivalent), number of poles, and open 
or enclosed construction, with respect to which Sec.  431.25 prescribes 
nominal full load efficiency standards.
    Certificate of conformity means a document that is issued by a 
certification program, and that gives written assurance that an 
electric motor complies with the energy efficiency standard applicable 
to that motor, as specified in Sec.  431.25.
    Certification program means a certification system that determines 
conformity by electric motors with the energy efficiency standards 
prescribed by and pursuant to the Act.
    Certification system means a system, that has its own rules of 
procedure and management, for giving written assurance that a product, 
process, or service conforms to a specific standard or other specified 
requirements, and that is operated by an entity independent of both the 
party seeking the written assurance and the party providing the 
product, process or service.
    CSA means CSA International.
    Definite purpose motor means any motor designed in standard ratings 
with standard operating characteristics or standard mechanical 
construction for use under service conditions other than usual, such as 
those specified in National Electrical Manufacturers Association (NEMA) 
Standards Publication MG1-1993 (MG1), Motors and Generators, paragraph 
14.03, ``Unusual Service Conditions,'' (Incorporated by reference, see 
Sec.  431.15) or for use on a particular type of application, and which 
cannot be used in most general purpose applications.
    Electric motor is defined as follows:
    (1) ``Electric motor'' means a machine which converts electrical 
power into rotational mechanical power and which:
    (i) Is a general purpose motor, including but not limited to motors 
with explosion-proof construction;
    (ii) Is a single speed, induction motor (MG1);
    (iii) Is rated for continuous duty (MG1) operation, or is rated 
duty type S1 (International Electrotechnical Commission (IEC));
    (iv) Contains a squirrel-cage (MG1) or cage (IEC) rotor, and has 
foot-mounting, including foot-mounting with flanges or detachable feet;
    (v) Is built in accordance with NEMA T-frame dimensions (MG1), or 
IEC metric equivalents (IEC);
    (vi) Has performance in accordance with NEMA Design A (MG1) or B 
(MG1) characteristics, or equivalent designs such as IEC Design N 
(IEC); and
    (vii) Operates on polyphase alternating current 60-Hertz sinusoidal 
power, and:
    (A) Is rated 230 volts or 460 volts, or both, including any motor 
that is rated at multi-voltages that include 230 volts or 460 volts, or
    (B) Can be operated on 230 volts or 460 volts, or both.
    (2) Terms in this definition followed by the parenthetical ``MG1'' 
must be construed with reference to provisions in NEMA Standards 
Publication MG1-1993, Motors and Generators, with Revisions 1, 2, 3 and 
4, (Incorporated by reference, see Sec.  431.15) as follows:
    (i) Section I, General Standards Applying to All Machines, Part 1, 
Referenced Standards and Definitions, paragraphs 1.16.1, 1.16.1.1, 
1.17.1.1, 1.17.1.2, and 1.40.1 (Incorporated by reference, see Sec.  
431.15) pertain to the terms ``induction motor,'' ``squirrel-cage,'' 
``NEMA Design A,'' ``NEMA Design B,'' and ``continuous duty'' 
respectively;
    (ii) Section I, General Standards Applying to All Machines, Part 4, 
Dimensions, Tolerances, and Mounting, paragraph 4.01 and Figures 4-1, 
4-2, 4-3, and 4-4 (Incorporated by reference, see Sec.  431.15) pertain 
to ``NEMA T-frame dimensions;''
    (iii) Section II, Small (Fractional) and Medium (Integral) 
Machines, Part 11, Dimensions--AC and DC Small and Medium Machines, 
paragraphs 11.01.2, 11.31 (except the lines for frames 447T, 447TS, 
449T and 449TS), 11.32, 11.34 (except the line for frames 447TC and 
449TC, and the line for frames 447TSC and 449TSC), 11.35, and 11.36 
(except the line for frames 447TD and 449TD, and the line for frames 
447TSD and 449TSD), and Table 11-1, (Incorporated by reference, see 
Sec.  431.15) pertain to ``NEMA T-frame dimensions;'' and
    (iv) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 12, Tests and Performance--AC and DC Motors, paragraphs 12.35.1, 
12.35.5, 12.38.1, 12.39.1, and 12.40.1, and Table 12-2, (Incorporated 
by reference, see Sec.  431.15) pertain both to ``NEMA Design A'' and 
``NEMA Design B.'')
    (3) Terms in this definition followed by the parenthetical ``IEC'' 
must be construed with reference to provisions in IEC Standards as 
follows:

[[Page 61925]]

    (i) IEC Standard 60034-1 (1996), Rotating electrical machines, Part 
1: Rating and performance, with Amendment 1 (1997), Section 3: Duty, 
clause 3.2.1 and figure 1 (Incorporated by reference, see Sec.  431.15) 
pertain to ``duty type S1'';
    (ii) IEC Standard 60050-411 (1996), International Electrotechnical 
Vocabulary Chapter 411: Rotating machines, sections 411-33-07 and 411-
37-26, (Incorporated by reference, see Sec.  431.15) pertain to 
``cage'';
    (iii) IEC Standard 60072-1 (1991), Dimensions and output series for 
rotating electrical machines--Part 1: Frame numbers 56 to 400 and 
flange numbers 55 to 1080, clauses 2, 3, 4.1, 6.1, 7, and 10, and 
Tables 1, 2 and 4, (Incorporated by reference, see Sec.  431.15) 
pertain to ``IEC metric equivalents'' to ``T-frame'' dimensions; and
    (iv) IEC Standard 60034-12 (1980), Rotating electrical machines, 
Part 12: Starting performance of single-speed three-phase cage 
induction motors for voltages up to and including 660 V, with Amendment 
1 (1992) and Amendment 2 (1995), clauses 1, 2, 3.1, 4, 5, and 6, and 
Tables I, II, and III, (Incorporated by reference, see Sec.  431.15) 
pertain to ``IEC Design N.''
    Enclosed motor means an electric motor so constructed as to prevent 
the free exchange of air between the inside and outside of the case but 
not sufficiently enclosed to be termed airtight.
    General purpose motor means any motor which is designed in standard 
ratings with either:
    (1) Standard operating characteristics and standard mechanical 
construction for use under usual service conditions, such as those 
specified NEMA Standards Publication MG1-1993, paragraph 14.02, ``Usual 
Service Conditions,'' (Incorporated by reference, see Sec.  431.15) and 
without restriction to a particular application or type of application; 
or
    (2) Standard operating characteristics or standard mechanical 
construction for use under unusual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.03, 
``Unusual Service Conditions,'' (Incorporated by reference, see Sec.  
431.15) or for a particular type of application, and which can be used 
in most general purpose applications.
    IEC means the International Electrotechnical Commission.
    IEEE means the Institute of Electrical and Electronics Engineers, 
Inc.
    NEMA means the National Electrical Manufacturers Association.
    Nominal full load efficiency means, with respect to an electric 
motor, a representative value of efficiency selected from Column A of 
Table 12-8, NEMA Standards Publication MG1-1993, (Incorporated by 
reference, see Sec.  431.15), that is not greater than the average full 
load efficiency of a population of motors of the same design.
    Open motor means an electric motor having ventilating openings 
which permit passage of external cooling air over and around the 
windings of the machine.
    Special purpose motor means any motor, other than a general purpose 
motor or definite purpose motor, which has special operating 
characteristics or special mechanical construction, or both, designed 
for a particular application.
    Total power loss means that portion of the energy used by an 
electric motor not converted to rotational mechanical power, expressed 
in percent.

Test Procedures, Materials Incorporated and Methods of Determining 
Efficiency


Sec.  431.15  Materials incorporated by reference.

    (a) General. We incorporate by reference the following test 
procedures into Subpart B of Part 431. The material listed in paragraph 
(b) of this section has been approved for incorporation by reference by 
the Director of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR 51. Any subsequent amendment to a standard by the standard-
setting organization will not affect the DOE test procedures unless and 
until amended by DOE. Material is incorporated as it exists on the date 
of the approval and a notice of any change in the material will be 
published in the Federal Register.
    (b) List of standards incorporated by reference. (1) The following 
provisions of National Electrical Manufacturers Association Standards 
Publication MG1-1993, Motors and Generators, with Revisions 1, 2, 3 and 
4, IBR approved for Sec. Sec.  431.12; 431.31 and appendix B to subpart 
B of Part 431:
    (i) Section I, General Standards Applying to All Machines, Part 1, 
Referenced Standards and Definitions, paragraphs 1.16.1, 1.16.1.1, 
1.17.1.1, 1.17.1.2, and 1.40.1, IBR approved for Sec.  431.12;
    (ii) Section I, General Standards Applying to All Machines, Part 4, 
Dimensions, Tolerances, and Mounting, paragraph 4.01 and Figures 4-1, 
4-2, 4-3, and 4-4, IBR approved for Sec.  431.12;
    (iii) Section II, Small (Fractional) and Medium (Integral) 
Machines, Part 11, Dimensions--AC and DC Small and Medium Machines, 
paragraphs 11.01.2, 11.31 (except the lines for frames 447T, 447TS, 
449T and 449TS), 11.32, 11.34 (except the line for frames 447TC and 
449TC, and the line for frames 447TSC and 449TSC), 11.35, and 11.36 
(except the line for frames 447TD and 449TD, and the line for frames 
447TSD and 449TSD), and Table 11-1, IBR approved for Sec.  431.12;
    (iv) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 12, Tests and Performance--AC and DC Motors, paragraphs 12.35.1, 
12.35.5, 12.38.1, 12.39.1, and 12.40.1, 12.58.1, and Tables 12-2 and 
12-8, IBR approved for Sec.  431.12; and
    (v) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 14, Application Data--AC and DC Small and Medium Machines, 
paragraphs 14.02 and 14.03, IBR approved for Sec.  431.12.
    (2) Institute of Electrical and Electronics Engineers, Inc., 
Standard 112-1996, Test Procedure for Polyphase Induction Motors and 
Generators, Test Method B, Input-Output with Loss Segregation, and the 
correction to the calculation at item (28) in Section 10.2 Form B-Test 
Method B issued by IEEE on January 20, 1998. (Note: Paragraph 2 of 
appendix A to subpart B of Part 431 sets forth modifications to this 
Standard when it is used for purposes of Part 431 and EPCA, IBR 
approved for Sec. Sec.  431.12; 431.19; 431.20; appendix B to subpart B 
of Part 431.
    (3) CSA International Standard C390-93, Energy Efficiency Test 
Methods for Three-Phase Induction Motors, Test Method (1), Input-Output 
Method With Indirect Measurement of the Stray-Load Loss and Direct 
Measurement of the Stator Winding (I2R), Rotor Winding 
(I2R), Core and Windage-Friction Losses, IBR approved for 
Sec. Sec.  431.12; 431.19; 431.20; appendix B to subpart B of Part 431.
    (4) International Electrotechnical Commission Standard 60034-1 
(1996), Rotating electrical machines, Part 1: Rating and performance, 
with Amendment 1 (1997), Section 3: Duty, clause 3.2.1 and figure 1, 
IBR approved for Sec.  431.12.
    (5) International Electrotechnical Commission Standard 60050-411 
(1996), International Electrotechnical Vocabulary Chapter 411: Rotating 
machines, sections 411-33-07 and 411-37-26, IBR approved for Sec.  
431.12.
    (6) International Electrotechnical Commission Standard 60072-1 
(1991), Dimensions and Output Series for Rotating Electrical Machines--
Part 1: Frame numbers 56 to 400 and flange numbers 55 to 1080, clauses 
2, 3, 4.1,

[[Page 61926]]

6.1, 7, and 10, and Tables 1, 2 and 4, IBR approved for Sec.  431.12.
    (7) International Electrotechnical Commission Standard 60034-12 
(1980), Rotating Electrical Machines, Part 12: Starting performance of 
single-speed three-phase cage induction motors for voltages up to and 
including 660 V, with Amendment 1 (1992) and Amendment 2 (1995), 
clauses 1, 2, 3.1, 4, 5, and 6, and Tables I, II, and III, IBR approved 
for Sec.  431.12.
    (c) Inspection of standards. The standards incorporated by 
reference are available for inspection at:
    (1) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ ibr--locations.html;
    (2) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures, Labeling, 
and Certification Requirements for Electric Motors,'' Docket No. EE-RM-
96-400, Forrestal Building, 1000 Independence Avenue, SW., Washington, 
DC.
    (d) Availability of standards. Standards incorporated by reference 
may be obtained from the following sources:
    (1) Copies of IEEE Standard 112-1996 can be obtained from the 
Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, 
P.O. Box 1331, Piscataway, NJ 08855-1331, 1-800-678-IEEE (4333);
    (2) Copies of NEMA Standards Publication MG1-1993 with Revisions 1, 
2, 3, and 4, and copies of International Electrotechnical Commission 
standards can be obtained from Global Engineering Documents, 15 
Inverness Way East, Englewood, Colorado 80112-5776, 1-800-854-7179 
(within the U.S.) or (303) 397-7956 (international).
    (3) Copies of CSA International Standard C390-93 can be obtained 
from CSA International, 5060 Spectrum Way, Mississauga, Ontario, Canada 
L4W5N6, (416) 747-4044;
    (e) Reference standards--(1) General. The standards listed in this 
paragraph are referred to in the DOE procedures for testing 
laboratories, and recognition of accreditation bodies and certification 
programs but are not incorporated by reference. These sources are given 
here for information and guidance.
    (2) List of references. (i) National Voluntary Laboratory 
Accreditation Program Handbooks 150, ``Procedures and General 
Requirements,'' March 1994, and 150-10, ``Efficiency of Electric 
Motors,'' August 1995. National Voluntary Laboratory Accreditation 
Program, National Institute of Standards and Technology, Gaithersburg, 
MD 20899.
    (ii) ISO/IEC Guide 25, ``General requirements for the competence of 
calibration and testing laboratories.''
    (iii) ISO Guide 27, ``Guidelines for corrective action to be taken 
by a certification body in the event of either misapplication of its 
mark of conformity to a product, or products which bear the mark of the 
certification body being found to subject persons or property to 
risk.''
    (iv) ISO/IEC Guide 28, ``General rules for a model third-party 
certification system for products.''
    (v) ISO/IEC Guide 58, ``Calibration and testing laboratory 
accreditation systems--General requirements for operation and 
recognition.''
    (vi) ISO/IEC Guide 65, ``General requirements for bodies operating 
product certification systems.''


Sec.  431.16  Test procedures for the measurement of energy efficiency.

    For purposes of 10 CFR Part 431 and EPCA, the test procedures for 
measuring the energy efficiency of an electric motor shall be the test 
procedures specified in appendix B to this subpart B.


Sec.  431.17  Determination of efficiency.

    When a party determines the energy efficiency of an electric motor 
in order to comply with an obligation imposed on it by or pursuant to 
Part C of Title III of EPCA, 42 U.S.C. 6311-6316, this Section applies. 
This section does not apply to enforcement testing conducted pursuant 
to Sec.  431.192.
    (a) Provisions applicable to all electric motors--(1) General 
requirements. The average full load efficiency of each basic model of 
electric motor must be determined either by testing in accordance with 
Sec.  431.16 of this subpart, or by application of an alternative 
efficiency determination method (AEDM) that meets the requirements of 
paragraphs (a)(2) and (3) of this section, provided, however, that an 
AEDM may be used to determine the average full load efficiency of one 
or more of a manufacturer's basic models only if the average full load 
efficiency of at least five of its other basic models is determined 
through testing.
    (2) Alternative efficiency determination method. An AEDM applied to 
a basic model must be:
    (i) Derived from a mathematical model that represents the 
mechanical and electrical characteristics of that basic model, and
    (ii) Based on engineering or statistical analysis, computer 
simulation or modeling, or other analytic evaluation of performance 
data.
    (3) Substantiation of an alternative efficiency determination 
method. Before an AEDM is used, its accuracy and reliability must be 
substantiated as follows:
    (i) The AEDM must be applied to at least five basic models that 
have been tested in accordance with Sec.  431.16, and
    (ii) The predicted total power loss for each such basic model, 
calculated by applying the AEDM, must be within plus or minus ten 
percent of the mean total power loss determined from the testing of 
that basic model.
    (4) Subsequent verification of an AEDM. (i) Each manufacturer shall 
periodically select basic models representative of those to which it 
has applied an AEDM, and for each basic model selected shall either:
    (A) Subject a sample of units to testing in accordance with Sec.  
Sec.  431.16 and 431.17(b)(2) by an accredited laboratory that meets 
the requirements of Sec.  431.18;
    (B) Have a certification body recognized under Sec.  431.20 certify 
its nominal full load efficiency; or
    (C) Have an independent state-registered professional engineer, who 
is qualified to perform an evaluation of electric motor efficiency in a 
highly competent manner and who is not an employee of the manufacturer, 
review the manufacturer's representations and certify that the results 
of the AEDM accurately represent the total power loss and nominal full 
load efficiency of the basic model.
    (ii) Each manufacturer that has used an AEDM under this section 
shall have available for inspection by the Department of Energy records 
showing: the method or methods used; the mathematical model, the 
engineering or statistical analysis, computer simulation or modeling, 
and other analytic evaluation of performance data on which the AEDM is 
based; complete test data, product information, and related information 
that the manufacturer has generated or acquired pursuant to paragraphs 
(a)(3) and (a)(4)(i) of this section; and the calculations used to 
determine the average full load efficiency and total power losses of 
each basic model to which the AEDM was applied.
    (iii) If requested by the Department, the manufacturer shall 
conduct simulations to predict the performance of particular basic 
models of electric motors specified by the Department, analyses of 
previous simulations conducted by the manufacturer, sample

[[Page 61927]]

testing of basic models selected by the Department, or a combination of 
the foregoing.
    (5) Use of a certification program or accredited laboratory. (i) A 
manufacturer may have a certification program, that DOE has classified 
as nationally recognized under Sec.  431.20, certify the nominal full 
load efficiency of a basic model of electric motor, and issue a 
certificate of conformity for the motor.
    (ii) For each basic model for which a certification program is not 
used as described in paragraph (a)(5)(i) of this section, any testing 
of the motor pursuant to paragraphs (a)(1) through (3) of this section 
to determine its energy efficiency must be carried out in accordance 
with paragraph (b) of this section, in an accredited laboratory that 
meets the requirements of Sec.  431.18. (This includes testing of the 
basic model, pursuant to paragraph (a)(3)(i) of this section, to 
substantiate an AEDM.)
    (b) Additional testing requirements applicable when a certification 
program is not used--(1) Selection of basic models for testing. (i) 
Basic models must be selected for testing in accordance with the 
following criteria:
    (A) Two of the basic models must be among the five basic models 
with the highest unit volumes of production by the manufacturer in the 
prior year, or during the prior 12 calendar month period beginning in 
1997,\1\ whichever is later;
---------------------------------------------------------------------------

    \1\ In identifying thse five basic models, any electric motor 
that does not comply with Sec.  431.25 shall be excluded from 
consideration.
---------------------------------------------------------------------------

    (B) The basic models should be of different horsepowers without 
duplication;
    (C) The basic models should be of different frame number series 
without duplication; and
    (D) Each basic model should be expected to have the lowest nominal 
full load efficiency among the basic models with the same rating 
(``rating'' as used here has the same meaning as it has in the 
definition of ``basic model'').
    (ii) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, the criteria shall be given priority in the order in which 
they are listed. Within the limits imposed by the criteria, basic 
models shall be selected randomly.
    (2) Selection of units for testing. For each basic model selected 
for testing,\2\ a sample of units shall be selected at random and 
tested. The sample shall be comprised of production units of the basic 
model, or units that are representative of such production units. The 
sample size shall be not fewer than five units, except that when fewer 
than five units of a basic model would be produced over a reasonable 
period of time (approximately 180 days), then each unit shall be 
tested. In a test of compliance with a represented average or nominal 
efficiency:
---------------------------------------------------------------------------

    \2\ Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
consumption continue to satisfy the applicable sampling provision.
---------------------------------------------------------------------------

    (i) The average full-load efficiency of the sample X which is 
defined by
[GRAPHIC] [TIFF OMITTED] TR83AD04.001


where Xi is the measured full-load efficiency of unit i and n is the 
number of units tested, shall satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TR83AD04.002


where RE is the represented nominal full-load efficiency, and
    (ii) The lowest full-load efficiency in the sample Xmin, 
which is defined by
[GRAPHIC] [TIFF OMITTED] TR83AD04.003


shall satisfy the condition
[GRAPHIC] [TIFF OMITTED] TR83AD04.004

    (3) Substantiation of an alternative efficiency determination 
method. The basic models tested under Sec.  431.17(a)(3)(i) must be 
selected for testing in accordance with paragraph (b)(1) of this 
section, and units of each such basic model must be tested in 
accordance with paragraph (b)(2) of this section by an accredited 
laboratory that meets the requirements of Sec.  431.18.


