[Federal Register Volume 86, Number 241 (Monday, December 20, 2021)]
[Proposed Rules]
[Pages 72096-72144]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-25414]



[[Page 72095]]

Vol. 86

Monday,

No. 241

December 20, 2021

Part IV





Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Circulator Pumps; 
Proposed Rule

  Federal Register / Vol. 86 , No. 241 / Monday, December 20, 2021 / 
Proposed Rules  

[[Page 72096]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2016-BT-TP-0033]
RIN 1904-AD77


Energy Conservation Program: Test Procedure for Circulator Pumps

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

ACTION:  Notice of proposed rulemaking and request for comment.

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SUMMARY:  The U.S. Department of Energy (``DOE'') proposes to establish 
definitions, a test procedure, sampling and rating requirements, and 
enforcement provisions for circulator pumps. Currently, circulator 
pumps are not subject to DOE test procedures or energy conservation 
standards. DOE proposes a test procedure for measuring the circulator 
energy index for circulator pumps. The proposed test method references 
the relevant industry test standard. The proposed definitions and test 
procedures are based on the recommendations of the Circulator Pump 
Working Group, which was established under the Appliance Standards 
Rulemaking Federal Advisory Committee. DOE is seeking comment from 
interested parties on the proposal.

DATES:  DOE will accept comments, data, and information regarding this 
proposal no later than February 18, 2022. See section V ``Public 
Participation,'' for details. DOE will hold a webinar on Wednesday, 
February 2, 2022, from 12:30 p.m. to 3:30 p.m. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants. If no participants register for the webinar, it 
will be cancelled.

ADDRESSES:  Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments, identified by docket number EERE-2016-BT-TP-0033, 
by any of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    2. Email: to [email protected]. Include docket 
number EERE-2016-BT-TP-0033 in the subject line of the message.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on this 
process, see section V of this document.
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including the Federal eRulemaking 
Portal, email, postal mail, or hand delivery/courier, the Department 
has found it necessary to make temporary modifications to the comment 
submission process in light of the ongoing coronavirus 2019 (``COVID-
19'') pandemic. DOE is currently suspending receipt of public comments 
via postal mail and hand delivery/courier. If a commenter finds that 
this change poses an undue hardship, please contact Appliance Standards 
Program staff at (202) 586-1445 to discuss the need for alternative 
arrangements. Once the COVID-19 pandemic health emergency is resolved, 
DOE anticipates resuming all of its regular options for public comment 
submission, including postal mail and hand delivery/courier.
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts (if a public meeting is held), 
comments, and other supporting documents/materials, is available for 
review at www.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.
    The docket web page can be found at www.regulations.gov/docket/EERE-2016-BT-STD-0004. The docket web page contains instructions on how 
to access all documents, including public comments, in the docket. See 
section V for information on how to submit comments through 
www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Mr. Jeremy Dommu, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW, Washington, DC, 20585-0121. Telephone: 
(202) 586-9870. Email: [email protected].
    Ms. Amelia Whiting, U.S. Department of Energy, Office of the 
General Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC, 
20585-0121. Telephone: 202-586-2588. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact the Appliance and Equipment Standards Program staff at (202) 
287-1445 or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the 
following industry standard into part 431:
    Hydraulic Institute (``HI'') 40.6-2021, (``HI 40.6-2021'') 
``Methods for Rotodynamic Pump Efficiency Testing''.
    Copies of HI 40.6-2021 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.
    For a further discussion of this standard, see section IV.M. of 
this document.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. General Comments
    B. Scope and Definitions
    1. CPWG Recommendations
    2. Definition of Circulator Pump
    3. Definition of Circulator Pump Varieties
    4. Definition of Circulator-Less-Volute and Header Pump
    5. Definition of On-Demand Circulator Pumps
    6. Applicability of Test Procedure Based on Pump Configuration
    7. Basic Model
    C. Rating Metric
    D. Test Methods for Different Circulator Pump Categories and 
Control Varieties
    1. Definitions Related to Circulator Pump Control Varieties
    2. Reference System Curve
    3. Pressure Control
    4. Temperature Control
    5. Manual Speed Control
    6. External Input Signal Control
    7. No Controls
    E. Determination of Circulator Pump Performance
    1. Incorporation by Reference of HI 40.6-2021
    2. Exceptions, Modifications and Additions to HI 40.6-2021
    a. Applicability and Clarification of Certain Sections of HI 
40.6-2021
    b. Testing Twin Head Circulator Pumps and Circulators-Less-
Volute
    c. Determination of Circulator Pump Driver Power Input at 
Specified Flow Rates
    d. Calculation and Rounding Modifications and Additions
    3. Rated Hydraulic Horsepower
    F. Sampling Plan and Enforcement Provisions for Circulator Pumps
    1. Sampling Plan
    2. Enforcement Provisions
    G. Representations of Energy Use and Energy Efficiency
    H. Test Procedure Costs and Harmonization
    1. Test Procedure Costs and Impact
    a. Estimated Capital Costs for Testing Circulator Pumps

[[Page 72097]]

    b. Between Estimated Labor Costs for Testing Circulator Pumps
    2. Harmonization With Industry Standards
    I. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Description of Why Action Is Being Considered
    2. Objective of, and Legal Basis for, Rule
    3. Description and Estimate of Small Entities Regulated
    4. Description and Estimate of Compliance Requirements
    5. Duplication Overlap, and Conflict With Other Rules and 
Regulations
    6. Significant Alternatives to the Rule
    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. Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment

I. Authority and Background

    Pumps are included in the list of ``covered equipment'' for which 
DOE is authorized to establish test procedures and energy conservation 
standards. (42 U.S.C. 6311(1)(A)) Circulator pumps, which are the 
subject of this notice of proposed rulemaking (``NOPR''), are a 
category of pumps. Circulator pumps generally are designed to circulate 
water in commercial and residential applications. Circulator pumps do 
not include dedicated-purpose pool pumps, for which test procedures and 
energy conservation standards are established in title 10 of the Code 
of Federal Regulations (``CFR'') part 431 subpart Y. Currently, 
circulator pumps are not subject to DOE test procedures or energy 
conservation standards. The following sections discuss DOE's authority 
to establish test procedures for circulator pumps and relevant 
background information regarding DOE's consideration of test procedures 
for this equipment.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part C \2\ of EPCA, added by Public Law 95-619, Title 
IV, section 441(a) (42 U.S.C. 6311-6317 as codified), established the 
Energy Conservation Program for Certain Industrial Equipment, which 
sets forth a variety of provisions designed to improve energy 
efficiency. This equipment includes pumps, the subject of this 
document. (42 U.S.C. 6311(1)(A))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA include definitions (42 U.S.C. 6311), test 
procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), 
energy conservation standards (42 U.S.C. 6313), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(a); 42 U.S.C. 6295(s)), 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 equipment complies 
with relevant standards promulgated under EPCA. (42 U.S.C. 6316(a); 42 
U.S.C. 6295(s))
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and 42 U.S.C. 6316(b); 42 U.S.C. 6297) DOE may, however, 
grant waivers of Federal preemption for particular State laws or 
regulations, in accordance with the procedures and other provisions of 
EPCA. (42 U.S.C. 6316(b)(2)(D))
    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 requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results which reflect energy efficiency, energy use or estimated annual 
operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
    Before prescribing any final test procedures, the Secretary must 
publish proposed test procedures in the Federal Register and afford 
interested persons an opportunity (of not less than 45 days' duration) 
to present oral and written data, views, and arguments on the proposed 
test procedures. (42 U.S.C. 6314(b))
    DOE is publishing this NOPR in accordance with the statutory 
authority in EPCA.

B. Background

    As stated, EPCA includes ``pumps'' among the industrial equipment 
listed as ``covered equipment'' for the purpose of Part A-1, although 
EPCA does not define the term ``pump.'' (42 U.S.C. 6311(1)(A)) In a 
final rule published January 25, 2016, DOE established a definition for 
``pump,'' associated definitions, and test procedures for certain 
pumps. 81 FR 4086 (``January 2016 TP final rule''). ``Pump'' is defined 
as 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. 10 CFR 431.462. Circulator pumps fall within the scope of 
this definition.
    While DOE has defined ``pump'' broadly, the test procedure 
established in the January 2016 TP final rule is applicable only to 
certain categories of clean water pumps,\3\ specifically those that are 
end suction close-coupled; end suction frame mounted/own bearings; in-
line (``IL''); radially split, multi-stage, vertical, in-line diffuser 
casing; and submersible turbine (``ST'') pumps with the following 
characteristics:
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    \3\ A ``clean water pump'' is 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 [deg]F. 10 CFR 431.462.
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     25 gallons per minute (``gpm'') and greater (at best 
efficiency point (``BEP'') at full impeller diameter);

[[Page 72098]]

     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 revolutions per minute (``rpm'') and/or 1,440 and 2,160 rpm, and 
in either case, the driver and impeller must rotate at the same speed;
     6-inch or smaller bowl diameter for ST pumps;
     A specific speed less than or equal to 5,000 for ESCC and 
ESFM pumps;
     Except for: 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 any relevant military 
specifications. \4\
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    \4\ E.g., 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 at http://everyspec.com/MIL-SPECS.

10 CFR 431.464(a)(1). The pump categories subject to the current test 
procedures are referred to as ``general pumps'' in this document. As 
stated, circulator pumps are not general pumps.
    DOE also published a final rule establishing energy conservation 
standards applicable to certain classes of general pumps. 81 FR 4368 
(Jan. 26, 2016) (``January 2016 ECS final rule''); see also, 10 CFR 
431.465.
    The January 2016 TP final rule and the January 2016 ECS final rule 
implemented the recommendations of the Commercial and Industrial Pump 
Working Group (``CIPWG'') established through the Appliance Standards 
Rulemaking Federal Advisory Committee (``ASRAC'') to negotiate 
standards and a test procedure for general pumps. (Docket No. EERE-
2013-BT-NOC-0039) The CIPWG approved a term sheet containing 
recommendations to DOE on appropriate standard levels for general 
pumps, as well as recommendations addressing issues related to the 
metric and test procedure for general pumps (``CIPWG 
recommendations''). (Docket No. EERE-2013-BT-NOC-0039, No. 92) 
Subsequently, ASRAC approved the CIPWG recommendations. The CIPWG 
recommendations included initiation of a separate rulemaking for 
circulator pumps. (Docket No. EERE-2013-BT-NOC-0039, No. 92, 
Recommendation #5A at p. 2)
    On February 3, 2016, DOE issued a notice of intent to establish the 
circulator pumps working group to negotiate a notice of proposed 
rulemaking (``NOPR'') for energy conservation standards for circulator 
pumps to negotiate, if possible, Federal standards and a test procedure 
for circulator pumps and to announce the first public meeting. 81 FR 
5658. The members of the Circulator Pump Working Group (``CPWG'') were 
selected to ensure a broad and balanced array of interested parties and 
expertise, including representatives from efficiency advocacy 
organizations and manufacturers. Additionally, one member from ASRAC 
and one DOE representative were part of the CPWG. Table I.1 lists the 
15 members of the CPWG and their affiliations.

 Table I.1--ASRAC Circulator Pump Working Group Members and Affiliations
------------------------------------------------------------------------
                 Member                             Affiliation
------------------------------------------------------------------------
Charles White...........................  Plumbing-Heating-Cooling
                                           Contractors Association.
Gabor Lechner...........................  Armstrong Pumps, Inc.
Gary Fernstrom..........................  California Investor-Owned
                                           Utilities.
Joanna Mauer............................  Appliance Standards Awareness
                                           Project.
Joe Hagerman............................  U.S. Department of Energy.
Laura Petrillo-Groh.....................  Air-Conditioning, Heating, and
                                           Refrigeration Institute.
Lauren Urbanek..........................  Natural Resources Defense
                                           Council.
Mark Chaffee............................  TACO, Inc.
Mark Handzel............................  Xylem Inc.
Peter Gaydon............................  Hydraulic Institute.
Richard Gussert.........................  Grundfos Americas Corporation.
David Bortolon..........................  Wilo Inc.
Russell Pate............................  Rheem Manufacturing Company.
Don Lanser..............................  Nidec Motor Corporation.
Tom Eckman..............................  Northwest Power and
                                           Conservation Council (ASRAC
                                           member).
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    The CPWG commenced negotiations at an open meeting on March 29, 
2016, and held six additional meetings to discuss scope, metrics, and 
the test procedure. The CPWG concluded its negotiations for test 
procedure topics on September 7, 2016, with a consensus vote to approve 
a term sheet containing recommendations to DOE on scope, definitions, 
metric, and the basis of the test procedure (``September 2016 CPWG 
Recommendations''). The September 2016 CPWG Recommendations are 
available in the CPWG docket. (Docket No. EERE-2016-BT-STD-0004, No. 
58)
    The CPWG continued to meet to address potential energy conservation 
standards for circulator pumps. Those meetings began on November 3-4, 
2016 and concluded on November 30, 2016, with approval of a second term 
sheet (``November 2016 CPWG Recommendations'') containing CPWG 
recommendations related to energy conservation standards, applicable 
test procedure, labeling and certification requirements for circulator 
pumps. (Docket No. EERE-2016-BT-STD-0004, No. 98) ASRAC subsequently 
voted unanimously to approve the September and November 2016 CPWG 
Recommendations during a December meeting. (Docket No. EERE-2013-BT-
NOC-0005, No. 91 at p. 2) \5\
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    \5\ All references in this document to the approved 
recommendations included in 2016 Term Sheets are noted with the 
recommendation number and a citation to the appropriate document in 
the CPWG docket (e.g., Docket No. EERE-2016-BT-STD-0004, No. #, 
Recommendation #X at p. Y). References to discussions or suggestions 
of the CPWG not found in the 2016 Term Sheets include a citation to 
meeting transcripts and the commenter, if applicable (e.g., Docket 
No. EERE-2016-BT-STD-0004, [Organization], No. X at p. Y).
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    In a letter dated June 9, 2017, Hydraulic Institute (``HI'') 
expressed its support for the process that DOE initiated regarding 
circulator pumps and encouraged the publishing of a NOPR and a final 
rule by the end of 2017. (Docket No. EERE-2016-BT-STD-0004, HI, No.103 
at p. 1) In response to an early assessment review RFI published 
September 28, 2020 regarding the existing test procedures for general 
pumps (85 FR 60734, ``September 2020 Early Assessment RFI''), HI 
commented that it continues to support the recommendations from the 
CPWG. (Docket No. EERE-2020-BT-TP-0032, HI, No. 6 at p. 1) NEEA also 
referenced the September 2016 CPWG Recommendations and recommended that 
DOE adopt test procedures for circulator pumps in the pumps rulemaking 
or a separate rulemaking. (Docket No. EERE-2020-BT-TP-0032, NEEA, No. 8 
at p. 8)
    On May 7, 2021, DOE published a request for information related to 
test procedures and energy conservation standards for circulator pumps 
and small vertical in-line pumps. 86 FR 24516 (``May 2021 RFI''). DOE 
received a number of comments in response to the May 2021 RFI. Table 
I.2 lists the commenters along with each commenter's abbreviated name 
used throughout this NOPR. Discussion of the

[[Page 72099]]

relevant comments, and DOE's responses, are provided in the appropriate 
sections of this document. A parenthetical reference at the end of a 
comment quotation or paraphrase provides the location of the item in 
the public record. \6\
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    \6\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop 
test procedures for circulator pumps. (Docket No. EERE-2016-BT-STD-
0004, which is maintained at www.regulations.gov). The references 
are arranged as follows: (commenter name, comment docket ID number, 
page of that document).

    Table I.2--Written Comments Received in Response to May 2021 RFI
------------------------------------------------------------------------
                                    Reference in this
           Commenter(s)                   NOPR           Commenter type
------------------------------------------------------------------------
Hydraulic Institute..............  HI................  Trade
                                                        Association.
People's Republic of China.......  China.............  Country.
Grundfos Americas Corporation....  Grundfos..........  Manufacturer.
Appliance Standards Awareness      Advocates.........  Efficiency
 Project, American Council for an                       Organization.
 Energy-Efficient Economy,
 Natural Resources Defense
 Council.
Northwest Energy Efficiency        NEEA..............  Efficiency
 Alliance.                                              Organization.
Pacific Gas and Electric Company,  CA IOUs...........  Utility.
 San Diego Gas and Electric, and
 Southern California Edison;
 collectively, the California
 Investor-Owned Utilities.
Anonymous Commenter..............  N/A...............  Anonymous \7\.
------------------------------------------------------------------------

    The comments in response to the RFI expressed support for 
considering small vertical in-line pumps in the commercial and 
industrial pumps rulemaking rather than in the circulator pump 
rulemaking. (HI, No. 112 at p. 3; Grundfos, No. 113 at p. 2; CA IOUs, 
No. 116 at p. 6; NEEA, No. 115 at p. 4). As such, the scope of this 
NOPR is limited to circulator pumps.
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    \7\ The Anonymous comment did not substantively address the 
subject of this rulemaking.
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II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to establish in subpart Y to 10 CFR part 
431 a test procedure that includes methods to (1) measure the 
performance of the covered equipment and (2) use the measured results 
to calculate a circulator energy index (``CEI'') to represent the 
weighted average electric input power to the driver over a specified 
load profile, normalized with respect to a circulator pump serving the 
same hydraulic load that has a specified minimum performance level.\8\ 
The proposed test procedure and metric are similar in concept to the 
test procedure and metric established in subpart Y to 10 CFR part 431 
for general pumps.
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    \8\ The performance of a comparable pump that has a specified 
minimum performance level is referred to as the circulator energy 
rating (``CER'').
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    DOE's proposed test method for circulator pumps includes 
measurements of head, flow rate, and driver power input, all of which 
are required to calculate CEI, as well as other quantities to 
characterize the rated circulator pump performance (e.g., pump power 
output (hydraulic horsepower), speed, wire-to-water efficiency). For 
consistent and uniform measurement of these values, DOE proposes to 
incorporate the test methods established in HI 40.6-2021, ``Methods for 
Rotodynamic Pump Efficiency Testing,'' with certain exceptions. DOE 
reviewed the relevant sections of HI 40.6-2021 and determined that HI 
40.6-2021, in conjunction with the additional test methods and 
calculations proposed in this test procedure, would produce test 
results that reflect the energy efficiency, energy use, or estimated 
operating costs of a circulator pump during a representative average 
use cycle. (42 U.S.C. 6314(a)(2)) DOE also reviewed the burdens 
associated with conducting the proposed circulator pump test procedure, 
including HI 40.6-2021, and, based on the results of such analysis, 
found that the proposed test procedure would not be unduly burdensome 
to conduct. (42 U.S.C. 6314(a)(2)) DOE's analysis of the burdens 
associated with the proposed test procedure is presented in section 
III.H.1 of this document.
    DOE also considered HI 41.5-2021, ``Hydraulic Institute Program 
Guideline for Circulator Pump Energy Rating Program,'' which defines 
the requirements to participate in and list circulator pumps in the 
Hydraulic Institute Energy Rating Program and which references HI 40.6-
2021 while providing additional instructions for testing circulator 
pumps to determine an Energy Rating value. In response to the May 2021 
RFI, HI recommended that DOE incorporate by reference HI 41.5 as the 
test procedure. (HI, No. 112 at p. 2) DOE has tentatively determined 
not to directly incorporate HI 41.5-2021. Unlike HI 40.6-2021, which is 
an industry test standard, HI 41.5-2021 is a guideline for 
participation in an industry program, and includes many provisions not 
relevant to DOE. DOE has preliminarily determined that its proposed 
test methods and calculations that supplement the proposed 
incorporation by reference of HI 40.6-2021, as discussed in sections 
III.D and III.E.2.c, are consistent with HI 41.5-2021.
    This NOPR also proposes requirements regarding the sampling plan 
and representations for circulator pumps at subpart B of part 429 of 
Title 10 of the Code of Federal Regulations. The sampling plan 
requirements are similar to those established for general pumps. DOE 
also proposes provisions regarding allowable representations of energy 
consumption, energy efficiency, and other relevant metrics 
manufacturers may make regarding circulator pump performance (as 
discussed in section III.G of this document).
    Were the proposed test procedure and associated provisions made 
final, manufacturers would not be required to test according to the DOE 
test procedure until such time as compliance is required with energy 
conservation standards for circulator pumps, should DOE establish such 
standards. Were DOE to establish test procedures as proposed, 
manufacturers choosing to make voluntary representations would be 
required to test the subject pump according to the established test 
procedure, and any such representations would have to fairly disclose 
the results of such testing.

