[Federal Register Volume 81, Number 15 (Monday, January 25, 2016)]
[Rules and Regulations]
[Pages 4086-4158]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-00039]



[[Page 4085]]

Vol. 81

Monday,

No. 15

January 25, 2016

Part II





Department of Energy





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10 CFR Parts 429 and 431





 Energy Conservation Program: Test Procedure for Pumps; Final Rule

  Federal Register / Vol. 81 , No. 15 / Monday, January 25, 2016 / 
Rules and Regulations  

[[Page 4086]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[Docket No. EERE-2013-BT-TP-0055]
RIN 1905-AD50


Energy Conservation Program: Test Procedure for Pumps

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

ACTION: Final rule.

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SUMMARY: On April 1, 2015, the U.S. Department of Energy (DOE) issued a 
notice of proposed rulemaking (NOPR) to establish new definitions and a 
new test procedure for pumps. That proposed rulemaking serves as the 
basis for this final rule. This final rule establishes a new test 
procedure for pumps, as well as associated definitions and parameters 
that establish the scope of applicability of the test procedure. 
Specifically, the pumps test procedure adopted in this final rule 
incorporates by reference the test procedure from the Hydraulic 
Institute (HI)--standard 40.6-2014, ``Methods for Rotodynamic Pump 
Efficiency Testing''--with several clarifications and modifications, 
related to measuring the hydraulic power, shaft power, and electric 
input power of pumps, inclusive of electric motors and any continuous 
or non-continuous controls. The new pumps test procedure will be used 
to determine the constant load pump energy index (PEICL) for 
pumps sold without continuous or non-continuous controls and the 
variable load pump energy index (PEIVL) for pumps sold with 
continuous or non-continuous controls. The final rule incorporates 
certain recommendations made by the commercial and industrial pumps 
(CIP) Working Group, which was established under the Appliance 
Standards Rulemaking Federal Advisory Committee (ASRAC), as well as 
comments submitted by interested parties in response to the April 2015 
pumps test procedure NOPR.

DATES: The effective date of this rule is February 24, 2016. Compliance 
with the final rule will be mandatory for representations of 
PEICL, PEIVL, the constant load pump energy 
rating (PERCL), and the variable load pump energy rating 
(PERVL) made on or after July 25, 2016. The incorporation by 
reference of certain publications listed in this rule is approved by 
the Director of the Federal Register as of February 24, 2016.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at regulations.gov. All 
documents in the docket are listed in the www.regulations.gov index. 
However, some documents listed in the index, such as those containing 
information that is exempt from public disclosure, may not be publicly 
available.
    A link to the docket Web page can be found at: https://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/44. This Web page contains a link to the docket for this 
document on the regulations.gov site. The www.regulations.gov Web page 
contains simple instructions on how to access all documents, including 
public comments, in the docket.
    For further information on how to review the docket, contact Ms. 
Brenda Edwards at (202) 586-2945 or by email: 
[email protected].

FOR FURTHER INFORMATION CONTACT:
    Ms. Ashley Armstrong, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: 
(202) 586-6590. Email: [email protected].
    Jennifer Tiedeman, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington DC 20585-0121. 
Telephone: (202) 287-6111. Email: [email protected].

SUPPLEMENTARY INFORMATION: This final rule incorporates by reference 
into 10 CFR part 431 the following industry standards:
    (1) FM Class Number 1319, ``Approval Standard for Centrifugal Fire 
Pumps (Horizontal, End Suction Type),'' approved January 2015.
    Copies of FM Class Number 1319 can be obtained from: FM Global, 
1151 Boston-Providence Turnpike, P.O. Box 9102, Norwood, MA 02062, 
(781) 762-4300, or by visiting www.fmglobal.com.
    (2) American National Standards Institute (ANSI)/HI 1.1-1.2-2014 
(``ANSI/HI 1.1-1.2-2014''), ``American National Standard for 
Rotodynamic Centrifugal Pumps for Nomenclature and Definitions;'' 
approved October 30, 2014, sections 1.1, ``Types and nomenclature,'' 
and 1.2.9, ``Rotodynamic pump icons.''
    (3) ANSI/HI 2.1-2.2-2014 (``ANSI/HI 2.1-2.2-2014 ''), ``American 
National Standard for Rotodynamic Vertical Pumps of Radial, Mixed, and 
Axial Flow Types for Nomenclature and Definitions,'' approved April 8, 
2014, section 2.1, ``Types and nomenclature.''
    (4) HI 40.6-2014, (``HI 40.6-2014'') ``Methods for Rotodynamic Pump 
Efficiency Testing,'' (except for section 40.6.5.3, ``Test report;'' 
Appendix A, section A.7, ``Testing at temperatures exceeding 30 [deg]C 
(86[emsp14][deg]F);'' and Appendix B, ``Reporting of test results 
(normative);'') copyright 2014.
    Copies of ANSI/HI 1.1-1.2-2014, ANSI/HI 2.1-2.2-2014, and HI 40.6-
2014 can be obtained from: the Hydraulic Institute at 6 Campus Drive, 
First Floor North, Parsippany, NJ 07054-4406, (973) 267-9700, or by 
visiting www.pumps.org.
    (5) National Fire Protection Association (NFPA) 20-2016, ``Standard 
for the Installation of Stationary Pumps for Fire Protection,'' 2016 
Edition, approved June 15, 2015.
    Copies of NFPA 20-2016 can be obtained from: the National Fire 
Protection Association, 1 Batterymarch Park, Quincy, MA 02169, (617) 
770-3000, or by visiting www.nfpa.org.
    (6) UL 488, (``ANSI/UL 448-2013''), ``Standard for Safety 
Centrifugal Stationary Pumps for Fire-Protection Service,'' 10th 
Edition, June 8, 2007, including revisions through July 12, 2013.
    Copies of ANSI/UL448-2013 can be obtained from: UL, 333 Pfingsten 
Road, Northbrook, IL 60062, (847) 272-8800, or by visiting http://ul.com.
    This material is also available for inspection at U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW., Washington, 
DC 20024, (202) 586-2945, or at http://energy.gov/eere/buildings/appliance-and-equipment-standards-program.
    See section IV.N. for additional information about these standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Summary of the Final Rule
III. Discussion
    A. Scope
    1. Definitions Related to the Scope of Covered Pumps
    2. Equipment Categories
    3. Scope Exclusions Based on Application
    4. Parameters for Establishing the Scope of Pumps in This 
Rulemaking
    5. Drivers Other Than Electric Motors
    6. Pumps Sold With Single-Phase Induction Motors
    B. Rating Metric: Constant and Variable Load Pump Energy Index
    1. Determination of the Pump Energy Rating
    2. PERSTD: Minimally Compliant Pump
    C. Determination of Pump Performance
    1. Incorporation by Reference of HI 40.6-2014

[[Page 4087]]

    2. Minor Modifications and Additions to HI 40.6-2014
    D. Determination of Motor Efficiency
    1. Default Nominal Full Load Motor Efficiency
    2. Represented Nominal Full Load Motor Efficiency for Pumps Sold 
With Motors
    3. Determining Part Load Motor Losses
    E. Test Methods for Different Pump Configurations
    1. Calculation-Based Test Methods
    2. Testing-Based Methods
    F. Representations of Energy Use and Energy Efficiency
    G. Sampling Plans for Pumps
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. The Need for, and Objectives of, Today's Rule
    2. Significant Issues From Interested Parties in Response to 
IRFA
    3. Revised Assessment of Burden Associated With This Test 
Procedure Final Rule
    4. Calculator Comments
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    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 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. Description of Materials Incorporated by Reference
V. Approval of the Office of the Secretary

I. Authority and Background

    Pumps are included in the list of ``covered equipment'' for which 
the U.S. Department of Energy (DOE) is authorized to establish and 
amend energy conservation standards and test procedures. (42 U.S.C. 
6311(1)(A)) However, there are not currently any Federal energy 
conservation standards or test procedures for pumps. The following 
sections discuss DOE's authority to establish test procedures for pumps 
and relevant background information regarding DOE's consideration of 
test procedures for this equipment.

A. Authority

    The Energy Policy and Conservation Act of 1975 (EPCA), Public Law 
94-163, as amended by Public Law 95-619, Title IV, Sec. 441(a), 
established the Energy Conservation Program for Certain Industrial 
Equipment under Title III, Part C (42 U.S.C. 6311-6317, as codified) 
\1\ \2\ Included among the various types of industrial equipment 
addressed by EPCA are pumps, the subject of this document. (42 U.S.C. 
6311(1)(A))
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    \1\ For editorial reasons, Part C was codified as Part A-1 in 
the U.S. Code.
    \2\ All references to EPCA in this document refer to the statute 
as amended through the Energy Efficiency Improvement Act of 2015, 
Public Law 114-11 (April 30, 2015).
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    Under EPCA, the energy conservation program consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. The 
testing requirements consist of test procedures that manufacturers of 
covered products must use as the basis for (1) certifying to DOE that 
their products comply with the applicable energy conservation standards 
adopted under EPCA, (42 U.S.C. 6295(s) and 6316(a)(1)), and (2) making 
representations about the efficiency of that equipment. (42 U.S.C. 
6314(d)) Similarly, DOE must use these test procedures to determine 
whether the products comply with any relevant standards promulgated 
under EPCA.
    DOE is authorized to prescribe energy conservation standards and 
corresponding test procedures for statutorily covered equipment such as 
pumps. While DOE is currently evaluating whether to establish energy 
conservation standards for pumps (Docket No. EERE-2011-BT-STD-0031), 
DOE must first establish a test procedure that measures the energy use, 
energy efficiency, or estimated operating costs of such equipment. See, 
generally, 42 U.S.C. 6295(r) and 6316(a).
    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered equipment. EPCA provides that any test procedures prescribed or 
amended under this section shall be reasonably designed to produce test 
results that measure energy efficiency, energy use or estimated annual 
operating cost of a covered product during a representative average use 
cycle or period of use, and shall not be unduly burdensome to conduct. 
(42 U.S.C. 6314(a)(2))
    In addition, before prescribing any final test procedures, DOE must 
publish proposed test procedures and offer the public an opportunity to 
present oral and written comments on them. (42 U.S.C. 6314(b)(1)-(2))
    In this final rule, DOE is establishing a test procedure for pumps 
concurrent with its ongoing energy conservation standards rulemaking 
for this equipment (See Docket No. EERE-2011-BT-STD-0031). As discussed 
further in section I.B, DOE published a notice of proposed rulemaking 
(NOPR) on April 1, 2015 presenting and requesting public comment on 
DOE's proposals related to pumps definitions, metric, and test 
procedure requirements (April 2015 pump test procedure NOPR). 80 FR 
17586.
    The pumps test procedure adopted in this final rule includes 
methods required to (1) measure the performance of the covered 
equipment and (2) use the measured results to calculate a pump energy 
index (PEICL for pumps sold without continuous or non-
continuous controls or PEIVL for pumps sold with continuous 
or non-continuous controls) to represent the power consumption of the 
pump, inclusive of a motor and any continuous or non-continuous 
controls, normalized with respect to the performance of a minimally 
compliant pump. In this final rule, DOE is also establishing the 
specific styles and characteristics of pumps to which the test 
procedure applies.
    Manufacturers will be required to make all representations of pump 
efficiency, overall (wire-to-water) efficiency, bowl efficiency, driver 
power input, pump power input (brake or shaft horsepower), and/or pump 
power output (hydraulic horsepower) using methods that will generate 
values consistent with the DOE test procedure beginning 180 days after 
the publication date of this final rule in the Federal Register. 
Manufacturers also will be required to use the new test procedure and 
metric when making representations regarding the PEICL, 
PEIVL, PERCL, or PERVL of covered 
equipment 180 days after the publication date of any applicable energy 
conservation standards final rule in the Federal Register. However, DOE 
notes that certification of compliance with any energy conservation 
standards for pumps would not be required until the compliance date of 
any final rule establishing such energy conservation standards. See 42 
U.S.C. 6314(d) and Docket No. EERE-2011-BT-STD-0031.

B. Background

    DOE does not currently regulate pumps. In 2011, DOE issued a 
Request for Information (RFI) to gather data and information related to 
pumps in anticipation of initiating rulemakings to formally consider 
test procedures and energy conservation standards for this equipment. 
76 FR 34192 (June 13, 2011). In February 2013, DOE published a Notice 
of Public Meeting and Availability of the Framework document to 
initiate an energy conservation standard rulemaking for pumps (78 FR 
7304 Feb. 1, 2013) and

[[Page 4088]]

held a public meeting to discuss the Framework document (the ``pumps 
Framework public meeting'').
    Following the pumps Framework public meeting, DOE convened a 
Commercial and Industrial Pumps Working Group (``CIP Working Group'' 
or, in context, ``Working Group'') through the Appliance Standards 
Rulemaking Federal Advisory Committee (ASRAC) to negotiate standards 
and test procedures for pumps as an alternative to the traditional 
notice and comment rulemaking process that DOE had already begun. 
(Docket No. EERE-2013-BT-NOC-0039) \3\ The CIP Working Group commenced 
negotiations at an open meeting on December 18 and 19, 2013, and held 
six additional meetings and two webinars to discuss definitions, 
metrics, test procedures, and standard levels for pumps.\4\ The CIP 
Working Group concluded its negotiations on June 19, 2014, with a 
consensus vote to approve a term sheet containing recommendations to 
DOE on appropriate standard levels for pumps as well as recommendations 
addressing issues related to the metric and test procedure for pumps 
(``Working Group recommendations'').\5\ Subsequently, ASRAC voted 
unanimously to approve the Working Group recommendations during a July 
7, 2014 webinar.
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    \3\ Information on the ASRAC, the CIP Working Group, and meeting 
dates is available at http://energy.gov/eere/buildings/appliance-standards-and-rulemaking-federal-advisory-committee.
    \4\ Details of the negotiation sessions can be found in the 
public meeting transcripts that are posted to the docket for the 
Working Group (http://www.regulations.gov/#!docketDetail;D=EERE-
2013-BT-NOC-0039).
    \5\ The term sheet containing the Working Group recommendations 
is available in the CIP Working Group's docket. (Docket No. EERE-
2013-BT-NOC-0039, No. 92) The ground rules of the CIP Working Group 
define consensus as no more than two negative votes. (Docket No. 
EERE-2013-BT-NOC-0039, No. 18 at p. 2) Concurrence was assumed if a 
voting member was absent, and overt dissent was only evidenced by a 
negative vote. Abstention was not construed as a negative vote.
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    Following approval of the Working Group recommendations, DOE 
published a NOPR implementing the recommendations of the CIP Working 
Group \6\ and proposing a new test procedure for pumps, as well as 
associated definitions and parameters to establish the applicability of 
the test procedure (April 2015 pump test procedure NOPR). 80 FR 17586 
(April 1, 2015). On April 29, 2015, DOE held a public meeting to 
discuss and request public comment on the April 2015 pumps test 
procedure NOPR (April 2015 NOPR public meeting).
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    \6\ DOE's proposals in the April 2015 pumps test procedure NOPR 
reflect the intent of the CIP Working Group recommendations. 
However, DOE proposed some slight modifications and significant 
additional detail to ensure the technical integrity, accuracy, 
repeatability, and enforceability of the pumps test procedure and 
scope.
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    DOE's test procedure for pumps, adopted in this final rule, 
reflects certain recommendations of the CIP Working Group, as well as 
input from interested parties received in response to the April 2015 
pumps test procedure NOPR. Provisions of this final rule that are 
directly pertinent to any of the 14 approved Working Group 
recommendations will be specified with a citation to the specific 
recommendation number (for example: Docket No. EERE-2013-BT-NOC-0039, 
No. 92, Recommendation #X at p. Y). Additionally, in developing the 
provisions of this final rule, DOE also has referenced discussions from 
the CIP Working Group meetings regarding potential actions or comments 
that may not have been formally approved as part of the Working Group 
recommendations. These references to discussions or suggestions of the 
CIP Working Group not found in the Working Group recommendations will 
have a citation to meeting transcripts (for example: Docket No. EERE-
2013-BT-NOC-0039, No. X at p. Y).
    Finally, in this final rule, DOE responds to all comments received 
from interested parties in response to the proposals presented in the 
April 2015 pumps test procedure NOPR, either during the April 2015 NOPR 
public meeting or in subsequent written comments. In response to the 
April 2015 pumps test procedure NOPR, DOE received eight written 
comments in addition to the verbal comments made by interested parties 
during the April 2015 NOPR public meeting. The commenters included: 
Wilo USA, LLC (Wilo); the Hydraulic Institute (HI); the National 
Electrical Manufacturers Association (NEMA); the Appliance Standards 
Awareness Project (ASAP), Natural Resources Defense Council (NRDC), 
Northwest Energy Efficiency Alliance (NEEA), and Northwest Power and 
Conservation Council (NPCC), collectively referred to herein as the 
energy efficiency advocates (EEAs); the Air-Conditioning, Heating, & 
Refrigeration Institute (AHRI); the Association of Pool & Spa 
Professionals (APSP); Pacific Gas and Electric Company (PG&E), Southern 
California Gas Company (SCG), Southern California Edison (SCE), and San 
Diego Gas and Electric Company (SDG&E), collectively referred to herein 
as the CA IOUs. DOE will identify comments received in response to the 
April 2015 pumps test procedure NOPR by the commenter, the number of 
document as listed in the docket maintained at www.regulations.gov 
(Docket No. EERE-2013-BT-TP-0055), and the page number of that document 
where the comment appears (for example: HI, No. 8 at p. 4). If a 
comment was made verbally during the NOPR public meeting, DOE will also 
specifically identify those as being located in the NOPR public meeting 
transcript (for example: HI, NOPR public meeting transcript, No. 7 at 
p. 235). This final rule also contains comments submitted in response 
to the pumps energy conservation standards rulemaking (Docket No. EERE-
2011-BT-STD-0031) and such comments will be identified with that docket 
number.

II. Summary of the Final Rule

    In this final rule, DOE is establishing a new subpart Y to part 431 
of Title 10 of the Code of Federal Regulations that contains 
definitions and a test procedure applicable to pumps. This final rule 
also contains sampling plans for pumps for the purposes of making 
representations regarding the energy consumption of applicable pumps 
and demonstrating compliance with any energy conservation standards 
that DOE adopts.
    DOE notes that equipment meeting the pump definition is already 
covered equipment. In this final rule, DOE is establishing definitions 
for the term pump, certain pump components, and several categories and 
configurations of pumps. While the range of equipment included in DOE's 
definition of pump is broad, the test procedure established by this 
rulemaking is limited to a specific scope of pumps, as described in 
section III.A of this final rule; specifically certain kinds of 
rotodynamic pumps \7\ for which standards are being considered in DOE's 
energy conservation standards rulemaking. (Docket No. EERE-2011-BT-STD-
0031)
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    \7\ A rotodynamic (or centrifugal) pump is a kinetic machine 
that continuously imparts energy to the pumped fluid by means of a 
rotating impeller, propeller, or rotor. This kind of pump is in 
contrast to positive-displacement pumps, which have an expanding 
cavity on the suction side and a decreasing cavity on the discharge 
side that move a constant volume of fluid for each cycle of 
operation.
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    DOE's approach adopted in this final rule establishes a new metric, 
the pump energy index (PEI), to rate the energy performance of pumps 
subject to this test procedure. The test procedure contains methods for 
determining constant load pump energy index (PEICL) for 
pumps sold without continuous or non-continuous controls and the 
variable load pump energy index (PEIVL) for pumps sold with 
either

[[Page 4089]]

continuous or non-continuous controls. Both PEICL and 
PEIVL describe the weighted average performance of the rated 
pump at specific load points, normalized with respect to the 
performance of a minimally compliant pump without controls.
    The test procedure contains methods to determine the appropriate 
index for all equipment for which this test procedure applies using 
either calculation-based methods and/or testing-based methods. While 
both methods include some amount of testing and some amount of 
calculation, the terms ``calculation-based'' and ``testing-based'' are 
used to distinguish between methods in which the input power to the 
pump is determined either by (a) measuring the bare pump shaft input 
power \8\ and calculating efficiency, or losses, of the motor and any 
continuous control \9\ (i.e., calculation-based method) or (b) 
measuring the input power to the driver,\10\ or motor, and any 
continuous or non-continuous controls \11\ for a given pump directly 
(i.e., testing-based method). For both the testing-based and 
calculation-based approaches, the test procedure for pumps established 
in this final rule is based on the test methods contained in HI 
Standard 40.6-2014, ``Methods for Rotodynamic Pump Efficiency 
Testing,'' (``HI 40.6-2014''), with slight modifications as noted in 
section III.C.2.
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    \8\ The term ``pump shaft input power'' is referred to as ``pump 
power input'' in HI 40.6-2014. The term ``pump shaft input power'' 
is used synonymously with that term in this document.
    \9\ DOE notes that for non-continuous controls, as defined in 
section III.E.1.c, PEIVL can only be determined using a 
``testing-based'' method. If a calculation-based method is desired, 
the pump would instead be rated as a pump sold with a motor and 
without speed controls using the PEICL metric. See 
section III.E.1.c for further discussion.
    \10\ The input power to the driver is referred to as ``driver 
power input'' in HI 40.6-2014. The term ``input power to the 
driver'' is used synonymously with that term in this document.
    \11\ In the case wherein a pump is sold with a motor equipped 
with either continuous or non-continuous controls and is rated using 
the testing-based method, the input power to the pump would be 
determined as the input power to the continuous or non-continuous 
control. See section III.E.2.c.
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    The test procedure also prescribes the specific categories and 
configurations of pumps to which the calculation-based and testing-
based methods are applicable. As discussed further in section III.E.2, 
the testing-based methods are applicable to all pumps that are subject 
to the test procedure, while the calculation-based methods are only 
applicable to (1) pumps sold with neither a motor nor controls (i.e., 
``bare pump,'' discussed later in section III.A.1.a), (2) pumps sold 
with motors that are subject to DOE's energy conservation standards for 
electric motors \12\ (with or without continuous controls), and (3) 
pumps sold with submersible motors (with or without continuous 
controls).
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    \12\ All references to ``motors that are subject to the DOE's 
energy conservation standards for electric motors'' refer to those 
motors that are subject to the energy conservation standards for 
electric motors at 431.25(g) (as established in the May 2014 medium 
electric motor energy conservation standard final rule. 79 FR 30933 
(May 29, 2014)). See section III.D.1 and III.E.1 for more 
discussion.
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    Regardless of the metric (i.e., PEICL versus 
PEIVL) or test method (i.e., calculation-based versus 
testing-based), the results for the given pump are divided by the 
calculated input power to the motor for a hypothetical pump that serves 
an identical hydraulic load and minimally complies with any energy 
conservation standards that DOE may set as a result of the ongoing 
standards rulemaking. (Docket No. EERE-2011-BT-STD-0031) This 
normalized metric results in a value that is indexed to the standard 
(i.e., a value of 1.0 for a pump that is minimally compliant, and a 
value less than 1.0 for a pump that is less consumptive than the 
maximum the standard allows).
    This final rule also establishes requirements regarding the 
sampling plan and representations for covered pumps at subpart B of 
part 429 of Title 10 of the Code of Federal Regulations. The sampling 
plan requirements are similar to those for several other types of 
commercial equipment and are appropriate for pumps based on the 
expected range of measurement uncertainty and manufacturing tolerances 
for this equipment. For those pumps addressed by this test procedure, 
DOE is also specifying the energy consumption or energy efficiency 
representations that may be made, in addition to the regulated metric 
(PEICL or PEIVL).
    Beginning on the compliance date for any energy conservation 
standards that DOE may set, all pumps within the scope of those energy 
conservation standards would be required to be tested in accordance 
with subpart Y of part 431 and must have their testing performed in a 
manner consistent with the applicable sampling requirements. 
Manufacturers must make all representations of pump efficiency, overall 
(wire-to-water) efficiency, bowl efficiency, driver power input, pump 
power input (brake or shaft horsepower), and/or pump power output 
(hydraulic horsepower) using methods that will generate values 
consistent with the DOE test procedure beginning 180 days after the 
publication date of this final rule in the Federal Register. Similarly, 
all representations regarding PEICL, PEIVL, 
PERCL, or PERVL would be required to be made 
based on values consistent with the adopted pump test procedure 180 
days after the publication date of any final rule establishing energy 
conservation standards for those pumps that are addressed by the test 
procedure. See 42 U.S.C. 6314(d). DOE understands that manufacturers of 
pumps likely have historical test data (e.g., existing pump curves) 
which were developed with methods consistent with the DOE test 
procedure being adopted in this final rule. DOE notes that it does not 
expect manufacturers to regenerate all of the historical test data 
unless the rating resulting from the historical methods, which is based 
on the same methodology being adopted in this final rule, would no 
longer be valid.

III. Discussion

    This final rule places a new test procedure for pumps and related 
definitions in a new subpart Y of part 431, and adds new sampling plans 
and reporting requirements for this equipment in a new section 429.59 
of 10 CFR part 429. Subpart Y contains definitions, materials 
incorporated by reference, and the test procedure for certain 
categories and configurations of pumps established as a result of this 
rulemaking, as well as any energy conservation standards for pumps 
resulting from the ongoing energy conservation standard rulemaking, as 
shown in Table III.1. (Docket No. EERE-2011-BT-STD-0031)

   Table III.1--Summary of Relevant Provisions Addressed in This Final Rule, Their Location Within the Code of
                           Federal Regulations, and the Applicable Preamble Discussion
----------------------------------------------------------------------------------------------------------------
                                                                                            Applicable preamble
              Location                      Proposal             Summary of additions           discussion
----------------------------------------------------------------------------------------------------------------
10 CFR 429.59 *....................  Sampling Plan.........  Number of pumps to be        Section III.G.
                                                              tested to rate a pump
                                                              basic model and
                                                              calculation of rating.

[[Page 4090]]

 
10 CFR 431.461.....................  Purpose and Scope.....  Scope of pump regulations,   Section III.A.
                                                              as well as the proposed
                                                              test procedure and
                                                              associated energy
                                                              conservation standards.
10 CFR 431.462.....................  Definitions...........  Definitions pertinent to     Section III.A.
                                                              establishing equipment
                                                              classes and testing
                                                              applicable classes of
                                                              pumps.
10 CFR 431.463.....................  Incorporation by        Description of industry      Sections III.A and
                                      Reference.              standards incorporated by    III.C.
                                                              reference in the DOE test
                                                              procedure or related
                                                              definitions.
10 CFR 431.464 and Appendix A to     Test Procedure........  Instructions for             Sections III.B, III.C,
 Subpart Y of Part 431.                                       determining the PEICL or     III.D, and III.E.
                                                              PEIVL for applicable
                                                              classes of pumps.
10 CFR 431.466.....................  Energy Conservation     Energy conservation          Section III.A and
                                      Standards.              standard for applicable      Docket EERE-2011-BT-
                                                              classes of pumps, in terms   STD-0031.
                                                              of PEI and associated C-
                                                              Value.
----------------------------------------------------------------------------------------------------------------
* Note: DOE is also making minor modifications to 10 CFR 429.2; 429.11(a) and (b); 429.12(b)(13); 429.70;
  429.72; 429.102; and 429.134 to apply the general sampling requirements established in these sections to the
  equipment-specific sampling requirements for pumps at 10 CFR 429.59.

    The following sections discuss DOE's new provisions regarding 
testing and sampling requirements for pumps, including:
    (1) Scope,
    (2) rating metric,
    (3) determination of pump performance,
    (4) determination of motor efficiency,
    (5) test methods for different combinations of bare pumps, drivers 
and controls,
    (6) representations, and
    (7) sampling plans.

These sections also present any pertinent comments DOE received in 
response to the April 2015 pumps test procedure NOPR or the parallel 
pumps energy conservation standards rulemaking (Docket No. EERE-2011-
BT-STD-0031), as well as DOE's responses to those comments and the 
resulting changes to the test procedure as proposed in the NOPR.

A. Scope

    The term ``pump'' is listed as a type of covered equipment under 
EPCA; however, that term is undefined. See 42 U.S.C. 6311(1)(A). In the 
April 2015 pumps test procedure NOPR, consistent with recommendations 
from the CIP Working Group (Docket No. EERE-2013-BT-NOC-0039, No. 92, 
Recommendations #4 and 6-8 at pp. 2-4), DOE proposed definitions for 
the term pump, as covered equipment, and related components of pumps. 
80 FR 17586, 17591 (April 1, 2015). In addition, DOE proposed to define 
which pumps would need to be tested using the test procedure 
established in this rulemaking by applying three criteria: (1) The 
equipment category; (2) the application; and (3) applicable performance 
specifications--i.e., horsepower (hp), flow rate, head, design 
temperature, and speed restrictions. Id.
    In response to DOE's proposed definitions and scope of the test 
procedure for pumps, HI commented that it detected no inconsistencies 
with the scope of the pump test procedure and energy conservation 
standard rulemakings. (HI, No. 8 at p. 4)
    DOE's criteria for establishing which pumps will be subject to the 
test procedure, including any additional comments received by 
interested parties on those particular topics, are discussed in 
sections III.A.1 through III.A.6, respectively.
1. Definitions Related to the Scope of Covered Pumps
    To help explain the scope for this rule and the manner in which 
both the procedure and related standards will be applied to different 
pump configurations and categories of pumps, the aforementioned 
definitions for pump, certain pump components, and other specific pump 
characteristics, are discussed in the following subsections.
a. Pumps and Related Components
    As part of its collective efforts to help DOE craft an appropriate 
regulatory approach to pumps, the CIP Working Group made a series of 
recommendations regarding a variety of potential definitions that would 
define ``pump,'' the covered equipment. In particular, the Working 
Group offered a definition for ``pump'' along with the related terms 
``bare pump,'' ``mechanical equipment,'' ``driver,'' and ``controls.'' 
(Docket No. EERE-2013-BT-NOC-0039, No. 92, Recommendations #1 and 2 at 
pp. 1-2) Accordingly, in the April 2015 pumps test procedure NOPR, DOE 
proposed adopting these recommended definitions with slight 
modification. 80 FR 17586, 17591 (April 1, 2015). Specifically, in the 
April 2015 pumps test procedure NOPR, DOE proposed the following terms:
     Pump means equipment that is designed to move liquids 
(which may include entrained gases, free solids, and totally dissolved 
solids) by physical or mechanical action and includes at least a bare 
pump and, if included by the manufacturer at the time of sale, 
mechanical equipment, driver, and controls.
     Bare pump means a pump excluding mechanical equipment, 
driver, and controls.
     Mechanical equipment means any component of a pump that 
transfers energy from a driver to the bare pump.
     Driver means the machine providing mechanical input to 
drive a bare pump directly or through the use of mechanical equipment. 
Examples include, but are not limited to, an electric motor, internal 
combustion engine, or gas/steam turbine.
     Control means any device that can be used to operate the 
driver. Examples include, but are not limited to, continuous or non-
continuous controls, schedule-based controls, on/off switches, and 
float switches.

80 FR 17586, 17591-92 (April 1, 2015).
    HI expressed agreement with the proposed definitions, except for 
the text ``entrained gases'' in the proposed definition for pump. HI 
indicated that the text ``entrained gasses'' should be changed to 
``dissolved gasses'' because pumps within scope are not designed to 
pump entrained gas, and small amounts

[[Page 4091]]

of entrained gas would result in a loss of performance and efficiency. 
(HI, No. 8 at p. 4)
    DOE understands that, whereas dissolved gases are in solution and 
would not appear as bubbles in the pumped liquid, entrained gases are 
not in solution and would appear as bubbles in the pumped liquid. In 
addition, DOE agrees that pumps within the scope of this rulemaking are 
not designed to pump entrained gas. This has been acknowledged through 
the definition of ``clean water pump,'' as described in section III.A.3 
of this final rule, which specifies that the total gas content of the 
water must not exceed the saturation volume.\13\ However, the 
definition for ``pump'' applies in general to all pumps, which are 
covered under EPCA (see 42 U.S.C. 6311(1)(A)), and is broader than the 
scope of this rulemaking. Changing the language in the definition of 
``pump'' from ``dissolved gasses'' to ``entrained gasses'' would 
suggest that DOE's coverage of pumps was limited. In addition, such a 
change would limit DOE's coverage to a subset of the pumps intended by 
the Working Group and proposed in the NOPR. Therefore, DOE declines to 
make the requested change.
---------------------------------------------------------------------------

    \13\ In general, entrained gasses, or gas bubbles, will only 
form when the total gas content of the water is above the saturation 
volume of the liquid. Otherwise, gases are more likely to stay 
dissolved in the liquid and not generate gas bubbles.
---------------------------------------------------------------------------

    DOE did not receive comments on other aspects of the ``pump'' 
definition or on the other terms discussed in this section. As such, 
DOE is adopting definitions for the terms ``pump,'' ``bare pump,'' 
``mechanical equipment,'' ``driver,'' and ``control'' as proposed in 
the April 2015 pumps test procedure NOPR without further changes.
b. Definition of Categories of Controls
    The definition of ``control'' established in this final rule is 
broad. DOE acknowledges the definition may include many different kinds 
of electronic or mechanical devices that can ``control the driver'' of 
a pump (e.g., continuous or non-continuous controls, timers, and on/off 
switches). These various controls may use a variety of mechanisms to 
control the pump for operational reasons, which may or may not result 
in reduced energy consumption.
    In the April 2015 pumps test procedure NOPR, DOE proposed specific 
test methods for pumps that are sold with motors that are paired with 
controls that adjust the speed of the driver, as DOE determined that 
these were the most common type of controls that reduced energy 
consumption in the field. Similarly, DOE proposed that such pumps 
equipped with speed controls could apply the PEIVL metric. 
80 FR 17586, 17592-93 (April 1, 2015). Additionally, DOE proposed that 
pumps sold with motors and controls other than speed controls \14\ 
would be subject to the appropriate bare pump and motor test procedures 
and rated using PEICL. Id.
---------------------------------------------------------------------------

    \14\ Here and throughout this final rule, DOE uses the term 
``speed controls'' to refer to continuous and non-continuous 
controls, as defined in section III.A.1.b of this document.
---------------------------------------------------------------------------

    To explicitly establish the kinds of controls that may apply the 
PEIVL metric under the test procedure, DOE proposed to 
define the terms ``continuous control'' and ``non-continuous control'' 
(see sections III.B and III.E for further discussion of the 
PEIVL rating metric and its applicability to pumps with 
controls, respectively):
     Continuous control means a control that adjusts the speed 
of the pump driver continuously over the driver operating speed range 
in response to incremental changes in the required pump flow, head, or 
power output.\15\ As an example, variable speed drives (VSDs), 
including variable frequency drives and electronically commutated 
motors (ECMs), meet the definition for continuous controls.
---------------------------------------------------------------------------

    \15\ HI-40.6, as incorporated by reference, defines pump power 
output as ``the mechanical power transferred to the liquid as it 
passes through the pump, also known as pump hydraulic power.''
---------------------------------------------------------------------------

     Non-continuous control means a control that adjusts the 
speed of a driver to one of a discrete number of non-continuous preset 
operating speeds, and does not respond to incremental reductions in the 
required pump flow, head, or power output. As an example, multi-speed 
motors such as two-speed motors meet the definition for non-continuous 
controls.

80 FR 17586, 17592-93 (April 1, 2015).
    DOE requested comment on the proposed definitions of ``continuous 
control'' and ``non-continuous control.'' DOE also requested comment on 
the likelihood of a pump with continuous or non-continuous controls 
being distributed in commerce, but never being paired with any sensor 
or feedback mechanisms that would enable energy savings. In response, 
HI commented that it agrees with the proposed definitions for 
continuous control and non-continuous control, and that it does not 
have data on pumps with speed controls being distributed in commerce 
without any sensor or feedback mechanisms. (HI, No. 8 at p. 4)
    During the public meeting, Regal Beloit requested a clarification 
related to DOE's definitions of continuous control and non-continuous 
control. Specifically, Regal Beloit requested clarification regarding 
whether pumps sold with multi-pole motors and ``single-speed controls, 
which would be considered multi-speed,'' would be classified as pumps 
sold with non-continuous controls. (Regal Beloit, NOPR public meeting 
transcript, No. 7 at p. 98). With respect to Regal Beloit's use of the 
term ``single-speed controls,'' DOE believes that Regal Beloit is 
referring to ``multi-speed'' permanent split capacitor (PSC) motors, 
which are PSC motors that are offered with two or more discrete speed 
options. Depending on the specific model, speeds may be adjusted 
manually with a switch or automatically with a type of control logic. 
Similarly, multi-pole motors are induction motors that are offered with 
two or more discrete speed options. Again, speeds may be adjusted 
manually with a switch or automatically with a type of control logic.
    In this final rule, DOE clarifies that, to the extent multi-pole 
motors and multi-speed PSC motors control the driver speed discretely 
(via manual switch or control logic) in response to incremental 
reductions in the required flow, head, or pump power output, such 
motors would meet the definition of non-continuous controls and would 
be tested in accordance with the applicable test procedure for pumps 
sold with motors and non-continuous controls (see section III.E). DOE 
also clarifies in this final rule that any control that can achieve the 
specified load points on the reference system curve (see section 
III.E.2.c) meets DOE's definition of continuous control, as it can 
achieve the specific flow rate and head values specified by the 
reference system curve in the test procedure.
    CA IOUs asked during the April 2015 NOPR public meeting whether DOE 
would consider differentiating between two-speed and multi-speed 
motors, and stated that if more discrete speeds are available there is 
more opportunity to match the pump and motor to the load. (CA IOUs, 
NOPR public meeting transcript, No. 7 at pp. 98-99) DOE believes that 
in this context, CA IOUs is referring to ``multi-speed motors'' as 
motors with more than two discrete speeds.
    DOE believes the definition of non-continuous control adequately 
covers all motors with two or more discrete speeds that are sold with 
any control mechanism that controls the motor speed discretely (e.g., 
manual switch or control logic). Furthermore, the test procedure for 
pumps sold with motors and non-continuous controls, as proposed in the 
April 2015 pumps test procedure NOPR, contains provisions

[[Page 4092]]

that will typically allow motors with three or more speeds to achieve a 
lower (less consumptive) PEIVL rating than motors with only 
two speeds. This procedure is outlined in detail in section III.E.2.c. 
Consequently, DOE believes that motors with differing numbers of 
discrete speed options are already differentiated in the proposed test 
procedure and has determined that it is not necessary to further 
differentiate between two-speed and multi-speed motors.
    After considering HI's agreement with the proposed definitions and 
the questions raised by Regal Beloit and CA IOUs, DOE is adopting, in 
this final rule, the definitions for continuous and non-continuous 
controls, as proposed in the April 2015 pumps test procedure NOPR.
c. Definition of Basic Model
    In the course of regulating consumer products and commercial and 
industrial equipment, DOE has developed the concept of a ``basic 
model'' to determine the specific product or equipment configuration(s) 
to which the regulations would apply. For the purposes of applying 
pumps regulations, DOE proposed to define what constitutes a basic 
model of pump.
    In the April 2015 pumps test procedure NOPR, DOE defined a basic 
model in a manner similar to the definitions used for other commercial 
and industrial equipment, with the exception of two pump-specific 
issues. Specifically, DOE proposed to define basic model as it applies 
to pumps to include all units of a given covered equipment type (or 
class thereof) manufactured by one manufacturer, having the same 
primary energy source, and having essentially identical electrical, 
physical, and functional (or hydraulic) characteristics that affect 
energy consumption, energy efficiency, water consumption, or water 
efficiency; except that:
    (1) Variation in the number of stages particular radially split, 
multi-sage vertical in-line casing diffuser (RSV) \16\ and vertical 
turbine submersible (VTS) pump units are sold with would not result in 
different basic models; and
---------------------------------------------------------------------------

    \16\ The acronym RSV abbreviates ``radially split vertical,'' 
which is a key characteristic of the radially split, multi-stage 
vertical in-line casing diffuser equipment category.
---------------------------------------------------------------------------

    (2) pump models for which the bare pump differs in impeller 
diameter, or impeller trim, may be considered a single basic model.

80 FR 17586, 17593 and 17641 (April 1, 2015).
    The first modification to the basic model definition applies to 
variation in the number of stages for multi-stage bare pumps,\17\ which 
DOE believes will significantly reduce testing burden and is consistent 
with DOE's proposed test procedure provision that such pumps be tested 
with a specific number of stages, as discussed in section III.C.2.c. 
DOE did not receive any comments on the exception to the general basic 
model definition that different stage versions of multi-stage pumps 
would be treated as the same basic model and, as such, is adopting this 
pump-specific provision as proposed, with minor wording revisions for 
clarity.
---------------------------------------------------------------------------

    \17\ The implications of the resulting variation in motor 
selection for pumps sold with motors or motors and controls is 
discussed in section III.A.1.d.
---------------------------------------------------------------------------

    The second modification to the typical basic model definition 
proposed in the April 2015 pumps test procedure NOPR was that a trimmed 
impeller, though it may impact efficiency, would not be a basis for 
requiring different bare pump models to be rated as unique basic 
models.\18\ DOE also proposed to base the certified rating for a given 
pump basic model on that model's full impeller diameter--specifically, 
all PEI and PER representations for the members of a basic model would 
be based upon the full impeller model. 80 FR 17586, 17593-94 (April 1, 
2015). This proposal is consistent with the Working Group 
recommendation that the rating of a given pump basic model should be 
based on testing at full impeller diameter only and that DOE not 
require testing at reduced impeller diameters. (Docket No. EERE-2013-
BT-NOC-0039, No. 92, Recommendation #7 at p. 3)
---------------------------------------------------------------------------

    \18\ The implications of the resulting variation in motor 
selection for pumps sold with motors or motors and controls is 
discussed in section III.A.1.d.
---------------------------------------------------------------------------

    Relevant to this proposed requirement, DOE proposed to define the 
term ``full impeller'' as it pertains to the rating of pump models in 
accordance with the test procedure. Specifically, DOE proposed to 
define full impeller as the maximum diameter impeller with which the 
pump is distributed in commerce in the United States or the maximum 
impeller diameter represented in the manufacturer's literature, 
whichever is larger. For pumps that may only be sold with a trimmed 
impeller due to a custom application, DOE proposed to define the full 
impeller as the maximum diameter impeller with which the pump is 
distributed in commerce. 80 FR 17586, 17593-94 (April 1, 2015)
    Under DOE's proposed definition of ``full impeller,'' manufacturers 
would also be able to represent a model with a trimmed impeller as less 
consumptive than one with a full impeller. To do so, they would treat 
that trimmed impeller model as a different basic model and test a 
representative number of units at the maximum diameter distributed in 
commerce of that trimmed basic model listing. In such a case, the 
impeller trim with which the pump is rated would become the ``full 
impeller diameter.'' In these cases, manufacturers could elect to (1) 
group individual pump units with bare pumps that vary only in impeller 
diameter into a single basic model or (2) establish separate basic 
models (with unique ratings) for any number of unique impeller trims, 
provided that the PEI rating associated with any individual model were 
based on the maximum diameter impeller for that basic model and that 
basic model is compliant with any energy conservation standards 
established as part of the parallel pumps energy conservation standards 
rulemaking. (Docket No. EERE-2011-BT-STD-0031; 80 FR 17586, 17593-94 
(April 1, 2015)).
    DOE noted that, while manufacturers would be able to group pump 
models with various impeller trims under one basic model with the same 
certified PEI rating based on the full impeller diameter, all 
representations of PEI and PER for any individual model would be (1) 
based on testing of the model with the full impeller diameter in the 
basic model and (2) rated using method A.1, ``bare pump with default 
motor efficiency and default motor part load loss curve'' (explained 
further in section III.E), regardless of the actual impeller size used 
with a given pump. Id.
    At the April 2015 NOPR public meeting, interested parties 
representing HI \19\ expressed concern regarding the option to consider 
pumps with trimmed impellers as separate basic models. Specifically, 
one HI representative from Patterson Pump Company noted that the 
premise was contrary to the Working Group's agreement that all 
representations for PEI would be done using full impeller diameter, not 
trimmed impeller diameter. Another HI representative from Xylem (Mark 
Handzel) stated that reporting is greatly simplified if only reported 
for full impeller diameter. (HI, NOPR public meeting transcript, No. 7 
at pp. 29, 32). The CA IOUs responded that the Working Group had only 
agreed to what was going to be required for reporting on a mandatory 
basis, and that its

[[Page 4093]]

preference was to maintain the flexibility for manufacturers to 
voluntarily report the information for pumps with trimmed impellers. 
(CA IOUs, NOPR public meeting transcript, No. 7 at pp. 34, 36) 
Furthermore, in its written comments, HI agreed with the proposed 
definition of the term ``basic model,'' which allows manufacturers the 
option of rating pumps with trimmed impellers as a single basic model 
or separate basic models. (HI, No. 8 at p. 4) HI also agreed with DOE's 
proposed definition of full impeller and the proposal that all pump 
models be rated in a full impeller configuration only. (HI, No. 8 at p. 
5)
---------------------------------------------------------------------------

    \19\ Several interested parties identified themselves as 
representing HI at the April 2015 NOPR public meeting, including Bob 
Barbour from TACO, Inc.; HI representatives from Xylem (Mark Handzel 
and Raul Ruzicka), and Al Huber from Patterson Pump Company.
---------------------------------------------------------------------------

    In response, DOE reaffirms that only reporting PEI at full impeller 
diameter will be mandatory. Given that some interested parties stated 
that they prefer maintaining the option of rating pumps with trimmed 
impellers as separate basic models, and HI did not indicate concern 
with this option in the written comments, DOE is maintaining the option 
to rate pumps with trimmed impellers as separate basic models in this 
final rule. Furthermore, DOE notes that in the case a manufacturer 
chooses to rate pumps with trimmed impellers as separate basic models, 
the full impeller definition is still applicable and all 
representations regarding the PEI and PER must be based on the ``full 
impeller'' diameter for that basic model.
    Upon further review of the proposed definition for ``full 
impeller,'' DOE has determined that the language within the definition 
is duplicative, and therefore, potentially confusing. Specifically, in 
the proposed definition, DOE referred to both distribution in commerce 
and representations in manufacturer literature. However, DOE notes that 
42 U.S.C. 4291(16) defines distribution in commerce as meaning ``to 
sell in commerce, to import, to introduce or deliver for introduction 
into commerce, or to hold for sale or distribution after introduction 
into commerce.'' This definition encompasses making advertising 
materials such as representations in manufacturer literature. 
Accordingly, DOE has revised the definition for full impeller diameter 
as set forth in the regulatory text of this rule (10 CFR 431.62).
d. Basic Models of Pumps Sold With Motors or Motors and Speed Controls
    In the April 2015 pumps test procedure NOPR, DOE noted that, for 
pumps sold with motors and pumps sold with motors and continuous or 
non-continuous controls, pump manufacturers may pair a given pump with 
several different motors that have different performance 
characteristics. 80 FR 17586, 17594 (April 1, 2015). Under the 
definition of basic model proposed in the April 2015 pumps test 
procedure NOPR and discussed in section III.A.1.c, each unique pump and 
motor pairing represents a unique basic model. However, DOE noted that, 
consistent with DOE's practice with other products and equipment, pump 
manufacturers may elect to group similar individual pump models within 
the same equipment class into the same basic model to reduce testing 
burden, provided all representations regarding the energy use of pumps 
within that basic model are identical and based on the most consumptive 
unit. See 76 FR 12422, 12423 (March 7, 2011). In addition, consistent 
with DOE's treatment of variation in the number of stages for multi-
stage RSV and VTS pumps and impeller trim, in the April 2015 pump test 
procedure NOPR, DOE proposed that variation in motor sizing as a result 
of different impeller trims or different number of stages for multi-
stage pumps would not serve as a basis for differentiating basic 
models. 80 FR 17586, 17593 (April 1, 2015)
    In response, HI recommended that DOE clarify the definition of 
``basic model,'' stating that ``pump manufacturers may pair a given 
pump with several different motors with different performance 
characteristics, and can include all combinations under one basic model 
as long as the representations regarding the energy use is based on the 
most consumptive unit for each given pole speed, given clean water with 
a specific gravity of 1.0 . . . [A]s variation in impeller trim of the 
bare pump does not constitute a characteristic that would differentiate 
basic models, variation in motor sizing as a result of different 
impeller trims would also not serve as a basis for differentiating 
basic models.'' (HI, No. 8 at p. 5)
    In general, DOE agrees with HI's interpretation. DOE agrees with HI 
that pump manufacturers may pair a given pump with several different 
motors with different performance characteristics, and can include all 
combinations under one basic model if the certification of energy use 
and all representations made by the manufacturer, are based on the most 
consumptive bare pump/motor combination for each basic model and are 
determined in accordance with the DOE test procedure and applicable 
sampling plans. Furthermore, because variation in impeller trim of the 
bare pump is not a basis for requiring models to be rated as unique 
basic models, DOE agrees that variation in the horsepower rating of the 
paired motor as a result of different impeller trims within a basic 
model would also not necessarily be a basis for requiring units to be 
rated as unique basic models. Similarly since RSV and VTS pumps may be 
sold with varying numbers of stages, the horsepower rating of the 
paired motor may also vary correspondingly. DOE notes that this 
variation in motor horsepower does not necessarily constitute a 
characteristic that will define separate basic models.
    However, variation in motor sizing (i.e., horsepower rating) may 
also be associated with variation in motor efficiency, which is a 
performance characteristic; typically larger motors are more efficient 
than smaller motors. For this reason, in response to HI, DOE clarifies 
that in order to group pumps sold with motors (or motors and controls) 
into a single basic model (in contrast to grouping bare pumps with 
variations in impeller trim into a single basic model, as discussed in 
the previous section), each motor offered in a pump included in that 
basic model must have motor efficiency rated at the Federal minimum 
(see the appropriate table for NEMA Design B motors at 10 CFR 431.25) 
\20\ or the same number of bands above the Federal minimum for each 
respective motor horsepower (see Table 3 of Appendix A to Subpart Y of 
Part 431).) \21\ For example, the Federal minimum for a NEMA Design B 5 
HP, 2-pole, enclosed motor in 10 CFR 431.25 is 88.5. A manufacturer is 
rating the pump and motor combination with a 90.2 percent efficient 
motor. In Table 3 of Appendix A to Subpart Y of Part 431, 90.2 is two 
bands above 88.5. Therefore, for a NEMA Design B 3 HP, 2-pole enclosed 
motor, in order to be considered as the same basic model, the 
manufacturer cannot distribute it with a motor with an efficiency less 
than 88.5 percent, which in Table 3 is two bands above the Federal 
minimum. If the manufacturer wishes to rate it with a less efficient 
motor, it must be rated as a separate basic model. This approach will 
ensure that the PEI and PER representations for the entire basic model 
will be representative of the performance across various impeller trims 
and motor horsepower. DOE has added this clarification to the 
definition of basic model.
---------------------------------------------------------------------------

    \20\ For submersible motors, refer to the default motor 
efficiency values in this test procedure, shown in Table 2 of 
Appendix A to Subpart Y of Part 431, with further discussion in 
section III.D.1.b.
    \21\ See section III.D.1.b for further discussion of Table 3.
---------------------------------------------------------------------------

    DOE did not receive any other comments from interested parties 
regarding basic models for pumps sold

[[Page 4094]]

with motors or motors and speed controls.
2. Equipment Categories
    In the April 2015 pumps test procedure NOPR, DOE proposed that the 
test procedure be applicable to the following pump equipment 
categories: end suction close-coupled (ESCC), end suction frame mounted 
(ESFM), in-line (IL), RSV, and VTS pumps. 80 FR 17586, 17594-95 (April 
1, 2015). DOE also proposed that the test procedure would not be 
applicable to certain categories of pumps, including circulators, 
dedicated purpose pool pumps, axial/mixed flow pumps, and positive 
displacement pumps. Id. at 17597. These proposals were based on the 
recommendation of the Working Group. (Docket No. EERE-2013-BT-NOC-0039, 
No. 92, Recommendation #4, 5A, 5B, and 6 at p. 2) DOE also noted that, 
while intended to be consistent with this test procedure, the scope of 
any energy conservation standards proposed for pumps would be discussed 
as part of a separate rulemaking. Id.
    DOE requested comment on the proposed applicability of the test 
procedure to the five pump equipment categories noted above, namely 
ESCC, ESFM, IL, RSV, and VTS pumps. HI commented that it agrees that 
the proposed test procedure was applicable to the five pump equipment 
categories noted. (HI, No. 8 at p. 5) HI also agreed that circulators 
and pool pumps should be handled under two separate rulemakings. (HI, 
No. 8 at p. 7) No other interested parties provided comments on the 
scope of applicability of the proposed test procedure. As the 
amendments DOE is making to the proposed test procedure provisions do 
not significantly change the test methods or approach specified in the 
pump test procedure, and receiving no dissenting comments, DOE adopts 
its proposal that the test procedure provisions established in this 
final rule are applicable to the same scope of pumps discussed in the 
April 2015 pumps test procedure NOPR. 80 FR 17586, 17591-17601 (April 
1, 2015).
    The specific definitions and specifications DOE proposed to 
establish the scope of the test procedure, and any comments DOE 
received on those definitions, are discussed in the subsequent sections 
III.A.2.a, III.A.2.b, III.A.2.c, and III.A.2.d. The final equipment 
category definitions DOE is adopting in this final rule are presented 
in section III.A.2.e.
a. Definitions of Pump Equipment Categories
    As noted, in the April 2015 pumps test procedure NOPR, DOE proposed 
specific definitions for the five categories of pumps (i.e., ESCC, 
ESFM, IL, RSV, and VTS) to establish the pumps to which the proposed 
test procedure is applicable. 80 FR 17586, 17595-96 and 17641-42 (April 
1, 2015). To assist in defining these five pump categories, DOE also 
proposed the following definitions for several specific characteristics 
of the five pumps categories for which the test procedure is 
applicable--namely rotodynamic pump, single-axis flow pump, and end 
suction pump:
     Rotodynamic pump means a pump in which energy is 
continuously imparted to the pumped fluid by means of a rotating 
impeller, propeller, or rotor.
     Single axis flow pump means a pump in which the liquid 
inlet of the bare pump is on the same axis as the liquid discharge of 
the bare pump.
     End suction pump means a rotodynamic pump that is single-
stage and in which the liquid enters the bare pump in a direction 
parallel to the impeller shaft and on the end opposite the bare pump's 
driver-end.