Sec.  431.18  Testing laboratories.

    (a) Testing pursuant to Sec.  431.17(a)(5)(ii) must be conducted in 
an accredited laboratory for which the accreditation body was:
    (1) The National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program (NIST/NVLAP); or
    (2) A laboratory accreditation body having a mutual recognition 
arrangement with NIST/NVLAP; or
    (3) An organization classified by the Department, pursuant to Sec.  
431.19, as an accreditation body.
    (b) NIST/NVLAP is under the auspices of the National Institute of 
Standards and Technology (NIST) which is part of the U.S. Department of 
Commerce. NIST/NVLAP accreditation is granted on the basis of 
conformance with criteria published in 15 CFR Part 285, The National 
Voluntary Laboratory Accreditation Program Procedures and General 
Requirements. NIST Handbook 150-10, August 1995, presents the technical 
requirements of the National Voluntary Laboratory Accreditation Program 
for the Efficiency of Electric Motors field of accreditation. This 
handbook supplements NIST Handbook 150, National Voluntary Laboratory 
Accreditation Program Procedures and General Requirements, which 
contains 15 CFR Part 285 plus all general NIST/NVLAP procedures, 
criteria, and policies. Changes in NIST/NVLAP's criteria, procedures, 
policies, standards or other bases for granting accreditation, 
occurring subsequent to the initial effective date of 10 CFR Part 431, 
shall not apply to accreditation under this Part unless approved in 
writing by the Department of Energy. Information regarding NIST/NVLAP 
and its Efficiency of Electric Motors Program (EEM) can be obtained 
from NIST/NVLAP, 100 Bureau Drive, Mail Stop 2140, Gaithersburg, MD 
20899-2140, telephone (301) 975-4016, or telefax (301) 926-2884.


Sec.  431.19  Department of Energy recognition of accreditation bodies.

    (a) Petition. To be classified by the Department of Energy as an 
accreditation body, an organization must submit a petition to the 
Department requesting such classification, in accordance with paragraph 
(c) of this section and Sec.  431.21. The petition must demonstrate 
that the organization meets the criteria in paragraph (b) of this 
section.
    (b) Evaluation criteria. To be classified as an accreditation body 
by the Department, the organization must meet the following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering an accreditation system and for granting 
accreditation. This must include provisions for periodic audits to 
verify that the laboratories receiving its accreditation continue to 
conform to the criteria by which they were initially accredited, and 
for withdrawal of accreditation where such conformance does not occur, 
including failure to provide accurate test results.
    (2) It must be independent of electric motor manufacturers, 
importers, distributors, private labelers or vendors. It cannot be 
affiliated with, have financial ties with, be controlled by, or be 
under common control with any such entity.

[[Page 61928]]

    (3) It must be qualified to perform the accrediting function in a 
highly competent manner.
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-1996 Test Method B 
and CSA Standard C390-93 Test Method (1), (Incorporated by reference, 
see Sec.  431.15) or similar procedures and methodologies for 
determining the energy efficiency of electric motors.
    (c) Petition format. Each petition requesting classification as an 
accreditation body must contain a narrative statement as to why the 
organization meets the criteria set forth in paragraph (b) of this 
section, must be signed on behalf of the organization by an authorized 
representative, and must be accompanied by documentation that supports 
the narrative statement. The following provides additional guidance:
    (1) Standards and procedures. A copy of the organization's 
standards and procedures for operating an accreditation system and for 
granting accreditation should accompany the petition.
    (2) Independent status. The petitioning organization should 
identify and describe any relationship, direct or indirect, that it has 
with an electric motor manufacturer, importer, distributor, private 
labeler, vendor, trade association or other such entity, as well as any 
other relationship it believes might appear to create a conflict of 
interest for it in performing as an accreditation body for electric 
motor testing laboratories. It should explain why it believes such 
relationship(s) would not compromise its independence as an 
accreditation body.
    (3) Qualifications to do accrediting. Experience in accrediting 
should be discussed and substantiated by supporting documents. Of 
particular relevance would be documentary evidence that establishes 
experience in the application of guidelines contained in the ISO/IEC 
Guide 58, Calibration and testing laboratory accreditation systems--
General requirements for operation and recognition, as well as 
experience in overseeing compliance with the guidelines contained in 
the ISO/IEC Guide 25, General Requirements for the Competence of 
Calibration and Testing Laboratories.
    (4) Expertise in electric motor test procedures. The petition 
should set forth the organization's experience with the test procedures 
and methodologies in IEEE Standard 112-1996 Test Method B and CSA 
Standard C390-93 Test Method (1), (Incorporated by reference, see Sec.  
431.15) and with similar procedures and methodologies. This part of the 
petition should include description of prior projects, qualifications 
of staff members, and the like. Of particular relevance would be 
documentary evidence that establishes experience in applying the 
guidelines contained in the ISO/IEC Guide 25, General Requirements for 
the Competence of Calibration and Testing Laboratories, to energy 
efficiency testing for electric motors.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  431.21, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section to be classified as 
an accrediting body.


Sec.  431.20  Department of Energy recognition of nationally recognized 
certification programs.

    (a) Petition. For a certification program to be classified by the 
Department of Energy as being nationally recognized in the United 
States for the purposes of Section 345(c) of EPCA (``nationally 
recognized''), the organization operating the program must submit a 
petition to the Department requesting such classification, in 
accordance with paragraph (c) of this Section and Sec.  431.21. The 
petition must demonstrate that the program meets the criteria in 
paragraph (b) of this section.
    (b) Evaluation criteria. For a certification program to be 
classified by the Department as nationally recognized, it must meet the 
following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering a certification system, including periodic 
follow up activities to assure that basic models of electric motor 
continue to conform to the efficiency levels for which they were 
certified, and for granting a certificate of conformity.
    (2) It must be independent of electric motor manufacturers, 
importers, distributors, private labelers or vendors. It cannot be 
affiliated with, have financial ties with, be controlled by, or be 
under common control with any such entity.
    (3) It must be qualified to operate a certification system in a 
highly competent manner.
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-1996 Test Method B 
and CSA Standard C390-93 Test Method (1), (Incorporated by reference, 
see Sec.  431.15) or similar procedures and methodologies for 
determining the energy efficiency of electric motors. It must have 
satisfactory criteria and procedures for the selection and sampling of 
electric motors tested for energy efficiency.
    (c) Petition format. Each petition requesting classification as a 
nationally recognized certification program must contain a narrative 
statement as to why the program meets the criteria listed in paragraph 
(b) of this section, must be signed on behalf of the organization 
operating the program by an authorized representative, and must be 
accompanied by documentation that supports the narrative statement. The 
following provides additional guidance as to the specific criteria:
    (1) Standards and procedures. A copy of the standards and 
procedures for operating a certification system and for granting a 
certificate of conformity should accompany the petition.
    (2) Independent status. The petitioning organization should 
identify and describe any relationship, direct or indirect, that it or 
the certification program has with an electric motor manufacturer, 
importer, distributor, private labeler, vendor, trade association or 
other such entity, as well as any other relationship it believes might 
appear to create a conflict of interest for the certification program 
in operating a certification system for compliance by electric motors 
with energy efficiency standards. It should explain why it believes 
such relationship would not compromise its independence in operating a 
certification program.
    (3) Qualifications to operate a certification system. Experience in 
operating a certification system should be discussed and substantiated 
by supporting documents. Of particular relevance would be documentary 
evidence that establishes experience in the application of guidelines 
contained in the ISO/IEC Guide 65, General requirements for bodies 
operating product certification systems, ISO/IEC Guide 27, Guidelines 
for corrective action to be taken by a certification body in the event 
of either misapplication of its mark of conformity to a product, or 
products which bear the mark of the certification body being found to 
subject persons or property to risk, and ISO/IEC Guide 28, General 
rules for a model third-party certification system for products, as 
well as experience in overseeing compliance with the guidelines 
contained in the ISO/IEC Guide 25, General requirements for the 
competence of calibration and testing laboratories.
    (4) Expertise in electric motor test procedures. The petition 
should set forth the program's experience with the test procedures and 
methodologies in IEEE Standard 112-1996 Test Method B

[[Page 61929]]

and CSA Standard C390-93 Test Method (1), (Incorporated by reference, 
see Sec.  431.15) and with similar procedures and methodologies. This 
part of the petition should include description of prior projects, 
qualifications of staff members, and the like. Of particular relevance 
would be documentary evidence that establishes experience in applying 
guidelines contained in the ISO/IEC Guide 25, General requirements for 
the competence of calibration and testing laboratories, to energy 
efficiency testing for electric motors.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  431.21, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as a nationally recognized certification program.


Sec.  431.21  Procedures for recognition and withdrawal of recognition 
of accreditation bodies and certification programs.

    (a) Filing of petition. Any petition submitted to the Department 
pursuant to Sec. Sec.  431.19(a) or 431.20(a), shall be entitled 
``Petition for Recognition'' (``Petition'') and must be submitted, in 
triplicate to the Assistant Secretary for Energy Efficiency and 
Renewable Energy, U.S. Department of Energy, Forrestal Building, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. In accordance with 
the provisions set forth in 10 CFR 1004.11, any request for 
confidential treatment of any information contained in such a Petition 
or in supporting documentation must be accompanied by a copy of the 
Petition or supporting documentation from which the information claimed 
to be confidential has been deleted.
    (b) Public notice and solicitation of comments. DOE shall publish 
in the Federal Register the Petition from which confidential 
information, as determined by DOE, has been deleted in accordance with 
10 CFR 1004.11 and shall solicit comments, data and information on 
whether the Petition should be granted. The Department shall also make 
available for inspection and copying the Petition's supporting 
documentation from which confidential information, as determined by 
DOE, has been deleted in accordance with 10 CFR 1004.11. Any person 
submitting written comments to DOE with respect to a Petition shall 
also send a copy of such comments to the petitioner.
    (c) Responsive statement by the petitioner. A petitioner may, 
within 10 working days of receipt of a copy of any comments submitted 
in accordance with paragraph (b) of this section, respond to such 
comments in a written statement submitted to the Assistant Secretary 
for Energy Efficiency and Renewable Energy. A petitioner may address 
more than one set of comments in a single responsive statement.
    (d) Public announcement of interim determination and solicitation 
of comments. The Assistant Secretary for Energy Efficiency and 
Renewable Energy shall issue an interim determination on the Petition 
as soon as is practicable following receipt and review of the Petition 
and other applicable documents, including, but not limited to, comments 
and responses to comments. The petitioner shall be notified in writing 
of the interim determination. DOE shall also publish in the Federal 
Register the interim determination and shall solicit comments, data and 
information with respect to that interim determination. Written 
comments and responsive statements may be submitted as provided in 
paragraphs (b) and (c) of this section.
    (e) Public announcement of final determination. The Assistant 
Secretary for Energy Efficiency and Renewable Energy shall as soon as 
practicable, following receipt and review of comments and responsive 
statements on the interim determination, publish in the Federal 
Register a notice of final determination on the Petition.
    (f) Additional information. The Department may, at any time during 
the recognition process, request additional relevant information or 
conduct an investigation concerning the Petition. The Department's 
determination on a Petition may be based solely on the Petition and 
supporting documents, or may also be based on such additional 
information as the Department deems appropriate.
    (g) Withdrawal of recognition--(1) Withdrawal by the Department. If 
the Department believes that an accreditation body or certification 
program that has been recognized under Sec. Sec.  431.19 or 431.20, 
respectively, is failing to meet the criteria of paragraph (b) of the 
section under which it is recognized, the Department will so advise 
such entity and request that it take appropriate corrective action. The 
Department will give the entity an opportunity to respond. If after 
receiving such response, or no response, the Department believes 
satisfactory correction has not been made, the Department will withdraw 
its recognition from that entity.
    (2) Voluntary withdrawal. An accreditation body or certification 
program may withdraw itself from recognition by the Department by 
advising the Department in writing of such withdrawal. It must also 
advise those that use it (for an accreditation body, the testing 
laboratories, and for a certification organization, the manufacturers) 
of such withdrawal.
    (3) Notice of withdrawal of recognition. The Department will 
publish in the Federal Register a notice of any withdrawal of 
recognition that occurs pursuant to this paragraph.

Energy Conservation Standards


Sec.  431.25  Energy conservation standards and effective dates.

    (a) Each electric motor manufactured (alone or as a component of 
another piece of equipment) after October 24, 1997, or in the case of 
an electric motor which requires listing or certification by a 
nationally recognized safety testing laboratory, after October 24, 
1999, shall have a nominal full load efficiency of not less than the 
following:

----------------------------------------------------------------------------------------------------------------
                                                            Nominal full load efficiency
                                   -----------------------------------------------------------------------------
    Motor horsepower/ standard          Open motors (number of poles)        Enclosed motors (number of poles)
        kilowatt equivalent        -----------------------------------------------------------------------------
                                         6            4            2            6            4            2
----------------------------------------------------------------------------------------------------------------
1 / .75...........................         80.0         82.5  ...........         80.0         82.5         75.5
1.5 / 1.1.........................         84.0         84.0         82.5         85.5         84.0         82.5
2 / 1.5...........................         85.5         84.0         84.0         86.5         84.0         84.0
3 / 2.2...........................         86.5         86.5         84.0         87.5         87.5         85.5
5 / 3.7...........................         87.5         87.5         85.5         87.5         87.5         87.5
7.5 / 5.5.........................         88.5         88.5         87.5         89.5         89.5         88.5
10 / 7.5..........................         90.2         89.5         88.5         89.5         89.5         89.5
15 / 11...........................         90.2         91.0         89.5         90.2         91.0         90.2
20 / 15...........................         91.0         91.0         90.2         90.2         91.0         90.2

[[Page 61930]]

 
25 / 18.5.........................         91.7         91.7         91.0         91.7         92.4         91.0
30 / 22...........................         92.4         92.4         91.0         91.7         92.4         91.0
40 / 30...........................         93.0         93.0         91.7         93.0         93.0         91.7
50 / 37...........................         93.0         93.0         92.4         93.0         93.0         92.4
60 / 45...........................         93.6         93.6         93.0         93.6         93.6         93.0
75 / 55...........................         93.6         94.1         93.0         93.6         94.1         93.0
100 / 75..........................         94.1         94.1         93.0         94.1         94.5         93.6
125 / 90..........................         94.1         94.5         93.6         94.1         94.5         94.5
150 / 110.........................         94.5         95.0         93.6         95.0         95.0         94.5
200 / 150.........................         94.5         95.0         94.5         95.0         95.0         95.0
----------------------------------------------------------------------------------------------------------------

    (b) For purposes of determining the required minimum nominal full 
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepowers or kilowattages listed consecutively in 
paragraph (a) of this section, each such motor shall be deemed to have 
a horsepower or kilowatt rating that is listed in paragraph (a) of this 
section. The rating that the motor is deemed to have shall be 
determined as follows:
    (1) A horsepower at or above the midpoint between the two 
consecutive horsepowers shall be rounded up to the higher of the two 
horsepowers;
    (2) A horsepower below the midpoint between the two consecutive 
horsepowers shall be rounded down to the lower of the two horsepowers, 
or
    (3) A kilowatt rating shall be directly converted from kilowatts to 
horsepower using the formula, 1 kilowatt = (1 / 0.746) horsepower, 
without calculating beyond three significant decimal places, and the 
resulting horsepower shall be rounded in accordance with paragraphs 
(b)(1) or (b)(2) of this section, whichever applies.
    (c) This section does not apply to definite purpose motors, special 
purpose motors, and those motors exempted by the Secretary.


Sec.  431.26  Preemption of State regulations.

    Any State regulation providing for any energy conservation 
standard, or other requirement with respect to the energy efficiency or 
energy use, of an electric motor that is not identical to a Federal 
standard in effect under this subpart is preempted by that standard, 
except as provided for in Section 345(a) and 327(b) and (c) of the Act.

Labeling


Sec.  431.30  Applicability of labeling requirements.

    The labeling rules in Sec.  431.31, established pursuant to Section 
344 of EPCA, 42 U.S.C. 6315, apply only to electric motors manufactured 
after October 5, 2000.


Sec.  431.31  Labeling requirements.

    (a) Electric motor nameplate--(1) Required information. The 
permanent nameplate of an electric motor for which standards are 
prescribed in Sec.  431.25 must be marked clearly with the following 
information:
    (i) The motor's nominal full load efficiency (as of the date of 
manufacture), derived from the motor's average full load efficiency as 
determined pursuant to this subpart; and
    (ii) A Compliance Certification number (``CC number'') supplied by 
DOE to the manufacturer or private labeler, pursuant to Sec.  
431.36(f), and applicable to that motor. Such CC number must be on the 
nameplate of a motor beginning 90 days after either:
    (A) The manufacturer or private labeler has received the number 
upon submitting a Compliance Certification covering that motor, or
    (B) The expiration of 21 days from DOE's receipt of a Compliance 
Certification covering that motor, if the manufacturer or private 
labeler has not been advised by DOE that the Compliance Certification 
fails to satisfy Sec.  431.36.
    (2) Display of required information. All orientation, spacing, type 
sizes, type faces, and line widths to display this required information 
shall be the same as or similar to the display of the other performance 
data on the motor's permanent nameplate. The nominal full load 
efficiency shall be identified either by the term ``Nominal 
Efficiency'' or ``Nom. Eff.'' or by the terms specified in paragraph 
12.58.2 of NEMA MG1-1993, (Incorporated by reference, see Sec.  431.15) 
as for example ``NEMA Nom. Eff. --------.'' The DOE number shall be in 
the form ``CC--------.
    (3) Optional display. The permanent nameplate of an electric motor, 
a separate plate, or decalcomania, may be marked with the encircled 
lower case letters ``ee'', for example,
[GRAPHIC] [TIFF OMITTED] TR83AD04.000


or with some comparable designation or logo, if the motor meets the 
applicable standard prescribed in Sec.  431.25, as determined pursuant 
to this subpart, and is covered by a Compliance Certification that 
satisfies Sec.  431.36.
    (b) Disclosure of efficiency information in marketing materials. 
(1) The same information that must appear on an electric motor's 
permanent nameplate pursuant to paragraph (a)(1) of this section, shall 
be prominently displayed:
    (i) On each page of a catalog that lists the motor; and
    (ii) In other materials used to market the motor.
    (2) The ``ee'' logo, or other similar logo or designations, may 
also be used in catalogs and other materials to the same extent they 
may be used on labels under paragraph (a)(3) of this section.


Sec.  431.32  Preemption of State regulations.

    The provisions of Sec.  431.31 supersede any State regulation to 
the extent required by Section 327 of the Act. Pursuant to the Act, all 
State regulations that require the disclosure for any electric motor of 
information with respect to energy consumption, other than the 
information required to be disclosed in accordance with this part, are 
superseded.