III. Discussion

    In this TP NOPR, DOE proposes to establish in subpart Y of part 431 
test procedures and related definitions for circulator pumps, amend 10 
CFR 429.59 to establish sampling plans for this equipment, and 
establish enforcement provisions for this equipment in 10 CFR 429.110 
and 10 CFR 429.134. The

[[Page 72100]]

proposed amendments are summarized in Table III.1.

  Table III.1--Summary of Proposals in This TP NOPR, Their Location Within the Code of Federal Regulations, and
                                       the Applicable Preamble Discussion
----------------------------------------------------------------------------------------------------------------
                                                                                            Applicable preamble
               Topic                     Location in CFR         Summary of proposals           discussion
----------------------------------------------------------------------------------------------------------------
Definitions........................  10 CFR 431.462........  Define circulator pump as    Sections III.B.2,
                                                              well as varieties of         III.B.3, III.B.4,
                                                              circulator pumps and         III.B.5, III.B.7,
                                                              circulator pump controls.    III.AIII.D.1.
Test Procedure.....................  10 CFR 431.464 &        Establish CEI as the metric  Sections III.C, III.D,
                                      Appendix D.             for circulator pumps,        and III.E.
                                                              incorporate by reference
                                                              HI 40.6-2021, and provide
                                                              additional instructions
                                                              for determining the CEI
                                                              (and other applicable
                                                              performance
                                                              characteristics) for
                                                              circulator pumps.
Sampling Plan......................  10 CFR 429.59.........  Specify the minimum number   Section III.F.
                                                              of circulator pumps to be
                                                              tested to rate a basic
                                                              model and determination of
                                                              representative values.
Enforcement Provisions.............  10 CFR 429.110 & 10     Establish a method for       Section III.F.
                                      CFR 429.134.            determining compliance of
                                                              circulator pump basic
                                                              models.
----------------------------------------------------------------------------------------------------------------

    The following sections discuss DOE's specific proposals regarding 
circulator pumps. Section III.B presents DOE's proposals related to 
definitions for categorizing and testing of circulator pumps. Sections 
III.C, III.D, III.E, and III.F discuss the proposed metric, test 
procedure, and certification and enforcement provisions for tested 
circulator pump models. Section III.G discusses representations of 
energy use and energy efficiency for circulator pumps.

A. General Comments

    In response to the May 2021 RFI, the Advocates urged DOE to adopt 
test procedures for circulator pumps based on the September and 
November 2016 CPWG Recommendations. (Advocates, No. 114 at p. 1) 
Grundfos supported the regulation of circulator products. (Grundfos, 
No. 113 at p. 1) The CA IOUs stated that other than the test procedure 
update to HI 41.5-2021 (discussed in section III.E.1 of this NOPR), 
they supported the adoption of the September and November 2016 CPWG 
Recommendations, including the provisions for circulator pump 
definitions, control type definitions, reference curve, weighting 
points, and the definition of CEI. (CA IOUs, No. 116 at p. 5) NEEA 
supported the September and November 2016 CPWG Recommendations with a 
few minor modifications based on additional information or lessons 
learned from years of experience implementing its circulator pump 
energy efficiency program. (NEEA, No. 115 at p.2) NEEA also commented 
that it has been working with HI and manufacturers to test and rate 
circulator pumps using HI's voluntary rating standard developed based 
on the CPWG term sheet. (Id.)

B. Scope and Definitions

    As discussed, in the January 2016 TP final rule, DOE adopted a 
definition for ``pump,'' as well as definitions for other pump 
component- and configuration-related definitions. 81 FR 4086, 4090-94 
(Jan. 25, 2016); see also 10 CFR 431.462. DOE recognized circulator 
pumps as a category of pumps, but DOE did not define ``circulator 
pump''. 81 FR 4086, 4097.
    In this NOPR, DOE is proposing a definition of circulator pump, 
associated definitions for categories of circulator pumps, as well as 
related definitions for control varieties of circulator pumps (see 
sections III.B.2, III.B.4, III.B.5 and III.D.1 of this NOPR). These 
definitions are necessary to establish the scope of applicability of 
the proposed circulator pump test procedure. The scope of the proposed 
test procedure is discussed in section III.B.6 of this document.
1. CPWG Recommendations
    As discussed in the May 2021 RFI, the September 2016 Circulator 
Pump Recommendations addressed the scope of a circulator pumps 
rulemaking. Specifically, the CPWG recommended that the scope of a 
circulator pumps test procedure and energy conservation standards cover 
clean water pumps (as defined at 10 CFR 431.462) distributed in 
commerce with or without a volute \9\ and that are one of the following 
categories: Wet rotor circulator pumps, dry rotor close-coupled 
circulator pumps, and dry rotor mechanically-coupled circulator pumps. 
The CPWG also recommended that the scope exclude submersible pumps and 
header pumps. 86 FR 24516, 24520; (Docket No. EERE-2016-BT-STD-0004, 
No. 58, Recommendations #1A, 2A and 2B at p. 1-2) The CPWG also 
recommended the following definitions relevant to scope:
---------------------------------------------------------------------------

    \9\ Volutes are also sometimes referred to as a ``housing'' or 
``casing.''
---------------------------------------------------------------------------

    Wet rotor circulator pump means a single stage, rotodynamic, close-
coupled, wet rotor pump. Examples include, but are not limited to, 
pumps generally referred to in industry as CP1.
    Dry rotor, two-piece circulator pump means a single stage, 
rotodynamic, single-axis flow, close-coupled, dry rotor pump that:
    (1) Has a hydraulic power less than or equal to five horsepower at 
best efficiency point at full impeller diameter,
    (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 generally referred to in industry as CP2.
    Dry rotor, three-piece circulator pump means a single stage, 
rotodynamic, single-axis flow, mechanically-coupled, dry rotor pump 
that:
    (1) Has a hydraulic power less than or equal to five horsepower at 
best efficiency point at full impeller diameter,
    (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 generally referred to in industry as CP3.
    Horizontal motor means a motor that requires the motor shaft to be 
in a horizontal position to function as designed under typical 
operating conditions, as specified in manufacturer literature.

[[Page 72101]]

    Submersible pump means a pump that is designed to be operated with 
the motor and bare pump fully submerged in the pumped liquid.
    Header pump means a pump that consists of a circulator-less-volute 
intended to be installed in an original equipment manufacturer 
(``OEM'') piece of equipment that serves as the volute. (Docket No. 
EERE-2016-BT-STD-0004, No. 58, Recommendations #2B, 3A, and 3B at p. 2-
3); 86 FR 24516, 24520.

    DOE notes that generally these definitions rely on terms previously 
defined in the January 2016 TP final rule, including ``close-coupled 
pump,'' ``mechanically-coupled pump,'' ``dry rotor pump,'' ``single 
axis flow pump,'' and ``rotodynamic pump.'' 81 FR 4086, 4146-4147; 10 
CFR 431.462. In addition, the recommended definition for submersible 
pump is the same as that already defined in a 2017 test procedure final 
rule for dedicated-purpose pool pumps (``August 2017 DPPP TP final 
rule''). 82 FR 36858, 36922 (August 7, 2017);10 CFR 431.462.
    DOE discusses the proposed definitions of wet rotor circulator 
pump; dry rotor, two-piece circulator pump; dry rotor, three-piece 
circulator pump; and horizontal motor in section III.B.3, header pump 
in section III.B.4, and submersible pump in section III.B.6 of this 
NOPR.
2. Definition of Circulator Pump
    Circulator pumps are a subset of small, IL pumps that are designed 
to provide a small amount of head to overcome pipe friction losses in a 
water circulation system for hydronic heating or cooling and potable 
hot water recirculation. During the CPWG meetings, the CPWG discussed 
the applications and utilities that circulator pumps serve and the 
distinctions in the designs of circulator pump varieties.
    In defining circulator pump, the CPWG reviewed the descriptions 
established in the standard American National Standards Institute 
(``ANSI'')/HI 1.1-1.2-2014 standard (``ANSI/HI 1.1-1.2-2014''), 
``Rotodynamic Centrifugal Pumps for Nomenclature and Definitions.'' 
(Docket No. EERE-2016-BT-STD-0004, No. 64 at pp.41-43) Section 
1.1.3.3.5 of ANSI/HI 1.1-1.2-2014 characterizes circulator pumps based 
on the following four unique features: (1) Rotating assemblies that 
must be horizontally mounted; (2) being fully supported in-line by the 
system piping; (3) utilizing special-purpose motors unique to this pump 
type; and (4) having a motor shaft power that does not exceed 3.75 
kilowatts (``kW'') (5 horsepower (``hp'')).
    Sections 1.1.3.3.5.1-2 of ANSI/HI 1.1-1.2-2014 provide definitions 
for three unique types of circulator pumps. These three unique 
circulator pump varieties are based on two main characteristics: (1) 
Whether the motor is isolated from or immersed in the pumped liquid, 
and (2) how the impeller and motor are connected. Regarding the first 
characteristic, a circulator pump may be wet rotor, meaning that the 
motor rotor is immersed in the pumped liquid during operation; or dry 
rotor, meaning that the pump is not immersed in the pumped liquid. Dry 
rotor pumps typically include a mechanical seal that isolates the motor 
rotor from the pumped liquid.
    The second characteristic, which pertains to how the impeller and 
motor are connected, further subdivides wet rotor and dry rotor 
circulator pumps into close-coupled or mechanically-coupled varieties. 
A close-coupled pump has a motor and impeller that share a common 
shaft, while a mechanically-coupled pump features an impeller that has 
its own shaft that is connected by mechanical means to the motor shaft.
    Based on these differentiating features, Sections 1.1.3.3.5.1-2 of 
ANSI/HI 1.1-1.2-2014 defines the following circulator pump varieties:
     Close-coupled circulator pumps (CP1 and CP2)--Close-
coupled circulator pumps may have driver elements that are immersed in 
the pumped fluid (CP1) or isolated by a mechanical seal (CP2). The 
rotating assembly shares a common shaft; the bearing(s) of the rotating 
assembly absorb all pump hydraulic loads (axial and radial). The driver 
is aligned and assembled directly to the pump unit with machined fits.
     Flexibly-coupled circulator pumps (CP3)--In flexibly-
coupledcirculator pumps, the pump has a shaft supported by its own 
bearings that absorb all pump hydraulic loads (axial and radial). The 
driver is aligned and assembled directly to the pump unit with machined 
fits, typically with a resilient mount to damped vibration. The pump 
and driver shafts are flexibly coupled via flexible element drive 
couplings.\10\
---------------------------------------------------------------------------

    \10\ ``Flexibly-coupled'' is a more specific use of the term 
``mechanically-coupled''. Consistent with 10 CFR 431.462 and CPWG 
recommendations, DOE uses the term ``mechanically-coupled'' 
throughout the remainder of this notice.
---------------------------------------------------------------------------

    Consistent with the ANSI/HI 1.1-1.2-2014 classification, the CPWG 
discussed defining three varieties of circulator pumps: (1) Wet rotor 
circulator pumps, (2) dry rotor close-coupled circulator pumps, and (3) 
dry rotor mechanically-coupled circulator pumps. (Docket No. EERE-2016-
BT-STD-0004, No. 64 at pp.41-43)
    The specific definitions for wet rotor circulator pumps and dry 
rotor circulator pumps are discussed in the following sections.
    The CPWG also discussed the applicability of the recommended test 
procedure and standards to circulator pumps distributed in commerce 
without a volute. As discussed in more detail in section III.B.4, the 
CPWG discussed how some circulator pumps are distributed in commerce 
without a volute, either as a replacement for an existing circulator 
pump that has failed or to be newly installed with a paired volute in 
the field. (Docket No. EERE-2016-BT-STD-0004, No. 74 at pp. 383-407). 
In section III.E.2.b, DOE proposes specific instructions regarding how 
to test a ``circulator-less-volute.''
    To specify that the recommended circulator pump test procedure and 
standards are intended to apply to circulator pumps, with or without a 
volute, the CPWG recommended adding such language to the recommended 
circulator pump definition. (Docket No. EERE-2016-BT-STD-0004, No. 66 
at pp. 156-164). The CPWG also recommended to define circulator pump as 
being comprised of the following pump categories distributed in 
commerce with or without a volute: Wet rotor circulator pumps, dry 
rotor close-coupled circulator pumps, and dry rotor mechanically-
coupled circulator pumps. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #1A at p. 1)
    DOE notes that the terminology in the CPWG recommended definition 
for circulator pump does not match the terminology in the CPWG 
recommended definitions for the circulator pump categories. 
Specifically, the recommended circulator pump definition includes ``dry 
rotor close-coupled circulator pumps'' and ``dry rotor mechanically-
coupled circulator pumps,'' while the recommended defined terms are 
``dry rotor, two-piece circulator pump'' and ``dry rotor, three-piece 
circulator pumps.'' (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #1A, 3A, and 3B at pp. 1-3) Those defined terms 
reference close-coupling and mechanical-coupling, respectively. DOE 
notes that HI 41.5-2021 defines circulator pump in section 41.5.1.5.1 
as a wet rotor circulator pump (CP1); a dry rotor, two-piece circulator 
pump (CP2); or a dry rotor three-piece circulator pump (CP3). Based on 
their use in the industry test procedure, DOE understands that ``two-
piece'' and ``three-piece'' are the preferred industry terms over the 
terms ``close-coupled'' and ``mechanically-

[[Page 72102]]

coupled,'' and has proposed the use of the industry terms.
    DOE is proposing a definition of circulator pump at 10 CFR 431.462 
consistent with the definition recommended by the CPWG. Specifically, 
DOE proposes the following definition for circulator pump:
    Circulator pump is a pump that is either a wet rotor circulator 
pump; a dry rotor, two-piece circulator pump; or a dry rotor, three-
piece circulator pump. A circulator pump may be distributed in commerce 
with or without a volute.
    DOE requests comment on the proposed definition for circulator 
pump.
    The definitions of the pump categories that comprise the scope of 
``circulator pump'' are addressed in the following section. In response 
to the May 2021 RFI, China asserted that the range and definition of 
circulator pumps is not clear and that schematic diagrams should be 
provided for each product on the basis of their text description. 
(China, No. 111 at p. 3) DOE believes that the proposed definition of 
circulator pump, in combination with the proposed definitions of the 
three primary kinds of circulator pumps in the following section, 
sufficiently address the range of circulator pumps, and that schematic 
diagrams would not provide additional benefit.
3. Definition of Circulator Pump Varieties
    In the May 2021 RFI, DOE requested comment on the CPWG's 
recommended definitions for wet rotor circulator pump; dry rotor, two-
piece circulator pump; dry rotor, three-piece circulator pump; and 
horizontal motor, including whether any changes in the market since the 
CPWG's recommendations would affect the recommended definitions and 
scope. 86 FR 24516, 24520-24521.
    HI, Grundfos, and the CA IOUs generally agreed with the CPWG's 
recommended definitions for these varieties of circulator pumps. (HI, 
No. 112 at p. 2; Grundfos, No. 113 at p. 1; CA IOUs, No. 116 at p. 5) 
Other comments expressed support for the CPWG recommendations 
generally, as discussed in section III.A of this document.
    As discussed previously, the CPWG recommended definitions for wet 
rotor circulator pump; dry rotor, two-piece circulator pump; and dry 
rotor, three-piece circulator pump were based on review of the 
descriptions of circulator pump categories established in the standard 
ANSI/HI 1.1-1.2-2014. DOE notes that the updated version of this 
industry standard, ANSI/HI 14.1-14.2-2019, ``Rotodynamic Pumps for 
Nomenclature and Definitions,'' has revised the descriptions of 
circulator pump categories to be identical to the CPWG recommended 
definitions, and section 41.5.1.5.1 of HI 41.5-2021 also includes 
definitions identical to the CPWG recommended definitions. DOE has 
reviewed the CPWG recommended definitions and has tentatively 
determined that these definitions appropriately distinguish the 
varieties of circulator pumps available on the market and as originally 
described in the industry standard ANSI/HI 1.1-1.2-2014.
    Based on the discussion in the prior paragraphs, DOE proposes to 
adopt definitions for wet rotor circulator pump; dry rotor, two-piece 
circulator pump; and dry rotor, three-piece circulator pump at 10 CFR 
431.462 as recommended by the CPWG and supported by stakeholder 
comments.
    DOE currently defines a ``horizontal motor'' as a motor that 
requires the motor shaft to be in a horizontal position to function as 
designed, as specified in the manufacturer literature. 10 CFR 431.462. 
The definition of ``horizontal motor'' is used in 10 CFR 431.462 to 
exclude certain pumps from the IL pump category.\11\ The definition of 
``horizontal motor'' recommended by the CPWG includes the additional 
phrase ``under typical operating conditions'' to qualify ``function as 
designed.'' The CPWG discussed that this qualifier was added to address 
the potential that a motor would not be covered as a horizontal motor 
if a manufacturer were to advertise its circulator pump as being able 
to be installed in a non-horizontal orientation under certain 
conditions, such as high operating pressure (i.e., conditions other 
than typical conditions). (Docket No. EERE-2016-BT-STD-0004, No. 64 at 
pp. 75-83) The CPWG discussed that the requirement to consider motor 
installation in the context of typical operating conditions, as 
specified in the manufacturer literature, would address this potential. 
(Docket No. EERE-2016-BT-STD-0004, No. 66 at pp. 55-57) 86 FR 24516, 
24520. DOE did not receive any comments on the definition of horizontal 
motor in response to the May 2021 RFI.
---------------------------------------------------------------------------

    \11\ The definition of IL pumps includes the following sentence: 
``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.'' 10 CFR 431.462.
---------------------------------------------------------------------------

    DOE has reviewed the horizontal motor definitions and has 
tentatively concluded that the existing definition of horizontal motor 
in 10 CFR 431.462 could benefit from additional specificity. However, 
DOE does not believe the term ``typical operating conditions'' 
recommended by the CPWG provides sufficient specificity, as the term 
could refer to any conditions specified in the manufacturer's manual. 
In order to address the concern that a pump with a horizontal motor 
would be considered an IL pump instead of a circulator pump if the 
motor must be non-horizontal under non-typical conditions such as high 
operating pressure, DOE instead proposes the following definition of 
horizontal motor, consistent with the intent of the CPWG:

    Horizontal motor means a motor, for which the motor shaft 
position when functioning under operating conditions specified in 
manufacturer literature, includes a horizontal position.