Id.

    Based on these three definitions involving general pump 
characteristics, DOE proposed to define the following five pump 
equipment categories to which the test procedure applies as follows:
    (1) End suction frame mounted (ESFM) pump means an end suction pump 
wherein:
    (a) the bare pump has its own impeller shaft and bearings and so 
does not rely on the motor shaft to serve as the impeller shaft;
    (b) the pump requires attachment to a rigid foundation to function 
as designed and cannot function as designed when supported only by the 
supply and discharge piping to which it is connected; and
    (c) the pump does not include a basket strainer.
    Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature OH0 and OH1, as described in ANSI/HI 1.1-1.2-2014.
    (2) End suction close-coupled (ESCC) pump means an end suction pump 
in which:
    (a) the motor shaft also serves as the impeller shaft for the bare 
pump;
    (b) the pump requires attachment to a rigid foundation to function 
as designed and cannot function as designed when supported only by the 
supply and discharge piping to which it is connected; and
    (c) the pump does not include a basket strainer.
    Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature OH7, as described in ANSI/HI 1.1-1.2-2014.
    (3) In-line (IL) pump means a single-stage, single axis flow, 
rotodynamic pump in which:
    (a) liquid is discharged through a volute in a plane perpendicular 
to the impeller shaft; and
    (b) the pump requires attachment to a rigid foundation to function 
as designed and cannot function as designed when supported only by the 
supply and discharge piping to which it is connected.
    Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature OH3, OH4, or OH5, as described in ANSI/HI 1.1-1.2-
2014.
    (4) Radially split, multi-stage, vertical, in-line, diffuser casing 
(RSV) pump means a vertically suspended, multi-stage, single axis flow, 
rotodynamic pump in which:
    (a) liquid is discharged in a plane perpendicular to the impeller 
shaft;
    (b) each stage (or bowl) consists of an impeller and diffuser; and.
    (c) no external part of such a pump is designed to be submerged in 
the pumped liquid.
    Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature VS8, as described in the ANSI/HI 2.1-2.2-2008).
    (5) Vertical turbine submersible (VTS) pump means a single-stage or 
multi-stage rotodynamic pump that is designed to be operated with the 
motor and stage(s) (or bowl(s)) fully submerged in the pumped liquid, 
and in which:
    (a) each stage of this pump consists of an impeller and diffuser 
and
    (b) liquid enters and exits each stage of the bare pump in a 
direction parallel to the impeller shaft.
    Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature VS0, as described in ANSI/HI 2.1-2.2-2008.

Id.

    In the April 2015 pumps test procedure NOPR, DOE requested comment 
on the proposed equipment category definitions and related terminology. 
Comments DOE received on these definitions and DOE's responses to those 
comments are discussed in the following subsections. DOE notes that 
comments regarding the exclusion of circulators and dedicated-purpose 
pool pumps, which are addressed in sections III.A.2.b and

[[Page 4095]]

III.A.2.c of this final rule, are also pertinent to the definitions of 
the ESCC, ESFM, IL, RSV, and VTS equipment categories and are also 
discussed in this section.
HI Nomenclature
    DOE noted that any references to HI nomenclature in ANSI/HI 1.1-
1.2-2014 or ANSI/HI 2.1-2.2-2008 were incorporated into the definitions 
of the aforementioned pump equipment categories as examples only and 
clarified that, in cases where there is a conflict between the 
description provided in ANSI/HI 1.1-1.2-2014 or ANSI/HI 2.1-2.2-2008, 
as applicable, and DOE's definitions established at 10 CFR 431.462, the 
language in the regulatory text would prevail. Id.
    DOE requested comment on whether the references to ANSI/HI 
nomenclature are necessary as part of the equipment definitions in the 
regulatory text; whether such references would be likely to cause 
confusion due to inconsistencies; and whether discussing the ANSI/HI 
nomenclature in this preamble would provide sufficient reference 
material for manufacturers when determining the appropriate equipment 
category for their pump models. At the April 2015 NOPR public meeting, 
an HI representative from Xylem (Mark Handzel) advocated the use of 
ANSI/HI nomenclature without new DOE nomenclature. (HI, NOPR public 
meeting transcript, No. 7 at p. 63) In written comments, HI indicated 
that it affirms the importance of any pump rulemaking using ANSI/HI 
designations and nomenclature, citing common usage by U.S. pump 
manufacturers, distributors, engineering consulting firms, and pump 
users. (HI, No. 8 at p. 6) HI also commented that all references to 
ANSI/HI 2.1-2.2-2008 should be changed to ANSI/HI 2.1-2.2-2014 because 
the latter is the current version. (HI, No. 8 at p. 13) The EEAs 
commented that they support the proposed definitions for the pump types 
to which the proposed test procedures would be applicable; they also 
indicated that they believe this approach would both limit the risk 
that a manufacturer could make a small change to a pump design in order 
to avoid having to meet the pump efficiency standards and help to 
provide clarity to manufacturers. (EEAs, No. 10 at p. 1)
    After reviewing the comments, DOE is maintaining its definitions 
for the pump equipment categories presented in the April 2015 pumps 
test procedure NOPR, which references the ANSI/HI nomenclature as 
illustrative only. DOE believes that this approach strikes the best 
balance between the needs of the industry and the ability of DOE to 
enforce its regulations for pumps appropriately. DOE reiterates that 
the scope of the rulemaking is not limited to pumps meeting the ANSI/HI 
nomenclature referenced in the definitions and that any pump model 
meeting one of the DOE equipment category definitions is considered to 
be part of that equipment category, whether or not the pump is 
considered by the industry to be part of one of the referenced ANSI/HI 
nomenclature subgroups or a different subgroup.
    Further, in preparing this final rule, DOE reviewed the ANSI/HI 
nomenclature to ensure that all applicable categories of pumps that 
would meet DOE's proposed equipment definitions were listed. Upon 
review, DOE noticed that the styles of pumps identified as OH2, OH3A, 
OH5A, and OH6 in ANSI/HI 1.1-1.2-2014 may be considered by some parties 
to meet ESCC, ESFM, or IL pump definitions because they share some 
similar characteristics with those categories of pumps. DOE wishes to 
clarify that the styles of pumps generally considered to be OH2, OH3A, 
OH5A, and OH6 are covered equipment in that they meet the definition of 
``pump,'' but are not subject to the test procedure established in this 
final rule, since they do not fall within the specific scope of pumps 
to which the test procedure is applicable. Specifically, DOE determined 
that OH3A and OH5A are not within the scope of this rule because they 
do not meet the definition of end-suction pump (i.e., liquid does not 
enter pump in a direction parallel to the impeller shaft due to inlet 
adapter) and do not meet the definition of IL pump (i.e., the flow 
inlet and outlet are on the same plane but not on the same axis). In 
addition, DOE believes that the majority of these OH3A and OH5A pumps 
are non-clogging and thus would also be excluded because they do not 
meet DOE's definition of clean water pump, as discussed further in 
section III.A.3.
    Regarding OH6 pumps, DOE notes that such pumps include a high speed 
integral gear such that the impeller shaft will rotate faster than the 
driver. While these pumps meet the definition of IL pumps, they are 
excluded from the scope of pumps subject to this test procedure because 
they operate at impeller speeds greater than the nominal speed 
limitations discussed in section III.A.4 and III.C.2.c. In addition, 
the impellers and drivers of OH6 pumps rotate at different speeds and, 
thus, would be excluded based on DOE's revised specifications regarding 
the impeller and driver rotating speeds of pumps addressed by this test 
procedure (see section III.A.4). Similarly, DOE notes that OH2 pumps 
would meet the definition of an ESFM pump, but would be excluded 
because such pumps are designed specifically for pumping hydrocarbon 
fluids, as noted by the American Petroleum Institute Standard 610 
certification and, as such, are not clean water pumps. For these 
reasons, DOE is not referencing OH2, OH3A, OH5A, or OH6 nomenclature in 
the definitions of ESCC, ESFM, IL, RSV, and VTS established in this 
rulemaking.
    Finally, DOE notes that in April 2014, HI released an updated 
version of ANSI/HI 2.1-2.2, ANSI/HI 2.1-2.2-2014. DOE reviewed ANSI/HI 
2.1-2.2-2014 and found the documents to be substantially the same as 
ANSI/HI 2.1-2.2-2008, with the exception of the addition of a new 
definition and description for pipe length, more detailed 
characteristics identified on some of the figures, and slight 
reorganization of the sections to improve document flow. DOE notes that 
none of these minor changes affect the content pertinent to the 
references to ANSI/HI 2.1-2.2-2008 nomenclature proposed in the April 
2015 pumps test procedure NOPR. As such, DOE believes that it is 
appropriate to reference the most up-to-date industry standard and is 
updating all references in the RSV and VTS equipment category 
definitions from ANSI/HI 2.1-2.2-2008 to ANSI/HI 2.1-2.2-2014 in this 
final rule.
Specific Styles of IL Pumps
    In response to DOE's request for comment on all proposed pump 
definitions in general, HI commented that twin head pumps, which 
combine two impeller assemblies into a common single axis flow casing 
with a single inlet and discharge, were not included in DOE's 
definitions and should be added to the rulemaking scope. (HI, No. 8 at 
p. 3) DOE notes that such pumps are a style of IL pump and, thus 
subject to the test procedure and standards as an IL pump, but DOE 
understands that this inclusion was not explicitly laid out in the 
NOPR. As such, twin head pumps meet the definition of IL pumps as 
proposed in the April 2015 pumps test procedure NOPR. Specifically, 
twin head pumps are single-axis flow, rotodynamic pumps with single-
stage impellers and in which liquid is discharged through a volute in a 
plane perpendicular to the impeller shaft. However, to clarify the 
applicability of the IL pump definition and DOE's pump test procedure 
to twin head pumps, DOE is adopting in this final rule a definition of 
twin head pump as set forth in the regulatory text of this rule (10 CFR 
431.62).

[[Page 4096]]

    In this final rule, DOE is also clarifying the testing and 
certification requirements for such pumps. For the purposes of applying 
the DOE test procedure to and certifying twin head pumps, DOE is 
clarifying that such pumps should be tested configured with a single 
impeller assembly, as discussed further in section III.C.2.c.
RSV Pump Definition
    DOE also requested specific comment on whether it needed to clarify 
the flow direction to distinguish RSV pumps from other similar pumps 
when determining test procedure and standards applicability and on 
whether any additional language would be necessary in the proposed RSV 
definition in the April 2015 pumps test procedure NOPR to make the 
exclusion of immersible pumps clearer. HI commented that it believes 
the icons shown and the definition found in ANSI/HI 2.1-2.2-2014 
provide sufficient clarity to the flow direction, and that it does not 
believe any additional language is necessary. (HI, No. 8 at pp. 6-7) 
DOE reviewed the figures in ANSI/HI 2.1-2.2-2014 and believes that the 
figure is illustrative of the general equipment characteristics for RSV 
pumps. The description accompanying the figure also describes the 
manner in which liquid enters and exits the pump. Specifically, section 
2.1.3.6 of ANSI/HI 2.1-2.2-2014 states that, for RSV pumps, ``fluid 
enters one nozzle of the in-line casing and is directed to the inlet of 
an internal multi-stage diffuser pump. After traveling through multiple 
stages, the liquid exits at the top stage of the pump where the flow is 
redirected via the outer sleeve to the opposing nozzle of the in-line 
casing.'' As DOE's definition of RSV pump references the figures and 
description in ANSI/HI 2.1-2.2-2014, and this description of flow path 
through the pump is not inconsistent or conflicting with DOE's 
definition of RSV pump, DOE does not believe that further clarification 
is necessary in this regard.
    Regarding the exclusion of immersible pumps, HI commented that it 
did not believe any additional clarification was necessary. (HI, No. 8 
at pp. 6-7) Therefore, in this final rule, DOE has determined that the 
adopted language is sufficient to exclude any immersible pumps from 
treatment as an RSV pump for purposes of DOE's regulations.
VTS Equipment Terminology
    Upon review of CIP Working Group transcripts and slides, DOE also 
determined that interested parties had requested the equipment category 
``vertical turbine submersible'' be termed ``submersible turbine,'' 
given that some of these pumps are installed horizontally. (CIP Working 
Group transcript, No. 14 at p. 263) DOE notes that the definition 
proposed for vertical turbine submersible is silent as to installation 
orientation and, as a result, would include horizontally installed 
pumps. DOE believes that referring to submersible turbine pumps as 
``vertical turbine submersible,'' when horizontally mounted submersible 
turbine pumps are also included in the equipment category, as defined, 
could lead to confusion among manufacturers and in the market place. As 
such, and given that changing the defined term from vertical turbine 
submersible to submersible turbine would not change the scope of the 
definition, DOE is revising the nomenclature in this final rule to 
match that used in the CIP Working Group, which more accurately 
describes the subject equipment. In the preamble to this final rule, 
DOE has retained the VTS abbreviation for the submersible turbine 
equipment category for consistency with the April 2015 pump test 
procedure NOPR, pumps energy conservation standards rulemaking (Docket 
No. EERE-2011-BT-STD-0031), and all Working Group discussions and 
recommendations to date (Docket No. EERE-2013-BT-NOC-0039). However, 
DOE is adopting the acronym ``ST'' for the regulatory text for long-
term consistency with the defined term.
ESFM Equipment Terminology
    Similarly, the ``end suction frame mounted'' category proposed in 
the NOPR had been referred to as ``end suction frame mounted/own 
bearings'' in the CIP Working Group documentation. (See for example, 
EERE-2013-BT-NOC-0039-0092 at p. 2 and EERE-2013-BT-NOC-0039-0031 at p. 
4) The proposed end suction frame mounted definition would be inclusive 
of own bearings pumps, or any end-suction pump that ``does not rely on 
the motor shaft to serve as the impeller shaft.'' 80 FR 17586, 17641 
(April 1, 2015). DOE intended the ESFM and ESCC equipment category 
definitions proposed in the April 2015 pumps test procedure NOPR to be 
mutually exclusive, whereby pumps that are close coupled to the motor 
and share a single impeller and motor shaft would be part of the ESCC 
equipment category, and all other end suction pumps that are 
mechanically-coupled to the motor and for which the bare pump and motor 
have separate shafts would be part of the ESFM equipment category.
    DOE understands that there are several coupling and mounting 
methods for pairing a bare pump and motor, in addition to frame 
mounting, and that referring to the ESFM equipment category based only 
on that criteria may be misleading. To clarify the applicability of the 
previously defined end suction frame mounted equipment category to own 
bearing pumps, and given that changing the term itself would not change 
the scope of the definition, DOE is revising the nomenclature in this 
final rule to match that used in the CIP Working Group. Therefore, in 
this final rule, DOE is defining this equipment category as end-suction 
frame mounted/own bearing and adding to the definition the term 
``mechanically-coupled'' to clarify that the ESFM equipment is, in 
fact, inclusive of many coupling methods. DOE is further adopting a 
specific definition for ``mechanically-coupled,'' as mutually exclusive 
with ``close-coupled,'' to explicitly establish the coupling methods to 
which the ESFM equipment category applies. The definition of 
mechanically-coupled consists of text that was in the proposed 
definition for ESFM and does not change the scope of ESFM from the 
proposal.
b. Circulators
    Circulators, which are a specific kind of rotodynamic pump, are 
small, low-head pumps similar to the IL configuration pumps that are 
generally used to circulate water in hydronic space conditioning or 
potable water systems in buildings.
    The CIP Working Group recommended that circulators be addressed as 
part of a separate rulemaking process that would involve informal 
negotiation between interested parties followed by an ASRAC-approved 
negotiation. (Docket No. EERE-2013-BT-NOC-0039, No. 92, Recommendation 
#5A at p. 2)
    In the April 2015 test procedure NOPR, DOE also proposed to exclude 
circulators from the rulemaking, and proposed a definition that would 
be mutually exclusive from the other pumps in the rulemaking. 
Specifically, DOE proposed definitions for circulators, ESCC, ESFM, and 
IL pumps that were mutually exclusive, based on the assumption that 
circulators require only the support of the supply and discharge piping 
to function as designed, whereas ESCC, ESFM, and IL pumps require 
attachment to a rigid foundation to function as designed. In response 
to the proposed circulator definition, DOE received comments from 
several interested parties,

[[Page 4097]]

addressed below. However, DOE has not yet received any formal proposals 
or requests for negotiation from the interested parties.
    The EEAs and CA IOUs expressed concern that the portion of the 
proposed circulator definition that describes circulators as 
``requir[ing] only the support of the supply and discharge piping to 
which it is connected to function as designed,'' may lead to the design 
of circulators with alternative mounting intended to circumvent 
regulation. (EEAs, No. 10 at p. 1; CA IOUs, No. 13 at pp. 4-5) HI 
agreed that no pump definition should be associated with a rigid 
foundation, as in the industry rigid foundation has a different 
connotation than DOE is using. (HI, No. 8 at pp. 5-6, 10). HI also 
disagreed with the proposed circulator definition, commenting that 
there are many end suction and close-coupled IL pumps that would meet 
the proposed circulator definition but that are not considered 
circulators. Instead, HI stated its belief that such pumps should be 
included in the scope of pumps considered in this rulemaking. As a 
result, HI recommended revising the definitions of circulator, ESFM, 
ESCC, and IL pumps, as well as other related definitions. (HI, No. 8 at 
pp. 7-8) Following the close of the comment period, the HI circulator 
pump committee resubmitted revised definitions for circulator and IL 
pumps, and other related definitions. (HI, No. 15 at pp. 1-3)
    DOE reviewed both sets of HI's recommended definitions and found 
them to be essentially the same. Specifically, HI's circulator pump 
committee offered the following revised definitions of IL pumps and 
circulator pumps, which were also included in HI's comments submitted 
in response to the April 2015 pumps test procedure NOPR:
    ``In-line pump means a single-stage, single-axis flow, dry rotor, 
rotodynamic pump that has a shaft input power greater than or equal to 
one horsepower and less than or equal to two hundred horsepower at BEP 
and full impeller diameter, in which liquid is discharged through a 
volute in a plane perpendicular to the shaft, except for: Those that 
are short-coupled or close-coupled, have a maximum hydraulic power that 
is less than or equal to five horsepower at the full impeller diameter 
and over the full range of operation, and are distributed in commerce 
with a horizontal motor. Examples include, but are not limited to, 
pumps complying with ANSI/HI nomenclature OH3, OH4, or OH5, as 
described in ANSI/HI 1.1-1.2-2014, within the specified horsepower 
range. Pumps complying with ANSI/HI nomenclature CP1, CP2, and CP3, as 
described in ANSI/HI 1.1-1.2-2014, would not meet the definition of in-
line pump.'' (HI, No. 8 at pp. 5-6; HI, No. 15 at p. 1)
    ``Circulator pump means a single stage, in-line, rotodynamic pump 
that meets one of the following descriptions:
    i. [Wet Rotor Circulator] A single-axis flow, close-coupled, wet 
rotor pump that: (1) Has a maximum hydraulic power greater than or 
equal to 1/40 hp and less than or equal to 5 hp at full impeller 
diameter and over the full range of operation, (2) is distributed in 
commerce with a horizontal motor, and (3) discharges the pumped liquid 
through a volute in a plane perpendicular to the shaft. Examples 
include, but are not limited to, pumps complying with ANSI/HI 1.1-1.2-
2014 nomenclature CP1; or
    ii. [Dry Rotor Two-Piece Circulator] A single-axis flow, close-
coupled, dry rotor pump that: (1) Has a maximum hydraulic power greater 
than or equal to 1/40 hp and less than or equal to 5 hp at full 
impeller diameter and over the full range of operation, (2) is 
distributed in commerce with a horizontal motor, and (3) discharges the 
pumped liquid through a volute in a plane perpendicular to the shaft. 
Examples include, but are not limited to, pumps complying with ANSI/HI 
1.1-1.2-2014 nomenclature CP2; or
    iii. [Dry Rotor Three-Piece Circulator] A single-axis flow, short-
coupled, dry rotor pump, either flexibly or rigidly coupled that: (1) 
Has a maximum hydraulic power greater than or equal to 1/40 hp and less 
than or equal to 5 hp at full impeller diameter and over the full range 
of operation, (2) is distributed in commerce with a horizontal motor, 
and (3) discharges the pumped liquid through a volute in a place 
perpendicular to the shaft. Examples include, but are not limited to, 
pumps complying with ANSI/HI 1.1-1.2-2014 nomenclature CP3.''

(HI, No. 8 at pp. 8-9; HI, No. 15 at p. 1)

    HI also recommended several supporting definitions, including 
definitions for single-axis flow pump, close-coupled pump, short-
coupled pump, rigid-coupled pump, flexibly-coupled pump, hydraulic 
power, wet rotor pump, dry rotor pump, horizontal motor, and non-
horizontal motor. (HI, No. 8 at pp. 9-10; HI, No. 15 at pp. 2-3)
    The EEAs and CA IOUs also stated that they are collectively 
discussing an improved definition of circulators with HI. (EEAs, No. 10 
at p. 1; CA IOUs, No. 13 at pp. 4-5)
    In light of the continued discussions among these interested 
parties regarding future definitions, test procedures, and energy 
conservation standards for circulators, DOE has decided to refrain from 
defining the term ``circulator'' in this rulemaking. Rather than 
explicitly define the term circulator in this rule, DOE has modified 
the definitions of ESCC, ESFM, IL, VTS, and RSV to specifically exclude 
certain categories of pumps that are widely considered circulators by 
the industry, using many of the criteria and characteristics of 
circulators indicated by HI in its comments and proposed in the April 
2015 pumps test procedure NOPR.
    In particular, in its definition of IL pump, DOE excluded pumps 
that are commonly marketed and sold as circulators in the pump industry 
by utilizing the design features of a horizontal motor, as well as a 
hydraulic power less than or equal to 5 hp. This is consistent with 
HI's suggested definition of IL pump as well as circulator pump, which 
includes reference to a horizontal motor and a horsepower range of 1/40 
to 5 hydraulic hp. DOE agrees that a horizontal motor, which is a motor 
that is required to be oriented with the motor shaft in a horizontal 
position in order to operate as designed, is a distinguishing feature 
of a circulator. To clearly establish this characteristic, DOE is also 
defining the term horizontal motor in this rulemaking based on the 
definition HI suggested in its comments. Specifically, HI's proposed 
definition and the definition DOE is adopting in this final rule are as 
follows:
    Horizontal motor means a motor that requires the motor shaft to be 
in a horizontal position to function as designed, as specified in the 
manufacturer literature.
    DOE notes that it is maintaining a lower shaft limit of 1 hp for 
the IL pump equipment category and only specifically excluding those 
pumps that have both: (1) A hydraulic output of less than 5 hp and (2) 
a horizontal motor. As such, any IL pumps that have a shaft horsepower 
greater than or equal to 1 hp and hydraulic output less than 5 hp and 
are not sold with a horizontal motor, as well as IL pumps that have a 
hydraulic output greater than or equal to 5 hp and shaft horsepower 
less than or equal to 200 hp and are sold with a horizontal or non-
horizontal motor, would continue to be included in the IL pump 
definition and subject to the test procedure established in this final 
rule. DOE notes that the majority of pumps that are commonly referred 
to as

[[Page 4098]]

circulators have a shaft input power less than 1 hp. Such pumps may 
operate with or without horizontal motors. As such, the lower shaft 
power limit in the IL pump definition excludes these pumps from the 
scope of this rulemaking.
    DOE also acknowledges that HI recommended establishing the 
hydraulic horsepower threshold over the full range of operation of the 
pump. (HI, No. 8 at pp. 5-6 and 8-9; HI, No. 15 at p. 1) However, DOE 
notes that the other horsepower thresholds referenced in this final 
rule reference pump shaft input power as measured at BEP. DOE also 
notes that the test procedure established in this final rule contains a 
specific and repeatable methodology for determining BEP of a tested 
pump. Conversely, in the proposed test procedure, DOE did not define 
the ``full range of operation'' of a pump or propose a method for how 
to determine it. Since it is important that DOE's test procedures be as 
precise and unambiguous as possible, DOE believes that it is important 
that the hydraulic horsepower of a pump be determined in a consistent 
manner when determining whether or not the pump meets the definition of 
an IL pump and, thus, is subject to DOE's pumps test procedure 
establish in this final rule. Therefore, in this final rule, DOE is 
establishing the hydraulic horsepower threshold for circulator pumps as 
determined at BEP. That is, DOE will exclude from the definition of IL 
pump, IL pumps with a hydraulic horsepower less than 5 hp, as 
determined at full impeller diameter and BEP, and that are distributed 
in commerce with a horizontal motor, as those pumps are considered to 
be circulator pumps.
    Consistent with the changes to the IL definition, DOE is also 
incorporating horsepower limits into the ESCC, ESFM, RSV, and VTS 
equipment category definitions. DOE notes that, in the April 2015 pumps 
test procedure NOPR, DOE proposed to establish the scope of the test 
procedure using a horsepower range of greater than or equal to 1 hp and 
less than 200 hp that was applicable to all ESCC, ESFM, IL, RSV, and 
VTS pumps. 80 FR 17586, 17600 (April 1, 2015). However, to maintain 
consistent format among the five defined equipment categories, DOE is 
including this established horsepower range in each of the equipment 
category definitions explicitly rather than in a separate scope 
limitation. DOE discusses the horsepower range and other parameters 
used to establish the scope of the test procedure in section III.A.4.
    Additionally, DOE has added the design feature of a ``dry rotor'' 
to the definition of an IL pump \22\ and added a definition of dry 
rotor pump, as suggested by HI. This feature excludes pumps that comply 
with ANSI/HI nomenclature CP1, also referred to as wet rotor 
circulators, as described in ANSI/HI 1.1-1.2-2014. This definition is 
also consistent with HI's proposed IL and circulator pump definitions. 
DOE notes that wet rotor pumps were proposed to be excluded from the 
scope of the test procedure in the April 2015 pumps test procedure NOPR 
under the definition of ``sealless pump.'' Specifically, DOE proposed a 
definition of sealless pump to include both: (1) A pump that transmits 
torque from the motor to the bare pump using a magnetic coupling and 
(2) a pump in which the motor shaft also serves as the impeller shaft 
for the bare pump and the motor rotor is immersed in the pumped fluid. 
80 FR at 17641-42. HI's proposed definition of wet rotor is identical 
to the second clause of DOE's proposed sealless pump definition. As 
such, in this final rule, DOE defines dry rotor pump, consistent with 
the definition proposed by HI, and to incorporate the term dry rotor 
into the ESFM, ESCC, IL, RSV, and VTS equipment category definitions. 
Given the mutually exclusive relationship between wet and dry rotor 
pumps, the definitions of ESCC, ESFM, IL, RSV, and VTS pumps, as 
established in section III.A.2.a, now implicitly exclude wet rotor 
pumps from the scope of this test procedure. This implicit exclusion of 
wet rotor pumps alleviates the need to explicitly exclude wet rotor 
pumps using the definition of sealless pump as proposed in the NOPR. 
Further discussion of modifications to the definition of sealless pump 
are found in section III.A.2.b.
---------------------------------------------------------------------------

    \22\ In the NOPR, DOE had excluded sealless pumps, including wet 
rotor pumps, from the scope of the rulemaking in addition to 
explicitly limiting the defined pump categories to dry rotor pumps. 
80 FR 17586, 17598-99 (April 1, 2015) See section III.A.3.b.
---------------------------------------------------------------------------

    DOE also acknowledges the concern from interested parties regarding 
the potential issues associated with referencing attachment to a rigid 
foundation. As noted in the NOPR, DOE initially proposed such a design 
feature to clearly differentiate and exclude circulators from other, 
similar categories of pumps that would be subject to the proposed test 
procedure. However, DOE has, based on comments received from interested 
parties, revised its approach to the exclusion of circulators and, 
consequently, this design feature is no longer needed in the 
definitions of IL, ESCC, and ESFM. Instead, DOE has made other 
modifications to the applicable definitions to continue to exclude 
circulators from the equipment categories addressed in this rulemaking, 
as discussed above.
    In addition to the parameters necessary to exclude circulators from 
the scope of pumps for which the test procedure is applicable, the CA 
IOUs commented that certain multi-stage pumps should be included in the 
definition of a circulator, as proposed by DOE. CA IOUs also provided 
an example of a commercially available style of pump that they believe 
to be a multi-stage circulator. (CA IOUs, No. 13 at pp. 4-5) DOE 
reviewed the example style of pump provided by the CA IOUs and found 
that this specific style of pump is available in sizes from 0.5 to 75 
motor hp, depending on impeller diameter and number of stages. DOE also 
concluded that specific models within this general pump family, namely 
those with shaft horsepower greater than or equal to 1 hp, meet the 
definition of an RSV pump and therefore are included in the scope of 
this rulemaking. Conversely, other models within the same pump family 
with shaft horsepower less than 1 hp do not meet the definition of an 
RSV pump and are not subject to the test procedure established in this 
rulemaking. Consequently, given that DOE has withdrawn its proposal to 
define circulators at this time, DOE has determined that it does not 
need to define or address these small RSV pumps in this rulemaking.
c. Pool Pumps
    The CIP Working Group formally recommended that DOE initiate a 
separate rulemaking for dedicated-purpose pool pumps (DPPPs) by 
December 2014. (Docket No. EERE-2013-BT-NOC-0039, No. 92, 
Recommendation #5A at p. 2) In the April 2015 pumps test procedure 
NOPR, DOE proposed defining a ``dedicated-purpose pool pump'' as an end 
suction pump designed specifically to circulate water in a pool and 
that includes an integrated basket strainer. 80 FR 17586, 17641 (April 
1, 2015). DOE developed this proposed definition to help distinguish a 
DPPP from other categories of pumps under consideration in this 
rulemaking (Docket No. EERE-2013-BT-TP-0055).
    In response, APSP requested that DOE continue to keep pool pumps 
separate from the scope of pumps considered in this rulemaking (APSP, 
No. 12 at p.1), and the CA IOUs encouraged ASRAC to establish a new 
working group for DPPP. (CA IOUs, No. 13 at pp. 1-2) In July 2015, DOE 
issued a RFI on DPPPs requesting data and information from

[[Page 4099]]

interested parties on this equipment (July 2015 DPPP RFI). 80 FR 38032 
(July 3, 2015). On August 25, 2015, DOE also published a notice of 
intent to establish a working group for DPPPs. 80 FR 51483. See https://www1.eere.energy.gov/buildings/appliance_standards/rulemaking.aspx/ruleid/14 for more updates and information on the DPPP rulemaking.
    DOE also received several comments regarding its proposed 
definition. During the April 2015 NOPR public meeting, CA IOUs 
expressed that the defining characteristic of a pool pump may not be 
the strainer basket, as not all pool pumps have them. (CA IOUs, NOPR 
public meeting transcript, No. 7 at pp. 57-58, 68) An HI representative 
from Xylem (Mark Handzel) responded that commercial pool pumps without 
basket strainers would be considered under one of the equipment 
categories addressed in this rulemaking. (HI, NOPR public meeting 
transcript, No. 7 at pp. 58-59) An HI representative from Xylem (Paul 
Ruzicka) also suggested that, on the residential side, pool pumps are 
double insulated products. (HI, NOPR public meeting transcript, No. 7 
at pp. 69-70)
    In written comments, the EEAs and the CA IOUs noted that many pool 
pumps, including booster pumps, do not include an integrated basket 
strainer, and that not all pool pumps are designed specifically to 
circulate water (EEAs, No. 10 at p. 2; CA IOUs, No. 13 at p. 2-3). The 
CA IOUs noted that 40 percent of California residential in-ground pools 
have booster pumps that are operated 2.5 hours per day. The size is 
typically \3/4\ nameplate horsepower with a service factor of 1.5. The 
CA IOUs recommended that these be considered pool pumps and excluded 
from this rulemaking, further noting that these manufacturers were not 
involved in the CIP Working Group deliberations. The CA IOUs also 
stated that mass market commodity pool pumps are unique because either 
the pump is secured directly to the motor; or the pump and motor are 
each factory secured to a common frame. (CA IOUs, No. 13 at pp. 2-4)
    In separate written comments, APSP and the CA IOUs recommended the 
following definition:
    ``A `pool pump' is a pump with the following characteristics:
     An integral end suction pump and motor combination 
specifically designed for pool and spa applications.
     The impeller is attached to a motor (or motor and 
controller) served by single-phase power five total horsepower or less.
     The pump is secured directly to the motor, or the pump and 
motor are factory secured to a common frame.'' (APSP, No. 12 at p. 1; 
CA IOUs, No. 13 at p. 3-4)
    DOE's original intent in proposing a definition for DPPP in the 
April 2015 pumps test procedure NOPR was to properly exclude them from 
this rulemaking. Upon review, DOE agrees with certain of the submitted 
comments on the proposed definition, such as that all pumps associated 
with pools may not include an integrated basket strainer. For example, 
DOE is aware that booster pumps are not typically sold with integrated 
basket strainers and some filter pumps may be sold separately from the 
strainer, as discussed in the July 2015 DPPP RFI. 80 FR 26475, 26481 
(May 8, 2015).
    Therefore, after reviewing the comments submitted by interested 
parties, DOE has decided to refrain from adopting a definition for DPPP 
in this final rule. Instead, in this final rule, DOE is excluding DPPP 
from the definitions for ESCC and ESFM pumps, and DOE will define DPPP 
in the separate DPPP rulemaking that was initiated with the RFI.
d. Axial/Mixed Flow and Positive Displacement Pumps
    ``Axial/mixed flow pump'' is a term used by the pump industry to 
describe a rotodynamic pump that is used to move large volumes of 
liquid at high flow rates and low heads. These pumps are typically 
custom-designed and used in applications such as dewatering, flood 
control, and storm water management.
    Positive displacement (PD) pumps are a style of pump that operates 
by first opening an increasing volume to suction; this volume is then 
filled, closed, moved to discharge, and displaced. PD pumps operate at 
near-constant flow over their range of operational pressures and can 
often produce higher pressure than a centrifugal pump, at a given flow 
rate. PD pumps also excel at maintaining flow and efficiency for 
liquids more viscous than water. When used in clean water applications, 
PD pumps are typically chosen for high pressure, constant flow 
applications such as high pressure power washing, oil field water 
injection, and low-flow metering processes.
    The CIP Working Group recommended excluding both of these types of 
pumps from prospective energy conservation standards. (Docket No. EERE-
2013-BT-NOC-0039, No. 92, Recommendation #6 at p. 2) The primary reason 
for excluding these pumps from this test procedure rulemaking is their 
low market share in the considered horsepower range and low potential 
for energy savings. (Docket No. EERE-2013-BT-NOC-0039, No. 14 at pp. 
114 and 372-73) In addition, the CIP Working Group acknowledged that PD 
pumps are more commonly used in non-clean water applications and 
provide a different utility than the categories of pumps addressed in 
this rulemaking. (Docket No. EERE-2013-BT-NOC-0039, No. 14 at p. 114) 
Therefore, in the April 2015 pumps test procedure NOPR, DOE proposed to 
exclude these pumps from the scope of this rulemaking and the parallel 
energy conservation standards rulemaking, but determined that both 
axial/mixed flow and PD pumps were implicitly excluded based on the 
proposed equipment category definitions and scope parameters, so that 
explicit exclusions were not necessary. 80 FR 17586, 17597-98 (April 1, 
2015). In the April 2015 pumps test procedure NOPR, DOE requested 
comment on the proposed exclusion and the assertion that such pumps 
were explicitly excluded based on the existing definitions and scope 
parameters. Id.
    HI commented that both positive displacement and axial/mixed flow 
pumps should be added to the list of equipment excluded from the scope 
of pumps in this final rule. HI noted that PD pumps represent a small 
percentage of the overall pump market and are generally used for niche 
applications, such as viscous or shear-sensitive liquids. As a result, 
such pumps have a distinct difference in design compared with 
rotodynamic pumps. HI also suggested differentiating and excluding 
axial/mixed flow pumps using a specific speed limit of 4,500,\23\ where 
pumps with a specific speed greater than 4,500 would be considered 
axial/mixed flow. (HI, No. 8 at p. 11)
---------------------------------------------------------------------------

    \23\ Specific speed is a quasi-dimensionless quantity used to 
describe relative pump geometry and flow characteristics.
---------------------------------------------------------------------------

    In response to HI, DOE notes that the April 2015 pumps test 
procedure NOPR does not include PD pumps within its scope of 
applicability. All equipment to which the April 2015 pumps test 
procedure NOPR and this final rule applies is explicitly defined as 
types of rotodynamic pumps. Further, rotodynamic pumps are explicitly 
defined in the April 2015 pumps test procedure NOPR and this final rule 
as continuously imparting energy to the pumped fluid by means of a 
rotating impeller, propeller, or rotor. Such definition necessarily 
does not include

[[Page 4100]]

PD pumps, which do not continuously impart energy to the pumped fluid 
and do not contain an impeller, propeller, or rotor. As such, no PD 
pumps meet the definition of any equipment within the scope of this 
test procedure, as discussed in section III.A.2.a. Therefore, DOE does 
not believe it is necessary to explicitly exclude PD pumps, which is 
consistent with the comments submitted by HI.
    Regarding axial/mixed flow pumps, DOE agrees with HI that axial/
mixed flow pumps, which are designed to accommodate high flow-to-head-
ratio applications, should not be subject to the test procedure 
established in this final rule. DOE notes that the definitions of IL, 
RSV, and VTS implicitly exclude axial/mixed flow pumps through specific 
design features. Specifically, the definitions of IL and RSV pumps 
exclude axial/mixed flow pumps by specifying single axis flow and a 
liquid inlet in a plane perpendicular to the impeller shaft. In 
contrast, the liquid intake in axial/mixed flow pumps is typically 
parallel to the impeller shaft; as such, these pumps do not meet the 
definition of an RSV or IL pump. DOE understands that less typical 
piping configurations could allow an axial/mixed flow pump to be built 
with the liquid inlet in a plane perpendicular to the impeller shaft. 
However, such a configuration would not satisfy the definition of 
single axis flow and, as such, these pumps would not meet the 
definition of an RSV or IL pump. Additionally, the definition of VTS 
pump excludes axial/mixed flow pumps by specifying that the pump must 
be designed to operate with the motor and stage(s) fully submerged in 
the pumped liquid. Axial/mixed flow pumps are not designed to be 
completely submerged in the pumped liquid and, therefore do not meet 
the definition of a VTS pump.
    In summary, DOE believes that the definitions of IL, RSV, and VTS 
equipment categories are sufficient to exclude pumps that are referred 
to as axial/mixed flow. As a result, DOE maintains that a specific 
speed limitation or other criteria for these categories is unnecessary, 
and DOE has not included a specific speed range for these pumps in the 
parameters for establishing the scope of this rulemaking described in 
section III.A.4.
    With respect to the end suction pumps defined in this final rule, 
DOE agrees that additional scope parameters are necessary to limit the 
scope of this rulemaking to end suction pumps and not inadvertently 
include axial/mixed flow pumps. DOE agrees with HI's suggestion of a 
specific speed limit to accomplish the exclusion of axial/mixed flow 
pumps. However, DOE reviewed the specific speeds of all end suction 
pumps submitted by manufacturers during the energy conservation 
standards rulemaking and identified multiple end suction pumps with 
specific speeds in the range of 4,500 to 5,000.\24\ DOE notes these 
data were voluntarily submitted by manufacturers who self-classified 
their pumps into equipment types with the understanding that the 
rulemaking was not intended to include axial/mixed flow pumps. DOE 
reviewed literature for the specific pumps end suction pumps with 
specific speeds in the range of 4,500 to 5,000 and found them to be 
marketed as end suction pumps. Furthermore, DOE notes that the 
performance data for these pumps were included in the energy 
conservation standards rulemaking analysis. Consequently, DOE finds it 
appropriate to explicitly include within the scope of this rule, as 
established in Sec.  431.464(a)(1)(ii), all end suction pumps with 
specific speeds up to and including 5,000 and exclude pumps with 
specific speeds greater than 5,000.
---------------------------------------------------------------------------

    \24\ All values for specific speed in this final rule pertain to 
calculations using U.S. customary units.
---------------------------------------------------------------------------

e. Final Equipment Category Definitions
    After consideration of all comments, definitions for pump equipment 
categories subject to this test procedure are as set forth in the 
regulatory text of this rule (10 CFR 431.62).
    DOE received no comments on DOE's other supporting definitions 
proposed in the April 2015 pumps test procedure NOPR, namely 
rotodynamic pump, single axis flow pump, and end suction pump. 
Therefore, DOE is adopting those definitions as proposed.
3. Scope Exclusions Based on Application
    In an effort to meet the intent and recommendations of the CIP 
Working Group to include only those pumps intended to pump clean water 
in the scope of this test procedure rulemaking (Docket No. EERE-2013-
BT-NOC-0039, No. 92, Recommendation #8 at pp. 3-4), DOE proposed to 
define ``clean water pump'' in the April 2015 pumps test procedure 
NOPR. 80 FR 17586, 17598 (April 1, 2015). DOE also proposed defining 
several kinds of clean water pumps that are designed for specific 
applications and that the CIP Working Group had indicated should be 
excluded from the scope of this test procedure and DOE's standards 
rulemaking efforts that are being considered in a separate rulemaking. 
(Docket No. EERE-2011-BT-STD-0031) These proposed definitions, comments 
DOE received regarding the proposed definitions, and DOE's responses to 
those comments are discussed in the subsequent sections III.A.3.a and 
III.A.3.b.
a. Definition of Clean Water Pump
    In the NOPR, DOE proposed defining ``clean water pump'' as a pump 
that is designed for use in pumping water with a maximum non-absorbent 
free solid content of 0.25 kilograms per cubic meter, and with a 
maximum dissolved solid content of 50 kilograms per cubic meter, 
provided that the total gas content of the water does not exceed the 
saturation volume, and disregarding any additives necessary to prevent 
the water from freezing at a minimum of -10 [deg]C. DOE also noted that 
several common pumps would not meet the definition of clean water 
pumps, as they are not designed for pumping clean water, including 
wastewater, sump, slurry, or solids handling pumps; pumps designed for 
pumping hydrocarbon product fluids; chemical process pumps; and 
sanitary pumps. DOE also proposed to incorporate by reference the 
definition for ``clear water'' established in HI 40.6-2014 to describe 
the characteristics of the fluid to be used when testing pumps in 
accordance with the DOE test procedure. 80 FR 17586, 17598 (April 1, 
2015).
    DOE requested comment on the definition of ``clean water pump'' 
proposed in the April 2015 pumps test procedure NOPR and its proposal 
to incorporate by reference the definition of ``clear water'' in HI 
40.6-2014 to describe the testing fluid to be used when testing pumps 
in accordance with the DOE test procedure. In response to these 
proposals, HI commented that it agrees with the definition of ``clean 
water pump'' as set forth in the NOPR, and that it agrees with 
incorporating by reference the definition of ``clear water'' in HI 
40.6-2014. (HI, No. 8 at p. 11) DOE received no other comments on these 
terms and has determined that the definitions proposed in the NOPR are 
sufficient for the purposes of applying DOE's test procedure. However, 
for consistency, DOE is making the minor modification of translating 
the definition to use all U.S. customary units. As such, DOE is 
adopting the definition of clean water pump and incorporating by 
reference the definition of ``clear water'' in HI 40.6-2014 as proposed 
in the April 2015 pumps test procedure NOPR, with only the minor 
modification regarding units noted previously.

[[Page 4101]]

b. Exclusion of Specific Kinds of Clean Water Pumps
    In the April 2015 pumps test procedure NOPR, DOE also proposed 
defining several kinds of pumps that meet the definition of clean water 
pumps discussed in section III.A.3.a, but that the CIP Working Group 
recommended be excluded from this pumps test procedure rulemaking. 
Specifically, in the April 2015 pump test procedure NOPR, DOE proposed 
that the test procedure would not apply to the following:
     Fire pumps;
     self-priming pumps;
     prime-assist pumps;
     sealless pumps;
     pumps designed to be used in a nuclear facility subject to 
10 CFR part 50--Domestic Licensing of Production and Utilization 
Facilities; and
     a pump meeting the design and construction requirements 
set forth in Military Specification MIL-P-17639F, ``Pumps, Centrifugal, 
Miscellaneous Service, Naval Shipboard Use'' (as amended).

80 FR 17586, 17598-17600 (April 1, 2015).
    Accordingly, DOE proposed the following definitions of fire pump, 
self-priming pump, prime-assist pump, and sealless pump:
     Fire pump means a pump that is compliant with National 
Fire Protection Association (NFPA) 20-2016,\25\ ``Standard for the 
Installation of Stationary Pumps for Fire Protection,'' and either (1) 
American National Standards Institute (ANSI)/UL listed under ANSI/UL 
448-2013, ``Standard for Safety Centrifugal Stationary Pumps for Fire-
Protection Service,'' or (2) FM approved under the January 2015 edition 
\26\ of FM Class Number 1319, ``Approval Standard for Centrifugal Fire 
Pumps (Horizontal, End Suction Type).''
---------------------------------------------------------------------------

    \25\ DOE notes that in the April 2015 pumps test procedure NOPR, 
DOE proposed to reference NFPA 20-2013. However, on May 26, 2015, 
NFPA released a revised version of NFPA 20. DOE reviewed the new 
NFPA 20-2016 and finds it to be consistent with NFPA 20-2013 for the 
purposes of defining the characteristics of a ``fire pump'' in the 
context of DOE's regulations for pumps. DOE finds it most 
appropriate to reference the most up-to-date version of the NFPA 
Standard, as that version would be the version currently in use for 
specifying the necessary characteristics of fire pumps in the 
industry. Therefore, in this final rule, DOE is updating the 
definition of fire pump to reference NFPA 20-2016.
    \26\ Similar to NFPA 20-2016, DOE notes that, in January 2015, 
FM Global released an updated version of the FM Class Number 1319 
standard. DOE reviewed the new January 2015 edition and notes that 
it contains only editorial changes as compared to the October 2008 
edition proposed in the NOPR. DOE believes that it is most 
appropriate to reference the most up-to-date version of the FM 
standard, as that version is the version currently in use for 
specifying the necessary characteristics of fire pumps in the 
industry. Therefore, in this final rule, DOE is updating the 
definition of fire pump to reference the January 2015 edition of FM 
Class Number 1319.
---------------------------------------------------------------------------

     Self-priming pump means a pump designed to lift liquid 
that originates below the center line of the pump impeller. Such a pump 
requires initial manual priming from a dry start condition, but 
requires no subsequent manual re-priming.
     Prime-assist pump means a pump designed to lift liquid 
that originates below the center line of the pump impeller. Such a pump 
requires no manual intervention to prime or re-prime from a dry-start 
condition. Such a pump includes a vacuum pump or air compressor to 
remove air from the suction line to automatically perform the prime or 
re-prime function.
     Sealless pump means either:
    [cir] A pump that transmits torque from the motor to the bare pump 
using a magnetic coupling; or
    [cir] A pump in which the motor shaft also serves as the impeller 
shaft for the bare pump, and the motor rotor is immersed in the pumped 
fluid.

Id. at 17641-42.
    HI commented that it agrees with the definition of ``fire pump'' 
and recommended alternate definitions for ``self-priming pump,'' 
``prime-assist pump,'' and ``sealless pump'' as follows:
     Self-priming pump means a pump designed to lift liquid 
that originates below the centerline of the pump inlet. Further, such a 
pump must contain at least one internal recirculation passage and 
requires a manual filling of the pump casing prior to initial start-up. 
Such a pump must then be able to re-prime after the initial start-up 
without the use of external vacuum sources, manual filling, or a foot 
valve.
     Prime-assist pump means a pump designed to lift liquid 
that originates below the centerline of the pump inlet. Such a pump 
requires no manual intervention to prime or re-prime from a dry-start 
condition without the use of a foot valve. Such a pump includes a 
vacuum pump or air compressor and venture/educator to remove air from 
the suction line to automatically perform the prime or re-prime 
function at any point during the pump's operating cycle.
     A sealless pump means either:
    [cir] A hermetically sealed pump that transmits torque from the 
motor to an inner impeller rotor via magnetic force through a 
containment shell;
    [cir] Or, a type of pump that has a common shaft to link the pump 
and motor in a single hermetically sealed unit. The pumped liquid is 
circulated through the motor but is isolated from the motor components 
by a stator liner.