Certification


Sec.  431.35  Applicability of certification requirements.

    Section 431.36 sets forth the procedures for manufacturers to 
certify that electric motors comply with the applicable energy 
efficiency standards set forth in this subpart.


Sec.  431.36  Compliance Certification.

    (a) General. Beginning April 26, 2003, a manufacturer or private 
labeler shall

[[Page 61931]]

not distribute in commerce any basic model of an electric motor which 
is subject to an energy efficiency standard set forth in this subpart 
unless it has submitted to the Department a Compliance Certification 
certifying, in accordance with the provisions of this section, that the 
basic model meets the requirements of the applicable standard. The 
representations in the Compliance Certification must be based upon the 
basic model's energy efficiency as determined in accordance with the 
applicable requirements of this subpart. This means, in part, that 
either:
    (1) The representations as to the basic model must be based on use 
of a certification organization; or
    (2) Any testing of the basic model on which the representations are 
based must be conducted at an accredited laboratory.
    (b) Required contents--(1) General representations. Each Compliance 
Certification must certify that:
    (i) The nominal full load efficiency for each basic model of 
electric motor distributed is not less than the minimum nominal full 
load efficiency required for that motor by Sec.  431.25;
    (ii) All required determinations on which the Compliance 
Certification is based were made in compliance with the applicable 
requirements prescribed in this subpart;
    (iii) All information reported in the Compliance Certification is 
true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act and the regulations thereunder, 
and of 18 U.S.C. 1001 which prohibits knowingly making false statements 
to the Federal Government.
    (2) Specific data. (i) For each rating of electric motor (as the 
term ``rating'' is defined in the definition of basic model) which a 
manufacturer or private labeler distributes, the Compliance 
Certification must report the nominal full load efficiency, determined 
pursuant to Sec.  Sec.  431.16 and 431.17, of the least efficient basic 
model within that rating.
    (ii) The Compliance Certification must identify the basic models on 
which actual testing has been performed to meet the requirements of 
Sec.  431.17.
    (iii) The format for a Compliance Certification is set forth in 
appendix C of this subpart.
    (c) Optional contents. In any Compliance Certification, a 
manufacturer or private labeler may at its option request that DOE 
provide it with a unique Compliance Certification number (``CC 
number'') for any brand name, trademark or other label name under which 
the manufacturer or private labeler distributes electric motors covered 
by the Certification. Such a Compliance Certification must also 
identify all other names, if any, under which the manufacturer or 
private labeler distributes electric motors, and to which the request 
does not apply.
    (d) Signature and submission. A manufacturer or private labeler 
must submit the Compliance Certification either on its own behalf, 
signed by a corporate officer of the company, or through a third party 
(for example, a trade association or other authorized representative) 
acting on its behalf. Where a third party is used, the Compliance 
Certification must identify the official of the manufacturer or private 
labeler who authorized the third party to make representations on the 
company's behalf, and must be signed by a corporate official of the 
third party. The Compliance Certification must be submitted to the 
Department by certified mail, to Department of Energy, Assistant 
Secretary for Energy Efficiency and Renewable Energy, Building 
Technologies (EE-2J), Forrestal Building, 1000 Independence Avenue, 
SW., Washington, DC 20585-0121.
    (e) New basic models. For electric motors, a Compliance 
Certification must be submitted for a new basic model only if the 
manufacturer or private labeler has not previously submitted to DOE a 
Compliance Certification, that meets the requirements of this section, 
for a basic model that has the same rating as the new basic model, and 
that has a lower nominal full load efficiency than the new basic model.
    (f) Response to Compliance Certification; Compliance Certification 
Number (CC number)--(1) DOE processing of Certification. Promptly upon 
receipt of a Compliance Certification, the Department will determine 
whether the document contains all of the elements required by this 
section, and may, in its discretion, determine whether all or part of 
the information provided in the document is accurate. The Department 
will then advise the submitting party in writing either that the 
Compliance Certification does not satisfy the requirements of this 
section, in which case the document will be returned, or that the 
Compliance Certification satisfies this section. The Department will 
also advise the submitting party of the basis for its determination.
    (2) Issuance of CC number(s). (i) Initial Compliance Certification. 
When DOE advises that the initial Compliance Certification submitted by 
or on behalf of a manufacturer or private labeler is acceptable, 
either:
    (A) DOE will provide a single unique CC number, ``CC--------,'' to 
the manufacturer or private labeler, and such CC number shall be 
applicable to all electric motors distributed by the manufacturer or 
private labeler, or
    (B) When required by paragraph (f)(3) of this section, DOE will 
provide more than one CC number to the manufacturer or private labeler.
    (ii) Subsequent Compliance Certification. When DOE advises that any 
other Compliance Certification is acceptable, it will provide a unique 
CC number for any brand name, trademark or other name when required by 
paragraph (f)(3) of this section.
    (iii) When DOE declines to provide a CC number as requested by a 
manufacturer or private labeler in accordance with Sec.  431.36(c), DOE 
will advise the requester of the reasons for such refusal.
    (3) Issuance of two or more CC numbers. (i) DOE will provide a 
unique CC number for each brand name, trademark or other label name for 
which a manufacturer or private labeler requests such a number in 
accordance with Sec.  431.36(c), except as follows. DOE will not 
provide a CC number for any brand name, trademark or other label name
    (A) For which DOE has previously provided a CC number, or
    (B) That duplicates or overlaps with other names under which the 
manufacturer or private labeler sells electric motors.
    (ii) Once DOE has provided a CC number for a particular name, that 
shall be the only CC number applicable to all electric motors 
distributed by the manufacturer or private labeler under that name.
    (iii) If the Compliance Certification in which a manufacturer or 
private labeler requests a CC number is the initial Compliance 
Certification submitted by it or on its behalf, and it distributes 
electric motors not covered by the CC number(s) DOE provides in 
response to the request(s), DOE will also provide a unique CC number 
that shall be applicable to all of these other motors.

Appendix A to Subpart B of 10 CFR Part 431, Policy Statement for 
Electric Motors Covered Under the Energy Policy and Conservation Act

    This is a reprint of a policy statement which was published on 
November 5, 1997 at 62 FR 59978.

Policy Statement for Electric Motors Covered Under the Energy 
Policy and Conservation Act

I. Introduction

    The Energy Policy and Conservation Act (EPCA), 42 U.S.C. 6311, 
et seq., establishes

[[Page 61932]]

energy efficiency standards and test procedures for certain 
commercial and industrial electric motors manufactured (alone or as 
a component of another piece of equipment) after October 24, 1997, 
or, in the case of an electric motor which requires listing or 
certification by a nationally recognized safety testing laboratory, 
after October 24, 1999.\1\ EPCA also directs the Department of 
Energy (DOE or Department) to implement the statutory test 
procedures prescribed for motors, and to require efficiency labeling 
of motors and certification that covered motors comply with the 
standards.
---------------------------------------------------------------------------

    \1\ The term ``manufacture'' means ``to manufacture, produce, 
assemble or import.'' EPCA Sec.  321(10). Thus, the standards apply 
to motors produced, assembled, imported or manufactured after these 
statutory deadlines.
---------------------------------------------------------------------------

    Section 340(13)(A) of EPCA defines the term ``electric motor'' 
based essentially on the construction and rating system in the 
National Electrical Manufacturers Association (NEMA) Standards 
Publication MG1. Sections 340(13)(B) and (c) of EPCA define the 
terms ``definite purpose motor'' and ``special purpose motor,'' 
respectively, for which the statute prescribes no efficiency 
standards.
    In its proposed rule to implement the EPCA provisions that apply 
to motors (61 FR 60440, November 27, 1996), DOE has proposed to 
clarify the statutory definition of ``electric motor,'' to mean a 
machine which converts electrical power into rotational mechanical 
power and which: (1) Is a general purpose motor, including motors 
with explosion-proof construction \2\; (2) is a single speed, 
induction motor; (3) is rated for continuous duty operation, or is 
rated duty type S-1 (IEC) \3\; (4) contains a squirrel-cage or cage 
(IEC) rotor; (5) has foot-mounting, including foot-mounting with 
flanges or detachable feet; (6) is built in accordance with NEMA T-
frame dimensions, or IEC metric equivalents (IEC); (7) has 
performance in accordance with NEMA Design A or B characteristics, 
or equivalent designs such as IEC Design N (IEC); and (8) operates 
on polyphase alternating current 60-Hertz sinusoidal power, and is 
(i) rated 230 volts or 460 volts, or both, including any motor that 
is rated at multi-voltages that include 230 volts or 460 volts, or 
(ii) can be operated on 230 volts or 460 volts, or both.
---------------------------------------------------------------------------

    \2\ Section 342(b)(1) of EPCA recognizes that EPCA's efficiency 
standards cover ``motors which require listing or certification by a 
nationally recognized safety testing laboratory.'' This applies, for 
example, to explosion-proof motors which are otherwise general 
purpose motors.
    \3\ Terms followed by the parenthetical ``IEC'' are referred to 
in the International Electrotechnical Commission (IEC) Standard 34-
1. Such terms are included in DOE's proposed definition of 
``electric motor'' because DOE believes EPCA's efficiency 
requirements apply to metric system motors that conform to IEC 
Standard 34, and that are identical or equivalent to motors 
constructed in accordance with NEMA MG1 and covered by the statute.
---------------------------------------------------------------------------

    Notwithstanding the clarification provided in the proposed rule, 
there still appears to be uncertainty as to which motors EPCA 
covers. It is widely understood that the statute covers ``general 
purpose'' motors that are manufactured for a variety of 
applications, and that meet EPCA's definition of ``electric motor.'' 
Many modifications, however, can be made to such generic motors. 
Motor manufacturers have expressed concern as to precisely which 
motors with such modifications are covered under the statute, and as 
to whether manufacturers will be able to comply with the statute by 
October 25, 1997 with respect to all of these covered motors. 
Consequently, motor manufacturers have requested that the Department 
provide additional guidance as to which types of motors are 
``electric motors,'' ``definite purpose motors,'' and ``special 
purpose motors'' under EPCA. The policy statement that follows is 
based upon input from motor manufacturers and energy efficiency 
advocates, and provides such guidance.

II. Guidelines for Determining Whether a Motor Is Covered by EPCA

A. General

    EPCA specifies minimum nominal full-load energy efficiency 
standards for 1 to 200 horsepower electric motors, and, to measure 
compliance with those standards, prescribes use of the test 
procedures in NEMA Standard MG1 and Institute of Electrical and 
Electronics Engineers, Inc., (IEEE) Standard 112. In DOE's view, as 
stated in Assistant Secretary Ervin's letter of May 9, 1996, to 
NEMA's Malcolm O'Hagan, until DOE's regulations become effective, 
manufacturers can establish compliance with these EPCA requirements 
through use of competent and reliable procedures or methods that 
give reasonable assurance of such compliance. So long as these 
criteria are met, manufacturers may conduct required testing in 
their own laboratories or in independent laboratories, and may 
employ alternative correlation methods (in lieu of actual testing) 
for some motors. Manufacturers may also establish their compliance 
with EPCA standards and test procedures through use of third party 
certification or verification programs such as those recognized by 
Natural Resources Canada. Labeling and certification requirements 
will become effective only after DOE has promulgated a final rule 
prescribing such requirements.
    Motors with features or characteristics that do not meet the 
statutory definition of ``electric motor'' are not covered, and 
therefore are not required to meet EPCA requirements. Examples 
include motors without feet and without provisions for feet, and 
variable speed motors operated on a variable frequency power supply. 
Similarly, multi speed motors and variable speed motors, such as 
inverter duty motors, are not covered equipment, based on their 
intrinsic design for use at variable speeds. However, NEMA Design A 
or B motors that are single speed, meet all other criteria under the 
definitions in EPCA for covered equipment, and can be used with an 
inverter in variable speed applications as an additional feature, 
are covered equipment under EPCA. In other words, being suitable for 
use on an inverter by itself does not exempt a motor from EPCA 
requirements.
    Section 340(13)(F) of EPCA, defines a ``small electric motor'' 
as ``a NEMA general purpose alternating current single-speed 
induction motor, built in a two-digit frame number series in 
accordance with NEMA Standards Publication MG 1-1987.'' Section 346 
of EPCA requires DOE to prescribe testing requirements and 
efficiency standards only for those small electric motors for which 
the Secretary determines that standards are warranted. The 
Department has not yet made such a determination.

B. Electrical Features

    As noted above, the Department's proposed definition of 
``electric motor'' provides in part that it is a motor that 
``operates on polyphase alternating current 60-Hertz sinusoidal 
power, and * * * can be operated on 230 volts or 460 volts, or 
both.'' In DOE's view, ``can be operated'' implicitly means that the 
motor can be operated successfully. According to NEMA Standards 
Publication MG1-1993, paragraph 12.44, ``Variations from Rated 
Voltage and Rated Frequency,'' alternating-current motors must 
operate successfully under running conditions at rated load with a 
variation in the voltage or the frequency up to the following: Plus 
or minus 10 percent of rated voltage, with rated frequency for 
induction motors; \4\ plus or minus 5 percent of rated frequency, 
with rated voltage; and a combined variation in voltage and 
frequency of 10 percent (sum of absolute values) of the rated 
values, provided the frequency variation does not exceed plus or 
minus 5 percent of rated frequency. DOE believes that, for purposes 
of determining whether a motor meets EPCA's definition of ``electric 
motor,'' these criteria should be used to determine when a motor 
that is not rated at 230 or 460 volts or 60 Hertz can be operated at 
such voltage and frequency.\5\
---------------------------------------------------------------------------

    \4\ For example, a motor that is rated at 220 volts should 
operate successfully on 230 volts, since 220 + .10(220) = 242 volts. 
A 208 volt motor, however, would not be expected to operate 
successfully on 230 volts, since 208 + .10(208) = 228.8 volts.
    \5\ The Department understands that a motor that can operate at 
such voltage and frequency, based on variations defined for 
successful operation, will not necessarily perform in accordance 
with the industry standards established for operation at the motor's 
rated voltage and frequency. In addition, under the test procedures 
prescribed by EPCA, motors are to be tested at their rated values. 
Therefore, in DOE's view a motor that is not rated for 230 or 460 
volts, or 60 Hertz, but that can be successfully operated at these 
levels, must meet the energy efficiency requirements at its rated 
voltage(s) and frequency. DOE also notes that when a motor is rated 
to include a wider voltage range that includes 230/460 volts, the 
motor should meet the energy efficiency requirements at 230 volts or 
460 volts.
---------------------------------------------------------------------------

    NEMA Standards Publication MG1 categorizes electrical 
modifications to motors according to performance characteristics 
that include locked rotor torque, breakdown torque, pull-up torque, 
locked rotor current, and slip at rated load, and assigns design 
letters, such as Design A, B, C, D, or E, to identify various 
combinations of such electrical performance characteristics. Under 
Section 340(13)(A) of EPCA, electric motors subject to EPCA 
efficiency requirements include only motors that fall within NEMA 
``Design A and B * * * as defined in [NEMA] Standards Publication 
MG1-1987.'' As to locked rotor torque, for example, MG1 specifies a 
minimum performance value for a Design A or B motor of a given speed 
and

[[Page 61933]]

horsepower, and somewhat higher minimum values for Design C and D 
motors of the same speed and horsepower. The Department understands 
that, under MG1, the industry classifies a motor as Design A or B if 
it has a locked rotor torque at or above the minimum for A and B but 
below the minimum for Design C, so long as it otherwise meets the 
criteria for Design A or B. Therefore, in the Department's view, 
such a motor is covered by EPCA's requirements for electric motors. 
By contrast a motor that meets or exceeds the minimum locked rotor 
torque for Design C or D is not covered by EPCA. In sum, if a motor 
has electrical modifications that meet Design A or B performance 
requirements it is covered by EPCA, and if its characteristics meet 
Design C, D or E it is not covered.

C. Size

    Motors designed for use on a particular type of application 
which are in a frame size that is one or more frame series larger 
than the frame size assigned to that rating by sections 1.2 and 1.3 
of NEMA Standards Publication MG 13-1984 (R1990), ``Frame 
Assignments for Alternating Current Integral-Horsepower Induction 
Motors,'' are not, in the Department's view, usable in most general 
purpose applications. This is due to the physical size increase 
associated with a frame series change. A frame series is defined as 
the first two digits of the frame size designation. For example, 
324T and 326T are both in the same frame series, while 364T is in 
the next larger frame series. Hence, in the Department's view, a 
motor that is of a larger frame series than normally assigned to 
that standard rating of motor is not covered by EPCA. A physically 
larger motor within the same frame series would be covered, however, 
because it would be usable in most general purpose applications.
    Motors built in a T-frame series or a T-frame size smaller than 
that assigned by MG 13-1984 (R1990) are also considered usable in 
most general purpose applications. This is because simple 
modifications can generally be made to fit a smaller motor in place 
of a motor with a larger frame size assigned in conformity with NEMA 
MG 13. Therefore, DOE believes that such smaller motors are covered 
by EPCA.

D. Motors With Seals

    Some electric motors have seals to prevent ingress of water, 
dust, oil, and other foreign materials into the motor. DOE 
understands that, typically, a manufacturer will add seals to a 
motor that it manufactures, so that it will sell two motors that are 
identical except that one has seals and the other does not. In such 
a situation, if the motor without seals is ``general purpose'' and 
covered by EPCA's efficiency requirements, then the motor with seals 
will also be covered because it can still be used in most general 
purpose applications. DOE understands, however, that manufacturers 
previously believed motors with seals were not covered under EPCA, 
in part because IEEE Standard 112, ``Test Procedure for Polyphase 
Induction Motors and Generators,'' prescribed by EPCA, does not 
address how to test a motor with seals installed.
    The efficiency rating of such a motor, if determined with seals 
installed and when the motor is new, apparently would significantly 
understate the efficiency of the motor as operated. New seals are 
stiff, and provide friction that is absent after their initial 
break-in period. DOE understands that, after this initial period, 
the efficiency ratings determined for the same motor with and 
without seals would be virtually identical. To construe EPCA, 
therefore, as requiring such separate efficiency determinations 
would impose an unnecessary burden on manufacturers.
    In light of the foregoing, the Department believes that EPCA 
generally permits the efficiency of a motor with seals to be 
determined without the seals installed. Furthermore, notwithstanding 
the prior belief that such motors are not covered by EPCA, use of 
this approach to determining efficiency will enable manufacturers to 
meet EPCA's standards with respect to covered motors with seals by 
the date the standards go into effect on October 25, 1997.

III. Discussion of How DOE Would Apply EPCA Definitions, Using the 
Foregoing Guidelines

    Using the foregoing guidelines, the attached matrix provides 
DOE's view as to which motors with common features are covered by 
EPCA. Because manufacturers produce many basic models that have many 
modifications of generic general purpose motors, the Department does 
not represent that the matrix is all-inclusive. Rather it is a set 
of examples demonstrating how DOE would apply EPCA definitions, as 
construed by the above guidelines, to various motor types. By 
extension of these examples, most motors currently in production, or 
to be designed in the future, could probably be classified. The 
matrix classifies motors into five categories, which are discussed 
in the following passages.
    Category I--For ``electric motors'' (manufactured alone or as a 
component of another piece of equipment) in Category I, DOE will 
enforce EPCA efficiency standards and test procedures beginning on 
October 25, 1997.
    The Department understands that some motors essentially are 
relatively simple modifications of generic general purpose motors. 
Modifications could consist, for example, of minor changes such as 
the addition of temperature sensors or a heater, the addition of a 
shaft extension and a brake disk from a kit, or changes in exterior 
features such as the motor housing. Such motors can still be used 
for most general purpose applications, and the modifications have 
little or no effect on motor performance. Nor do the modifications 
affect energy efficiency.
    Category II--For certain motors that are ``definite purpose'' 
according to present industry practice, but that can be used in most 
general purpose applications, DOE will generally enforce EPCA 
efficiency standards and test procedures beginning no later than 
October 25, 1999.