    DOE has tentatively concluded that this proposed update to the 
horizontal motor definition would provide additional specificity, but 
would not in practice change the pumps currently excluded from the IL 
pump definition (and now proposed to be included in the circulator pump 
definition) through use of the term.
    DOE requests comment on the proposed definition for horizontal 
motor, including whether it meets the intent of the CPWG or whether it 
would include other motors not intended to be captured in the 
definition.
4. Definition of Circulator-Less-Volute and Header Pump
    In the May 2021 RFI, DOE discussed that some circulator pumps are 
distributed in commerce as a complete assembly with a motor, impeller, 
and volute, while other circulator pumps are distributed in commerce 
with a motor and impeller, but without a volute (herein referred to as 
``circulators-less-volute''). Some circulators-less-volute are solely 
intended to be installed in other equipment, such as a boiler, using a 
cast piece in the other piece of equipment as the volute, while others 
can be installed as a replacement for a failed circulator pump in an 
existing system or newly installed with a paired volute in the field. 
86 FR 24516, 24521; (Docket No. EERE-2016-BT-STD-0004, No. 47 at pp. 
371-372; Docket No. EERE-2016-BT-STD-0004, No. 70 at p. 99) As 
discussed in the May 2021 RFI, CPWG asserted that circulator pumps 
distributed in commerce without volutes meet the definition of pump, 
and that not subjecting such equipment to test procedures and standards 
would represent a significant loophole. 86 FR 24516, 24521; (Docket No. 
EERE-2016-

[[Page 72103]]

BT-STD-0004, No. 70 at pp. 89-91; No. 74 at pp.383-403) The CPWG also 
discussed that including circulators-less-volute within the scope of 
DOE regulation is consistent with the treatment of circulator pumps 
under the European Union's regulations \12\ which applies to circulator 
pumps ``with or without housing.'' (Docket No. EERE-2016-BT-STD-0004, 
No. 74 at pp. 373-376)
---------------------------------------------------------------------------

    \12\ See EC No 622/2012; https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex:32012R0622.
---------------------------------------------------------------------------

    As noted in the May 2021 RFI, the CPWG also discussed that 
circulators-less-volute that are solely intended to be installed in 
other equipment use the other equipment as the volute, and do not have 
a matching volute that is separately distributed in commerce and, 
therefore, would not pose the same loophole risk. According to the 
CPWG, such pumps would also be difficult to test and rate. 
Specifically, the CPWG discussed that circulator pump manufacturers 
would not have access to or design authority for the volute design. In 
addition, the circulator pump could not be tested as a standalone 
circulator pump because the volute would be unable to be removed from 
the other equipment, and no paired volute would be distributed in 
commerce with which the header pump could be tested. According to the 
CPWG, such equipment would potentially require extensive and burdensome 
equipment to test appropriately. As such, the CPWG recommended 
excluding circulator pumps that are distributed in commerce exclusively 
to be incorporated into other OEM equipment, such as boilers or pool 
heaters. (Docket No. EERE-2016-BT-STD-0004, No. 74 at pp. 413-416) 86 
FR 24516, 24521.
    As stated in the May 2021 RFI, the CPWG suggested referring to 
circulator-less-volute that are intended solely for installation in 
another piece of equipment and do not have a paired volute that is 
distributed in commerce as ``header pumps.'' (Docket No. EERE-2016-BT-
STD-0004, No. 74 at pp. 384-386). The CPWG recommended defining 
``header pump'' as a pump that consists of a circulator-less-volute 
intended to be installed in an OEM piece of equipment that serves as 
the volute, and to exclude them from the recommended circulator pump 
test procedure and standards. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #2B at p. 2); 86 FR 24516, 24521. The CPWG also 
recommended that for header pumps distributed in commerce with 
regulated equipment, DOE should consider modifying the test procedure 
and metric for such regulated equipment during the next round of 
applicable rulemakings to account for the energy use of header pumps in 
a modified metric. For header pumps distributed in commerce with non-
regulated equipment, the CPWG recommended that DOE should consider test 
procedures and standards for such pumps or equipment at a later date. 
(Docket No. EERE-2016-BT-STD-0004, No. 58 Non-Binding Recommendation to 
the Secretary #2 at p. 10)
    In the May 2021 RFI, DOE requested comment on the definition of 
header pump. 86 FR 24516, 24521. HI agreed with the CPWG recommended 
definition of ``header pump,'' stating that no substantive changes have 
occurred in the market, and that such pumps should be excluded from 
regulation. (HI, No. 112 at p. 2) NEEA supported the recommended 
definition of ``header pump'' and the recommended exclusion of them, 
noting that they are challenging to test. NEEA also commented that DOE 
should monitor the market for header pumps and make sure it does not 
become a loophole after regulation. (NEEA, No. 115 at p. 3) Grundfos 
stated that no change to the definition is warranted, but that header 
pumps should be regulated in the same way that circulators-less-volute 
are regulated; i.e., by requiring a reference volute for testing, as is 
required in the EU, in order to avoid creating a loophole. (Grundfos, 
No. 113 at p. 1-2). China stated that the test method for header pumps 
has not been provided and that DOE should define the test method for 
these pumps. (China, No. 111 at p. 3)
    DOE notes that HI 41.5-2021 does not address either header pumps or 
circulators-less-volute. DOE tentatively agrees that a circulator-less-
volute designed solely for use as a component in a separate piece of 
equipment should be distinguished from circulators-less-volute 
generally for the purpose of the proposed test procedure for the 
reasons discussed by the CPWG. As discussed in section III.E.2.b, the 
CPWG recommended specific test procedure provisions for circulators-
less-volute that are not designed solely for installation in a separate 
piece of equipment (i.e., a header pump). (Docket No. EERE-2016-BT-STD-
0004, No. 58 Recommendation #12 at p. 2) To provide a distinction 
between a circulator-less-volute and a header pump, DOE proposes 
additional detail within the definition of header pump recommended by 
the CPWG and to add a definition of circulator-less-volute to be 
mutually exclusive from the definition of a header pump. These 
definitions proposed by DOE are as follows:

    Header pump means a circulator pump distributed in commerce 
without a volute and for which a paired volute is not distributed in 
commerce. Whether a paired volute is distributed in commerce will be 
determined based on published data, marketing literature, and other 
publicly available information.

    Circulator-less-volute means a circulator pump distributed in 
commerce without a volute and for which a paired volute is also 
distributed in commerce. Whether a paired volute is distributed in 
commerce will be determined based on published data, marketing 
literature, and other publicly available information.
    DOE requests comment on the proposed definitions of header pump and 
circulator-less-volute.
    DOE acknowledges that EU Regulation No 622/2012 includes provisions 
to test circulator pumps integrated in products dismantled from the 
product and measured with a reference pump housing, which means ``a 
pump housing supplied by the manufacturer with inlet and outlet ports 
on the same axis and designed to be connected to the pipework of a 
heating system or secondary circuit of a cooling distribution system.'' 
\13\ As stated previously, the CPWG discussed that there would be no 
available paired volutes with which to test a header pump, and as such 
testing such pumps would require extensive and potentially burdensome 
equipment to test appropriately. In its comments recommending that use 
of a reference volute should be required for testing header pumps, 
Grundfos has not sufficiently addressed these testing concerns for 
header pumps raised by the CPWG. In addition, DOE tentatively concludes 
that requiring testing of header pumps using a reference volute may 
result in a rating that is not representative of its energy use in the 
equipment for which it is designed, and that assessing header pump 
energy use within broader equipment categories in which they are 
embedded, such as boilers, may be more appropriate. As such, DOE is not 
proposing to include header pumps in the scope of this test procedure, 
and accordingly is not proposing a test method for header pumps.
---------------------------------------------------------------------------

    \13\ European Commission Regulation No 622/2012 of 11 July 2012 
amending Regulation (EC) No 641/2009 with regard to ecodesign 
requirements for glandless standalone circulators and glandless 
circulators integrated in products. https://eur-lex.europa.eu/legal-
content/EN/TXT/?uri=CELEX:32012R0622. Accessed 2021-09-21.

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

[[Page 72104]]

5. Definition of On-Demand Circulator Pumps
    In the May 2021 RFI, DOE stated that on-demand circulator pumps are 
designed to maintain hot water supply within a temperature range by 
activating in response to a signal, such as user presence. The CPWG 
recommended a definition for ``on-demand circulator pumps'' to be 
incorporated as necessary. (Docket No. EERE-2016-BT-STD-0004, No. 98 
Non-Binding Recommendation #1 at pp. 4-5) 86 FR 24516, 24521. 
Discussion during CPWG meetings suggested that the purpose of 
recommending a definition for on-demand circulator pumps would be to 
allow for the possibility of considering them as a separate equipment 
class with a different standard level, while still applying the metric 
and test procedure to them. (Docket No. EERE-2016-BT-STD-0004-0069, p. 
199) The CPWG recommended defintion for ``on-demand circulator pumps'' 
is as follows:
    ``On-demand circulator pump'' means a circulator pump that is 
distributed in commerce with an integral control that:
     Initiates water circulation based on receiving a signal 
from the action of a user [of a fixture or appliance] or sensing the 
presence of a user of a fixture and cannot initiate water circulation 
based on other inputs, such as water temperature or a pre-set schedule.
     Automatically terminates water circulation once hot water 
has reached the pump or desired fixture.
     Does not allow the pump to operate when the temperature in 
the pipe exceeds 104 [deg]F or for more than 5 minutes continuously.
    (Docket No. EERE-2016-BT-STD-0004, No. 98 Non-Binding 
Recommendation #1 at pp. 4-5); 86 FR 24516, 24521.
    In addition, the CPWG recommended that an on-demand circulator pump 
must not be capable of operating without the control without physically 
destructive modification of the unit, such as any modification that 
would violate the product's standards listing. (Docket No. EERE-2016-
BT-STD-0004, No. 98 Non-Binding Recommendation #1 at p. 5); 86 FR 
24516, 24521.
    DOE requested comment regarding the CPWG-recommended definition of 
``on-demand circulator pump'' and whether it is appropriate to retain 
on-demand circulator pumps within the scope of future analysis. 86 FR 
24516, 24521.
    HI agreed with the recommended definition of on-demand circulator 
pumps and stated that the CPWG intention of defining them was for the 
purpose of possible exclusion from standards due to limited run hours. 
(HI, No. 112 at p. 3) Grundfos commented that on-demand products should 
be regulated as circulator pumps because they are built with standard 
circulator pumps that incorporate additional features, and that having 
them unregulated would create a loophole allowing less-efficient 
induction-based products to remain on the market. (Grundfos, No. 113 at 
p. 1-2) NEEA agreed with the recommended definition of on-demand 
circulator pumps, but did not agree that they should be treated 
separately by DOE regulations. NEEA commented that these pumps can save 
energy by reducing run time, and that these savings are not addressed 
in the recommended test method. NEEA recommended that in a future 
rulemaking, DOE consider the potential energy savings from domestic hot 
water run-hour controls and consider providing a ratings credit for 
circulator pumps equipped with efficient temperature, on-demand, timer, 
or learning run-hour controls. (NEEA, No. 115 at p. 4).
    DOE notes that HI 41.5-2021 does not address or refer to on-demand 
circulator pumps. The CPWG discussed that on-demand controls do not 
reduce the speed of the pump, but rather reduce the hours of use. Pumps 
with on-demand controls could also have speed controls, which the 
recommended metric would capture. (Docket No. EERE-2016-BT-STD-0004-
0069, p. 172-173) In addition, CPWG members discussed that the extent 
to which time-based controls are used is unknown (Id. at p. 176), and 
that rather than attempting to capture it in the metric, utility 
programs could consider prescriptive rebates associated with these 
controls. (Id. at p. 178) In addition, CPWG members suggested that 
legionella concerns would limit the application of on-demand 
controls.\14\ (Id. at p. 195-196)
---------------------------------------------------------------------------

    \14\ As discussed in the transcript, situations where water is 
stagnant and the temperature drops can result in growth of 
legionella.
---------------------------------------------------------------------------

    DOE proposes to define on-demand circulator pump at 10 CFR 431.462 
as recommended by the CPWG. DOE believes that the recommended added 
specification that the on-demand circulator pump must not be capable of 
operating without the control without physically destructive 
modification of the unit, such as any modification that would violate 
the product's standards listing, is already encompassed by the 
provision in the recommended definition that the control be 
``integral'' and by the definition of ``integral'' in 10 CFR 431.462: a 
part of the device that cannot be removed without compromising the 
device's function or destroying the physical integrity of the unit.
    DOE is not proposing to exclude on-demand circulator pumps from the 
scope of the test procedure. At this time, DOE has not considered 
developing a credit for these controls, as was suggested in comments. 
DOE notes that if on-demand circulator pumps are equipped with other 
controls that reduce speed as defined in section III.D.1, they may be 
tested according to the relevant test methods rather than using the no 
controls test. DOE will consider whether standards are appropriate for 
this equipment in a future energy conservation standards rulemaking.
    DOE requests comment on its proposal to include on-demand 
circulator pumps within the scope of this test procedure. DOE also 
requests data and information that would justify a CEI credit for on-
demand circulator pumps.
6. Applicability of Test Procedure Based on Pump Configuration
    In addition to recommending specific definitions, the CPWG also 
discussed and provided recommendations pertinent to the scope of 
applicability of the recommended circulator pumps test procedure. The 
CPWG recommended that the scope of the recommended test procedure would 
be limited to wet rotor circulator pumps, dry rotor close-coupled 
circulator pumps, and dry rotor mechanically-coupled circulator pumps, 
as discussed in section III.B.2. (Docket No. EERE-2016-BT-STD-0004, No. 
58, Recommendation #1A, at p. 1) The CPWG also recommended to limit the 
scope of the circulator pump rulemaking to clean water pumps only and 
to exclude header pumps and submersible pumps. (Docket No. EERE-2016-
BT-STD-0004, No. 58 Recommendations #2A and 2B at p. 2)
    In the January 2016 TP final rule, DOE established a definition for 
``clean water pump.'' 81 FR 4046, 4100 (Jan. 25, 2016). DOE 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. Id. at 4100. The CPWG reviewed this definition and, to 
be consistent with the general pumps rulemaking, recommended to limit 
the scope of the circulator pump

[[Page 72105]]

rulemaking to clean water pumps only, whereby 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 (0.25 
kilograms per cubic meter), and with a maximum dissolved solid content 
of 3.1 pounds per cubic foot (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 14 [deg]F (-10 [deg]C), as defined at 10 
CFR 431.462. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations 
#2A at p. 2) The CPWG discussed how this was important to ensure 
certain small, chemical process pumps would be excluded based on the 
fact that they are not designed to pump clean water. (Docket No. EERE-
2016-BT-STD-0004, No. 70 at pp. 36-42)
    DOE did not receive any comments on the May 2021 RFI related to the 
CPWG recommendation to limit scope of the circulator pump rulemaking to 
clean water pumps. DOE agrees with the CPWG that limiting the scope of 
the circulator pump rulemaking to clean water pumps, consistent with 
the scope of general pumps in 10 CFR 431.464, is appropriate. 
Regulation of chemical process pumps would require many other 
considerations beyond that for clean water pumps, and DOE believes that 
excluding small chemical process pumps from the scope of regulation 
would not create any loophole risks to the clean water circulator pump 
market. DOE proposes to apply the existing clean water pump definition 
to circulator pumps, thus limiting the scope of applicability of the 
proposed circulator pumps test procedure to circulator pumps that meet 
the definition of clean water pump.
    Regarding the exclusion of submersible pumps, the CPWG discussed a 
variety of close-coupled, wet rotor pumps that are typically used for 
decorative water features in swimming pools and ponds. (Docket No. 
EERE-2016-BT-STD-0004, No. 70 at pp. 47-63 and No. 47, pp. 523-525) The 
CPWG discussed how these decorative water feature pumps might otherwise 
meet the definition of a wet rotor circulator pump (see section 
III.B.2); however, these pumps are unique from traditional wet rotor 
circulator pumps, in that they are submersible pumps and, as such, are 
intended to be operated with the entire pump and motor assembly fully 
submerged in the pumped liquid. Therefore, the CPWG recommended to 
exclude submersible pumps from the scope of applicability of any 
circulator pump test procedure and standards. (Docket No. EERE-2016-BT-
STD-0004, No. 74 at pp. 299-303)
    In response to the May 2021 RFI, HI agreed with the scope agreed to 
by the CPWG. (HI, No. 112 at p. 3)
    DOE agrees with the CPWG that submersible decorative water feature 
pumps are similar in design to wet rotor circulator pumps in that they 
are wet rotor, rotodynamic pumps, but that they are intended to be 
operated with the entire pump and motor assembly fully submerged in the 
pumped liquid, which presents additional considerations for any test 
procedure and energy conservation standards. Given that these 
decorative water feature pumps are submersible, DOE does not believe 
that if unregulated they would pose any loophole risk to the clean 
water circulator pump market. Therefore, DOE proposes to exclude 
submersible pumps from the scope of applicability of the circulator 
pump test procedure. DOE notes that the definition of submersible pump 
recommended by the CPWG is identical to the definition that currently 
exists in 10 CFR 431.462, as adopted in the August 2017 DPPP TP final 
rule. 82 FR 36858, 36922. As such, DOE is not proposing amendments to 
that definition.
    As discussed in section III.B.4, DOE tentatively agrees with the 
recommended exclusion of header pumps and tentatively agrees with the 
inclusion of circulators-less volute. Also, as discussed in section 
III.B.5, DOE proposes to include on-demand circulator pumps within the 
scope of this test procedure. In summary, DOE proposes that the test 
procedure would be applicable to circulator pumps (as defined in 
section III.B.2) that are clean water pumps, including circulators-
less-volute and on-demand circulator pumps, and excluding header pumps 
and submersible pumps. The specific test methods proposed for 
circulator pumps are discussed in more detail in section III.D of this 
document.
    DOE requests comment on the proposed scope of applicability of the 
circulator pump test procedure to circulator pumps that are clean water 
pumps, and the exclusion of header pumps and submersible pumps from the 
scope of the proposed test procedure.
7. 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 the 
proposed circulator pump regulations, DOE is also proposing to rely on 
the definition of ``basic model'' as currently defined at 10 CFR 
431.462. Application of the current definition of ``basic model'' would 
allow manufacturers of circulator pumps to group similar models within 
a basic model to minimize testing burden, while ensuring that key 
variables that differentiate circulator pump energy performance or 
utility are maintained as separate basic models. As proposed, 
manufacturers would be required to test only a representative number of 
units of a basic model in lieu of testing every model they manufacture. 
As proposed, individual models of circulator pumps would be permitted 
to be grouped under a single basic model so long as all grouped models 
have the same representative energy performance, which is 
representative of the least efficient or most consumptive unit.
    Specifically, for pumps, DOE's existing definition of basic model 
is as follows:
    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; and, in addition, 
for pumps that are subject to the standards specified in 10 CFR 
431.465(b), the following provisions also apply:
    (1) All variations in numbers of stages of bare RSV and ST pumps 
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 
Sec.  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 this part); 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 this part 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 this 
part).


[[Page 72106]]


10 CFR 431.462

    DOE has reviewed this definition and has tentatively determined 
that the general definition is appropriate for circulator pumps. DOE 
understands that, like dedicated purpose pool pumps, circulator pumps 
are exclusively single-stage pumps and, therefore, the provision 
regarding variation in number of stages would not be applicable. 
Furthermore, DOE understands that, like each dedicated purpose pool 
pump motor model, each circulator pump model is offered with only one 
impeller diameter, unlike general pumps for which a given pump model 
may be sold with many different impeller diameters that are customized 
for each application. Therefore, DOE believes that the provision for 
grouping individual pumps that vary only in impeller diameter, or 
impeller trim, would also not be applicable to circulator pumps; any 
variation in impeller trim would constitute a separate basic model for 
circulator pumps. Finally, as neither the multistage nor impeller trim 
specifications for basic model designation apply to circulator pumps, 
the provision regarding variation in motor horsepower resulting from 
variation in either of those characteristics would also not apply to 
circulator pumps. Therefore, only the general provisions of the basic 
model definition would be applicable to circulator pumps and no 
additional provisions specific to circulator pumps would be necessary.
    DOE requests comment on the proposed applicability of the 
definition of ``basic model'' at 10 CFR 431.462 to circulator pumps and 
any characteristics unique to circulator pumps that may necessitate 
modifications to that definition.

C. Rating Metric

    As discussed in the May 2021 RFI, the CPWG focused on defining a 
performance-based metric that was similar to the PEI metric established 
for the January 2016 TP final rule. (Docket No. EERE-2016-BT-STD-0004, 
No. 64 at pp. 246-247) The CPWG recommended using the 
PEICIRC metric, which would be defined as the pump energy 
rating (``PER'') for the rated circulator pump model 
(``PERCIRC''), divided by the PER for a circulator pump that 
is minimally compliant with energy conservation standards serving the 
same hydraulic load (``PERCIRC,STD''). (Docket No. EERE-
2016-BT-STD-0004, No. 58, Recommendation #5 at p. 4); 86 FR 24516, 
24522.
    The equation for PEICIRC as recommended by the CPWG is 
shown in the equation (1):
[GRAPHIC] [TIFF OMITTED] TP20DE21.000

Where:

PERCIRC = circulator pump energy rating (hp); and
PERCIRC,STD = pump energy rating for a minimally 
compliant circulator pump serving the same hydraulic load.
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #5 at p. 
4); 86 FR 24516, 24522.