(HI, No. 55 at pp. 11-12)

    DOE considered these recommendations and revised the definitions of 
these excluded clean water pumps in this final rule, incorporating the 
key components of HI's proposals. Specifically, DOE agrees with HI's 
revised definitions for prime-assist pump and self-priming pump and is 
adopting them in this final rule with some minor modifications for 
clarity. DOE finds HI's suggested definitions to be consistent with 
DOE's proposed definitions but more precise, using industry-specific 
language.
    Regarding HI's suggested definition of sealless pump, DOE agrees 
with the content of the definition. However, DOE notes that, based on 
the modifications to equipment category definitions described in 
section III.A.2.a, DOE has determined that it is no longer necessary to 
explicitly exclude wet rotor pumps (the second clause of HI's sealless 
pump definition) from the scope of this rulemaking. Specifically, as 
explained in section III.A.2.a, DOE is specifying in its revised 
definitions that all ESCC, ESFM, IL, RSV, and VTS pumps are types of 
dry rotor pumps. Dry rotor pump means a pump in which the motor rotor 
is not immersed in the pumped fluid. Conversely, a wet rotor pump is 
one in which the motor rotor is immersed in the pumped liquid.
    Given the mutually exclusive relationship between wet and dry rotor 
pumps, the definitions of ESCC, ESFM, IL, RSV, and VTS pumps, as 
established in section III.A.2.a, now implicitly exclude wet rotor 
pumps from the scope of this test procedure. As a result, DOE has 
simplified the sealless pump exclusion in this final rule to exclude 
magnet driven pumps only. Accordingly, DOE is also modifying the term 
``sealless pump'' to ``magnet driven pump,'' as DOE believes this term 
more accurately describes the excluded equipment. In addition, DOE is 
modifying the definition of magnet driven pump to be consistent with 
the suggestions from HI, which DOE believes is consistent with the 
portion of the sealless pump definition proposed in the April 2015 
pumps test procedure NOPR addressing magnet driven pumps, but which 
uses more precise and industry-specific terminology.
    HI also commented that no pumps designed to the Federal defense 
specification MIL-P-17639 should be included in this rulemaking. (HI, 
No. 8 at p. 12) HI stated that the specifications included in the CIP 
Working Group

[[Page 4102]]

term sheet also should be excluded, specifically MIL-P-17881, MIL-P-
17840, MIL-P-18682, and MIL-P-18472 (commonly referred to as ``MIL-
SPEC''). DOE has therefore reviewed these additional specifications in 
determining exclusions in this final rule.
    Pumps designed to these military specifications must meet very 
specific physical and/or operational characteristics and comply with 
complex and rigid reporting requirements.\27\ These specifications 
require that significant amounts of design and test data be submitted 
to various military design review agencies to ensure that the pump can 
be operated and maintained in harsh naval environments. DOE believes 
there is sufficient justification to exclude all of the MIL-SPEC pumps 
identified by HI from the scope of this rulemaking without a risk of 
clean water pumps being marketed or sold as MIL-SPEC for actual use in 
other applications due to the rigorous and burdensome requirements 
associated with complying with those regulations. DOE notes that, as 
mentioned in the April 2015 pumps test procedure NOPR, when considering 
if a pump is designed and constructed to the requirements set forth in 
any of these specifications, DOE may request that a manufacturer 
provide DOE with copies of the original design and test data that were 
submitted to appropriate design review agencies, as required by each of 
these specifications. 80 FR 17586, 17599 (April 1, 2015).
---------------------------------------------------------------------------

    \27\ United States General Accounting Office, Report to 
Congressional Committees, Acquisition Reform: DOD Begins Program To 
Reform Specifications and Standards, GAO/NSIAD-95-14. October 11, 
1994. Washington, DC. pp. 2-3. http://www.gao.gov/archive/1995/ns95014.pdf.
---------------------------------------------------------------------------

    After reviewing and considering comments, DOE is adopting in this 
final rule that the following specific types of clean water pumps are 
excluded from the scope of this test procedure final rule:
     Fire pumps;
     self-priming pumps;
     prime-assist pumps;
     magnet driven pumps;
     pumps designed to be used in a nuclear facility subject to 
10 CFR part 50--Domestic Licensing of Production and Utilization 
Facilities; and
     pumps meeting the design and construction requirements set 
forth in Military Specification MIL-P-17639F, ``Pumps, Centrifugal, 
Miscellaneous Service, Naval Shipboard Use'' (as amended); MIL-P-
17881D, ``Pumps, Centrifugal, Boiler Feed, (Multi-Stage)'' (as 
amended); MIL-P-17840C, ``Pumps, Centrifugal, Close-Coupled, Navy 
Standard (For Surface Ship Application)'' (as amended); MIL-P-18682D, 
``Pump, Centrifugal, Main Condenser Circulating, Naval Shipboard'' (as 
amended); and MIL-P-18472G, ``Pumps, Centrifugal, Condensate, Feed 
Booster, Waste Heat Boiler, And Distilling Plant'' (as amended).
    Accordingly, DOE provides the revised definitions of fire pump, 
self-priming pump, prime-assist pump, and magnet driven pump set forth 
in the regulatory text of this rule (10 CFR 431.62).
4. Parameters for Establishing the Scope of Pumps in This Rulemaking
    In addition to limiting the types of pumps that DOE will regulate 
at this time through pump definitions and their applications, DOE 
proposed in the April 2015 pumps test procedure NOPR to further limit 
the scope of the pumps test procedure considered in this rulemaking by 
applying the following performance and design characteristics:
     1-200 hp (shaft power at the BEP at full impeller diameter 
for the number of stages \28\ required for testing to the standard); 
\29\
---------------------------------------------------------------------------

    \28\ The number of ``stages'' in a multi-stage pump refers to 
the number of bowl assemblies included in that pump.
    \29\ The CIP Working Group also recommended that testing be 
required with three stages for RSV pumps and nine stages for VTS 
pumps, unless a model is not available with that specific number of 
stages, in which case the pump would be tested with the next closest 
number of stages. This recommendation is discussed in more detail in 
section III.C.2.c.
---------------------------------------------------------------------------

     25 gallons per minute (gpm) and greater (at BEP at full 
impeller diameter);
     459 feet of head maximum (at BEP at full impeller 
diameter);
     design temperature range from -10 to 120 [deg]C;
     pumps designed for nominal 3,600 or 1,800 revolutions per 
minute (rpm) driver speeds; and
     6-inch or smaller bowl diameter for VTS pumps (HI VS0).

(Docket No. EERE-2013-BT-NOC-0039, No. 92, Recommendation #7 at p. 3); 
80 FR 17586, 17600 (April 1, 2015).
    Wilo commented that lower thresholds for horsepower and BEP flow 
rate should not be included as limiting parameters on the scope of 
pumps considered in the rule, citing unspecified gains in energy 
savings that could be realized by regulating smaller models. (Wilo, 
Docket No. EERE-2011-BT-STD-0031, No. 44 at pp. 1-2) \30\ In response 
to Wilo's suggestion that DOE apply the test procedure to pumps with 
flow rates below 25 gpm or shaft input power below 1 hp, DOE believes 
that such a recommendation is inconsistent with the scope of pumps the 
CIP Working Group recommended for this rulemaking. Given that such 
small horsepower pumps were not considered in the CIP Working Group 
discussions, any data or information submitted to DOE throughout those 
negotiations did not consider small horsepower pumps. As such, DOE is 
electing to maintain the lower thresholds for horsepower and BEP flow 
rate as proposed in the April 2015 pumps test procedure NOPR.
---------------------------------------------------------------------------

    \30\ A notation in this form provides a reference for 
information that is in the docket of DOE's rulemaking to develop 
energy conservation standards for commercial and industrial pumps 
(Docket No. EERE-2011-BT-STD-0031, which is maintained at 
www.regulations.gov). This particular notation refers to a comment: 
(1) Submitted by Wilo; (2) appearing in document number 44 of the 
docket; and (3) appearing on pages 1-2 of that document.
---------------------------------------------------------------------------

    HI recommended in the April 2015 NOPR public meeting and written 
comments that DOE establish scope related to ``driver and impeller'' 
speed rather than just driver speed. HI noted that pumps do not all 
have 1:1 motor rotating speed to impeller-rotating speed, such as a 
gear pump. (HI, NOPR public meeting transcript, No. 7 at p. 85; HI, No. 
8 at p. 13) HI further specified as an example that a geared pump 
designed to use a 2-pole motor could be in scope but could not be 
tested according to section I.C.1 of the test procedure. (HI, No. 8 at 
p. 13)
    DOE notes that the list shown in the preamble of the April 2015 
pump test procedure NOPR, based on the CIP Working Group 
recommendations, included a limitation for pumps designed for nominal 
driver speeds of 3,600 or 1,800 revolutions per minute (rpm) driver. 
(Docket No. EERE-2013-BT-NOC-0039, No. 92, Recommendation #7 at p. 3); 
80 FR 17586, 17600 (April 1, 2015). However, in the regulatory text of 
the April 2015 pumps test procedure NOPR, DOE modified this 
recommendation to acknowledge that the pumps within the scope of the 
proposed test procedure include pumps paired with non-induction motors, 
which have wide range of operating speeds. Specifically, DOE proposed 
to limit the scope of the proposed test procedure to pumps designed to 
operate with either: (1) A 2- or 4-pole induction motor, or (2) a non-
induction motor with a speed of rotation operating range that includes 
speeds of rotation between 2,880 and 4,320 rpm and/or 1,440 and 2,160 
rpm. Id. at 17642. DOE proposed the speed ranges of 2,880 to 4,320 and 
1,440 to 2,160 based on the nominal rotating speeds of 3,600 and 1,800 
for 2- and 4-pole motors, respectively, and the allowed 20

[[Page 4103]]

percent tolerance on rotating speed proposed in the NOPR. Id. at 17609.
    DOE notes that geared pumps were never explicitly addressed by the 
CIP Working Group; were not included in the pump data which are the 
basis of this final rule and the associated energy conservation 
standard rulemaking; and were not intended to be included in the scope 
of the April 2015 pumps test procedure NOPR. In addition, as mentioned 
in section III.A.2.a, geared pumps typically operate at impeller speeds 
higher than the 1,800 and 3,600 nominal rotating speeds DOE referenced 
in CIP Working Group discussions and the April 2015 pumps test 
procedure NOPR. In light of HI's comment, DOE agrees that it is worth 
clarifying that such pumps are not subject to or addressed by the test 
procedure established in this final rule. To clarify that pumps with 
higher impeller or lower driver rotating speeds (i.e., geared pumps) 
are not within the scope of this rulemaking, DOE is modifying the 
language establishing the rotating speeds within the scope of the test 
procedure adopted in this final rule to note that the driver and 
impeller must operate at the same speed.
    During the April 2015 NOPR public meeting, the CA IOUs expressed 
concern regarding whether it was the CIP Working Group's intention to 
address VTS pumps that operate at high speed. Specifically, the CA IOUs 
mentioned that it may not have been the intent of HI to exclude a 
product operating at a higher rpm and recommended that HI consider the 
language proposed in the April 2015 pumps test procedure NOPR to ensure 
they support the scope of pumps addressed by the proposed test 
procedure. (CA IOUs, NOPR public meeting transcript, No. 7 at pp. 86-
88) However, in its written comments, HI did not recommend any changes 
to the parameters other than the discussion on impeller speed versus 
driver speed. (HI, No. 8 at p. 13)
    Wilo commented that manufacturers may redesign to nominal speeds 
excluded from the DOE regulation. (Wilo, Docket No. EERE-2011-BT-STD-
0031, No. 44 at p. 2) Wilo indicated that, for example, a pump could be 
designed for use with 6-pole motors at 1,200 rpm, or for use with 
controls at 2,650 rpm. Wilo recommended to instead apply the minimum 
efficiency required per equipment class (e.g., C-values at 1,800 rpm) 
to pumps of any speed and specific speed, thereby eliminating 
exceptions for speed and allowing for enforcement across all motor 
speeds. (Id.)
    DOE's data and analysis are based solely on pumps with nominal 
rotating speeds corresponding to those speed ranges proposed in the 
2015 pumps test procedure NOPR. DOE notes that, during the initial data 
request underlying the parallel pumps test procedure and energy 
conservation standards rulemakings, DOE requested data on six-pole 
pumps from manufacturers. However, manufacturers declined to provide 
such on the basis that, while some pumps may be sold for use with 6-
pole motors, they are all designed for use with 4- or 2-pole motors. 
(Docket No. EERE-2013-BT-NOC-0039, No. 46 at p. 198) As such, 
manufacturers posited that these pumps would already be captured in the 
provided data for 4- and 2-pole, and any efficiency improvements made 
to meet the energy conservation standards for those equipment classes 
would also result in energy savings when the pump was operated with a 
6-pole motor. Additionally, DOE finds it unlikely that, for those pumps 
that can operate with 2-, 4-, or 6-pole motors, a manufacturer would 
begin specifying that their pump was inappropriate for operation in the 
nominal speed ranges of 2,880 and 4,320 rpm and/or 1,440 and 2,160 rpm 
to avoid regulation.
    After considering these comments, DOE maintains its position set 
forth in the NOPR, and limits the test procedure applicability to pumps 
designed for the given motors or speeds. DOE notes that pumps with 
lower or higher operating speeds are covered as ``pumps'' and, should 
DOE deem it necessary, DOE could evaluate the need for a test procedure 
or standards for pumps at other rotating speeds in a future rulemaking.
    In summary, DOE is establishing in this final rule the following 
scope parameters:
     25 gpm and greater (at BEP at full impeller diameter);
     459 feet of head maximum (at BEP at full impeller diameter 
and the number of stages specified for testing);
     design temperature range from 14 to 248 [deg]F;
     designed to operate with either (1) a 2- or 4-pole 
induction motor, or (2) a non-induction motor with a speed of rotation 
operating range that includes speeds of rotation between 2,880 and 
4,320 rpm and/or 1,440 and 2,160 rpm, and in either case, the driver 
and impeller must rotate at the same speed; and
     6-inch or smaller bowl diameter for VTS pumps (HI VS0).
    As discussed further in section III.B.2, DOE is clarifying that the 
limitation on pump total head of 459 feet must be ascertained based on 
the pump operating at BEP, at full impeller diameter, and with the 
number of stages specified for testing.
    Additionally, to exclude axial/mixed flow pumps, DOE is applying a 
seventh scope parameter for ESCC and ESFM pumps, namely:
     For ESCC and ESFM pumps, specific speed less than or equal 
to 5,000 when calculated using U.S. customary units in accordance with 
the DOE test procedure.
    As discussed in section III.A.2.d, DOE is setting this limit on 
specific speed based on HI's suggestion and data submitted by 
manufacturers for end suction pumps. DOE believes that a specific speed 
limit for the remaining equipment categories, namely IL, RSV, and VTS, 
are unnecessary, as the definitions for these categories include design 
features that implicitly exclude axial/mixed flow pumps.
    In the April 2015 pumps test procedure NOPR, DOE proposed defining 
bowl diameter to specify clearly and unambiguously the limiting 
criterion for VTS pumps (i.e., bowl diameter). 80 FR 17586, 17600 
(April 1, 2015). Specifically, DOE proposed defining ``bowl diameter'' 
as it applies to VTS pumps as follows:
    Bowl diameter means the maximum dimension of an imaginary straight 
line passing through and in the plane of the circular shape of the 
intermediate bowl or chamber of the bare pump that is perpendicular to 
the pump shaft and that intersects the circular shape of the 
intermediate bowl or chamber of the bare pump at both of its ends, 
where the intermediate bowl or chamber is as defined in ANSI/HI 2.1-
2.2-2008.
    With this definition, only those VTS pumps with bowl diameters of 6 
inches or less would be required to be tested under the test procedure. 
Id.
    In response to DOE's request for comment on the proposed definition 
for ``bowl diameter'' as it would apply to VTS pumps, HI commented that 
the definition should reference the updated 2014 version of ANSI/HI 
2.1-2.2-2008, and recommended that the word ``outermost'' should be 
inserted before the text ``circular shape of the intermediate bowl.'' 
(HI, No. 8 at p. 13) Based on previously submitted HI comments 
regarding the energy conservation standards rulemaking for pumps, DOE 
understands that VTS (e.g., VS0) pumps are considered equivalent to a 
style of pump referred to as ``submersible multi-stage water pump''

[[Page 4104]]

(MSS) in EU regulation 547.\31\ (HI, Docket No. EERE-2011-BT-STD-0031, 
No. 25 at p. 3) DOE also understands that, according to EU 547, MSS 
pumps are designed to be operated in a borehole and have a nominal 
outer diameter of either 4 or 6 inches.
---------------------------------------------------------------------------

    \31\ Council of the European Union. 2012. Commission Regulation 
(EU) No 547/2012 of 25 June 2012 implementing Directive 2009/125/EC 
of the European Parliament and of the Council with regard to 
ecodesign requirements for water pumps. Official Journal of the 
European Union. L 165, 26 June 2012.
---------------------------------------------------------------------------

    DOE agrees with HI that including the word ``outermost'' in the 
proposed bowl diameter definition would improve the clarity of the 
critical dimension and ensure the definition is aligned with how the 
pumps are treated in EU 547. Therefore, in this final rule, DOE is 
including the term outer diameter before the text ``circular shape of 
the intermediate bowl'' in the definition of ``bowl diameter'' proposed 
in the April 2015 pumps test procedure NOPR. DOE has also determined 
that in order to avoid confusion with the ANSI/HI 2.1-2.2-2014 term 
``seal chamber,'' the text ``or chamber'' should be removed from the 
bowl diameter definition. The revised definition reads as set forth in 
the regulatory text of this rule (10 CFR 431.62).
5. Drivers Other Than Electric Motors
    DOE recognizes that some pumps, particularly in the agricultural 
sector, may be sold and operated with drivers other than electric 
motors (i.e., non-electric drivers), such as engines, steam turbines, 
or generators. In the April 2015 pump test procedure NOPR, in 
accordance with the recommendations of the CIP Working Group (Docket 
No. EERE-2013-BT-NOC-0039, No. 92, Recommendation #3 at p. 2), DOE 
proposed that pumps sold with non-electric drivers be rated as bare 
pumps only. Specifically, based on DOE's proposed test procedure for 
bare pumps discussed in detail in section III.E.1.a, pumps sold with 
non-electric drivers would determine the PEICL for the pump 
based on the calculated performance of the bare pump combined with a 
default motor that is minimally compliant with DOE's energy 
conservation standards for electric motors \32\ listed at 10 CFR 
431.25. 80 FR 17586, 17600 (April 1, 2015). DOE noted that by requiring 
testing and certification in this manner, any hydraulic improvements 
made to the bare pump to comply with any applicable energy conservation 
standards that may apply to the bare pump would also result in energy 
savings when the pump was used with a non-electric driver. Id.
---------------------------------------------------------------------------

    \32\ In context, the terms ``electric motor'' and ``motor'' are 
used interchangeably.
---------------------------------------------------------------------------

    DOE requested comment on its proposal to test pumps sold with non-
electric drivers as bare pumps. HI commented that it agrees that pumps 
sold with non-electric drivers should be tested as bare pumps, as 
recommended by the CIP Working Group. (HI, No. 8 at p. 13) DOE received 
no other comments on the proposal and is adopting provisions for 
testing pumps paired with non-electric drivers as bare pumps in this 
final rule, as proposed in the April 2015 pumps test procedure NOPR.
6. Pumps Sold With Single-Phase Induction Motors
    In the April 2015 pumps test procedure NOPR, DOE acknowledged that 
some pumps within the scope of this rulemaking may be distributed in 
commerce with single-phase motors. However, DOE determined that the 
majority of pumps in the scope of this test procedure rulemaking are 
sold with polyphase induction motors. Moreover, DOE noted that, to the 
extent that pumps within the scope of the proposed test procedure are 
distributed in commerce with single-phase motors, most of these pumps 
are offered for sale with either single-phase or polyphase induction 
motors of similar size, depending on the power requirements of 
customers.
    Given that single-phase induction motors are, in general, less 
efficient than polyphase induction motors and, thus, will result in 
different energy consumption characteristics when paired with the same 
bare pump, DOE proposed that pumps sold with single-phase induction 
motors be tested and rated in the bare pump configuration, using the 
calculation-based method (see section III.E.1.a for a more detailed 
description of this method). DOE believed that such an approach would 
more equitably rate pumps sold with single-phase motors and prevent 
pumps sold with single-phase motors from being penalized by the reduced 
energy efficiency of the paired single-phase motor, as compared to 
similarly-sized polyphase motors. 80 FR 17586, 17600-01 (April 1, 
2015).
    In response to DOE's proposed method for testing pumps sold with 
single-phase induction motors, HI agreed that it is appropriate to 
apply the calculation-based test procedure to bare pumps to determine 
the PEICL for such pumps. However, HI also requested the 
option of using single-phase motor wire-to-water test data (that is, 
applying the testing-based method for pumps sold with motors, discussed 
in section III.E.2.b) to determine the PEICL for such pumps. 
(HI, No. 8 at p. 13) Given that single-phase induction motors are, in 
general, less efficient than polyphase induction motors, determining 
the PEICL for pumps sold with single-phase induction motors 
based on the testing-based method for pumps sold with motors will 
generally result in PEICL ratings that are equivalent to or 
lower than those determined by rating the pump as a bare pump (as 
proposed in the April 2015 pumps test procedure NOPR). Therefore, use 
of the testing-based method will make it harder, rather than easier, 
for pumps sold with single-phase induction motors, to meet the 
established standards. For these reasons, DOE sees no reason why 
manufactures could not be allowed to employ the testing-based method 
for pumps sold with motors to determine the PEICL if they 
chose to. As such, DOE is adopting provisions in this final rule that 
allow manufacturers the option of rating pumps sold with single-phase 
motors as bare pumps (using a calculation-based method) or as pumps 
with motors using the testing-based methods. DOE notes that if 
manufacturers choose to employ the testing-based methods for pumps sold 
with motors, the denominator must still be calculated based on the 
default motor efficiency values for polyphase NEMA Design B motor, as 
discussed in section III.B.2. DOE also notes that, as for all pumps 
subject to this test procedure final rule, manufacturers must report 
which test method was employed in determining the certified 
PEICL rating for the given basic model in the certification 
report submitted to DOE. These requirements are discussed in more 
detail in the pumps energy conservation standards rulemaking. (Docket 
No. EERE-2011-BT-STD-0031)

B. Rating Metric: Constant and Variable Load Pump Energy Index

    After significant discussion in the CIP Working Group open meeting, 
the Working Group recommended that DOE use a wire-to-water, power-based 
metric for all pumps, regardless of how they are sold. (Docket No. 
EERE-2013-BT-NOC-0039, No. 92, Recommendation #11 at p. 5) 
Specifically, the CIP Working Group recommended that DOE use the PEI 
metric to measure pump energy performance, which is calculated as a 
ratio of the PER (PERCL or PERVL) of the tested 
pump divided by the PERCL of a pump that would minimally 
comply with any DOE energy conservation standard for that pump type 
(PERSTD). In both cases, PER represents a pump's power 
consumption at a weighted average of

[[Page 4105]]

three or four load points. The CIP Working Group recommended a similar 
metric for all pump configurations (i.e., bare pumps, pumps sold with a 
motor, and pumps sold with a motor and continuous or non-continuous 
controls) to allow for better comparability and more consistent 
application of the rating metric for all pumps within the recommended 
scope. This way, the benefit of speed control, as compared to a similar 
pump without speed control, can be reflected in the measurement of 
energy use or energy efficiency.
    Accordingly, in the April 2015 pumps test procedure NOPR, DOE 
proposed to establish a test procedure to determine the 
PEICL for pumps sold without continuous or non-continuous 
controls and PEIVL for pumps sold with continuous or non-
continuous controls. 80 FR 17586, 17601-02 (April 1, 2015). As 
recommended by the CIP Working Group, DOE proposed to determine the 
PEICL or PEIVL as the ratio of a PERCL 
or PERVL scaled with respect to a ``standard pump energy 
rating'' (PERSTD) that represents the performance of a bare 
pump of the same equipment class that serves the same hydraulic load, 
has the same flow and specific speed characteristics, and is minimally 
compliant with DOE's energy conservation standards. Id.
    Specifically, for pumps sold without continuous or non-continuous 
controls, DOE proposed using the PEICL metric, which would 
be evaluated as shown in equation (1):
[GRAPHIC] [TIFF OMITTED] TR25JA16.000

Where:

PERCL = the weighted average input power to the motor at 
load points of 75, 100, and 110 percent of BEP flow (hp) and
PERSTD = the PERCL for a pump of the same 
equipment class with the same flow and specific speed 
characteristics that is minimally compliant with DOE's energy 
conservation standards serving the same hydraulic load (hp). A more 
detailed discussion of the PERSTD value is provided in 
section III.B.2.

    Similarly, for pumps sold with a motor and continuous or non-
continuous controls, DOE proposed to use PEIVL, which would 
be evaluated as shown in equation (2):
[GRAPHIC] [TIFF OMITTED] TR25JA16.001

Where:

PERVL = the average input power to the motor and 
continuous or non-continuous controls at load points of 25, 50, 75, 
and 100 percent of BEP flow (hp) and
PERSTD = the PERCL for a pump of the same 
equipment class with the same flow and specific speed 
characteristics that is minimally compliant with DOE's energy 
conservation standards serving the same hydraulic load (hp).

    DOE noted in the April 2015 pumps test procedure NOPR that, under 
the proposed approach, the performance of bare pumps or pumps paired 
with motors (but without continuous or non-continuous controls) would 
be determined for the appropriate load points along the single-speed 
pump curve by increasing head (i.e., throttling) as flow is decreased 
from the maximum flow rate of the pump, while pumps sold with 
continuous or non-continuous controls, by contrast, would follow a 
system curve and achieve the desired flow points by reducing the pump's 
speed of rotation rather than controlling flow by throttling. By 
reducing speed, power is reduced in proportion to the cube of speed, 
resulting in lower power requirements for any part load flow points. As 
such, the PEIVL for a pump sold with continuous or non-
continuous controls would be lower than the PEICL for the 
same pump sold without continuous or non-continuous controls. In 
essence, consistent with the recommendation of the CIP Working Group, 
adopting the PEICL and PEIVL metrics as proposed 
would illustrate the inherent performance differences that can occur 
when coupling a given pump with continuous or non-continuous controls. 
Id.
1. Determination of the Pump Energy Rating
    As mentioned above, PERCL and PERVL represent 
the weighted average input power to the pump determined at three or 
four discrete load points for PERCL or PERVL, 
respectively. In order to determine the representative performance of a 
given pump unit, DOE must define a load profile and establish specific 
load points at which to test a given pump for pumps sold with speed 
controls and pumps sold without such speed controls (i.e., pumps sold 
as bare pumps and pumps sold with motors). Based on DOE's research and 
recommendations provided by the CIP Working Group, DOE proposed 
adopting two distinct load profiles to represent constant speed and 
variable speed pump operation, as shown in Table III.2.

         Table III.2--Load Profiles Based on Pump Configuration
------------------------------------------------------------------------
       Pump configuration            Load profile         Load points
------------------------------------------------------------------------
Pumps Sold without Continuous or  Constant Load       75%, 100%, and
 Non-Continuous Controls (i.e.,    Profile.            110% of BEP flow.
 bare pumps and pumps sold with
 motors).
Pumps Sold with Continuous or     Variable Load       25%, 50%, 75%, and
 Non-Continuous Controls.          Profile.            100% of BEP flow.
------------------------------------------------------------------------

    Lack of field data on load profiles and the wide variation in 
system operation also make it difficult to select appropriate weights 
for the load profiles. For these reasons, the CIP Working Group members 
concluded that equal weighting would at least create a level playing 
field across manufacturers (see, e.g., Docket No. EERE-2013-BT-NOC-
0039, No. 63 at p. 125), and DOE proposed to adopt this recommendation 
in the April 2015 pumps test procedure NOPR. 80 FR 17586, 17604 (April 
1, 2015).

[[Page 4106]]

    In response to DOE's proposed metrics, load points, and weights, HI 
commented that it agrees with the PEICL and PEIVL 
metric architecture (HI, No. 8 at p. 14), and the CA IOUs also 
indicated their support of DOE's proposed approach (CA IOUs, NOPR 
public meeting transcript, No. 7 at p. 110). Therefore, DOE is 
adopting, in this final rule, a metric of PEICL for pumps 
sold as bare pumps or pumps sold with motors, but without continuous or 
non-continuous controls, as proposed in the April 2015 pumps test 
procedure NOPR, where the PERCL would be evaluated as the 
weighted average input power to the motor at load points corresponding 
to 75, 100, and 110 percent of BEP flow, as shown in equation (3):
[GRAPHIC] [TIFF OMITTED] TR25JA16.002

Where:

[omega]i = weighting at load point i (equal weighting or 
0.3333 in this case),
Pi\in,m\ = measured or calculated driver power input to 
the motor at load point i (hp), and
i = load point corresponding to 75, 100, or 110 percent of BEP flow 
as determined in accordance with the DOE test procedure.

Id. at 17602.

    Similarly, DOE is adopting a metric of PEIVL for pumps 
sold with motors and continuous or non-continuous controls, where 
PERVL is calculated as shown in equation (4):
[GRAPHIC] [TIFF OMITTED] TR25JA16.003

Where:

[omega]i = weighting at load point i (equal weighting or 
0.25 in this case),
Pi\in,c\ = measured or calculated driver power input to 
the continuous or non-continuous controls at load point i (hp), and
i = load point corresponding to 25, 50, 75, or 100 percent of BEP 
flow as determined in accordance with the DOE test procedure.

Id. at 17603.

    .DOE notes that, in the April 2015 pumps test procedure NOPR, DOE 
proposed to refer to the driver power input using the variable 
Pi\in\ regardless of whether it applied to pumps sold with 
motors, where the driver input power is measured at the input to the 
motor, or pumps sold with motors and continuous or non-continuous 
controls, where the driver power input is measured at the input to the 
controls. In this final rule, DOE is clarifying the terminology by 
referring to driver power input to the motor as Pi\in,m\ and 
driver power input to the controls as Pi\in,c\. DOE notes 
that HI 40.6-2014 uses the variable Pgr to refer to driver 
input power and, for the purposes of applying HI 40.6-2014 and the DOE 
test procedure, DOE's defined variable (i.e., Pi\in,m\ and 
Pi\in,c\) should be treated as equivalent to Pgr.
2. PERSTD: Minimally Compliant Pump
    DOE proposed in the April 2015 pumps test procedure NOPR that the 
PERCL or PERVL of the pump being rated in the 
numerator of these equations would be scaled based on PERCL 
of a pump that would minimally comply with the applicable standard for 
the same class of pump to provide a rating for each pump model that is 
indexed to a standardized value. DOE noted that scaling the 
PEICL and PEIVL metrics based on a normalizing 
factor would help compare values across and among various pump types 
and sizes. 80 FR 17586, 17604 (April 1, 2015). DOE noted that such an 
approach would be consistent with the CIP Working Group's 
recommendations (Docket No. EERE-2013-BT-NOC-0039, No. 92, 
Recommendation #11 at pg. 5) and is similar to the approach suggested 
by Europump, a trade association of European pump manufacturers.\33\ 
Id.
---------------------------------------------------------------------------

    \33\ Europump. Extended Product Approach for Pumps: A Europump 
Guide. April 8, 2013.
---------------------------------------------------------------------------

    In the April 2015 pumps test procedure NOPR, DOE proposed to 
determine PERSTD as a baseline, minimally compliant pump, 
inclusive of a minimally compliant default motor, defined as a function 
of flow and specific speed. To do this, DOE proposed to use an equation 
to determine the efficiency of a minimally compliant pump, shown in 
equation (5): \34\
---------------------------------------------------------------------------

    \34\ This equation reflects that shown in the April 2015 NOPR 
public meeting (Docket No. EERE-2013-BT-TP-0055, No. 6 at p.49) and 
represents a correction from that published in the April 2015 pumps 
test procedure NOPR. 80 FR 17586, 17604 (April 1, 2015).

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

[[Page 4107]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.004

Where:

Q100% = BEP flow rate (gpm),
Ns = specific speed at 60 Hz and calculated using U.S. customary 
units, and
C = a constant that is set for the two-dimensional surface described 
by equation (5), which is set based on the speed of rotation and 
equipment type of the pump model. The values of this constant, or 
``C-values,'' are used to establish the minimum, mandatory pump 
efficiency with a minimally compliant pump and will be established 
in the pump energy conservation standard rulemaking.

    DOE developed this equation based on the equation used in the EU to 
develop its regulations for clean water pumps, translated to 60 Hz 
electrical input power and U.S. customary units.\35\ Id. HI commented 
that it agrees with the corrected version of the equation for minimum 
pump efficiency equation ([eta]pump,STD) presented during 
the public meeting, except that the 555.6 value should be changed to 
555.60 and a full significant digit analysis should be conducted to 
ensure that two decimal places can be carried for efficiency. (HI, No. 
8 at pp. 14-15) HI also indicated that because all data in the equation 
are supposed to be normalized to 1,800 or 3,600 rpm, 
Q100% should be clarified as the flow at BEP in 
gallons per minute normalized to synchronous speed at 60 Hz. In 
response to HI's suggested clarifications to the pump efficiency 
equipment presented in the April 2015 pump test procedure NOPR and the 
slide deck presented at the NOPR public meeting (see Docket No. EERE-
2013-BT-TP-0055, No. 6 at p.49), DOE is clarifying in this final rule 
that Q100% in the minimum pump efficiency 
equation ([eta]pump,STD) is the BEP flow rate (gpm) measured 
at 60 Hz and full impeller diameter and normalized to nominal speed of 
rotation of the pump (1,800 or 3,600 rpm). DOE has also revised the 
equation for minimum pump efficiency equation 
([eta]pump,STD) to match the equation shared during the 
public meeting, as suggested by HI.
---------------------------------------------------------------------------

    \35\ The equation to define the minimally compliant pump in the 
EU is of the same form, but employs different coefficients to 
reflect the fact that the flow will be reported in m3/h 
at 50 Hz and the specific speed will also be reported in metric 
units. Specific speed is a dimensionless quantity, but has a 
different magnitude when calculated using metric versus U.S. 
customary units. DOE notes that an exact translation from metric to 
U.S. customary units is not possible due to the logarithmic 
relationship of the terms.
---------------------------------------------------------------------------

    Regarding the significance of the 555.6 value in equation (5) and 
its impact on the number of significant digits in the resultant 
minimally compliant pump efficiency ([eta],pump,STD) or 
final determination of PEICL or PEIVL, DOE notes 
that all coefficients in the listed equations in DOE's pump test 
procedure, including the equation for the minimally compliant pump 
efficiency, should be treated as infinitely significant and should not 
limit the number of significant digits reported in the resultant value. 
As noted in the April 2015 pumps test procedure NOPR and discussed in 
more detail in section III.C.2.f, all calculations should be performed 
with raw measured values and rounded only when determining 
PERCL or PERVL and PEICL or 
PEIVL. 80 FR 17586, 17612 (April 1, 2015) However, 
considering HI's comment, DOE acknowledges that testing personnel or 
manufacturers may inadvertently interpret equation coefficients to be 
reflective of a given degree of resolution, precision, or significance. 
Therefore, to ensure that, even if the coefficients are incorrectly 
treated as carrying an indication of measurement resolution or 
precision such rounding does not impact the significance of the 
reported PERCL and PEICL or PERVL and 
PEIVL values, DOE is adding values (zeros in most cases) 
after the decimal to some of the coefficients in the minimally 
compliant pump efficiency equation, as shown in equation (6):
[GRAPHIC] [TIFF OMITTED] TR25JA16.005

Where:

Q100% = BEP flow rate measured at full 
impeller diameter and normalized to the nominal speed of rotation 
for the tested pump (gpm),
Ns = specific speed at 60 Hz and calculated using U.S. customary 
units, and
C = a constant that is set for the two-dimensional surface described 
by equation (6) based on the speed of rotation and equipment type of 
the pump model. This constant, or ``C-value,'' is used to establish 
the minimum, mandatory pump efficiency with a minimally compliant 
pump and will be established in the pump energy conservation 
standard rulemaking.

    DOE added sufficient significant digits to ensure efficiency can be 
reported to 4 significant digits (i.e., the hundredths place for 
efficiencies greater than 10 percent). DOE is also adding zeros to the 
equations for calculating the reference system curve (described in 
section III.E.1.c) to similarly ensure sufficient significance is 
maintained throughout DOE's test procedure calculations.
    In equation (6), the specific speed (Ns) is a quasi-non-
dimensional number used to classify pumps based on their relative 
geometry and hydraulic characteristics. It is calculated as a function 
of the rotational speed, flow rate, head of the pump, and number of 
stages as shown in equation (7) below:
[GRAPHIC] [TIFF OMITTED] TR25JA16.006

Where:

Ns = specific speed,
nsp = nominal speed of rotation (rpm),

[[Page 4108]]

Q100% = BEP flow rate at full impeller and 
nominal speed (gpm),
H100% = pump total head at BEP flow at full 
impeller and nominal speed (ft), and
S = number of stages.

    DOE notes that, in the April 2015 pumps test procedure NOPR, the 
definition of specific speed did not indicate that the 
H100% term should be normalized by the number of 
stages. 80 FR 17586, 17604 (April 1, 2015). However, doing so is 
consistent with the theoretical calculation of specific speed for 
multi-stage pumps used in the pump industry,\36\ as well as the CIP 
Working Group discussions and analysis \37\ and treatment in the EU 547 
regulations.\38\ DOE also noted this in the second footnote to Table 
1.2 in the Framework document. (Docket No. EERE-2011-BT-STD-0031, No. 
13 at p. 7) To clarify that, for multi-stage RSV and VTS pumps the 
specific speed should be calculated for a single stage only, DOE is 
modifying equation (7) to clearly specify that the head at BEP should 
be divided by the number of stages with which the pump is being tested. 
Further, DOE also proposed using the capital letter ``N'' to define 
nominal speed of rotation. DOE notes that HI 40.6-2014 defines the 
``specified speed of rotation'' using the nomenclature 
``nsp.'' While DOE believes that the phrase ``nominal speed 
of rotation'' is clearer and more consistent with DOE's regulatory 
approach, DOE believes referencing the same nomenclature as HI 40.6-
2014 will reduce confusion when conducting the pumps test procedure. As 
such, in this final rule, DOE is updating the variable used for nominal 
speed of rotation to be consistent with HI 40.6-2014.
---------------------------------------------------------------------------

    \36\ Wilson, S. Specific Speed. Grundfos White Paper. Available 
at: http://www.grundfos.com/content/dam/CBS/global/whitepapers/Specific-Speed.pdf.
    \37\ DOE's PEI Calculator that was used to support Working Group 
negotiations and analysis divided the pump total head at 100 percent 
of BEP flow by the number of stages for multi-stage pumps (See, for 
example, Docket No. EERE-2013-BT-NOC-0039, No. 95).
    \38\ Council of the European Union. 2012. Commission Regulation 
(EU) No 547/2012 of 25 June 2012 implementing Directive 2009/125/EC 
of the European Parliament and of the Council with regard to 
ecodesign requirements for water pumps. Official Journal of the 
European Union. L 165, 26 June 2012.
---------------------------------------------------------------------------

    As proposed in the April 2015 pumps test procedure NOPR, the 
calculated efficiency of the minimally compliant pump reflects the pump 
efficiency at BEP. To calculate PERSTD as the weighted 
average input power to a minimally compliant bare pump at the same load 
points as PERCL, DOE determined a method to translate the 
default efficiency of a minimally compliant pump at BEP to the load 
points corresponding to 75 and 110 percent of BEP flow, as shown in 
equation (8):
[GRAPHIC] [TIFF OMITTED] TR25JA16.007

Where:

[omega]i = weighting at load point i (equal weighting or 
0.3333 in this case);
Pu,i = the measured hydraulic output power at load point 
i of the tested pump (hp); \39\
---------------------------------------------------------------------------

    \39\ In the April 2015 pumps test procedure NOPR, DOE proposed 
to define pump hydraulic output power using the variable 
nomenclature PHydro. However, HI 40.6-2014 uses the 
nomenclature Pu to refer to pump hydraulic output power. 
Therefore, for consistency, DOE is adopting the nomenclature 
Pu for hydraulic output power in this final rule.
---------------------------------------------------------------------------

[alpha]i = 0.947 for 75 percent of the BEP flow rate, 
1.000 for 100 percent of the BEP flow rate, and 0.985 for 110 
percent of the BEP flow rate;
[eta]pump,STD = the minimally compliant pump efficiency, 
as determined in accordance with equation (6);
Li = the motor losses at load point i, as determined in 
accordance with the procedure specified for bare pumps in sections 
III.D.1 and III.D.2; and
i = load point corresponding to 75, 100, or 110 percent of BEP flow, 
as determined in accordance with the DOE test procedure.

80 FR 17586, 17605 (April 1, 2015).
    DOE also proposed in the April 2015 pumps test procedure NOPR that 
the quotient of the hydraulic output power divided by the minimally 
compliant pump efficiency for the rated pump would be used to determine 
the input power to a minimally compliant pump at each load point, and 
that the pump hydraulic output power for the minimally compliant pump 
would be the same as that for the particular pump being evaluated. 
Specifically, DOE proposed that the hydraulic power in equation (8) at 
75, 100, and 110 percent of BEP flow would be calculated using the 
following equation (9):
[GRAPHIC] [TIFF OMITTED] TR25JA16.008

Where:

Pu,i = the measured hydraulic output power at load point 
i of the tested pump (hp);
Qi = the measured flow rate at load point i of the tested 
pump (gpm);
Hi = pump total head at load point i of the tested pump 
(ft);
i = load point corresponding to 75, 100, or 110 percent of BEP flow, 
as determined in accordance with the DOE test procedure; and
SG = the specific gravity of water at specified test conditions.\40\

    \40\ DOE notes that the specific gravity of the test liquid 
specified in the DOE test procedure, which is clear water as defined 
by section 40.6.5.5 of HI 40.6-2014, requires that the liquid be 
between 50-86[emsp14][deg]F, with a maximum kinematic viscosity of 
1.6 x 10-\5\ft\2\/s and a maximum density of 62.4 lb/
ft\3\. Based on these parameters, the specific gravity of the test 
liquid will be between 1.000 and 0.995 and, therefore, can be 
treated as unity when testing in accordance with the DOE test 
procedure.

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

[[Page 4109]]

Id.
    As indicated in equation (8), the calculated shaft input power for 
the minimally compliant pump at each load point is then combined with a 
minimally compliant motor for that default motor type and appropriate 
size, as described in section III.D.1, and the default part load loss 
curve, as described in section III.D.2, to determine the input power to 
the motor at each load point. Id.
    As noted previously, HI and CA IOUs expressed their support of 
DOE's proposed approach. (HI, No. 8 at p. 7; CA IOUs, NOPR public 
meeting transcript, No. 7 at p. 110) HI also pointed out in its written 
comments that [eta]pump,STD incorrectly appeared twice in 
the middle term in the denominator in equation (10) of the April 2015 
pumps test procedure NOPR. (HI, No. 8 at p. 15) DOE acknowledges the 
correction and has implemented the equation correctly in this final 
rule document. Having received no other comments, DOE is adopting the 
calculation procedure for PERSTD as proposed in the April 
2015 pumps test procedure NOPR, with the minor clarifications regarding 
the number of digits reported for certain equation coefficients and 
calculation of specific speed for multi-stage pumps as noted above and 
correcting the erroneous terms that occurred in the April 2015 pump 
test procedure NOPR.
    Regarding the calculation of pump hydraulic output power presented 
in equation (9), DOE notes that the equation presented in the April 
2015 pumps test procedure NOPR specifies a denominator of 3956. 80 FR 
17586, 17605 (April 1, 2015). DOE notes that this value represents the 
unit conversion from the product of flow (Q) in gpm, head in ft, and 
specific gravity (which is dimensionless), to horsepower. Conversely, 
DOE observes that HI 40.6-2014 specifies a value of 3960 in section 
40.6.6.2 in regards to calculating pump efficiency. HI 40.6-2014 does 
not specify a specific unit conversion factor for the purposes of 
calculating pump hydraulic output power. Instead HI 40.6-2014 provides 
the following equation (10) for determining pump power output:
[GRAPHIC] [TIFF OMITTED] TR25JA16.065

Where:

Pu = the measured hydraulic output power of the tested 
pump,\41\
---------------------------------------------------------------------------

    \41\ For each of the quantities listed, HI 40.6-2014 provides 
multiple metric and U.S. customary units. Appendix E also provides 
unit conversions.
---------------------------------------------------------------------------

[rho] = density,
Q = the volume rate of flow,
H = pump total head, and
g = acceleration due to gravity.

    As shown in equation (10), the unit conversion factor can be 
derived from the product of density and acceleration due to gravity. An 
analysis was performed to convert from the metric units for density and 
acceleration due to gravity specified in HI 40.6-2014 to the 
appropriate units. This analysis found the value of 3956 to be more 
accurate and have a greater amount of precision than the 3960 value 
specified in HI 40.6-2014. DOE notes that, in its submitted comments, 
HI suggested a definition for hydraulic power as ``the mechanical power 
transferred to the liquid as it passes through the pump, also known as 
pump output power. (Refer to HI 40.6-2014)'' and provided the following 
equation (11):
[GRAPHIC] [TIFF OMITTED] TR25JA16.009

Where:

Pu = measured hydraulic output power (hp),
Q = measured flow rate (gpm),
H = measured pump total head (ft), and
SG = the specific gravity of the test fluid.
(HI, No. 8 at p. 10; HI, No. 15 at p. 3)

    However, as noted above, DOE believes a unit conversion of 3956 is 
more accurate. Therefore, to ensure consistent calculations and results 
in the DOE test procedure, in this final rule DOE is maintaining a unit 
conversion factor of 3956 instead of the 3960 value specified in HI 
40.6-2014 and clarifying that the 3960 calculation in section 40.6.6.2 
of HI 40.6-2014 should not be used. The calculation and rounding 
requirements for the pumps test procedure are described further in 
section III.C.2.f.