General Statement

    EPCA does not prescribe standards and test procedures for 
``definite purpose motors.'' Section 340(13)(B) of EPCA defines the 
term ``definite purpose motor'' as ``any motor designed in standard 
ratings with standard operating characteristics or standard 
mechanical construction for use under service conditions other than 
usual or for use on a particular type of application and which 
cannot be used in most general purpose applications.'' [Emphasis 
added.] Except, significantly, for exclusion of the italicized 
language, the industry definition of ``definite purpose motor,'' set 
forth in NEMA MG1, is identical to the foregoing.
    Category II consists of electric motors with horsepower ratings 
that fall between the horsepower ratings in Section 342(b)(1) of 
EPCA, thermally protected motors, and motors with roller bearings. 
As with motors in Category I, these motors are essentially 
modifications of generic general purpose motors. Generally, however, 
the modifications contained in these motors are more extensive and 
complex than the modifications in Category I motors. These Category 
II motors have been considered ``definite purpose'' in common 
industry parlance, but are covered equipment under EPCA because they 
can be used in most general purpose applications.
    According to statements provided during the January 15, 1997, 
Public Hearing, Tr. pgs. 238-239, Category II motors were, until 
recently, viewed by most manufacturers as definite purpose motors, 
consistent with the industry definition that did not contain the 
clause ``which cannot be used in most general purpose 
applications.'' Hence, DOE understands that many manufacturers 
assumed these motors were not subject to EPCA's efficiency 
standards. During the period prior and subsequent to the hearing, 
discussions among manufacturers resulted in a new understanding that 
such motors are general purpose under EPCA, since they can be used 
in most general purpose applications. Thus, the industry only 
recently recognized that such motors are covered under EPCA. 
Although the statutory definition adopted in 1992 contained the 
above-quoted definition of ``definite purpose,'' the delay in 
issuing regulations which embody this definition may have 
contributed to industry's delay in recognizing that these motors are 
covered.
    The Department understands that redesign and testing these 
motors in order to meet the efficiency standards in the statute may 
require a substantial amount of time. Given the recent recognition 
that they are covered, it is not realistic to expect these motors 
will be able to comply by October 25, 1997. A substantial period 
beyond that will be required. Moreover, the Department believes 
different manufacturers will need to take different approaches to 
achieving compliance with respect to these motors, and that, for a 
particular type of motor, some manufacturers will be able to comply 
sooner than others. Thus, the Department intends to refrain from 
taking enforcement action for two years, until October 25, 1999, 
with respect to motors with horsepower ratings that fall between the 
horsepower ratings in Section 342(b)(1) of EPCA, thermally protected 
motors, and motors with roller bearings. Manufacturers are 
encouraged, however, to manufacture

[[Page 61934]]

these motors in compliance with EPCA at the earliest possible date.
    The following sets forth in greater detail, for each of these 
types of motors, the basis for the Department's policy to refrain 
from enforcement for two years. Also set forth is additional 
explanation of the Department's understanding as to why 
manufacturers previously believed intermediate horsepower motors 
were not covered by EPCA.

Intermediate Horsepower Ratings

    Section 342(b)(1) of EPCA specifies efficiency standards for 
electric motors with 19 specific horsepower ratings, ranging from 
one through 200 horsepower. Each is a preferred or standardized 
horsepower rating as reflected in the table in NEMA Standards 
Publication MG1-1993, paragraph 10.32.4, Polyphase Medium Induction 
Motors. However, an ``electric motor,'' as defined by EPCA, can be 
built at other horsepower ratings, such as 6 horsepower, 65 
horsepower, or 175 horsepower. Such motors, rated at horsepower 
levels between any two adjacent horsepower ratings identified in 
Section 342(b)(1) of EPCA will be referred to as ``intermediate 
horsepower motors.'' In the Department's view, efficiency standards 
apply to every motor that has a rating from one through 200 
horsepower (or kilowatt equivalents), and that otherwise meets the 
criteria for an ``electric motor'' under EPCA, including an electric 
motor with an intermediate horsepower (or kW) rating.
    To date, these motors have typically been designed in 
conjunction with and supplied to a specific customer to fulfill 
certain performance and design requirements of a particular 
application, as for example to run a certain type of equipment. See 
the discussion in Section IV below on ``original equipment'' and 
``original equipment manufacturers.'' In large part for these 
reasons, manufacturers believed intermediate horsepower motors to be 
``definite purpose motors'' that were not covered by EPCA. Despite 
their specific uses, however, these motors are electric motors under 
EPCA when they are capable of being used in most general purpose 
applications.
    Features of a motor that are directly related to its horsepower 
rating include its physical size, and the ratings of its controller 
and protective devices. These aspects of a 175 horsepower motor, for 
example, which is an intermediate horsepower motor, must be 
appropriate to that horsepower, and would generally differ from the 
same aspects of 150 and 200 horsepower motors, the two standard 
horsepower ratings closest to 175. To re-design an existing 
intermediate horsepower electric motor so that it complies with EPCA 
could involve all of these elements of a motor's design. For 
example, the addition of material necessary to achieve EPCA's 
prescribed level of efficiency could cause the size of the motor to 
increase. The addition of magnetic material would invite higher 
inrush current that could cause an incorrectly sized motor 
controller to malfunction, or the circuit breaker with a standard 
rating to trip unnecessarily, or both. The Department believes motor 
manufacturers will require a substantial amount of time to redesign 
and retest each intermediate horsepower electric motor they 
manufacture.
    To the extent such intermediate horsepower electric motors 
become unavailable because motor manufacturers have recognized only 
recently that they are covered by EPCA, equipment in which they are 
incorporated would temporarily become unavailable also. Moreover, 
re-design of such a motor to comply with EPCA could cause changes in 
the motor that require re-design of the equipment in which the motor 
is used. For example, if an intermediate horsepower electric motor 
becomes larger, it might no longer fit in the equipment for which it 
was designed. In such instances, the equipment would have to be re-
designed. Because these motors were previously thought not to be 
covered, equipment manufacturers may not have had sufficient lead 
time to make the necessary changes to the equipment without 
interrupting its production.
    With respect to intermediate horsepower motors, the Department 
intends to refrain from enforcing EPCA for a period of 24 months 
only as to such motor designs that were being manufactured prior to 
the date this Policy Statement was issued. The Department is 
concerned that small adjustments could be made to the horsepower 
rating of an existing electric motor, in an effort to delay 
compliance with EPCA, if it delayed enforcement as to all 
intermediate horsepower motors produced during the 24 month period. 
For example, a 50 horsepower motor that has a service factor of 1.15 
could be renameplated as a 57\1/2\ horsepower motor that has a 1.0 
service factor. By making this delay in enforcement applicable only 
to pre-existing designs of intermediate horsepower motors, the 
Department believes it has made adequate provision for the 
manufacture of bona fide intermediate horsepower motor designs that 
cannot be changed to be in compliance with EPCA by October 25, 1997.

Thermally Protected Motors

    The Department understands that in order to redesign a thermally 
protected motor to improve its efficiency so that it complies with 
EPCA, various changes in the windings must be made which will 
require the thermal protector to be re-selected. Such devices sense 
the inrush and running current of the motor, as well as the 
operating temperature. Any changes to a motor that affect these 
characteristics will prevent the protector from operating correctly. 
When a new protector is selected, the motor must be tested to verify 
proper operation of the device in the motor. The motor manufacturer 
would test the locked rotor and overload conditions, which could 
take several days, and the results may dictate that a second 
selection is needed with additional testing. When the manufacturer 
has finished testing, typically the manufacturer will have a third 
party conduct additional testing. This testing may include cycling 
the motor in a locked-rotor condition to verify that the protector 
functions properly. This testing may take days or even weeks to 
perform for a particular model of motor.
    Since it was only recently recognized by industry that these 
motors are covered by EPCA, in the Department's view the total 
testing program makes it impossible for manufacturers to comply with 
the EPCA efficiency levels in thermally protected motors by October 
25, 1997, especially since each different motor winding must be 
tested and motor winding/thermal protector combinations number in 
the thousands.

Motors With Roller Bearings

    Motors with roller bearings fit within the definition of 
electric motor under the statute. However, because the IEEE Standard 
112 Test Method B does not provide measures to test motors with 
roller bearings installed, manufacturers mistakenly believed such 
motors were not covered. Under IEEE Standard 112, a motor with 
roller bearings could only be tested for efficiency with the roller 
bearings removed and standard ball bearings installed as temporary 
substitutes. Then on the basis of the energy efficiency information 
gained from that test, the manufacturer may need to redesign the 
motor in order to comply with the statute. In this situation, the 
Department understands that testing, redesigning, and retesting 
lines of motors with roller bearings, to establish compliance, would 
be difficult and time consuming.
    Categories III, IV and V--Motors not within EPCA's definition of 
``electric motor,'' and not covered by EPCA.

Close-Coupled Pump Motors

    NEMA Standards Publication MG1-1993, with revisions one through 
three, Part 18, ``Definite-Purpose Machines,'' defines ``a face-
mounting close-coupled pump motor'' as ``a medium alternating-
current squirrel-cage induction open or totally enclosed motor, with 
or without feet, having a shaft suitable for mounting an impeller 
and sealing device.'' Paragraphs MG1-18.601-18.614 specify its 
performance, face and shaft mounting dimensions, and frame 
assignments that replace the suffix letters T and TS with the suffix 
letters JM and JP.
    The Department understands that such motors are designed in 
standard ratings with standard operating characteristics for use in 
certain close-coupled pumps and pumping applications, but cannot be 
used in non-pumping applications, such as, for example, conveyors. 
Consequently, the Department believes close-coupled pump motors are 
definite-purpose motors not covered by EPCA. However, a motor that 
meets EPCA's definition of ``electric motor,'' and which can be 
coupled to a pump, for example by means of a C-face or D-flange end 
shield, as depicted in NEMA Standards Publication MG1, Part 4, 
``Dimensions, Tolerances, and Mounting,'' is covered.

Totally-Enclosed Non-Ventilated (TENV) and Totally-Enclosed Air-Over 
(TEAO) Motors

    A motor designated in NEMA MG1-1993, paragraph MG1-1.26.1, as 
``totally-enclosed non-ventilated (IP54, IC410)'' \6\ is ``not

[[Page 61935]]

equipped for cooling by means external to the enclosing parts.'' 
This means that the motor, when properly applied, does not require 
the use of any additional means of cooling installed external to the 
motor enclosure. The TENV motor is cooled by natural conduction and 
natural convection of the motor heat into the surrounding 
environment. As stated in NEMA MG1-1993, Suggested Standard for 
Future Design, paragraph MG1-1.26.1a, a TENV motor ``is only 
equipped for cooling by free convection.'' The general requirement 
for the installation of the TENV motor is that it not be placed in a 
restricted space that would inhibit this natural dissipation of the 
motor heat. Most general purpose applications use motors which 
include a means for forcing air flow through or around the motor and 
usually through the enclosed space and, therefore, can be used in 
spaces that are more restrictive than those required for TENV 
motors. Placing a TENV motor in such common restricted areas is 
likely to cause the motor to overheat. The TENV motor may also be 
larger than the motors used in most general purpose applications, 
and would take up more of the available space, thus reducing the 
size of the open area surrounding the motor. Installation of a TENV 
motor might require, therefore, an additional means of ventilation 
to continually exchange the ambient around the motor.
---------------------------------------------------------------------------

    \6\ IP refers to the IEC Standard 34-5: Classification of 
degrees of protection provided by enclosures for rotating machines. 
IC refers to the IEC Standard 34-6: Methods of cooling rotating 
machinery. The IP and IC codes are referenced in the NEMA 
designations for TENV and TEAO motors in MG1-1993 Part 1, 
``Classification According to Environmental Protection and Methods 
of Cooling,'' as a Suggested Standard for Future Design, since the 
TENV and TEAO motors conform to IEC Standards. Details of protection 
(IP) and methods of cooling (IC) are defined in MG1 Part 5 and Part 
6, respectively.
---------------------------------------------------------------------------

    A motor designated in NEMA MG1-1993 as ``totally-enclosed air-
over (IP54, IC417)'' is intended to be cooled by ventilation means 
external to (i.e., separate and independent from) the motor, such as 
a fan. The motor must be provided with the additional ventilation to 
prevent it from overheating.
    Consequently, neither the TENV motor nor the TEAO motor would be 
suitable for most general purpose applications, and, DOE believes 
they are definite-purpose motors not covered by EPCA.

Integral Gearmotors

    An ``integral gearmotor'' is an assembly of a motor and a 
specific gear drive or assembly of gears, such as a gear reducer, as 
a unified package. The motor portion of an integral gearmotor is not 
necessarily a complete motor, since the end bracket or mounting 
flange of the motor portion is also part of the gear assembly and 
cannot be operated when separated from the complete gear assembly. 
Typically, an integral gearmotor is not manufactured to standard T-
frame dimensions specified in NEMA MG1. Moreover, neither the motor 
portion, not the entire integral gearmotor, are capable of being 
used in most general purpose applications without significant 
modifications. An integral gearmotor is also designed for a specific 
purpose and can have unique performance characteristics, physical 
dimensions, and casing, flange and shafting configurations. 
Consequently, integral gearmotors are outside the scope of the EPCA 
definition of ``electric motor'' and are not covered under EPCA.
    However, an ``electric motor,'' as defined by EPCA, which is 
connected to a stand alone mechanical gear drive or an assembly of 
gears, such as a gear reducer connected by direct coupling, belts, 
bolts, a kit, or other means, is covered equipment under EPCA.

IV. Electric Motors That Are Components in Certain Equipment

    The primary function of an electric motor is to convert 
electrical energy to mechanical energy which then directly drives 
machinery such as pumps, fans, or compressors. Thus, an electric 
motor is always connected to a driven machine or apparatus. 
Typically the motor is incorporated into a finished product such as 
an air conditioner, a refrigerator, a machine tool, food processing 
equipment, or other commercial or industrial machinery. These 
products are commonly known as ``original equipment'' or ``end-use 
equipment,'' and are manufactured by firms known as ``original 
equipment manufacturers'' (OEMs).
    Many types of motors used in original equipment are covered 
under EPCA. As noted above, EPCA prescribes efficiency standards to 
be met by all covered electric motors manufactured after October 24, 
1997, except that covered motors which require listing or 
certification by a nationally recognized safety testing laboratory 
need not meet the standards until after October 24, 1999. Thus, for 
motors that must comply after October 24, 1997, once inventories of 
motors manufactured before the deadline have been exhausted, only 
complying motors would be available for purchase and use by OEMs in 
manufacturing original equipment. Any non-complying motors 
previously included in such equipment would no longer be available.
    The physical, and sometimes operational, characteristics of 
motors that meet EPCA efficiency standards normally differ from the 
characteristics of comparable existing motors that do not meet those 
standards. In part because of such differences, the Department is 
aware of two types of situations where strict application of the 
October 24, 1997, deadline could temporarily prevent the manufacture 
of, and remove from the marketplace, currently available original 
equipment.
    One such situation is where an original equipment manufacturer 
uses an electric motor as a component in end-use equipment that 
requires listing or certification by a nationally recognized safety 
testing laboratory, even though the motor itself does not require 
listing or certification. In some of these instances, the file for 
listing or certification specifies the particular motor to be used. 
No substitution could be made for the motor without review and 
approval of the new motor and the entire system by the safety 
testing laboratory. Consequently, a specified motor that does not 
meet EPCA standards could not be replaced by a complying motor 
without such review and approval.
    This re-listing or re-certification process is subject to 
substantial variation from one piece of original equipment to the 
next. For some equipment, it could be a simple paperwork transaction 
between the safety listing or certification organization and the 
OEM, taking approximately four to eight weeks to complete. But the 
process could raise more complex system issues involving redesign of 
the motor or piece of equipment, or both, and actual testing to 
assure that safety and performance criteria are met, and could take 
several months to complete. The completion time could also vary 
depending on the response time of the particular safety approval 
agency. Moreover, in the period immediately after October 24, the 
Department believes wholesale changes could occur in equipment lines 
when OEMs must begin using motors that comply with EPCA. These 
changes are likely to be concentrated in the period immediately 
after EPCA goes into effect on October 24, and if many OEMs seek to 
re-list or re-certify equipment at the same time, substantial delays 
in the review and approval process at the safety approval agencies 
could occur. For these reasons, the Department is concerned that 
certain end-user equipment that requires safety listing or 
certification could become unavailable in the marketplace, because 
an electric motor specifically identified in a listing or 
certification is covered by EPCA and will become unavailable, and 
the steps have not been completed to obtain safety approval of the 
equipment when manufactured with a complying motor.
    Second, a situation could exist where an electric motor covered 
by EPCA is constructed in a T-frame series or T-frame size that is 
smaller (but still standard) than that assigned by NEMA Standards 
Publication MG 13-1984 (R1990), sections 1.2 and 1.3, in order to 
fit into a restricted mounting space that is within certain end-use 
equipment. (Motors in IEC metric frame sizes and kilowatt ratings 
could also be involved in this type of situation.) In such cases, 
the manufacturer of the end-use equipment might need to redesign the 
equipment containing the mounting space to accommodate a larger 
motor that complies with EPCA. These circumstances as well could 
result in certain currently available equipment becoming temporarily 
unavailable in the market, since the smaller size motor would become 
unavailable before the original equipment had been re-designed to 
accommodate the larger, complying motor.
    The Department understands that many motor manufacturers and 
OEMs became aware only recently that the electric motors addressed 
in the preceding paragraphs were covered by EPCA. This is largely 
for the same reasons, discussed above, that EPCA coverage of 
Category II motors was only recently recognized. In addition, the 
Department understands that some motor manufacturers and original 
equipment manufacturers confused motors that themselves require 
safety listing or certification, which need not comply until October 
25, 1999, with motors that, while not subject to such requirements, 
are included in original equipment that requires safety listing or 
certification. Consequently, motor manufacturers and original 
equipment manufacturers took insufficient action to assure that 
appropriate complying motors would be available for the original 
equipment involved, and that the equipment could accommodate such 
motors.