    As stated in the May 2021 RFI, PERCIRC would be 
determined as the weighted average input power to the circulator pump 
motor or controls, if available, to a given circulator pump over a 
number of specified load points. Due to differences in the various 
control varieties available with circulator pumps, the CPWG recommended 
that each circulator pump control variety have unique weights and test 
points that are used in determining PERCIRC.\15\ (Docket No. 
EERE-2016-BT-STD-0004, No. 58 Recommendations #6A and #6B at pp. 4-6) 
86 FR 24516, 24522. The test points, weights, and test methods 
necessary for calculating PERCIRC for pressure controls, 
temperature controls, manual speed controls, external input signal 
controls, and circulator pumps with no control (i.e., without external 
input signal, manual, pressure, or temperature control) \16\ are 
described in section III.D. 86 FR 24516, 24522.
---------------------------------------------------------------------------

    \15\ In order to determine weighted average input power, input 
power must be measured at multiple test points, and each test point 
must be weighted. The test points and weights for each test method 
are discussed in section III.D.
    \16\ In this document, circulator pumps with ``no controls'' are 
also inclusive of other potential control varieties that are not one 
of the specifically identified circulator pump control varieties. 
Any circulator pump without one of the defined control varieties 
would be treated as a circulator pump with no controls, regardless 
of whether it is a single-speed circulator pump or has a control 
variety not defined in this test procedure. See section III.D.7 of 
this document.
---------------------------------------------------------------------------

    As recommended by the CPWG, PERCIRC,STD would be 
determined similarly for all circulator pumps, regardless of control 
variety. PERCIRC,STD would represent the weighted average 
input power to a minimally compliant circulator pump serving the same 
hydraulic load. As such, PERCIRC,STD would essentially 
define the minimally compliant circulator pump performance, such that 
the energy conservation standard level would always be defined as 1.00, 
and lower numbers would represent better performance. The CPWG 
discussed the derivation of PERCIRC,STD in the Working Group 
negotiations and, ultimately, recommended a standard level that is 
nominally equivalent to a single-speed circulator pump equipped with an 
electrically commutated motor. (Docket No. EERE-2016-BT-STD-0004, No. 
102 at pp. 53-56; Docket No. EERE-2016-BT-STD-0004, No. 98 
Recommendations #1 and 2A-D at pp. 1-4); 86 FR 24516, 24522.
    The CPWG specified a method for determining PERCIRC,STD 
with procedures to determine the minimally compliant overall efficiency 
at the various test points based on the hydraulic performance of the 
rated circulator pump. (Docket No. EERE-2016-BT-STD-0004, No. 98 
Recommendations #1 and 2A-D at pp. 1-4); 86 FR 24516, 24522. As 
discussed, PERCIRC,STD would represent the energy efficiency 
of a circulator pump that is minimally compliant with the applicable 
energy conservation standard, should DOE establish such a standard. 
Were DOE to conduct a rulemaking to propose energy conservation 
standards for circulator pumps, DOE would discuss in detail the 
derivation of PERCIRC,STD, as well as an analysis as 
required by EPCA to evaluate any such standard level to determine the 
level designed to achieve the maximum improvement in energy efficiency 
that is technologically feasible and economically justified, as 
required under EPCA.\17\ DOE notes that the recommended method for 
determining PERCIRC,STD relies on the

[[Page 72107]]

hydraulic horsepower of the rated circulator pump. DOE discusses 
measurement of this parameter in section III.G.
---------------------------------------------------------------------------

    \17\ For more information on any energy conservation standard 
rulemaking for circulator pumps see Docket No. EERE-2016-BT-STD-
0004.
---------------------------------------------------------------------------

    DOE requested comment on the CPWG recommendation to adopt 
PEICIRC as the metric to characterize the energy use of 
certain circulator pumps and on the recommended equation for 
PEICIRC, including whether anything in the technology or 
market has changed since publication of the 2016 Term Sheets that would 
lead to this metric no longer being appropriate. 86 FR 24516, 24522.
    In response, HI and Grundfos recommended changing the metric 
nomenclature from PEICIRC to CEI (Circulator Energy Index) 
to avoid confusion and/or differentiate coverage from the general pump 
rule. (HI, No. 112 at p. 3; Grundfos, No. 113 at p. 2) HI similarly 
recommended corresponding changes to PERCIRC to CER 
(Circulatory Energy Rating). (HI, No. 112 at p. 3). As stated in 
section III.E.1, the Advocates and NEEA supported adopting HI 41.5-
2021, the industry rating guideline, that includes the updated metric 
nomenclature discussed by HI in its comments. (Advocates, No. 114 at p. 
1; NEEA, No. 115 at p. 4-5). The CA IOUs also supported modifying the 
term sheet to adopt HI 41.5-2021, and supported adopting term sheet 
provisions including the definition of CEI. (CA IOUs, No. 116 at p. 2, 
5)
    DOE agrees with the CPWG that the recommended PEICIRC 
metric, as shown in equation (1), will reasonably reflect the energy 
use of circulator pumps over a representative average use cycle. DOE 
also agrees with commenters that changing the name of the metric to CEI 
will reduce possibility for confusion. As such, DOE proposes to adopt 
the CEI metric as the performance-based metric for representing the 
energy performance of circulator pumps, as defined in equation (2), and 
consistent with section 41.5.3.2 of HI 41.5-2021. DOE notes that while 
HI 41.5-2021 defines the denominator as CERREF, DOE believes 
that the terminology CERSTD is more reflective of the 
Federal energy conservation standards. Any standards considered for any 
circulator pumps for which the CEI is applicable would use this metric 
as a basis for the standard level.
[GRAPHIC] [TIFF OMITTED] TP20DE21.001

Where:

CER = circulator energy rating (hp); and
CERSTD = circulator energy rating for a minimally 
compliant circulator pump serving the same hydraulic load.

    DOE requests comment on its proposal to adopt CEI as the metric to 
characterize the energy use of certain circulator pumps and on the 
proposed equation for CEI.

D. Test Methods for Different Circulator Pump Categories and Control 
Varieties

    Many circulator pumps are sold with a variable speed drive and 
controls (i.e., logic or user interface) with various control 
strategies that reduce the required power input at a given flow rate to 
save energy. The primary varieties of control recommended by the CPWG 
include manual speed controls, pressure controls, temperature controls, 
and external input signal controls. (Docket No. EERE-2016-BT-STD-0004, 
No. 58 Recommendations #4 at p. 4) In order for the test procedure to 
produce results that reflect variations in energy consumption 
associated with the various control strategies that could be 
implemented in a circulator pump, the CPWG recommended that DOE 
establish different test methods for each control variety in the 
circulator test procedure. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendations #6A and #6B at pp. 4-6)
    Manual speed controls are controls in which the speed of the motor 
is adjusted manually, typically at the time of installation, to match 
the system head and flow requirements of the installation.
    Pressure controls are controls that use a variable speed drive to 
automatically adjust the speed of the motor based on the pressure in 
the system at any given time according to a fixed constant or 
proportional (i.e., sloped) control curve.\18\ Models with pressure 
controls typically provide several fixed control curve options 
available to accommodate different systems with varying pressure drops 
across different zones. These controls are typically installed in 
multi-zone hydronic heating applications to vary the speed of the 
circulator pump, based on the number of zones open, in order to achieve 
the appropriate flow rate through each zone.
---------------------------------------------------------------------------

    \18\ Constant pressure control curves supply the same non-zero 
head pressure regardless of flow. Proportional pressure control 
curves reduce head in response to a reduction in flow, but maintain 
a minimum head pressure at zero flow.
---------------------------------------------------------------------------

    Adaptive pressure controls are a specific variety of pressure 
controls that use pressure sensors to continually evaluate the head and 
flow requirements in the system and adjust the sensitivity of the 
control response \19\ to specifically suit the system's head and flow 
requirements. In addition to being designed to operate in multi-zone 
systems, adaptive pressure controls may also have the ability to 
operate in a single zone system, such as a domestic hot water 
recirculation system, to adjust for any oversizing that might have 
occurred in the design and pump selection process. As such, adaptive 
pressure controls have the potential to save more energy than 
conventional (i.e. non-adaptive) pressure-based controls.
---------------------------------------------------------------------------

    \19\ In adaptive pressure controls, the sensitivity of the 
control response is adjusted by changing the slope of the control 
curve.
---------------------------------------------------------------------------

    Temperature controls are controls that use a variable speed drive 
to automatically adjust the speed of the pump continuously over the 
operating speed range to respond to a change in temperature in the 
system. These controls may be installed in single- or multi-zone 
systems and adjust the circulator pump's operating speed to provide the 
optimum flow rate based on the heat load in each zone. Specifically, 
temperature controls are typically designed to achieve a fixed 
temperature drop through the system and will adjust the speed of the 
pump to increase or decrease the flow rate to precisely match the 
required thermal load (i.e., to maintain the target temperature drop). 
Unlike pressure controls, there are no minimum head requirements 
inherent to the temperature control, so temperature controls have the 
potential to use the least amount of energy to serve a given load.
    Finally, external input signal control refers to a system in which 
the speed of the circulator pump is controlled by control logic that is 
external to the circulator pump. This could be the case

[[Page 72108]]

in circulator pumps that are, for example, designed to be installed in 
conjunction with a boiler and are controlled by the boiler's firing 
controls, as opposed their own internal control logic.
    Section III.D.1 discusses DOE's proposed definitions for each of 
these circulator pump control varieties.
    Section III.D.2 discusses the proposed reference system curve that 
serves as a basis for rating each variety of circulator pump controls.
    Sections III.D.3 through III.D.7 discuss the specific test 
provisions being proposed for pressure controls, temperature controls, 
manual speed controls, external input signal controls, and no 
controls,\20\ respectively.
---------------------------------------------------------------------------

    \20\ In this document, circulator pumps with ``no controls'' are 
also inclusive of other potential control varieties that are not one 
of the specifically identified control varieties. See section 
III.D.7 of this document.
---------------------------------------------------------------------------

    In response to the May 2021 RFI, several stakeholders commented 
about components of CEI that differ by control type method. China 
stated that DOE should offer the specific data or calculation method 
for CERSTD and have executive consultation among World Trade 
Organization members before the procedure is officially published and 
implemented. China also commented that the weighted average input power 
for CEI is set differently than the international general rules, and 
requested that DOE offer scientific evidence for the weight assignment. 
(China, No. 111 at p. 3) Grundfos stated that the weights used in 
determining CEI should be aligned across control modes to simplify 
testing and that the baseline calculation method should match the 
control method weights. (Grundfos, No. 113 at p. 3) The CA IOUs 
supported the weighting points provided in the CPWG term sheets. (CA 
IOUs, No. 116 at p. 5)
    In response to China and Grundfos, DOE discusses the weighting 
assignments in the individual test methods within this section. In 
general, the CPWG recommended unique weights for most control 
varieties, which were understood to be representative of their 
operation in the field. (See sections III.D.3, III.D.4, III.D.5, and 
III.D.6. of this NOPR)
    HI 41.5-2021 section 41.5.3 specifies rating the most consumptive 
and least consumptive of the control curves that are available on a 
circulator pump as shipped. The industry test standard provides an 
example stating that if pressure control is the most consumptive option 
and multiple pressure control curve settings are provided, the 
circulator pump would be tested and rated per the pressure control test 
method, but with the most and least consumptive control curves. DOE 
notes that this example does not seem consistent with the preceding 
text, and that in the HI Energy Rating portal for circulator pumps,\21\ 
the most consumptive rating is always based on full speed (no 
controls), while the least consumptive rating is based on one of the 
control varieties on-board, if any.
---------------------------------------------------------------------------

    \21\ The HI Energy Rating portal is available at er.pumps.org/circulator/ratings.
---------------------------------------------------------------------------

    In response to the May 2021 RFI, HI stated that for clarity, and to 
align with the CPWG negotiated intent (referencing page 473 of the CPWG 
transcript from July 13, 2016), DOE should implement the least 
consumptive control mode CEI for the regulatory rating. (HI, No. 112 at 
p. 2)
    NEEA commented that in the context of the CPWG recommendation, they 
would expect most manufacturers to rate with the least consumptive 
control curve available, which would encourage manufacturers to produce 
circulator pumps with efficient controls and would enable utilities to 
identify equipment with efficient control options. NEEA also suggested 
that DOE also allow circulator pumps with multiple control options to 
be rated with the most consumptive control curve available, consistent 
with HI 41.5-2021. NEEA stated that allowing circulator pumps to have 
multiple ratings would encourage adoption of energy efficient options 
and technologies beyond the minimum threshold, while holding all 
manufacturers to a consistent standard of performance and providing 
information for consumers to fully understand the energy consumption of 
the equipment. (NEEA, No. 115 at p. 5)
    The CPWG did not make a specific recommendation on how to select 
which control mode to use for a rating other than that for pressure 
controls, a manufacturer should be able to choose the tested control 
curve, when multiple options are available, but should report the 
control curve used and method of adjustment (e.g., whether the rating 
was achieved through automatic speed adjustment, manual speed 
adjustment or through simulated pressure signal) to DOE with 
certification reporting. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #9 at p. 7)
    If given the option to choose a control variety for rating, DOE 
expects that most manufacturers would choose the least consumptive 
control curve. DOE reviewed the transcript cited by HI and did not 
identify justification that the intent of the CPWG was to recommend 
testing the least consumptive control mode. DOE believes that proposing 
a least consumptive approach, as suggested by HI, could require 
manufacturers to conduct multiple tests to identify the least 
consumptive control curve, which may cause additional burden. DOE does 
not think it is likely that a requirement to identify the least 
consumptive control curve would provide additional benefits to 
manufacturers (beyond that from an allowance to choose a control curve 
to test) such as an incentive to develop energy efficient control 
strategies. DOE proposes the approach presented in the CPWG 
recommendation, which would allow manufacturers to select the control 
variety used for testing if multiple control varieties are available on 
the circulator pump. In response to NEEA's recommendation to also allow 
ratings with the most consumptive control curve available, DOE proposes 
in this NOPR that manufacturers may select multiple control varieties 
with which to test their circulator pumps. DOE will address 
certification reporting requirements in any future energy conservation 
standard rulemaking.\22\
---------------------------------------------------------------------------

    \22\ For more information on any energy conservation standard 
rulemaking for circulator pumps see Docket No. EERE-2016-BT-STD-
0004.
---------------------------------------------------------------------------

    DOE requests comment on the proposal to allow manufacturers to 
select the control variety used for testing if the circulator pump 
model is distributed in commerce with multiple control varieties. DOE 
specifically requests comment on whether DOE should instead require 
manufacturers to test a circulator pump model that offers multiple 
control varieties with the least consumptive control variety. DOE also 
requests comment on the burden that would be associated with such an 
approach.
1. Definitions Related to Circulator Pump Control Varieties
    As stated in the May 2021 RFI, the CPWG recommended definitions for 
the following control varieties for circulator pumps: Manual speed 
control, pressure control, temperature control, and external input 
signal control. 86 FR 24516, 24523. The definitions of these pump 
control varieties recommended by the CPWG are as follows:
     Manual speed control means a control (variable speed drive 
and user interface) that adjusts the speed of a driver based on manual 
user input.
     Pressure control means a control (variable speed drive and 
integrated logic) that automatically adjusts the speed of the driver in 
response to pressure.

[[Page 72109]]

     Temperature control means a control (variable speed drive 
and integrated logic) that automatically adjusts the speed of the 
driver continuously over the driver operating speed range in response 
to temperature.
     External input signal control means a variable speed drive 
that adjusts the speed of the driver in response to an input signal 
from an external logic and/or user interface.
    (Docket No. EERE-2016-BT-STD-0004, No. 58, Recommendation #4 at p. 
4) 86 FR 24516, 24523.
    DOE requested comment on the recommended definitions for manual 
speed control, pressure control, temperature control, and external 
input signal control. 86 FR 24516, 24523.
    In response to the May 2020 RFI, HI agreed with the current scope 
and definition recommended by the CPWG and noted that the definitions 
have not been changed in the adoption of HI 41.5-2021. (HI, No. 112 at 
p. 4). Grundfos and the CA IOUs also agreed with these definitions for 
control methods (Grundfos, No. 113 at p. 3; CA IOUs, No. 116 at p. 5) 
As stated previously, NEEA and the Advocates in general supported the 
term sheet recommendations. (Advocates, No. 114. at p. 1; NEEA, No. 115 
at p. 2) DOE notes that HI 41.5-2021 section 41.5.1.5.1 includes 
definitions for manual speed control, pressure control, temperature 
control, and external input signal control that are identical to the 
CPWG recommendations.
    DOE has reviewed these definitions recommended by the CPWG and 
believes that the definitions appropriately describe the 
characteristics of the relevant circulator pump controls. Furthermore, 
DOE believes these definitions appropriately identify each type of 
control for the purpose of determining the applicable test method based 
on the characteristics of a circulator pump's control variety. 
Therefore, consistent with CPWG recommendations and continued 
stakeholder support, DOE proposes to define external input signal 
control, manual speed control, pressure control, and temperature 
control as recommended by the CPWG and consistent with HI 41.5-2021.
    In the May 2021 RFI, DOE noted that the CPWG did not recommend a 
definition for adaptive pressure controls, although it did recommend a 
separate test procedure for them, because, as discussed by the CPWG, 
adaptive pressure controls are able to adjust the slope of the control 
curve to fit the system needs through an ongoing learning process 
inherent in the software. (Docket No. EERE-2016-BT-STD-0004, No. 72 at 
pp. 45-46) 86 FR 24516, 24523.
    DOE requested comment on a possible definition for adaptive 
pressure control. 86 FR 24516, 24523. Grundfos generally objected to 
addressing adaptive pressure control in the DOE test procedure. 
(Grundfos, No. 113 at p. 3; see discussion in section III.D.3), but did 
not comment specifically on the definition.
    DOE notes that HI 41.5-2021 section 41.5.1.5.1 includes the 
following definition for adaptive pressure control: ``a pressure 
control that adjusts the control curve automatically based on the 
conditions of use.'' DOE believes that this definition would benefit 
from additional clarity regarding the conditions to which the control 
responds; specifically, DOE proposes to define adaptive pressure 
control as follows:
    Adaptive pressure control means a pressure control that 
continuously senses the head requirements in the system in which it is 
installed and adjusts the control curve of the pump accordingly.
    DOE requests comment on its proposed definition of adaptive 
pressure control.
    In the May 2021 RFI, DOE requested comment on whether any 
additional control variety is now currently on the market and if it 
should be considered in this rulemaking. 86 FR 24516, 24523. In 
response, HI stated that it is not aware of any additional control 
methods. (HI, No. 112 at p. 4) NEEA recommended that in a future 
rulemaking, DOE consider the potential energy savings from domestic hot 
water controls, especially temperature-based controls. NEEA suggested 
that DOE consider providing a CEI credit for circulator pumps equipped 
with efficient temperature, on-demand, timer, or learning run-hour 
controls. (NEEA, No. 115 at p. 4)
    DOE acknowledges that additional controls exist for circulator 
pumps that reduce run-time rather than reduce speed. DOE proposes to 
limit the promulgation of test methods in this rulemaking to those 
control varieties recommended by the CPWG, which include only controls 
that reduce speed, and may consider additional control varieties in 
future rulemakings. DOE discusses the concept of applying ``credits'' 
for on-demand controls in section III.B.5 of this document.
2. Reference System Curve
    The May 2021 RFI stated that all recommended test methods for 
circulator pump control varieties, which involve variable speed control 
of the circulator pump, specify test points with respect to a 
representative system curve. That is, for circulator pumps with manual 
speed controls, pressure controls, temperature controls, or external 
input signal controls, a reference system curve is implemented to be 
representative of the speed reduction that is possible in a typical 
system to provide representative results. For circulator pumps with no 
controls, no reference system is required as measurements are taken at 
various test points along a pump curve at maximum speed only. 86 FR 
24516, 24523.
    Such a reference system curve describes the relationship between 
the head and the flow at each test point in a typical system. 
Additionally, a reference system curve that is representative of a 
typical system in which circulator pumps are installed may also allow 
for the differentiation of control varieties to be reflected in the 
resulting ratings. 86 FR 24516, 24523. The CPWG recommended that DOE 
incorporate a quadratic reference system curve, which intersects the 
BEP and has a static offset of 20 percent of BEP head, as shown in 
equation (3). (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations 
#8 at pp. 6-7) 86 FR 24516, 24523.
[GRAPHIC] [TIFF OMITTED] TP20DE21.002

Where:

H = the pump total head (ft),
Q = the flow rate (gpm),

[[Page 72110]]

Q100 = flow rate at 100 percent of BEP flow 
(gpm), and
H100 = pump total head at 100 percent of BEP flow 
(ft).
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations #8 at pp. 
6-7); 86 FR 24516, 24523.

    In the May 2021 RFI, DOE requested comment on whether the CPWG-
recommended reference system curve shape, including the static offset, 
is reasonable for circulator pumps. 86 FR 24516, 24523. HI, Grundfos, 
and the CA IOUs agreed with the recommended reference curve. (HI, No. 
112 at p. 4; Grundfos, No. 113 at p. 3; CA IOUs, No. 116 at p. 5).
    DOE notes that the reference curve in equation (3) is consistent 
with HI 41.5-2021, which includes this reference curve in each of the 
individual control test methods (sections 41.5.3.4.2 #3d, 41.5.3.4.3 
#2, 41.5.3.4.4.1 #2, 41.5.3.4.4.2 #2, and 41.5.3.4.5 #2d). DOE has 
tentatively determined that the reference curve established for general 
pumps would provide representative results for circulator pumps. As 
such, DOE proposes to adopt the reference curve as shown in equation 
(3).
3. Pressure Control
    As described in the May 2021 RFI, pressure controls are a variety 
of circulator pump control in which the variable speed drive is 
automatically adjusted based on the pressure in the system. For 
example, such controls are common in multi-zone hydronic heating 
applications where the flow and speed are adjusted in response to zones 
opening or closing. CPWG recommended that for all circulator pumps 
distributed in commerce with pressure controls, the PERCIRC 
should be calculated as the weighted average input power at 25, 50, 75, 
and 100 percent of BEP flow with unique weights shown in equation (4):
[GRAPHIC] [TIFF OMITTED] TP20DE21.003

Where:

PERCIRC = circulator pump energy rating (hp);
wi = weight of 0.05, 0.40, 0.40, and 0.15 at test points 
of 25, 50, 75, and 100 percent of BEP flow, respectively;
Pin,i = power input to the driver at each test point i 
(hp); and
i = test point(s), defined as 25, 50, 75, and 100 percent of the 
flow at BEP.
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations #6A at pp. 
4-5 and #7 at p.6); 86 FR 24516, 24523-24524.