C. Determination of Pump Performance

    To determine PEICL or PEIVL for applicable 
pumps, DOE proposed that the test procedure would require physically 
measuring the performance of either: (1) The bare pump, under the 
calculation-based methods (see section III.E.1), or (2) the entire 
pump, inclusive of any motor, continuous control, or non-continuous 
control, under the testing-based methods (see section III.E.2). 
Specifically, the input power to the pump at 75, 100, and 110 percent 
of BEP flow for PEICL, or at 25, 50, 75, and 100 percent of 
BEP flow for PEIVL, would be required for input into the 
PEICL or PEIVL equations, respectively. DOE 
proposed that, depending on whether the calculation-based method or 
testing-based method were applied, a slightly different test method 
would apply for measuring pump performance. In the case of the 
calculation-based method, only the bare pump performance is physically 
measured--the performance of the motor and any continuous or non-
continuous controls would be addressed through a series of 
calculations. In the case of the testing-based method, the input power 
to the pump at the motor or at the continuous or non-continuous 
control, if any, is directly measured and used to calculate 
PEICL or PEIVL. 80 FR 17586, 17606-07 (April 1, 
2015).
1. Incorporation by Reference of HI 40.6-2014
    Regarding the determination of bare pump performance, the CIP 
Working Group recommended that whatever procedure DOE adopts, it should 
be consistent with HI 40.6-2014 for determining bare pump performance. 
(Docket No. EERE-2013-BT-NOC-0039, No. 92, Recommendation #10 at pg. 4) 
In preparation of the April 2015 pump test procedure NOPR, DOE reviewed 
HI 40.6-2014 and determined that it contains the relevant test methods 
needed to accurately characterize the performance of the pumps that 
would be addressed by this rulemaking, with a few minor modifications 
noted in section III.C.2. Specifically, HI 40.6-2014 defines and 
explains how to calculate pump power input,\42\ driver power input (for 
testing-based methods),\43\ pump power output,\44\

[[Page 4110]]

pump efficiency,\45\ bowl efficiency,\46\ overall efficiency,\47\ and 
other relevant quantities at the specified load points necessary to 
determine PEICL and PEIVL. HI 40.6-2014 also 
contains appropriate specifications regarding the scope of pumps 
covered by the test methods, test methodology, standard rating 
conditions, equipment specifications, uncertainty calculations, and 
tolerances.
---------------------------------------------------------------------------

    \42\ The term ``pump power input'' in HI 40.6-2014 is defined as 
``the power transmitted to the pump by its driver'' and is 
synonymous with the term ``pump shaft input power,'' as used in this 
document.
    \43\ The term ``driver power input'' in HI 40.6-2014 is defined 
as ``the power absorbed by the pump driver'' and is synonymous with 
the term ``pump input power to the driver,'' as used in this 
document.
    \44\ The term ``pump power output'' in HI-40.6 is defined as 
``the mechanical power transferred to the liquid as it passes 
through the pump, also known as pump hydraulic power.'' It is used 
synonymously with ``pump hydraulic power'' in this document.
    \45\ The term ``pump efficiency'' is defined in HI 40.6-2014 as 
a ratio of pump power output to pump power input.
    \46\ The term ``bowl efficiency'' is defined in HI 40.6-2014 as 
a ratio of pump power output to bowl assembly power input and is 
applicable only to VTS and RSV pumps.
    \47\ The term ``overall efficiency'' is defined in HI 40.6-2014 
as a ratio of pump power output to driver power input and describes 
the combined efficiency of a pump and driver.
---------------------------------------------------------------------------

    Accordingly, in the April 2015 pumps test procedure NOPR, DOE 
proposed to incorporate by reference HI 40.6-2014 as part of DOE's test 
procedure for measuring the energy consumption of pumps, with the minor 
modifications and exceptions listed in III.C.2.a through III.C.2.f of 
the NOPR document and discussed in more detail in section III.C.2 of 
this final rule. 80 FR 17586, 17607-12 (April 1, 2015).
    HI commented that it agrees with using HI 40.6-2014 as the basis of 
DOE test procedure for pumps. (HI, No. 8 at p. 15) DOE received no 
other comments on this proposal in the April 2015 pumps test procedure 
NOPR and, therefore, is incorporating by reference HI 40.6-2014 as the 
basis for the DOE pumps test procedure, with the minor modifications 
and exceptions listed in section III.C.2 of this final rule.
2. Minor Modifications and Additions to HI 40.6-2014
    In general, DOE finds the test methods contained within HI 40.6-
2014 are sufficiently specific and reasonably designed to produce test 
results that accurately measure the energy efficiency and energy use of 
applicable pumps. However, as proposed in the April 2015 pumps test 
procedure NOPR, DOE believes a few minor modifications are necessary to 
ensure repeatable and reproducible test results and to provide 
measurement methods and equipment specifications for the entire scope 
of pumps that DOE is addressing as part of this final rule. DOE's 
proposed modifications and clarifications to HI 40.6-2014, comments 
received on those topics, DOE's responses to those comments, and any 
changes to the April 2015 pumps test procedure NOPR proposals that DOE 
is making as a result are addressed in the subsequent sections 
III.C.2.a through III.C.2.f.
a. Sections Excluded From DOE's Incorporation by Reference
    While DOE is referencing HI 40.6-2014 as the basis for its test 
procedure, in the April 2015 pumps test procedure NOPR, DOE noted that 
some sections of the standard are not applicable to DOE's regulatory 
framework. Specifically, DOE noted that section 40.6.5.3 provides 
requirements regarding the generation of a test report and appendix 
``B'' provides guidance on test report formatting, both of which are 
not required for testing and rating pumps in accordance with DOE's 
procedure. In addition, DOE noted that section A.7 of appendix A, 
``Testing at temperatures exceeding 30 [deg]C (86 [deg]F),'' HI 40.6-
2014 addresses testing at temperatures above 30 [deg]C (86 [deg]F), 
which is inconsistent with DOE's proposal to only test with liquids 
meeting the definition of ``clear water'' established in section 
40.6.5.5 of HI 40.6-2014. As such, DOE proposed not incorporating by 
reference section 40.6.5.3, section A.7, and appendix B of HI 40.6-
2014. 80 FR 17586, 17608 (April 1, 2015).
    HI commented that it agrees with the proposal to not incorporate by 
reference section 40.6.5.3, section A.7, and appendix B of HI 40.6-2014 
as part of the DOE test procedure. (HI, No. 8 at 15) DOE received no 
other comments on this proposal in the April 2015 pumps test procedure 
NOPR and, as such, is adopting the proposal in the April 2015 pumps 
test procedure NOPR to incorporate by reference HI 40.6-2014 except for 
section 40.6.5.3, section A.7, and appendix B in this final rule.
    In reviewing the relevant sections of HI 40.6-2014, DOE also noted 
that section 40.6.4.1, ``Vertically suspended pumps,'' which contains 
specific testing instructions for vertically suspended VS1 and VS3 
pumps, mentions VS0 pumps. Specifically, section 40.6.4.1 states ``A 
variation to this is pump type VS0 . . . [a] VS0 [pump] is evaluated as 
a pump end only similar to the bowl performance and efficiency 
described for the line-shafted product.'' DOE notes that this language 
in HI 40.6-2014 is intended to exclude VS0 pumps from the 
specifications in section 40.6.4.1 and specify that testing for VS0, as 
a type of vertical turbine pump, must consider only bowl assembly total 
head and, for VTS bare pumps, only the bowl assembly power input, as 
defined in section 40.6.2 of HI 40.6-2014. However, DOE believes that 
the language of section 40.6.4.1 is somewhat confusing and may lead to 
misinterpretation by some not familiar with all the varieties of 
vertical turbine and vertically suspended pumps and their specific 
testing considerations. Therefore, in this final rule, DOE is 
clarifying that the specifications of section 40.6.4.1 of HI 40.6-2014 
do not apply to VTS pumps and that the performance of VTS bare pumps 
considers the bowl performance only. For VTS pumps sold with motors 
evaluated using the testing-based approaches discussed in section 
III.E.2, the bowl assembly total head and driver power input are to be 
used to determine the pump performance.
b. Data Collection and Determination of Stabilization
    In order to ensure the repeatability of test data and results, the 
DOE pump test procedure must provide instructions regarding how to 
sample and collect data at each load point such that the collected data 
are taken at stabilized conditions that accurately and precisely 
represent the performance of the pump at that load point. Section 
40.6.5.5.1 of HI 40.6-2014 provides that all measurements shall be made 
under steady state conditions, which are described as follows: (1) No 
vortexing, (2) margins as specified in ANSI/HI 9.6.1 Rotodynamic Pumps 
Guideline for NPSH Margin, and (3) when the mean value of all measured 
quantities required for the test data point remains constant within the 
permissible amplitudes of fluctuations defined in Table 40.6.3.2.2 over 
a minimum period of 10 seconds before performance data are collected. 
HI 40.6-2014 does not specify the measurement interval for 
determination of steady state operation. However, DOE understands that 
a minimum of two stabilization measurements are required to calculate 
an average. DOE proposed in the April 2015 pumps test procedure NOPR 
that the stabilization measurement interval should not be greater than 
5 seconds, thereby allowing for no fewer than two separate measurements 
that each have an integration time of no more than 5 seconds. 80 FR 
17586, 17606 (April 1, 2015).
    Section 40.6.3.2.2 of HI 40.6-2014, ``Permissible fluctuations,'' 
also provides that permissible damping devices may be used to minimize 
noise and large fluctuations in the data in order to achieve the 
specifications noted in Table 40.6.3.2.2. In the April 2015 pumps test 
procedure NOPR, DOE proposed to specify that damping devices would only 
be permitted to integrate up to the measurement interval to ensure that 
each stabilization data point is reflective of a separate measurement. 
80 FR 17586, 17606 (April 1, 2015).
    DOE requested comment on its proposal to require that data be

[[Page 4111]]

collected at least every 5 seconds for all measured quantities. HI 
commented that collecting stabilization data every 5 seconds is not 
standard industry practice, and that this practice would require 
manufacturers to obtain automated data acquisition systems, posing 
additional and unnecessary burden not agreed to by the CIP Working 
Group. (HI, No. 8 at pp. 15-16) HI recommended that steady-state 
operation be verified by recording flow at the beginning and end of the 
data acquisition and checking that the difference in flow is within the 
allowable fluctuation identified in HI 40.6-2014 (Table 40.6.3.2.2). HI 
also stated that the two flow readings should be separated by a minimum 
of 5 seconds.
    DOE also requested comment on its proposal to allow damping 
devices, as described in section 40.6.3.2.2, but with integration 
limited to the data collection interval and HI commented that it agrees 
with this proposal except with respect to the interval used for data 
collection. (HI, No. 8 at p. 16)
    After reviewing HI's comments and considering the proposal in the 
April 2015 pump test procedure NOPR, DOE maintains that at least two 
unique measurements, at a minimum, are necessary to determine 
stabilization prior to recording a measurement at a given load point. 
DOE also agrees with HI that it is appropriate to continue to reference 
the requirements for permissible fluctuations and minimum duration of 
stabilization testing, as detailed in HI 40.6-2014 sections 40.6.3.2.2 
and 40.6.5.5.1. However, in light of HI's concern regarding automated 
data collection requirements if the interval of data collection is 
specified as 5 seconds, DOE has determined that a threshold for the 
data collection interval does not need to be specified to determine 
steady state operation provided the other requirements for 
stabilization are satisfied. That is, provided that at least two unique 
measurements are recorded, their mean computed, and that the two unique 
measurements are not farther away from the mean than the tolerance 
specified in the ``permissible amplitude of fluctuation'' table (Table 
40.6.3.2.2) in HI 40.6-2014, the pump can be determined to be 
stabilized and data recorded for the purposes of conducting the DOE 
test procedure. DOE notes that section 40.6.5.5.1 requires that steady 
state be determined for a minimum of 10 seconds, but that a longer time 
can be used if necessary, in which case the two unique measurements 
could be recorded more than 5 seconds apart. For example, if a facility 
were not equipped with a data acquisition system, stabilization could 
be determined over 1 minute and data taken every 30 seconds to 
determine stabilized operation at each flow point.
    Regarding the use of damping devices, DOE is maintaining the 
requirements that the integration time for each measurement cannot be 
greater than the measurement interval. This is necessary to ensure that 
the measurements used to determine stabilization are, in fact, unique. 
Therefore, in this test procedure final rule, DOE is adopting 
stabilization requirements consistent with HI section 40.6.3.2.2 and 
section 40.6.5.5.1, except that at least two unique measurements must 
be used to determine stabilization and any damping devices are only 
permitted to integrate up to the data collection interval. DOE notes 
that, for physical dampening devices, the pressure indicator/signal 
must register 99 percent of a sudden change in pressure over the 
measurement interval to satisfy the requirement for unique 
measurements, consistent with annex D of ISO 3966:2008(E), 
``Measurement of fluid flow in closed conduits--Velocity area method 
using Pitot static tubes,'' which is referenced in HI 40.6-2014 for 
measuring flow with pitot tubes.
c. Modifications Regarding Test Consistency and Repeatability
    Sections 40.6.5.6 and 40.6.5.7 of HI 40.6-2014 specify test 
arrangements and test conditions. However, DOE finds that the 
standardized test conditions described in these sections are not 
sufficient to produce accurate and repeatable test results. To address 
these potential sources of variability or ambiguity, in the April 2015 
pumps test procedure NOPR, DOE proposed to adopt several additional 
requirements regarding the nominal pump speed, the input power 
characteristics, and the number of stages to test for multi-stage pumps 
to further specify the procedures for testing pumps in a standardized 
and repeatable manner. 80 FR 17586, 17608 (April 1, 2015).
Pump Speed
    The rotating speed of a pump affects the efficiency and 
PEICL or PEIVL of that pump. To limit variability 
and increase repeatability within the test procedure, DOE proposed in 
the April 2015 pumps test procedure NOPR to require all test data to be 
normalized to one of two nominal speeds--1,800 or 3,600 rpm at 60 Hz. 
Specifically, pumps designed to operate at any speed of rotation 
between 2,880 and 4,320 rpm would be rated at 3,600 rpm, and pumps 
designed to operate at any speed of rotation between 1,440 and 2,160 
rpm would be rated at 1,800 rpm, as noted in Table III.3. 80 FR 17586, 
17609 (April 1, 2015).

                  Table III.3--Nominal Speed of Rotation for Different Configurations of Pumps
----------------------------------------------------------------------------------------------------------------
                                         Pump design speed of                                Nominal speed of
          Pump configuration                   rotation              Style of motor        rotation for rating
----------------------------------------------------------------------------------------------------------------
Bare Pump............................  2,880 and 4,320 rpm....  N/A....................  3,600 rpm.
                                       1,440 and 2,160 rpm....                           1,800 rpm.
                                       N/A....................  2-pole Induction Motor.  3,600 rpm.
                                       N/A....................  4-pole Induction Motor.  1,800 rpm.
Pump + Motor OR......................  N/A....................  Non-Induction Motor      3,600 rpm.
Pump + Motor + Control...............                            Designed to Operate
                                                                 between 2,880 and
                                                                 4,320 rpm.
                                       N/A....................  Non-Induction Motor      1,800 rpm.
                                                                 Designed to Operate
                                                                 between 1,440 and
                                                                 2,160 rpm.
----------------------------------------------------------------------------------------------------------------

    DOE proposed that, for pumps sold without motors, the nominal speed 
would be selected based on the speed of rotation for which the pump is 
designed to be operated, while for pumps sold with motors, the nominal 
speed of rotation would be selected based on the speed(s) for which the 
motor is designed to operate. DOE also clarified that pumps designed to 
operate at speeds that include both ranges would be rated at both 
nominal speeds of rotations since each nominal speed rating represents 
a different basic model of pump. Finally, DOE noted that these speed 
ranges are not exclusive. That is, if a pump were to be designed to 
operate from 2,600 to 4,000 rpm, such a pump

[[Page 4112]]

would have a nominal speed of rotation of 3,600 rpm for the purposes of 
testing and rating the pump, even though part of the operating range of 
the pump (i.e., 2,600 to 2,880 rpm) falls outside DOE's specified speed 
ranges.
    In DOE's April 2015 pumps test procedure NOPR proposal, DOE 
acknowledged that it may not be feasible to operate pumps during the 
test at exactly the nominal speeds of 3,600 or 1,800 rpm and noted that 
section 40.6.5.5.2 of HI 40.6-2014 allows for tested speeds up to 20 
percent off of the nominal speed, provided the tested speed does not 
vary more than 1 percent at each load point as required by 
section 40.6.3.2.2 of HI 40.6-2014. However, to ensure consistent and 
comparable test results, DOE proposed that all data collected during 
the test procedure at the speed measured during the test should be 
adjusted to the nominal speed prior to use in subsequent calculations 
and the PEICL or PEIVL of a given pump should be 
based on the nominal speed. Id. For pumps sold with motors and 
continuous or non-continuous controls and that are tested using the 
testing-based method described in section III.E.2.c, DOE proposed that 
this adjustment to the nominal speed only apply at the 100 percent of 
BEP flow load point and that subsequent part load points be measured at 
reduced speed and used in subsequent calculations without adjustment. 
DOE also proposed to use the methods in HI 40.6-2014 section 
40.6.6.1.1, ``Translation of the test results into data based on the 
specified speed of rotation (for frequency) and density'' to adjust any 
data from the tested speed to the nominal speed. Id.
    DOE requested comment on its proposal to require data collected at 
the pump speed measured during testing to be normalized to the nominal 
speeds of 1,800 and 3,600 rpm. HI commented that it agrees with the 
proposal. (HI, No. 8 at p. 16)
    Therefore, in this test procedure final rule, DOE is opting to 
adopt the operating speed limits proposed in the April 2015 pumps test 
procedure NOPR and discussed in section III.A.4 for the purposes of 
applying this test procedure final rule.
    DOE also requested comment on its proposal to adopt the 
requirements in HI 40.6-2014 regarding the deviation of tested speed 
from nominal speed and the variation of speed during the test, 
specifically regarding whether maintaining tested speed within 1 percent of the nominal speed is feasible and whether this 
approach would produce more accurate and repeatable test results. HI 
commented that it does not believe it is feasible to maintain tested 
speed within 1 percent of the specified nominal speed 
because typical motor speed-load curves do not meet this criterion. 
(HI, No. 8 at p. 16) However, HI also noted that data could be 
collected and rotating speed maintained at 1 percent for a 
particular data collection point. DOE believes that HI may have 
misinterpreted the proposal in the April 2015 pumps test procedure 
NOPR. In the NOPR, DOE proposed maintaining the speed of rotation at 
each test point within the 1 percent speed tolerance, but 
that the speed of rotation at each test point could vary from the 
nominal speed of rotation 20 percent, consistent with HI 
40.6-2014. DOE agrees that the 1 percent speed tolerance is 
applicable to determining stabilization at each data collection point 
only and is not determined relative to nominal speed and, therefore, is 
adopting the April 2015 pump test procedure NOPR proposal to adopt the 
nominal speed tolerances listed in section 40.6.5.5.2 of HI 40.6-2014, 
as well as the stabilization requirements provided in section 
40.6.3.2.2 of HI 40.6-2014 in this test procedure final rule. 
Additionally, DOE is adopting the provisions that all measured data be 
translated to the nominal rating speed.
Power Supply Characteristics
    Because pump power consumption is a component of the proposed 
metric, inclusive of any motor and continuous or non-continuous 
controls, measuring power consumption is an important element of the 
test. The characteristics of the power supplied to the pump affect the 
accuracy and repeatability of the measured power consumption of the 
pump. As such, to ensure accurate and repeatable measurement of power 
consumption, in the April 2015 pumps test procedure NOPR, DOE specified 
nominal values for voltage, frequency, voltage unbalance, total 
harmonic distortion (THD), and impedance levels, as well as tolerances 
about each of these quantities, that must be maintained at the input 
terminals to the motor, continuous control, or non-continuous control, 
as applicable when performing the testing-based methods or when using a 
calibrated motor to determine bare pump performance. 80 FR 17586, 17610 
(April 1, 2015).
    To determine the appropriate power supply characteristics for 
testing pumps with motors (but without continuous or non-continuous 
controls) and pumps with both motors and continuous or non-continuous 
controls, DOE examined applicable test methods for electric motors and 
VSD systems. DOE determined that the Institute of Electrical and 
Electronics Engineers (IEEE) Standard 112-2004, ``IEEE Standard Test 
Procedure for Polyphase Induction Motors and Generators,'' (IEEE 112-
2004) and the Canadian Standards Association (CSA) C390-10, ``Test 
methods, marking requirements, and energy efficiency levels for three-
phase induction motors,'' (CSA C390-10) are the most relevant test 
methods for measuring input power to electric motors, as they are the 
test methods incorporated by reference as the DOE test procedure for 
electric motors. Other widely referenced industry standard test methods 
for motors include: IEC 60034-1 Edition 12.0 2010-02, ``Rotating 
electrical machines--Part 1: Rating and performance'' (IEC 60034-
1:2010) and NEMA MG 1-2014, ``Motors and Generators'' (NEMA MG 1-2014). 
DOE also identified both AHRI 1210-2011, ``2011 Standard for 
Performance Rating of Variable Frequency Drives,'' (AHRI 1210-2011) and 
the 2013 version of CSA Standard C838, ``Energy efficiency test methods 
for three-phase variable frequency drive systems,'' (CSA C838-13) as 
applicable methods for measuring the performance of VSD control 
systems. A summary of DOE's proposed power supply characteristics and 
the requirements of the industry standards DOE referenced in developing 
such a proposal are summarized in Table III.4.

      Table III.4--Summary of Tolerances Proposed by DOE in the April 2015 Pumps Test Procedure NOPR and Referenced in Relevant Industry Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                  Voltage                                                      Voltage waveform
      Reference document           Section       unbalance      Voltage tolerance     Frequency  tolerance        distortion         Source  impedance
--------------------------------------------------------------------------------------------------------------------------------------------------------
April 2015 Pumps Test          III.C.2.c.....  0.5%.....  0.5%.....  THD <=5%.............
 Procedure NOPR Proposal.                       minus>0.5%.
HI 40.6-2014 (calibrated       C.4.1.........  .............  5%.......  1%.......
 motors).

[[Page 4113]]

 
CSA C390-10 (motors).........  5.2...........  0.5%.....  0.5%.....  THD <=5% (to 20th)...
                                                minus>0.5%.
IEC 60034-1:2010 (motors)....  7.3...........  .............  5% *       2% *
                                                               (zone A).              (zone A).
                               9.11..........  .............  .....................  .....................  THD <=5% (to 100th)..  .....................
IEEE 112-2004 (motors).......  3.1...........  <=0.5%.......  .....................  0.5%.....  THD <=5%.............
NEMA MG 1-2014 (motors)......  7.7.3.2.......  <=1%.........  .....................  0.5%.....  deviation factor       .....................
                                                                                                             <=10%.
                               12.44.1.......  .............  10% **...  5% **....
                               12.45.........  <=1% [dagger]
AHRI 1210-2011 (VFDs)........  5.1.2.........  <=0.5%.......  0.5%.....  0.5%.....  .....................  <=1%.
CSA C838-13 (VFDs)...........  5.3...........  0.5%.....  0.5%.....  THD <=5% (to 20th)...  1% < value <=3% of
                                                minus>0.5%.                                                                         VFD.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Values are for the overall bounds of the hexagonal surface in IEC Figure 12.
** NEMA states that performance within these voltage and frequency variations will not necessarily be in accordance with the standards established for
  operation at rated voltage and frequency.
[dagger] NEMA states that performance will not necessarily be the same as when the motor is operating with a balanced voltage at the motor terminals.

    HI commented that it disagrees with the power conditioning 
requirements proposed in the April 2015 pumps test procedure NOPR; 
knows of no pump test labs that meet them; and views them as a 
significant and unnecessary burden to manufacturers that were not 
agreed to by the CIP Working Group. HI specifically cited costs 
associated with the proposed limitation on voltage unbalance, and noted 
that the nominal motor efficiency values used for the calculation 
method have a less stringent tolerance of 2 percent. HI also indicated 
that testing with unconditioned power will result in a lower efficiency 
value and a higher PEI value than when testing with conditioned power. 
HI proposed that whereas conditioned power, as proposed in the April 
2015 pumps test procedure NOPR, should be used for DOE enforcement 
testing and motor calibration, manufacturer test labs should only be 
held to the 3 percent limit for driver input power fluctuation 
specified in HI 40.6-2014. (HI, No. 8 at pp. 16-18)
    Regal Beloit stated during the April 2015 NOPR public meeting that 
motor manufacturers faced similar challenges when motor standards were 
introduced, and third-party test labs adapted to help meet the power 
conditioning requirements. Regal Beloit also indicated that AHRI 1210 
was not developed for pumps, and CSA C838 would be preferred. In 
addition, Regal Beloit expressed concern that any loosening of the 
power conditioning requirements could hinder differentiation between 
lower and higher performing products. (Regal Beloit, NOPR public 
meeting transcript, No. 7 at pp. 137-46)
    As noted in the April 2015 pumps test procedure NOPR, DOE 
recognizes that driver efficiency can vary: (a) When the input voltage 
level is not exactly at the nameplate voltage, (b) when the fundamental 
frequency of the input voltage waveform is not exactly 60 Hz, (c) when 
input voltage phases are unbalanced, and/or (d) when the input voltage 
waveform is not strictly sinusoidal. However, DOE acknowledges the 
concerns of HI regarding the burden of providing power meeting strict 
voltage, frequency, voltage unbalance, and THD limits. As EPCA requires 
DOE test procedures to not be unduly burdensome to conduct (42 U.S.C. 
6314(a)(2)), DOE, in this final rule, is reconsidering the proposed 
requirements regarding the power supply characteristics to find a 
compromise among repeatability, accuracy, and test burden.
    DOE notes that HI's proposal of a 3 percent tolerance 
on power is not feasible without some parameters around power supply 
characteristics, as variation in voltage unbalance, harmonics, voltage, 
and frequency will affect the variability in the measurement of input 
power to the pump insofar as it will affect the performance and 
efficiency of the motor. That is, for example, increased voltage 
unbalance will affect motor performance such that testing the same pump 
sold with a motor under differing voltage unbalance conditions will 
result in different measured pump performance. This can be viewed 
either as: (1) Different (typically lower) hydraulic output for the 
same input power to the motor or (2) different (typically increased) 
input power to the motor to deliver the same hydraulic output power.
    Under the latter scenario, DOE has developed an approach to 
correlate variability in power supply characteristics with variability 
in the measured input power to the motor. Similarly, DOE separately 
considered how variability in power supply characteristics would impact 
input power to the continuous or non-continuous controls. Specifically, 
DOE determined, for each power supply characteristic (i.e., voltage, 
frequency, voltage unbalance, and voltage THD) the level of variability 
that was associated with HI's proposed acceptable tolerance of 3 percent on driver input power. As such, DOE considered each of 
the power supply variables individually to determine if alternative, 
less burdensome requirements were feasible.
    Regarding the impact of variation in voltage, section 12.44.1 of 
NEMA MG 1-2014 specifies that AC motors shall operate successfully 
under running conditions at rated load with a variation in the voltage 
up to 10 percent of rated (nameplate) voltage with rated 
frequency for induction motors. Similarly, according to Figure 5-1 in 
the DOE Advanced Manufacturing Office (AMO) ``Premium Efficiency Motor 
Selection and Application Guide'' (AMO motor handbook), the efficiency 
of a ``pre-EPAct'' \48\ standard efficiency motor varies by less than 
3 percent when operated at 10 percent of 
nameplate voltage. Section 2.2.2 of ANSI C84.1-2011 states that the 
nominal voltage of a system is near the voltage level at which the 
system

[[Page 4114]]

normally operates, and that systems generally operate at voltage levels 
about 5 to 10 percent below the maximum system voltage for which system 
components are designed. DOE also notes that section C.4.1 of HI 40.6-
2014 indicates that when a calibrated motor is used to determine the 
pump input power, the voltage shall be the same as used during the 
calibration of the motor with a tolerance of 5 percent; 
this specification is consistent with the 5 percent 
outermost limits in Figure 12 of IEC 60034-1:2010 for zone A 
(continuous operation). In consideration of these standards, DOE has 
determined that, within reasonable limits, motor performance does not 
appear to be strongly affected by variation in voltage. However, DOE 
believes that it is important to ensure voltage is maintained within 
those reasonable limits. Therefore, in this final rule, DOE is adopting 
a tolerance on voltage consistent with the requirements in HI 40.6-2014 
of 5.0 percent of the nominal rated voltage. DOE believes 
such a proposal provides representative measurements without imposing 
undue test burden on manufacturers.
---------------------------------------------------------------------------

    \48\ Energy Policy Act of 2005, Public Law 109-58, 119 Stat. 594
---------------------------------------------------------------------------

    Considering the impact of frequency on the rated performance of 
pumps and motors, the AMO motor handbook states that a premium 
efficiency motor is usually 0.5 to 2.0 percent more efficient when 
operating at 60 Hz than when the same motor is driven by a 50-Hz power 
supply, suggesting that motor performance is not strongly dependent on 
frequency. However, section C.4.1 of HI 40.6-2014 indicates that when a 
calibrated motor is used to determine the pump input power, the 
frequency shall be the same as used during the calibration of the motor 
with a tolerance of 1 percent. DOE believes that the HI 
requirement would be equally applicable to determining the performance 
of pumps sold with motors and pumps sold with motors and continuous or 
non-continuous controls under the testing-based methods to ensure 
repeatable and accurate measurements. Therefore, in this final rule, 
DOE is relaxing the proposal in the April 2015 pumps test procedure 
NOPR to instead limit frequency variation of 1.0 percent of 
nameplate frequency, consistent with HI 40.6-2014. DOE also notes that 
the U.S. electric grid typically provides power at a frequency within 
these bounds and, as such, DOE believe such a tolerance will not impose 
undue test burden. Further, DOE believes that maintaining tolerances 
consistent with the typical U.S. electric power supply is necessary to 
ensure repeatability of the test and ensure that the test is 
representative of the energy consumption of the equipment. 
Specifically, a specification of 1 percent is consistent 
with the 1 percent tolerance for continuous operation 
across all durations of off-nominal frequency specified in the North 
American Electric Reliability Corporation (NERC) Standard PRC-024-1, 
``Generator Frequency and Voltage Protective Relay Settings.''
    Regarding voltage unbalance, DOE notes that motor performance will 
vary as a function of voltage unbalance. Specifically, NEMA MG 1-2014 
includes a horsepower derating curve for up to 5 percent voltage 
unbalance and recommends limiting voltage unbalance to 1 percent, 
noting that motor performance will not necessarily be the same as when 
the motor is operating with a balanced voltage at the motor terminals. 
Similarly, Table 5-3 in the AMO motor handbook relates a voltage 
unbalance of 3 percent to a decrease in motor efficiency of 2 to 3 
percent, compared with a decrease of 5 percent or more for a voltage 
unbalance of 5 percent.\49\ DOE notes that a variation of 3 percent in 
motor efficiency equates to a 3 percent variability in measured input 
power to the motor.
---------------------------------------------------------------------------

    \49\ DOE Office of Energy Efficiency and Renewable Energy 
(EERE), Premium Efficiency Motor Selection and Application Guide--A 
Handbook for Industry (February 2014, www.energy.gov/eere/amo/motor-systems).
---------------------------------------------------------------------------

    Given the dependence of motor, and thus pump, performance on 
voltage unbalance, DOE then evaluated the relative burden associated 
with providing different levels of voltage unbalance in the test 
facility, in an effort to determine a level of voltage unbalance that 
would not be unduly burdensome to specify in the test procedure. DOE 
researched typical levels of voltage unbalance available on the 
national electric grid, based on utility standards and specifications 
for generation and distribution of power. NEMA MG 1-2014 states that if 
a motor is subjected to more than 1 percent voltage unbalance the 
manufacturer should be consulted regarding this unusual service 
condition, and the AMO motor handbook states that unbalances exceeding 
1 percent will void most manufacturers' warranties. DOE also found that 
PG&E Electric Rule No. 2 states that the voltage balance between phases 
for service delivery voltages will be maintained by PG&E as close as 
practicable to 2.5 percent.\50\ Similarly, Annex C of ANSI C84.1-2011 
indicates that approximately 98 percent of the electric supply systems 
surveyed were found to be below 3.0 percent voltage unbalance, and 66 
percent were found to be below 1.0 percent; the standard states that 
electric supply systems should be designed and operated to limit the 
maximum voltage unbalance to 3 percent when measured at the electric-
utility revenue meter under no-load conditions.\51\ Therefore, DOE 
determines 3.0 percent voltage unbalance provides a reasonable 
tolerance, would be generally available to most testing facilities 
using grid-supplied power and would limit the impact on input power to 
less than 3 percent, consistent with HI's recommendation.
---------------------------------------------------------------------------

    \50\ Accessed on August 21, 2015, at www.pge.com/tariffs/tm2/pdf/ELEC_RULES_2.pdf.
    \51\ American National Standard For Electric Power Systems and 
Equipment--Voltage Ratings (60 Hertz).
---------------------------------------------------------------------------

    Regarding limitations on harmonic distortion on the power supply, 
the AMO publication, ``Improving Motor and Drive System Performance'' 
(AMO motor sourcebook) states that electrical equipment is often rated 
to handle 5 percent THD (as defined in IEEE Std 519), and notes that 
motors are typically much less sensitive to harmonics than computers or 
communication systems.\52\ Similarly, IEC 60034-1:2010 specifies a 
limit of 5 percent voltage THD, measured to the 100th harmonic. In 
addition, for bus voltage of 1.0 kV or less at the point of common 
coupling (PCC), section 5.1 of IEEE Std 519-2014 recommends line-to-
neutral harmonic voltage limits of 5.0 percent individual harmonic 
distortion and 8.0 percent voltage THD for weekly 95th percentile short 
time (10 min) values, measured to the 50th harmonic. The IEEE standard 
also indicates that daily 99th percentile very short time (3 second) 
values should be less than 1.5 times these values. NEMA MG 1-2014 uses 
different metrics (voltage waveform deviation factor and harmonic 
voltage factor or HVF) to establish harmonic voltage limits and 
horsepower derating factors for motors. However, the NEMA metrics are 
not directly comparable to voltage THD, and the HVF derating curve was 
developed under the assumption that any voltage unbalance or even 
harmonics are negligible.\53\ In

[[Page 4115]]

consideration of these recommendations regarding voltage THD limits and 
potentially significant impacts on motor performance, in this final 
rule, DOE is limiting voltage THD to <=12.0 percent (corresponding to 
the IEEE 3-second limit but measured to the 40th harmonic) in this 
final rule to ensure representative and repeatable measurements. DOE 
also notes that a limit of <=12.0 percent voltage THD is not unduly 
burdensome for test labs as it is within the bounds of standardized 
voltage THD limits placed on grid operators and, thus, is generally 
available on the national electric power grid.
---------------------------------------------------------------------------

    \52\ DOE EERE, Improving Motor and Drive System Performance--A 
Sourcebook for Industry (February 2014, www.energy.gov/eere/amo/motor-systems).
    \53\ NEMA's voltage deviation factor is calculated as the 
maximum difference between corresponding ordinates of the voltage 
waveform and of the equivalent sine wave, divided by the maximum 
ordinate of the equivalent sine wave when the waves are superimposed 
such that the maximum difference is minimized. Harmonic voltage 
factor (HVF) is calculated by squaring the ratio of harmonic voltage 
to rated voltage for each odd harmonic not divisible by three (up to 
some specified order, e.g., the 13th harmonic in IEC 60034-1:2010), 
dividing each result by the order of the corresponding harmonic, and 
then taking the square root of the sum of these quotients. Voltage 
THD is calculated by taking the square root of the sum of squares of 
each RMS harmonic voltage (up to some specified order, e.g., the 
50th harmonic in IEEE 519-2014), and then dividing by the RMS 
fundamental voltage.
---------------------------------------------------------------------------

    DOE also discussed source impedance in the NOPR and considered 
adopting specifications in AHRI 1210-2011 (source impedance <=1 
percent) or CSA C838-13 (source impedance > 1.0 percent of VFD and <= 
3.0 percent of VFD) for motors and speed controls. 80 FR 17586, 17611-
12 (April 1, 2015). DOE understands that a nonlinear load can distort 
the voltage waveform, depending on the magnitudes of the source 
impedance and current distortion.\54\ However, DOE also understands 
that motors are not a significant source of harmonics in the current 
waveform if the steel core is not magnetically saturated,\55\ and that 
motor efficiency is not greatly affected by harmonics in the voltage 
waveform if voltage THD is sufficiently limited. Therefore, in this 
final rule, DOE is not specifying source impedance requirements. DOE 
believes that the adopted requirements for the preceding four power 
supply characteristics (i.e., voltage unbalance, voltage, frequency, 
and voltage THD) will sufficiently limit variability in motor 
performance resulting from variations in the characteristics of the 
mains power supplied to the motor.
---------------------------------------------------------------------------

    \54\ IEEE Std 1560-2005, ``IEEE Standard for Methods of 
Measurement of Radio-Frequency Power-Line Interference Filter in the 
Range of 100 Hz to 10 GHz'' (February 2006).
    \55\ Fire Protection Research Foundation, ``Evaluation of the 
Impact on Non-Linear Power On Wiring Requirements for Commercial 
Buildings'' (June 2011, www.nfpa.org/research/fire-protection-research-foundation/projects-reports-and-proceedings/electrical-safety/new-technologies-and-electrical-safety/evaluation-of-the-impact-on-non-linear-power).
---------------------------------------------------------------------------

    Regarding the impact of variation in power supply characteristics 
on continuous and non-continuous controls, DOE understands that motors, 
continuous controls, and non-continuous controls all have similar power 
conditioning requirements because they will be subjected to similar 
electrical conditions in the field. That is, based on DOE's research, 
manufacturers appear to have designed motors to be reasonably tolerant 
of variability in power supply characteristics (or power quality) that 
are characteristic of typical grid operation, but their performance is 
significantly impacted at levels outside the bounds of that commonly 
experienced in their field. While less information is available of the 
response of continuous and non-continuous controls to these power 
supply variables, DOE expects this relationship to be true for such 
controls as well. For example, NEMA guidance published in 2007 states 
that adjustable frequency controls can operate on power systems with a 
voltage unbalance not exceeding 3 percent.\56\ In addition, guidance 
published by the Electric Power Research Institute (EPRI) in 2001 
indicates that VSDs should be specified to operate without any problem 
for a voltage unbalance of 2 percent.\57\ Consequently, DOE is 
applying, in this final rule, the same power conditioning requirements 
to pumps tested with motors and pumps tested with motors and continuous 
or non-continuous controls.
---------------------------------------------------------------------------

    \56\ NEMA Application Guide for AC Adjustable Speed Drive 
Systems (December 2007, www.nema.org/Standards/Pages/Application-Guide-for-AC-Adjustable-Speed-Drive-Systems.aspx).
    \57\ EPRI Guide to the Industrial Application of Motors and 
Variable-Speed Drives (September 2001, www.epri.com/abstracts/Pages/ProductAbstract.aspx?ProductId=000000000001005983).
---------------------------------------------------------------------------

    DOE notes that these requirements are applicable to pumps sold with 
motors and pumps sold with motors and continuous or non-continuous 
controls rated using the testing-based method, as such methods require 
measurement of electrical input power to the motor or control. 
Commensurately, these requirements are applicable to any pumps rated 
using a calculation-based method, including bare pumps, pumps sold with 
applicable electric motors, and pumps sold with applicable electric 
motors and continuous controls, when the bare pump is tested using a 
calibrated motor to determine pump shaft input power. Pumps evaluated 
based on the calculation method where the input power to the motor is 
determined using equipment other than a calibrated motor would not have 
to meet these requirements, as variations in voltage, frequency, 
voltage unbalance, and voltage THD are not expected to significantly 
affect the tested pump's energy performance.
Number of Stages for Multi-Stage Pumps
    RSV and VTS pumps are typically multi-stage pumps that may be 
offered in a variety of stages.\58\ The energy consumption 
characteristics of such multi-stage pumps vary, approximately linearly, 
as a function of the number of stages. However, to simplify 
certification requirements and limit testing burden, DOE proposed in 
the April 2015 pumps test procedure NOPR that certification of RSV and 
VTS pumps be based on testing with the following number of stages:
---------------------------------------------------------------------------

    \58\ The stages of VTS pumps are also commonly referred to as 
``bowls.'' See section 2.1.3.1 and Figure 2.1.3.1 of ANSI/HI 2.1-
2.2-2014.
---------------------------------------------------------------------------

     RSV: 3 stages; and
     VTS: 9 stages.
    If a model is not available with that specific number of stages, 
the model would be tested with the next closest number of stages 
distributed in commerce by the manufacturer, or the next higher number 
of stages if both the next lower and next higher number of stages are 
equivalently close to the required number of stages. This is consistent 
with DOE's proposal, discussed previously in section III.A.1.c, that 
variation in number of stages for RSV and VTS pumps would not be a 
characteristic that constitutes different basic models. 80 FR 17586, 
17610 (April 1, 2015).
    In response to DOE's proposal regarding testing of multi-stage RSV 
and VTS pumps, HI commented that it agrees with this proposal. (HI, No. 
8 at p. 18) DOE received no other comments on this proposal and has, 
therefore, adopted the provisions for testing multi-stage RSV and VTS 
pumps proposed in the April 2015 pumps test procedure NOPR with no 
modifications.
Twin Head Pumps
    A twin head pump is a type of IL pump that contains two impeller 
assemblies, mounted in two volutes that share a single inlet and 
discharge in a common casing. In response to the April 2015 pumps test 
procedure NOPR, DOE received comment from HI recommending that DOE 
include twin head pumps in this rulemaking and align their test 
procedure with Europump guidelines.\59\ (HI, No. 8 at p. 3) These 
guidelines recommend testing a twin head pump by incorporating one

[[Page 4116]]

of the impeller assemblies into an adequate IL type pump casing.
---------------------------------------------------------------------------

    \59\ Guideline on the application of COMMISSION REGULATION (EU) 
No 547/2012 implementing Directive 2009/125/EC of the European 
Parliament and of the Council with regard to ecodesign requirements 
for water pumps (12th of September 2012)).
---------------------------------------------------------------------------

    DOE agrees with HI's recommendation and, as discussed in section 
III.A.2.a, originally intended to include these pumps as a category of 
IL pumps. To clarify DOE's original intent in this final rule, DOE is 
adopting a definition of twin head pump, specifying that twin head 
pumps are a subset of the IL pump equipment category, and modifying the 
test procedure in this final rule to be consistent with the EU 
guidelines. DOE's definition for twin head pump and the modified IL 
definition are presented in section III.A.2.a. However, DOE also 
acknowledges that clarifications to the test procedure proposed in the 
April 2015 pumps test procedure NOPR are necessary to explicitly 
specify the procedures for testing twin head pumps in accordance with 
the DOE test procedure. As such, DOE is establishing explicit 
instructions for configuring twin head pumps in this final rule.
    In general, twin head pumps, as a subset of IL pumps, are tested in 
accordance with the test procedure for IL pumps. Specifically, twin 
head pumps, which are essentially two IL pumps packaged together in a 
single casing, are to be tested using an equivalent single-head IL 
configuration. That is, to test a twin head pump, one of the two 
impeller assemblies is to be incorporated into an adequate, IL style, 
single impeller volute and casing. An adequate, IL style, single 
impeller volute and casing means a volute and casing for which any 
physical and functional characteristics that affect energy consumption 
and energy efficiency are essentially identical to their corresponding 
characteristics for a single impeller in the twin head pump volute and 
casing.
d. Determination of Pump Shaft Input Power at Specified Flow Rates
    HI 40.6-2014 provides a specific procedure for determining BEP for 
a given pump based on seven load points at 40, 60, 75, 90, 100, 110 and 
120 percent of the expected BEP flow of the pump. The test protocol in 
section 40.6.6.2 of HI 40.6-2014 requires that the hydraulic power and 
the pump shaft input power, or input power to the motor for pumps 
tested using the testing-based methods, be measured at each of the 
seven load points. HI 40.6-2014 further specifies that the pump 
efficiency be determined as the hydraulic power divided by the shaft 
input power, or as the hydraulic power divided by the product of the 
measured input power to the motor and the known efficiency of a 
calibrated motor, depending on how the pump is tested. The equations 
for calculating pump efficiency are shown in equation (12):
[GRAPHIC] [TIFF OMITTED] TR25JA16.064

Where:

[eta]pump,i = pump efficiency at load point i (%);
Pu,i = pump hydraulic output power at load point i (hp);
Pi = pump shaft input power at load point i (hp);
Pi\in,m\ = measured driver power input to the calibrated 
motor at load point i (hp);
[eta]motor,i = the calibrated motor efficiency \60\ at 
load point i (%); and
---------------------------------------------------------------------------

    \60\ Note: to determine pump shaft input power based on the 
measured driver input power, a calibrated motor and the calibrated 
motor efficiencies at each load point i must be used where they are 
known with ``sufficient accuracy,'' meaning that the efficiency of 
the motor combined with the power measurement device uncertainty 
must not exceed 2.5 percent, as required by Table 
40.6.3.2.3 in HI 40.6-2014.
---------------------------------------------------------------------------

i = load point corresponding to 40, 60, 75, 90, 100, 110 or 120 
percent of expected BEP flow.

    The pump efficiency at each of these load points is then used to 
determine the tested BEP for a given pump and, in particular, the flow 
rate associated with the BEP of the pump (i.e., BEP flow). Then, based 
on the determined BEP flow, the pump shaft input power or input power 
to the motor is determined at each of the specified load points, as 
discussed in section III.B.
    In the April 2015 pumps test procedure NOPR, DOE observed that the 
specific load points measured in the test protocol may not be exactly 
at 75, 100, or 110 percent of the BEP flow load points specified in the 
test procedure and, thus, the relevant power input measurements--
specifically, pump shaft input power, input power to the pump at the 
driver, or input power to the continuous or non-continuous controls--
must be adjusted to reflect the power input at the specific load points 
specified in the test procedure. To adjust the measured power input 
values, DOE proposed that the measured input power and flow data 
corresponding to the load point from 60 percent of expected BEP flow to 
120 percent of expected BEP flow be linearly regressed and the input 
power at the specific load point of 75, 100, and 110 percent of BEP 
flow be determined from that regression equation. 80 FR 17586, 17610-11 
(April 1, 2015).
    In response to the April 2015 pumps test procedure NOPR, HI 
commented that it agrees with DOE's proposal to use a linear regression 
of the pump input power with respect to flow rate at all the tested 
load points greater than or equal to 60 percent of expected BEP flow to 
determine the pump shaft input power at the specified load points of 
75, 100, and 110 percent of BEP flow. (HI, No. 8 at p. 18) DOE received 
no other comments on the proposal and, as such, is adopting it as 
proposed in the April 2015 pump test procedure NOPR with no revisions 
or modifications.
Determination of Pump Shaft Input Power for Pumps With BEP at the 
Maximum Allowable Flow
    HI 40.6-2014 contains a method for determining the BEP of tested 
pumps based on the flow rate at which the maximum pump efficiency 
occurs. DOE recognizes that there may be some unique pump models that 
do not exhibit the typical parabolic relationship of pump efficiency to 
flow rate. Instead, for some pumps, pump efficiency will continue to 
increase as a function of flow until reaching the maximum allowable 
flow that can be developed without damaging the pump, also referred to 
as ``pump run-out.'' Similarly, the expected BEP of some pumps may be 
only slightly below the maximum allowable flow. For such pumps, it may 
not be possible to use the procedure described in HI 40.6-2014 to 
determine the BEP, since the pump cannot safely operate at flows of 110 
and/or 120 percent of the expected BEP of the pump. In such cases, DOE 
proposed in the April 2015 pumps test procedure NOPR that the seven 
flow points for determination of BEP should be 40, 50, 60, 70, 80, 90, 
and 100 percent of the expected maximum allowable flow rate of the pump 
instead of the seven flow points described in section 40.6.5.5.1 of HI 
40.6-2014. In addition, in such cases, DOE proposed that the specified 
constant load flow points should be 100, 90, and 65 percent

[[Page 4117]]

of the BEP flow rate. 80 FR 17586, 17611 (April 1, 2015).
    In response, HI commented that it disagreed with this proposal 
because in order to determine the location of the BEP, testing must 
occur at rates of flow greater than 100 percent of expected BEP flow. 
(HI, No. 8, p. 18) DOE notes that the proposal in the April 2015 pumps 
test procedure NOPR is specified with respect to the expected maximum 
allowable flow rate, or the expected BEP, of the pump, not the measured 
BEP flow. That is, under the NOPR proposal, pumps with the expected BEP 
occurring at the maximum allowable flow, as defined in ANSI/HI 1.1-1.2-
2014, would be tested at the alternative load points specified in test 
procedure for pumps with BEP at run-out.
    DOE acknowledges that pump manufacturers must have some knowledge 
of the expected operational characteristics of their pump, including 
the expected BEP and expected maximum allowable flow, in order to 
determine the appropriate load points for determining BEP. However, DOE 
notes that this is the case for all pumps, not just pumps with BEP at 
run-out. That is, the specific load points used to determine BEP for 
all pumps are specified with respect to the expected operating 
characteristics of the pump (i.e., BEP flow rate, as specified in 
section 40.6.5.5.1 of HI 40.6-2014, or maximum allowable flow for pumps 
with BEP at run-out). DOE believes this is necessary since the BEP and 
flow characteristics of different load points could vary widely and it 
is important that the data captured during the test procedure 
effectively and fully characterize the performance of the pump over the 
pump's operating ranges. DOE also understands that significant design, 
engineering, and modeling are involved with creating pump models for 
specific applications and design parameters and, as such, DOE finds it 
unlikely that the BEP of a pump will occur at or near a pump's maximum 
allowable flow without the pump manufacturer having some expectation 
that this will occur based on the inherent design characteristics of 
the pump. As such, DOE believes that the proposed test procedure for 
pumps with BEP at or near run-out is consistent with the HI 40.6-2014 
industry test protocols and appropriate for determining the performance 
of such pumps and no additional changes are necessary. DOE also notes 
that the maximum efficiency point (or BEP), in the case of pumps with 
BEP at the maximum allowable flow rate will occur at the maximum flow 
rate tested and will not be a parabolic maxima, as is the case for most 
pumps.
    DOE notes that, in the April 2015 NOPR, DOE referred to pumps with 
BEP at run-out as corresponding to those with their expected BEP at the 
expected maximum allowable flow. DOE recognizes that pumps with their 
maximum allowable flow occurring between 100 and 120 percent of BEP 
flow would also not be able to be tested in accordance with the 
proposed test procedure, as not all of the load points specified in the 
procedure could be measured in accordance with the test procedure. As 
such, DOE is adopting, in this final rule, the proposal described in 
the April 2015 pumps test procedure NOPR, except that DOE is clarifying 
that pumps with maximum allowable flow occurring between 100 and 120 of 
BEP flow also qualify as pumps with BEP at run-out and must apply the 
appropriate test procedure. To ensure that the DOE test procedure is 
consistent and adequately captures the range of flow rates with which 
the pump is expected to operate, DOE is maintaining in this final rule 
that load points for determination of BEP are specified with respect to 
the expected maximum allowable flow of the pump, for pumps with the 
expected BEP within 20 percent of the expected maximum allowable flow. 
In the final rule, DOE is also clarifying the specific load points that 
must be used in determining pump or driver input power in accordance 
with the procedure described in section III.C.2.d.
e. Measurement Equipment for Testing-Based Methods
    In the April 2015 pumps test procedure NOPR, DOE noted that HI 
40.6-2014 does not contain all the necessary methods and calculations 
to determine pump power consumption for the range of equipment that 
will be addressed by this final rule (i.e., pumps inclusive of motors 
and continuous or non-continuous controls). For the purposes of 
determining most quantities relevant to the determination of 
PEICL or PEIVL for pumps rated using the 
calculation-based methods, DOE proposed to incorporate by reference HI 
40.6-2014, appendix C, which specifies the required instrumentation to 
measure head, speed, flow rate, torque, temperature, and electrical 
input power to the motor. However, DOE noted that, for the purposes of 
measuring input power to the driver for pumps sold with a motor and 
continuous or non-continuous controls rated using the testing-based 
method, the equipment specified in section C.4.3.1, ``electric power 
input to the motor,'' of HI 40.6-2014 may not be sufficient. Based on 
the specifications in CSA C838-13 and AHRI 1210-2011, since these test 
standards are the most relevant references for measuring input power to 
such controls, DOE proposed that electrical measurements for 
determining VSD efficiency be taken using equipment capable of 
measuring current, voltage, and real power up to at least the 40th 
harmonic of fundamental supply source frequency \61\ and have an 
accuracy level of 0.2 percent of full scale when measured 
at the fundamental supply source frequency. 80 FR 17586, 17611-12 
(April 1, 2015).
---------------------------------------------------------------------------

    \61\ CSA C838-13 requires measurement up to the 50th harmonic. 
However, DOE believes that measurement up to the 40th harmonic is 
sufficient, and the difference between the two types of frequency 
measurement equipment will not be appreciable.
---------------------------------------------------------------------------

    DOE requested comment on the type and accuracy of required 
measurement equipment, especially the equipment required for electrical 
power measurements for pumps sold with motors having continuous or non-
continuous controls. AHRI commented that AHRI 1210-2011 specifies 
appropriate power supply tolerances so that both pump manufacturers and 
DOE enforcement testing can be confident with the establishment and 
verification of ratings of VFDs sold with pumps. (AHRI, No. 11 at pp. 
1-2) AHRI also indicated that any harmonics in the power system can 
affect the measured performance of the pump when tested with a motor or 
motor and continuous or non-continuous control. In addition, AHRI 
notified DOE that VFD manufacturers are working to expand the scope of 
AHRI 1210-2011 to include a higher horsepower upper limit and to 
include additional load points.
    HI commented that it disagrees with the requirements in AHRI 1210-
2011 and CSA C838-13, asserting that they were not agreed to by the CIP 
Working Group and would be excessively burdensome. (HI, No. 8 at pp. 
18-19) HI also indicated that pump manufacturers do not have the same 
equipment as motor and drive test laboratories and should not be 
expected to have the same level of instrumentation. HI recommended that 
DOE instead require the 2.0 percent maximum permissible 
measurement device uncertainty specified in Table 40.6.3.2.3 of HI 
40.6-2014 for driver input power.
    In response to HI's concerns regarding the burden of such 
additional instrumentation, DOE notes that, in the April 2015 pumps 
test procedure NOPR proposal, such sophisticated electric measurement 
equipment was only proposed to be required for the

[[Page 4118]]

measurement of input power to the continuous or non-continuous control 
when rating the pump under the testing-based methods. For other pump 
configurations and when testing a pump using the calculation-based 
methods, the electrical measurement equipment specified in HI 40.6-2014 
section C.4.3.1 of appendix C would apply. DOE also notes that several 
interested parties, including HI, previously commented that such 
measurement equipment was necessary due to the potential impact of the 
continuous control on line harmonics and other equipment on the 
circuit. (Docket No. EERE-2011-BT-STD-0031, CA IOUs, Framework public 
meeting transcript No. 19 at p. 236; Docket No. EERE-2011-BT-STD-0031, 
HI, No. 25 at p. 35) HI also previously noted that this additional 
instrumentation is manageable and within the capabilities of what most 
of the HI members are doing today. (Docket No. EERE-2011-BT-STD-0031; 
HI, public meeting transcript, No. 19 at p. 235)
    In addition, given the power conditioning requirements adopted in 
section III.C.2.c, DOE believes that the more sophisticated electrical 
measurement equipment capable of measuring true root mean square (RMS) 
voltage, true RMS current, and real power for distorted waveforms is 
required to ensure that the incoming power is within the specifications 
for those pump configurations where it is required and that the power 
measurement is accurate. Specifically, DOE is requiring, as discussed 
at length in section III.C.2.c, certain voltage, frequency, voltage 
unbalance, and voltage THD levels be maintained when testing: (1) Bare 
pumps using a calibrated motor, (2) pumps sold with motors using the 
testing-based methods, and (3) pumps sold with motors and continuous or 
non-continuous controls using the testing-based method. In order to 
verify that these requirements are met, measurement equipment must be 
capable of accurately measuring real power, true RMS voltage, 
frequency, voltage unbalance, and voltage THD. DOE notes that, in 
section C.4.3, HI 40.6 specifies that driver input power to the motor 
should be calculated as the product of (1) line volts, (2) line amps, 
and (3) power factor. As HI 40.6-2014 specifies the measurement of 
power factor, DOE believes that the electric equipment capable of 
measuring at least real power, true RMS voltage, and true RMS current 
is already required by HI 40.6-2014, as such measurements are necessary 
for determining power factor.
    Some watt meters and watt-hour meters would not be sufficient for 
accurate measurement of real power for distorted voltage waveforms or 
distorted current waveforms; this is because such instruments 
incorrectly assume that the waveforms are perfectly sinusoidal (i.e., 
free of the harmonics that are introduced by non-linear loads).\62\ DOE 
is therefore requiring the use of instruments that accurately measure 
true RMS current, true RMS voltage, and real power for distorted 
waveforms with harmonic frequencies ranging from the fundamental 
frequency (60 Hz) up to and including the 40th harmonic (2400 Hz).
---------------------------------------------------------------------------

    \62\ PG&E, ``Voltage and Current Measurement of Non-Sinusoidal 
AC Power'' (October 2004, http://www.pge.com/includes/docs/pdfs/mybusiness/customerservice/energystatus/powerquality/nonsinusoidal_power.pdf, accessed September 8, 2015).
---------------------------------------------------------------------------

    However, with respect to the required accuracy of any electrical 
measurement equipment, DOE acknowledges the concern from HI regarding 
the additional burden associated with acquiring instrumentation 
consistent with the specifications provided in the NOPR. As such, DOE 
reviewed available and applicable test methods for motors and controls, 
including AHRI 1210-2011 and CSA C838-13. DOE notes that AHRI 1210-2011 
in turn references IEC 61000-4-7, ``Testing and measurement 
techniques--General guide on harmonics and interharmonics measurements 
and instrumentation, for power supply systems and equipment connected 
thereto,'' regarding the necessary characteristics for electric 
measurement equipment. IEC 61000-4-7 provides requirements for Class I 
instruments and recommends their use where precise measurements are 
necessary, such as for verifying compliance with standards. The maximum 
error on power for IEC Class I instruments is 1 percent of 
measured value for readings greater than or equal to 150 W (0.2 hp). 
However, IEC 61000-4-7 states that the error limits refer to single-
frequency (i.e., sinusoidal) steady-state waveforms, in the operating 
frequency range, applied to the instrument under rated operating 
conditions to be indicated by the manufacturer.
    The requirements in IEC 61000-4-7 generally align with those in 
section 5.7.3 of CSA C390-10, which specifies that motor input power 
measurements shall have a maximum uncertainty of 1.0 
percent of the reading (including all errors from the power meter, 
current transformers, and potential/voltage transformers). However, CSA 
also states that the specified uncertainties shall apply only at the 
rated full load (i.e., near rated power factor) of the motor under 
test. While both IEC 61000-4-7 and CSA C390-10 recommend instrument 
tolerances of 1.0 percent, DOE notes that their application 
of that tolerance is not the same as the tolerance DOE is adopting in 
this final rule, which applies to the measured power at each test point 
and with the power supply characteristics experienced during the test.
    DOE recognizes that the accuracy of input power measurements can be 
compromised to some extent when voltage and/or current waveforms are 
displaced and/or distorted. In addition, DOE recognizes that motors 
will not always be fully loaded during pump testing, that motors may be 
operated somewhat above nameplate voltage (as allowed in this final 
rule), and that some distortion of the voltage waveform is permitted in 
this final rule. Therefore, DOE believes it is appropriate to allow 
electrical equipment accuracy of 2.0 percent of measured 
value, consistent with the tolerance specified in section 40.6.3.2.3 of 
HI 40.6-2014 and HI's request. DOE is adopting such a requirement in 
this final rule.
    DOE also recognizes that current and voltage instrument 
transformers can be used in conjunction with electrical measurement 
equipment to measure current and voltage. Usage of instrument 
transformers can introduce additional losses and errors to the 
measurement system. DOE is clarifying in this final rule that the 
combined accuracy of all instruments used to measure a parameter must 
meet the prescribed accuracy requirements for electrical measurement 
equipment. Section C.4.1 of AHRI 1210-2011 indicates that combined 
accuracy should be calculated by multiplying the accuracies of 
individual instruments. In contrast, section 5.7.2 of CSA C838-2013 
indicates that if all components of the power measuring system cannot 
be calibrated together as a system, the total error shall be calculated 
from the square root of the sum of the squares of all the errors. DOE 
understands that it is more accurate to combine independent accuracies 
(i.e., uncertainties or errors) by summing them in quadrature.\63\ DOE 
is therefore using the root sum of squares to calculate the combined 
accuracy of multiple instruments used in a single measurement, 
consistent with conventional error propagation methods.
---------------------------------------------------------------------------

    \63\ National Institute of Standards and Technology (NIST) 
Guidelines for Evaluating and Expressing the Uncertainty of NIST 
Measurement Results (http://physics.nist.gov/Pubs/guidelines/sec5.html, accessed September 8, 2015).
---------------------------------------------------------------------------

    Therefore, in this final rule, DOE is specifying the 
characteristics of the

[[Page 4119]]

electrical measurement equipment that must be used when measuring input 
power to the motor, continuous controls, or non-continuous controls. 
Specifically, the electrical measurement equipment in such cases must 
be capable of measuring true RMS current, true RMS voltage, and real 
power up to at least the 40th harmonic of fundamental supply source 
frequency and have an accuracy level of 2.0 percent of the 
measured value when measured at the fundamental supply source 
frequency. DOE notes that standard electrical measurement equipment 
meeting the requirements of HI 40.6-2014 section C.4.3.1 may still be 
used when testing any pumps under the calculation-based methods (i.e., 
bare pumps, pump sold with motors, and pumps sold with motors and 
continuous or non-continuous controls), provided a calibrated motor is 
not used to determine the pump shaft input power. The electrical 
measurement equipment requirements being adopted in this pumps test 
procedure final rule are summarized in Table III.5.