[[Page 61936]]

OEMs involved in such situations may often be unable to switch to 
motors that meet EPCA standards in the period immediately following 
October 24. To mitigate any hardship to purchasers of the original 
equipment, the Department intends to refrain from enforcing EPCA in 
certain limited circumstances, under the conditions described below.
    Where a particular electric motor is specified in an approved 
safety listing or certification for a piece of original equipment, 
and the motor does not meet the applicable efficiency standard in 
EPCA, the Department's policy will be as follows: For the period of 
time necessary for the OEM to obtain a revised safety listing or 
certification for that piece of equipment, with a motor specified 
that complies with EPCA, but in no event beyond October 24, 1999, 
the Department would refrain from taking enforcement action under 
EPCA with respect to manufacture of the motor for installation in 
such original equipment. This policy would apply only where the 
motor has been manufactured and specified in the approved safety 
listing or certification prior to October 25, 1997.
    Where a particular electric motor is used in a piece of original 
equipment and manufactured in a smaller than assigned frame size or 
series, and the motor does not meet the applicable efficiency 
standard in EPCA, the Department's policy will be as follows: For 
the period of time necessary for the OEM to re-design the piece of 
equipment to accommodate a motor that complies with EPCA, but in no 
event beyond October 24, 1999, the Department would refrain from 
enforcing the standard with respect to manufacture of the motor for 
installation in such original equipment. This policy would apply 
only to a model of motor that has been manufactured and included in 
the original equipment prior to October 25, 1997.
    To allow the Department to monitor application of the policy set 
forth in the prior two paragraphs, the Department needs to be 
informed as to the motors being manufactured under the policy. 
Therefore, each motor manufacturer and OEM should jointly notify the 
Department as to each motor they will be manufacturing and using, 
respectively, after October 24, 1997, in the belief that it is 
covered by the policy. The notification should set forth: (1) The 
name of the motor manufacturer, and a description of the motor by 
type, model number, and date of design or production; (2) the name 
of the original equipment manufacturer, and a description of the 
application where the motor is to be used; (3) the safety listing or 
safety certification organization and the existing listing or 
certification file or document number for which re-listing or re-
certification will be requested, if applicable; (4) the reason and 
amount of time required for continued production of the motor, with 
a statement that a substitute electric motor that complies with EPCA 
could not be obtained by an earlier date; and (5) the name, address, 
and telephone number of the person to contact for further 
information. The joint request should be signed by a responsible 
official of each requesting company, and sent to: U.S. Department of 
Energy, Assistant Secretary for Energy Efficiency and Renewable 
Energy, Office of Building Research and Standards, EE-41, Forrestal 
Building, 1000 Independence Avenue, SW., Room 1J-018, Washington, DC 
20585-0121. The Department does not intend to apply this policy to 
any motor for which it does not receive such a notification. 
Moreover, the Department may use the notification, and make further 
inquiries, to be sure motors listed in the notification meet the 
criteria for application of the policy.
    This part of the Policy Statement will not apply to a motor in 
Category II, discussed above in Section III. Because up to 24 months 
is contemplated for compliance by Category II motors, the Department 
believes any issues that might warrant a delay of enforcement for 
such motors can be addressed during that time period.

V. Further Information

    The Department intends to incorporate this Policy Statement into 
an appendix to its final rule to implement the EPCA provisions that 
apply to motors. Any comments or suggestions with respect to this 
Policy Statement, as well as requests for further information, 
should be addressed to the Director, Building Technologies, EE-2J, 
U.S. Department of Energy, Forrestal Building, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121.

     Examples of Many Common Features or Motor Modifications To Illustrate How the EPCA Definitions and DOE
     Guidelines Would Be Applied to Motor Categories: General Purpose; Definite Purpose; and Special Purpose
----------------------------------------------------------------------------------------------------------------
                                                       Category\1\
          Motor modification          ---------------------------------------------          Explanation
                                          I        II      III       IV       V
----------------------------------------------------------------------------------------------------------------
A. Electrical Modifications
----------------------------------------------------------------------------------------------------------------
1 Altitude...........................       X   .......  .......  .......  .......  General purpose up to a
                                                                                     frame series change larger.
2 Ambient............................       X   .......  .......  .......  .......  General purpose up to a
                                                                                     frame series change larger.
3 Multispeed.........................  .......  .......  .......  .......       X   EPCA applies to single speed
                                                                                     only.
4 Special Leads......................       X   .......  .......  .......  .......  ............................
5 Special Insulation.................       X   .......  .......  .......  .......  ............................
6 Encapsulation......................  .......  .......  .......       X   .......  Due to special construction.
7 High Service Factor................       X   .......  .......  .......  .......  General purpose up to a
                                                                                     frame series change larger.
8 Space Heaters......................       X   .......  .......  .......  .......  ............................
9 Wye Delta Start....................       X   .......  .......  .......  .......  ............................
10 Part Winding Start................       X   .......  .......  .......  .......  ............................
11 Temperature Rise..................       X   .......  .......  .......  .......  General purpose up to a
                                                                                     frame series change larger.
12 Thermally Protected...............  .......       X   .......  .......  .......  Requires retesting and third
                                                                                     party agency approval.
13 Thermostat/Thermistor.............       X   .......  .......  .......  .......  ............................
14 Special Voltages..................  .......  .......  .......  .......       X   EPCA applies to motors
                                                                                     operating on 230/460
                                                                                     voltages at 60 Hertz.
15 Intermediate Horsepowers..........  .......       X   .......  .......  .......  Round horsepower according
                                                                                     to 10 CFR 431.42 for
                                                                                     efficiency.
16 Frequency.........................  .......  .......  .......  .......       X   EPCA applies to motors
                                                                                     operating on 230/460
                                                                                     voltages at 60 Hertz.
17 Fungus/Trop Insulation............       X   .......  .......  .......  .......  ............................
--------------------------------------
B. Mechanical Modifications
----------------------------------------------------------------------------------------------------------------

[[Page 61937]]

 
18 Special Balance...................       X   .......  .......  .......  .......  ............................
19 Bearing Temp. Detector............       X   .......  .......  .......  .......  ............................
20 Special Base/Feet.................  .......  .......  .......  .......       X   Does not meet definition of
                                                                                     T-frame.
21 Special Conduit Box...............       X   .......  .......  .......  .......  ............................
22 Auxiliary Conduit Box.............       X   .......  .......  .......  .......  ............................
23 Special Paint/Coating.............       X   .......  .......  .......  .......  ............................
24 Drains............................       X   .......  .......  .......  .......  ............................
25 Drip Cover........................       X   .......  .......  .......  .......  ............................
26 Ground. Lug/Hole..................       X   .......  .......  .......  .......  ............................
27 Screens on ODP Enclosure..........       X   .......  .......  .......  .......  ............................
28 Mounting F1,F2; W1-4; C1,2........       X   .......  .......  .......  .......  Foot-mounting, rigid base,
                                                                                     and resilient base.
--------------------------------------
C. Bearings
----------------------------------------------------------------------------------------------------------------
29 Bearing Caps......................       X   .......  .......  .......  .......  ............................
30 Roller Bearings...................  .......       X   .......  .......  .......  Test with a standard
                                                                                     bearing.
31 Shielded Bearings.................       X   .......  .......  .......  .......  ............................
32 Sealed Bearings...................       X   .......  .......  .......  .......  Test with a standard
                                                                                     bearing.
33 Thrust Bearings...................  .......  .......  .......       X   .......  Special mechanical
                                                                                     construction.
34 Clamped Bearings..................       X   .......  .......  .......  .......  ............................
35 Sleeve Bearings...................  .......  .......  .......       X   .......  Special mechanical
                                                                                     construction.
--------------------------------------
D. Special Endshields
----------------------------------------------------------------------------------------------------------------
36 C Face............................       X   .......  .......  .......  .......  As defined in NEMA MG-1.
37 D Flange..........................       X   .......  .......  .......  .......  As defined in NEMA MG-1.
38 Customer Defined..................  .......  .......  .......       X   .......  Special design for a
                                                                                     particular application.
--------------------------------------
E. Seals
----------------------------------------------------------------------------------------------------------------
39 Contact Seals.....................       X   .......  .......  .......  .......  Includes lip seals and
                                                                                     taconite seals--test with
                                                                                     seals removed.
40 Non-Contact Seal..................       X   .......  .......  .......  .......  Includes labyrinth and
                                                                                     slinger seals--test with
                                                                                     seals installed.
--------------------------------------
F. Shafts
----------------------------------------------------------------------------------------------------------------
41 Standard Shafts/NEMA Mg-1.........       X   .......  .......  .......  .......  Includes single and double,
                                                                                     cylindrical, tapered, and
                                                                                     short shafts.
42 Non Standard Material.............       X   .......  .......  .......  .......  ............................
--------------------------------------
G. Fans
----------------------------------------------------------------------------------------------------------------
43 Special Material..................       X   .......  .......  .......  .......  ............................
44 Quiet Design......................       X   .......  .......  .......  .......  ............................
--------------------------------------
H. Other Motors
----------------------------------------------------------------------------------------------------------------
45 Washdown..........................       X   .......  .......  .......  .......  Test with seals removed.
46 Close-coupled pump................  .......  .......       X   .......  .......  JM and JP frame assignments.
47 Integral Gear Motor...............  .......  .......  .......  .......       X   Typically special mechanical
                                                                                     design, and not a T-frame;
                                                                                     motor and gearbox
                                                                                     inseparable and operate as
                                                                                     one system.
48 Vertical--Normal Thrust...........  .......  .......  .......  .......       X   EPCA covers foot-mounting.
49 Saw Arbor.........................  .......  .......  .......       X   .......  Special electrical/
                                                                                     mechanical design.
50 TENV..............................  .......  .......       X   .......  .......  Totally-enclosed non-
                                                                                     ventilated not equipped for
                                                                                     cooling (IP54, IC410).
51 TEAO..............................  .......  .......       X   .......  .......  Totally-enclosed air-over
                                                                                     requires airflow from
                                                                                     external source (IP54,
                                                                                     IC417).
52 Fire Pump.........................       X   .......  .......  .......  .......  When safety certification is
                                                                                     not required. See also EPCA
                                                                                     Sec.   342(b)(1).
53 Non-continuous....................  .......  .......  .......  .......       X   EPCA covers continuous
                                                                                     ratings.
54 Integral Brake Motor..............  .......  .......  .......       X   .......  Integral brake design
                                                                                     factory built within the
                                                                                     motor.
----------------------------------------------------------------------------------------------------------------
\1\ Category I--General purpose electric motors as defined in EPCA.
Category II--Definite purpose electric motors that can be used in most general purpose applications as defined
  in EPCA.
Category III--Definite purpose motors as defined in EPCA.
Category IV--Special purpose motors as defined in EPCA.

[[Page 61938]]

 
Category V--Outside the scope of ``electric motor'' as defined in EPCA.

Appendix B to Subpart B of Part 431--Uniform Test Method for Measuring 
Nominal Full Load Efficiency of Electric Motors

    1. Definitions.
    Definitions contained in Sec. Sec.  431.2 and 431.12 are 
applicable to this appendix.
    2. Test Procedures.
    Efficiency and losses shall be determined in accordance with 
NEMA MG1-1993 with Revisions 1 through 4, paragraph 12.58.1, 
``Determination of Motor Efficiency and Losses,'' (Incorporated by 
reference, see Sec.  431.15) and either:
    (1) CSA International (or Canadian Standards Association) 
Standard C390-93 Test Method (1), (Incorporated by reference, see 
Sec.  431.15), Input-Output Method With Indirect Measurement of the 
Stray-Load Loss and Direct Measurement of the Stator Winding 
(I\2\R), Rotor Winding (I\2\R), Core and Windage-Friction Losses, or
    (2) IEEE Standard 112-1996 Test Method B, Input-Output With Loss 
Segregation, (Incorporated by reference, see Sec.  431.15) with IEEE 
correction notice of January 20, 1998, except as follows:
    (i) Page 8, subclause 5.1.1., Specified temperature, the 
introductory clause does not apply. Instead the following applies:
    The specified temperature used in making resistance corrections 
should be determined by one of the following (Test Method B only 
allows the use of preference (a) or (b).), which are listed in order 
of preference.
    (ii) Page 17, subclause 6.4.1.3., No-load test, the text does 
not apply. Instead, the following applies:
    See 5.3 including 5.3.3, the separation of core loss from 
friction and windage loss. Prior to making this test, the machine 
shall be operated at no-load until the input has stabilized.
    (iii) Page 40, subclause 8.6.3, Termination of test, the third 
sentence does not apply. Instead, the following applies:
    For continuous rated machines, the temperature test shall 
continue until there is 1 [deg]C or less change in temperature rise 
over a 30-minute time period.
    (iv) Page 47, at the top of 10.2 form B, immediately after the 
line that reads ``Rated Load Heat Run Stator Winding Resistance 
Between Terminals,'' the following additional line applies:
    Temperature for Resistance Correction (ts) = -[deg]C 
(See 6.4.3.2).
    (v) Page 47, at the bottom of 10.2 Form B, after the first 
sentence to footnote tt, the following additional 
sentence applies:
    The values for ts and tt shall be based on 
the same method of temperature measurement, selected from the four 
methods in subclause 8.3.
    (vi) Page 47, at the bottom of 10.2 Form B, below the footnotes 
and above ``Summary of Characteristics,'' the following additional 
note applies:
    Note: The temperature for resistance correction (ts) 
is equal to [(4) - (5) + 25 [deg]C].
    (vii) Page 48, item (22), the torque constants ``k = 9.549 for 
torque, in N[middot]m'' and ``k = 7.043 for torque, in 
1bf[middot]ft'' do not apply. Instead, the following applies:
    ``k2 = 9.549 for torque, in N[middot]m'' and 
``k2 = 7.043 for torque, in 1bf[middot]ft.''
    (viii) Page 48, at the end of item (27), the following 
additional reference applies:
    ``See 6.4.3.2.''
    (ix) Page 48, item (29). ``See 4.3.2.2, Eq. 4,'' does not apply. 
Instead the following applies:
    Is equal to (10)[middot][k1 + (4) - (5) + 25 [deg]C] 
/ [k1 + (7)], see 6.4.3.3.''
    3. Amendments to test procedures.
    Any revision to IEEE Standard 112-1996 Test Method B with 
correction notice of January 20, 1998, to NEMA Standards Publication 
MG1-1993 with Revisions 1 through 4, or to CSA Standard C390-93 Test 
Method (1), subsequent to promulgation of this appendix B, shall not 
be effective for purposes of test procedures required under Part 431 
and this appendix B, unless and until Part 431 and this appendix B 
are amended.

Appendix C to Subpart B of Part 431--Compliance Certification

Certification of Compliance With Energy Efficiency Standards for 
Electric Motors

(Office of Management and Budget Control Number: 1910-5104. Expires 
09/30/2007)

    1. Name and Address of Company (the ``company''):

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    2. Name(s) to be Marked on Electric Motors to Which this 
Compliance Certification Applies:

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    3. If manufacturer or private labeler wishes to receive a unique 
Compliance Certification number for use with any particular brand 
name, trademark, or other label name, fill out the following two 
items:
    A. List each brand name, trademark, or other label name for 
which the company requests a Compliance Certification number:

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    B. List other name(s), if any, under which the company sells 
electric motors (if not listed in item 2 above):

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

    Submit by Certified Mail to: U.S. Department of Energy, Office 
of Energy Efficiency and Renewable Energy, Building Technologies 
(EE-2J), Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.

    This Compliance Certification reports on and certifies 
compliance with requirements contained in 10 CFR Part 431 (Energy 
Conservation Program for Certain Commercial and Industrial 
Equipment) and Part C of the Energy Policy and Conservation Act 
(Pub. L. 94-163), and amendments thereto. It is signed by a 
responsible official of the above named company. Attached and 
incorporated as part of this Compliance Certification is a Listing 
of Electric Motor Efficiencies. For each rating of electric motor* 
for which the Listing specifies the nominal full load efficiency of 
a basic model, the company distributes no less efficient basic model 
with that rating and all basic models with that rating comply with 
the applicable energy efficiency standard.

*For this purpose, the term ``rating'' means one of the 113 
combinations of an electric motor's horsepower (or standard kilowatt 
equivalent), number of poles, and open or enclosed construction, 
with respect to which Sec.  431.25 of 10 CFR Part 431 prescribes 
nominal full load efficiency standards.

Person to Contact for Further Information:

Name:------------------------------------------------------------------

Address:---------------------------------------------------------------

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------
    If any part of this Compliance Certification, including the 
Attachment, was prepared by a third party organization under the 
provisions of 10 CFR 431.36, the company official authorizing third 
party representations:
Name:------------------------------------------------------------------

Address:---------------------------------------------------------------

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

Third Party Organization Officially Acting as Representative:

Third Party Organization:----------------------------------------------

Responsible Person at that Organization:-------------------------------

Address:---------------------------------------------------------------

-----------------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number: -----------------------------------------------------

    All required determinations on which this Compliance 
Certification is based were made in conformance with the applicable 
requirements in 10 CFR Part 431, subpart B. All information reported 
in this Compliance Certification is true, accurate, and complete. 
The company is aware of the penalties associated with violations of 
the Act and the regulations thereunder, and is also aware of the 
provisions contained in 18 U.S.C. 1001, which prohibits knowingly 
making false statements to the Federal Government.

Signature:-------------------------------------------------------------

Date:------------------------------------------------------------------

Name:------------------------------------------------------------------

Title:-----------------------------------------------------------------


[[Page 61939]]

-----------------------------------------------------------------------
Firm or Organization:--------------------------------------------------

Attachment to Certification of Compliance With Energy Efficiency 
Standards for Electric Motors: Listing of Electric Motor Efficiencies

Date:------------------------------------------------------------------

Name of Company:-------------------------------------------------------

-----------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                           Rating of electric motor                             Least efficient
-------------------------------------------------------------------------------  basic model--     Nominal full
                                                             Open or enclosed        (model      load efficiency
  Motor horsepower / kilowatts         Number of poles             motor          numbers(s))
----------------------------------------------------------------------------------------------------------------
1 or .75........................  6.......................  Open..............          ______           ______
1 or .75........................  4.......................  Open..............          ______           ______
1 or .75........................  6.......................  Enclosed..........          ______           ______
1 or .75........................  4.......................  Enclosed..........          ______           ______
1 or .75........................  2.......................  Enclosed..........          ______           ______
1.5 or 1.1......................  6.......................  Open..............          ______           ______
1.5 or 1.1......................  4.......................  Open..............          ______           ______
1.5 or 1.1......................  2.......................  Open..............          ______           ______
1.5 or 1.1......................  6.......................  Enclosed..........          ______           ______
1.5 or 1.1......................  4.......................  Enclosed..........          ______           ______
1.5 or 1.1......................  2.......................  Enclosed..........          ______           ______
                                  ........................  ..................          ______           ______
Etc.............................  Etc.....................  Etc...............          ______          ______
----------------------------------------------------------------------------------------------------------------
Note: Place an asterisk beside each reported nominal full load efficiency that is determined by actual testing
  rather than by application of an alternative efficiency determination method. Also list below additional basic
  models that were subjected to actual testing.
Basic Model means all units of a given type of electric motor (or class thereof) manufactured by a single
  manufacturer, and which (i) have the same rating, (ii) have electrical design characteristics that are
  essentially identical, and (iii) do not have any differing physical or functional characteristics that affect
  energy consumption or efficiency.
Rating means one of the 113 combinations of an electric motor's horsepower (or standard kilowatt equivalent),
  number of poles, and open or enclosed construction, with respect to which Sec.   431.25 of 10 CFR Part 431
  prescribes nominal full load efficiency standards.


          Models Actually Tested and Not Previously Identified
------------------------------------------------------------------------
          Rating of electric motor
--------------------------------------------  Basic model(s)    Nominal
   Motor power                                    (model       full load
 output (e.g. 1    Number       Open or         number(s))    efficiency
  hp or .75 kW)   of poles   enclosed motor
------------------------------------------------------------------------
         ______       ___           ______           ______        ___
         ______       ___           ______           ______        ___
         ______       ___           ______           ______        ___
         ______       ___           ______           ______        ___
         ______       ___           ______           ______        ___
           Etc.      Etc.             Etc.             Etc.       Etc.
------------------------------------------------------------------------

Subpart C--[Removed and Reserved]

0
5. Subpart C is removed and reserved.

0
6. Subpart D is revised to read as follows:
Subpart D--Commercial Warm Air Furnaces
Sec.
431.71 Purpose and scope.
431.72 Definitions concerning commercial warm air furnaces.

Test Procedures

431.75 Materials incorporated by reference.
431.76 Uniform test method for the measurement of energy efficiency 
of commercial warm air furnaces.

Energy Conservation Standards

431.77 Energy conservation standards and their effective dates.

Subpart D--Commercial Warm Air Furnaces


Sec.  431.71  Purpose and scope.

    This subpart contains energy conservation requirements for 
commercial warm air furnaces, pursuant to Part C of Title III of the 
Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6316.


Sec.  431.72  Definitions concerning commercial warm air furnaces.