    The CPWG recommended the weights of 0.05, 0.40, 0.40, and 0.15 at 
test points of 25, 50, 75, and 100 percent of BEP flow, respectively, 
based on subcommittee review of other relevant test methods that 
document the typical load profile of hydronic heating and/or cooling 
applications, including AHRI 550/590-2011 ``Performance Rating Of 
Water-Chilling and Heat Pump Water-Heating Packages Using the Vapor 
Compression Cycle,'' ASHRAE 103 ``Method of Testing for Annual Fuel 
Utilization Efficiency of Residential Central Furnaces and Boilers, and 
EN 16297-1:2012 ``Pumps. Rotodynamic pumps. Glandless circulators. 
General requirements and procedures for testing and calculation of 
energy efficiency index (EEI),'' as well as the fact that pumps with 
pressure controls will unlikely operate near BEP flow because systems 
are sized to be able to meet the full demand of the design day, which 
occurs only on rare occasion.\23\
---------------------------------------------------------------------------

    \23\ This discussion took place during a CPWG subcommittee 
meeting, so there is no transcript in the docket. This presentation 
includes the results from the subcommittee: https://www.regulations.gov/document/EERE-2016-BT-STD-0004-0027.
---------------------------------------------------------------------------

    In addition to the test point flow rates, the test method for 
pressure controls must also specify the head values (or range of head 
values) for evaluation. For pressure controls, the head values 
associated with the specified flow rates are determined by the control 
curve of the pressure control being evaluated. Traditional pressure 
controls typically follow a fixed, linear control curve that can 
represent maintenance of constant pressure at a variety of different 
flow rates, or can reduce the pressure as the flow is reduced. Often, a 
single circulator pump will be equipped with a number of different 
pressure control options, as illustrated in Figure III.1.
    The CPWG recommended testing circulator pumps with pressure 
controls using automatic speed adjustment based on the factory selected 
control setting, manual speed adjustment, or simulated pressure signal 
to trace a factory selected control curve setting that will achieve the 
test point flow rates with a head at or above the reference system 
curve. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #9 at 
p. 7) To test circulator pumps with pressure controls under this 
recommendation, manufacturers would select a pressure-based control 
curve for the purpose of the test procedure, provided that all of the 
head values that result from that are at or above the reference system 
curve discussed in section III.D.2. For example, Figure III.1 depicts 
three fixed pressure control options (low, medium, and high), but only 
the highest pressure control option results in head values that are all 
at or above the reference system curve. Under the CPWG's 
recommendation, the speed of the pump would be adjusted according to 
the selected control curve using one of three methods: Manual speed 
adjustment, simulated pressure signal, or automatic adjustment.

[[Page 72111]]

[GRAPHIC] [TIFF OMITTED] TP20DE21.004

    The CPWG also recommended that if a circulator pump with pressure 
controls is tested with automatic speed adjustment, that the pump can 
be manually adjusted to achieve 100 percent BEP flow and head point at 
max speed. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #9 
at p. 7); 86 FR 24516, 24524. DOE interpreted this to mean that the 
test point at 100 percent BEP flow and maximum speed may be generated 
using a combination of alternative speed control and throttling. This 
modification would be necessary in the event the manufacturer-selected 
control curve does not intersect the maximum speed pump curve at the 
BEP of the pump, as shown in Figure III.1. In such a case, the test 
point at 100 percent of BEP flow and maximum speed could be generated 
from the control curve at the maximum speed setting of the pump and 
throttled to reach the specific test point.
    In the May 2021 RFI, DOE requested comment on the recommended test 
methods, test points, and weights for circulator pumps with pressure 
controls. 86 FR 24516, 24524.
    HI recommended that DOE implement the testing methodology in HI 
41.5-2021 section 41.5.3.4.2 for pressure control, which does not 
require all test points on a control curve to exist above the reference 
curve. Specifically, HI asserted that the minimum system control head 
should be the value at 25 percent BEP on the reference curve for the 
manual control (and pressure control) method. HI stated that it found 
that intersecting the pump curve at BEP and requiring the control mode 
to be above the reference curve was too limiting. HI asserted that this 
approach did not represent the controls available in the market, nor 
did it properly demonstrate the benefit of the onboard controls. HI 
stated that section 41.5.3.4.2 allows controls to be rated below the 
reference curve with power correction back to the reference curve. (HI, 
No. 112 at 4) HI stated that this change eliminates the need for all 
control curves to exist above the reference curve, allowing for a 
better presentation of control curves used in the market and for the 
circulator pump CEI values to better represent a pump's capabilities. 
(HI, No. 112 at p. 2) HI provided an additional appendix in support of 
its recommendation for the changes. (HI, No. 112 at p.11-12) Grundfos 
recommended that DOE accept the approach defined in HI 41.5 for 
calculating CEI that allows for constant pressure control methods to be 
rated across the entire curve. (Grundfos, No. 113 at p. 2)
    The CA IOUs stated that experiences with field testing the metric 
on circulator pumps in the market led to discovering unintended 
challenges of testing both constant and proportional pressure controls 
in most applications. The CA IOUs noted that these products generally 
operate at head pressure below or significantly below the reference 
curve at one or more measurement points; thus, most programmed pressure 
control curves in a product are not testable under the

[[Page 72112]]

previous methodology. Some products do not have any pre-set control 
methods that meet all the requirements and thus must be tested as 
having no controls. The CA IOUs added that all of the below reference 
curve performance measurements remain valid after adjustment, since the 
adjustment uses an assumed constant efficiency calculation. The CA IOUs 
asserted that this ensures that products do not gain any arbitrary 
input power advantage from the head pressure below the reference curve 
adjustment. The CA IOUs stated that not addressing this issue would 
force DOE to grant numerous test procedure waivers. (CA IOUs, No. 116 
at pp.2, 4-5)
    DOE has reviewed the revised test method for pressure control in 
section 41.5.3.4.2 of HI 41.5-2021. DOE notes that HI 41.5-2021 does 
not include the CPWG recommendation to allow manual adjustment of 
automatic speed adjusted controls to achieve 100 percent BEP flow and 
head point at maximum speed (although this provision is included for 
adaptive pressure controls, discussed later in this section). As stated 
previously, DOE did not understand this recommendation to mean that the 
pressure control curve should intersect the pump curve at BEP, which HI 
noted in their comments was too limiting. However, section 41.5.3.4.2 
#2a-c of HI 41.5-2021 in general allows for throttling in combination 
with any of the three recommended methods to adjust speed: Automatic 
speed adjustment based on the factory selected control setting, manual 
speed adjustment, or simulated pressure signal to trace a factory 
selected control curve setting. In addition, as noted by HI, HI 41.5-
2021 also contains a requirement that the control curve setting must 
achieve 100 percent BEP flow of the reference curve. DOE understands 
this to mean that a control curve cannot include artificial limitations 
on speed. Otherwise, DOE understands that any control curve would be 
able to achieve 100 percent of BEP flow of the reference curve after 
intersecting with the maximum speed curve. Finally, DOE understands 
that the provision that the control must produce head equal to or 
greater than 25 percent of BEP head at a minimum of one test point is 
designed to limit testing of control curves that would not be viable in 
the field.
    DOE agrees with commenters that it is important for the test method 
to capture the variety of pressure controls on the market, and that 
correction back to the reference curve would prevent any unfair 
advantage among the variety of controls on the market. DOE notes that 
in this proposal, all three curves depicted in Figure III.1 could be 
used in this test method. For all of these reasons, DOE is proposing a 
test method for circulator pumps with pressure controls consistent with 
the method included in HI 41.5-2021. Specifically, DOE proposes that 
circulator pumps with pressure controls be tested at test points of 25, 
50, 75, and 100 percent of BEP flow based on a manufacturer-selected 
control curve that is available to the end user, must produce a head 
equal to or greater than 25 percent of BEP head at a minimum of one 
test point, and must achieve 100 percent BEP flow of the reference 
curve. DOE proposes that such the test points may be obtained based on 
automatic speed adjustment, manual speed adjustment, or simulated 
pressure signal, or a combination of these adjustments, including 
throttling. Additionally, DOE proposes that the CEI for circulator 
pumps with pressure controls be calculated with the unique weights and 
test points as shown in equation (4).
    DOE requests comment on the proposed test method for circulator 
pumps with pressure controls, including whether DOE's interpretation of 
the new provisions in HI 41.5-2021 are accurate.
    DOE is aware of some circulator pumps that are equipped with user-
adjustable pressure controls such that the maximum and minimum head 
values on the control curve can be set to specifically match the system 
into which the pump is being installed. DOE's interpretation HI 41.5-
2021 is that these types of controls are not addressed in the industry 
standard. To test such controls, DOE proposes that the maximum and 
minimum head values on user-adjustable pressure controls may be 
adjusted, if possible, to coincide with a maximum head value at the 
pump's BEP and a minimum head value equivalent to 20 percent of the BEP 
head value (consistent with the static offset of the proposed reference 
system curve). If only the maximum or minimum head value can be 
adjusted, DOE proposes that only the adjustable setting would be 
adjusted. In either case, DOE also proposes that the settings can be 
adjusted for testing only if they are adjustable by the user. DOE 
believes that this proposed methodology would result in the most 
representative performance of such adjustable controls by preventing 
the testing of specifically tuned control options that would not be 
representative of likely field performance. DOE notes that further 
adjustment to attain 100 percent of BEP head would be required.
    In summary, for adjustable pressure controls with user-adjustable 
maximum and/or minimum head values, DOE proposes to allow one-time 
manual adjustment of the maximum and/or minimum control curve head 
values, as applicable, to coincide with a maximum head value at the 
pump's BEP and a minimum head value equivalent to 20 percent of the BEP 
head value with all subsequent test points taken along the adjusted 
control curve.
    DOE requests comment on whether specific test provisions for 
circulator pumps equipped with user-adjustable pressure controls are 
needed, and if so, on the proposed provisions for such pumps.
    The CPWG also identified a specific style of pressure control that 
adapts the control curve setting dynamically to the system in which it 
is installed; the CPWG referred to this style of pressure control as 
adaptive pressure controls. (Docket No. EERE-2016-BT-STD-0004, No. 72 
at p. 45) As discussed in the introduction to section III.D, adaptive 
pressure controls are installed in similar applications as pressure 
controls, but can also be effective at reducing the head and flow 
provided in single-zone systems to adjust for typical pump oversizing. 
Also, due to the ability of adaptive pressure controls to measure and 
automatically adjust to the system requirements over time, adaptive 
pressure controls can result in optimized performance and energy use as 
compared to pressure-based controls. The CPWG noted that current 
adaptive pressure controls are learning-based controls that gradually 
adjust the pressure control set point over time based on the needs of 
the system. (Docket No. EERE-2016-BT-STD-0004, No. 72 at pp. 45-46) As 
such, the CPWG recommended separate test methods for pressure controls 
and adaptive pressure controls, noting the difference in operation and 
control logic between the control varieties. (Docket No. EERE-2016-BT-
STD-0004, No. 73 at p. 176) Specifically, the CPWG discussed that since 
adaptive pressure controls gradually adjust the control curve over time 
to optimize the pressure control performance for the system in which it 
is installed, the test method specified for circulator pumps with 
pressure controls was not applicable because there is no fixed pressure 
control curve that can be evaluated. (Docket No. EERE-2016-BT-STD-0004, 
No. 72 at pp. 45-46) Instead, adaptive pressure controls have a control 
``area'' that is defined by a minimum head value (Hauto_min 
and Hset_min), the maximum speed pump curve, and a maximum 
head value (Hset), as depicted in in Figure III.2.

[[Page 72113]]

[GRAPHIC] [TIFF OMITTED] TP20DE21.005

    Within the adaptive pressure control ``area,'' a multitude of 
different control curves may be selected based on the detected system 
head requirements. Therefore, the CPWG discussed the need to specify 
the ``control curve'' within an adaptive pressure control's control 
area along which such controls would be evaluated. (Docket No. EERE-
2016-BT-STD-0004, No. 66 at pp. 95-98) For circulator pumps with 
adaptive pressure controls, the CPWG recommended that testing be 
conducted at the minimum thresholds for head based on manufacturer 
literature and through manual speed adjustment to achieve the test 
point flow rates with head values at or above the reference curve. 
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #9 at p. 7); 
86 FR 24516, 24524.
    For example, in Figure III.2, the CPWG recommended test method 
would result in minimum head thresholds of Hauto_min at no 
flow conditions and Hset_min at maximum flow, essentially 
the bottom edge of the adaptive pressure control area. However, DOE 
notes that the CPWG also specified that the test points could not be 
below the reference system curve (specified in section III.D.2), 
similar to pressure controls. Therefore, the CPWG discussed how 
adaptive pressure controls would be tested through manual speed 
adjustment to test points that are at or above the reference system 
curve or minimum head thresholds of the adaptive pressure control area, 
whichever is greater. (Docket No. EERE-2016-BT-STD-0004, No. 66 at pp. 
95-98) This results in, for example, the test points denoted with the 
circles along the minimum pressure setting curve and the reference 
system curve in Figure III.2.
    In response to the May 2021 RFI, DOE requested comment on the 
recommended test methods, test points, and weights for circulator pumps 
with adaptive pressure controls. 86 FR 24516, 24524.
    In response, the CA IOUs encouraged DOE to incorporate 
representative field data for adaptive controls in a future test 
method, asserting there may be a minimal relationship between the 
preloaded defaults or reference curve and the eventual operating points 
of these devices in the field, in aggregate. The CA IOUs further 
recommended that DOE collaborate with industry to develop test 
procedures for these units to capture energy savings occurring in the 
overall marketplace. (CA IOUs, No. 116 at p. 7)
    Grundfos commented that adaptive pressure control should not be an 
allowed test method in DOE's regulations. Grundfos stated that adaptive 
pressure controls cannot be tested in the way they operate. Grundfos 
commented that because the recommended test procedure would allow such 
pumps to be manually adjusted to the reference curve, a manufacturer 
could state that any product has adaptive pressure controls and test 
the product in a manner that is not aligned with actual performance. 
(Grundfos, No. 113 at p. 3)
    DOE notes that the test method for such controls in HI 41.5-2021 
(section

[[Page 72114]]

41.5.3.4.2 #4) is consistent with the CPWG recommendation. Section 
41.5.3.4.2 #4 also allows for manual adjustment to achieve 100 percent 
BEP flow and head point at max speed.
    In response to Grundfos, DOE notes that, as recommended by the 
CPWG, the proposed test procedure would require minimum head thresholds 
to be documented in the manufacturer literature associated with the 
given circulator pump model and be accessible based on the capabilities 
of the control with which the pump is distributed in commerce. That is, 
the minimum head thresholds may be manually set before testing the pump 
(similar to adjustable pressure controls), but such adjustment must be 
possible on the control with which the circulator pump is distributed 
in commerce and described in the manufacturer's literature. DOE 
believes this would ensure that the evaluated control threshold is 
representative of minimum head values that are realized in the field.
    In response to the CA IOUs, DOE welcomes additional field data that 
could provide more information to support a future update of any 
finalized adaptive control test method. Based on the information 
currently available, DOE has tentatively determined that the adaptive 
pressure control test method recommended by the CPWG and proposed in 
this NOPR is reasonably designed to reflect energy use under typical 
operating conditions.
    In summary, consistent with HI 41.5-2021, for adaptive pressure 
controls, DOE proposes to test at each test point at the minimum 
thresholds for head noted in the manufacturer literature or the head 
values specified along the reference system curve, whichever is 
greater. In addition, although not included in HI 41.5-2021, DOE also 
proposes that if the pump does not have a manual control mode 
available, the speed would be adjusted based on the pressure control 
mode with the lowest head at each load point, and if the selected 
pressure control results in a head value below the reference system 
curve, the pump would be throttled to achieve a head value at or above 
the reference system curve.
    DOE requests comment on the proposed test methods for circulator 
pumps with adaptive pressure controls, and in particular on the 
proposed provisions not included in HI 41.5-2021, including for pumps 
without a manual control mode, whether throttling should be allowed to 
achieve head above the reference system curve, or instead head should 
be allowed below the reference system curve and adjusted back to the 
curve, as with other non-adaptive pressure controls. DOE also requests 
comment on the HI 41.5-2021 provision for manual adjustment to achieve 
100 percent BEP flow and heat point at max speed, which is not included 
for other pressure controls.
4. Temperature Control
    As previously discussed and as presented in the May 2021 RFI, 
temperature controls are controls that automatically adjust the speed 
of the variable speed drive in the pump continuously over the operating 
speed range to respond to a change in temperature of the operating 
fluid in the system. Typically, temperature controls are designed to 
achieve a fixed temperature differential between the supply and return 
lines and adjust the flow rate through the system by adjusting the 
speed to achieve the specified temperature differential. Similar to 
pressure controls, temperature controls are also designed primarily for 
hydronic heating applications. However, temperature controls may be 
installed in single- or multi-zone systems and will optimize the 
circulator pump's operating speed to provide the necessary flow rate 
based on the heat load in each zone. Unlike pressure controls, there 
are no minimum head requirements inherent to the temperature control, 
so temperature controls have the potential to use the least amount 
energy to serve a given load. 86 FR 24516, 24524.
    The CPWG recommended that for circulator pumps distributed in 
commerce with temperature controls, PERCIRC should be 
calculated in the same way and with the same weights as for pressure 
controls, as shown in equation (4).(Docket No. EERE-2016-BT-STD-0004, 
No. 58 Recommendation #6A at pp. 4-5); 86 FR 24516, 24524.
    As temperature controls serve similar hydronic heating applications 
as pressure controls, the CPWG assigned the same weights, which are 
representative of the loads the circulator pump is serving. (Docket No. 
EERE-2016-BT-STD-0004, No. 70 at pp. 113-115) Specifically, for 
circulator pumps with temperature controls, the CPWG recommended 
weights of 0.05, 0.40, 0.40, and 0.15 at test points of 25, 50, 75, and 
100 percent of BEP flow, respectively. (Docket No. EERE-2016-BT-STD-
0004, No. 58 Recommendation #7 at p.6)
    Since circulator pumps with temperature controls are not limited by 
head requirements present in pressure controls and can match the 
required speed to meet the demand of the system, the head values at the 
specified flow rates of 25, 50, 75, and 100 percent of BEP flow are not 
dictated by the control curve logic. As such, the temperature control 
is able to achieve the exact head values at each flow rate described by 
the reference system curve (discussed in section III.D.2). Assuming the 
reference system curve represents a typical system, testing temperature 
controls along the reference system curve represents their likely 
performance because temperature controls have the ability to sense and 
respond precisely to the load on the system.
    In addition to the test points, the CPWG also discussed how 
circulator pumps with temperature control should be controlled during 
testing. The CPWG discussed how testing temperature controls using 
conditioned water would be extremely burdensome and expensive. The CPWG 
discussed that providing less burdensome options for testing would 
represent a reasonable compromise to reduce the burden associated with 
testing temperature controls, while still resulting in representative 
energy performance ratings. (Docket No. EERE-2016-BT-STD-0004, No. 70 
at pp. 282-288) Therefore, the CPWG recommended that circulator pumps 
with temperature controls be tested based on manual speed adjustment or 
with a simulated temperature signal to activate the temperature-based 
control to achieve the test point flow rates with a head at or above 
the reference curve. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #9 at p. 7); 86 FR 24516, 24524.
    In the May 2021 RFI, DOE requested comment on the recommended test 
methods, test points, and weights for circulator pumps with temperature 
controls. Specifically, DOE requested comment on whether the technology 
or market for such controls has changed sufficiently since the term 
sheet to warrant a different approach. 86 FR 24516, 24524.
    HI stated that it was not aware of any technical or market changes. 
(HI, No. 112 at p. 4) Grundfos stated that temperature control is a 
form of external control (i.e., temperature sensor input to the 
controller), and that therefore, temperature control should be removed 
and included as part of external control for testing purposes. Grundfos 
suggested, however, that in this case manufacturers should be allowed 
to identify temperature control on their products. (Grundfos, No. 113 
at p. 3-4)
    DOE notes that the temperature control test method recommended by 
the CPWG is consistent with that in section 41.5.3.4.3 of HI 41.5-2021. 
In response to Grundfos, DOE notes that