     Table III.5--Electrical Measurement Requirements for Different
   Configurations of Pumps for the Calculation Based and Testing Based
                               Approaches
------------------------------------------------------------------------
                                  Electrical measurement requirements
                             -------------------------------------------
                                                     Testing-based test
     Pump  configuration        Calculation-based        method  or
                              test method  without    Calculation-based
                               a calibrated motor    test method  with a
                                                      calibrated motor
------------------------------------------------------------------------
Bare Pump...................  HI 40.6-2014,         Not Applicable.
                               section C.4.3.1,
                               unless testing with
                               a calibrated motor.
Pump + Motor or Pump + Motor  HI 40.6-2014,         Equipment capable of
 + Continuous or Non-          section C.4.3.1,      measuring true RMS
 Continuous Controls.          unless testing with   current, true RMS
                               a calibrated motor.   voltage, and real
                                                     power up to at
                                                     least the 40th
                                                     harmonic of
                                                     fundamental supply
                                                     source frequency
                                                     and have an
                                                     accuracy level of
                                                     2.0
                                                     percent of the
                                                     measured value when
                                                     measured at the
                                                     fundamental supply
                                                     source frequency.
------------------------------------------------------------------------

    While DOE acknowledges that these requirements may represent a 
burden for some manufacturers and test labs who do not already have 
such equipment, DOE has minimized the additional burden associated with 
this requirement, to the extent possible, by only requiring more 
sophisticated power measurement equipment in those cases where it is 
necessary to verify that the test procedure power conditioning 
requirements are being met. DOE also notes that, for many pumps, the 
testing-based approaches are optional and a manufacturer could elect to 
determine the PEI using the calculation-based approach and avoid having 
to purchase and use the more accurate and expensive electrical 
measurement equipment necessary for conducting testing under the 
testing-based approach. The burden associated with this test procedure, 
and in particular the required test equipment, is discussed further in 
section IV.B.
f. Calculations and Rounding
    DOE notes HI 40.6-2014 does not specify how to round values for 
calculation and reporting purposes. DOE recognizes that the manner in 
which values are rounded can affect the resulting PER or PEI, and all 
PER or PEI values should be reported with the same number of 
significant digits. In the April 2015 pumps test procedure NOPR, DOE 
proposed to require that all calculations be performed with the raw 
measured data, to ensure accuracy, and that the PERCL and 
PEICL or PERVL and PEIVL be reported 
to the nearest 0.01. 80 FR 17586, 17612 (April 1, 2015).
    DOE requested comment on its proposal to conduct all calculations 
using raw measured values and that the PERCL and 
PEICL or PERVL and PEIVL, as 
applicable, be reported to the nearest 0.01. In response, HI commented 
that it understands and agrees that the requirement is to normalize raw 
data to nominal speed, and the PERCL, PEICL, 
PERVL and PEIVL would be reported to the nearest 
0.01. (HI, No. 8 at p. 19) In the April 2015 NOPR public meeting, a 
representative of HI (Paul Ruzicka) suggested that DOE clarify that 
calculations be performed with ``raw normalized data,'' since all data 
are to be corrected to nominal speed. (HI, NOPR public meeting 
transcript, No. 7 at pp. 165-66)
    DOE appreciates HI's confirmation of the proposed approach. In 
response to HI's suggestion that DOE clarify that all calculations are 
to be performed with ``raw normalized data,'' DOE notes that the 
normalization to nominal speed is also a calculation and that such 
calculation is also to be performed with raw measured data. Also, some 
collected data do not need to be normalized to nominal speed. As such, 
DOE finds it clearer to continue to specify that all calculations be 
performed with raw measured data, including the normalization to 
nominal speed.
    In addition, in preparing the final rule test procedure provisions, 
DOE reviewed the calculations, uncertainty, and significance of 
measured values used to determine the PERCL and 
PEICL or PERVL and PEIVL, as 
applicable. Based on this analysis, DOE determined that while 
PEICL and PEIVL are to be reported to 0.01, the 
precision of the measurement equipment specified in the NOPR is not 
sufficient to determine PERCL and PERVL to 0.01, 
especially for large pumps. As such, in this final rule, DOE is 
continuing to specify that all calculations be performed with the raw 
measured data, to ensure accuracy, and that the PEICL and 
PEIVL be reported to the nearest 0.01. However, DOE is 
specifying, in this final rule, that PERCL and 
PERVL need only be specified to three significant digits, 
which is equivalent to or better than the level of significance 
specified for PEICL and PEIVL. DOE also agrees 
with HI that all data should be corrected to nominal speed prior to 
performing subsequent calculations, as described in section III.C.2.c.

D. Determination of Motor Efficiency

    The PEICL and PEIVL metrics both describe the 
performance of a pump and an accompanying motor, including continuous 
or non-continuous controls, if applicable. As such, the performance of 
the applicable motor must be determined to calculate the 
PEICL or PEIVL of a given pump model.

[[Page 4120]]

    In the April 2015 pumps test procedure NOPR, DOE proposed that the 
motor efficiency would be determined based on the configuration in 
which the pump was sold. For determining the default motor efficiency 
of a minimally compliant pump (PERSTD) and for determining 
the default motor efficiency used to calculate PERCL for 
bare pumps, DOE proposed to specify the nominal full load motor 
efficiency that corresponds to the applicable Federal minimum standard. 
For determining PERCL or PERVL for pumps sold 
with motors or with motors and continuous or non-continuous controls, 
DOE proposed to use either (1) the physically tested performance of the 
motor paired with that pump when using testing-based methods, or (2) 
the represented nominal full load motor efficiency (i.e., the nameplate 
and certified rating) of the motor (other than submersible) distributed 
in commerce with that pump model when using the calculation-based test 
method. 80 FR 17586, 17612-13 (April 1, 2015). The specific procedures 
for determining the applicable Federal minimum and represented nominal 
full load motor efficiency values are described in section III.D.1 and 
III.D.2, respectively.
    Based on DOE's proposed test procedure, the applicable Federal 
minimum or the represented nominal full load motor efficiency would 
then be used to determine the full load losses, in horsepower, 
associated with that motor. The full load losses would then be adjusted 
using an algorithm to reflect the motor performance at partial loads, 
corresponding to the load points specified in the DOE test. These 
losses would then be combined with the measured pump shaft input power 
at each load point to determine the PERCL or 
PERVL for that pump, as described in section III.B. Id. 
Section III.E.1 describes how the Federal minimum or represented 
nominal full load motor efficiency is used in the calculation-based 
method when calculating overall pump power consumption.
1. Default Nominal Full Load Motor Efficiency
    For determining the default motor efficiency of a minimally 
compliant pump (PERSTD) and for determining the default 
motor efficiency used to calculate PERCL for bare pumps, DOE 
proposed to specify the nominal full load motor efficiency that 
corresponds to the applicable Federal minimum standard. In the April 
2015 pumps test procedure NOPR, DOE proposed that the ``default'' 
nominal full load motor efficiency values be based on the minimum 
nominal full load motor efficiency standards for polyphase, NEMA Design 
B motors from 1 to 500 hp, defined in 10 CFR part 431, subpart B for 
medium and large electric motors, except for submersible motors. 
Specifically, at the time of the proposal, the values in Table 5 of 10 
CFR 431.25(h) defined the nominal full load motor efficiency standards, 
by number of poles and horsepower for the applicable motors. 80 FR 
17586, 17612-13 (April 1, 2015). DOE is using the term ``default 
nominal full load efficiency'' throughout this document to refer to the 
default values used in this test procedure for determining 
PERSTD and for bare pumps, PERCL corresponding to 
the applicable Federal minimum energy conservation standards. See 
section III.D.1.a for a discussion regarding electric motors covered by 
DOE's energy conservation standards at 10 CFR 431.25 and section 
III.D.1.b for a discussion regarding submersible motors.
a. Covered Electric Motors
    For the determination of PERSTD for all pumps (except ST 
pumps) and PERCL for bare pumps (see section III.E.1.a), 
default nominal full load motor efficiency values are required. As 
mentioned previously, DOE believes the nominal full load motor 
efficiency standards specified for NEMA Design B motors are appropriate 
for the pumps (except ST pumps) to which this test procedure is 
applicable. In the April 2015 pumps test procedure NOPR, DOE also 
proposed to specify the selection of the default motor characteristics 
used for calculating PERCL and PERSTD based on 
the configuration in which the pump is being sold. Specifically, for 
bare pumps, DOE proposed that the default nominal full load motor 
efficiency for determining PERCL and PERSTD would 
be based on the following criteria:
     The number of poles selected for the default motor would 
be equivalent to the nominal speed of the rated pump (i.e., 2 poles 
correspond to 3,600 rpm and 4 poles correspond to 1,800 rpm);
     the motor horsepower selected for a given pump would be 
required to be either equivalent to, or the next highest horsepower-
rated level greater than, the measured pump shaft input power at 120 
percent of BEP flow, as determined based on an extrapolation of the 
linear regression of pump input power (discussed in section III.C.2.d); 
and
     the lower standard (i.e., less stringent) of either the 
open or enclosed construction at the appropriate motor horsepower and 
number of poles. 80 FR 17586, 17612-13 (April 1, 2015).
    As mentioned previously, the appropriate table at 10 CFR 431.25 is 
the table of nominal full load motor efficiency standards that is 
currently required for compliance of NEMA Design B polyphase motors.
    For pumps sold either with motors or with motors and continuous or 
non-continuous controls, selection of a default nominal full load motor 
efficiency for calculation of PERSTD is also required. This 
default nominal full load motor efficiency is also based on the 
applicable Federal minimum standards. In this case, DOE proposed that 
the motor horsepower and number of poles selected for determining the 
default nominal full load motor efficiency for use in the calculation 
of PERSTD should be equivalent to the horsepower and poles 
of the motor with which the pump model is distributed in commerce. 
Similar to the case for bare pumps, DOE also proposed that the default 
nominal full load motor efficiency corresponding to the minimally 
compliant motor in PERSTD would still be the minimum of the 
open and enclosed standards for the appropriate motor horsepower and 
number of poles. That is, regardless of the motor construction (i.e., 
open or enclosed) of the motor with which the pump is being rated, the 
minimum nominal full load motor efficiency standard listed in the 
applicable table for polyphase NEMA Design B motors at 10 CFR 431.25 
for the given motor horsepower and number of poles would be used. Id.
    DOE requested comment on its proposal to determine the default 
motor horsepower for rating bare pumps based on the pump shaft input 
power at 120 percent of BEP flow and, in response, HI commented that it 
agrees with this proposal. (HI, No. 8 at p. 19) DOE also requested 
comment on its proposal to specify the default nominal full load motor 
efficiency based on the applicable minimally allowed nominal full load 
motor efficiency specified in DOE's energy conservation standards for 
NEMA Design B motors at 10 CFR 431.25 for all pumps except pumps sold 
with submersible motors. HI commented that each NEMA MG 1 nominal 
efficiency value is the average efficiency of a large population of 
motors of the same design, so for any given nominal efficiency value, 
half of the corresponding population would be lower. (HI, No. 8 at p. 
19) HI indicated that the NEMA MG 1 minimum efficiency values should be 
used instead so that the test method for determining PEICL 
and PEIVL are not disadvantaged. Wilo similarly commented 
that the use of NEMA nominal efficiencies would cause 50 percent of 
borderline pumps to

[[Page 4121]]

fail. (Wilo, Docket No. EERE-2011-BT-STD-0031, No. 44 at p. 2)
    DOE acknowledges the comments from HI and Wilo regarding the use of 
nominal full load motor efficiency values from 10 CFR 431.25. DOE notes 
that these values represent the minimum Federal efficiency standard for 
applicable covered motors and, as such, believes that referencing an 
alternative, lower efficiency value would be inappropriate and 
inconsistent with DOE's regulatory framework. However, in response to 
the specific concern voiced regarding a potential disadvantage when 
using the testing-based method, DOE will follow the method the 
manufacturer used to determine the representative value when conducting 
enforcement testing. In other words, if a pump manufacturer has used 
the calculation-based rating method to determine the representative 
value for a pump basic model, then DOE would also use the calculation-
based approach, which relies on the nominal full load motor efficiency 
values from the table and not the actual motor tested performance. 
Conversely, if a manufacturer elected to use the testing-based 
approach, DOE would also assess compliance using the testing-based 
approach which would account for the actual tested efficiency of the 
motor incorporated into the pump. Thus, a manufacturer need not be 
concerned that the actual efficiency of an individual motor would have 
a disparate effect on the measured efficiency during assessment or 
enforcement testing.
    In this final rule, DOE is adopting the default nominal full load 
motor efficiency values for bare pumps and the method for determining 
PERSTD proposed in the April 2015 pumps test procedure NOPR. 
That is, the default nominal full load motor efficiency for bare pumps 
and for determining PERSTD for all pumps (besides VTS pumps) 
is determined by referencing the applicable energy conservation 
standards found at 10 CFR 431.25 for NEMA Design B motors that are 
required at the time the pump model is being certified. At the time of 
publication of this document, the appropriate motor Federal energy 
conservation standards for NEMA Design B polyphase motors can be found 
at 10 CFR 431.25(h).
    DOE notes that, if DOE were to amend the energy conservation 
standards for NEMA Design B polyphase motors, the represented values 
for pump PEI would no longer remain valid, and manufacturers would need 
to revise their represented values to reflect the amended nominal full 
load motor efficiency standards and recertify at the first annual 
certification date after the compliance date for the amended motor 
Federal energy conservation standards. As a result of the methodology 
being adopted today, which will result in changes to represented values 
for pumps when the Federal energy conservation standards for NEMA 
Design B polyphase motors changes, DOE does not believe that any actual 
design or manufacturing changes will be required from the pump 
manufacturer since the bare pump will remain the same and is unaffected 
by the motor standard. Instead, DOE is ensuring that pump ratings still 
reflect differential representations depending on the efficiency of the 
motor that is being sold with the pump. DOE understands that certain 
motors that were minimally compliant with the previous motor standard 
may no longer be able to be sold once manufacturers are required to 
comply with amended standards for motors (if adopted) and thus, DOE 
believes a methodology which reflects this reality is best. Because the 
PEI is an indexed value that is meant to compare the performance of the 
pump being tested to that of a theoretical ``minimally-compliant'' 
pump, the default nominal full load motor efficiency for that 
``minimally-compliant pump'' must reflect any changes in the motor 
standard and available products in the market. If DOE did not adopt a 
methodology that acknowledges potential changes to the energy 
conservation standards for NEMA Design B motors, then pump represented 
values could be artificially inflated when compliance with amended 
energy conservation standards for motors is required and could result 
in a situation where a compliant pump could be less efficient due to 
the credit being given from the amended energy conservation standards 
for motors.
    For these reasons, DOE is specifying in the pumps test procedure 
adopted in this final rule that when determining PERSTD for 
all pumps (except VTS pumps) and PERCL for bare pumps, the 
default nominal full load motor efficiency value that is used must be 
the energy conservation standard for NEMA Design B polyphase motors 
that is required at the time the pump model is being certified and must 
be updated with an annual certification. As this amended default 
nominal full load motor efficiency will occur in both the numerator and 
the denominator of the PEI metric, such a test procedure provision will 
not lead to changes in the relative ratings of bare pump models using 
the calculation-based approach.
b. Submersible Motors
    DOE notes that submersible motors are not currently subject to the 
DOE energy conservation standards for electric motors specified at 10 
CFR 431.25. Therefore, for the purposes of calculating PEICL 
for bare VTS pumps or PERSTD for any pumps sold with 
submersible motors, DOE requires a default assumption regarding full 
load efficiency for submersible motors. In the April 2015 pumps test 
procedure NOPR, DOE constructed a table of motor full load efficiencies 
by motor horsepower, similar to the table of energy conservation 
standards for electric motors at 10 CFR 431.25(h), as shown in Table 
III.6. 80 FR 17586, 17614-15 (April 1, 2015).
    As it was not DOE's intent to impact the rated efficiency of 
submersible motors through this rulemaking, DOE deflated the minimum 
submersible motor efficiency that DOE observed by using the maximum 
number of ``bands'' across a horsepower range to ensure that the value 
represented a worst-case value. Where no data were available, DOE 
applied the same number of NEMA bands across the range of motor 
horsepower and numbers of poles.

Table III.6--Two-Pole Motor Submersible Motor Full Load Efficiency by Motor Horsepower Relative to the Full Load
                                  Efficiency in in Table 5 of 10 CFR 431.25(h)
----------------------------------------------------------------------------------------------------------------
                                                                             Observed number     Default number
                                                         Minimum  observed     of ``bands''       of ``bands''
                                                             full load        below the full     below the full
                 Motor horsepower  (hp)                    efficiency (2-    load  efficiency   load  efficiency
                                                            poles)  (%)      in Table 5 of 10   in Table 5 of 10
                                                                              CFR 431.25(h)      CFR 431.25(h)
----------------------------------------------------------------------------------------------------------------
1......................................................                 67                  6                 11
1.5....................................................                 67                 11  .................

[[Page 4122]]

 
2......................................................                 73                  9  .................
3......................................................                 75                  9  .................
5......................................................                 76                 10  .................
7.5....................................................                 77                 10                 15
10.....................................................                 75                 13  .................
15.....................................................               72.2                 15  .................
20.....................................................               76.4                 13  .................
25.....................................................                 79                 12  .................
30.....................................................               79.9                 12                 12
40.....................................................                 83                 10  .................
50.....................................................                 83                 11  .................
60.....................................................                 84                 11  .................
75.....................................................               83.8                 12  .................
100....................................................                 87                 10                 14
125....................................................                 86                 13  .................
150....................................................                 86                 13  .................
175....................................................                 88                 12  .................
200....................................................                 87                 14  .................
250....................................................                 87                 14  .................
----------------------------------------------------------------------------------------------------------------
Id.

    In response to the April 2015 pumps test procedure NOPR proposal, 
HI commented in the public meeting that several of the minimum motor 
efficiency values are higher than what is being published. (HI, NOPR 
public meeting transcript, No. 7 at pp. 159-60). In written comments, 
HI provided corrected efficiencies for several values. (HI, No. 8 at 
pp. 19-20)
    DOE thanks HI for submitting data to assist in constructing a 
submersible motor efficiency table that is representative of minimally 
efficient submersible motors. DOE has revised its proposed submersible 
efficiency values to accommodate the lower values provided by HI, as 
shown in Table III.7.

                                                         Table III.7--Revised Submersible Motor Full Load Efficiency by Motor Horsepower
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    Minimum observed full load     Observed number of ``bands''     Binned number of ``bands''    Resulting default nominal full
                                                                          efficiency  (%)         below the full load efficiency  below the full load efficiency      load submersible motor
                                                                 -------------------------------- in Table 5 of 10 CFR 431.25(h)    for NEMA design B motors in             efficiency
                     Motor horsepower  (hp)                                                      --------------------------------           CFR 431.25           -------------------------------
                                                                      2 poles         4 poles                                    --------------------------------
                                                                                                      2 poles         4 poles         2 poles         4 poles         2 poles         4 poles
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1...............................................................              67  ..............               6  ..............              11              11              55              68
1.5.............................................................              67  ..............              11  ..............  ..............  ..............              66              70
2...............................................................              73  ..............               9  ..............  ..............  ..............              68              70
3...............................................................              75  ..............               9  ..............  ..............  ..............              70            75.5
5...............................................................              76  ..............              10  ..............  ..............  ..............              74            75.5
7.5.............................................................              77  ..............              10  ..............              15              15              68              74
10..............................................................              75  ..............              13  ..............  ..............  ..............              70              74
15..............................................................            72.2  ..............              15  ..............  ..............  ..............              72            75.5
20..............................................................            76.4  ..............              13  ..............  ..............  ..............              72              77
25..............................................................              79  ..............              12  ..............  ..............  ..............              74            78.5
30..............................................................            79.9            81.8              12              13              13              14              77              80
40..............................................................              83  ..............              10  ..............  ..............  ..............            78.5            81.5
50..............................................................              83            85.1              11              13  ..............  ..............              80            82.5
60..............................................................            82.4            85.4              13              14  ..............  ..............            81.5              84
75..............................................................            83.8            86.2              12              14  ..............  ..............            81.5            85.5
100.............................................................              87  ..............              10  ..............              14              15            81.5              84
125.............................................................              86  ..............              13  ..............  ..............  ..............              84              84
150.............................................................              86            86.1              13  ..............  ..............  ..............              84            85.5
200.............................................................              87  ..............              13              15  ..............  ..............            85.5            86.5
250.............................................................              87  ..............              14  ..............  ..............  ..............            86.5            86.5
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

    During the April 2015 NOPR public meeting, Nidec Corporation 
(Nidec) expressed that the levels of submersible motors should be 
consistent with the requirements for vertical motors. Nidec also stated 
that there be two sets of default efficiency values: one for a dry 
rotor and one for a wet rotor. (Nidec, NOPR public meeting transcript, 
No. 7 at pp. 160-61) Nidec added that the type with air could use Table 
12-12 from NEMA MG 1. (Nidec, NOPR public meeting transcript, No. 7 at 
p. 163)
    In response to Nidec's comment, DOE notes that all equipment 
categories that are subject to the test procedure, including VTS pumps 
that are most commonly paired with submersible motors, are defined as 
dry rotor pumps. As such, wet rotor submersible motors

[[Page 4123]]

and wet rotor submersible pumps are not subject to the test procedure, 
and a table of minimum efficiency values for them is not necessary. DOE 
notes that, in response to Nidec's comment regarding ``the type [of 
motor] with air,'' DOE believes Nidec is referring to non-hermitically 
sealed units (i.e., non-submersible motors) and confirming that Table 
12-12 in NEMA MG-1 (which is consistent with DOE's minimum efficiency 
standards for electric motors at 10 CFR 431.25) is appropriate for such 
non-submersible motors. While DOE's application of the minimum 
efficiency standards for electric motors in this final rule is limited 
to NEMA Design B motors, DOE notes that NEMA's comment is consistent 
with the approach being taken in this final rule.
    HI stated that DOE needs to emphasize that single-phase motors are 
not part of the minimum efficiency tables. (HI, No. 8 at pp. 19-21) DOE 
notes that in this test procedure, as described in section III.A.6, all 
pumps sold with single-phase motors, including single-phase submersible 
motors, may be rated as bare pumps in order to not be penalized for the 
inherently lower efficiencies of single-phase equipment. In the bare 
pump approach, the default submersible motor efficiency values 
presented in Table III.7 are used in calculating both the numerator 
(PERCL or PERVL) and denominator 
(PERSTD) of PEI; the lower efficiency of a single-phase 
motor is not taken into account. DOE notes that, as described in 
section III.A.6, pumps sold with single-phase submersible motors may 
also apply the testing-based approach, if desired by the manufacturer. 
However, in such a case, the default motor efficiency used to determine 
PERSTD would continue to be the default nominal submersible 
motor efficiency presented in Table III.7.
    In regard to selection of default motor size for submersible 
motors, in the April 2015 pumps test procedure NOPR, DOE proposed to 
apply the same sizing method proposed for other categories of pumps, 
described in section III.D.1 of this NOPR. At the April 2015 NOPR 
public meeting, HI stated that submersible motors are sold utilizing 
full NEMA motor service factors and recommended amending the 
submersible motor sizing to account for this sizing approach. (HI, NOPR 
public meeting transcript, No. 7 at p. 150) In its written comments, HI 
noted that DOE needs to emphasize that submersible pumps are typically 
loaded to the fully utilized service factor of the motor. (HI, No. 8 at 
pp. 19-20)
    In response to HI's suggestion, DOE has reviewed the typical 
service factors of submersible motors offered for sale with pumps 
within the scope of this test procedure. DOE determined that the 
majority of submersible motors exhibited service factors of 1.15. DOE 
notes that this value is also consistent with the service factor 
prescribed in table 12-4 of NEMA MG-1 2009 for Design A, B, and C 
polyphase, squirrel cage, general-purpose, alternating-current motors 
of the open type with a motor horsepower greater than 1 hp. In light of 
this, DOE is revising its requirements for the default motor sizing of 
submersible motors in this final rule to reflect the service factors 
observed in the industry. That is, DOE is specifying that, for VTS bare 
pumps, the default submersible motor horsepower be determined as the 
motor horsepower that is equal to or the next highest motor horsepower 
greater than the pump shaft input power (in horsepower) at 120 percent 
of BEP flow divided by the service factor, or 1.15. DOE notes that some 
motors less than 3 horsepower may have a higher service factor, but by 
using the same value for all pumps, DOE is simplifying the procedure 
and does not expect this simplification to significantly impact the PEI 
for VTS bare pumps. This is because the same service factor (1.15) is 
used for the given pump's PERCL and for PERSTD, 
so the two efficiency values essentially cancel out and do not 
significantly impact the rating.
    DOE reiterates that this default service factor is only necessary 
for determining the default motor efficiency for submersible motors. 
For pumps sold with submersible motors and pumps sold with submersible 
motors and continuous or non-continuous controls, the actual 
submersible motor size with which the pump is distributed in commerce 
is used when determining motor efficiency for use in calculating 
PERCL, PERVL, and PERSTD.
    In summary, in this final rule, DOE will allow the use of default 
nominal full load submersible motor efficiency values presented in 
Table III.7 to rate (1) VTS bare pumps, (2) pumps sold with submersible 
motors, and (3) pumps sold with submersible motors and continuous or 
non-continuous controls as an option instead of using the testing-based 
approach. DOE believes that allowing the calculation-based method to be 
used for pumps sold with submersible motors may also reduce the testing 
burden for some manufacturers. However, if manufacturers wish to 
account for the use of submersible motors with a higher efficiency than 
the default nominal full load submersible motor efficiency, they may 
choose to rate the pump model using the testing-based, wire-to-water 
method described in section III.E.2.
2. Represented Nominal Full Load Motor Efficiency for Pumps Sold With 
Motors
    For pumps sold with motors or motors and continuous or non-
continuous controls that are rated using the calculation-based 
approach, DOE proposed in the April 2015 pumps test procedure NOPR that 
the nominal full load motor efficiency used in determining the 
PERCL or PERVL will be the value that is 
certified to DOE as the nominal full load motor efficiency in 
accordance with the standards and test procedures for electric motors 
at 10 CFR 431, subpart B. 80 FR 17586, 17613-14 (April 1, 2015). As 
noted in the April 2015 pumps test procedure NOPR and described in 
greater detail in section III.E.1.b and III.E.2, this verifiable and 
standardized represented nominal full load motor efficiency is only 
available for motors that are subject to DOE's test procedure for 
electric motors and, as such, DOE proposed in the April 2015 pump test 
procedure NOPR, that only pumps sold with motors subject to DOE's 
electric motor test procedure and energy conservation standards would 
be able to conduct the proposed calculation-based approach. Id. at 
17618, 17626-28. DOE notes that these represented nominal full load 
efficiency values correspond to the certified value submitted on the 
motor manufacturer's certification report and on the nameplate of the 
motor itself. Therefore, if the motor manufacturer elects to certify 
conservatively at the Federal energy conservation standard level, this 
is the value the pump manufacturer must use in its calculations for 
pumps sold with motors subject to DOE's Federal energy conservation 
standards.
    For pumps sold with submersible motors and rated using the 
calculation-based approach, DOE also proposed that the nominal full 
load motor efficiency values would be the same as the default nominal 
full load submersible motor efficiency values used to determine the 
PERCL for bare pumps and PERSTD. Id. at 17614. 
These values are representative of minimally efficient submersible 
motors and are discussed further in section III.D.1.b. As noted 
previously, if manufacturers wish to represent the efficiency of pumps 
sold with submersible motors that are more efficient than the assumed 
value, then they may perform the testing-based method described in 
section III.E.2.b in section.

[[Page 4124]]

    DOE received no comments on these proposals and is adopting the 
provisions for specifying the represented nominal full load motor 
efficiency for motors subject to DOE's electric motor test procedure 
and the default nominal full load submersible motor efficiency for 
submersible motors, as proposed. DOE notes that, for pumps sold with 
motors not addressed by DOE's electric motor test procedure (except 
submersible motors), the calculation-based methods described in section 
III.E.1.b would not apply, and no assumption regarding nominal 
efficiency of the motor paired with the pump is permitted when 
determining PERCL or PERVL. However, an 
assumption regarding the default efficiency of the minimally compliant 
motor that can be paired with a given pump would still be required to 
calculate PERSTD. See Section III.D.1; 80 FR 17586, 17613-14 
(April 1, 2015).
3. Determining Part Load Motor Losses
    As described in section III.B.2, default nominal full load motor 
efficiency is converted to motor losses, in horsepower, at each load 
point to determine the input power to the motor when determining 
PERSTD. This same approach is used to determine 
PERCL under the calculation-based approach, which is 
described in greater detail in section III.E.2.b. In the April 2015 
pumps test procedure NOPR, DOE proposed to determine the part load 
losses of the motor at each load point by applying an algorithm to the 
full load losses of the motor. 80 FR 17615. Specifically, DOE proposed 
to determine a part load loss factor (yi) at each load point 
based on the following equation (13):
[GRAPHIC] [TIFF OMITTED] TR25JA16.010

Where:
yi = the part load loss factor at load point i,
Pi = the shaft input power to the bare pump at load point 
i (hp),
MotorHP = the motor horsepower (hp), and
i = load point corresponding to 75, 100, or 110 percent of BEP flow 
for uncontrolled pumps or 25, 50, 75, or 100 percent of BEP flow for 
pumps sold with a motor and continuous or non-continuous controls.

Id.
    In the proposal, the full load losses of the motor would be 
determined based on the full load motor efficiency, which would be the 
default nominal full load motor efficiency described in section III.D.1 
for bare pumps and when determining PERSTD, or the 
represented nominal full load motor efficiency described in section 
III.D.2 for pumps sold with applicable motors. Specifically, DOE 
proposed that the full load motor losses would be calculated as shown 
in equation (14):
[GRAPHIC] [TIFF OMITTED] TR25JA16.011

Where:

Lfull\64\ = motor losses at full load (hp),
---------------------------------------------------------------------------

    \64\ DOE notes that, in the April 2015 pumps test procedure 
NOPR, DOE proposed to define this term using the nomenclature 
Lfull,default and described it as equivalent to ``default 
motor losses at full load.'' However, upon further review, DOE finds 
this terminology confusing because this equation applies both to 
pumps rated as bare pumps, for which a default nominal full load 
motor efficiency applies, as well as pumps rated with motors and 
pumps rated with motors and controls, for with the nominal full load 
motor efficiency with which the pump is rated applies (not a default 
value), depending on the context. Therefore, in this final rule, DOE 
is updating the terminology to use the nomenclature Lfull 
and describe the term as equivalent to ``motor losses at full 
load,'' referencing the relevant procedure for determining full load 
motor losses based on the pump configuration.
---------------------------------------------------------------------------

MotorHP = the motor horsepower (hp), and
[eta]motor,full = the default or rated nominal full load 
motor efficiency as determined in accordance with section III.D.1 or 
III.D.2, respectively (%).

Id.
    Finally, DOE proposed that the part load losses at each specified 
load point would be determined based on the product of the full load 
losses and the part load loss factor at that load point, as shown in 
equation (15):
[GRAPHIC] [TIFF OMITTED] TR25JA16.012

Where:

Li = motor losses at load point i (hp),
Lfull = motor losses at full load (hp),
yi = part load loss factor at load point i, and
i = load point corresponding to 75, 100, or 110 percent of BEP flow 
for uncontrolled pumps or 25, 50, 75, or 100 percent of BEP flow for 
pumps sold with a motor and continuous or non-continuous controls.

    These calculated part load motor losses at each of the specified 
load points would then be combined with the measured pump shaft input 
power and weighted equally to calculate PERCL or 
PERVL via the calculation-based approach and 
PERSTD, as described in section III.E.1.b and III.B.2, 
respectively. Id. at 17615-16.
    DOE requested comment on the development and use of the motor part 
load loss factor curves to describe part load performance of covered 
motors and submersible motors, including the default motor specified in 
section III.D.1 for bare pumps and calculation of PERSTD. 
DOE received no comments on the proposal and, as such, is adopting the 
proposed methodology presented in the April 2015 pumps test procedure 
NOPR with no modification for pumps, except those sold with submersible 
motors. DOE notes that, in making the change requested by interested 
parties to account for service factor in sizing submersible motors (see 
section III.D.1.b), DOE is making a slight modification to the part 
load loss factors for VTS pumps to specify that where
[GRAPHIC] [TIFF OMITTED] TR25JA16.013

a value of 1.000 should be used as the part load loss factor.
    This change is needed because the proposed part load loss curves 
were not developed to be representative of

[[Page 4125]]

performance above the full load of the motor. This modification 
implicitly assumes that the motor efficiency curve is flat between full 
load and the service factor (i.e., 1.15). DOE expects the full load 
losses of the motor to be more representative of the performance of 
motors beyond full load operation than extending the curve, which would 
assume that losses would decrease (efficiency would increase) above 
full load. DOE has not made any other revisions to the part load loss 
factors. DOE also notes that such is the case for all pumps; that is, 
the ratio of pump shaft input power to motor horsepower should not 
exceed a value of 1 for any pump. As such, to ensure that the part load 
loss factor equation is not applied inappropriately, DOE is adding this 
clarification as applicable to all pumps tested under the test 
procedure.

E. Test Methods for Different Pump Configurations

    As previously discussed, the PEICL and PEIVL 
for a given pump is determined by first calculating the 
PERCL or PERVL, as applicable, for the given 
pump. For all pumps, the PERCL or PERVL is then 
scaled based on a calculated PERSTD (i.e., the 
PERCL of a pump that would minimally comply with the 
applicable standard). (Docket No. EERE-2011-BT-STD-0031) The process 
for determining the PERSTD is described in section III.B.2.
    In the April 2015 pumps test procedure NOPR, DOE proposed that 
different test methods for determining the PERCL and 
PERVL of applicable pumps would apply based on the 
configuration of the pump model and the characteristics of the motor 
and controls it may be sold with. 80 FR 17586, 17616 (April 1, 2015). 
For example, the available test method(s) for pumps sold alone (i.e., 
bare pumps) would be different than those for pumps sold with motors or 
pumps sold with motors and continuous or non-continuous controls. 
Further, the available test methods for pumps sold with motors that are 
covered by DOE's energy conservation standards for electric motors at 
10 CFR 431.25(g) (as established by the energy conservation standards 
established in the May 2014 medium electric motor energy conservation 
standard final rule (79 FR 30933 (May 29, 2014)) \65\ would be 
different than the available test methods for pumps sold with motors 
that are not covered by DOE's test procedure for electric motors. 
Specifically, DOE proposed defining the applicability of the proposed 
test methods based on the following:
---------------------------------------------------------------------------

    \65\ DOE recognizes that the scope of the electric motor 
standards at 10 CFR 431.25 may change in the future as a result of 
potential future rulemakings. Since the scope of such future motors 
standards is unknown, DOE wishes to clearly and unambiguously 
establish the specific motors which, when sold with an applicable 
bare pump, would be eligible to apply the calculation-based test 
methods described in this section.
---------------------------------------------------------------------------

     Two potential approaches: (1) Testing-based versus (2) 
calculation-based;
     three potential configurations: (1) Bare pumps, (2) pumps 
sold with motors, and (3) pumps sold with motors and controls; and
     two different sub-configuration criteria:
    (1) Whether the pump was sold with: (a) a motor covered by DOE's 
electric motor energy conservation standards, (b) a submersible motor, 
(c) a motor that is not covered by DOE's electric motor energy 
conservation standards and is not a submersible motor, or (d) no motor; 
and
    (2) whether the pump was sold with: (a) continuous controls, (b) 
non-continuous controls, or (c) neither continuous or non-continuous 
controls.
    The applicability of DOE's proposed test methods to different 
configurations of pumps is summarized in Table III.8. Id. at 17627.

     Table III.8--Applicability of Calculation-Based and Testing-Based Test Procedure Options Based on Pump
                                                  Configuration
----------------------------------------------------------------------------------------------------------------
                                                                  Calculation-based test     Testing-based test
        Pump configuration            Pump sub-configuration              method                   method
----------------------------------------------------------------------------------------------------------------
Bare Pump.........................  Bare Pump.................  A.1: Tested Pump            Not Applicable.
                                                                 Efficiency of Bare Pump +
                                                                 Default Nominal Full Load
                                                                 Motor Efficiency +
                                                                 Default Motor Part Load
                                                                 Loss Curve.
Pump + Motor......................  Pump + Motor Covered by     B.1: Tested Pump            B.2: Tested Wire-to-
                                     DOE's Electric Motor        Efficiency of Bare Pump +   Water Performance.
                                     Energy Conservation         Represented Nominal Full
                                     Standards OR Pump +         Load Motor Efficiency for
                                     Submersible Motor.          Actual Motor Paired with
                                                                 Pump + Default Motor Part
                                                                 Load Loss Curve.
                                    Pump + Motor Not Covered    Not Applicable............  B.2: Tested Wire-to-
                                     by DOE's Electric Motor                                 Water Performance.
                                     Energy Conservation
                                     Standards (Except
                                     Submersible Motors).
Pump + Motor + Speed Controls.....  Pump + Motor Covered by     C.1: Tested Pump            C.2: Tested Wire-to-
                                     DOE's Electric Motor        Efficiency of Bare Pump +   Water Performance.
                                     Energy Conservation         Represented Nominal Full
                                     Standards + Continuous      Load Motor Efficiency for
                                     Control OR Pump +           Actual Motor Paired with
                                     Submersible Motor +         Pump + Default Motor/
                                     Continuous Control.         Control Part Load Loss
                                                                 Curve + Assumed System
                                                                 Curve.
                                    Pump + Motor Covered by     Not Applicable............  C.2: Tested Wire-to-
                                     DOE's Electric Motor                                    Water Performance.
                                     Energy Conservation
                                     Standards + Non-
                                     Continuous Control OR
                                     Pump + Submersible Motor
                                     + Non-Continuous Control.
                                    Pump + Motor Not Covered    Not Applicable............  C.2: Tested Wire-to-
                                     by DOE's Electric Motor                                 Water Performance.
                                     Energy Conservation
                                     Standards (Except
                                     Submersible Motors) +
                                     Continuous or Non-
                                     Continuous Controls.
----------------------------------------------------------------------------------------------------------------


[[Page 4126]]

    DOE's proposed applicability of testing-based and calculation-based 
test methods, as shown in Table III.8, was designed to maximize the 
number of pumps that can be rated using the less burdensome 
calculation-based methods A.1, B.1, and C.1. DOE also proposed the 
applicability of the various test methods to maximize flexibility in 
rating equipment. That is, where possible, DOE proposed to allow either 
the calculation-based or the testing-based method to be used to 
determine the PEI of applicable pump models. 80 FR 17627-28. In this 
case, if a manufacturer wished to represent the improved performance of 
a given pump, for example from a motor with improved part load 
efficiency performance, and believed that the assumptions made in the 
calculation method would not adequately represent the improved 
performance of that pump, the manufacturer would be able to use the 
testing-based methods to rate the PEICL or PEIVL 
of that pump model to capture the improved performance of the pump as 
tested.
    DOE also noted that, since the measured performance of individual 
units can vary from the average performance of the population or from 
DOE's assumed values used in the calculation-based approach, it is 
theoretically possible for the calculation-based approach to generate 
ratings that are better or worse than the testing-based approach. To 
address this possibility, DOE proposed that manufacturers report the 
test method (i.e., calculation-based or testing-based) used to 
determine the PEI for each model and that DOE would use the same method 
used by the manufacturer to generate the rating when performing 
assessment or enforcement testing. Id. at 17628.
    DOE requested comment on its proposal to establish calculation-
based test methods as the required test method for bare pumps and 
testing-based methods as the required test method for pumps sold with 
motors that are not regulated by DOE's electric motor energy 
conservation standards, except for submersible motors, or for pumps 
sold with any motors and with non-continuous controls. DOE also 
requested comment on the proposal to allow either testing-based methods 
or calculation-based methods to be used to rate pumps sold with 
continuous control-equipped motors that are either (1) regulated by 
DOE's electric motor standards or (2) submersible motors. In addition, 
DOE requested comment on the level of burden associated with reporting 
the test method used by a manufacturer to certify a given pump basic 
model as compliant with any energy conservation standards DOE may set.
    HI commented that it agrees with these proposals, and that it is 
not too burdensome to note the test method in the certification report, 
as proposed in the April 2015 pumps test procedure NOPR. (HI, No. 8 at 
p. 23) Wilo commented that the calculation-based test methods should be 
eliminated entirely. Wilo indicated that one problem is that DOE is not 
responsible for providing tools to determine compliance, so each 
manufacturer will be responsible for creating its own potentially 
erroneous evaluation tool. Wilo also indicated that a second problem is 
that there are no standard efficiencies for VFDs, so a manufacturer 
could use a minimally performing VFD to create a better performing PEI 
value for a given pump sold with motor and controls. (Wilo, Docket No. 
EERE-2011-BT-STD-0031, No. 44 at pp. 3-4)
    In response to Wilo's comment regarding the calculation-based 
approach, DOE notes that DOE developed the calculation-based approach 
with extensive feedback and input from the CIP Working Group and 
believes that it is appropriate for the categories and configurations 
of pumps for which DOE proposed it would be applicable. DOE also notes 
that, as described in the April 2015 pumps test procedure NOPR, the 
calculation-based approach is significantly less burdensome than the 
testing-based approach since a manufacturer may elect to determine the 
PEI rating for several pump models sold with different combinations of 
motors and/or continuous controls based on the physical test of the 
bare pump only. That is, manufacturers may test a representative sample 
of bare pumps (see section III.G for a description of DOE's sampling 
provisions for pumps) and all subsequent ratings of that bare pump sold 
with any combination of motors that are covered by DOE's energy 
conservation standards, submersible motors, and continuous controls may 
be calculated using the calculation-based approach with no additional 
physical testing. Due to the potentially large burden associated with 
requiring physical testing of each potential combination of a bare 
pump, motor, and continuous control, as well as the existing concerns 
of manufacturers and other interested parties regarding the proposed 
test procedure (see section IV.B), DOE is electing to maintain the 
calculation-based procedure as an option for applicable pumps.
    DOE also notes that the calculation-based procedure is required for 
bare pumps, as testing-based methods do not apply to bare pumps because 
a PEI rating (which includes the efficiency of the motor) cannot be 
determined based on a test of the bare pump alone. For all other pump 
configurations, the calculation-based method is only offered as an 
option, should manufacturers choose to employ it. Therefore, if Wilo 
prefers to use the testing-based approach to certify their equipment, 
it may do so for all configurations of pumps except bare pumps.
    Regarding the accuracy or validity of any evaluation tools to 
implement any calculations associated with either the calculation-based 
or testing-based approach, DOE notes that manufacturers must rate pumps 
in accordance with the test procedure. The calculation-based approach 
required by the regulations provides sufficient detail for 
manufacturers to develop reliable tools. Nonetheless, manufacturers are 
responsible for ensuring that any calculations are performed correctly, 
whether performed using an evaluation tool or by hand, for both the 
calculation-based and the testing-based approaches.
    In response to Wilo's comment regarding the potential for a 
manufacturer to improve the PEI rating of a given pump model sold with 
a motor, but without continuous controls, by pairing the pump with 
continuous controls, DOE acknowledges that the PEI for pumps sold with 
continuous controls tested using either the calculation-based or 
testing-based approach will be better (i.e., lower) than that of the 
same pump sold and tested with a motor only. However, consistent with 
the feedback provided by the CIP Working Group, DOE believes that 
decreased PEI is reflective and representative of the improved energy 
performance customers are likely to observe in the field. That is, the 
load points and, in the case of controlled-motors, the system curve, 
assumed for these pumps (discussed in section III.B and III.E.2.c, 
respectively) are representative of the operation of such pumps in the 
field. DOE also notes that, as mentioned in the April 2015 pumps test 
procedure NOPR, the testing-based method is intended to allow for more 
granular differentiation of equipment performance, including 
differentiation of the performance of different models or styles of 
continuous controls. In particular, DOE noted in the April 2015 pumps 
test procedure NOPR that the ability of the testing-based method to 
differentiate among the performance of various continuous controls was 
particularly important for pumps sold with motors and continuous 
controls, since DOE is only assuming a single

[[Page 4127]]

system performance curve to represent all applicable continuous 
controls, as described in section III.E.1.c, and the testing-based 
method may provide an opportunity for manufacturers to differentiate 
among the performance of different continuous control technologies. Id. 
at 17627-28.
    In this test procedure final rule, DOE is adopting the test method 
applicability proposed in the April 2015 pumps test procedure NOPR and 
shown in Table III.8 with no modifications. As proposed in the NOPR, 
DOE is also adopting requirements that manufacturers report the test 
method used to determine the ratings for applicable pump models and 
provisions that when conducting assessment and enforcement testing DOE 
will use the same method reported by manufacturers.
    The specific test methods, any comments DOE received on the 
proposed methods and applicability, and the final test methods DOE is 
adopting in this final rule are discussed in the following sections:
     Section III.E.1.a: The calculation-based approach for bare 
pumps (method A.1),
     section III.E.1.b: The calculation-based approach for 
pumps sold with applicable motors,
     section III.E.1.c: The calculation-based approach for 
pumps sold with applicable motors and continuous controls,
     section III.E.2.b: The testing-based approach for pumps 
sold with motors, and
     section III.E.2.c: The testing-based approach for pumps 
sold with motors and continuous or non-continuous controls.
1. Calculation-Based Test Methods
    In the April 2015 pumps test procedure NOPR, DOE proposed that the 
following calculation-based test methods would be used to rate (1) 
pumps sold as bare pumps (method A.1); (2) pumps sold either with (a) 
motors that are regulated by DOE's electric motor standards or (b) 
submersible motors (method B.1); and (3) pumps sold with motors that 
are either (a) regulated by DOE's electric motor standards or (b) 
submersible motors, and that are equipped with continuous controls 
66 67 (method C.1). 80 FR 17586, 17616 (April 1, 2015).
---------------------------------------------------------------------------

    \66\ The calculation-based test method was designed to capture 
the dynamic response of a control that can continuously respond to 
changes in load and reduce power consumption at all load points 
below BEP. Therefore, pumps sold with non-continuous controls would 
instead use the testing-based method described in section III.E.2.c, 
which captures some reduction in power consumption at some reduced 
flow rates. DOE discussed this approach with the CIP Working Group, 
which generally agreed with it, although such a recommendation was 
not specifically included in the CIP Working Group recommendations. 
(Docket No. EERE-2013-BT-NOC-0039, No. 107 at pp. 49-50)
    \67\ DOE notes that some pumps sold with continuous controls, 
such as pumps sold with ECMs, may not be eligible to apply the 
calculation-based method based on the fact that ECMs are not: (1) A 
type of motor covered by DOE's energy conservation standards for 
covered motors or (2) a submersible motor (see section III.E). These 
pumps would instead apply a testing-based method.
---------------------------------------------------------------------------

    Regardless of the pump configuration or characteristics, the 
calculation-based test method for the applicable pump types includes 
the following steps:
    (1) Physical testing of the bare pump, in accordance with HI 40.6-
2014, to determine the pump BEP and pump shaft input power at 75, 100, 
and 110 of actual BEP flow, adjusted to nominal speed;
    (2) Determining the part load losses of the motor (or default 
motor) and any continuous or non-continuous controls applicable to the 
rated pump model at each load point;
    (3) Taking the sum of the pump shaft input power at nominal speed 
and the calculated part load motor losses at each load point in the 
constant load or variable load profiles, as applicable, to determine 
the input power to the pump at each load point;
    (4) Determining the PERCL or PERVL, as 
applicable, for the given pump as the weighted average of the input 
power to the pump at the applicable load points;
    (5) Determining the PERSTD for the minimally compliant 
pump, as described in section III.B.2; and
    (6) Dividing the PERCL or PERVL from step 4 
by the PERSTD for that pump model to determine 
PEICL or PEIVL, respectively.
    The specific test methods for bare pumps, pumps sold with motors, 
and pumps sold with motors and continuous controls are described in 
more detail in the following sections III.E.1.a, III.E.1.b, and 
III.E.1.c, respectively.
a. Calculation-Based Test Method A.1: Bare Pump
    As described previously, DOE proposed in the April 2015 pumps test 
procedure NOPR that the bare pump PERCL would be determined 
based on the measured pump shaft input power at 75, 100, and 110 
percent of BEP flow. 80 FR 17586, 17616-17 (April 1, 2015). Section 
III.C of this final rule describes the test method for determining pump 
shaft input power at the specified load points, which is based on HI 
40.6-2014. DOE proposed that the measured pump shaft input power at the 
three constant-load flow points would then be combined with the part 
load motor losses at each load point and equally weighted to determine 
PERCL for that bare pump, as shown in equation (16):
[GRAPHIC] [TIFF OMITTED] TR25JA16.014


Where:
[omega]i = weighting at load point i (equal weighting or 
\1/3\ in this case),
Pi\in,m\ = calculated input power to the motor at load 
point i (hp),
Pi = the shaft input power to the bare pump at load point 
i (hp),
Li = default motor losses at load point i (hp), and
i = load point corresponding to 75, 100, or 110 percent of BEP flow 
as determined in accordance with the DOE test procedure.