    The following definitions apply for purposes of this subpart D, and 
of subparts J through M of this part. Any words or terms not defined in 
this Section or elsewhere in this Part shall be defined as provided in 
Section 340 of the Act.
    Commercial warm air furnace means a warm air furnace that is 
industrial equipment, and that has a capacity (rated maximum input) of 
225,000 Btu per hour or more.
    Thermal efficiency for a commercial warm air furnace equals 100 
percent minus percent flue loss determined using test procedures 
prescribed under Sec.  431.76.
    Warm air furnace means a self-contained oil-fired or gas-fired 
furnace designed to supply heated air through ducts to spaces that 
require it and includes combination warm air furnace/electric air 
conditioning units but does not include unit heaters and duct furnaces.

Test Procedures


Sec.  431.75  Materials incorporated by reference.

    (a) We incorporate by reference the following test procedures into 
subpart D of Part 431. The Director of the Federal Register has 
approved the material listed in paragraph (b) of this section for 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
51. Any subsequent amendment to this material by the standard-setting 
organization will not affect the DOE test procedures unless and until 
DOE amends its test procedures. We incorporate the material as it 
exists on the date of the approval and a notice of

[[Page 61940]]

any change in the material will be published in the Federal Register.
    (b) List of test procedures incorporated by reference. (1) American 
National Standards Institute (ANSI) Standard Z21.47-1998, ``Gas-Fired 
Central Furnaces,'' IBR approved for Sec.  431.76.
    (2) Underwriters Laboratories (UL) Standard 727-1994, ``Standard 
for Safety Oil-Fired Central Furnaces,'' IBR approved for Sec.  431.76.
    (3) Sections 8.2.2, 11.1.4, 11.1.5, and 11.1.6.2 of the Hydronics 
Institute (HI) Division of GAMA Boiler Testing Standard BTS-2000, 
``Method to Determine Efficiency of Commercial Space Heating Boilers,'' 
published January 2001 (HI BTS-2000), IBR approved for Sec.  431.76.
    (4) Sections 7.2.2.4, 7.8, 9.2, and 11.3.7 of the American Society 
of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (ASHRAE) 
Standard 103-1993, `` Method of Testing for Annual Fuel Utilization 
Efficiency of Residential Central Furnaces and Boilers,'' IBR approved 
for Sec.  431.76.
    (c) Availability of references. (1) Inspection of test procedures. 
The test procedures incorporated by reference are available for 
inspection at:
    (i) National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, ``Test Procedures and 
Efficiency Standards for Commercial Warm Air Furnaces; Efficiency 
Certification, Compliance, and Enforcement Requirements for Commercial 
Heating, Air Conditioning and Water Heating Equipment;'' Docket No. EE-
RM/TP-99-450, Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585.
    (2) Obtaining copies of Standards. Anyone can purchase a copy of 
standards incorporated by reference from the following sources:
    (i) The ASHRAE Standard from the American Society of Heating, 
Refrigerating, and Air-Conditioning Engineers, Inc., 1971 Tullie 
Circle, NE., Atlanta, GA 30329, or http://www.ashrae.org/book/bookshop.htm.
    (ii) The ANSI Standard from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, or http://global.ihs.com/, or 
http://webstore.ansi.org/ansidocstore/.
    (iii) The UL Standard from Global Engineering Documents, 15 
Inverness Way East, Englewood, CO 80112, or http://global.ihs.com/.
    (iv) The HI Standard from the Hydronics Institute Division of GAMA, 
P.O. Box 218, Berkeley Heights, NJ 07922, or http://www.gamanet.org/publist/hydroordr.htm.


Sec.  431.76  Uniform test method for the measurement of energy 
efficiency of commercial warm air furnaces.

    (a) This Section covers the test procedures you must follow if, 
pursuant to EPCA, you are measuring the steady state thermal efficiency 
of a gas-fired or oil-fired commercial warm air furnace with a rated 
maximum input of 225,000 Btu per hour or more. Where this Section 
prescribes use of ANSI standard Z21.47-1998 or UL standard 727-1994, 
(Incorporated by reference, see Sec.  431.75), perform only the 
procedures pertinent to the measurement of the steady-state efficiency.
    (b) Test setup. (1) Test setup for gas-fired commercial warm air 
furnaces. The test setup, including flue requirement, instrumentation, 
test conditions, and measurements for determining thermal efficiency is 
as specified in sections 1.1 (Scope), 2.1 (General), 2.2 (Basic Test 
Arrangements), 2.3 (Test Ducts and Plenums), 2.4 (Test Gases), 2.5 
(Test Pressures and Burner Adjustments), 2.6 (Static Pressure and Air 
Flow Adjustments), 2.38 (Thermal Efficiency), and 4.2.1 (Basic Test 
Arrangements for Direct Vent Control Furnaces) of the ANSI Standard 
Z21.47-1998. The thermal efficiency test must be conducted only at the 
normal inlet test pressure, as specified in Section 2.5.1 of ANSI 
Standard Z21.47-1998, (Incorporated by reference, see Sec.  431.75), 
and at the maximum hourly Btu input rating specified by the 
manufacturer for the product being tested.
    (2) Test setup for oil-fired commercial warm air furnaces. The test 
setup, including flue requirement, instrumentation, test condition, and 
measurement for measuring thermal efficiency is as specified in 
sections 1 (Scope), 2 (Units of Measurement), 3 (Glossary), 37 
(General), 38 and 39 (Test Installation), 40 (Instrumentation, except 
40.4 and 40.6.2 through 40.6.7, which are not required for the thermal 
efficiency test), 41 (Initial Test Conditions), 42 (Combustion Test--
Burner and Furnace), 43.2 (Operation Tests), 44 (Limit Control Cutout 
Test), 45 (Continuity of Operation Test), and 46 (Air Flow, Downflow or 
Horizontal Furnace Test), of the UL Standard 727-1994. You must conduct 
a fuel oil analysis for heating value, hydrogen content, carbon 
content, pounds per gallon, and American Petroleum Institute (API) 
gravity as specified in Section 8.2.2 of the HI BTS-2000 (Incorporated 
by reference, see Sec.  431.75). The steady-state combustion 
conditions, specified in Section 42.1 of UL Standard 727-1994, 
(Incorporated by reference, see Sec.  431.75), are attained when 
variations of not more than 5[deg]F in the measured flue gas 
temperature occur for three consecutive readings taken 15 minutes 
apart.
    (c) Additional test measurements. (1) Measurement of flue 
CO2 (carbon dioxide) for oil-fired commercial warm air 
furnaces. In addition to the flue temperature measurement specified in 
Section 40.6.8 of UL Standard 727-1994, (Incorporated by reference, see 
Sec.  431.75) you must locate one or two sampling tubes within six 
inches downstream from the flue temperature probe (as indicated on 
Figure 40.3 of UL Standard 727-1994) (Incorporated by reference, see 
Sec.  431.75). If you use an open end tube, it must project into the 
flue one-third of the chimney connector diameter. If you use other 
methods of sampling CO2, you must place the sampling tube so 
as to obtain an average sample. There must be no air leak between the 
temperature probe and the sampling tube location. You must collect the 
flue gas sample at the same time the flue gas temperature is recorded. 
The CO2 concentration of the flue gas must be as specified 
by the manufacturer for the product being tested, with a tolerance of 
0.1 percent. You must determine the flue CO2 
using an instrument with a reading error no greater than 0.1 percent.
    (2) Procedure for the measurement of condensate for a gas-fired 
condensing commercial warm air furnace. The test procedure for the 
measurement of the condensate from the flue gas under steady state 
operation must be conducted as specified in sections 7.2.2.4, 7.8 and 
9.2 of the ASHRAE Standard 103-1993 (Incorporated by reference, see 
Sec.  431.75) under the maximum rated input conditions. You must 
conduct this condensate measurement for an additional 30 minutes of 
steady state operation after completion of the steady state thermal 
efficiency test specified in paragraph (b) of this section.
    (d) Calculations of thermal efficiency. (1) Gas-fired commercial 
warm air furnaces. You must use the calculation procedure specified in 
Section 2.38, Thermal Efficiency, of ANSI Standard Z21.47-1998 
(Incorporated by reference, see Sec.  431.75).
    (2) Oil-fired commercial warm air furnaces. You must calculate the

[[Page 61941]]

percent flue loss (in percent of heat input rate) by following the 
procedure specified in sections 11.1.4, 11.1.5, and 11.1.6.2 of the HI 
BTS-2000 (Incorporated by reference, see Sec.  431.75). The thermal 
efficiency must be calculated as:

Thermal Efficiency (percent) = 100 percent - flue loss (in percent).

    (e) Procedure for the calculation of the additional heat gain and 
heat loss, and adjustment to the thermal efficiency, for a condensing 
commercial warm air furnace.
    (1) You must calculate the latent heat gain from the condensation 
of the water vapor in the flue gas, and calculate heat loss due to the 
flue condensate down the drain, as specified in sections 11.3.7.1 and 
11.3.7.2 of ASHRAE Standard 103-1993, (Incorporated by reference, see 
Sec.  431.75), with the exception that in the equation for the heat 
loss due to hot condensate flowing down the drain in Section 11.3.7.2, 
the assumed indoor temperature of 70[deg] F and the temperature term 
TOA must be replaced by the measured room temperature as 
specified in Section 2.2.8 of ANSI Standard Z21.47-1998 (Incorporated 
by reference, see Sec.  431.75).
    (2) Adjustment to the Thermal Efficiency for Condensing Furnace. 
You must adjust the thermal efficiency as calculated in paragraph 
(d)(1) of this section by adding the latent gain, expressed in percent, 
from the condensation of the water vapor in the flue gas, and 
subtracting the heat loss (due to the flue condensate down the drain), 
also expressed in percent, both as calculated in paragraph (e)(1) of 
this section, to obtain the thermal efficiency of a condensing furnace.

Energy Conservation Standards


Sec.  431.77  Energy conservation standards and their effective dates.

    Each commercial warm air furnace manufactured on or after January 
1, 1994, must meet the following energy efficiency standard levels:
    (a) For a gas-fired commercial warm air furnace with capacity of 
225,000 Btu per hour or more, the thermal efficiency at the maximum 
rated capacity (rated maximum input) must be not less than 80 percent.
    (b) For an oil-fired commercial warm air furnace with capacity of 
225,000 Btu per hour or more, the thermal efficiency at the maximum 
rated capacity (rated maximum input) must be not less than 81 percent.

0
7. Subpart E heading is revised to read as follows:

Subpart E--Commercial Packaged Boilers [Reserved]


Sec. Sec.  431.81 through 431.83  [Removed]

0
8. Sections 431.81 through 431.83 are removed.
0
9. Subpart G heading is revised to read as follows:

Subpart G--Commercial Water Heaters, Hot Water Supply Boilers and 
Unfired Hot Water Storage Tanks [Reserved]


Sec. Sec.  431.121 through 431.132 and Appendices A and B to Subpart 
G  [Removed]

0
10. Sections 431.121 through 431.132 and appendices A and B to subpart 
G are removed.

Subparts H and I [Added and Reserved]

0
11. Subparts H and I are added and reserved.

0
12. Subparts J through M are added to read as follows:
Subpart J--Provisions for Commercial HVAC & Water Heating Products
Sec.
431.171 Purpose and scope. [Reserved]
431.172 Definitions.
Subpart K--Enforcement
Sec.
431.190 Purpose and scope.
431.191 Prohibited acts.
431.192 Enforcement process for electric motors.
431.193 [Reserved]
431.194 Cessation of distribution of a basic model of an electric 
motor.
431.195 Remedies.
431.196 Hearings and appeals.
Appendix A to Subpart K of Part 431--Sampling Plan for Enforcement 
Testing of Electric Motors
Subpart L--General Provisions
Sec.
431.201 Petitions for waiver, and applications for interim waiver, 
of test procedure.
431.202 Preemption of State regulations for commercial HVAC & WH 
products.
431.203 Maintenance of records.
431.204 Imported equipment.
431.205 Exported equipment.
431.206 Subpoena.
431.207 Confidentiality.
Subpart M--Petitions To Exempt State Regulation From Preemption; 
Petitions To Withdraw Exemption of State Regulation
Sec.
431.211 Purpose and scope.
431.212 Prescriptions of a rule.
431.213 Filing requirements.
431.214 Notice of petition.
431.215 Consolidation.
431.216 Hearing.
431.217 Disposition of petitions.
431.218 Effective dates of final rules.
431.219 Request for reconsideration.
431.220 Finality of decision.

Subpart J--Provisions for Commercial HVAC & Water Heating Products


Sec.  431.171  Purpose and scope. [Reserved]


Sec.  431.172  Definitions.

    The following definitions apply for purposes of subparts D through 
G and J through M of this part. Other terms in these subparts shall be 
as defined elsewhere in this Part and, if not defined in this part, 
shall have the meaning set forth in Section 340 of the Act.
    Basic model means, with respect to a commercial HVAC & WH product, 
all units of such product, manufactured by one manufacturer, which have 
the same primary energy source and which do not have any differing 
electrical, physical, or functional characteristics that affect energy 
consumption.
    Commercial HVAC & WH product means any small or large commercial 
package air-conditioning and heating equipment, packaged terminal air 
conditioner, packaged terminal heat pump, commercial packaged boiler, 
hot water supply boiler, commercial warm air furnace, instantaneous 
water heater, storage water heater, or unfired hot water storage tank.
    Flue loss means the sum of the sensible heat and latent heat above 
room temperature of the flue gases leaving the appliance.
    Industrial equipment means an article of equipment, regardless of 
whether it is in fact distributed in commerce for industrial or 
commercial use, of a type which:
    (1) In operation consumes, or is designed to consume energy;
    (2) To any significant extent, is distributed in commerce for 
industrial or commercial use; and
    (3) Is not a ``covered product'' as defined in Section 321(2) of 
EPCA, 42 U.S.C. 6291(2), other than a component of a covered product 
with respect to which there is in effect a determination under Section 
341(c) of EPCA, 42 U.S.C. 6312(c).
    Private labeler means, with respect to a commercial HVAC & WH 
product, an owner of a brand or trade mark on the label of a product 
which bears a private label. A commercial HVAC & WH product bears a 
private label if :
    (1) Such product (or its container) is labeled with the brand or 
trademark of a person other than a manufacturer of such product;
    (2) The person with whose brand or trademark such product (or 
container) is labeled has authorized or caused such product to be so 
labeled; and
    (3) The brand or trademark of a manufacturer of such product does 
not appear on such label.

[[Page 61942]]

Subpart K--Enforcement


Sec.  431.190  Purpose and scope.

    This subpart describes violations of EPCA's energy conservation 
requirements, specific procedures we will follow in pursuing alleged 
non-compliance of an electric motor with an applicable energy 
conservation standard or labeling requirement, and general procedures 
for enforcement action, largely drawn directly from EPCA, that apply to 
both electric motors and commercial HVAC & WH products.


Sec.  431.191  Prohibited acts.

    (a) Each of the following is a prohibited act under sections 332 
and 345 of the Act:
    (1) Distribution in commerce by a manufacturer or private labeler 
of any ``new covered equipment'' which is not labeled in accordance 
with an applicable labeling rule prescribed in accordance with Section 
344 of the Act, and in this part;
    (2) Removal from any ``new covered equipment'' or rendering 
illegible, by a manufacturer, distributor, retailer, or private 
labeler, of any label required under this Part to be provided with such 
covered equipment;
    (3) Failure to permit access to, or copying of records required to 
be supplied under the Act and this part, or failure to make reports or 
provide other information required to be supplied under the Act and 
this part;
    (4) Advertisement of an electric motor or motors, by a 
manufacturer, distributor, retailer, or private labeler, in a catalog 
from which the equipment may be purchased, without including in the 
catalog all information as required by Sec.  431.31(b)(1), provided, 
however, that this shall not apply to an advertisement of an electric 
motor in a catalog if distribution of the catalog began before the 
effective date of the labeling rule applicable to that motor;
    (5) Failure of a manufacturer to supply at his expense a reasonable 
number of units of covered equipment to a test laboratory designated by 
the Secretary;
    (6) Failure of a manufacturer to permit a representative designated 
by the Secretary to observe any testing required by the Act and this 
part, and to inspect the results of such testing; and
    (7) Distribution in commerce by a manufacturer or private labeler 
of any new covered equipment which is not in compliance with an 
applicable energy efficiency standard prescribed under the Act and this 
part.
    (b) In accordance with sections 333 and 345 of the Act, any person 
who knowingly violates any provision of paragraph (a) of this section 
may be subject to assessment of a civil penalty of no more than $110 
for each violation. Each violation of paragraphs (a)(1), (2), and (7) 
of this section shall constitute a separate violation with respect to 
each unit of any covered equipment, and each day of noncompliance with 
paragraphs (a)(3) through (6) of this section shall constitute a 
separate violation.
    (c) For purposes of this section:
    (1) The term ``new covered equipment'' means covered equipment the 
title of which has not passed to a purchaser who buys such product for 
purposes other than:
    (i) Reselling it; or
    (ii) Leasing it for a period in excess of one year; and
    (2) The term ``knowingly'' means:
    (i) Having actual knowledge; or
    (ii) Presumed to have knowledge deemed to be possessed by a 
reasonable person who acts in the circumstances, including knowledge 
obtainable upon the exercise of due care.


Sec.  431.192  Enforcement process for electric motors.