[[Page 72115]]

the CPWG considered the category of external input signal controls as 
separate from temperature controls. Specifically, the CPWG noted that 
unlike pressure and temperature controls, for external input signal 
controls, the logic that defines how the circulator pump operating 
speed is selected in response to some measured variable (e.g., 
temperature, pressure, or boiler fire rate) is not integral to the 
circulator as distributed in commerce. Instead, it is part of another 
control system, such as a building management system or a boiler 
control system. (Docket No. EERE-2016-BT-STD-0004, No. 72 at p. 83-84) 
DOE also notes that the test method recommended by the CPWG and in HI 
41.5-2021 for circulator pumps with external input signal controls only 
and that cannot operate without an external signal control is the same 
as the test method for circulator pumps with temperature control. 
However, the CPWG recommended, and HI 41.5-2021 included, a different 
test method for external input signal controls with other control 
varieties or that can be operated without external input signal 
control. The reasons for this difference are discussed in section 
III.D.6. As such, DOE proposes to remain consistent with the CPWG 
recommendations and HI 41.5-2021 regarding specification of a 
temperature control test method.
    DOE tentatively determines that the CPWG for temperature controls 
would allow for temperature controls to be tested in a way that 
captures the potential energy savings from this control variety without 
being overly burdensome for manufacturers to conduct. Therefore, DOE 
proposes to adopt the recommendations of the CPWG to test temperature 
controls based on manual speed adjustment or with simulated temperature 
signal to activate the temperature-based control to achieve the test 
point flow rates with a head at or above the reference system curve. 
Additionally, DOE proposes to use the weights and test points shown in 
equation (4) for circulator pumps distributed in commerce with 
temperature controls.
    DOE requests comment on the proposed test methods, test points, and 
weights for circulator pumps with temperature controls.
5. Manual Speed Control
    As discussed previously and as stated in the May 2021 RFI, manual 
speed controls are a control variety for which the speed of the pump is 
adjusted manually, typically to one of several pre-set speeds, by a 
dial or a control panel to fit the demand of the system within which it 
is installed. The CPWG discussed how circulator pumps installed with 
manual speed controls are typically only adjusted one time upon 
installation, if at all, and will operate at that set speed as if it 
were a single-speed circulator pump. As such, many manual speed control 
circulator pumps operate at full speed in the field, while a portion of 
them may be turned down to a medium or low speed to suit the needs of 
the systems. (Docket No. EERE-2016-BT-STD-0004, No. 65 at pp. 131-133); 
86 FR 24516, 24524.
    Therefore, the CPWG recommended to test circulator pumps with 
manual speed controls both: (1) Along the maximum speed circulator pump 
curve to achieve the test point flow rates for the max speed input 
power values, and (2) based on manual speed adjustment to the lowest 
speed setting that will achieve a head at or above the reference curve 
at the test point flow rate for the reduced speed input power values. 
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #9 at p. 7); 
86 FR 24516, 24524.
    To accomplish a single rating representative of the ``average'' 
energy use of a manual speed circulator, the CPWG recommended that for 
circulator pumps distributed in commerce with manual speed controls, 
the PERCIRC should be calculated as the weighted average of 
Pin,max (the weighted average input power at specific load 
points across the maximum speed curve) and Pin,reduced (the 
weighted average input power at specific load points at reduced speed), 
but recommended separate load points and speed factors, as shown in 
equations (5), (6), and (7):
[GRAPHIC] [TIFF OMITTED] TP20DE21.006

Where:

PERCIRC = circulator pump energy rating (hp);
zmax = speed factor weight of 0.75;
Pin_max = weighted average input power at maximum 
rotating speed of the circulator (hp), as specified in equation (6);
zreduced = speed factor weight of 0.25; and
Pin_reduced = weighted average input power at reduced 
rotating speed of the circulator (hp), as specified in equation (7).
[GRAPHIC] [TIFF OMITTED] TP20DE21.007

Where:

Pin_max = weighted average input power at maximum speed 
of the circulator (hp);
wi_max = 0.25;
Pin,i_max = power input to the driver at maximum rotating 
speed of the circulator pump at each test point i (hp); and
i = test point(s), defined as 25, 50, 75, and 100 percent of the 
flow at BEP.

[[Page 72116]]

[GRAPHIC] [TIFF OMITTED] TP20DE21.008

Where:

Pin_reduced = weighted average input power at reduced 
speeds of the circulator (hp);
wi_reduced = 0.3333;
Pin,i_reduced = power input to the driver at reduced 
rotating speed of the circulator pump at each test point i (hp); and
i = test point(s), defined as 25, 50, and 75 percent of the flow at 
BEP of max speed and head values at or above the reference curve.
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #6B and 7 
at pp. 5-6); 86 FR 24516, 24524-24525.

    The CPWG specified the speed factor for maximum speed 
(zmax) and reduced speed (zreduced) to represent 
the likelihood that the circulator pump would operate at maximum versus 
reduced speed, or the likelihood that an installer would turn down the 
speed of the circulator pump in the field. The CPWG concluded that 
about 75 percent of the time, circulator pumps with manual speed 
controls are operated at maximum speed. (Docket No. EERE-2016-BT-STD-
0004, No. 71 at p. 377) Therefore, the CPWG recommended that the speed 
factor for maximum speed (zmax) should be 0.75 and the speed 
factor for reduced speed (zreduced) should be 0.25. (Docket 
No. EERE-2016-BT-STD-0004, No. 58 Recommendation #7 at p. 6)
    The CPWG concluded that when a circulator pump with manual speed 
control is installed and set to maximum speed, it operates like a 
single-speed pump and should receive the same weighting as a circulator 
pump with no controls for the maximum speed weights, represented as 
wi_max in equation (6). (Docket No. EERE-2016-BT-STD-0004, 
No. 70 at pp. 183-184) For the weights associated with reduced speeds 
using manual speed controls, the CPWG concluded that equal weighting of 
0.3333 for each of the reduced speed points of 25, 50, and 75 percent 
of BEP flow at maximum speed would best represent the ``average'' 
performance of the manual speed circulator pump at reduced speed, 
represented as wi_reduced in equation (7). (Docket No. EERE-
2016-BT-STD-0004, No. 71 at pp. 433-437)
    DOE requested comment on the CPWG-recommended test method and the 
unique test points, weights, and speed factors for circulator pumps 
distributed in commerce with manual speed controls. Specifically, DOE 
requested comment on whether the technology or market for such controls 
has changed sufficiently since the term sheet to warrant a different 
approach. 86 FR 24516, 24525.
    Grundfos recommended that DOE remove manual speed control from the 
regulation, stating that these pumps should be tested as circulator 
pumps with no control. (Grundfos, No. 113 at p. 4) Grundfos asserted 
that these devices are not manually controlled in real application and 
are simply set at a desired speed, violating the intention of energy 
savings and the intention of the ability to reduce speed during 
operation. (Grundfos, No. 113 at p. 3)
    DOE notes that the CPWG specifically addressed the issues raised by 
Grundfos in discussing how the test points at maximum speed were 
designed to represent the performance at maximum speed and account for 
operation at maximum speed the majority of the time, while the test 
points at reduced speed allowed some ``credit'' for being able to 
reduce speed. (Docket No. EERE-2016-BT-STD-0004, No. 70 at p. 201-202) 
As stated previously, the CPWG concluded that about 75 percent of the 
time, circulator pumps with manual speed controls are operated at 
maximum speed, as reflected in its recommended procedure. (Docket No. 
EERE-2016-BT-STD-0004, No. 71 at p. 377) For these reasons, DOE 
proposes to include manual speed control as a test method in the 
circulator pump test procedure.
    HI recommended using the modified testing methodology in HI 41.5-
2021 section 41.5.3.4.5 for manual speed control. Specifically, HI 
believes the minimum system control head should be the value at 25 
percent BEP on the reference curve for the manual control (and pressure 
control) method. HI described its findings that intersecting the pump 
curve at BEP and requiring the control mode to be above the reference 
curve was too limiting. HI asserted that this did not represent the 
controls available in the market, nor did it properly demonstrate the 
benefit of the onboard controls. HI commented that section 41.5.3.4.5 
allows controls to be rated below the reference curve with power 
correction back to the reference curve. (HI, No. 112 at 5) HI stated 
that this change eliminates the need for all control curves to exist 
above the reference curve, allowing for a better presentation of 
control curves used in the market and for the circulator pump CEI 
values to better represent a pump's capabilities. (HI, No. 112 at p. 2)
    The Advocates supported the update in HI 41.5-2021 that includes a 
modification to correct for test data below the reference curve, 
stating that this improves representativeness for many circulator pump 
models. (Advocates, No. 114 at pp. 1-2) As stated previously, NEEA 
generally supported adopting HI 41.5-2021 as the test method for pumps, 
which incorporates these modifications discussed by HI and the 
Advocates. (NEEA, No. 115 at p. 4)
    DOE tentatively determines the CPWG recommendations regarding the 
test method for manual speed control circulator pumps are appropriate 
and representative, as they account for the likelihood that a 
circulator pump with manual speed controls will be installed and 
operated at maximum speed, but also accounts for the potential energy 
savings associated with reduced speed operation. However, DOE 
understands that through stakeholders' experience with using this test 
method, certain changes to the term sheet recommendations would improve 
representativeness by capturing the benefit of onboard controls 
available in the market. Therefore, DOE proposes to test circulator 
pumps with manual speed controls consistent with the provisions in 
section 41.5.3.4.5 of HI 41.5-2021, as follows: (1) The tested control 
must produce head equal to or greater than 25 percent of BEP head at a 
minimum of one test point (HI 41.5-2021 section 41.5.3.4.5 #2a), and 
(2) the control curve setting being evaluated must achieve 100 percent 
BEP flow of the reference curve (HI 41.5-2021 section 41.5.3.4.5 #2b). 
DOE also proposes that the CER be calculated as the weighted average of 
Pin,max and Pin,reduced, as shown in equations 
(5), (6), and (7), but with removal of the requirements for test points 
to be at or above the reference curve. DOE notes that HI 41.5-2021 
section 41.5.3.4.5 #3 still retains that provision, which DOE assumes 
to be an error based on HI's comments and recommendations in response 
to the May 2020 RFI.

[[Page 72117]]

    DOE also notes that the introductory text of HI 41.5-2021 section 
41.5.3.4.5 specifies that the test method applies to manual speed 
control, which can be operated without an external input signal, but 
DOE also believes this provision is superfluous as manual speed 
controls by definition do not require an external input signal.
    DOE requests comment on the proposed test method and the unique 
test points, weights, and speed factors for circulator pumps 
distributed in commerce with manual speed controls.
6. External Input Signal Control
    As discussed previously and as stated in the May 2021 RFI, the 
final control variety considered by the CPWG was external input signal 
controls. External input signal controls are controls in which the 
device that responds to the stimulus, or the primary control logic, is 
external to the circulator pump. Unlike pressure and temperature 
controls, the logic that defines how the circulator pump operating 
speed is selected in response to some measured variable (e.g., 
temperature, pressure, or boiler fire rate) is not part of the 
circulator, as distributed in commerce. Instead, it is part of another 
control system, such as a building management system or a boiler 
control system. (Docket No. EERE-2016-BT-STD-0004, No. 72 at p. 84) 86 
FR 24516, 24525.
    For circulator pumps that have only an external input signal 
control, the CPWG recommended testing along the reference control curve 
to achieve the test point flow rates with a head at or above the 
reference system curve with the same weights as temperature and 
pressure controls, as shown in equation (4). The CPWG recommended that, 
in order to ensure that the rating was representative of the 
performance of such pumps, the external input signal control must be 
the only control mode that can be used with the circulator pump, and 
the circulator pump must not be able to operate without an external 
input signal. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations 
#9 at pp. 7-8); 86 FR 24516, 24525.
    The CPWG asserted that if external input signal control is one of 
multiple options available on a circulator pump, or the pump is able to 
operate without an external input signal, it is less likely that the 
external input signal control option is going to be utilized since it 
requires external logic and equipment in order to operate properly. 
(Docket No. EERE-2016-BT-STD-0004, No. 72 at pp. 216-218, 229). The 
CPWG recommended testing circulator pumps with external input signal 
controls similar to manual speed controls. (Docket No. EERE-2016-BT-
STD-0004, No. 47 at p. 480) Specifically, the CPWG recommended testing 
a circulator pump sold with external input signal controls and another 
control variety with a simulated signal both: (1) Along the maximum 
speed circulator pump curve to achieve the test point flow rates for 
the max speed input power values and (2) with speed adjustment using a 
simulated signal to the lowest speed setting that will achieve a head 
at or above the reference curve at the test point flow rates for the 
reduced speed input power values. (Docket No. EERE-2016-BT-STD-0004, 
No. 58 Recommendation #9 at pp. 7-8); 86 FR 24516, 24525.
    As such, the CPWG recommended that for circulator pumps distributed 
in commerce with external input signal controls among other control 
varieties, the PERCIRC should be calculated as the weighted 
average of Pin,max (the weighted average input power at 
specific load points across the maximum speed curve) and 
Pin,reduced (the weighted average input power at specific 
load points at reduced speed), similar to circulator pumps with manual 
speed control, as shown in equation (8), (9), and (10):
[GRAPHIC] [TIFF OMITTED] TP20DE21.009

Where:

PERCIRC = circulator pump energy rating (hp);
Zmax = speed factor weight of 0.30;
Pin--max = weighted average input power at maximum 
rotating speed of the circulator pump (hp);
Zreduced = weighted average input power at reduced 
rotating speed of the circulator (hp).
[GRAPHIC] [TIFF OMITTED] TP20DE21.010

Where:

Pin--max = weighted average input power at maximum speed 
of the circulator (hp);
Wi--max = 0.25;
Pin.i--max = power input to the driver at maximum 
rotating speed of the circulator pump at each test point i (hp);and
i = test point(s), defined as 25, 50, 75, and 100 percent of the 
flow at BEP.
[GRAPHIC] [TIFF OMITTED] TP20DE21.011


[[Page 72118]]


Where:

Pin--reduced = weighted average input power at reduced 
speeds of the circulator pump (hp);
Wi--reduced = 0.3333;
Pin.i--reduced = power input to the driver at reduced 
rotating speed of the circulator pump at each test point i (hp); and
i = test point(s), defined as 25, 50, 75 percent of the flow at BEP 
of max speed and head values at or above the reference curve.
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendations #6B and #7 
at pp. 5-6); 86 FR 24516, 24525-24526.

    The CPWG recommended the speed factors of 0.30 at maximum speed and 
0.70 at reduced speed in order to produce a rating on an equivalent 
basis as that of a circulator pump with a typical differential pressure 
control. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #7 at 
p. 6). In addition, these speed factors would represent the likelihood 
that a circulator pump with an external input signal control is 
selected to operate with that external input signal control, and 
whether the signal it receives results in the circulator pump reducing 
speed. 86 FR 24516, 24526.
    DOE requested comment on the CPWG-recommended test method for 
circulator pumps distributed in commerce with only external input 
signal controls, as well as for those distributed in commerce with 
external input signal controls in addition to other control varieties. 
Specifically, DOE requested comment on whether the technology or market 
for such controls has changed sufficiently since the term sheet to 
warrant a different approach. 86 FR 24516, 24526.
    HI stated that it is not aware of any technical or market changes. 
(HI, No. 112 at p. 5). As stated previously, Grundfos recommended that 
external input and temperature controls be tested in the same way, with 
labeling to differentiate these control methods for consumer purposes. 
Grundfos stated that the functional characteristics are the same 
between both methods. (Grundfos, No. 113 at p. 4) DOE addressed this 
comment in section III.D.4.
    DOE notes that the CPWG-recommended test method for circulator 
pumps distributed in commerce with only external input signal controls 
is generally consistent with that found in section 41.5.3.4.4 of HI 
41.5-2021. HI 41.5-2021 contains additional specifications not found in 
CPWG recommendations that, for circulator pumps with only external 
input signal control, manual speed adjustment or simulated external 
input signal can be used to achieve the relevant flow rates (section 
41.5.3.4.4.1 #2). DOE also notes that the CPWG-recommended test method 
for circulator pumps distributed in commerce with external input signal 
controls in addition to other control varieties is mostly consistent 
with that found in section 41.5.3.4.4.2 of HI 41.5-2021. However, where 
the CPWG recommendations specify testing using a simulated signal, 
whereas HI 41.5-2021 specifies testing using manual speed adjustment 
(section 41.4.3.4.4.2 #2). In addition, HI 41.5-2021 does not specify 
using the lowest speed setting that results in a head value at or above 
the reference system curve; rather, it specifies to manually adjust the 
speed to achieve the specified flow rates with head at or above the 
reference control curve (section 41.4.3.4.4.2 #2).
    DOE proposes to specify a test method for circulator pumps sold 
only with external input signal control and that cannot operate without 
an external input signal. Specifically, DOE proposes to test along the 
reference system curve to achieve the test point flow rates with a head 
at or above the reference curve, and that CEI would be calculated as 
shown in equation (2). DOE also proposes to test circulator pumps sold 
with external input signal controls along with other controls, or which 
can be operated without an external input signal control, both: (1) 
Along the maximum speed circulator pump curve to achieve the test point 
flow rates for the max speed input power values and (2) with speed 
adjustment that will achieve a head at or above the reference system 
curve at the test point flow rates for the reduced speed input power 
values. DOE proposes that in either case, either manual speed 
adjustment or simulated external input signal can be used to achieve 
the relevant flow rates. DOE is not proposing that the speed adjustment 
include the ``lowest speed setting'' that results in a head value at or 
above the reference system curve; however, DOE addresses this issue in 
its enforcement provision proposals (section III.F.2). Finally, DOE 
proposes that the CEI should be calculated as the weighted average of 
Pin,max and Pin,reduced, as shown in equations 
(8), (9), and (10).
    Based on consideration of the CPWG recommendations and stakeholder 
comments, DOE tentatively concludes that the proposed test provisions 
for circulator pumps distributed in commerce with external input signal 
controls would produce representative results for such equipment and 
would not be unduly burdensome to conduct.
    DOE requests comment on the proposed test method and the unique 
test points, weights, and speed factors for circulator pumps 
distributed in commerce with external input signal controls. In 
particular, DOE requests comment on whether manual speed adjustment 
and/or simulated external input signal are appropriate for testing 
circulator pumps with external input signal only, as well as circulator 
pumps with external input signal in addition to other control 
varieties. DOE also seeks comment on whether it is necessary to 
reference the ``lowest speed setting'' when determining the appropriate 
test points. Finally, DOE seeks comment on whether the test points and 
weights for circulator pumps distributed in commerce with external 
input signal control in addition to other control varieties are 
appropriately reflective of their energy consumption in the field 
relative to other control varieties.
7. No Controls
    As discussed previously and as stated in the May 2021 RFI, for 
circulator pumps with no controls,\24\ the CPWG recommended testing the 
pump along the maximum speed circulator pump curve to achieve the test 
point flow rates of 25, 50, 75, and 100 percent of BEP flow. (Docket 
No. EERE-2016-BT-STD-0004, No. 58 Recommendation #9 at p. 7); 86 FR 
24516, 24526.
---------------------------------------------------------------------------

    \24\ In this document, circulator pumps with no controls are 
also inclusive of other potential control varieties that are not one 
of the specifically identified control varieties.
---------------------------------------------------------------------------

    The CPWG also recommended that for circulator pumps distributed in 
commerce without manual speed controls, pressure controls, temperature 
controls or external input signal controls, PERCIRC should 
be calculated with the unique weights and test points as shown in 
equation (11):

[[Page 72119]]

[GRAPHIC] [TIFF OMITTED] TP20DE21.012

Where:

PERCIRC = circulator pump energy rating (hp);
wi = 0.25;
Pin,i = power input to the driver at each test point i 
(hp); and
i = test point(s), defined as 25, 50, 75, and 100 percent of the 
flow at BEP.
(Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #6A at pp. 
4-5); 86 FR 24516, 24526.