Id.
    The part load motor losses for the bare pump would be determined 
for the bare pump based on a default nominal full load motor 
efficiency, representative of a motor that is minimally compliant with 
DOE's electric motor energy conservation standards (or the default 
minimum motor efficiency for submersible motors), as described in 
section III.D.1, and the default motor loss curve, as described in 
section III.D.2. Id.
    As presented in section III.B, the PEICL for a bare pump 
can then be calculated as the PERCL for a given pump divided 
by the PERSTD for a pump that is minimally compliant with 
DOE's pump standards sold without controls, as shown in equation (17):

[[Page 4128]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.015


Where:
PERSTD = the PERCL for a pump of the same 
equipment class with the same flow and specific speed 
characteristics that is minimally compliant with DOE's energy 
conservation standards serving the same hydraulic load (hp). The 
procedure for determining PERSTD is described in detail 
in section III.B.2.

    For bare pumps, DOE proposed establishing the calculation-based 
approach (method A.1) as the only applicable test procedure, as 
testing-based methods do not apply to bare pumps because a PEI rating 
(which includes the efficiency of the motor) cannot be determined based 
on a test of the bare pump alone.
    DOE received no specific comments on the proposed test procedure 
for bare pumps and is adopting the calculation-based test procedure, as 
proposed.
b. Calculation-Based Test Method B.1: Pump Sold With a Motor
    For pumps sold with motors that either are regulated by DOE's 
electric motor standards or are submersible motors, DOE proposed to 
allow the use of the applicable calculation-based method (method B.1), 
in addition to the testing-based method (method B.2, discussed in 
section III.E.2.b). In these cases, DOE proposed that the calculation-
based test procedure would be similar to that for pumps sold alone 
(method A.1) except that the represented nominal full load motor 
efficiency, or losses, would be that of the motor with which the pump 
is sold when determining PERCL, as opposed to the default 
nominal full load motor efficiency assumed in the bare pump case. For 
motors covered by DOE's electric motor standards, DOE proposed that the 
represented nominal full load motor efficiency be determined in 
accordance with the DOE electric motor test procedure specified at 10 
CFR 431.16 and appendix B to subpart B of part 431 (see section 
III.D.2) and applicable procedures for determining the represented 
value (also specified in 10 CFR part 429 and 431). For pumps sold with 
submersible motors rated using the calculation-based method, the 
default nominal full load submersible motor efficiency would be 
determined from Table III.6 (see section III.D.1.b). DOE also 
reiterated that this calculation-based method would not apply to pumps 
sold with motors that are not subject to DOE's electric motor standards 
(except for submersible motors). 80 FR 17586, 17618 (April 1, 2015).
    The PEICL for pumps sold with motors would then be 
calculated using a similar approach that would be applied to bare pumps 
shown in equations (16) and (17), above, except that the default part 
load losses of the motor at each load point would be determined based 
on the represented nominal full load motor efficiency, as described in 
section III.D.2. Id.
    As previously discussed in section III.B.2, in determining 
PERSTD, DOE proposed to use the electric motor efficiency 
standards listed at 10 CFR 431.25 for polyphase NEMA Design B motors as 
the default nominal full load motor efficiency of the minimally 
compliant pump for pumps sold with motors other than submersible 
motors. Similarly, for pumps sold with submersible motors, the default 
nominal full load motor efficiency would be that specified in Table 
III.6 in section III.D.1.b for both the rated pump model and 
PERSTD. Id.
    In the April 2015 pump test procedure NOPR, DOE requested comment 
on several specific items related to the proposed calculation-based 
test procedure for pumps sold with applicable motors. Specifically, DOE 
requested comment on its proposal to determine the part load losses of 
motors covered by DOE's electric motor energy conservation standards 
using the represented nominal full load motor efficiency, as determined 
in accordance with DOE's electric motor test procedure, and the same 
default motor part load loss curve used in test method A.1. In 
response, HI commented that it could not comment on this issue. (HI, 
No. 8 at p. 21) DOE received no additional comments on this proposal.
    DOE requested comment on its proposal that pumps sold with motors 
that are not addressed by DOE's electric motors test procedure (except 
submersible motors) would be rated based on the testing-based approach, 
and HI commented that it agrees with this proposal. (HI, No. 8 at p. 
21) DOE received no additional comments on this proposal and has 
determined that no revisions are necessary.
    DOE also requested comment on its proposal to determine the 
PERCL of pumps sold with submersible motors using the 
proposed default nominal full load efficiency values for submersible 
motors and to apply the same default motor part load loss curve to the 
default motor in test method A.1 to the bare pump. HI commented that it 
agrees with the proposal as long its concerns regarding submersible 
motor efficiency, as detailed in section III.D.1.b of this final rule, 
are addressed. (HI, No. 8 at p. 21) DOE received no other comments on 
this proposal.
    Based on the comments received from interested parties, DOE is 
adopting the proposed test method B.1 for pumps sold with motors 
covered by DOE's electric motor test procedure. For pumps sold with 
submersible motors, the default nominal full load submersible motor 
efficiency values used in the calculation of PERCL and 
PERSTD are the values shown in Table III.7, which are 
revised based on the input from HI.
c. Calculation-Based Test Method C.1: Pump Sold With a Motor and 
Continuous Controls
    For pumps sold with continuous controls and motors that are either 
(a) regulated by DOE's electric motor standards for electric motors or 
(b) submersible motors, DOE proposed, in the April 2015 pumps test 
procedure NOPR, to allow use of either the applicable calculation-based 
method (method C.1, discussed in this section III.E.1.c) or the 
testing-based method (method C.2, discussed in section III.E.2.c). 80 
FR 17618-19. The proposed calculation-based approach for pumps sold 
with motors and continuous controls determines the PEIVL 
metric, which accounts for the power reduction resulting from reducing 
speed to achieve a given flow rate, as opposed to throttling. In this 
case, DOE proposed that the PEIVL would be determined as the 
PERVL of the given pump divided by the PERSTD, 
where the PERSTD would be determined in accordance with the 
procedures in section III.B.2, and the PERVL would be 
determined as the weighted average input power to the pump at 25, 50, 
75, and 100 percent of BEP flow, as shown in equation (18):

[[Page 4129]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.016


Where:
[omega]i = weighting at load point i (equal weighting or 
\1/4\ in this case),
Piin,c = measured or calculated driver power 
input to the continuous or non-continuous controls at load point i 
(hp), and
i = 25, 50, 75, and 100 percent of BEP flow, as determined in 
accordance with the DOE test procedure.

Id.

    Similar to the calculation-based approaches for bare pumps and 
pumps sold with motors, the input power to the pump when sold with 
motors and continuous controls would be determined by adding together 
the pump shaft input power and the combined losses from the motor and 
continuous controls at each of the load points. However, in the case of 
determining PERVL for pumps sold with motors and continuous 
controls, DOE proposed that only the input power at the 100 percent of 
BEP flow load point would be determined through testing, and the 
remaining 25, 50, and 75 percent of BEP flow load points would be 
calculated based on an assumed system curve. In particular, consistent 
with CIP Working Group discussions (Docket No. EERE-2013-BT-NOC-0039, 
No. 107 at pp. 49-50), DOE proposed to use a quadratic reference system 
curve, which goes through the BEP and an offset on the y-axis, 
representative of a static head component to the system curve. The 
reference system curve equation is shown in equation (19) and depicted 
in Figure III.1:
[GRAPHIC] [TIFF OMITTED] TR25JA16.017


Where:

H = the total system head (ft),
Q = the flow rate (gpm),
Q100% = flow rate at 100 percent of BEP flow 
(gpm), and
H100% = total pump head at 100 percent of BEP 
flow (ft).
[GRAPHIC] [TIFF OMITTED] TR25JA16.018

    DOE's approach for developing the proposed system curve is 
discussed in detail in the April 2015 pump test procedure NOPR. Id. at 
17619-20.
    To determine the pump shaft input power at 25, 50, and 75 percent 
of BEP flow, DOE proposed to apply the reference system curve discussed 
in section III.E.1.c and assume that continuous speed reduction is 
applied to achieve the reduced load points. Specifically, the reduction 
in pump shaft input power at part loadings was assumed to be equivalent 
to the relative reduction in pump hydraulic output power assumed by the 
system curve, as shown in equation (20):

[[Page 4130]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.019


Where:
Pi = shaft input power to the bare pump at load point i 
(hp),
P100% = shaft input power to the bare pump at 
100 percent of BEP flow (hp),
Qi = flow rate at load point i (gpm),
Q100% = flow rate at 100 percent of BEP flow 
(gpm), and
i = 25, 50, and 75 percent of BEP flow as determined in accordance 
with the DOE test procedure.

Id. at 17620-21.
    Finally, to calculate the PERVL for pumps sold with 
applicable motors and continuous controls, DOE proposed to apply a 
separate algorithm for determining the part load losses of the motor 
and continuous controls together, to account for the additional losses 
as a result of inefficiencies from the continuous control and increased 
inefficiencies in the speed-controlled motor due to harmonic 
distortion. Based on data DOE collected regarding VFD performance, DOE 
determined that four part load loss equations would be the most 
appropriate way to represent the combined efficiency of the motor and 
continuous control as a function of the output power of the motor and, 
therefore, proposed to use the polynomial expression shown in equation 
(21) to estimate the aggregate part load losses of motors and 
continuous controls at each load point:
[GRAPHIC] [TIFF OMITTED] TR25JA16.020


Where:

zi = the part load loss factor for the motor and 
continuous controls at load point i;
a,b,c = coefficients based on motor horsepower, see Table III.9;
Pi = the shaft input power to the bare pump at load point 
i (hp);
MotorHP = the horsepower of the motor with which the pump is being 
rated (hp); and
i = 25, 50, 75, and 100 percent of BEP flow as determined in 
accordance with the DOE test procedure.

     Table III.9--Motor and Continuous Control Part Load Loss Factor Equation Coefficients for Equation (21)
----------------------------------------------------------------------------------------------------------------
                                                                       Coefficients for equation (21)
                   Motor horsepower (hp)                   -----------------------------------------------------
                                                                    a                 b                 c
----------------------------------------------------------------------------------------------------------------
<=5.......................................................           -0.4658            1.4965            0.5303
>5 and <=20...............................................           -1.3198            2.9551            0.1052
>20 and <=50..............................................           -1.5122            3.0777            0.1847
>50.......................................................           -0.8914            2.8846            0.2625
----------------------------------------------------------------------------------------------------------------

    The development of DOE's part load loss factor equations for motors 
and continuous controls are also described in detail in the April 2015 
pumps test procedure NOPR. 80 FR 17586, 17621 (April 1, 2015).
    To determine the resultant PEIVL rating for pumps sold 
with applicable motors and continuous controls and rated based on the 
calculation-based approach, the PERVL determined based on 
the reference system curve and default motor and control losses would 
be divided by the PERSTD, determined in accordance with the 
procedure described in section III.B.2. DOE notes that, although the 
PERVL of the tested pump only requires the 100 percent of 
BEP flow load point to be determined experimentally, the full HI 40.6-
2014 test would still be required, and the pump hydraulic output power 
at 75, 100, and 110 percent of BEP flow would still be necessary for 
determining the PERSTD of the given pump. Id. at 17621-22.
    In response to DOE's proposed calculation-based approach for pumps 
sold with application motors and continuous controls, HI commented that 
it is in agreement with the calculation-based test method for pumps 
sold with motors and continuous controls, provided that the corrected 
version of NOPR equation (6) presented at the April 2015 NOPR public 
meeting is used. (HI, No. 8 at pp. 21-22) HI also specifically 
indicated that it agrees with the proposed system curve shape, and that 
it agrees that the curve should go through the statically loaded 
offset.
    Regal Beloit commented that it accepts the structure of the pump 
energy conservation standards NOPR and the April 2015 pumps test 
procedure NOPR as presented with respect to motor-drive efficiency 
testing and evaluation, and encouraged the use of the forthcoming 
industry standard IEC 61800-9-2 once it is published and at such time 
as the DOE seeks to revise the pumps test procedure. (Regal Beloit, No. 
9 at p. 1) DOE understands that the IEC standard will serve as a 60 Hz 
version of the 50 Hz European industry standard BS EN 50598. DOE will 
review the IEC standard once it is available, and may consider it for 
future rulemaking activity.
    DOE received no other comments on this test method, and confirms 
that the final rule uses the corrected equation for determining the 
minimum standard pump efficiency presented at the April 2015 NOPR 
public meeting.
d. Other Calculation Methods for Determination of Pump Performance
    In the April 2015 pumps test procedure NOPR, DOE proposed that each 
bare pump model be physically tested in accordance with the test 
procedure and that calculations alone could not be used to determine 
bare pump performance. DOE noted that the calculation-based test 
procedure for certain applicable pumps already contains provisions for 
tested bare pump performance to be combined with default or tested 
performance data regarding the motor or motor with continuous or non-
continuous controls to calculate the PER of multiple pump basic models. 
Therefore, DOE proposed that, beyond the calculations proposed in the 
April 2015 pumps test procedure

[[Page 4131]]

NOPR, DOE would not permit use of other algorithms or alternative 
efficiency determination methods to determine the rated performance of 
covered pumps or pump components (i.e., motors or controls). 80 FR 
17586, 17622-23 (April 1, 2015).
    DOE requested comment on its proposal to require testing of each 
individual bare pump as the basis for a certified PEICL or 
PEIVL rating for one or more pump basic models. DOE also 
requested comment on its proposal to limit the use of calculations and 
algorithms in the determination of pump performance to the calculation-
based methods proposed in the NOPR. HI commented that it agrees with 
these proposals. (HI, No. 8 at p. 22) DOE received no additional 
comments on these proposals and, consistent with the comments submitted 
by HI, is adopting such calculation methods as discussed in this 
section III.E.1 in this final rule.
2. Testing-Based Methods
    Testing-based methods directly measure the input power to the 
motor, continuous control, or non-continuous control at the load points 
of interest (i.e., 75, 100, and 110 percent of BEP flow for 
uncontrolled pumps and 25, 50, 75, and 100 percent of BEP flow for 
pumps sold with a motor and speed controls). As such, as discussed 
previously, these methods cannot be applied to bare pumps. In addition, 
these test methods are the only test methods applicable to pumps sold 
with motors that are not addressed by DOE's electric motor test 
procedure (except submersible motors) or that are sold with non-
continuous controls and are an optional procedure for all pumps sold 
with motors or motors with continuous controls.
    The following sections describe DOE's proposals, any comments 
received from interested parties, and the final test provisions DOE is 
adopting in this final rule on the following topics:
     How to determine BEP for pumps rated using the testing-
based method (section III.E.2.a),
     the testing-based approach for pumps sold with motors 
(method B.2; described in section III.E.2.b), and
     the testing-based approach for pumps sold with motors and 
continuous or non-continuous controls (method B.3; described in section 
III.E.2.c).
a. The Best Efficiency Point for Pumps Testing Using Testing-Based 
Methods
    In the April 2015 pumps test procedure NOPR, DOE noted that when 
testing some pumps using testing-based methods, it is not possible to 
determine BEP as a ratio of pump input power over pump hydraulic power 
unless additional measurements are made of bare pump performance or 
pump shaft input power, in addition to input power to the motor. See 
section III.C.2.d. Specifically, in the case of pumps sold with motors 
or motors with continuous or non-continuous controls measured using 
testing-based methods, DOE noted that input power to the pump shaft is 
not measured directly in the proposed test procedure. As such, DOE 
proposed that the BEP for such pumps be determined using a similar 
procedure to that discussed in section III.C.2.d for calculation-based 
methods; however, BEP would be determined using the maxima of what is 
typically known as overall efficiency (i.e., the input power to the 
driver or continuous control, if any, divided by the pump hydraulic 
output power at the nominal speed), rather than pump efficiency. 80 FR 
17586, 17623 (April 1, 2015).
    DOE requested comment on its proposal to require manufacturers to 
determine BEP for pumps rated with a testing-based method by using the 
ratio of input power to the driver or continuous control, if any, over 
pump hydraulic output. DOE also requested input on the degree to which 
this method may yield significantly different BEPs from the case in 
which BEP is determined based on pump efficiency. HI commented that BEP 
can only be determined when testing the bare pump. HI also indicated 
that determining BEP through a wire-to-water (i.e., testing-based) 
method will cause the manufacturers to have to test each motor 
configuration sold with the bare pump, increasing the burden. HI 
recommended that the manufacturer be given the option to determine BEP 
by testing as a bare pump or by testing using a wire to water test. HI 
also recommended that BEP be instead defined as the pump hydraulic 
power operating point consisting of both flow and head conditions that 
result in the maximum efficiency of the certified unit. (HI, No. 8 at 
pp. 22-23).
    After review, DOE has determined that the HI proposal would yield 
different efficiency ratings for the same pump. In response to HI's 
comment, DOE notes that DOE initially proposed that the BEP when 
applying the testing-based methods would be based on the overall 
efficiency in order to reduce burden when conducting testing. That is, 
when testing a pump in accordance with the testing-based method, DOE 
proposed that the overall efficiency would be used to determine pump 
efficiency so that the pump shaft input power would not have to be 
separately determined, since measurements of pump shaft input power are 
not otherwise needed when conducting the test procedure. If DOE were 
instead to specify that BEP be determined based on the pump efficiency 
only, pumps tested using the testing-based approaches would either need 
to have additional instrumentation installed (e.g., a torque sensor) to 
measure pump shaft input power or, in some cases, would require 
duplicative testing of the pump with a calibrated motor if a torque 
sensor could not be inserted between the bare pump and motor based on 
the pump design. For example, ESCC and VTS pumps would not be able to 
be tested using the testing-based methods to determine BEP based on 
pump efficiency in the same test, unless a calibrated motor with the 
same characteristics as the motor with which the pump model was to be 
distributed in commerce was used.
    In response to HI's concern regarding the increased burden of 
determining the BEP based on overall efficiency, DOE finds this 
statement to be erroneous, since the determination of BEP based on 
overall efficiency would only be required for the testing-based 
approaches and the testing-based approaches already require each basic 
model to be tested. Under the proposed approach, no incremental testing 
would be necessary. To the extent that manufacturers wish to use the 
calculation-based methods to determine the PEI of applicable pumps, the 
BEP of the bare pump, based on pump efficiency, must be used. However, 
these data are irrelevant to determining the PEI of pumps under the 
testing-based approach, since the two methods are mutually exclusive. 
That is, the PEI of a given pump cannot be determined via both 
calculation-based and testing-based approaches. DOE has ensured that 
this is clear in the regulatory text included in this final rule.
    Regarding HI's proposal to optionally allow manufacturers to use 
either pump efficiency or overall efficiency, DOE believes that such an 
approach could potentially result in variability in the BEP, and thus 
PEI, for the same pump model. This is unacceptable since each pump 
model can have only one certified PEI value associated with it and that 
value must be repeatable and consistent among test facilities.
    DOE believes that the approach proposed in the April 2015 pumps 
test procedure NOPR will result in representations that are more 
straightforward and consistent, as well as less burdensome, for those 
pumps rated using the testing-based approach. As such, DOE is adopting, 
in this final rule, the approach proposed in the April 2015 pump test 
procedure NOPR to

[[Page 4132]]

determine the BEP of pumps rated using the testing-based approach based 
on overall efficiency, as opposed to pump efficiency.
    Regarding HI's comment that BEP should be determined as the load 
point associated with maximum efficiency, which consists of both head 
and flow points, DOE acknowledges HI's comments and agrees that the BEP 
for each pump represents the flow and head points representing maximum 
efficiency at full impeller diameter. In particular, DOE notes that 
DOE's definition of BEP, as adopted in this final rule, specifies BEP 
with respect to a load point, consisting of both flow and head 
conditions. However, in this test procedure final rule, DOE in general 
refers to BEP flow, since DOE's specified load points are characterized 
with respect to BEP flow only. DOE understands that the head and flow 
of a given pump, at full impeller diameter and without throttling, are 
inextricably linked, so it is not necessary to independently account 
for and specify both parameters. That is, for example, by specifying 
the flow at 100 percent of BEP, the power calculated at that load point 
will, necessarily, also be reflective of head at 100 percent of BEP 
flow, since the data are all based on the same curve. It is not 
possible to determine the power input at, for example, 50 percent of 
BEP flow and 100 percent of BEP head without throttling the pump, 
trimming the impeller, or otherwise physically altering the tested 
equipment or test set-up such that the data generated would no longer 
be reflective of the pump model being tested. As such, DOE does not 
believe that any additional specifications or clarifications regarding 
the BEP load point are necessary in the pumps test procedure.
b. Testing-Based Test Method B.2: Pump Sold With a Motor
    For pumps sold with motors that are not regulated by DOE's electric 
motor standards (except for submersible motors), DOE proposed that use 
of the testing-based method B.2, discussed in this section III.E.2.b, 
would be required because the nominal full load efficiency of the 
motor, as determined using a specific standardized procedure, is not 
available for those motors. For pumps sold with motors subject to DOE's 
electric motor standards or submersible motors, the testing-based 
approach discussed in this section III.E.2.b would be optional.
    In the April 2015 pumps test procedure NOPR, DOE also proposed 
that, for pumps sold with motors, the PEICL could be 
determined by wire-to-water testing, as specified in HI 40.6-2014, 
section 40.6.4.4. In this case, the PERCL would become an 
average of the measured power input to the motor at the three specified 
load points, as shown in equation (22):
[GRAPHIC] [TIFF OMITTED] TR25JA16.021


Where:
[omega]i = weighting at load point i (equal weighting or 
\1/3\ in this case),
Pi\in,m\ = measured or calculated driver power input to 
the motor at load point i (hp), and
i = load point at 75, 100, or 110 percent of BEP flow as determined 
in accordance with the DOE test procedure.

80 FR 17586, 17623 (April 1, 2015).
    DOE received no comments on the proposed testing-based approach for 
pumps sold with motors and, as such, is adopting the provisions 
discussed in the April 2015 pumps test procedure NOPR with no changes.
c. Testing-Based Test Method C.2: Pump Sold With a Motor and Speed 
Controls
    For pumps sold with non-continuous control-equipped motors that are 
either (1) regulated by DOE's electric motor standards for electric 
motors or (2) submersible motors, as defined in section III.E.1.c, DOE 
proposed in the April 2015 pumps test procedure NOPR that the 
calculation-based method C.1 would not be applicable because these 
controls are not able to follow the reference system curve described in 
section III.E.1.c. Instead, pumps sold with non-continuous controls 
would have to be tested using the testing-based method C.2. For pumps 
sold with motors not regulated by DOE's electric motor standards 
(excluding submersible motors) that are equipped with either continuous 
or non-continuous controls, DOE also noted that only these testing-
based methods (method C.2) would apply, as is the case for pumps sold 
with motors not regulated by DOE's electric motor standards (excluding 
submersible motors) without controls (discussed in section III.E.2.b). 
80 FR 17586, 17627 (April 1, 2015).
    For pumps sold with continuous controls and motors that are (1) 
regulated by DOE's electric motor standards for electric motors or (2) 
submersible motors, the testing-based approach discussed herein (method 
C.2) would be optional, and such pumps may also be tested under the 
calculation-based approach, as discussed in section III.E.1.c. Id.
    Regarding the specific procedures contained in the testing-based 
approach for pumps sold with motors and continuous or non-continuous 
controls, DOE proposed that the PEIVL may be determined by 
wire-to-water testing, based on the procedure specified in HI 40.6, 
section 40.6.4.4, except that the input power:
     Is the ``driver input power'' defined in table 40.6.2.1 of 
HI 40.6-2014 and referenced in table 40.6.3.2.3, section 40.6.4.4, and 
section 40.6.6.2,
     refers to the input power to the continuous or non-
continuous control, and
     is determined in accordance with the tolerances and 
requirements for measuring electrical power described in section 
III.C.2.e.

80 FR 17623-24.
    DOE clarified that, with the proposed approach, pump manufacturers 
would determine the BEP of the pump, inclusive of motor and continuous 
or non-continuous controls, as described in section III.E.2.a, and then 
adjust the operating speed of the motor and the head until the 
specified head and flow conditions are reached (i.e., 25, 50, and 75 
percent of BEP flow and the associated head pressures determined by the 
reference system curve in section III.E.1.c). To ensure this method C.2 
results in consistent and repeatable ratings, DOE also proposed 
tolerances around each load point of 10 percent about (i.e., above and 
below) the target flow and head load points defined on the reference 
system curve for each pump. Similarly, DOE also proposed that the 
measured data would be

[[Page 4133]]

extrapolated to the exact load points specified by the reference system 
curve using the following equation (23):
[GRAPHIC] [TIFF OMITTED] TR25JA16.022


Where:

Pi = the corrected driver power input to the continuous 
or non-continuous controls at load point i (hp),
Hsp,i = the specified total system head at load point i 
based on the reference system curve (ft),\68\
---------------------------------------------------------------------------

    \68\ DOE notes that in the April 2015 pumps test procedure NOPR, 
DOE proposed to define the tested and ``reference'' head and flow 
values using the subscript ``T'' for tested and ``R'' for rated 
(e.g., HR, HT, QR, QT). 
DOE notes that Table 40.6.2.2b of HI 40.6-2014 provides a list of 
subscripts for use in applying the HI 40.6-2014 test method. 
Specifically, Table 40.6.2.2b defines the subscript ``sp'' as 
denoting ``specified'' values and the subscript ``M'' as denoting 
measured values. For the sake of clarity and continuity, in this 
final rule, DOE is adopting subscripts consistent with the defined 
HI nomenclature.
---------------------------------------------------------------------------

HM,j = the measured total system head at load point j 
(ft),
Qsp,i = the specified total system flow rate at load 
point i based on the reference system curve (gpm),
QM,j = the measured total system flow rate at load point 
j (gpm),
PM,j = the measured shaft input power to the bare pump at 
load point j,
i = specified load point at 25, 50, 75, or 100 percent of BEP flow 
as determined in accordance with the DOE test procedure, and
j = measured load point corresponding to specified load point i.

Id. at 17624-25.
    Under DOE's proposed approach, the PER would become the mean of the 
measured power input to the continuous or non-continuous control at the 
four specified load points based on the assumed system curve (as in 
method C.1), as shown in equation (24):
[GRAPHIC] [TIFF OMITTED] TR25JA16.023


Where:
[omega]i = weighting at load point i (equal weighting or 
\1/4\ in this case),
Pi\in,c\ = measured or calculated driver power input to 
the continuous or non-continuous controls at load point i (hp), and
i = load point at 25, 50, 75, or 100 percent of BEP flow, as 
determined in accordance with the DOE test procedure.

Id. at 17625.
    In the April 2015 pumps test procedure NOPR proposal, DOE also 
noted that some pumps are sold with non-continuous controls, such as 
multi-speed motors, that are not able to follow the reference system 
curve directly at all load points. For example, in the case of a pump 
sold with a two-speed motor, the pump will operate at full speed (i.e., 
the nominal speed) for some of the load points and reduced speed at the 
other load points, as shown in Figure III.2.

[[Page 4134]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.024

    For pumps sold with non-continuous controls, DOE proposed to modify 
this testing-based method C.2 for pumps sold with motors and continuous 
or non-continuous controls to specify that the head measurements 
associated with each of the specified flow points would not have to be 
achieved within 10 percent of the specified head, as described by the 
reference system curve--only the flow rate would need to be achieved 
within 10 percent of the specified value. Id. at 17626. Instead, DOE 
proposed to require that the measured pump total head corresponding to 
the 25, 50, 75 and 100 percent of BEP flow points could not be lower 
than 10 percent below that defined by referenced system curve. DOE also 
proposed that, in this case, the measured head and flow rate would not 
be corrected to the reference system curve. Instead, the tested load 
points would be used directly in further calculations of 
PEIVL. Id.
    DOE requested comment on the proposed testing-based method for 
pumps sold with motors and continuous or non-continuous controls, as 
well as the proposed testing-based method for determining the input 
power to the pump for pumps sold with motors and non-continuous 
controls. In addition, DOE requested comment on any other type of non-
continuous control that may be sold with a pump and for which the 
proposed test procedure would not apply.
    HI commented that it agrees with the optional testing-based 
methods, but also indicated that any pump sold with an ON/OFF control 
should be tested or calculated using a PEICL method. (HI, 
No. 8 at p. 23) DOE agrees with HI that ON/OFF switches do not 
constitute a type of continuous or non-continuous control for which the 
calculation-based or testing-based methods (C.1 and C.2, respectively) 
or the PEIVL metric, would be applicable. Consistent with 
the April 2015 pumps test procedure NOPR section III.A.1.a and public 
meeting slide 45, DOE has revised Table 1 in appendix A accordingly to 
clarify that (1) the calculation-based and testing-based methods to 
determine PEIVL apply to pumps sold with motors and 
continuous or non-continuous controls only; whereas, (2) the test 
methods for pumps sold with motors (methods B.1 and B.2) apply to pumps 
sold with motors and controls other than continuous and non-continuous 
controls.

F. Representations of Energy Use and Energy Efficiency

    As noted previously, manufacturers of any pumps within the scope of 
the pump test procedure will be required to use the test procedure 
established in this rulemaking when making representations about the 
energy efficiency or energy use of their equipment. Specifically, 42 
U.S.C. 6314(d) provides that ``[n]o manufacturer . . . may make any 
representation . . . respecting the energy consumption of such 
equipment or cost of energy consumed by such equipment, unless such 
equipment has been tested in accordance with such test procedure and 
such representation fairly discloses the results of such testing.''
    In the April 2015 pumps test procedure NOPR, DOE noted that 
performing the proposed test procedure for pumps requires a key 
component (C-value) that is being addressed through the parallel 
standards rulemaking for pumps (Docket No. EERE-2011-BT-STD-0031). 80 
FR 17586, 17628 (April 1, 2015). Because of this dependency, DOE 
clarified that manufacturers of equipment that are addressed by this 
test procedure and any applicable standards that DOE may set would have 
180 days after the promulgation of those standards to begin using the 
DOE procedure.
    With respect to representations, generally, DOE stated its 
understanding that manufacturers often make representations 
(graphically or in numerical form) of energy use metrics, including 
pump efficiency, overall (wire-to-water) efficiency, bowl efficiency, 
driver power input, pump power input (brake or shaft horsepower), and/
or pump power output (hydraulic horsepower) and may

[[Page 4135]]

make these representations at multiple impeller trims, operating 
speeds, and number of stages for a given pump. DOE proposed in the 
April 2015 pumps test procedure NOPR to allow manufacturers to continue 
making these representations. Id.
    DOE also proposed that any representations of PEI and PER must be 
made in accordance with the DOE test procedure, and there may only be 
one PEI or PER representation for each basic model. In other words, 
representations of PEI and PER that differ from the full impeller PEI 
and PER cannot be made at alternate speeds, stages, or impeller trims. 
Additionally, if the PEI and PER for a basic model is rated using any 
method other than method A.1, ``bare pump with default motor efficiency 
and default motor part load loss curve,'' such a basic model may not 
include individual models with alternate stages or impeller trims.
    If a manufacturer wishes to make unique representations of PEI or 
PER based on a trimmed impeller, the manufacturer must certify the 
trimmed impeller as a separate basic model. In such a case, the 
``trimmed impeller'' being rated would become the ``full impeller'' for 
the new basic model (i.e., the maximum diameter impeller distributed in 
commerce for that pump model) (see section III.A.1.c). 80 FR 17586, 
17628 (April 1, 2015).
    In response to DOE's language regarding representations in the 
April 2015 pumps test procedure NOPR, HI stated its concern with the 
somewhat vague language used around 42 U.S.C. 6314(d) prohibited 
representation. HI emphasized that it is imperative that pump 
manufacturers be allowed to continue using pre-existing efficiency 
curves and sizing software that is used directly by end users and 
distributors to purchase pumps. HI noted its interpretation that the 
following text: ``Manufacturers often make these representations at 
multiple impeller trims, operating speeds, and number of stages for a 
given pump. DOE proposes to allow manufacturers to continue making 
these representations.'' indicates that existing performance and 
efficiency data can continue to be used and that only representations 
of PER and PEI fall under [the requirements of] 42 U.S.C. 6314(d) 
``Prohibited Representation.'' HI requested that DOE clearly articulate 
in the final rule that prohibited representation under 42 U.S.C. 
6314(d) applies only to PER and PEI representations. (HI, No. 8 at p. 
1)
    In response to HI's comment regarding the nature of representations 
manufacturers are allowed to make regarding the performance of their 
equipment under 42 U.S.C. 6314(d), DOE reiterates that, beginning 180 
days after publication of this final rule in the Federal Register, all 
representations regarding PERCL and PERVL must be 
made in accordance with the DOE test procedure. Similarly, all 
representations regarding PEICL and PEIVL must be 
made in accordance with the DOE test procedure beginning 180 days after 
publication of a final rule in the Federal Register that sets C-values 
(i.e., a final rule in the parallel energy conservation standards 
rulemaking). However, regarding other measures of energy use, energy 
efficiency, or related performance metrics for pumps, DOE clarifies 
that such representations must be made using methods that will generate 
values consistent with the DOE test procedure, as finalized in this 
final rule. DOE acknowledges that manufacturers have large amounts of 
pre-existing data that they currently use to market and make 
representations about the performance of their equipment and that 
regenerating all of this data within the 180 day timeframe would be 
burdensome. As such, manufacturers may continue to use such data to 
make representations about the performance of applicable pump models 
after the 180 day timeframe, provided manufacturers are confident that 
the values are consistent with those that would be generated under the 
adopted test procedure.
    In the April 2015 NOPR public meeting, the EEAs noted that it would 
be helpful if DOE could have its certification materials available 
prior to the compliance date so that manufacturers can make early 
representations of PEI. (EEAs, NOPR public meeting transcript, No. 7 at 
pp. 191-192) The EEAs also noted that it would be helpful for all the 
fields in the certification report to show up in the database, or that 
they would determine which items the utility programs would need. 
(EEAs, NOPR public meeting transcript, No. 7 at pp. 206-207) DOE 
discusses compliance certification reporting in the parallel energy 
conservation standards rulemaking, and has considered the stakeholder 
comments in that rule.

G. Sampling Plans for Pumps

    DOE provides in subpart B to 10 CFR part 429 sampling plans for all 
covered equipment. The purpose of these sampling plans is to provide 
uniform statistical methods for determining compliance with prescribed 
energy conservation standards and for making representations of energy 
consumption and energy efficiency on labels and in other locations such 
as marketing materials. In the April 2015 pumps test procedure NOPR, 
DOE proposed that, for pumps, the same statistical sampling plans used 
for other commercial and industrial equipment would be applicable and 
proposed to add the sampling plan to 10 CFR 429.59. 80 FR 17586, 17628-
29 (April 1, 2015).
    Under the proposal, DOE proposed that a sample of sufficient size 
must be randomly selected and tested to ensure compliance and that a 
minimum of two units must be tested to certify a basic model as 
compliant. DOE also proposed to apply the same statistical sampling 
procedures, including the confidence limit and derating factor, that 
are applicable to many other types of commercial and industrial 
equipment, as DOE believes equipment variability and measurement 
repeatability associated with the measurements proposed for rating 
pumps are similar to the variability and measurement repeatability 
associated with energy efficiency or consumption measurement required 
for other commercial equipment. Id.
    Finally, DOE proposed that DOE would determine compliance in an 
enforcement matter based on the arithmetic mean of a sample not to 
exceed four units. Id.
    DOE received no comments on this proposal. However, upon reviewing 
the April 2015 pump test procedure NOPR proposals, DOE identified 
several provisions that require clarification to ensure that DOE's 
certification and enforcement provisions are clear and consistent.
    First, in the April 2015 pumps test procedure NOPR, the equations 
for the upper confidence limit (UCL) and lower confidence limit (LCL) 
in section 429.60 both referenced a confidence limit of 0.95. 80 FR 
17586, 17640 (April 1, 2015). However, the UCL and LCL were proposed to 
be divided by a de-rating factor of 1.01 and 0.99, respectively. Id. 
DOE notes that the confidence limit of the t-statistic and the de-
rating factor in the denominator, collectively, are intended to capture 
the likely variability in pump testing resulting from the allowable 
test tolerances and instrument accuracy (discussed in sections III.C), 
lab-to-lab variability, and manufacturing tolerances contained within 
each model. In the April 2015 pumps test procedure NOPR, DOE had 
proposed a confidence limit of 99 percent, expecting a 95 percent 
confidence limit would exceed the amount of variability in PEI that 
would occur in pump ratings. Specifically, because PEI is an indexed 
value, with values that range from zero to one, this decreases the 
amount of

[[Page 4136]]

variability that may occur in each individual measurement.
    DOE received no comments from interested parties in response to the 
proposal in the April 2015 pumps test procedure NOPR. However, DOE 
reevaluated the April 2015 pumps test procedure NOPR proposal and 
determined that the resultant values may yield overly conservative 
results that would effectively require such pumps to meet a more 
stringent standard than that considered in the associated pumps energy 
conservation standards rule (Docket No. EERE-2011-BT-STD-0031). 
Therefore, in this final rule, DOE is correcting the confidence limit 
and derating factor adopted in this final rule to better reflect the 
likely variability in test results expected to result from the pumps 
test procedure, lab-to-lab variability, and manufacturing tolerances. 
Specifically, for the purpose of regulating pumps, a confidence limit 
of 0.95 and de-rating factor of 1.05 or 0.95 is required due to the 
combined impacts of test tolerances, experimental variability in 
conducting the test procedure, and manufacturing variability for this 
equipment. That is, given the likely variation of measured PEIs within 
a sample of pump units of the same model, a confidence limit of 0.95 is 
necessary to ensure that the statistical requirements in the sampling 
plan for pumps are consistent with the magnitude of the variance 
between tested units within a sample resulting from manufacturing 
tolerances and experimental uncertainty inherent in the test procedure. 
Therefore, DOE is adopting a confidence limit of 0.95 and de-rating 
factors of 1.05 and 0.95 as applicable to pumps in this test procedure 
final rule.
    Also, regarding testing pumps for enforcement purposes, DOE is 
clarifying, in this final rule, the procedure for determining BEP when 
the ``expected BEP'' may not be known to DOE. As discussed in section 
III.C.2.d, the procedure for determining BEP described in section 
40.6.5.5.1 of HI 40.6-2014 requires that the flow points are to be 40, 
60, 75, 90, 100, 110, and 120 percent of the expected BEP of the pump 
model and that if the BEP rate of flow is displaced by more than 5 
percent, the test must be repeated. In the case of enforcement testing, 
DOE will follow the same procedure as manufacturers in determining the 
BEP of the pump. In this final rule, DOE is clarifying that DOE will 
use the volume rate of flow (flow rate) at BEP and nominal speed 
certified by the manufacturer for that pump model as the expected BEP 
when performing the BEP test. In the case that the BEP rate of flow is 
more than 5 percent displaced from the certified value, DOE will also 
retest the pump as required by the test procedure. However, if the 
retested BEP rate of flow is still more than 5 percent displaced from 
the manufacturer's certified value, DOE will use the mean of the tested 
values as the volume rate of flow (flow rate) at BEP and nominal speed 
in subsequent calculations when determining the PEI for that model.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs (OIRA) in OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601, et seq.) requires 
preparation of a 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 DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://energy.gov/gc/office-general-counsel.
    DOE reviewed today's final rule, which establishes new test 
procedures for pumps, under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. DOE concludes that the final rule DOE is adopting will not 
result in a significant impact on a substantial number of small 
entities. The factual basis set forth in the following sections.
1. The Need for, and Objectives of, Today's Rule
    While DOE is currently evaluating whether to establish energy 
conservation standards for pumps, DOE must first establish a test 
procedure that measures the energy use, energy efficiency, or estimated 
operating costs of a given type of covered equipment before 
establishing any new energy conservation standards for that equipment. 
See, generally, 42 U.S.C. 6295(r) and 6316(a). To fulfill these 
requirements, DOE is establishing the test procedure for pumps, 
described in this final rule, concurrent with its ongoing energy 
conservation standards rulemaking for this equipment. See Docket No. 
EERE-2011-BT-STD-0031.
    In this test procedure, DOE prescribes test methods for measuring 
the energy consumption of certain pumps, inclusive of motors and 
controls (continuous or non-continuous), if they are included with the 
pump when distributed in commerce. In addition, this final rule 
establishes a new subpart Y to part 431 of Title 10 of the Code of 
Federal Regulations that contains DOE's new test procedure for pumps, 
as well as definitions pertinent to establishing the scope of pumps to 
which the adopted test procedure is applicable. This final rule also 
contains sampling plans for pumps for the purposes of demonstrating 
compliance with any energy conservation standards that DOE adopts.
    DOE's test procedure contains methods to determine the energy 
consumption for all equipment for which this test procedure applies 
using either calculation-based methods and/or testing-based methods. 
While both methods include some amount of testing and some amount of 
calculation, the terms ``calculation-based'' and ``testing-based'' are 
used to distinguish between methods in which the input power to the 
pump is determined either by (a) measuring the bare pump shaft input 
power \69\ and calculating efficiency, or losses, of the motor and any 
continuous control \70\ (i.e., calculation-based method) or (b) 
measuring the input power to the driver,\71\ or motor, and any 
continuous or non-continuous controls \72\ for a given pump directly

[[Page 4137]]

(i.e., testing-based method). As such, the test procedure includes 
measurements and calculations of the produced hydraulic power, pump 
shaft input power, electric input power to the motor, and electrical 
input power to the continuous or non-continuous controls, as 
applicable, which are substantially based on the test methods contained 
in the industry test standard HI Standard 40.6-2014, ``Methods for 
Rotodynamic Pump Efficiency Testing,'' (``HI 40.6-2014''), with slight 
modifications as noted in section III.C.2.
---------------------------------------------------------------------------

    \69\ The term ``pump shaft input power'' is referred to as 
``pump power input'' in HI 40.6-2014. The term ``pump shaft input 
power'' is used synonymously with that term in this document.
    \70\ DOE notes that for non-continuous controls, as defined in 
section III.E.1.c, PEIVL can only be determined using a 
``testing-based'' method. If a calculation-based method is desired, 
the pump would instead be rated as a pump sold with a motor and 
without speed controls using the PEICL metric. See 
section III.E.1.c for further discussion.
    \71\ The input power to the driver is referred to as ``driver 
power input'' in HI 40.6-2014. The term ``input power to the 
driver'' is used synonymously with that term in this document.
    \72\ In the case that a pump is sold with a motor equipped with 
either continuous or non-continuous controls and is rated using the 
testing-based method, the input power to the pump would be 
determined as the input power to the continuous or non-continuous 
control. See section III.E.2.c.
---------------------------------------------------------------------------

    This test procedure final rule also contains requirements regarding 
(1) the characteristics, categories, and configurations of pumps to 
which the adopted test procedure is applicable; (2) the specific manner 
in which pumps must be tested to determine any applicable 
representations regarding the performance of pumps subject to the test 
procedure; and (3) the number of pump units that must be tested to 
determine the representative value for each basic model. As noted in 
the April 2015 pump test procedure NOPR and further elaborated in 
section III.F, DOE's new pumps test procedure requires a key component 
(C-value) that is being addressed through the parallel standards 
rulemaking for pumps (Docket No. EERE-2011-BT-STD-0031). 80 FR 17586, 
17628 (April 1, 2015). As such, the use of this test procedure as the 
basis for any representations regarding the energy efficiency or energy 
use of pumps would not be required until 180 days after the publication 
of any energy conservation standards final rule in the Federal 
Register, Therefore, DOE notes that the test methods, definitions, and 
sampling plans contained in this final rule do not introduce any 
incremental burden to any manufacturers, since the use of such test 
methods is not required by this test procedure final rule by itself. 
That is, any burden associated with testing pumps in accordance with 
the requirements of this test procedure final rule is not be required 
until the promulgation of any energy conservation standards final rule 
for pumps. On this basis, DOE maintains that this final rule has no 
incremental burden associated with it and a final regulatory 
flexibility analysis is not required.
    While DOE maintains that this final rule has no incremental burden 
associated with it when viewed as a stand-alone rulemaking, DOE 
recognizes that pump energy conservation standards are currently being 
considered in an associated rulemaking (Docket No. EERE-2011-BT-STD-
0031) and may be proposed or promulgated in the near future. Therefore, 
to consider the aggregate impacts of developing certified ratings for 
applicable pump models for the purposes of making representations 
regarding the energy use of such equipment or certifying compliance to 
DOE under any future energy conservation standards, DOE is also 
estimating the full burden of conducting the testing required by this 
test procedure final rule for each pump model. Therefore, while such is 
not required yet, DOE is presenting the results from conducting the 
regulatory flexibility analysis to develop estimates of the costs 
associated with testing equipment consistent with the requirements of 
this test procedure final rule, as would be required to certify 
compliance with the potential energy conservation standard. DOE 
presents the results of such analysis in the following sections.
    However, DOE is not determining the significance of that burden 
with respect to manufacturers' financial situation or status as a small 
entity. As the use of the testing requirements contained in this final 
rule is contingent upon the energy conservation standards rulemaking, 
DOE is analyzing the effect of the combined burden associated with both 
the test procedure and energy conservation standard rulemakings in the 
manufacturer impact analysis performed as part of the energy 
conservation standard rulemaking (see docket EERE-2011-BT-STD-0031). 
The costs described in the following subsections are referenced in the 
manufacturer impact analysis in the pumps energy conservation standard 
rulemaking to estimate the burden associated with testing. However, DOE 
reiterates that the estimates provided in this test procedure 
regulatory flexibility analysis serve only to provide information about 
the possible burden manufacturers may incur while testing pumps using 
this DOE test procedure; they do not represent actual burden incurred 
by the industry as there is no incremental burden associated with this 
test procedure final rule until and unless the associated pumps energy 
conservation standard final rule is published.
2. Significant Issues From Interested Parties in Response to IRFA
    Within the April 2015 pumps test procedure NOPR, DOE conducted an 
initial regulatory flexibility analysis (IRFA). 80 FR 17586, 17629-33 
(April 1, 2015). In response to DOE's April 2015 pumps test procedure 
NOPR estimate of testing burden, DOE received written and verbal 
comments at the April 2015 NOPR public meeting, as well as throughout 
the comment period. Comments related to the potential burden include 
comments related to potential anticompetitive effects of the proposed 
test procedure; cost of test facility(s); labor costs; quantity of 
manufacturers potentially affected; and manufacturer sales to assess 
burden. In this final rule, DOE addresses these comments and presents a 
revised assessment of potential burden related to test procedure final 
rule.
Anticompetitive Effects of Burden and Expense
    Consistent with DOE's requirements to comply with section 32(c) of 
the Federal Energy Administration Act of 1974, as amended by the 
Federal Energy Administration Authorization Act of 1977 (15 U.S.C. 788; 
see section IV.L), DOE is required to consult with the Attorney General 
and the Chairman of the Federal Trade Commission (FTC) concerning the 
impact of the proposed test procedure on competition in the pumps 
industry. The U.S. Department of Justice (DOJ) reviewed the April 2015 
pumps test procedure NOPR, attended the April 2015 NOPR public meeting, 
and consulted with members of the industry in preparing their comments 
and conclusions regarding any anticompetitive effects of the pumps test 
procedure. In response to the proposed test procedure, DOJ commented 
that it is not able to determine whether or not the proposed test 
procedure (or associated energy conservation standard) will lessen 
competition within the industry. However, DOJ noted that it is 
concerned about the possibility of anticompetitive effects resulting 
from the burden and expense of compliance. (DOJ, No. 14 at p. 2)
    In this final rule, DOE reviews the potential burden and expense 
related to testing, but does not analyze the potential effects on 
competition. However, DOE notes that it has taken steps, in the test 
procedure adopted in this final rule to minimize burden on 
manufacturers related to testing and rating equipment in accordance 
with such procedures.
Burden of Test Facility(s)
    In the April 2015 pumps test procedure NOPR, DOE estimated the 
burden to manufacturers associated with performing testing in 
accordance with the proposed test procedure. 80 FR 17586, 17629-33 
(April 1, 2015). DOE estimated that in order to determine the 
performance of any covered pump models for the purposes of making

[[Page 4138]]

representations or certifying compliance under any future energy 
conservation standards for pumps, each manufacturer would have to 
either (a) have the units tested in-house or (b) have the units tested 
at a third party testing facility. In addition, if the manufacturer 
elected to test pumps in-house, each manufacturer would have to 
undertake the following burden-inducing activities:
    (1) Construct and maintain a test facility that is capable of 
testing pumps in compliance with the test procedure, including 
acquisition and calibration of any necessary measurement equipment, and
    (2) conduct the DOE test procedure on two units of each covered 
pump model. Id.
    Because pumps are newly regulated equipment and there are no 
existing testing requirements for pumps, the capabilities of existing 
testing facilities may vary widely from one manufacturer to another. In 
the April 2015 pumps test procedure NOPR, DOE based it's assessment of 
testing burden on the conservative assumption that pump manufacturers 
would have no existing testing infrastructure and would have to bear 
the full cost of constructing a new testing facility generally capable 
of conducting testing in accordance with the proposed test procedure. 
DOE estimated the capital cost of constructing the two types of 
facilities: A facility equipped to perform the calculation-based test 
methods (described in section, III.E.1), which varied between $91,000 
and $277,000, and a facility equipped to perform the testing-based test 
methods (described in section, III.E.2), which varied between $72,000 
and $213,000. DOE amortized these capital costs to determine an annual 
payment amount over an estimated 7-year loan period because DOE's 
research indicated this was the typical loan period for pump 
manufacturers. DOE's final calculations regarding the cost of 
constructing a test lab assumed that the majority of pump models would 
be certified based on the bare pump configuration and subsequent 
ratings for the same bare pump sold with any number of applicable 
motors and continuous controls could be generated using the 
calculation-based approach. In addition, DOE estimated the ongoing cost 
of testing between $161.61 and $430.96 per unit, plus calibration 
activities of $1,241.67 per year. 80 FR 17586, 17632 (April 1, 2015) 
Based on these assumptions, DOE estimated the amortized total burden 
associated with the test procedure ranged between $61,000 and $221,000 
annually for small manufacturers affected by this rule. Id.
    DOE requested specific comments and feedback on a number of 
assumptions made in the April 2015 pumps test procedure NOPR regulatory 
flexibility analysis. Regarding the cost of constructing a test 
facility capable of performing the test procedure presented in the 
April 2015 pumps test procedure NOPR, HI stated that the estimates of 
materials and costs to build a pump testing facility as presented are 
greatly underestimated and would be in excess of $1 million. HI 
indicated that DOE's facility description leaves out many expensive 
machines and other equipment that would be required for this testing. 
(HI, No. 0008 at pp. 24-25)
    DOE disagrees with the comments from HI regarding the cost of the 
testing facility and the effect of burden on manufacturers and the 
industry. DOE notes that, in the April 2015 pumps test procedure NOPR 
initial regulatory flexibility analysis (IRFA), DOE used the most 
burdensome assumptions to estimate the burden associated with complying 
with the test procedure, resulting in estimates lower than the $1 
million HI suggested. DOE notes that the estimated costs in the IRFA 
were based on the construction of a facility capable of conducting the 
DOE test procedure for pumps within the scope of the rulemaking. 
Because of a lack of information on existing testing facilities in the 
industry, as well as the potential variability in the capabilities of 
these existing facilities, DOE assumed that no manufacturers would have 
existing test capabilities and all manufacturers would have to 
construct new test laboratories in order to comply with the test 
procedure. DOE also assumed in the IRFA that no third party 
laboratories were available to conduct testing in accordance with the 
DOE test procedure. 80 FR 17586, 17631 (April 1, 2015).
    DOE recognizes that many pump manufacturers already have pump test 
facilities and conduct pump testing as part of an existing 
manufacturing quality control process, to develop pump performance 
information for new and existing products, and to demonstrate the 
performance of specific pump units for customers. As such, for the 
purposes of estimating testing burden associated with this test 
procedure final rule, DOE has revised the baseline assumptions 
regarding the existing test lab capabilities of manufacturers and has 
estimated the incremental burden associated with just those test 
procedure requirements that would not typically exist in current 
manufacturer facilities. DOE describes these updated assumptions and 
analysis in section IV.B.3.
    Regarding the capabilities of existing test laboratories, HI 
commented that it disagrees with DOE's assumption in the NOPR that the 
use of a non-calibrated test motor and VFD with a torque meter would be 
the most common and least costly approach for testing bare pumps in 
accordance with the proposed DOE test procedure. (HI, No. 0008 at p. 
24) Additionally, HI noted that it did not find anything in the NOPR 
preamble that mentions recertification requirements. (HI, No. 0008 at 
p. 25)
    DOE acknowledges comments from HI on the underestimated cost 
estimates to build a pump testing facility and suggestions of 
components. DOE disagrees with HI that a VFD control would not be the 
most common approach for testing pumps in accordance with the DOE test 
procedure. DOE conducted a literature search for pump configurations 
and determined that almost all controls available to be paired with 
pumps are VFD controls. DOE also reiterates that the estimates used in 
the IRFA were not meant to be the least costly for manufacturers. The 
cost estimates for constructing a test facility were meant to be the 
most burdensome on manufacturers to show the most costly approach to 
building a test facility. DOE acknowledges the comment from HI 
regarding recertification requirements and clarifies that the estimates 
for recertification requirements in the April 2015 pumps test procedure 
NOPR IRFA are for pumps which have been redesigned to capture market 
preferences or other customer requirements. DOE estimates that 10 
percent of basic models per manufacturer will be redesigned and tested 
each year, and the Department has included the costs of testing newly 
redesigned pumps in this DOE test procedure final rule regulatory 
flexibility analysis (see section IV.B.3). To further clarify these 
costs, DOE has removed the terminology used in the April 2015 pumps 
test procedure NOPR IRFA regarding recertification that was unclear. 
Instead, in this final rule, DOE uses redesigned and tested to refer to 
pumps that would require new certifications each year, as their energy 
performance will have changed as a result of the equipment redesign. 
DOE notes that only those pump models for which the energy consumption 
characteristics have changed necessitate a new basic model 
certification and that pump models whose energy consumption 
characteristics have not changed do not need to be recertified.