    (a) Test notice. Upon receiving information in writing, concerning 
the energy performance of a particular electric motor sold by a 
particular manufacturer or private labeler, which indicates that the 
electric motor may not be in compliance with the applicable energy 
efficiency standard, or upon undertaking to ascertain the accuracy of 
the efficiency rating on the nameplate or in marketing materials for an 
electric motor, disclosed pursuant to subpart B of this part, the 
Secretary may conduct testing of that electric motor under this subpart 
by means of a test notice addressed to the manufacturer in accordance 
with the following requirements:
    (1) The test notice procedure will only be followed after the 
Secretary or his/her designated representative has examined the 
underlying test data (or, where appropriate, data as to use of an 
alternative efficiency determination method) provided by the 
manufacturer and after the manufacturer has been offered the 
opportunity to meet with the Department to verify, as applicable, 
compliance with the applicable efficiency standard, or the accuracy of 
labeling information, or both. In addition, where compliance of a basic 
model was certified based on an AEDM, the Department shall have the 
discretion to pursue the provisions of Sec.  431.17(a)(4)(iii) prior to 
invoking the test notice procedure. A representative designated by the 
Secretary shall be permitted to observe any re-verification procedures 
undertaken pursuant to this subpart, and to inspect the results of such 
reverification.
    (2) The test notice will be signed by the Secretary or his/her 
designee. The test notice will be mailed or delivered by the Department 
to the plant manager or other responsible official, as designated by 
the manufacturer.
    (3) The test notice will specify the model or basic model to be 
selected for testing, the method of selecting the test sample, the date 
and time at which testing shall be initiated, the date by which testing 
is scheduled to be completed and the facility at which testing will be 
conducted. The test notice may also provide for situations in which the 
specified basic model is unavailable for testing, and may include 
alternative basic models.
    (4) The Secretary may require in the test notice that the 
manufacturer of an electric motor shall ship at his expense a 
reasonable number of units of a basic model specified in such test 
notice to a testing laboratory designated by the Secretary. The number 
of units of a basic model specified in a test notice shall not exceed 
20.
    (5) Within five working days of the time the units are selected, 
the manufacturer shall ship the specified test units of a basic model 
to the testing laboratory.
    (b) Testing laboratory. Whenever the Department conducts 
enforcement testing at a designated laboratory in accordance with a 
test notice under this section, the resulting test data shall 
constitute official test data for that basic model. Such test data will 
be used by the Department to make a determination of compliance or 
noncompliance if a sufficient number of tests have been conducted to 
satisfy the requirements of appendix A of this subpart.
    (c) Sampling. The determination that a manufacturer's basic model 
complies with its labeled efficiency, or the applicable energy 
efficiency standard, shall be based on the testing conducted in 
accordance with the statistical sampling procedures set forth in 
appendix A of this subpart and the test procedures set forth in 
appendix B to subpart B of this part.
    (d) Test unit selection. A Department inspector shall select a 
batch, a batch sample, and test units from the batch sample in 
accordance with the provisions of this paragraph and the conditions 
specified in the test notice.
    (1) The batch may be subdivided by the Department utilizing 
criteria specified in the test notice.
    (2) A batch sample of up to 20 units will then be randomly selected 
from one or more subdivided groups within the

[[Page 61943]]

batch. The manufacturer shall keep on hand all units in the batch 
sample until such time as the basic model is determined to be in 
compliance or non-compliance.
    (3) Individual test units comprising the test sample shall be 
randomly selected from the batch sample.
    (4) All random selection shall be achieved by sequentially 
numbering all of the units in a batch sample and then using a table of 
random numbers to select the units to be tested.
    (e) Test unit preparation. (1) Prior to and during the testing, a 
test unit selected in accordance with paragraph (d) of this section 
shall not be prepared, modified, or adjusted in any manner unless such 
preparation, modification, or adjustment is allowed by the applicable 
Department of Energy test procedure. One test shall be conducted for 
each test unit in accordance with the applicable test procedures 
prescribed in appendix B to subpart B of this part.
    (2) No quality control, testing, or assembly procedures shall be 
performed on a test unit, or any parts and sub-assemblies thereof, that 
is not performed during the production and assembly of all other units 
included in the basic model.
    (3) A test unit shall be considered defective if such unit is 
inoperative or is found to be in noncompliance due to failure of the 
unit to operate according to the manufacturer's design and operating 
instructions. Defective units, including those damaged due to shipping 
or handling, shall be reported immediately to the Department. The 
Department shall authorize testing of an additional unit on a case-by-
case basis.
    (f) Testing at manufacturer's option. (1) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard at the conclusion of Department testing in 
accordance with the sampling plan specified in appendix A of this 
subpart, the manufacturer may request that the Department conduct 
additional testing of the basic model according to procedures set forth 
in appendix A of this subpart.
    (2) All units tested under this paragraph shall be selected and 
tested in accordance with the provisions given in paragraphs (a) 
through (e) of this section.
    (3) The manufacturer shall bear the cost of all testing conducted 
under this paragraph.
    (4) The manufacturer shall cease distribution of the basic model 
tested under the provisions of this paragraph from the time the 
manufacturer elects to exercise the option provided in this paragraph 
until the basic model is determined to be in compliance. The Department 
may seek civil penalties for all units distributed during such period.
    (5) If the additional testing results in a determination of 
compliance, a notice of allowance to resume distribution shall be 
issued by the Department.


Sec.  431.193  [Reserved]


Sec.  431.194  Cessation of distribution of a basic model of an 
electric motor.

    (a) In the event that a model of an electric motor is determined 
non-compliant by the Department in accordance with Sec.  431.192 or if 
a manufacturer or private labeler determines a model of an electric 
motor to be in noncompliance, then the manufacturer or private labeler 
shall:
    (1) Immediately cease distribution in commerce of the basic model.
    (2) Give immediate written notification of the determination of 
noncompliance, to all persons to whom the manufacturer has distributed 
units of the basic model manufactured since the date of the last 
determination of compliance.
    (3) Pursuant to a request made by the Secretary, provide the 
Department within 30 days of the request, records, reports, and other 
documentation pertaining to the acquisition, ordering, storage, 
shipment, or sale of a basic model determined to be in noncompliance.
    (4) The manufacturer may modify the non-compliant basic model in 
such manner as to make it comply with the applicable performance 
standard. Such modified basic model shall then be treated as a new 
basic model and must be certified in accordance with the provisions of 
this subpart; except that in addition to satisfying all requirements of 
this subpart, the manufacturer shall also maintain records that 
demonstrate that modifications have been made to all units of the new 
basic model prior to distribution in commerce.
    (b) If a basic model is not properly certified in accordance with 
the requirements of this subpart, the Secretary may seek, among other 
remedies, injunctive action to prohibit distribution in commerce of 
such basic model.


Sec.  431.195  Remedies.

    If the Secretary determines that a basic model of any covered 
equipment does not comply with an applicable energy conservation 
standard:
    (a) The Secretary will notify the manufacturer, private labeler, or 
any other person as required, of this finding and of the Secretary's 
intent to seek a judicial order restraining further distribution in 
commerce of units of such a basic model unless the manufacturer, 
private labeler or other person as required, delivers, within 15 
calendar days, a satisfactory statement to the Secretary, of the steps 
the manufacturer, private labeler or other person will take to insure 
that the noncompliant basic model will no longer be distributed in 
commerce. The Secretary will monitor the implementation of such 
statement.
    (b) If the manufacturer, private labeler or any other person as 
required, fails to stop distribution of the noncompliant basic model, 
the Secretary may seek to restrain such violation in accordance with 
sections 334 and 345 of the Act.
    (c) The Secretary will determine whether the facts of the case 
warrant the assessment of civil penalties for knowing violations in 
accordance with sections 333 and 345 of the Act.


Sec.  431.196  Hearings and appeals.

    (a) Under sections 333(d) and 345 of the Act, before issuing an 
order assessing a civil penalty against any person, the Secretary must 
provide to such a person a notice of the proposed penalty. Such notice 
must inform the person that such person can choose (in writing within 
30 days after receipt of the notice) to have the procedures of 
paragraph (c) of this section (in lieu of those in paragraph (b) of 
this section) apply with respect to such assessment.
    (b)(1) Unless a person elects, within 30 calendar days after 
receipt of a notice under paragraph (a) of this section, to have 
paragraph (c) of this section apply with respect to the civil penalty 
under paragraph (a), the Secretary will assess the penalty, by order, 
after providing an opportunity for an agency hearing under 5 U.S.C. 
554, before an administrative law judge appointed under 5 U.S.C. 3105, 
and making a determination of violation on the record. Such assessment 
order will include the administrative law judge's findings and the 
basis for such assessment.
    (2) Any person against whom the Secretary assesses a penalty under 
this paragraph may, within 60 calendar days after the date of the order 
assessing such penalty, initiate action in the United States Court of 
Appeals for the appropriate judicial circuit for judicial review of 
such order in accordance with 5 U.S.C. chapter 7. The court will have 
jurisdiction to enter a judgment affirming, modifying, or setting aside 
in whole or in part, the order of the Secretary, or the court may 
remand the proceeding to the Secretary for such further action as the 
court may direct.
    (c)(1) In the case of any civil penalty with respect to which the 
procedures of this paragraph have been elected, the

[[Page 61944]]

Secretary will promptly assess such penalty, by order, after the date 
of the receipt of the notice under paragraph (a) of this section of the 
proposed penalty.
    (2) If the person has not paid the civil penalty within 60 calendar 
days after the assessment has been made under paragraph (c)(1) of this 
section, the Secretary will institute an action in the appropriate 
District Court of the United States for an order affirming the 
assessment of the civil penalty. The court will have authority to 
review de novo the law and the facts involved and jurisdiction to enter 
a judgment enforcing, modifying, and enforcing as so modified, or 
setting aside in whole or in part, such assessment.
    (3) Any election to have this paragraph apply can only be revoked 
with the consent of the Secretary.
    (d) If any person fails to pay an assessment of a civil penalty 
after it has become a final and unappealable order under paragraph (b) 
of this section, or after the appropriate District Court has entered 
final judgment in favor of the Secretary under paragraph (c) of this 
section, the Secretary will institute an action to recover the amount 
of such penalty in any appropriate District Court of the United States. 
In such action, the validity and appropriateness of such final 
assessment order or judgment will not be subject to review.
    (e)(1) In accordance with the provisions of sections 333(d)(5)(A) 
and 345 of the Act and notwithstanding the provisions of title 28, 
United States Code, or Section 502(c) of the Department of Energy 
Organization Act, the General Counsel of the Department of Energy (or 
any attorney or attorneys within DOE designated by the Secretary) will 
represent the Secretary, and will supervise, conduct, and argue any 
civil litigation to which paragraph (c) of this section applies 
(including any related collection action under paragraph (d) of this 
section) in a court of the United States or in any other court, except 
the Supreme Court of the United States. However, the Secretary or the 
General Counsel will consult with the Attorney General concerning such 
litigation and the Attorney General will provide, on request, such 
assistance in the conduct of such litigation as may be appropriate.
    (2) In accordance with the provisions of sections 333(d)(5)(B) and 
345 of the Act, and subject to the provisions of Section 502(c) of the 
Department of Energy Organization Act, the Secretary will be 
represented by the Attorney General, or the Solicitor General, as 
appropriate, in actions under this section, except to the extent 
provided in paragraph (e)(1) of this section.
    (3) In accordance with the provisions of Section 333(d)(5)(c) and 
345 of the Act, Section 402(d) of the Department of Energy Organization 
Act will not apply with respect to the function of the Secretary under 
this section.

Appendix A to Subpart K of Part 431--Sampling Plan for Enforcement 
Testing of Electric Motors

    Step 1. The first sample size (n1) must be five or 
more units.
    Step 2. Compute the mean (X1 of the measured energy 
performance of the n1 units in the first sample as 
follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.005

where Xi is the measured full-load efficiency of unit i.
    Step 3. Compute the sample standard deviation (S1) of 
the measured full-load efficiency of the n1 units in the 
first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.006

    Step 4. Compute the standard error (SE(X1)) of the 
mean full-load efficiency of the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.007

    Step 5. Compute the lower control limit (LCL1) for 
the mean of the first sample using RE as the desired mean as 
follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.008

where: RE is the applicable EPCA nominal full-load efficiency when 
the test is to determine compliance with the applicable statutory 
standard, or is the labeled nominal full-load efficiency when the 
test is to determine compliance with the labeled efficiency value, 
and t is the 2.5th percentile of a t-distribution for a sample size 
of n1, which yields a 97.5 percent confidence level for a 
one-tailed t-test.
    Step 6. Compare the mean of the first sample (X1) 
with the lower control limit (LCL1) to determine one of 
the following:
    (i) If the mean of the first sample is below the lower control 
limit, then the basic model is in non-compliance and testing is at 
an end.
    (ii) If the mean is equal to or greater than the lower control 
limit, no final determination of compliance or non-compliance can be 
made; proceed to Step 7.
    Step 7. Determine the recommended sample size (n) as follows:
    [GRAPHIC] [TIFF OMITTED] TR83AD04.009
    
where S1, RE and t have the values used in Steps 3 and 5, 
respectively. The factor
[GRAPHIC] [TIFF OMITTED] TR83AD04.010

is based on a 20 percent tolerance in the total power loss at full-
load and fixed output power.
    Given the value of n, determine one of the following:
    (i) If the value of n is less than or equal to n1 and 
if the mean energy efficiency of the first sample (X1) is 
equal to or greater than the lower control limit (LCL1), 
the basic model is in compliance and testing is at an end.
    (ii) If the value of n is greater than n1, the basic model is in 
non-compliance. The size of a second sample n2 is 
determined to be the smallest integer equal to or greater than the 
difference n-n1. If the value of n2 so 
calculated is greater than 20-n1, set n2 equal to 20-
n1.
    Step 8. Compute the combined (X2) mean of the 
measured energy performance of the n1 and n2 
units of the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.011

    Step 9. Compute the standard error (SE(X2)) of the 
mean full-load efficiency of the n1 and n2 
units in the combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TR83AD04.012

(Note that S1 is the value obtained above in Step 3.)
    Step 10. Set the lower control limit (LCL2) to,
    [GRAPHIC] [TIFF OMITTED] TR83AD04.013
    
where t has the value obtained in Step 5, and compare the combined 
sample mean (X2) to the lower control limit 
(LCL2) to find one of the following:
    (i) If the mean of the combined sample (X2) is less 
than the lower control limit (LCL2), the basic model is 
in non-compliance and testing is at an end.
    (ii) If the mean of the combined sample (X2) is equal 
to or greater than the lower control limit (LCL2), the 
basic model is in compliance and testing is at an end.

Manufacturer-Option Testing

    If a determination of non-compliance is made in Steps 6, 7 or 
10, of this appendix A, the manufacturer may request that additional 
testing be conducted, in accordance with the following procedures.
    Step A. The manufacturer requests that an additional number, 
n3, of units be tested, with n3 chosen such 
that n1 + n2 + n3 does not exceed 
20.
    Step B. Compute the mean full-load efficiency, standard error, 
and lower control limit of the new combined sample in accordance 
with the procedures prescribed in Steps 8, 9, and 10, of this 
appendix A.
    Step C. Compare the mean performance of the new combined sample 
to the lower control limit (LCL2) to determine one of the 
following:

[[Page 61945]]

    (a) If the new combined sample mean is equal to or greater than 
the lower control limit, the basic model is in compliance and 
testing is at an end.
    (b) If the new combined sample mean is less than the lower 
control limit and the value of n1 + n2 + 
n3 is less than 20, the manufacturer may request that 
additional units be tested. The total of all units tested may not 
exceed 20. Steps A, B, and C are then repeated.
    (c) Otherwise, the basic model is determined to be in non-
compliance.

Subpart L--General Provisions


Sec.  431.201  Petitions for waiver, and applications for interim 
waiver, of test procedure.

    (a) General criteria. (1) Any interested person may submit a 
petition to waive for a particular basic model any requirements of 
Sec. Sec.  431.16, 431.76, 431.86, 431.96, and 431.106 of this part, 
upon the grounds that either the basic model contains one or more 
design characteristics which prevent testing of the basic model 
according to the prescribed test procedures, or the prescribed test 
procedures may evaluate the basic model in a manner so unrepresentative 
of its true energy consumption characteristics as to provide materially 
inaccurate comparative data.
    (2) Any person who has submitted a Petition for Waiver as provided 
in this subpart, may also file an Application for Interim Waiver of the 
applicable test procedure requirements.
    (b) Submission, content, and publication. (1) You must submit your 
Petition for Waiver in triplicate, to the Assistant Secretary for 
Energy Efficiency and Renewable Energy, U.S. Department of Energy. Each 
Petition for Waiver must:
    (i) Identify the particular basic model(s) for which a waiver is 
requested, the design characteristic(s) constituting the grounds for 
the petition, and the specific requirements sought to be waived, and 
must discuss in detail the need for the requested waiver;
    (ii) Identify manufacturers of all other basic models marketed in 
the United States and known to the petitioner to incorporate similar 
design characteristic(s);
    (iii) Include any alternate test procedures known to the petitioner 
to evaluate the characteristics of the basic model in a manner 
representative of its energy consumption; and
    (iv) Be signed by you or by an authorized representative. In 
accordance with the provisions set forth in 10 CFR 1004.11, any request 
for confidential treatment of any information contained in a Petition 
for Waiver or in supporting documentation must be accompanied by a copy 
of the petition, application or supporting documentation from which the 
information claimed to be confidential has been deleted. DOE will 
publish in the Federal Register the petition and supporting documents 
from which confidential information, as determined by DOE, has been 
deleted in accordance with 10 CFR 1004.11 and will solicit comments, 
data and information with respect to the determination of the petition.
    (2) You must submit any Application for Interim Waiver in 
triplicate, with the required three copies of the Petition for Waiver, 
to the Assistant Secretary for Energy Efficiency and Renewable Energy, 
U.S. Department of Energy. Each Application for Interim Waiver must 
reference the Petition for Waiver by identifying the particular basic 
model(s) for which you seek a waiver and temporary exception. Each 
Application for Interim Waiver must demonstrate likely success of the 
Petition for Waiver and address what economic hardship and/or 
competitive disadvantage is likely to result absent a favorable 
determination on the Application for Interim Waiver. You or an 
authorized representative must sign the Application for Interim Waiver.
    (c) Notification to other manufacturers. (1) After filing a 
Petition for Waiver with DOE, and after DOE has published the Petition 
for Waiver in the Federal Register, you must, within five working days 
of such publication, notify in writing all known manufacturers of 
domestically marketed units of the same product type (as defined in 
Section 340(1) of the Act) and must include in the notice a statement 
that DOE has published in the Federal Register on a certain date the 
Petition for Waiver and supporting documents from which confidential 
information, if any, as determined by DOE, has been deleted in 
accordance with 10 CFR 1004.11. In complying with the requirements of 
this paragraph, you must file with DOE a statement certifying the names 
and addresses of each person to whom you have sent a notice of the 
Petition for Waiver.
    (2) If you apply for Interim Waiver, whether filing jointly with or 
subsequent to your Petition for Waiver with DOE, you must concurrently 
notify in writing all known manufacturers of domestically marketed 
units of the same product type (as defined in Section 340(1) of the 
Act), and must include in the notice a copy of the Petition for Waiver 
and a copy of the Application for Interim Waiver. In complying with 
this section, you must in the written notification include a statement 
that the Assistant Secretary for Energy Efficiency and Renewable Energy 
will receive and consider timely written comments on the Application 
for Interim Waiver. Upon filing an Application for Interim Waiver, you 
must in complying with the requirements of this paragraph certify to 
DOE that a copy of these documents has been sent to all known 
manufacturers of domestically marked units of the same product type (as 
listed in Section 340(1) of the Act). Such certification must include 
the names and addresses of such persons. You must comply with the 
provisions of paragraph (c)(1) of this Section with respect to the 
petition for waiver.
    (d) Comments; responses to comments. (1) Any person submitting 
written comments to DOE with respect to an Application for Interim 
Waiver must also send a copy of the comments to the applicant.
    (2) Any person submitting written comments to DOE with the respect 
to a Petition for Waiver must also send a copy of such comments to the 
petitioner. In accordance with paragraph (b)(1) of this section, a 
petitioner may submit a rebuttal statement to the Assistant Secretary 
for Energy Efficiency and Renewable Energy.
    (e) Provisions specific to interim waivers--(1) Disposition of 
application. If administratively feasible, DOE will notify the 
applicant in writing of the disposition of the Application for Interim 
Waiver within 15 business days of receipt of the application. Notice of 
DOE's determination on the Application for Interim Waiver will be 
published in the Federal Register.
    (2) Consequences of filing application. The filing of an 
Application for Interim Waiver will not constitute grounds for 
noncompliance with any requirements of this subpart, until an Interim 
Waiver has been granted.
    (3) Criteria for granting. The Assistant Secretary for Energy 
Efficiency and Renewable Energy will grant an Interim Waiver from test 
procedure requirements if he or she determines that the applicant will 
experience economic hardship if the Application for Interim Waiver is 
denied, if it appears likely that the Petition for Waiver will be 
granted, and/or if the Assistant Secretary determines that it would be 
desirable for public policy reasons to grant immediate relief pending a 
determination on the Petition for Waiver.
    (4) Duration. An interim waiver will terminate 180 days after 
issuance or upon the determination on the Petition for Waiver, 
whichever occurs first. DOE may extend an interim waiver for up to 180 
days or modify its terms based on

[[Page 61946]]

relevant information contained in the record and any comments received 
subsequent to issuance of the interim waiver. DOE will publish in the 
Federal Register notice of such extension and/or any modification of 
the terms or duration of the interim waiver.
    (f) Provisions specific to waivers--(1) Rebuttal by petitioner. 
Following publication of the Petition for Waiver in the Federal 
Register, a petitioner may, within 10 working days of receipt of a copy 
of any comments submitted in accordance with paragraph (b)(1) of this 
section, submit a rebuttal statement to the Assistant Secretary for 
Energy Efficiency and Renewable Energy. A petitioner may rebut more 
than one response in a single rebuttal statement.
    (2) Disposition of petition. DOE will notify the petitioner in 
writing as soon as practicable of the disposition of each Petition for 
Waiver. The Assistant Secretary for Energy Efficiency and Renewable 
Energy will issue a decision on the petition as soon as is practicable 
following receipt and review of the Petition for Waiver and other 
applicable documents, including, but not limited to, comments and 
rebuttal statements.
    (3) Consequence of filing petition. The filing of a Petition for 
Waiver will not constitute grounds for noncompliance with any 
requirements of this subpart, until a waiver or interim waiver has been 
granted.
    (4) Granting: criteria, conditions, and publication. The Assistant 
Secretary for Energy Efficiency and Renewable Energy will grant a 
waiver if he or she determines that either the basic model for which 
the waiver was requested contains a design characteristic which 
prevents testing of the basic model according to the prescribed test 
procedures, or the prescribed test procedures may evaluate the basic 
model in a manner so unrepresentative of its true energy consumption 
characteristics as to provide materially inaccurate comparative data. 
The Assistant Secretary for Energy Efficiency and Renewable Energy may 
grant a waiver subject to conditions, which may include adherence to 
alternate test procedures. DOE will promptly publish in the Federal 
Register notice of each waiver granted or denied, and any limiting 
conditions of each waiver granted.
    (g) Revision of regulation. Within one year of the granting of any 
waiver, the Department will publish in the Federal Register a notice of 
proposed rulemaking to amend our regulations so as to eliminate any 
need for the continuation of such waiver. As soon thereafter as 
practicable, the Department will publish in the Federal Register a 
final rule. Such waiver will terminate on the effective date of such 
final rule.
    (h) Exhaustion of remedies. In order to exhaust administrative 
remedies, any person aggrieved by an action under this Section must 
file an appeal with the DOE's Office of Hearings and Appeals as 
provided in 10 CFR Part 1003, subpart C.