    The CPWG recommended the 0.25 weights at each test point (i.e., 25, 
50, 75, and 100 percent of the flow at BEP) in order to account for the 
variety of systems and operating points a single-speed circulator pump 
may encounter. (Docket No. EERE-2016-BT-STD-0004, No. 70 at pp. 172-
173); 86 FR 24516, 24526.
    DOE requested comment on the CPWG-recommended test methods, test 
points, and weights for circulator pumps with no controls. 86 FR 24516, 
24526.
    HI stated that it is not aware of any changes; however, HI 
recommended that DOE change the term ``no controls'' to ``full speed'' 
to ensure market clarity and align with common terminology. (HI, No. 
112 at p. 5) Grundfos also recommended that DOE change this name to 
Full Speed to clarify the intent of the testing and make it clear that 
this test method is only to define the baseline circulator pump CEI and 
is not a qualified control method for rating a circulator pump by 
itself. (Grundfos, No. 113 at p. 4)
    DOE notes that the CPWG recommended test method for circulator 
pumps with no controls is consistent with that in section 41.5.3.4.1 of 
HI 41.5-2021 (``Determination of CER--Full Speed''). In response to 
Grundfos, DOE notes that the ``no controls'' test method as recommended 
by the CPWG and as proposed in this NOPR is a test method for rating a 
pump that does not have any of the other controls for which a test 
method is specified. DOE proposes to define this test method separately 
from the calculation to determine the CERSTD. In response to 
HI, DOE understands that as part of the HI Energy Rating program, 
manufacturers are using the no controls test to determine the most 
consumptive rating for their pumps. Therefore, in order to provide 
regulatory clarity about which pumps must be rated using the ``no 
controls'' test method, but also accommodate the option for any pump to 
be rated using the ``no controls'' test method, DOE proposes to refer 
to this test method in the regulatory text as the test method for 
circulator pumps without external signal, manual, pressure, or 
temperature controls (i.e., full speed test). DOE also proposes 
additional language in the scope section regarding this clarification.
    Consistent with the recommendations of the CPWG, DOE proposes to 
test circulator pumps without external input signal, manual, pressure, 
or temperature controls along the maximum speed circulator pump curve 
to achieve the test point flow rates. DOE agrees that since these 
circulator pumps with no controls are single-speed controls and only 
have a single speed, testing at maximum speed is representative of the 
typical operation of circulator pumps with no controls. Additionally, 
DOE proposes to use equation (11) with the unique weights and test 
points to test circulator pumps with no controls, with nomenclature 
updated from PERCIRC to CER.
    DOE requests comment on the proposed test method for circulator 
pumps distributed in commerce with no controls.

E. Determination of Circulator Pump Performance

    As stated in the May 2021 RFI, as part of the September 2016 CPWG 
Recommendations, the CPWG recommended that all test points be tested on 
a wire-to-water basis, in accordance with HI 40.6-2014, with minor 
modifications. The CPWG also recommended that if an updated version of 
HI 40.6 is published prior to publication of the test procedure final 
rule, DOE should review and incorporate the updated version. (Docket 
No. EERE-2016-BT-STD-0004, No. 58, Recommendation #10 at p. 8-9); 86 FR 
24516, 24526. The CPWG also recommended several modifications related 
to frequency of data collection, BEP speed, electrical measurement 
equipment, relevant parameters at specific load points, power supply 
characteristics, and rounding of values for calculating and reporting 
purposes. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #10 
at pp. 8-9)
    Two updated versions of HI 40.6--HI 40.6-2016 and HI 40.6-2021--
have been published since the CPWG meetings concluded. Section III.E.1 
discusses HI 40.6-2021, the industry standard, which DOE proposes to 
incorporate by reference, for measuring the performance of circulator 
pumps, noting the changes made from the previous version of HI 40.6-
2014. DOE believes that it is necessary to make several exceptions, 
modifications, and additions to this test procedure to ensure accuracy 
and repeatability of test measurements (sections III.E.2.a through 
III.E.2.c) and that the test method produces results that reflect 
energy efficiency or energy use during a representative average use 
cycle without being unduly burdensome to conduct. Additionally, DOE 
proposes specific procedures for calculating the CEI and rounding of 
values to ensure that the resultant ratings are determined in a 
consistent manner (section III.E.2.d).
1. Incorporation by Reference of HI 40.6-2021
    As stated in the May 2021 RFI, in 2016, HI published an updated 
industry standard, HI 40.6-2016, ``Methods for Rotodynamic Pump 
Efficiency Testing'' (``HI 40.6-2016''). 86 FR 24516, 24526. This 
update aligned the definitions and procedures described in HI Standard 
40.6 with the DOE test procedure for pumps published in the January 
2016 TP final rule. Appendix A to subpart Y to 10 CFR part 431. In the 
September 2020 Early Assessment RFI for pumps, DOE requested comment on 
the potential effect of incorporating HI 40.6-2016 by reference as the 
DOE test procedure for pumps. 85 FR 60734, 60737. Grundfos, NEEA, and 
HI commented that HI expects to publish another standard update in 2021 
and urged DOE to incorporate by reference HI 40.6-2021 rather than HI 
40.6-2016 (Grundfos, Docket No. EERE-2020-BT-TP-0032, No. 07 at p. 2; 
NEEA, Docket No. EERE-2020-BT-TP-0032, No. 08 at p. 6; HI, Docket No. 
EERE-2020-BT-TP-0032, No. 06 at pp. 1, 3). HI specified that HI 40.6-
2016 included updates to match DOE's test procedure for pumps, and that 
HI 40.6-2021 would further include editorial revisions and would add 
circulator pump testing, and also would not impact measured values, 
burden, or representativeness. (HI,

[[Page 72120]]

Docket No. EERE-2020-BT-TP-0032, No.06 at p. 3); 86 FR 24516, 24526. At 
the time of the May 2021 RFI development, HI 40.6-2021 was not yet 
published.
    In the May 2021 RFI, DOE sought comment and feedback on whether HI 
40.6-2016 or HI 40.6-2021 is an appropriate test method for conducting 
wire-to-water testing of circulator pumps, as recommended by the CPWG. 
In addition, DOE sought comment on whether the modifications in HI 
40.6-2016 and/or HI 40.6-2021 adequately capture the CPWG recommended 
modifications in Recommendation #10. 86 FR 24516, 24526.
    HI stated that HI 40.6-2021 should be incorporated by reference and 
that the 2021 edition modified the 2016 version only to add specific 
testing requirements for circulator pumps. (HI, No. 112 at p. 5) 
Grundfos also stated that DOE should accept HI 40.6-2021 for 
incorporation into the regulation and that it provides appropriate 
testing methods as defined by the CPWG. Grundfos also stated that there 
were some specific deviations from Recommendation #10 with respect to 
``Relevant Parameters at Specific Load Points.'' Specifically, Grundfos 
stated that while implementing the industry rating program, 
manufacturers identified that requiring all tested flow points to be 
within 10 percent of the reference curve was not feasible 
for pressure control, especially when operating at constant pressure at 
heads below the BEP head. Grundfos further stated that the HI committee 
made modifications to this recommendation in HI 41.5 that preserve the 
integrity of the calculation of efficiency and allow for these products 
to be properly tested and labeled. (Grundfos, No. 113 at p. 4-5)
    NEEA, the Advocates, and the CA IOUs recommended that DOE adopt HI 
41.5-2021 as the test method for circulator pumps. (NEEA, No. 115 at p. 
4, Advocates, No. 114 at p. 1, CA IOUs, No. 116 at p. 2) The Advocates 
stated that an update to the program guideline, HI 41.5-2021, includes 
a modification to correct for test data below the reference curve and 
that they understand that this change improves representativeness for 
many circulator pump models and is consistent with the intent of the 
term sheets. They also stated that HI 41.5-2021 includes additional 
minor modifications to improve accuracy and clarity. (Advocates, No. 
114 at pp. 1-2) Similarly, NEEA stated that HI 41.5-2021 includes 
slight modifications from the original term sheet for testing with 
pressure controls that operate below the reference curve, and that the 
modifications provide more representative values. (NEEA, No. 115 at 
p.4)
    China made several requests related to specific provisions in the 
HI 40.6 test procedure. China commented that DOE should present the 
information related to pump test acceptance grades and corresponding 
tolerance, referring to Table 8 of part 4.4.1 and the provision of part 
4.4.2 in ISO 9906:2012. China recommended that DOE clarify the 
scientific basis of the selection of the 7 test points which are 40, 
60, 75, 90, 100 and 120 percent of the flow rate at the expected BEP. 
China further recommended that DOE clarify the efficiency testing 
method for integrated design products of electric pumps. (China, No. 
111 at p. 3)
    Since publication of the May 2021 RFI, HI has published HI 40.6-
2021. DOE has reviewed HI 40.6-2021 and determined that the test 
methods contained within HI 40.6-2021 are generally consistent with HI 
40.6-2014 and are sufficiently specific and reasonably designed to 
produce test results to determine a CEI that is representative of an 
average use cycle of applicable circulator pumps. Specifically, Table 
40.6.2 of HI 40.6-2021, like HI 40.6-2014, defines and explains how to 
calculate driver power input,\25\ volume per unit time,\26\ pump total 
head,\27\ and other relevant quantities, which are essential to 
determining the metric.
---------------------------------------------------------------------------

    \25\ The term ``driver or control power input'' in HI 40.6-2021 
is defined as ``the power input to the driver or control;'' in this 
NOPR, DOE refers to ``driver power input'' as the power to either 
the motor or the controls, if present.
    \26\ The term ``volume per unit time'' in HI 40.6-2021 is 
defined as ``. . . the volume rate of flow in any given section . . 
. Also referred to as flow, flow rate, and rate of flow.''
    \27\ The term ``pump total head'' is defined in HI 40.6-2021 as 
``the algebraic difference between the outlet total head and the 
inlet total head'' and is used synonymously with the term ``head'' 
in this document.
---------------------------------------------------------------------------

    HI 40.6-2021 also contains appropriate specifications regarding the 
scope of pumps covered by the test method, standard rating conditions, 
equipment specifications, uncertainty calculations, and tolerances. The 
electrical measurement specification and associated equipment 
specifications in section C.4.3 of HI 40.6-2021 contain the relevant 
measurement specifications for certain non-energy metrics (i.e., true 
RMS current, true RMS voltage, and real power) that manufacturers may 
choose to make representations about for each rated circulator pump. 
These specifications also describe the relevant measurements used in 
the calculation of true power factor (``PF'') at each applicable load 
point for each circulator pump control variety, a non-energy metric 
manufacturers may wish to use to make representations. In addition, HI 
40.6-2021 contains a new appendix E with specific test instructions for 
circulator pumps. DOE notes that section 41.5.3.1 of HI 41.5-2021 
references Appendix E of HI 40.6-2021 as the test standard that governs 
measurements of all test points in the standard. DOE has reviewed HI 
40.6-2021 with respect to the minor modifications listed by the CPWG in 
Recommendation #10. DOE has found that recommendations regarding 
frequency of data collection are included in section 40.6.5.5.1, and 
recommendations regarding electrical measurement equipment and power 
supply characteristics are included in section C.3.4.1 and Table 
40.6.3.2.3. The recommendation regarding BEP speed--specifically, to 
test at max speed with no adjustment to nominal--is addressed in 
Appendix E of HI 40.6-2021, which excludes sections 40.6.5.5.2, 
40.6.6.1, and 40.6.6.1.1, dealing with the specified speed of rotation 
and translation to that specified speed. The recommendations for 
relevant parameters at specific load points have been addressed in 
Appendix E of HI 40.6-2021 as well as HI 41.5-2021, with some 
modifications. These provisions are discussed in section III.E.2.c of 
this NOPR. The recommendations for rounding values for calculation and 
reporting purposes are not addressed in HI 40.6-2021 or HI 41.5-2021; 
DOE discusses these provisions in section III.E.2.d of this document.
    In response to NEEA, the Advocates, and the CA IOUs, DOE does not 
propose to incorporate by reference HI 41.5-2021 as the test method for 
circulator pumps, as noted in section II. DOE instead proposes to rely 
on the industry test standard, HI 40.6-2021, with additional provisions 
in regulatory text consistent with HI 41.5-2021.
    In response to China, with respect to section 40.6.4.4 of HI 40.6-
2021, DOE notes that HI 40.6-2021 provides methods to determine energy 
efficiency as opposed to guaranteeing certain performance (e.g., pump 
head, flow, power, or efficiency) in a particular application. As such, 
acceptance grades are not relevant. However, HI 40.6-2021 does define 
permissible fluctuations in Table 40.6.3.2.2. With respect to the test 
points in 40.6.5.5.1, DOE discusses these further in section III.E.2.c 
of this document.
    With respect to section 40.6.3 of HI 40.6-2021 and the efficiency 
testing method of integrated design products of

[[Page 72121]]

electric pumps, DOE is not clear what is meant by ``integrated design 
products.'' However, section 40.6.4.4 of HI 40.6-2021 discusses 
determination of pump overall efficiency of a motor pump unit or a 
complete pump (i.e., bare pump, mechanical equipment, driver and drive 
coupled together and treated as an integral unit). In addition, 
Appendix E of HI 40.6-2021 specifies that for circulator pumps, all 
power measurements must be measured inclusive of the driver, or driver 
and controls when applicable, and refers to section 40.6.4.4.
    After considering stakeholder comments, DOE proposes to incorporate 
HI 40.6-2021, inclusive of Appendix E, for the purposes of testing 
circulator pumps, including the minor modifications and additions 
discussed previously. However, DOE also proposes to exclude certain 
sections of HI 40.6-2021 that are not relevant to determining the CEI 
of tested circulator pumps, as discussed in section III.E.2.a. 
Additionally, there are specifications that the CPWG recommended for 
the circulator pump test procedure that are not included in HI 40.6-
2021, including test arrangements for twin-head circulator pumps and 
circulators-less-volute specific procedures for calculating the CEI and 
rounding of values. DOE also discusses determination of driver power 
input at specified load points, as included in HI 40.6-2021 and HI 
41.5-2021, as compared to the CPWG recommendations. These modifications 
and additions are discussed in sections III.E.2.b through III.E.2.d of 
this document.
    DOE requests comment on the proposal to incorporate by reference HI 
40.6-2021, inclusive of Appendix E, into the proposed appendix D to 
subpart Y, with the exceptions, modifications, and additions described 
in section III.E.2 of this document.
2. Exceptions, Modifications and Additions to HI 40.6-2021
    In general, DOE finds the test methods contained within HI 40.6-
2021 are sufficiently specific and reasonably designed to produce test 
results to determine a CEI that is representative average use cycle of 
applicable circulator pumps. However, only certain sections of HI 40.6-
2021 are applicable to the proposed circulator pump test procedure. In 
addition, DOE proposes certain exceptions, modifications, and additions 
to ensure test results are sufficiently repeatable and reproducible, 
addressed in the subsequent sections III.E.2.a through III.E.2.d of 
this document.
a. Applicability and Clarification of Certain Sections of HI 40.6-2021
    Although DOE is incorporating by reference HI 40.6-2021 as the 
basis for its test procedure, DOE notes that some sections of the 
standard are not applicable to the circulator pump test procedure, 
while other sections require additional specification regarding their 
applicability when conducting the circulator pump test procedure.
    DOE is not proposing to reference section 40.6.4.1, ``Vertically 
suspended pumps,'' and section 40.6.4.2, ``Submersible pumps,'' of HI 
40.6-2021 in the circulator pump test procedure because circulator 
pumps are IL pumps and are not vertical turbine or submersible pumps. 
As such, the test provisions applicable to vertical turbine and 
submersible pumps described in section 40.6.4.1 and section 40.6.4.2 of 
HI 40.6-2021 would not apply to the circulator pump test procedure.
    Additionally, section 40.6.5.5.2 of HI 40.6-2021, ``Speed of 
rotation during test,'' requires that the speed of rotation to 
establish flow rate, pump total head, and power input be within the 
range of 80 percent to 120 percent of the rated speed. However, in the 
proposed circulated pump test procedure, rated or nominal speeds are 
not relevant, as DOE is not proposing that speed be measured as part of 
the test procedure. Similarly, section 40.6.6.1, ``Translation of test 
results to the specified speed of rotation,'' describes the method by 
which tested data can be translated to the rated speed of rotation for 
subsequent calculations and reporting purposes. As DOE is not proposing 
that speed be measured as part of this circulator pump test procedure, 
translation of tested results based on speed is not necessary. As a 
result, DOE is not proposing to reference sections 40.6.5.5.2 and 
40.6.6.1 (including 40.6.6.1.1) of HI 40.6-2021. This is consistent 
with the exclusions for circulator pump testing in Appendix E of HI 
40.6-2021.
    DOE also proposes to exclude section 40.6.5.3, ``Test report,'' 
that provides requirements regarding reporting of test results and 
Appendix B, ``Reporting of test results,'' that refers to DOE's 
existing reporting requirements at 10 CFR 429.59 for general pumps, 
both of which are not required for testing and rating circulator pumps 
in accordance with DOE's procedure. Specifically, the updated appendix 
B references specific reporting requirements established in the general 
pumps test procedure, of which not all specifications are applicable to 
circulator pumps. DOE would propose specific certification and 
reporting requirements for circulator pumps as part of an energy 
conservation standard rulemaking, should such standards be 
proposed.\28\
---------------------------------------------------------------------------

    \28\ For more information on any energy conservation standard 
rulemaking for circulator pumps see Docket No. EERE-2016-BT-STD-
0004.
---------------------------------------------------------------------------

    Finally, DOE proposes to exclude Appendix G, ``DOE compared to HI 
40.6 nomenclature,'' which refers to nomenclature used by DOE in the 
general pumps test procedure (appendix A to subpart Y of 10 CFR part 
431), and is not in all cases consistent with the terminology used in 
the proposed circulator pump test procedure.
    In summary, for the reasons stated previously, DOE is not proposing 
to reference sections 40.6.4.1, 40.6.4.2, 40.6.5.3, 40.6.5.5.2, 
40.6.6.1, 40.6.6.1.1, Appendix B, and Appendix G of HI 40.6-2021 as 
part of the DOE test procedure for circulator pumps.
    In addition, DOE notes that Appendix E of HI 40.6-2021 includes 
modifications to testing in section 40.6.5.5.1 and 40.6.6.3, as 
discussed in section III.E.2.c of this NOPR. DOE is proposing to 
reference HI 40.6-2021 inclusive of Appendix E and the modifications 
therein.
    DOE requests comment on its proposal to not reference sections 
40.6.4.1, 40.6.4.2, 40.6.5.3, 40.6.5.5.2, 40.6.6.1, 40.6.6.1.1, 
Appendix B, and Appendix G of HI 40.6-2021 as part of the DOE test 
procedure for circulator pumps.
b. Testing Twin Head Circulator Pumps and Circulators-Less-Volute
    A twin head circulator pump is a type of circulator pump that 
contains two impeller assemblies, mounted in two volutes that share a 
single inlet and discharge in a common casing. HI 40.6-2014 does not 
specify the procedures for testing twin head circulator pumps. In the 
May 2021 RFI, DOE noted that the CPWG recommended that to test twin 
head circulator pumps, one of the two impeller assemblies is to be 
incorporated into an adequate, single impeller volute and casing. An 
adequate, 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 circulator pump volute and casing. (Docket No. EERE-2016-BT-STD-
0004, No. 58 Recommendation #11 at p. 9); 86 FR 24516, 24526-24527.
    In the May 2021 RFI, DOE sought comment on whether the