[[Page 4139]]

    HI agreed that, for most pump models, only physical testing of the 
underlying bare pump model is required, and subsequent rating for that 
bare pump sold with a motor or motor and continuous control can be 
based on calculations only. (HI, No. 0008 at p. 24) HI also stated that 
all pumps listed within the scope as outlined in the term sheet can be 
evaluated in accordance with the methodology described in the April 
2015 pumps test procedure NOPR if the corrected equation presented by 
DOE at the April 29, 2015 public meeting is used. (HI, No. 0008 at p. 
24) HI stated that it could not comment on the number of pump models 
per manufacturer that would be required to use the test (wire-to-water) 
method to certify pump performance based on a lack of data, but stated 
that 100 percent of pumps would need to be tested to certify because of 
the new testing requirements and sampling provisions. (HI, No. 0008 at 
p. 25)
    DOE appreciates the comment from HI that only physical testing of 
the underlying bare pump is required and that subsequent configurations 
can be based on calculations. DOE agrees with HI that 100 percent of 
pumps would need to be tested to certify compliance with a proposed PEI 
standard, if adopted in a standards final rule. This is true for 
PEICL and PEIVL because these values cannot be 
calculated without the finalized C-Values from the energy conservation 
standards rulemaking. In addition, the PERCL and 
PERVL metrics contain specific assumptions regarding the 
representative performance of pumps and pump components that are not 
part of the industry's current test methods. However, as noted in 
section III.F, DOE recognizes that manufacturers already make some 
representations regarding the performance of relevant pumps (e.g., pump 
efficiency, BEP efficiency, and pump total head or volume rate of flow 
(flow rate) at BEP and full impeller) based on testing using test 
standards consistent with or similar to HI 40.6-2014, which DOE is 
incorporating by reference as the basis for the DOE test procedure. As 
such, DOE notes that, while all PEICL, PEIVL, 
PERCL, and PERVL ratings must be newly-generated, 
some existing test data that were collected consistent with the methods 
DOE is incorporating by reference into the DOE test procedure may be 
used, provided manufacturers are confident any such values are 
equivalent to those that would be generated using the new DOE test 
procedure.
Quantity of Manufacturers Potentially Affected
    To calculate the burden associated with testing pumps on aper 
manufacturer or per model basis, DOE collected information on the 
number of manufacturers in the pumps industry, and the numbers of 
models per manufacturer. DOE then focused this analysis on the small 
entities as part of the regulatory flexibility analysis. To determine 
which pump manufacturers were small entities, DOE referenced the Small 
Business Administration (SBA) size threshold for ``Pump and Pumping 
Equipment Manufacturing'' (North American Industry Classification 
System code 333911).\73\ The SBA sets a threshold of 500 employees or 
less for an entity to be considered as a small business for this 
category, as established at 13 CFR 121.201.
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    \73\ See http://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf.
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    In the April 2015 pumps test procedure NOPR, DOE conducted a 
focused inquiry into small business manufacturers of equipment covered 
by this rulemaking. DOE identified 68 distinct manufacturers of covered 
pump products sold in the U.S. DOE then analyzed those 68 to determine 
which would be considered a small business. After removing entities 
that are foreign owned or operated, DOE determined that there were 25 
small businesses in the analysis. These 25 companies represent 29 
percent of pump manufacturers with facilities in the United States. 80 
FR 17586, 17629 (April 1, 2015).
    In response to DOE's assessment of the number of small 
manufacturers subject to the pumps test procedure rule, HI commented 
that the HI organization currently has 106 member companies (pump 
manufacturers and associate members) and is aware of more entities 
within the market. HI believes that the identification of 68 distinct 
pump manufacturers in the U.S. is low. (HI, No. at pp. 23-24)
    DOE appreciates the comment from HI that there are more 
manufacturers in the pump manufacturing industry that are not included 
in this analysis. DOE notes that although HI might have associate 
members, if the member does not manufacture a pump, the associate 
member is not part of the analysis. During its market survey, DOE used 
available public information to identify potential small manufacturers. 
DOE's research involved the review of individual company Web sites and 
marketing research tools (e.g., Dun and Bradstreet reports, Manta, 
Hoovers) to create a list of companies that manufacture pumps covered 
by this rulemaking. DOE also contacted HI to obtain information about 
pump manufacturing companies that participate in the national 
association. DOE identified 86 potential businesses of covered pump 
products sold in the U.S., but reduced that number to 68 by determining 
which businesses were located in the United States. From these 
manufacturers, DOE eliminated 29 from the analysis because they had 
more than 500 employees. DOE removed an additional 16 manufacturers 
because they either had foreign parent companies or had domestic parent 
companies with 500 or more employees. After removing entities that are 
foreign owned or operated, DOE determined that there were 25 small 
businesses to investigate for this analysis. The regulatory flexibility 
analysis investigated manufacturers who manufacture pumps within the 
scope of this rulemaking, are considered a small business according to 
SBA standards, and are not foreign-owned or operated. Thus, there are 
fewer manufacturers analyzed in the regulatory flexibility analysis 
than are present in the industry.
    In summary, DOE agrees with HI that 68 distinct manufacturers is 
low on an industry-wide basis, but that is because the number was 
reduced by other criteria before being presented in the April 2015 
pumps test procedure NOPR. DOE notes that HI is not disagreeing with 
DOE's assessment of the quantity of small businesses, but rather the 
potential size of total pump manufacturers in the U.S. Following the 
April 2015 pumps test procedure NOPR, DOE has not identified any more 
(or different) manufacturers that meet the criteria (domestic 
headquarters, not owned by another entity, meets the SBA threshold of 
500 employees or fewer) to be considered a small business. Therefore, 
in this final rule, DOE maintains the quantity of 25 small businesses 
for purposes of analyzing the potential burden. Within the 25 small 
businesses, DOE has, however, identified an additional manufacturer 
that produces pumps that are within the scope of this rulemaking and 
have included this manufacturer in this DOE pumps test procedure final 
rule regulatory flexibility analysis (raising the total from 15 to 16).
Manufacturer Sales To Assess Burden
    In the April 2015 pumps test procedure NOPR, DOE used average sales 
to assist in assessing the potential burden. 80 FR 17586, 17629 (April 
1, 2015). HI commented that it has no alternative to offer other than 
using the

[[Page 4140]]

average sales, but noted that it does not understand what DOE is 
presenting in Table IV.2 [of the April 2015 pumps test procedure NOPR]. 
(HI, No. 0008 at p. 25)
    DOE agrees with HI that there is no better alternative to using 
average sales as the financial indicator for assessing the burden on 
manufacturers. DOE notes that Table IV.2 in the April 2015 pumps test 
procedure NOPR displays the results of the initial regulatory 
flexibility analysis. 80 FR 17586, 17633 (April 1, 2015). The columns 
indicate the range of number of employees in each row; the number of 
small businesses within each employee size range; the average number of 
basic models produced by manufacturers in each employee size range; and 
the average sales of the manufacturers in each employee size range as 
determined from available data sources. Using the estimated potential 
testing burden, number of basic models, and the average annual sales, 
DOE determined the potential burden as a percentage of sales of each 
group of small businesses (as defined by ranges of numbers of 
employees). Because DOE maintains that this final rule has no 
incremental burden associated with it when viewed as a stand-alone 
rulemaking, DOE is only presenting the estimates of the costs 
associated with testing equipment consistent with the requirements of 
this test procedure final rule, as would be required to certify 
compliance with potential energy conservation standards. As such, this 
table of impacts on manufacturers as a result of conducting this test 
procedure is no longer included in this regulatory flexibility 
analysis.
    HI commented that there will be a significant burden on both small 
and large entities and believes that this estimated value would vary 
depending on the size of the pump manufacturer. (HI, No. 0008 at pp. 
25-26)
    DOE agrees that the estimated burden may vary based on the size of 
the manufacturers if energy conservation standards are promulgated. DOE 
only considered the aggregate effects on small manufacturers of 
developing certified ratings for applicable pump models for the 
purposes of making representations regarding the energy use of such 
equipment or certifying compliance to DOE under any future energy 
conservation standards. The estimated burden of conducting the DOE test 
procedure presented in the April 2015 pumps test procedure NOPR showed 
that, as the number of employees increased, so did the number of basic 
models and average sales. As a result, as the number of employees 
increased, the average estimated burden, as a percentage of average 
annual sales, decreased. Based on this analysis, it is likely that the 
burden may vary based on the size of manufacturer.
    DOE cannot confirm HI's comment that there will be a significant 
burden on large manufacturers because the regulatory flexibility 
analysis aims to assess whether there is a significant economic impact 
on a substantial number of small entities. DOE did not assess the 
impact of the rule on large entities. However, DOE notes that the 
parallel energy conservation standards rulemaking includes a full 
manufacturer impact analysis (Docket No. EERE-2011-BT-STD-0031).
3. Revised Assessment of Burden Associated With This Test Procedure 
Final Rule
    In the initial regulatory flexibility analysis portion of the April 
2015 pumps test procedure NOPR, DOE estimated the most burdensome costs 
for manufacturers to conduct the DOE test procedure. In the initial 
regulatory flexibility analysis DOE recognized that, because testing is 
not currently required or standardized, testing facilities may vary 
widely from one pump manufacturer to another. For the purposes of 
estimating testing burden in the initial regulatory flexibility 
analysis, DOE estimated the burden associated with a situation where a 
given pump manufacturer did not have existing test facilities at all 
and would be required to construct such facilities to test equipment in 
accordance with the test procedure. In light of comments received 
regarding the burden associated with testing, DOE revised the analysis 
and gathered additional information to better characterize the expected 
burden associated with testing basic models in accordance with the DOE 
test procedure.
    DOE is analyzing the effect of the combined burden associated with 
both the test procedure and energy conservation standards rulemakings 
in the manufacturer impact analysis performed as part of the energy 
conservation standards rulemaking (see docket EERE-2011-BT-STD-0031). 
The costs described in the following subsection are referenced in the 
manufacturer impact analysis in the pumps energy conservation standards 
rulemaking to estimate the burden associated with testing. However, DOE 
reiterates that the estimates provided serve only to provide 
information about the possible burden manufacturers may incur while 
testing pumps using this DOE test procedure; they do not represent 
actual burden incurred by the industry as there is no incremental 
burden associated with this test procedure final rule until and unless 
the associated pumps energy conservation standards final rule is 
published.
    The DOE test procedure will require pump manufacturers to conduct 
the calculation-based method or the testing-based method, depending on 
the type and configuration of the pump(s) being tested. DOE is adopting 
the less burdensome calculation-based test method as the required test 
method for bare pumps, and as optional test methods for pumps other 
than bare pumps. This includes pumps sold with motors that are covered 
by DOE's electric motor energy conservation standards or submersible 
motors and pumps sold with either of these two motor styles that are 
also sold with continuous controls (see section III.E for a more 
thorough description of the applicability of the calculation-based 
approach to different pump configurations). DOE is also requiring that 
manufacturers use a testing-based method where pumps are sold either 
with motors that are not covered by DOE's electric motor energy 
conservation standards (except submersible motors) or with non-
continuous controls.
    Both the calculation-based method and the testing-based method 
require physical testing of pumps at some level and, as such, utilize a 
similar basic testing facility. DOE recognizes that all manufacturers, 
regardless of HI membership, have access to test facilities to be able 
to produce pump curves that characterize the performance of their 
equipment. As such, DOE estimated that all manufacturers would be able 
to conduct the DOE test procedure in an available test facility.
    Sixteen of 25 small manufacturers identified in DOE's survey of 
manufacturers produce pumps that fall within the scope of this 
rulemaking and would be required to perform testing; the other 9 
produce pump types that are not within the scope of pumps for which 
this test procedure is applicable. Of the 16 manufacturers that produce 
pumps within the scope of this rulemaking, 8 are members of HI 
according to their listing on HI's Web site.\74\
---------------------------------------------------------------------------

    \74\ See http://www.pumps.org/member_companies.aspx.
---------------------------------------------------------------------------

    As member companies of HI, DOE assumes that manufacturers with 
pumps within the scope of this test procedure would test pumps in 
accordance with HI's most current industry testing standards. That is, 
DOE assumes that manufacturers that are HI members already conduct 
testing in accordance

[[Page 4141]]

with HI 40.6-2014. In HI 40.6-2014, manufacturers are required to test 
their pumps in an ISO 9906 Grade 2B test facility, which is the same 
grade test facility prescribed in HI 14.6-2011. Because the 
calculation-based method described in this test procedure is equivalent 
to HI 40.6-2014, as recommended by the Working Group, manufacturers who 
are members of HI would already be capable of testing pumps in 
accordance to the testing-based method in this test procedure. There is 
no incremental cost to calibrate measurement instrumentation for these 
manufacturers because HI 40.6-2014 prescribes calibration intervals for 
all instruments in the test facility. The testing-based method in this 
test procedure requires electrical measurement equipment capable of 
measuring true RMS current, true RMS voltage, and real power up to at 
least the 40th harmonic of fundamental supply source frequency with an 
accuracy level of 2.0 percent of full scale when measured 
at the fundamental supply source frequency, as discussed in section 
III.C.2.e. Electrical equipment accuracy of 2.0 percent of 
reading is consistent with the value specified in section 40.6.3.2.3 of 
HI 40.6-2014. Therefore, the is no incremental cost to conduct testing 
for HI member companies when testing pumps pursuant to the testing-
based method or the calculation-based method.
    Manufacturers who are not members of HI need to purchase electrical 
measurement equipment with 2.0 percent accuracy to conduct 
the testing-based method of the DOE test procedure. DOE determined that 
the average cost of such equipment is approximately $5,218.42 based on 
a review of available products on the market. Unlike the manufacturers 
who are HI members, the non-HI manufacturers may not perform regular 
equipment calibration and, as such, will incur an additional cost to 
calibrate the instruments in the test facility. DOE assumed that each 
testing facility would need to calibrate the instrumentation used in 
the test loop as specified in HI 40.6-2014 appendix D. The flowmeter, 
torque sensor, and power quality meter all should be calibrated once a 
year. The pressure transducer should be calibrated every 4 months and a 
laser tachometer should be calibrated every 3 years. These 
calibrations, together, cost a manufacturer about $1,241.67 per year.
    DOE analyzed the estimated burden for 7 years for the 16 small 
manufacturers that produce pumps within the scope of the DOE test 
procedure. DOE used an analysis period of 7 years based on the 
assumption that the machinery qualifies for a 7-year depreciation 
schedule under the Modified Accelerated Cost Recovery System 
(MACRS).\75\ The average, and representative, of the likely burden to 
manufacturers is $6,334 for the capital costs associated with 
constructing a test facility capable of conducting the DOE test 
procedure. This burden ranges between $0 and $12,668.
---------------------------------------------------------------------------

    \75\ Department of the Treasury, Internal Revenue Service. How 
to Depreciate Property. IRS Pub. 926.
---------------------------------------------------------------------------

    Both methods of the test procedure require test personnel to set 
up, conduct, and remove each pump in accordance with that procedure. 
DOE estimated the cost of labor using the median hourly wage of $41.44 
for the overall category of an engineer.\76\ Including fringe benefits, 
which are estimated to be nominally 30 percent of total compensation, 
the total hourly cost to an employer is estimated to be $53.87.\77\
---------------------------------------------------------------------------

    \76\ U.S. Department of Labor, Bureau of Labor Statistics. 2012. 
National Occupational Employment and Wage Estimates. Washington, DC 
Available at http://www.bls.gov/oes/2012/may/oes_nat.htm#17-0000.
    \77\ U.S. Department of Labor, Bureau of Labor Statistics. 2014. 
Employer Costs for Employee Compensation--Management, Professional, 
and Related Employees. Washington, DC Available at: http://www.bls.gov/news.release/pdf/ecec.pdf.
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    Based on conversations with test engineers, DOE estimates it would 
take between 1 and 2 hours of an engineer's time to complete the test 
procedure per unit tested, which would result in a cost of $53.87 to 
$107.74 per unit based on an engineer's labor rate of $53.87 per hour. 
DOE estimates that setting up and removing the pumps from the test 
stand would require 2 to 6 hours of the engineer's time depending on 
the size of the pump and any other fittings that need to be configured 
to enable testing, resulting in a cost between $107.74 to $323.22 per 
unit based on the labor rate of $53.87 per hour for an engineer. The 
total cost of testing a pump, including setup, tests, and takedown 
ranges between $161.61 and $430.96 per unit. DOE estimates that the 
time required to conduct the calculation-based method of test would be 
the same as the time required to conduct the test-based method (wire-
to-water test).
    DOE also estimates that pump manufacturers would redesign covered 
pump models or introduce new pump models each year. As such, DOE 
estimates that a certain portion of the pump models that a given pump 
manufacturer offers for sale would need to be tested each year. DOE 
estimates that approximately 10 percent of manufacturers' unique pump 
models would need to be tested each year.
    DOE amortized the capital costs against the recurring burden of 
testing pumps described in this analysis for each small manufacturer 
identified to produce pumps covered under the scope of the DOE test 
procedure. DOE notes that the labor component represents the majority 
of the overall cost associated with testing, while the much more 
variable capital costs are only 23 percent of the total test cost. The 
representative amortized burden for testing each unit of a basic model 
is $561.16. As discussed in the sampling provisions in section III.G, 
this test procedure will require manufacturers to test at least two 
units of each pump basic model to develop a certified rating. This 
results in an average cost of $1,122.32 to test two units of each basic 
model.
    While analyzing the potential burdens of testing pumps in-house, 
DOE recognized that the price per basic model was higher for some 
manufacturers than for others. For manufacturers with higher costs of 
testing per basic model may elect to send their pumps to a third-party 
test facility to mitigate these costs. DOE anticipates that third party 
testing facilities will update their test facilities to be able to 
provide testing for pump manufacturers in accordance with the DOE test 
procedure. Based on market research and discussions with third party 
test lab personnel, DOE estimates that testing pumps in a third party 
test facility according to the DOE test procedure will cost 
approximately $2,500 per unit.
4. Calculator Comments
    Wilo indicated that one problem is that DOE is not responsible for 
providing tools to determine compliance, so each manufacturer would be 
responsible for creating its own potentially erroneous evaluation tool. 
(Wilo, No. 0044 at p. 3-4) HI requested that DOE share the latest 
version of the PEI calculator with the pump industry as an easy means 
of determining whether their products fall within or outside the scope 
of the efficiency levels specified in the rulemaking. (HI, No. 0002 at 
p. 1) HI also requested that DOE provide a PEI calculator so that all 
calculations for PEI are performed exactly the same way by all members 
of the pump industry, government agencies and interested parties. (HI, 
No. 0007 at p. 2) HI commented that the calculator could be used to 
report data to interested utilities. (HI, No. 0007 at p. 10) HI also 
commented that the complexity of the rating systems will cause a 
significant burden on all manufacturers to develop

[[Page 4142]]

a tool which quickly evaluates product. This is even more important for 
small and medium-sized companies that may not have the resources to 
develop such an analytic tool on their own. (HI, No. 0008 at p. 2)
    In response to the comments submitted by Wilo and HI, DOE made the 
PEI calculator available on the pumps test procedure rulemaking Web 
site.\78\ Under the provisions in this pumps test procedure final rule, 
the PEI calculations must be performed using measured values--that is, 
using results from testing actual pumps in accordance with the proposed 
test method and sampling plan. The PEI calculator provided to the 
public is not considered an Alternative Efficiency Determination Method 
(AEDM) by the Department and is not to be used to simulate or estimate 
the efficiency of a pump. DOE has provided this ``calculator'' as a 
convenience at the request of interested parties. DOE notes that 
manufacturers should consult section III.B of this final rule and the 
adopted regulatory text at 10 CFR 431.464 and appendix A of subpart Y 
for the formulas for calculating PEI and should not rely on this 
spreadsheet. DOE also notes that while this calculator is an excel-
based version of the calculations in the test procedure proposal, DOE 
did not rely on this document to develop the proposal itself.
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    \78\ https://www1.eere.energy.gov/buildings/appliance_standards/product.aspx/productid/44#testprocedures.
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    Based on the estimates presented, DOE believes that the test 
procedure amendments will not have a significant economic impact on a 
substantial number of small entities, and the preparation of a final 
regulatory flexibility analysis is not required. DOE will transmit the 
certification and supporting statement of factual basis to the Chief 
Counsel for Advocacy of the Small Business Administration for review 
under 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act of 1995

    All collections of information from the public by a Federal agency 
must receive prior approval from OMB. DOE has established regulations 
for the certification and recordkeeping requirements for covered 
consumer products and industrial equipment. 10 CFR part 429, subpart B. 
DOE published a NOPR proposing energy conservation standards for pumps 
on April 24, 2015. 80 FR 22938. In an application to renew the OMB 
information collection approval for DOE's certification and 
recordkeeping requirements, DOE included an estimated burden for 
manufacturers of pumps in case DOE ultimately sets energy conservation 
standards for this equipment. OMB has approved the revised information 
collection for DOE's certification and recordkeeping requirements. 80 
FR 5099 (January 30, 2015). In the April 2015 pumps test procedure 
NOPR, DOE estimated that it will take each respondent approximately 30 
hours total per company per year to comply with the certification and 
recordkeeping requirements based on 20 hours of technician/technical 
work and 10 hours clerical work to actually submit the Compliance and 
Certification Management System templates. 80 FR 17586, 17633 (April 
15, 2015).
    In response to DOE's April 2015 pump test procedure NOPR, HI 
commented that the hours shown are low and will vary by the number of 
basic models covered. (HI, No. at p. 26)
    DOE appreciates the comment submitted by HI regarding the burden 
estimate to comply with the proposed recordkeeping requirements. DOE 
recognizes that recordkeeping burden may vary substantially based on 
company preferences and practices as well as the number of basic models 
each manufacturer will test. However, DOE maintains that, on average, 
it will take manufacturers approximately 30 hours to comply with the 
certification and recordkeeping requirements. In addition, DOE notes 
that, while this test procedure rulemaking includes recordkeeping 
requirements that are associated with executing and maintaining the 
test data for this equipment, the certification requirements would be 
established in a final rule establishing energy conservation standards 
for pumps.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

D. Review Under the National Environmental Policy Act of 1969

    In this final rule, DOE amends its test procedure for pumps. 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 DOE's implementing 
regulations at 10 CFR part 1021. Specifically, this rule amends an 
existing rule without affecting the amount, quality or distribution of 
energy usage, and, therefore, will not result in any environmental 
impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 
under 10 CFR part 1021, subpart D, which applies to any rulemaking that 
interprets or amends an existing rule without changing the 
environmental effect of that rule. 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 
to 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 examined this final 
rule and determined that it will 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. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this final rule. States can petition 
DOE for exemption from such preemption to the extent, and based on 
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is 
required by Executive Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 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; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically

[[Page 4143]]

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 sections 3(a) 
and 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 final 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 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a regulatory action resulting in a rule that may cause the 
expenditure by State, local, and Tribal governments, in the aggregate, 
or by the private sector of $100 million or more in any one year 
(adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA 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 UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined this final 
rule according to UMRA and its statement of policy and determined that 
the rule contains neither an intergovernmental mandate nor a mandate 
that may result in the expenditure of $100 million or more in any year, 
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 final rule will 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, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

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

    Section 515 of 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 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has 
reviewed this final rule under the OMB and DOE guidelines and has 
concluded that it is consistent with applicable policies in those 
guidelines.

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 OMB 
a Statement of Energy Effects for any 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 significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
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; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition.
    The final rule incorporates by reference the testing methods 
contained in HI 40.6-2014, ``Methods for Rotodynamic Pump Efficiency 
Testing,'' except section 40.6.5.3, ``Test report;'' section A.7, 
``Testing at temperatures exceeding 30 [deg]C (86 14;[deg]F);'' and 
appendix B, ``Reporting of test results.'' In addition, the final 
rule's definitions incorporate by reference the following standards:
    (1) Sections 1.1, ``types and nomenclature,'' and 1.2.9, 
``rotodynamic pump icons,'' of the 2014 version of ANSI/HI 1.1-1.2-
2014, ``American National Standard for Rotodynamic Centrifugal Pumps 
for Nomenclature and Definitions;''
    (2) section 2.1, ``types and nomenclature,'' of the 2014 version of 
ANSI/HI 2.1-2.2, ``American National Standard for Rotodynamic Vertical 
Pumps of Radial, Mixed, and Axial Flow Types for Nomenclature and 
Definitions.''
    (3) FM Class Number 1319, ``Approval Standard for Centrifugal Fire 
Pumps

[[Page 4144]]

(Horizontal, End Suction Type),'' approved January 2015.
    (4) NFPA 20-2016, ``Standard for the Installation of Stationary 
Pumps for Fire Protection,'' approved 2016.
    (5) ANSI/UL 448-2013, ``Standard for Safety Centrifugal Stationary 
Pumps for Fire-Protection Service,'' approved 2013.
    While this test procedure is not exclusively based on these 
industry testing standards, some components of the DOE test procedure 
adopt definitions, test parameters, measurement techniques, and 
additional calculations from them without amendment. The Department has 
evaluated these industry testing standards and is unable to conclude 
whether they would fully comply with the requirements of section 32(b) 
of the FEAA, (i.e., that they were developed in a manner that fully 
provides for public participation, comment, and review). DOE has 
consulted with both the Attorney General and the Chairman of the FTC 
about the impact on competition of using the methods contained in this 
standard, as well as the effects of the rule in general, if 
promulgated. Regarding any impact on competition that the adopted test 
procedure may have, the DOJ reviewed the April 2015 pumps test 
procedure NOPR, attended the April 2015 NOPR public meeting, and 
consulted with members of the industry in preparing their comments and 
conclusions regarding any anticompetitive effects of the pumps test 
procedure. In response to the proposed test procedure, DOJ commented 
that it is not able to determine whether or not the proposed test 
procedure (or associated energy conservation standard) will lessen 
competition within the industry. However, DOJ noted that it is 
concerned about the possibility of anticompetitive effects resulting 
from the burden and expense of compliance. (DOJ, No. 14 at p. 2) In 
response to DOJ's concern regarding the burden of conducting the test 
procedure, DOE has revised several of the requirements, which DOE 
believes will mitigate DOJ's (and manufacturers') concerns. DOE 
addresses these concerns regarding the burden related to testing pumps 
in accordance with the test procedure in section IV.B.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule before 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. Description of Materials Incorporated by Reference

    In this final rule, DOE is incorporating by reference specific 
sections from a method of test published by HI, titled ``Methods for 
Rotodynamic Pump Efficiency Testing.'' Specifically, the test procedure 
codified by this final rule references HI 40.6-2014, except section 
40.6.5.3, ``Test report;'' section A.7, ``Testing at temperatures 
exceeding 30 [deg]C (86[emsp14][deg]F);'' and appendix B, ``Reporting 
of test results.'' HI 40.6-2014 is an industry-accepted standard used 
to specify methods of testing for determining the head, flow rate, pump 
power input, driver power input, pump power output, and other relevant 
parameters necessary to determine the PEICL or 
PEIVL of applicable pumps, as described in this final rule.
    In addition, the final rule's definitions incorporate by reference 
the following sections of the following standards:
    (1) Sections 1.1, ``types and nomenclature,'' and 1.2.9, 
``rotodynamic pump icons,'' of the 2014 version of ANSI/HI 1.1-1.2-
2014, ``American National Standard for Rotodynamic Centrifugal Pumps 
for Nomenclature and Definitions;'' and
    (2) section 2.1, ``types and nomenclature,'' of the 2014 version of 
ANSI/HI 2.1-2.2, ``American National Standard for Rotodynamic Vertical 
Pumps of Radial, Mixed, and Axial Flow Types for Nomenclature and 
Definitions.''
    (3) FM Class Number 1319, ``Approval Standard for Centrifugal Fire 
Pumps (Horizontal, End Suction Type),'' approved January 2015.
    (4) NFPA 20-2016, ``Standard for the Installation of Stationary 
Pumps for Fire Protection,'' approved 2015.
    (5) ANSI/UL 448-2013, ``Standard for Safety Centrifugal Stationary 
Pumps for Fire-Protection Service,'' ANSI approved 2013.
    ANSI/HI 1.1-1.2-2014 and ANSI/HI 2.1-2.2-2014 describe and define 
specific pump characteristics relevant to the differentiation of pump 
categories and configurations when applying the DOE test procedure. The 
FM, NFPA, and ANSI/UL standards describe the relevant technical 
characteristics and testing requirements to certify certain pumps as 
fire pumps.
    Copies of all HI standards may be purchased from the Hydraulic 
Institute at 6 Campus Drive, First Floor North, Parsippany, NJ, 07054-
4406, or by going to www.pumps.org.
    Copies of FM Class Number 1319 can be obtained from: FM Global, 
1151 Boston-Providence Turnpike, P.O. Box 9102, Norwood, MA 02062, 
(781) 762-4300. www.fmglobal.com.
    Copies of NFPA 20-2016 can be obtained from: the National Fire 
Protection Association, 1 Batterymarch Park, Quincy, MA 02169, (617) 
770-3000. www.nfpa.org.
    Copies of ANSI/UL 448-2013 can be obtained from: UL, 333 Pfingsten 
Road, Northbrook, IL 60062, (847) 272-8800. http://ul.com.

V. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Imports, Intergovernmental relations, 
Small businesses.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Imports, Incorporation by reference, 
Intergovernmental relations, Small businesses.

    Issued in Washington, DC, on December 30, 2015.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.

    For the reasons stated in the preamble, DOE amends parts 429 and 
431 of Chapter II, subchapter D of Title 10, Code of Federal 
Regulations as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority: 42 U.S.C. 6291-6317.

0
2. In Sec.  429.2 revise paragraph (a) to read as follows:


Sec.  429.2  Definitions.

    (a) The definitions found in Sec. Sec.  430.2, 431.2, 431.62, 
431.72, 431.82, 431.92, 431.102, 431.132, 431.152, 431.172, 431.192, 
431.202, 431.222, 431.242, 431.262, 431.282, 431.292, 431.302, 431.322, 
431.442 and 431.462 of this chapter apply for purposes of this part.
* * * * *


Sec.  429.11  [Amended]

0
3. In paragraphs (a) and (b) remove ``429.54'' and add ``429.62'' in 
its place.
0
4. Add Sec.  429.59 to read as follows:

[[Page 4145]]

Sec.  429.59  Pumps.

    (a) Determination of represented value. Manufacturers must 
determine the represented value, which includes the certified rating, 
for each basic model by testing (which includes the calculation-based 
methods in the test procedure), in conjunction with the following 
sampling provisions. Manufacturers must update represented values to 
account for any change in the applicable motor standards in Sec.  
431.25 of this chapter and certify amended values as of the next annual 
certification.
    (1) Units to be tested. The requirements of Sec.  429.11 are 
applicable to pumps; and for each basic model, a sample of sufficient 
size shall be randomly selected and tested to ensure that--
    (i) Any value of the constant or variable load pump energy index or 
other measure of energy consumption must be greater than or equal to 
the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR25JA16.025
    
    and x is the sample mean; n is the number of samples; and 
xi is the maximum of the ith sample;
    Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR25JA16.026

    and x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 95 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A to subpart B of part 429);
    and
    (ii) Any measure of energy efficiency of a basic model must be less 
than or equal to the lower of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TR25JA16.027
    
    and x is the sample mean; n is the number of samples; and 
xi is the maximum of the ith sample;
    Or,
    (B) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TR25JA16.028

    and x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 95 
percent one-tailed confidence interval with n-1 degrees of freedom 
(from appendix A of subpart B).
    (b) [Reserved]


Sec.  429.70  [Amended]

0
5. Amend Sec.  429.70(a) by removing ``429.54'' and adding ``429.62'' 
in its place.
0
6. In Sec.  429.71, add paragraph (d) to read as follows:


Sec.  429.71  Maintenance of records.

* * * * *
    (d) When considering if a pump is subject to energy conservation 
standards under part 431 of this chapter, DOE may need to determine if 
a pump was designed and constructed to the requirements set forth in 
Military Specifications: MIL-P-17639F, MIL-P-17881D, MIL-P-17840C, MIL-
P-18682D, or MIL-P-18472G. In this case, a manufacturer must provide 
DOE with copies of the original design and test data that were 
submitted to appropriate design review agencies, as required by MIL-P-
17639F, MIL-P-17881D, MIL-P-17840C, MIL-P-18682D, or MIL-P-18472G. 
Military specifications and standards are available for review at 
http://everyspec.com/MIL-SPECS.


Sec.  429.72  [Amended]

0
7. Amend Sec.  429.72(a) by removing ``429.54'' and adding in its place 
``429.62''.


Sec.  429.102  [Amended]

0
8. Amend Sec.  429.102(a)(1) by removing ``429.54'' and adding in its 
place ``429.62''.
0
9. Section 429.110 is amended by:
0
a. Redesignating paragraphs (e)(1)(iv) through (vi) as (e)(1)(v) 
through (vii), respectively; and
0
b. Adding a new paragraph (e)(1)(iv).
    The addition reads as follows:


Sec.  429.110  Enforcement testing.

* * * * *
    (e) * * *
    (1) * * *
    (iv) For pumps, DOE will use an initial sample size of not more 
than four units and will determine compliance based on the arithmetic 
mean of the sample.
* * * * *
0
10. Section 429.134 is amended by adding paragraph (h) to read as 
follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (h) Pumps. (1) The volume rate of flow (flow rate) at BEP and 
nominal speed of rotation of each tested unit of the basic model will 
be measured pursuant to the test requirements of Sec.  431.464 of this 
chapter, where the value of volume rate of flow (flow rate) at BEP and 
nominal speed of rotation certified by the manufacturer will be treated 
as the expected BEP flow rate. The results of the measurement(s) will 
be compared to the value of volume rate of flow (flow rate) at BEP and 
nominal speed of rotation certified by the manufacturer. The certified 
volume rate of flow (flow rate) at BEP and nominal speed of rotation 
will be considered valid only if the measurement(s) (either the 
measured volume rate of flow (flow rate) at BEP and nominal speed of 
rotation for a single unit sample or the average of the measured flow 
rates for a multiple unit sample) is within five percent of the 
certified volume rate of flow (flow rate) at BEP and nominal speed of 
rotation.
    (i) If the representative value of volume rate of flow (flow rate) 
at BEP and nominal speed of rotation is found to be valid, the measured 
volume rate of flow (flow rate) at BEP and nominal speed of rotation 
will be used in subsequent calculations of constant load pump energy 
rating (PERCL) and constant load pump energy index 
(PEICL) or variable load pump energy rating 
(PERVL) and variable load pump energy index 
(PEIVL) for that basic model.
    (ii) If the representative value of volume rate of flow (flow rate) 
at BEP and nominal speed of rotation is found to be invalid, the mean 
of all the measured volume rate of flow (flow rate) at BEP and nominal 
speed of rotation values determined from the tested unit(s) will serve 
as the new expected BEP flow rate and the unit(s) will be retested 
until such time as the measured volume rate of flow (flow rate) at BEP 
and nominal speed of rotation is within 5 percent of the expected BEP 
flow rate.
    (2) DOE will test each pump unit according to the test method 
specified by the manufacturer in the certification report submitted 
pursuant to Sec.  429.59(b).

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

0
11. The authority citation for part 431 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317.

0
12. Add subpart Y to part 431 to read as follows:
Subpart Y--Pumps
Sec.

[[Page 4146]]

431.461 Purpose and scope.
431.462 Definitions.
431.463 Materials incorporated by reference.
431.464 Test procedure for measuring and determining energy 
consumption of pumps.
Appendix A to Subpart Y of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Pumps

Subpart Y--Pumps


Sec.  431.461  Purpose and scope.

    This subpart contains definitions, test procedures, and energy 
conservation requirements for pumps, pursuant to Part A-1 of Title III 
of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-
6317.


Sec.  431.462  Definitions.

    The following definitions are applicable to this subpart, including 
appendix A. In cases where there is a conflict, the language of the 
definitions adopted in this section takes precedence over any 
descriptions or definitions found in the 2014 version of ANSI/HI 1.1-
1.2, ``American National Standard for Rotodynamic Centrifugal Pumps for 
Nomenclature and Definitions'' (ANSI/HI 1.1-1.2-2014) (incorporated by 
reference, see Sec.  431.463), or the 2014 version of ANSI/HI 2.1-2.2, 
``American National Standard for Rotodynamic Vertical Pumps of Radial, 
Mixed, and Axial Flow Types for Nomenclature and Definitions'' (ANSI/HI 
2.1-2.2-2014) (incorporated by reference, see Sec.  431.463). In cases 
where definitions reference design intent, DOE will consider marketing 
materials, labels and certifications, and equipment design to determine 
design intent.
    Bare pump means a pump excluding mechanical equipment, driver, and 
controls.
    Basic model means all units of a given class of pump manufactured 
by one manufacturer, having the same primary energy source, and having 
essentially identical electrical, physical, and functional (or 
hydraulic) characteristics that affect energy consumption, energy 
efficiency, water consumption, or water efficiency; except that:
    (1) For RSV and ST pumps, all variations in numbers of stages of 
the bare pump must be considered a single basic model;
    (2) Pump models for which the bare pump differs in impeller 
diameter, or impeller trim, may be considered a single basic model; and
    (3) Pump models for which the bare pump differs in number of stages 
or impeller diameter and which are sold with motors (or motors and 
controls) of varying horsepower may only be considered a single basic 
model if:
    (i) for ESCC, ESFM, IL, and RSV pumps, each motor offered in the 
basic model has a nominal full load motor efficiency rated at the 
Federal minimum (see the current table for NEMA Design B motors at 10 
CFR 431.25) or the same number of bands above the Federal minimum for 
each respective motor horsepower (see Table 3 of Appendix A to Subpart 
Y of Part 431); or
    (ii) for ST pumps, each motor offered in the basic model has a full 
load motor efficiency at the default nominal full load submersible 
motor efficiency shown in Table 2 of appendix A to subpart Y of part 
431 or the same number of bands above the default nominal full load 
submersible motor efficiency for each respective motor horsepower (see 
Table 3 of Appendix A to Subpart Y of Part 431).
    Best efficiency point (BEP) means the pump hydraulic power 
operating point (consisting of both flow and head conditions) that 
results in the maximum efficiency.
    Bowl diameter means the maximum dimension of an imaginary straight 
line passing through and in the plane of the circular shape of the 
intermediate bowl of the bare pump that is perpendicular to the pump 
shaft and that intersects the outermost circular shape of the 
intermediate bowl of the bare pump at both of its ends, where the 
intermediate bowl is as defined in ANSI/HI 2.1-2.2-2014.
    Clean water pump means a pump that is designed for use in pumping 
water with a maximum non-absorbent free solid content of 0.016 pounds 
per cubic foot, and with a maximum dissolved solid content of 3.1 
pounds per cubic foot, provided that the total gas content of the water 
does not exceed the saturation volume, and disregarding any additives 
necessary to prevent the water from freezing at a minimum of 
14[emsp14][deg]F.
    Close-coupled pump means a pump in which the motor shaft also 
serves as the impeller shaft for the bare pump.
    Continuous control means a control that adjusts the speed of the 
pump driver continuously over the driver operating speed range in 
response to incremental changes in the required pump flow, head, or 
power output.
    Control means any device that can be used to operate the driver. 
Examples include, but are not limited to, continuous or non-continuous 
controls, schedule-based controls, on/off switches, and float switches.
    Driver means the machine providing mechanical input to drive a bare 
pump directly or through the use of mechanical equipment. Examples 
include, but are not limited to, an electric motor, internal combustion 
engine, or gas/steam turbine.
    Dry rotor pump means a pump in which the motor rotor is not 
immersed in the pumped fluid.
    End suction close-coupled (ESCC) pump means a close-coupled, dry 
rotor, end suction pump that has a shaft input power greater than or 
equal to 1 hp and less than or equal to 200 hp at BEP and full impeller 
diameter and that is not a dedicated-purpose pool pump. Examples 
include, but are not limited to, pumps within the specified horsepower 
range that comply with ANSI/HI nomenclature OH7, as described in ANSI/
HI 1.1-1.2-2014.
    End suction frame mounted/own bearings (ESFM) pump means a 
mechanically-coupled, dry rotor, end suction pump that has a shaft 
input power greater than or equal to 1 hp and less than or equal to 200 
hp at BEP and full impeller diameter and that is not a dedicated-
purpose pool pump. Examples include, but are not limited to, pumps 
within the specified horsepower range that comply with ANSI/HI 
nomenclature OH0 and OH1, as described in ANSI/HI 1.1-1.2-2014.
    End suction pump means a single-stage, rotodynamic pump in which 
the liquid enters the bare pump in a direction parallel to the impeller 
shaft and on the side opposite the bare pump's driver-end. The liquid 
is discharged through a volute in a plane perpendicular to the shaft.
    Fire pump means a pump that is compliant with NFPA 20-2016 
(incorporated by reference, see Sec.  431.463), ``Standard for the 
Installation of Stationary Pumps for Fire Protection,'' and is either:
    (1) UL listed under ANSI/UL 448-2013 (incorporated by reference, 
see Sec.  431.463), ``Standard for Safety Centrifugal Stationary Pumps 
for Fire-Protection Service,'' or
    (2) FM Global (FM) approved under the January 2015 edition of FM 
Class Number 1319, ``Approval Standard for Centrifugal Fire Pumps 
(Horizontal, End Suction Type),'' (incorporated by reference, see Sec.  
431.463).
    Full impeller diameter means the maximum diameter impeller with 
which a given pump basic model is distributed in commerce.
    Horizontal motor means a motor that requires the motor shaft to be 
in a horizontal position to function as designed, as specified in the 
manufacturer literature.
    In-line (IL) pump means a pump that is either a twin-head pump or a 
single-stage, single-axis flow, dry rotor, rotodynamic pump that has a 
shaft

[[Page 4147]]

input power greater than or equal to 1 hp and less than or equal to 200 
hp at BEP and full impeller diameter, in which liquid is discharged 
through a volute in a plane perpendicular to the shaft. Such pumps do 
not include pumps that are mechanically coupled or close-coupled, have 
a pump power output that is less than or equal to 5 hp at BEP at full 
impeller diameter, and are distributed in commerce with a horizontal 
motor. Examples of in-line pumps include, but are not limited to, pumps 
within the specified horsepower range that comply with ANSI/HI 
nomenclature OH3, OH4, or OH5, as described in ANSI/HI 1.1-1.2-2014.
    Magnet driven pump means a pump in which the bare pump is isolated 
from the motor via a containment shell and torque is transmitted from 
the motor to the bare pump via magnetic force. The motor shaft is not 
physically coupled to the impeller or impeller shaft.
    Mechanical equipment means any component of a pump that transfers 
energy from the driver to the bare pump.
    Mechanically-coupled pump means a pump in which the bare pump has 
its own impeller shaft and bearings and so does not rely on the motor 
shaft to serve as the impeller shaft.
    Non-continuous control means a control that adjusts the speed of a 
driver to one of a discrete number of non-continuous preset operating 
speeds, and does not respond to incremental reductions in the required 
pump flow, head, or power output.
    Prime-assist pump means a pump that:
    (1) Is designed to lift liquid that originates below the centerline 
of the pump inlet;
    (2) Requires no manual intervention to prime or re-prime from a 
dry-start condition; and
    (3) Includes a device, such as a vacuum pump or air compressor and 
venturi eductor, to remove air from the suction line in order to 
automatically perform the prime or re-prime function at any point 
during the pump's operating cycle.
    Pump means equipment designed to move liquids (which may include 
entrained gases, free solids, and totally dissolved solids) by physical 
or mechanical action and includes a bare pump and, if included by the 
manufacturer at the time of sale, mechanical equipment, driver, and 
controls.
    Radially split, multi-stage, vertical, in-line diffuser casing 
(RSV) pump means a vertically suspended, multi-stage, single axis flow, 
dry rotor, rotodynamic pump:
    (1) That has a shaft input power greater than or equal to 1 hp and 
less than or equal to 200 hp at BEP and full impeller diameter and at 
the number of stages required for testing and
    (2) In which liquid is discharged in a place perpendicular to the 
impeller shaft; and
    (3) For which each stage (or bowl) consists of an impeller and 
diffuser;
    (4) For which no external part of such a pump is designed to be 
submerged in the pumped liquid; and
    (5) Examples include, but are not limited to, pumps complying with 
ANSI/HI nomenclature VS8, as described in ANSI/HI 2.1-2.2-2014.
    Rotodynamic pump means a pump in which energy is continuously 
imparted to the pumped fluid by means of a rotating impeller, 
propeller, or rotor.
    Self-priming pump means a pump that:
    (1) Is designed to lift liquid that originates below the centerline 
of the pump inlet;
    (2) Contains at least one internal recirculation passage; and
    (3) Requires a manual filling of the pump casing prior to initial 
start-up, but is able to re-prime after the initial start-up without 
the use of external vacuum sources, manual filling, or a foot valve.
    Single axis flow pump means a pump in which the liquid inlet of the 
bare pump is on the same axis as the liquid discharge of the bare pump.
    Submersible turbine (ST) pump means a single-stage or multi-stage, 
dry rotor, rotodynamic pump that is designed to be operated with the 
motor and stage(s) fully submerged in the pumped liquid; that has a 
shaft input power greater than or equal to 1 hp and less than or equal 
to 200 hp at BEP and full impeller diameter and at the number of stages 
required for testing; and in which each stage of this pump consists of 
an impeller and diffuser, and liquid enters and exits each stage of the 
bare pump in a direction parallel to the impeller shaft. Examples 
include, but are not limited to, pumps within the specified horsepower 
range that comply with ANSI/HI nomenclature VS0, as described in ANSI/
HI 2.1-2.2-2014.
    Twin head pump means a dry rotor, single-axis flow, rotodynamic 
pump that contains two impeller assemblies, which both share a common 
casing, inlet, and discharge, and each of which
    (1) Contains an impeller, impeller shaft (or motor shaft in the 
case of close-coupled pumps), shaft seal or packing, driver (if 
present), and mechanical equipment (if present);
    (2) Has a shaft input power that is greater than or equal to 1 hp 
and less than or equal to 200 hp at best efficiency point (BEP) and 
full impeller diameter;
    (3) Has the same primary energy source (if sold with a driver) and 
the same electrical, physical, and functional characteristics that 
affect energy consumption or energy efficiency;
    (4) Is mounted in its own volute; and
    (5) Discharges liquid through its volute and the common discharge 
in a plane perpendicular to the impeller shaft.