Sec.  431.202  Preemption of State regulations for commercial HVAC & WH 
products.

    Beginning on the effective date of such standard, an energy 
conservation standard set forth in this Part for a commercial HVAC & WH 
product supersedes any State or local regulation concerning the energy 
efficiency or energy use of that product, except as provided for in 
Section 345(b)(2)(B)-(D) of the Act.


Sec.  431.203  Maintenance of records.

    (a) If you are the manufacturer of any covered equipment, you must 
establish, maintain and retain records of the following:
    (1) The test data for all testing conducted pursuant to this part;
    (2) For electric motors, the development, substantiation, 
application, and subsequent verification of any AEDM used under this 
part; and
    (3) For electric motors, any written certification received from a 
certification program, including a certificate or conformity, relied on 
under the provisions of this part.
    (b) You must organize such records and index them so that they are 
readily accessible for review. The records must include the supporting 
test data associated with tests performed on any test units to satisfy 
the requirements of this Part (except tests performed by us directly).
    (c) For each basic model, you must retain all such records for a 
period of two years from the date that production of all units of that 
basic model has ceased. You must retain records in a form allowing 
ready access to DOE, upon request.


Sec.  431.204  Imported equipment.

    (a) Under sections 331 and 345 of the Act, any person importing any 
covered equipment into the United States must comply with the 
provisions of the Act and of this part, and is subject to the remedies 
of this part.
    (b) Any covered equipment offered for importation in violation of 
the Act and of this part will be refused admission into the customs 
territory of the United States under rules issued by the Secretary of 
the Treasury, except that the Secretary of the Treasury may, by such 
rules, authorize the importation of such covered equipment upon such 
terms and conditions (including the furnishing of a bond) as may appear 
to the Secretary of Treasury appropriate to ensure that such covered 
equipment will not violate the Act and this part, or will be exported 
or abandoned to the United States.


Sec.  431.205  Exported equipment.

    Under Sections 330 and 345 of the Act, this Part does not apply to 
any covered equipment if:
    (a) Such equipment is manufactured, sold, or held for sale for 
export from the United States (or such equipment was imported for 
export), unless such equipment is, in fact, distributed in commerce for 
use in the United States; and,
    (b) Such equipment, when distributed in commerce, or any container 
in which it is enclosed when so distributed, bears a stamp or label 
stating that such covered equipment is intended for export.


Sec.  431.206  Subpoena.

    Pursuant to sections 329(a) and 345 of the Act, for purposes of 
carrying out this part, the Secretary or the Secretary's designee, may 
sign and issue subpoenas for the attendance and testimony of witnesses 
and the production of relevant books, records, papers, and other 
documents, and administer the oaths. Witnesses summoned under the 
provisions of this section shall be paid the same fees and mileage as 
are paid to witnesses in the courts of the United States. In case of 
contumacy by, or refusal to obey a subpoena served upon any persons 
subject to this part, the Secretary may seek an order from the District 
Court of the United States for any District in which such person is 
found or resides or transacts business requiring such person to appear 
and give testimony, or to appear and produce documents. Failure to obey 
such order is punishable by such court as a contempt thereof.


Sec.  431.207  Confidentiality.

    Pursuant to the provisions of 10 CFR 1004.11, any person submitting 
information or data which the person believes to be confidential and 
exempt from public disclosure should submit one complete copy, and 15 
copies from which the information believed to be confidential has been 
deleted. In accordance with the procedures established at 10 CFR 
1004.11, the Department shall make its own determination with regard to 
any claim that information submitted be exempt from public disclosure.

[[Page 61947]]

Subpart M--Petitions To Exempt State Regulation From Preemption; 
Petitions To Withdraw Exemption of State Regulation


Sec.  431.211  Purpose and scope.

    (a) The regulations in this subpart prescribe the procedures to be 
followed in connection with petitions requesting a rule that a State 
regulation prescribing an energy conservation standard or other 
requirement respecting energy use or energy efficiency of a type (or 
class) of covered equipment not be preempted.
    (b) The regulations in this subpart also prescribe the procedures 
to be followed in connection with petitions to withdraw a rule 
exempting a State regulation prescribing an energy conservation 
standard or other requirement respecting energy use or energy 
efficiency of a type (or class) of covered equipment.


Sec.  431.212  Prescriptions of a rule.

    (a) Criteria for exemption from preemption. Upon petition by a 
State which has prescribed an energy conservation standard or other 
requirement for a type or class of covered equipment for which a 
Federal energy conservation standard is applicable, the Secretary shall 
prescribe a rule that such standard not be preempted if he/she 
determines that the State has established by a preponderance of 
evidence that such requirement is needed to meet unusual and compelling 
State or local energy interests. For the purposes of this regulation, 
the term ``unusual and compelling State or local energy interests'' 
means interests which are substantially different in nature or 
magnitude from those prevailing in the U.S. generally, and are such 
that when evaluated within the context of the State's energy plan and 
forecast, the costs, benefits, burdens, and reliability of energy 
savings resulting from the State regulation make such regulation 
preferable or necessary when measured against the costs, benefits, 
burdens, and reliability of alternative approaches to energy savings or 
production, including reliance on reasonably predictable market-induced 
improvements in efficiency of all equipment subject to the State 
regulation. The Secretary may not prescribe such a rule if he finds 
that interested persons have established, by a preponderance of the 
evidence, that the State's regulation will significantly burden 
manufacturing, marketing, distribution, sale or servicing of the 
covered equipment on a national basis. In determining whether to make 
such a finding, the Secretary shall evaluate all relevant factors 
including: The extent to which the State regulation will increase 
manufacturing or distribution costs of manufacturers, distributors, and 
others; the extent to which the State regulation will disadvantage 
smaller manufacturers, distributors, or dealers or lessen competition 
in the sale of the covered equipment in the State; the extent to which 
the State regulation would cause a burden to manufacturers to redesign 
and produce the covered equipment type (or class), taking into 
consideration the extent to which the regulation would result in a 
reduction in the current models, or in the projected availability of 
models, that could be shipped on the effective date of the regulation 
to the State and within the U.S., or in the current or projected sales 
volume of the covered equipment type (or class) in the State and the 
U.S.; and the extent to which the State regulation is likely to 
contribute significantly to a proliferation of State commercial and 
industrial equipment efficiency requirements and the cumulative impact 
such requirements would have. The Secretary may not prescribe such a 
rule if he/she finds that such a rule will result in the unavailability 
in the State of any covered equipment (or class) of performance 
characteristics (including reliability), features, sizes, capacities, 
and volumes that are substantially the same as those generally 
available in the State at the time of the Secretary's finding. The 
failure of some classes (or types) to meet this criterion shall not 
affect the Secretary's determination of whether to prescribe a rule for 
other classes (or types).
    (1) Requirements of petition for exemption from preemption. A 
petition from a State for a rule for exemption from preemption shall 
include the information listed in paragraphs (a)(1)(i) through 
(a)(1)(vi) of this section. A petition for a rule and correspondence 
relating to such petition shall be available for public review except 
for confidential or proprietary information submitted in accordance 
with the Department of Energy's Freedom of Information Regulations set 
forth in 10 CFR Part 1004.
    (i) The name, address, and telephone number of the petitioner;
    (ii) A copy of the State standard for which a rule exempting such 
standard is sought;
    (iii) A copy of the State's energy plan and forecast;
    (iv) Specification of each type or class of covered equipment for 
which a rule exempting a standard is sought;
    (v) Other information, if any, believed to be pertinent by the 
petitioner; and
    (vi) Such other information as the Secretary may require.
    (b) Criteria for exemption from preemption when energy emergency 
conditions exist within State. Upon petition by a State which has 
prescribed an energy conservation standard or other requirement for a 
type or class of covered equipment for which a Federal energy 
conservation standard is applicable, the Secretary may prescribe a 
rule, effective upon publication in the Federal Register, that such 
regulation not be preempted if he determines that in addition to 
meeting the requirements of paragraph (a) of this Section the State has 
established that: an energy emergency condition exists within the State 
that imperils the health, safety, and welfare of its residents because 
of the inability of the State or utilities within the State to provide 
adequate quantities of gas or electric energy to its residents at less 
than prohibitive costs; and cannot be substantially alleviated by the 
importation of energy or the use of interconnection agreements; and the 
State regulation is necessary to alleviate substantially such 
condition.
    (1) Requirements of petition for exemption from preemption when 
energy emergency conditions exist within a State. A petition from a 
State for a rule for exemption from preemption when energy emergency 
conditions exist within a State shall include the information listed in 
paragraphs (a)(1)(i) through (a)(1)(vi) of this section. A petition 
shall also include the information prescribed in paragraphs (b)(1)(i) 
through (b)(1)(iv) of this section, and shall be available for public 
review except for confidential or proprietary information submitted in 
accordance with the Department of Energy's Freedom of Information 
Regulations set forth in 10 CFR Part 1004:
    (i) A description of the energy emergency condition which exists 
within the State, including causes and impacts.
    (ii) A description of emergency response actions taken by the State 
and utilities within the State to alleviate the emergency condition;
    (iii) An analysis of why the emergency condition cannot be 
alleviated substantially by importation of energy or the use of 
interconnection agreements;
    (iv) An analysis of how the State standard can alleviate 
substantially such emergency condition.
    (c) Criteria for withdrawal of a rule exempting a State standard. 
Any person subject to a State standard which, by rule, has been 
exempted from Federal preemption and which prescribes an

[[Page 61948]]

energy conservation standard or other requirement for a type or class 
of covered equipment, when the Federal energy conservation standard for 
such equipment subsequently is amended, may petition the Secretary 
requesting that the exemption rule be withdrawn. The Secretary shall 
consider such petition in accordance with the requirements of paragraph 
(a) of this section, except that the burden shall be on the petitioner 
to demonstrate that the exemption rule received by the State should be 
withdrawn as a result of the amendment to the Federal standard. The 
Secretary shall withdraw such rule if he determines that the petitioner 
has shown the rule should be withdrawn.
    (1) Requirements of petition to withdraw a rule exempting a State 
standard. A petition for a rule to withdraw a rule exempting a State 
standard shall include the information prescribed in paragraphs 
(c)(1)(i) through (c)(1)(vii) of this section, and shall be available 
for public review, except for confidential or proprietary information 
submitted in accordance with the Department of Energy's Freedom of 
Information Regulations set forth in 10 CFR Part 1004:
    (i) The name, address and telephone number of the petitioner;
    (ii) A statement of the interest of the petitioner for which a rule 
withdrawing an exemption is sought;
    (iii) A copy of the State standard for which a rule withdrawing an 
exemption is sought;
    (iv) Specification of each type or class of covered equipment for 
which a rule withdrawing an exemption is sought;
    (v) A discussion of the factors contained in paragraph (a) of this 
section;
    (vi) Such other information, if any, believed to be pertinent by 
the petitioner; and
    (vii) Such other information as the Secretary may require.
    (2) [Reserved]


Sec.  431.213  Filing requirements.

    (a) Service. All documents required to be served under this subpart 
shall, if mailed, be served by first class mail. Service upon a 
person's duly authorized representative shall constitute service upon 
that person.
    (b) Obligation to supply information. A person or State submitting 
a petition is under a continuing obligation to provide any new or newly 
discovered information relevant to that petition. Such information 
includes, but is not limited to, information regarding any other 
petition or request for action subsequently submitted by that person or 
State.
    (c) The same or related matters. A person or State submitting a 
petition or other request for action shall state whether to the best 
knowledge of that petitioner the same or related issue, act, or 
transaction has been or presently is being considered or investigated 
by any State agency, department, or instrumentality.
    (d) Computation of time. (1) Computing any period of time 
prescribed by or allowed under this subpart, the day of the action from 
which the designated period of time begins to run is not to be 
included. If the last day of the period is Saturday, or Sunday, or 
Federal legal holiday, the period runs until the end of the next day 
that is neither a Saturday, or Sunday or Federal legal holiday.
    (2) Saturdays, Sundays, and intervening Federal legal holidays 
shall be excluded from the computation of time when the period of time 
allowed or prescribed is 7 days or less.
    (3) When a submission is required to be made within a prescribed 
time, DOE may grant an extension of time upon good cause shown.
    (4) Documents received after regular business hours are deemed to 
have been submitted on the next regular business day. Regular business 
hours for the DOE's National Office, Washington, DC, are 8:30 a.m. to 
4:30 p.m.
    (5) DOE reserves the right to refuse to accept, and not to 
consider, untimely submissions.
    (e) Filing of petitions. (1) A petition for a rule shall be 
submitted in triplicate to: The Assistant Secretary for Energy 
Efficiency and Renewable Energy, U.S. Department of Energy, Section 327 
Petitions, Building Technologies, EE-2J, Forrestal Building,1000 
Independence Avenue, SW., Washington, DC 20585.
    (2) A petition may be submitted on behalf of more than one person. 
A joint petition shall indicate each person participating in the 
submission. A joint petition shall provide the information required by 
Sec.  431.212 for each person on whose behalf the petition is 
submitted.
    (3) All petitions shall be signed by the person(s) submitting the 
petition or by a duly authorized representative. If submitted by a duly 
authorized representative, the petition shall certify this 
authorization.
    (4) A petition for a rule to withdraw a rule exempting a State 
regulation, all supporting documents, and all future submissions shall 
be served on each State agency, department, or instrumentality whose 
regulation the petitioner seeks to supersede. The petition shall 
contain a certification of this service which states the name and 
mailing address of the served parties, and the date of service.
    (f) Acceptance for filing. (1) Within 15 days of the receipt of a 
petition, the Secretary will either accept it for filing or reject it, 
and the petitioner will be so notified in writing. The Secretary will 
serve a copy of this notification on each other party served by the 
petitioner. Only such petitions which conform to the requirements of 
this subpart and which contain sufficient information for the purposes 
of a substantive decision will be accepted for filing. Petitions which 
do not so conform will be rejected and an explanation provided to 
petitioner in writing.
    (2) For purposes of the Act and this subpart, a petition is deemed 
to be filed on the date it is accepted for filing.
    (g) Docket. A petition accepted for filing will be assigned an 
appropriate docket designation. Petitioner shall use the docket 
designation in all subsequent submissions.


Sec.  431.214  Notice of petition.

    (a) Promptly after receipt of a petition and its acceptance for 
filing, notice of such petition shall be published in the Federal 
Register. The notice shall set forth the availability for public review 
of all data and information available, and shall solicit comments, data 
and information with respect to the determination on the petition. 
Except as may otherwise be specified, the period for public comment 
shall be 60 days after the notice appears in the Federal Register.
    (b) In addition to the material required under paragraph (a) of 
this section, each notice shall contain a summary of the State 
regulation at issue and the petitioner's reasons for the rule sought.


Sec.  431.215  Consolidation.

    DOE may consolidate any or all matters at issue in two or more 
proceedings docketed where there exist common parties, common questions 
of fact and law, and where such consolidation would expedite or 
simplify consideration of the issues. Consolidation shall not affect 
the right of any party to raise issues that could have been raised if 
consolidation had not occurred.


Sec.  431.216  Hearing.

    The Secretary may hold a public hearing, and publish notice in the 
Federal Register of the date and location of the hearing, when he 
determines that such a hearing is necessary and likely to result in a 
timely and effective resolution of the issues. A

[[Page 61949]]

transcript shall be kept of any such hearing.


Sec.  431.217  Disposition of petitions.

    (a) After the submission of public comments under Sec.  431.213(a), 
the Secretary shall prescribe a final rule or deny the petition within 
6 months after the date the petition is filed.
    (b) The final rule issued by the Secretary or a determination by 
the Secretary to deny the petition shall include a written statement 
setting forth his findings and conclusions, and the reasons and basis 
therefor. A copy of the Secretary's decision shall be sent to the 
petitioner and the affected State agency. The Secretary shall publish 
in the Federal Register a notice of the final rule granting or denying 
the petition and the reasons and basis therefor.
    (c) If the Secretary finds that he cannot issue a final rule within 
the 6-month period pursuant to paragraph (a) of this section, he shall 
publish a notice in the Federal Register extending such period to a 
date certain, but no longer than one year after the date on which the 
petition was filed. Such notice shall include the reasons for the 
delay.


Sec.  431.218  Effective dates of final rules.

    (a) A final rule exempting a State standard from Federal preemption 
will be effective:
    (1) Upon publication in the Federal Register if the Secretary 
determines that such rule is needed to meet an ``energy emergency 
condition'' within the State;
    (2) Three years after such rule is published in the Federal 
Register; or
    (3) Five years after such rule is published in the Federal Register 
if the Secretary determines that such additional time is necessary due 
to the burdens of retooling, redesign or distribution.
    (b) A final rule withdrawing a rule exempting a State standard will 
be effective upon publication in the Federal Register.


Sec.  431.219  Request for reconsideration.

    (a) Any petitioner whose petition for a rule has been denied may 
request reconsideration within 30 days of denial. The request shall 
contain a statement of facts and reasons supporting reconsideration and 
shall be submitted in writing to the Secretary.
    (b) The denial of a petition will be reconsidered only where it is 
alleged and demonstrated that the denial was based on error in law or 
fact and that evidence of the error is found in the record of the 
proceedings.
    (c) If the Secretary fails to take action on the request for 
reconsideration within 30 days, the request is deemed denied, and the 
petitioner may seek such judicial review as may be appropriate and 
available.
    (d) A petitioner has not exhausted other administrative remedies 
until a request for reconsideration has been filed and acted upon or 
deemed denied.


Sec.  431.220  Finality of decision.

    (a) A decision to prescribe a rule that a State energy conservation 
standard or other requirement not be preempted is final on the date the 
rule is issued, i.e., signed by the Secretary. A decision to prescribe 
such a rule has no effect on other regulations of covered equipment of 
any other State.
    (b) A decision to prescribe a rule withdrawing a rule exempting a 
State standard or other requirement is final on the date the rule is 
issued, i.e., signed by the Secretary. A decision to deny such a 
petition is final on the day a denial of a request for reconsideration 
is issued, i.e., signed by the Secretary.

Subpart Q--[Removed]

0
13. Subpart Q is removed.

[FR Doc. 04-17729 Filed 10-20-04; 8:45 am]
BILLING CODE 6450-01-U