Sec.  431.463  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the following standards 
into subpart Y of part 431. The material listed 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 part 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. All approved material is available for inspection at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is available for inspection at 
U.S. Department of Energy, Office of Energy Efficiency and Renewable 
Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza 
SW., Washington, DC 20024, (202) 586-2945, or go to: http://www1.eere.energy.gov/buildings/appliance_standards. These standards can 
be obtained from the sources below.
    (b) FM. FM Global, 1151 Boston-Providence Turnpike, P.O. Box 9102, 
Norwood, MA 02062, (781) 762-4300. www.fmglobal.com.
    (1) FM Class Number 1319, ``Approval Standard for Centrifugal Fire 
Pumps (Horizontal, End Suction Type),'' January 2015, IBR approved for 
Sec.  431.462.
    (2) [Reserved]
    (c) HI. Hydraulic Institute, 6 Campus Drive, First Floor North, 
Parsippany, NJ 07054-4406, 973-267-9700. www.Pumps.org.
    (1) ANSI/HI 1.1-1.2-2014, (``ANSI/HI 1.1-1.2-2014''), ``American 
National Standard for Rotodynamic Centrifugal Pumps for Nomenclature 
and Definitions,'' approved October 30, 2014, section 1.1, ``Types and

[[Page 4148]]

nomenclature,'' and section 1.2.9, ``Rotodynamic pump icons,'' IBR 
approved for Sec.  431.462.
    (2) ANSI/HI 2.1-2.2-2014, (``ANSI/HI 2.1-2.2-2014''), ``American 
National Standard for Rotodynamic Vertical Pumps of Radial, Mixed, and 
Axial Flow Types for Nomenclature and Definitions,'' approved April 8, 
2014, section 2.1, ``Types and nomenclature,'' IBR approved for Sec.  
431.462.
    (3) HI 40.6-2014, (``HI 40.6-2014''), ``Methods for Rotodynamic 
Pump Efficiency Testing,'' (except section 40.6.5.3, ``Test report;'' 
Appendix A, section A.7, ``Testing at temperatures exceeding 30 [deg]C 
(86[emsp14][deg]F);'' and Appendix B, ``Reporting of test results 
(normative);'') copyright 2014, IBR approved for appendix A to subpart 
Y of part 431.
    (d) NFPA. National Fire Protection Association, 1 Batterymarch 
Park, Quincy, MA 02169-7471, (617) 770-3000. www.nfpa.org.
    (1) NFPA 20, (``NFPA 20-2016''), ``Standard for the Installation of 
Stationary Pumps for Fire Protection,'' 2016 Edition, approved June 15, 
2015, IBR approved for Sec.  431.462.
    (2) [Reserved]
    (e) UL. UL, 333 Pfingsten Road, Northbrook, IL 60062, (847) 272-
8800. ul.com.
    (1) UL 448, (``ANSI/UL 448-2013''), ``Standard for Safety 
Centrifugal Stationary Pumps for Fire-Protection Service,'' 10th 
Edition, June 8, 2007, including revisions through July 12, 2013, IBR 
approved for Sec.  431.462.
    (2) [Reserved]


Sec.  431.464  Test procedure for measuring and determining energy 
consumption of pumps

    (a) Scope. This section provides the test procedures for 
determining the constant and variable load pump energy index for:
    (1) The following categories of clean water pumps:
    (i) End suction close-coupled (ESCC);
    (ii) End suction frame mounted/own bearings (ESFM);
    (iii) In-line (IL);
    (iv) Radially split, multi-stage, vertical, in-line casing diffuser 
(RSV); and
    (v) Submersible turbine (ST) pumps
    (2) With the following characteristics:
    (i) Flow rate of 25 gpm or greater at BEP and full impeller 
diameter;
    (ii) Maximum head of 459 feet at BEP and full impeller diameter and 
the number of stages required for testing (see section 1.2.2 of 
appendix A of this subpart);
    (iii) Design temperature range from 14 to 248[emsp14][deg]F;
    (iv) Designed to operate with either: (1) a 2- or 4-pole induction 
motor, or (2) a non-induction motor with a speed of rotation operating 
range that includes speeds of rotation between 2,880 and 4,320 
revolutions per minute and/or 1,440 and 2,160 revolutions per minute, 
and in either case, the driver and impeller must rotate at the same 
speed;
    (v) For ST pumps, a 6-inch or smaller bowl diameter; and
    (vi) For ESCC and ESFM pumps, a specific speed less than or equal 
to 5000 when calculated using U.S. customary units.
    (3) Except for the following pumps:
    (i) Fire pumps;
    (ii) Self-priming pumps;
    (iii) Prime-assist pumps;
    (iv) Magnet driven pumps;
    (v) Pumps designed to be used in a nuclear facility subject to 10 
CFR part 50, ``Domestic Licensing of Production and Utilization 
Facilities;'' and
    (vi) Pumps meeting the design and construction requirements set 
forth in Military Specifications: MIL-P-17639F, ``Pumps, Centrifugal, 
Miscellaneous Service, Naval Shipboard Use'' (as amended); MIL-P-
17881D, ``Pumps, Centrifugal, Boiler Feed, (Multi-Stage)'' (as 
amended); MIL-P-17840C, ``Pumps, Centrifugal, Close-Coupled, Navy 
Standard (For Surface Ship Application)'' (as amended); MIL-P-18682D, 
``Pump, Centrifugal, Main Condenser Circulating, Naval Shipboard'' (as 
amended); and MIL-P-18472G, ``Pumps, Centrifugal, Condensate, Feed 
Booster, Waste Heat Boiler, And Distilling Plant'' (as amended). 
Military specifications and standards are available for review at 
http://everyspec.com/MIL-SPECS.
    (b) Testing and calculations. Determine the applicable constant 
load pump energy index (PEICL) or variable load pump energy 
index (PEIVL) using the test procedure set forth in appendix 
A of this subpart Y.

Appendix A to Subpart Y of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of Pumps

    Note:  Starting on July 25, 2016, any representations made with 
respect to the energy use or efficiency of pumps subject to testing 
pursuant to 10 CFR 431.464 must be made in accordance with the 
results of testing pursuant to this appendix.

I. Test Procedure for Pumps

    A. General. To determine the constant load pump energy index 
(PEICL) for bare pumps and pumps sold with electric 
motors or the variable load pump energy index (PEIVL) for 
pumps sold with electric motors and continuous or non-continuous 
controls, perform testing in accordance with HI 40.6-2014, except 
section 40.6.5.3, ``Test report;'' section A.7, ``Testing at 
temperatures exceeding 30 [deg]C (86[emsp14][deg]F);'' and appendix 
B, ``Reporting of test results;'' (incorporated by reference, see 
Sec.  431.463) with the modifications and additions as noted 
throughout the provisions below. Where HI 40.6-2014 refers to 
``pump,'' the term refers to the ``bare pump,'' as defined in Sec.  
431.462. Also, for the purposes of applying this appendix, the term 
``volume per unit time,'' as defined in section 40.6.2, ``Terms and 
definitions,'' of HI 40.6-2014 shall be deemed to be synonymous with 
the term ``flow rate'' used throughout that standard and this 
appendix. In addition, the specifications of section 40.6.4.1 of HI 
40.6-2014 do not apply to ST pumps and the performance of ST bare 
pumps considers the bowl performance only.
    A.1 Scope. Section II of this appendix is applicable to all 
pumps and describes how to calculate the pump energy index (section 
II.A) based on the pump energy rating for the minimally compliant 
reference pump (PERSTD; section II.B) and the constant 
load pump energy rating (PERCL) or variable load pump 
energy rating (PERVL) determined in accordance with one 
of sections III through VII of this appendix, based on the 
configuration in which the pump is distributed in commerce and the 
applicable testing method specified in sections III through VII and 
as described in Table 1 of this appendix.

   Table 1--Applicability of Calculation-Based and Testing-Based Test
              Procedure Options Based on Pump Configuration
------------------------------------------------------------------------
                                    Pump sub-          Applicable test
     Pump  configuration          configuration            methods
------------------------------------------------------------------------
Bare Pump...................  Bare Pump...........  Section III: Test
                              OR..................   Procedure for Bare
                               Pump + Single-Phase   Pumps.
                               Induction Motor.
                              OR..................
                               Pump + Driver Other
                               Than Electric Motor.

[[Page 4149]]

 
Pump + Motor *..............  Pump + Polyphase      Section IV: Testing-
                               Motor Covered by      Based Approach for
                               DOE's Electric        Pumps Sold with
                               Motor Energy          Motors
                               Conservation         OR
                               Standards **.         Section V:
                              OR..................   Calculation-Based
                               Pump + Submersible    Approach for Pumps
                               Motor.                Sold with Motors.
                              Pump + Motor Not      Section IV: Testing-
                               Covered by DOE's      Based Approach for
                               Electric Motor        Pumps Sold with
                               Energy Conservation   Motors.
                               Standards (Except
                               Submersible Motors)
                               ** ***.
Pump + Motor + Continuous     Pump + Polyphase      Section VI: Testing-
 Controls.                     Motor Covered by      Based Approach for
OR..........................   DOE's Electric        Pumps Sold with
 Pump + Motor + Non-           Motor Energy          Motors and Controls
 Continuous Controls.          Conservation         OR
                               Standards** +        Section VII:
                               Continuous Control.   Calculation-Based
                              OR..................   Approach for Pumps
                               Pump + Submersible    Sold with Motors
                               Motor + Continuous    Controls.
                               Control.
                              Pump + Polyphase      Section VI: Testing-
                               Motor Covered by      Based Approach for
                               DOE's Electric        Pumps Sold with
                               Motor Energy          Motors and
                               Conservation          Controls.
                               Standards** + Non-
                               Continuous Control.
                              OR..................
                               Pump + Submersible
                               Motor + Non-
                               Continuous Control.
                              Pump + Motor Not      Section VI: Testing-
                               Covered by DOE's      Based Approach for
                               Electric Motor        Pumps Sold with
                               Energy Conservation   Motors and
                               Standards (Except     Controls.
                               Submersible Motors)
                               ** *** + Continuous
                               or Non-Continuous
                               Controls.
------------------------------------------------------------------------
* Also applies if unit is sold with controls other than continuous or
  non-continuous controls (e.g., ON/OFF switches).
** All references to ``Motors Covered by DOE's Electric Motor Energy
  Conservation Standards'' refer to those listed at Sec.   431.25(g) of
  this chapter.
*** Includes pumps sold with single-phase induction motors.

    A.2 Section III of this appendix addresses the test procedure 
applicable to bare pumps. This test procedure also applies to pumps 
sold with drivers other than motors and pumps sold with single-phase 
induction motors.
    A.3 Section IV of this appendix addresses the testing-based 
approach for pumps sold with motors, which is applicable to all 
pumps sold with electric motors, including single-phase induction 
motors. This test procedure also applies to pumps sold with controls 
other than continuous or non-continuous controls (e.g., on/off 
switches).
    A.4 Section V of this appendix addresses the calculation-based 
approach for pumps sold with motors, which applies to:
    (1) Pumps sold with polyphase electric motors regulated by DOE's 
energy conservation standards for electric motors at Sec.  
431.25(g), and
    (2) Pumps sold with submersible motors.
    A.5 Section VI of this appendix addresses the testing-based 
approach for pumps sold with motors and controls, which is 
applicable to all pumps sold with electric motors (including single-
phase induction motors) and continuous or non-continuous controls.
    A.6 Section VII of this appendix discusses the calculation-based 
approach for pumps sold with motors and controls, which applies to:
    (1) Pumps sold with polyphase electric motors regulated by DOE's 
energy conservation standards for electric motors at Sec.  431.25(g) 
and continuous controls and
    (2) Pumps sold with submersible motors and continuous controls.
    B. Measurement Equipment. For the purposes of measuring pump 
power input, driver power input to the motor or controls, and pump 
power output, the equipment specified in HI 40.6-2014 Appendix C 
(incorporated by reference, see Sec.  431.463) necessary to measure 
head, speed of rotation, flow rate, temperature, torque, and 
electrical power must be used and must comply with the stated 
accuracy requirements in HI 40.6-2014 Table 40.6.3.2.3 except as 
noted in sections III.B, IV.B, V.B, VI.B, and VII.B of this 
appendix. When more than one instrument is used to measure a given 
parameter, the combined accuracy, calculated as the root sum of 
squares of individual instrument accuracies, must meet the specified 
accuracy requirements.
    C. Test Conditions. Conduct testing at full impeller diameter in 
accordance with the test conditions, stabilization requirements, and 
specifications of HI 40.6-2014 (incorporated by reference, see Sec.  
431.463) section 40.6.3, ``Pump efficiency testing;'' section 
40.6.4, ``Considerations when determining the efficiency of a 
pump;'' section 40.6.5.4 (including appendix A), ``Test 
arrangements;'' and section 40.6.5.5, ``Test conditions.''. For ST 
pumps, head measurements must be based on the bowl assembly total 
head as described in section A.5 of 40.6-2014 and the pump power 
input or driver power input, as applicable, must be based on the 
measured input power to the driver or bare pump, respectively; 
section 40.6.4.1, ``vertically suspended pumps,'' does not apply to 
ST pumps.
    C.1 Nominal Speed of Rotation. Determine the nominal speed of 
rotation based on the range of speeds of rotation at which the pump 
is designed to operate, in accordance with sections I.C.1.1, 
I.C.1.2, I.C.1.3, I.C.1.4, or I.C.1.5 of this appendix, as 
applicable. When determining the range of speeds at which the pump 
is designed to operate, DOE will refer to published data, marketing 
literature, and other publically-available information about the 
pump model and motor, as applicable.
    C.1.1 For pumps sold without motors, select the nominal speed of 
rotation based on the speed for which the pump is designed. For bare 
pumps designed for speeds of rotation including 2,880 to 4,320 
revolutions per minute (rpm), the nominal speed of rotation shall be 
3,600 rpm. For bare pumps designed for speeds of rotation including 
1,440 to 2,160 rpm, the nominal speed of rotation shall be 1,800 
rpm.
    C.1.2 For pumps sold with 4-pole induction motors, the nominal 
speed of rotation shall be 1,800 rpm.
    C.1.3 For pumps sold with 2-pole induction motors, the nominal 
speed of rotation shall be 3,600 rpm.
    C.1.4 For pumps sold with non-induction motors where the 
operating range of the pump and motor includes speeds of rotation 
between 2,880 and 4,320 rpm, the nominal speed of rotation shall be 
3,600 rpm.
    C.1.5 For pumps sold with non-induction motors where the 
operating range of the pump and motor includes speeds of rotation 
between 1,440 and 2,160 rpm, the nominal speed of rotation shall be 
1,800 rpm.
    C.2 Multi-stage Pumps. For RSV and ST pumps, perform testing on 
the pump with three stages for RSV pumps and nine stages for ST 
pumps. If the basic model of pump being tested is only available 
with fewer than the required number of stages, test the pump with 
the maximum number of stages with which the basic model is 
distributed in commerce in the United States. If the basic model of 
pump being tested is only available with greater than the required 
number of stages, test the pump with the lowest number

[[Page 4150]]

of stages with which the basic model is distributed in commerce in 
the United States. If the basic model of pump being tested is 
available with both fewer and greater than the required number of 
stages, but not the required number of stages, test the pump with 
the number of stages closest to the required number of stages. If 
both the next lower and next higher number of stages are 
equivalently close to the required number of stages, test the pump 
with the next higher number of stages.
    C.3 Twin Head Pumps. For twin head pumps, perform testing on an 
equivalent single impeller IL pump, constructed by incorporating one 
of the driver and impeller assemblies of the twin head pump being 
rated into an adequate, IL style, single impeller volute and casing. 
An adequate, IL style, single impeller volute and casing means a 
volute and casing for which any physical and functional 
characteristics that affect energy consumption and energy efficiency 
are the same to their corresponding characteristics for a single 
impeller in the twin head pump volute and casing.

D. Data Collection and Analysis

    D.1 Damping Devices. Use of damping devices, as described in 
section 40.6.3.2.2 of HI 40.6-2014 (incorporated by reference, see 
Sec.  431.463), are only permitted to integrate up to the data 
collection interval used during testing.
    D.2 Stabilization. Record data at any tested load point only 
under stabilized conditions, as defined in HI 40.6-2014 section 
40.6.5.5.1 (incorporated by reference, see Sec.  431.463), where a 
minimum of two measurements are used to determine stabilization.
    D.3 Calculations and Rounding. Normalize all measured data to 
the nominal speed of rotation of 3,600 or 1,800 rpm based on the 
nominal speed of rotation selected for the pump in section I.C.1 of 
this appendix, in accordance with the procedures specified in 
section 40.6.6.1.1 of HI 40.6-2014 (incorporated by reference, see 
Sec.  431.463). Except for the ``expected BEP flow rate,'' all terms 
and quantities refer to values determined in accordance with the 
procedures set forth in this appendix for the rated pump. Perform 
all calculations using raw measured values without rounding. Round 
PERCL and PERVL to three significant digits, 
and round PEICL, and PEIVL values, as 
applicable, to the hundredths place (i.e., 0.01).
    D.4 Pumps with BEP at Run Out.
    Test pumps for which the expected BEP corresponds to a volume 
rate of flow that is within 20 percent of the expected maximum flow 
rate at which the pump is designed to operate continuously or safely 
(i.e., pumps with BEP at run-out) in accordance with the test 
procedure specified in this appendix, but with the following 
exceptions:
    (1) Use the following seven flow points for determination of BEP 
in sections III.D, IV.D, V.D, VI.D, and VII.D of this appendix 
instead of those specified in those sections: 40, 50, 60, 70, 80, 
90, and 100 percent of the expected.
    (2) Use flow points of 60, 70, 80, 90, and 100 percent of the 
expected maximum flow rate of the pump to determine pump power input 
or driver power input at the specified load points in section 
III.E.1.1, IV.E.1, V.E.1.1, VI.E.1, and VII.E.1.1 of this appendix 
instead of those specified in those sections.
    (3) To determine of PERCL and PERSTD, use 
load points of 65, 90, and 100 percent of the BEP flow rate 
determined with the modified flow points specified in this section 
I.D.4 of this appendix instead of 75, 100, and 110 percent of BEP 
flow.

II. Calculation of the Pump Energy Index

    A. Determine the PEI of each tested pump based on the 
configuration in which it is sold, as follows:
    A.1. For pumps rated as bare pumps or pumps sold with motors, 
determine the PEICL using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.029

Where:

PEICL = the pump energy index for a constant load (hp),
PERCL = the pump energy rating for a constant load (hp), 
determined in accordance with either section III (for bare pumps, 
pumps sold with single-phase induction motors, and pumps sold with 
drivers other than electric motors), section IV (for pumps sold with 
motors and rated using the testing-based approach), or section V 
(for pumps sold with motors and rated using the calculation-based 
approach) of this appendix, and
PERSTD = the PERCL for a pump that is 
minimally compliant with DOE's energy conservation standards with 
the same flow and specific speed characteristics as the tested pump 
(hp), as determined in accordance with section II.B of this 
appendix.

    A.2 For pumps rated as pumps sold with motors and continuous 
controls or non-continuous controls, determine the PEIVL 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.030

Where:

PEIVL = the pump energy index for a variable load,
PERVL = the pump energy rating for a variable load (hp) 
determined in accordance with section VI (for pumps sold with motors 
and continuous or non-continuous controls rated using the testing-
based approach) or section VII of this appendix (for pumps sold with 
motors and continuous controls rated using the calculation-based 
approach), and
PERSTD = the PERCL for a pump that is 
minimally compliant with DOE's energy conservation standards with 
the same flow and specific speed characteristics as the tested pump 
(hp), as determined in accordance with section II.B of this 
appendix.

    B. Determine the pump energy rating for the minimally compliant 
reference pump (PERSTD), according to the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.031

Where:

PERSTD = the PERCL for a pump that is 
minimally compliant with DOE's energy conservation standards with 
the same flow and specific speed characteristics as the tested pump 
(hp),
[omega]i = 0.3333,
Pi\in,m\ = calculated driver power input to the motor at 
load point i for the minimally compliant pump (hp), calculated in 
accordance with section II.B.1of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.

    B.1. Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.032

Where:

Pi\in,m\ = driver power input to the motor at load point 
i (hp),
Pi = pump power input to the bare pump at load point i 
(hp), calculated in accordance with section II.B.1.1 of this 
appendix,
Li = the part load motor losses at load point i (hp), 
calculated in accordance with section II.B.1.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.

    B.1.1. Determine the pump power input to the minimally compliant 
pump at each load point corresponding to 75, 100, or 110 percent of 
the BEP flow rate as follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.033

Where:

Pi = pump power input to the bare pump at load point i 
(hp),

[[Page 4151]]

[alpha]i = 0.947 for 75 percent of the BEP flow rate, 
1.000 for 100 percent of the BEP flow rate, and 0.985 for 110 
percent of the BEP flow rate;
Pu,i = the pump power output at load point i of the 
tested pump (hp), as determined in accordance with section 
II.B.1.1.2 of this appendix;
[eta]pump,STD = the minimally compliant pump efficiency 
(%), calculated in accordance with section II.B.1.1.1 of this 
appendix; and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.

    B.1.1.1 Calculate the minimally compliant pump efficiency based 
on the following equation:

[eta]pump,STD = -0.8500 x 
ln(Q100[percnt])\2\ -0.3800 x ln(Ns) x 
ln(Q100[percnt]) - 11.480 x ln(Ns)\2\ + 17.800 
x ln(Q100[percnt]) + 179.80 x ln(Ns) - (C + 
555.60

Where:

[eta]pump,STD = minimally compliant pump efficiency (%),
Q100[percnt] = the BEP flow rate of the tested 
pump at full impeller and nominal speed of rotation (gpm),
Ns = specific speed of the tested pump determined in accordance with 
section II.B.1.1.1.1 of this appendix, and
C = the appropriate C-value for the category and nominal speed of 
rotation of the tested pump, as listed at Sec.  431.466.

    B.1.1.1.1 Determine the specific speed of the rated pump using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.034

Where:

Ns = specific speed,
nsp = the nominal speed of rotation (rpm),
Q100[percnt] = the measured BEP flow rate of 
the tested pump at full impeller and nominal speed of rotation 
(gpm),
H100[percnt] = pump total head at 100 percent 
of the BEP flow rate of the tested pump at full impeller and nominal 
speed of rotation (ft), and
S = the number of stages with which the pump is being rated.

    B.1.1.2 Determine the pump power output at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.035

Where:

Pu,i = the measured pump power output at load point i of 
the tested pump (hp),
Qi = the measured flow rate at load point i of the tested 
pump (gpm),
Hi = pump total head at load point i of the tested pump 
(ft),
SG = the specific gravity of water at specified test conditions, 
which is equivalent to 1.00, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    B.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x yi

Where:

Li = part load motor losses at load point i (hp),
Lfull = motor losses at full load (hp), as determined in 
accordance with section II.B.1.2.1 of this appendix,
yi = part load loss factor at load point i determined in 
accordance with section II.B.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    B.1.2.1 Determine the full load motor losses using the 
appropriate motor efficiency value and horsepower as shown in the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.036

Where:

Lfull = motor losses at full load (hp),
MotorHP = the motor horsepower as determined in accordance with 
section II.B.1.2.1.1 of this appendix (hp), and
[eta]motor,full = the default nominal full load motor 
efficiency as determined in accordance with section II.B.1.2.1.2 of 
this appendix (%).

    B.1.2.1.1 Determine the motor horsepower as follows:
     For bare pumps other than ST pumps, the motor 
horsepower is determined as the horsepower rating listed in Table 2 
of this appendix that is either equivalent to, or the next highest 
horsepower greater than, the pump power input to the bare pump at 
120 percent of the BEP flow rate of the tested pump.
     For ST bare pumps, the motor horsepower is determined 
as the horsepower rating listed in Table 2 of this appendix that, is 
either equivalent to, or the next highest horsepower greater than, 
the pump power input to the bare pump at 120 percent of the BEP flow 
rate of the tested pump divided by a service factor of 1.15.
     For pumps sold with motors, pumps sold with motors and 
continuous controls, or pumps sold with motors and non-continuous 
controls, the motor horsepower is the rated horsepower of the motor 
with which the pump is being tested.
    B.1.2.1.2 Determine the default nominal full load motor 
efficiency as described in section II.B.1.2.1.2.1 of this appendix 
for pumps other than ST pumps or II.B.1.2.1.2.2 of this appendix for 
ST pumps.
    B.1.2.1.2.1. For pumps other than ST pumps, the default nominal 
full load motor efficiency is the minimum of the nominal full load 
motor efficiency standards (open or enclosed) from the table 
containing the current energy conservation standards for NEMA Design 
B motors at Sec.  431.25, with the number of poles relevant to the 
speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower determined in section 
II.B.1.2.1.1 of this appendix.
    B.1.2.1.2.2. For ST pumps, the default nominal full load motor 
efficiency is the default nominal full load submersible motor 
efficiency listed in Table 2 of this appendix, with the number of 
poles relevant to the speed at which the pump is being tested (see 
section I.C.1 of this appendix) and the motor horsepower determined 
in section II.B.1.2.1.1 of this appendix.
    B.1.2.2 Determine the part load loss factor at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.037

Where:

yi = the part load loss factor at load point i,
Pi = pump power input to the bare pump at load point i 
(hp),
MotorHP = the motor horsepower (hp), as determined in accordance 
with section II.B.1.2.1.1 of this appendix,

[[Page 4152]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.038

III. Test Procedure for Bare Pumps

    A. Scope. This section III applies only to:
    (1) Bare pumps,
    (2) Pumps sold with drivers other than electric motors, and
    (3) Pumps sold with single-phase induction motors.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section III, and in addition, when testing pumps using a calibrated 
motor:
    (1) Electrical measurement equipment must be capable of 
measuring true RMS current, true RMS voltage, and real power up to 
the 40th harmonic of fundamental supply source frequency, and
    (2) Any instruments used to measure a particular parameter 
specified in paragraph (1) must have a combined accuracy of 2.0 percent of the measured value at the fundamental supply 
source frequency, where combined accuracy is the root sum of squares 
of individual instrument accuracies.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section III. 
When testing pumps using a calibrated motor the following conditions 
also apply to the mains power supplied to the motor:
    (1) Maintain the voltage within 5 percent of the 
rated value of the motor,
    (2) Maintain the frequency within 1 percent of the 
rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 
3 percent of the rated values of the motor, and
    (2) Maintain total harmonic distortion below 12 percent 
throughout the test.
    D. Testing BEP for the Pump. Determine the best efficiency point 
(BEP) of the pump as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump and conduct the test at a minimum of 
the following seven flow points: 40, 60, 75, 90, 100, 110, and 120 
percent of the expected BEP flow rate of the pump at the nominal 
speed of rotation, as specified in HI 40.6-2014, except section 
40.6.5.3, section A.7, and appendix B (incorporated by reference, 
see Sec.  431.463).
    D.2. Determine the BEP flow rate as the flow rate at the 
operating point of maximum pump efficiency on the pump efficiency 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-
2014 (incorporated by reference, see Sec.  431.463), where the pump 
efficiency is the ratio of the pump power output divided by the pump 
power input, as specified in Table 40.6.2.1 of HI 40.6-2014, 
disregarding the calculations provided in section 40.6.6.2.
    E. Calculating the Constant Load Pump Energy Rating. Determine 
the PERCL of each tested pump using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.039

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin,m = calculated driver power input to the 
motor at load point i (hp), as determined in accordance with section 
III.E.1 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1 Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.040

Where:

Pi\in,m\ = driver power input to the motor at load point 
i (hp),
Pi = pump power input to the bare pump at load point i 
(hp), as determined in section III.E.1.1 of this appendix,
Li = the part load motor losses at load point i (hp), as 
determined in accordance with section III.E.1.2 of this appendix, 
and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1.1 Determine the pump power input at 75, 100, 110, and 120 
percent of the BEP flow rate by employing a least squares regression 
to determine a linear relationship between the pump power input at 
the nominal speed of rotation of the pump and the measured flow rate 
at the following load points: 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate. Use the linear relationship to 
determine the pump power input at the nominal speed of rotation for 
the load points of 75, 100, 110, and 120 percent of the BEP flow 
rate.
    E.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x yi

Where:

Li = motor losses at load point i (hp),
Lfull = motor losses at full load (hp), as determined in 
accordance with section III.E.1.2.1 of this appendix,
yi = loss factor at load point i as determined in 
accordance with section III.E.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1.2.1 Determine the full load motor losses using the 
appropriate motor efficiency value and horsepower as shown in the 
following equation:

    [GRAPHIC] [TIFF OMITTED] TR25JA16.041
    
Where:

Lfull = motor losses at full load (hp);
MotorHP = the motor horsepower (hp), as determined in accordance 
with section II.E.1.2.1.1 of this appendix, and
[eta]motor,full = the default nominal full load motor 
efficiency (%), as determined in accordance with section 
III.E.1.2.1.2 of this appendix.
    E.1.2.1.1 Determine the motor horsepower as follows:
     For bare pumps other than ST pumps, determine the motor 
horsepower by selecting the horsepower rating listed in Table 2 of 
this appendix that is either equivalent to, or the next highest 
horsepower greater than, the pump power input to the bare pump at 
120 percent of the BEP flow rate of the tested pump.
     For ST bare pumps, determine the motor horsepower by 
selecting the horsepower rating listed in Table 2 of this appendix 
that, is either equivalent to, or the next highest horsepower 
greater than, the pump power input to the bare pump at 120 percent 
of the BEP flow rate of the tested pump divided by a service factor 
of 1.15.
     For pumps sold with motors, pumps sold with motors and 
continuous controls, or

[[Page 4153]]

pumps sold with motors and non-continuous controls, the motor 
horsepower is the rated horsepower of the motor with which the pump 
is being tested.
    E.1.2.1.2 Determine the default nominal full load motor 
efficiency as described in section III.E.1.2.1.2.1 of this appendix 
for pumps other than ST pumps or III.E.1.2.1.2.2. of this appendix 
for ST pumps.
    E.1.2.1.2.1. For pumps other than ST pumps, the default nominal 
full load motor efficiency is the minimum of the nominal full load 
motor efficiency standards (open or enclosed) from the table 
containing the current energy conservation standards for NEMA Design 
B motors at Sec.  431.25, with the number of poles relevant to the 
speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower determined in section 
III.E.1.2.1.1 of this appendix.
    E.1.2.1.2.2. For ST pumps, the default nominal full load motor 
efficiency is the default nominal full load submersible motor 
efficiency listed in Table 2 of this appendix, with the number of 
poles relevant to the speed at which the pump is being tested (see 
section I.C.1 of this appendix) and the motor horsepower determined 
in section III.E.1.2.1.1 of this appendix;
    E.1.2.2 Determine the loss factor at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.042

Where:

yi = the part load loss factor at load point i,
Pi = pump power input to the bare pump at load point i 
(hp), as determined in accordance with section III.E.1.1 of this 
appendix,
MotorHP = as determined in accordance with section III.E.1.2.1 of 
this appendix (hp),
[GRAPHIC] [TIFF OMITTED] TR25JA16.043

IV. Testing-Based Approach for Pumps Sold With Motors

    A. Scope. This section IV applies only to pumps sold with 
electric motors, including single-phase induction motors.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section IV, and in addition, the electrical measurement equipment 
must:
    (1) Be capable of measuring true RMS current, true RMS voltage, 
and real power up to the 40th harmonic of fundamental supply source 
frequency, and
    (2) For all instruments used to measure a given parameter, have 
a combined accuracy of 2.0 percent of the measured value 
at the fundamental supply source frequency, where combined accuracy 
is the root sum of squares of individual instrument accuracies.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section IV. 
The following conditions also apply to the mains power supplied to 
the motor:
    (1) Maintain the voltage within 5 percent of the 
rated value of the motor,
    (2) Maintain the frequency within 1 percent of the 
rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 
3 percent of the rated values of the motor, and
    (4) Maintain total harmonic distortion below 12 percent 
throughout the test.
    D. Testing BEP for the Pump. Determine the BEP of the pump as 
follows:
    D.1 Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump to a minimum of seven flow points: 40, 
60, 75, 90, 100, 110, and 120 percent of the expected BEP flow rate 
of the pump at the nominal speed of rotation, as specified in HI 
40.6-2014, except section 40.6.5.3, section A.7, and appendix B 
(incorporated by reference, see Sec.  431.463).
    D.2. Determine the BEP flow rate as the flow rate at the 
operating point of maximum overall efficiency on the pump efficiency 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-
2014 (incorporated by reference, see Sec.  431.463), where the 
overall efficiency is the ratio of the pump power output divided by 
the driver power input, as specified in Table 40.6.2.1 of HI 40.6-
2014, disregarding the calculations provided in section 40.6.6.2.
    E. Calculating the Constant Load Pump Energy Rating. Determine 
the PERCL of each tested pump using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.044

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin = measured driver power input to the 
motor at load point i (hp) for the tested pump as determined in 
accordance with section IV.E.1 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.

    E.1 Determine the driver power input at 75, 100, and 110 percent 
of the BEP flow rate by employing a least squares regression to 
determine a linear relationship between the driver power input at 
the nominal speed of rotation of the pump and the measured flow rate 
at the following load points: 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate. Use the linear relationship to 
determine the driver power input at the nominal speed of rotation 
for the load points of 75, 100, and 110 percent of the BEP flow 
rate.

V. Calculation-Based Approach for Pumps Sold With Motors

    A. Scope. This section V can only be used in lieu of the test 
method in section IV of this appendix to calculate the index for 
pumps sold with motors listed in section V.A.1 or V.A.2 of this 
appendix.
    A.1 Pumps sold with motors subject to DOE's energy conservation 
standards for polyphase electric motors at Sec.  431.25(g), and
    A.2. Pumps sold with submersible motors.
    A.3. Pumps sold with motors not listed in sections V.A.1 or 
V.A.2 of this appendix cannot use this section V and must apply the 
test method in section IV of this appendix.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section V, and in addition, when testing pumps using a calibrated 
motor electrical measurement equipment must:
    (1) Be capable of measuring true RMS current, true RMS voltage, 
and real power up

[[Page 4154]]

to the 40th harmonic of fundamental supply source frequency, and
    (2) For all instruments used to measure a given parameter, have 
a combined accuracy of 2.0 percent of the measured value 
at the fundamental supply source frequency, where combined accuracy 
is the root sum of squares of individual instrument accuracies.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section V. 
When testing pumps using a calibrated motor the following conditions 
also apply to the mains power supplied to the motor:
    (1) Maintain the voltage within 5 percent of the 
rated value of the motor,
    (2) Maintain the frequency within 1 percent of the 
rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 
3 percent of the rated values of the motor, and
    (4) Maintain total harmonic distortion below 12 percent 
throughout the test.
    D. Testing BEP for the Bare Pump. Determine the best efficiency 
point (BEP) of the pump as follows:
    D.1 Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump to a minimum of seven flow points: 40, 
60, 75, 90, 100, 110, and 120 percent of the expected BEP flow rate 
of the pump at the nominal speed of rotation, as specified in HI 
40.6-2014, except section 40.6.5.3, section A.7, and appendix B 
(incorporated by reference, see Sec.  431.463).
    D.2. Determine the BEP flow rate as the flow rate at the 
operating point of maximum pump efficiency on the pump efficiency 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-
2014 (incorporated by reference, see Sec.  431.463), where pump 
efficiency is the ratio of the pump power output divided by the pump 
power input, as specified in Table 40.6.2.1 of HI 40.6-2014 and the 
calculations provided in section 40.6.6.2 are to be disregarded.
    E. Calculating the Constant Load Pump Energy Rating. Determine 
the PERCL of each tested pump using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.045

Where:

PERCL = the pump energy rating for a constant load (hp),
[omega]i = 0.3333,
Piin,m = calculated driver power input to the 
motor at load point i for the tested pump as determined in 
accordance with section V.E.1 of this appendix (hp), and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1 Determine the driver power input at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.046

Where:

Pi\in,m\ = driver power input to the motor at load point 
i (hp),
Pi = pump power input to the bare pump at load point i, 
as determined in section V.E.1.1 of this appendix (hp),
Li = the part load motor losses at load point i as 
determined in accordance with section V.E.1.2 of this appendix (hp), 
and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1.1 Determine the pump power input at 75, 100, 110, and 120 
percent of the BEP flow rate by employing a least squares regression 
to determine a linear relationship between the pump power input at 
the nominal speed of rotation of the pump and the measured flow rate 
at the following load points: 60, 75, 90, 100, 110, and 120 percent 
of the expected BEP flow rate. Use the linear relationship to 
determine the pump power input at the nominal speed of rotation for 
the load points of 75, 100, 110, and 120 percent of the BEP flow 
rate.
    E.1.2 Determine the motor part load losses at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:

Li = Lfull x Yi

Where:
Li = motor losses at load point i (hp),
Lfull = motor losses at full load as determined in 
accordance with section V.E.1.2.1 of this appendix (hp),
yi = part load loss factor at load point i as determined 
in accordance with section V.E.1.2.2 of this appendix, and
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate.
    E.1.2.1 Determine the full load motor losses using the 
appropriate motor efficiency value and horsepower as shown in the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.047

Where:

Lfull = motor losses at full load (hp),
MotorHP = the horsepower of the motor with which the pump model is 
being tested (hp), and
[eta]motor,full = the represented nominal full load motor 
efficiency (i.e., nameplate/DOE-certified value) or default nominal 
full load submersible motor efficiency as determined in accordance 
with section V.E.1.2.1.1 of this appendix (%).
    E.1.2.1.1 For pumps sold with motors other than submersible 
motors, determine the represented nominal full load motor efficiency 
as described in section V.E.1.2.1.1.1 of this appendix. For pumps 
sold with submersible motors determine the default nominal full load 
submersible motor efficiency as described in section V.E.1.2.1.1.2 
of this appendix.
    E.1.2.1.1.1. For pumps sold with motors other than submersible 
motors, the represented nominal full load motor efficiency is that 
of the motor with which the given pump model is being tested, as 
determined in accordance with the DOE test procedure for electric 
motors at Sec.  431.16 and applicable representation procedures in 
parts 429 and 430.
    E.1.2.1.1.2. For pumps sold with submersible motors, the default 
nominal full load submersible motor efficiency is that listed in 
Table 2 of this appendix, with the number of poles relevant to the 
speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower of the pump being tested.
    E.1.2.2 Determine the loss factor at each load point 
corresponding to 75, 100, or 110 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.048

Where:

yi = the part load loss factor at load point i,
Pi = the pump power input to the bare pump at load point 
i as determined in accordance with section V.E.1.1 of this appendix 
(hp),
MotorHP = the horsepower of the motor with which the pump model is 
being tested (hp),
i = load point corresponding to 75, 100, or 110 percent of the BEP 
flow rate, and

[[Page 4155]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.049

in the equation in this section V.E.1.2.2. of this appendix to 
calculate the part load loss factor at each load point

VI. Testing-Based Approach for Pumps Sold with Motors and Controls

    A. Scope. This section VI applies only to pumps sold with 
electric motors, including single-phase induction motors, and 
continuous or non-continuous controls. For the purposes of this 
section VI, all references to ``driver input power'' in this section 
VI or HI 40.6-2014 (incorporated by reference, see Sec.  431.463) 
refer to the input power to the continuous or non-continuous 
controls.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section VI, and in addition electrical measurement equipment must:
    (1) Be capable of measuring true RMS current, true RMS voltage, 
and real power up to the 40th harmonic of fundamental supply source 
frequency, and
    (2) For all instruments used to measure a given parameter, have 
a combined accuracy of 2.0 percent of the measured value 
at the fundamental supply source frequency, where combined accuracy 
is the root sum of squares of individual instrument accuracies.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section VI. 
The following conditions also apply to the mains power supplied to 
the continuous or non-continuous control:
    (1) Maintain the voltage within 5 percent of the 
rated value of the motor,
    (2) Maintain the frequency within 1 percent of the 
rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 
3 percent of the rated values of the motor, and
    (4) Maintain total harmonic distortion below 12 percent 
throughout the test.
    D. Testing BEP for the Pump. Determine the BEP of the pump as 
follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump to a minimum of seven flow points: 40, 
60, 75, 90, 100, 110, and 120 percent of the expected BEP flow rate 
of the pump at the nominal speed of rotation, as specified in HI 
40.6-2014, except section 40.6.5.3, section A.7, and appendix B 
(incorporated by reference, see Sec.  431.463).
    D.2. Determine the BEP flow rate as the flow rate at the 
operating point of maximum overall efficiency on the pump efficiency 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-
2014 (incorporated by reference, see Sec.  431.463), where overall 
efficiency is the ratio of the pump power output divided by the 
driver power input, as specified in Table 40.6.2.1 of HI 40.6-2014 
and the calculations provided in section 40.6.6.2 are to be 
disregarded.
    E. Calculating the Variable Load Pump Energy Rating. Determine 
the PERVL of each tested pump using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.050

Where:

PERVL = the pump energy rating for a variable load (hp);
[omega]i = 0.25;
Piin,c = the normalized driver power input to 
continuous or non-continuous controls at load point i for the tested 
pump as determined in accordance with section VI.E.1 of this 
appendix; and
i = load point corresponding 25, 50, 75, or 100 percent of the BEP 
flow rate.
    E.1. Determine the driver power input at 100 percent of the 
measured BEP flow rate of the tested pump by employing a least 
squares regression to determine a linear relationship between the 
measured driver power input at the nominal speed of rotation of the 
pump and the measured flow rate, using the following load points: 
60, 75, 90, 100, 110, and 120 percent of the expected BEP flow rate. 
Use the linear relationship to determine the driver power input at 
the nominal speed of rotation for the load point of 100 percent of 
the measured BEP flow rate of the tested pump.
    E.2 Determine the driver power input at 25, 50, and 75 percent 
of the BEP flow rate by measuring the driver power input at the load 
points defined by:
    (1) Those flow rates, and
    (2) The associated head points calculated according to the 
following reference system curve equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.051

Where:

Hi = pump total head at load point i (ft),
H100[percnt] = pump total head at 100 percent 
of the BEP flow rate and nominal speed of rotation (ft),
Qi = flow rate at load point i (gpm),
Q100[percnt] = flow rate at 100 percent of the 
BEP flow rate and nominal speed of rotation (gpm), and
i = load point corresponding to 25, 50, or 75 percent of the 
measured BEP flow rate of the tested pump.
    E.2.1. For pumps sold with motors and continuous controls, the 
specific head and flow points must be achieved within 10 percent of 
the calculated values and the measured driver power input must be 
corrected to the exact intended head and flow conditions using the 
following equation:

[[Page 4156]]

[GRAPHIC] [TIFF OMITTED] TR25JA16.052

Where:

Pi\in,c\ = the corrected driver power input to the 
continuous or non-continuous controls at load point i (hp),
Hsp,i = the specified total system head at load point i 
based on the reference system curve (ft),
HM,j = the measured total system head at load point j 
(ft),
Qsp,i = the specified total system flow rate at load 
point i based on the reference system curve (gpm),
QM,j = the measured total system flow rate at load point 
j (gpm),
PM,j\in,c\ = the measured normalized driver power input 
to the continuous or non-continuous controls at load point j (hp),
i = specified load point at 25, 50, 75, or 100 percent of BEP flow, 
and
j = measured load point corresponding to specified load point i.

    E.2.2. For pumps sold with motors and non-continuous controls, 
the head associated with each of the specified flow points shall be 
no lower than 10 percent below that defined by the reference system 
curve equation in section VI.E.2 of this appendix. Only the measured 
flow points must be achieved within 10 percent of the calculated 
values. Correct for flow and head as described in section VI.E.2.1, 
except do not correct measured head values that are higher than the 
reference system curve at the same flow rate; only correct flow rate 
and head values lower than the reference system curve at the same 
flow rate. For head values higher than the system curve, use the 
measured head points directly to calculate PEIVL.

VII. Calculation-Based Approach for Pumps Sold With Motors and Controls

    A. Scope. This section VII can only be used in lieu of the test 
method in section VI of this appendix to calculate the index for 
pumps listed in section VII.A.1 or VII.A.2 of this appendix.
    A.1. Pumps sold with motors regulated by DOE's energy 
conservation standards for polyphase NEMA Design B electric motors 
at Sec.  431.25(g) and continuous controls, and
    A.2. Pumps sold with submersible motors and continuous controls.
    A.3. Pumps sold with motors not listed in VII.A.1 or VII.A.2 of 
this appendix and pumps sold without continuous controls, including 
pumps sold with non-continuous controls, cannot use this section and 
must apply the test method in section VI of this appendix.
    B. Measurement Equipment. The requirements regarding measurement 
equipment presented in section I.B of this appendix apply to this 
section VII, and in addition, when testing pumps using a calibrated 
motor electrical measurement equipment must:
    (1) Be capable of measuring true RMS current, true RMS voltage, 
and real power up to the 40th harmonic of fundamental supply source 
frequency, and
    (2) For all instruments used to measure a given parameter, have 
a combined accuracy of 2.0 percent of the measured value 
at the fundamental supply source frequency, where combined accuracy 
is the root sum of squares of individual instrument accuracies.
    C. Test Conditions. The requirements regarding test conditions 
presented in section I.C of this appendix apply to this section VII. 
When testing pumps using a calibrated motor the following conditions 
also apply to the mains power supplied to the motor:
    (1) Maintain the voltage within 5 percent of the 
rated value of the motor,
    (2) Maintain the frequency within 1 percent of the 
rated value of the motor,
    (3) Maintain the voltage unbalance of the power supply within 
3 percent of the rated values of the motor, and
    (4) Maintain total harmonic distortion below 12 percent 
throughout the test.
    D. Testing BEP for the Bare Pump. Determine the BEP of the pump 
as follows:
    D.1. Adjust the flow by throttling the pump without changing the 
speed of rotation of the pump to a minimum of seven flow points: 40, 
60, 75, 90, 100, 110, and 120 percent of the expected BEP flow rate 
of the pump at the nominal speed of rotation, as specified in HI 
40.6-2014, except section 40.6.5.3, section A.7, and appendix B 
(incorporated by reference, see Sec.  431.463).
    D.2. Determine the BEP flow rate as the flow rate at the 
operating point of maximum pump efficiency on the pump efficiency 
curve, as determined in accordance with section 40.6.6.3 of HI 40.6-
2014 (incorporated by reference, see Sec.  431.463), where pump 
efficiency is the ratio of the pump power output divided by the pump 
power input, as specified in Table 40.6.2.1 of HI 40.6-2014 and the 
calculations provided in section 40.6.6.2 are to be disregarded.
    E. Calculating the Variable Load Pump Energy Rating. Determine 
the PERVL of each tested pump using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.053

Where:

PERVL = the pump energy rating for a variable load (hp);
[omega]i = 0.25;
Piin,c = the calculated driver power input to 
the continuous or non-continuous controls at load point i for the 
tested pump as determined in accordance with section VII.E.1 of this 
appendix; and
i = load point corresponding to 25, 50, 75, or 100 percent of the 
BEP flow rate.

    E.1 Determine the driver power input at each load point 
corresponding to 25, 50, 75, or 100 percent of the BEP flow rate as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.054

Where:

Pi\in,c\ = driver power input at to the continuous or 
non-continuous controls at load point i (hp),
Pi = pump power input to the bare pump at load point i as 
determined in accordance with section VII.E.1.1 of this appendix 
(hp),
Li = the part load motor and control losses at load point 
i as determined in accordance with section VII.E.1.2 of this 
appendix (hp), and
i = load point corresponding to 25, 50, 75, or 100 percent of the 
BEP flow rate.

    E.1.1 Determine the pump power input at 100 percent of the 
measured BEP flow rate of the tested pump by employing a least 
squares regression to determine a linear relationship between the 
measured pump power input at the nominal speed of rotation and the 
measured flow rate at the following load points: 60, 75, 90, 100, 
110, and 120 percent of the expected BEP flow rate. Use the linear 
relationship to determine the pump power input at the nominal speed 
of rotation for the load point of 100 percent of the BEP flow rate.
    E.1.1.1 Determine the pump power input at 25, 50, and 75 percent 
of the BEP flow rate based on the measured pump power input at 100 
percent of the BEP flow rate and using with the following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.055

Where:

Pi = pump power input at load point i (hp);
P100% = pump power input at 100 percent of the BEP flow 
rate and nominal speed of rotation (hp);
Qi = flow rate at load point i (gpm);
Q100% = flow rate at 100 percent of the BEP flow rate and 
nominal speed of rotation (gpm); and
i = load point corresponding to 25, 50, or 75 percent of the 
measured BEP flow rate of the tested pump.

    E.1.2 Calculate the motor and control part load losses at each 
load point corresponding

[[Page 4157]]

to 25, 50, 75, and 100 percent of the BEP flow rate as follows:

Li = Lfull x zi

Where:

Li = motor and control losses at load point i (hp),
Lfull = motor losses at full load as determined in 
accordance with section VII.E.1.2.1 of this appendix (hp),
zi = part load loss factor at load point i as determined 
in accordance with section VII.E.1.2.2 of this appendix, and
i = load point corresponding to 25, 50, 75, or 100 percent of the 
BEP flow rate.

    E.1.2.1 Determine the full load motor losses using the 
appropriate motor efficiency value and horsepower as shown in the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25JA16.056

Where:

Lfull = motor losses at full load (hp),
MotorHP = the horsepower of the motor with which the pump model is 
being tested (hp), and
[eta]motor,full = the represented nominal full load motor 
efficiency (i.e., nameplate/DOE-certified value) or default nominal 
full load submersible motor efficiency as determined in accordance 
with section VII.E.1.2.1.1 of this appendix (%).

    E.1.2.1.1 For pumps sold with motors other than submersible 
motors, determine the represented nominal full load motor efficiency 
as described in section VII.E.1.2.1.1.1 of this appendix. For pumps 
sold with submersible motors, determine the default nominal full 
load submersible motor efficiency as described in section 
VII.E.1.2.1.1.2 of this appendix.
    E.1.2.1.1.1 For pumps sold with motors other than submersible 
motors, the represented nominal full load motor efficiency is that 
of the motor with which the given pump model is being tested, as 
determined in accordance with the DOE test procedure for electric 
motors at Sec.  431.16 and applicable representation procedures in 
parts 429 and 430.
    E.1.2.1.1.2 For pumps sold with submersible motors, the default 
nominal full load submersible motor efficiency is that listed in 
Table 2 of this appendix, with the number of poles relevant to the 
speed at which the pump is being tested (see section I.C.1 of this 
appendix) and the motor horsepower of the pump being tested.
    E.1.2.2 For load points corresponding to 25, 50, 75, and 100 
percent of the BEP flow rate, determine the part load loss factor at 
each load point as follows:
[GRAPHIC] [TIFF OMITTED] TR25JA16.057

Where:

zi = the motor and control part load loss factor at load 
point i,
a,b,c = coefficients listed in Table 4 of this appendix based on the 
horsepower of the motor with which the pump is being tested,
Pi = the pump power input to the bare pump at load point 
i, as determined in accordance with section VII.E.1.1 of this 
appendix (hp),
MotorHP = the horsepower of the motor with which the pump is being 
tested (hp),
[GRAPHIC] [TIFF OMITTED] TR25JA16.058


Table 2--Default Nominal Full Load Submersible Motor Efficiency by Motor
                           Horsepower and Pole
------------------------------------------------------------------------
                                             Default nominal full load
                                           submersible motor efficiency
          Motor horsepower (hp)          -------------------------------
                                              2 poles         4 poles
------------------------------------------------------------------------
1.......................................              55              68
1.5.....................................              66              70
2.......................................              68              70
3.......................................              70            75.5
5.......................................              74            75.5
7.5.....................................              68              74
10......................................              70              74
15......................................              72            75.5
20......................................              72              77
25......................................              74            78.5
30......................................              77              80
40......................................            78.5            81.5
50......................................              80            82.5

[[Page 4158]]

 
60......................................            81.5              84
75......................................            81.5            85.5
100.....................................            81.5              84
125.....................................              84              84
150.....................................              84            85.5
200.....................................            85.5            86.5
250.....................................            86.5            86.5
------------------------------------------------------------------------


           Table 3--Nominal Full Load Motor Efficiency Values
------------------------------------------------------------------------
                   Nominal full load motor efficiency*
-------------------------------------------------------------------------
                                           50.5
                                           52.5
                                           55.0
                                           57.5
                                           59.5
                                           62.0
                                           64.0
                                           66.0
                                           68.0
                                           70.0
                                           72.0
                                           74.0
                                           75.5
                                           77.0
                                           78.5
                                           80.0
                                           81.5
                                           82.5
                                           84.0
                                           85.5
                                           86.5
                                           87.5
                                           88.5
                                           89.5
                                           90.2
                                           91.0
                                           91.7
                                           92.4
                                           93.0
                                           93.6
                                           94.1
                                           94.5
                                           95.0
                                           95.4
                                           95.8
                                           96.2
                                           96.5
                                           96.8
                                           97.1
                                           97.4
                                           97.6
                                           97.8
                                           98.0
                                           98.2
                                           98.4
                                           98.5
                                           98.6
                                           98.7
                                           98.8
                                           98.9
                                           99.0
------------------------------------------------------------------------
* Note: Each consecutive incremental value of nominal efficiency
  represents one band.


 Table 4--Motor and Control Part Load Loss Factor Equation Coefficients for Section VII.E.1.2.2 of This Appendix
                                                        A
----------------------------------------------------------------------------------------------------------------
                                                              Coefficients for Motor and Control Part Load Loss
                                                                                 Factor (zi)
                   Motor horsepower (hp)                   -----------------------------------------------------
                                                                    a                 b                 c
----------------------------------------------------------------------------------------------------------------
<=5.......................................................          - 0.4658            1.4965            0.5303
>5 and <=20...............................................          - 1.3198            2.9551            0.1052
>20 and <=50..............................................          - 1.5122            3.0777            0.1847
>50.......................................................          - 0.8914            2.8846            0.2625
----------------------------------------------------------------------------------------------------------------

[FR Doc. 2016-00039 Filed 1-22-16; 8:45 am]
 BILLING CODE 6450-01-P