[[Page 72122]]

recommendation for testing twin-head circulator pumps had been 
adequately addressed in HI 40.6-2021. 86 FR 24516, 24527. HI stated 
that in HI 41.5-2021, section 41.5.3 specifies the testing of twin head 
pumps and refers to HI 40.6 as the testing standard to be used. HI also 
noted that in section 41.5.1.5.1, the approach for testing twin head 
circulator pumps aligns with Recommendation #11 from the CPWG. (HI, No. 
112 at p. 5) Grundfos commented that HI 40.6 does not directly address 
twin[hyphen]head or volute[hyphen]less products and that DOE would need 
to specify the testing requirements for these product variants. 
Grundfos further commented that HI 41.5.3 does identify how to test a 
twin[hyphen]head circulator pump and is aligned with the current 
twin[hyphen]head testing process that DOE established for IL products 
in 10 CFR part 431 subpart Y. (Grundfos, No. 113 at p. 5)
    DOE has reviewed the test specification for twin head circulator 
pumps and proposes the test specifications recommended by the CPWG for 
twin head circulator pumps, which is consistent with section 41.5.3 of 
HI 41.5-2021 and with stakeholder comments. This proposed treatment of 
twin head circulator pumps would be consistent with the treatment of 
twin head pumps in the general pumps test procedure at appendix A to 
subpart Y of part 431.
    DOE requests comment on the proposed test procedure for twin head 
circulator pumps.
    As discussed in section III.B.4, a circulator-less-volute is a 
circulator pump with a complete motor that is sold without a volute, 
but for which a paired volute is available in commerce from a 
manufacturer. HI 40.6-2014 did not specify procedures for testing 
circulators-less-volute. As stated in the May 2021 RFI, the CPWG 
recommended that to test circulators-less-volute, the circulator-less-
volute should be paired with the specific volute(s) with which the 
circulator pump is advertised to be paired, based on manufacturer's 
literature, to determine the CEI rating for each circulator-less-volute 
and volute combination. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #12 at p. 9); 86 FR 24516, 24527.
    In the May 2021 RFI, DOE sought comment on whether the 
recommendation for circulators-less-volute had been adequately 
addressed in HI 40.6-2021. 86 FR 24516, 24527. Grundfos stated that HI 
40.6 does not directly address volute-less products and that DOE would 
need to define the testing requirements for this product variant. For 
testing of circulating pumps without volutes, Grundfos stated that a 
``reference volute'' can be used for testing purposes, in which the 
manufacturer defines the volute to be used during testing, and that 
this same process is used in the regulated EU market. (Grundfos, No. 
113 at p. 1-2, 5) China stated that the test method of circulator-less-
volute pumps has not been specified and that DOE should define the test 
method for these pumps. (China, No. 111 at p. 3)
    DOE notes that HI 41.5-2021 does not address circulators-less-
volute. As such, DOE is proposing instructions for testing circulators-
less-volute. Specifically, consistent with CPWG recommendations and 
Grundfos' comment, DOE proposes that the circulator-less-volute would 
be paired with specific volute(s) with which the circulator-less-volute 
is offered for sale or advertised to be paired with, and that the 
combination would be subject to the proposed applicable DOE test 
procedure for that circulator-less-volute model.
    DOE recognizes that circulators-less-volute may be offered for sale 
or advertised to be paired with multiple volutes, and that each 
combination may have a different CEI. Since each of these volutes may 
impact the CEI rating, each volute and circulator-less-volute pairing 
would represent a unique pairing. Therefore, DOE proposes that the CEI 
for each volute and circulator-less-volute pairing be determined 
separately. In the context of other equipment, DOE provides that 
manufacturers may elect to group similar individual models within the 
same equipment class into the same basic model to reduce testing 
burden, provided all representations regarding the energy use of 
individual models within that basic model are identical and based on 
the most consumptive unit. See 76 FR 12422, 12429 (Mar. 7, 2011). DOE 
proposes to allow manufacturers of circulator pumps to group similar 
volute and circulator-less-volute pairings within a given basic model 
rating to minimize testing burden, while still ensuring that the CEI 
rating is representative of minimum efficiency or maximum energy 
consumption of the group. Circulator-less-volute manufacturers could 
opt to make representations of the CEI of each individual circulator-
less-volute and volute combination, or could elect to make CEI 
representations regarding a circulator-less-volute combined with 
several individual volutes and rate the group with the same 
representative CEI value, which would be representative of the least 
efficient model.
    DOE requests comment on the proposed test procedure for 
circulators-less-volute. Specifically, DOE seeks comment as to any 
additional details that should be addressed in testing a circulator-
less-volute with any given volute to determine applicable CEI values.
c. Determination of Circulator Pump Driver Power Input at Specified 
Flow Rates
    The CPWG recommended that for single speed circulator pumps, the 
measured input power and flow data corresponding to the load points 
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 
points of 25, 50, 75, and 100 percent of BEP flow be determined from 
that regression equation. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #10 at p. 8) Appendix E of HI 40.6-2021 provides the 
following testing modifications for circulator pumps, which differ from 
the CPWG recommendations:
     Section 40.6.5.5.1 Test procedure--A minimum of nine test 
points shall be taken for all performance tests. Points are to be 
selected at approximately 10 percent, 25 percent, 40 percent, 60 
percent, 75 percent, 90 percent, 100 percent, 110 percent, and 120 
percent of the flow rate at the expected BEP of the circulator pump.
     Section 40.6.6.3 Performance curve--Determine the pump 
total head versus flow rate curve only based on a polynomial of the 6th 
order.
     Section 40.6.6.3 Performance curve--Determine the driver 
power input at 25 percent, 50 percent, 75 percent, and 100 percent of 
BEP based on a 3rd order polynomial curve of best fit of the tested 
values (as specified in Section 40.6.5.5.1) at 10 percent, 25 percent, 
40 percent, 60 percent, 75 percent, 90 percent, 100 percent, 110 
percent, and 120 percent of expected BEP flow rate.
    In response to the May 2021 RFI, China commented that the seven 
test points (i.e., 40, 60, 75, 90, 100 and 120 percent of the flow rate 
at the expected BEP of the pump) in section 40.6.5.5.1 are 
approximately selected, and that these selected points are different 
from those of PEI. China recommended that DOE clarify the basis of the 
selection of these seven points. (China, No. 111 at p. 3)
    DOE notes that Appendix E to HI 40.6-2021 has modified the 
provision referenced by China. DOE has reviewed Appendix E and 
determined that unlike general pumps, which require load points at 75, 
100, 110, and 120 percent

[[Page 72123]]

of BEP flow, Appendix E requires determining the driver power input at 
25, 50, 75, and 100 percent of BEP flow. If DOE were to define the 
lowest test point as 40 percent, the lowest required drive power input 
point (25 percent) would fall outside the range of tested points (i.e., 
40 percent to 120 percent). Whereas, if DOE were to define the lowest 
test point as 10 percent, the lowest required drive power input point 
(25 percent) would fall withing the range of tested points (i.e., 10 
percent to 120 percent). DOE tentatively concludes that specifying a 
test range, which is broader than the range for which driver power 
input must be determined, through the use of a mathematical regression 
would result in more accurate driver power input values than a test 
range that is narrower than the range for which driver power input must 
be determined. Therefore, DOE has preliminarily determined that it is 
appropriate, consistent with Appendix E of HI 40.6-2021, to require 
test points starting at 10 percent rather than a higher value such as 
40 percent or 60 percent of expected BEP flow. Therefore, DOE proposes 
to rely on the modified test points in Appendix E of HI 40.6-2021. DOE 
notes that Appendix E also specifies curve fitting using specific 
polynomial curves of best fit (6th order for head versus flow and 3rd 
order for power versus flow). DOE has no reason to believe that these 
curves are not appropriate, and as such, proposes to rely on the curve 
fitting in Appendix E of HI 40.6-2021.
    DOE requests comment on its proposal to adopt the provisions in 
Appendix E of HI 40.6-2021 for determining circulator pump driver power 
input at specified flow rates, including whether these provisions are 
more appropriate than those recommended by the CPWG.
    DOE notes that the procedure specified in section 40.6.6.3 and 
Appendix E of HI 40.6-2021 is applicable for test points gathered at 
maximum speed, but the other test points proposed for circulator pumps 
with pressure controls, temperature controls, manual speed controls, 
and external input signal controls are not specified in HI 40.6-2016. 
For circulator pumps with pressure controls, temperature controls, 
manual speed controls, and external input signal controls, the general 
test procedure consists of ``sweeping'' the maximum speed curve (i.e., 
taking measurements at flow intervals along the head/flow curve 
associated with maximum pump speed) to determine BEP, adjusting the 
pump to the determined BEP at maximum speed, and then adjusting the 
speed of the pump according to the applicable control or reference 
system curve to achieve the specified load points at 25, 50, 75 percent 
of BEP flow at reduced speed. As such, for these test points, unlike 
the test points at maximum speed derived from the data collected to 
determine BEP, manufacturers would adjust the operation of the pump to 
specifically achieve the load points at 25, 50, 75, and 100 percent of 
BEP flow, as applicable. Due to experimental uncertainty the specific 
test points measured in the test protocol may not be exactly at 25, 50, 
75, or 100 percent of the BEP flow load points specified in the test 
procedure and, thus, the relevant power input measurements must be 
adjusted to reflect the power input at the specific load points 
specified in the test procedure. DOE notes that HI 40.6-2021 does not 
specify the tolerances around which the specified flow values must be 
achieved or how to adjust the test points to the specified load points, 
accounting for such experimental tolerance.
    The CPWG recommended that for circulator pumps with pressure 
controls, manual speed controls, temperature controls, and external 
input signal controls, all tested flow values must be within 10 percent of the target flow load points as specified by the 
reference system curve. In addition, the CPWG recommended that the 
tested driver input power should be adjusted to the specified flow and 
head points, except that any head values that are above the reference 
system curve by more than 10 percent should not be adjusted. The CPWG 
also clarified that, in their recommendation, if the tested head value 
is below the reference curve by more than 10 percent, the circulator 
pump must be retested. (Docket No. EERE-2016-BT-STD-0004, No. 58 
Recommendation #10 at p. 8) While not specifically recommended, the 
CPWG discussed adjusting the test points proportionally, consistent 
with the method for adjusting reduced speed test points adopted in the 
January 2016 TP final rule. See 81 FR 4086, 4155-4156 (Jan. 25, 2016); 
(Docket No. EERE-2016-BT-STD-0004, No. 70 at pp. 325-328)
    HI 41.5-2021 includes certain modifications to these provisions, as 
noted by HI in their comments. Specifically, under HI 41.5-2021, all 
tested flow values must be within 5 percent of the target 
flow load points as specified by the reference system curve. (HI 41.5-
2021 section 41.5.3.4.2 #3c, 41.5.3.4.3, 41.5.3.4.4.1-2, 41.5.3.45) HI 
stated that this change limits the pump efficiency ranges allowed for a 
given test point and minimizes variation in CEI values for a given 
test. In addition, any head values that are above the reference system 
curve (including within 10 percent) are not adjusted. HI stated that 
this change eliminates a discontinuity in CEI values when transitioning 
between corrected and uncorrected values and allows for better 
representation of pump CEI. Finally, for pressure control and manual 
speed control, tested head is allowed to be below the reference curve 
and corrected back to the reference curve. HI stated that this change 
eliminates the need for all control curves to exist above the reference 
curve allowing for a better representation of control curves used in 
the market and for the circulator pump CEI values to better represent a 
pump's capabilities. (HI, No. 112 at p.2) These provisions are found 
throughout each of the individual control variety test methods in HI 
41.5; a summary is available in 41.5.1. As stated previously, HI, NEEA, 
the CA IOUs, and the Advocates supported use of HI 41.5-2021. (HI, No. 
112 at p. 2; NEEA, No. 115 at p. 4, Advocates, No. 114 at p. 1, CA 
IOUs, No. 116 at p. 2).
    DOE interprets HI 41.5-2021's updated provision to reduce the 
tested flow tolerance to 5 percent of the target flow load 
points as an indication that this tolerance has been achievable in 
tests.
    DOE notes that HI's comment and the Introduction to HI 41.5-2021 
(section 41.5.1) state that correction of power to the reference curve 
above the reference curve has been removed. However, in section 
41.5.3.4.2 (pressure speed control) and 41.5.3.4.5 (manual speed 
control), the test method says ``Adjust measured driver input power to 
the specific flow and head points as defined in [the reference curve], 
except do not adjust for head values when head is at or above the 
reference curve.'' This indicates that driver input power measured 
above the reference curve should still be adjusted based on deviation 
from the flow point. In addition, section 41.5.3.4.3 (temperature speed 
control) and 41.5.3.4.4 (external input signal speed control) still 
retain the provision not to adjust for head values that are above the 
reference curve by more than 10 percent.
    DOE proposes to incorporate the provisions in HI 41.5-2021, rather 
than removing all correction of power measured above the reference 
curve for all test methods. DOE believes that correction for flow 
points within the tolerance is still appropriate. If stakeholders 
comment that the test methods in HI 41.5-2021 have been implemented 
incorrectly and that all correction of power above the reference

[[Page 72124]]

curve should be removed, and provide accompanying support, DOE will 
consider adopting the provisions in HI 41.5-2021. DOE understands that 
artificially adjusting head values significantly above the reference 
system curve back to the reference system curve would result in an 
unrepresentative CEI rating.
    DOE notes that in the case that the tested head value is within 10 
percent of the reference system curve, it is likely that the tested 
circulator pump could achieve the specified flow and head values along 
the reference system curve and that the deviation in head, in this 
case, would likely be due to experimental uncertainty. DOE notes that 
unlike pressure controls and manual speed controls, circulator pumps 
with temperature controls and circulator pumps with external input 
signal controls should be able to match the required speed to meet the 
exact head values at each flow rate described by the reference system 
curve. Therefore, DOE believes that continuing to adjust for head 
values within 10 percent above the reference curve would not be likely 
to cause any discontinuity in CEI for these control methods.
    Regarding permitting testing below the reference curve for pressure 
control and manual speed control, DOE proposes these changes to the 
CPWG recommendations in sections III.D.3 and III.D.5 of this document. 
DOE also agrees that given testing below the curve would be permitted, 
the measured test points should be corrected back to the reference 
curve, as included in HI 41.5-2021.
    DOE notes that the proposed load points are specified with a 
discrete flow value (i.e., 25, 50, 75, and/or 100 percent of BEP flow) 
and, for temperature control and external input signal controls, a 
minimum head value (i.e., at or above the reference system curve). 
Therefore, as proposed the flow values must be achieved within 5 percent and, for temperature controls and external input signal 
controls, the tested head values must not be more than 10 percent below 
the reference system curve. Any test point with a flow value that is 
more than 5 percent away from the specified value or, for 
temperature controls and external input signal controls, a head value 
is more than 10 percent below the reference system curve would be 
invalid and, therefore, must be retested.
    DOE also proposes to adjust the tested driver input power values 
for all relevant test points for circulator pumps with temperature and 
external input signal controls using the methods adopted in the January 
2016 TP final rule and discussed by the Circulator Pump Working Group. 
Specifically, DOE proposes that if the tested flow values are within 
5 percent of the flow load point specified by the reference 
system curve and the head values are within 10 percent of 
the head load points specified by the reference system curve, the 
tested driver input power values would be proportionally adjusted to 
the specified flow and head points, as shown in equation (12):
[GRAPHIC] [TIFF OMITTED] TP20DE21.013

Where:

PR,i = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    DOE also proposes that for pressure controls and manual speed 
controls, if the tested flow values are within 5 percent of 
the flow load point specified by the reference system curve and the 
tested head values are below the head load points specified by the 
reference system curve, the tested driver power input values would be 
proportionally adjusted to the specified flow and heat points as shown 
in equation (12).
    Finally, DOE proposes, consistent with the recommendations of the 
CPWG and the modifications in HI 41.5-2021, that for temperature 
controls and external input signal controls, if the tested head values 
are above the reference system curve by more than 10 percent, or for 
pressure controls and manual speed controls, if the tested head values 
are above the reference system curve at all, only the flow values would 
be proportionally adjusted to the specified value, as shown in equation 
(13):
[GRAPHIC] [TIFF OMITTED] TP20DE21.014


Where:
PR,i = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    With regards to the test points to which the tolerance and 
adjustment methods are applicable, DOE notes that the CPWG recommended 
that ``all'' test points for circulator pumps with pressure controls, 
temperature controls, manual speed controls, or external input signal 
controls apply the specified tolerances and adjustment methods. (Docket 
No. EERE-2016-BT-STD-0004, No. 58 Recommendation #10 at pp. 8-9) 
However, DOE believes that the curve fitting method for determining 
driver power input at the specified load points at maximum speed is 
more applicable and less burdensome for many of the maximum speed test 
points than requiring retesting along the maximum

[[Page 72125]]

speed curve to achieve those test points within 10 percent. 
Specifically, for manual speed controls and external input signal 
controls in addition to other control varieties, as discussed in detail 
in section III.D, the proposed test methods and CEI calculation methods 
require load points be determined at 25, 50, 75, and 100 percent of BEP 
flow along the maximum speed curve, as well as at 25, 50, and 75 
percent of BEP flow at reduced speeds. For the test points at reduced 
speed, DOE believes, as recommended by the CPWG, the proposed 
tolerances and proportional adjustment would be applicable. However, 
for the test points at 25, 50, and 75 percent of maximum speed, DOE 
believes that it would be less burdensome and more consistent with the 
proposed testing of circulator pumps with no controls to determine such 
test points via curve fitting of the BEP test data at maximum speed. 
DOE believes this is consistent with section 41.5.3.4.4.2 and 
41.5.3.4.5 of HI 41.5-2021. With regard to the test point at 100 
percent of BEP flow and maximum speed, DOE notes that, in order to test 
such circulator pump models, the circulator pump must be adjusted to a 
test point at 100 percent of BEP flow and maximum speed before reducing 
the speed in accordance with the control logic to achieve the reduced 
speed values. As such, DOE believes that using the tested value at 100 
percent of BEP flow and maximum speed as opposed to the value 
determined via curve fitting would be more accurate and would not 
increase the burden of the testing. DOE notes that this proposal is 
inconsistent with HI 41.5-2021, which includes the 100 percent point as 
part of the points determined by curve fitting, rather than as a 
measured test point. DOE requests comment on this deviation. Table 
III.3 summarizes the proposed applicability of the different adjustment 
methods to the various test points for each circulator pump variety.

 Table III.3--Summary of Applicable Adjustment Method for Different Test
                    Points for All Control Varieties
------------------------------------------------------------------------
                                                      Test points that
                                                      must be achieved
                                Test points that    within any specified
       Control variety         would be determined   tolerance and would
                                via curve fitting     be determined via
                                                        proportional
                                                         adjustment
------------------------------------------------------------------------
Pressure controls...........  None................  All (25, 50, 75, and
                                                     100 percent of BEP
                                                     flow).
Temperature Controls........  None................  All (25, 50, 75, and
                                                     100 percent of BEP
                                                     flow).
Manual Speed Controls.......  25, 50, and 75        25, 50, and 75
                               percent of BEP flow   percent of BEP flow
                               at maximum speed.     at reduced speed
                                                     and 100 percent of
                                                     BEP flow at maximum
                                                     speed.
External Input Signal         25, 50, and 75        25, 50, and 75
 Controls.                     percent of BEP flow   percent of BEP flow
                               at maximum speed.     at reduced speed
                                                     and 100 percent of
                                                     BEP flow at maximum
                                                     speed.
------------------------------------------------------------------------

    DOE requests comment on the proposal that for circulator pumps with 
pressure and manual speed controls, if all the tested flow values are 
within 5 percent of the flow load points specified by the 
reference curve and tested head values are below the head load points 
specified by the reference curve, the tested driver power input values 
would be proportionally adjusted to the specified flow and head points. 
If the tested head values are above the reference system curve, only 
the flow values would be proportionally adjusted to the specified 
value. DOE requests comment on whether HI intended to remove all power 
correction (including flow correction) above the reference curve for 
pumps with pressure and manual speed controls.
    DOE requests comment on the proposal that for temperature and 
external input signal controls, if all the tested flow values are 
within 5 percent of the flow load points specified by the 
reference system curve and all the tested head values are within 10 percent of the head load points specified by the reference 
system curve, the tested driver power input values would be 
proportionally adjusted to the specified flow and head points. If the 
tested head values are above the reference system curve by more than 10 
percent, only the flow values would be proportionally adjusted to the 
specified value. DOE requests comment on whether HI intended to remove 
all power correction above the reference curve for temperature and 
external input signal controls.
    DOE also requests comment on the proposed applicability of the 
tolerance and proportional adjustment method to the various test 
points, as compared to the curve fitting method, based on circulator 
pump control variety. DOE particularly requests comment on which 
category is most appropriate for the 100 percent of BEP flow point.
d. Calculation and Rounding Modifications and Additions
    DOE notes that HI 40.6-2014 did 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 CEI and CEI values 
should be reported with the same number of significant digits. 
Therefore, to improve the consistency of calculations, the CPWG 
recommended that that all calculations be performed with the raw 
measured data, to ensure accuracy, and that the resultant 
PERCIRC and PEICIRC be rounded to 3 significant 
figures. (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation #10 
at p. 8) DOE notes that neither HI 40.6-2021 nor HI 41.5-2021 include 
any rounding provisions.
    DOE agrees with the CPWG regarding its recommendation to perform 
all calculations with the raw measured data and to round the resultant 
CER, CEI, and other relevant measurements and calculations in a 
standardized manner. In the established provisions for general pumps, 
PEI is rounded to the nearest hundredths place (i.e., 0.01). See 
section I.D.3 of appendix A to subpart Y of part 431. To be consistent 
with the general pumps provisions, DOE proposes to round CER to three 
significant figures and to round CEI to the nearest hundredths place. 
Additionally, DOE proposes to calculate relevant non-energy metrics 
using the raw measured data and to round to the following: BEP flow at 
maximum speed and BEP head at maximum speed values to three significant 
figures; real power, true RMS current, and true RMS voltage values to 
the tenths place (i.e., 0.1); and hydraulic horsepower and true power 
factor values to the hundredths place unless otherwise specified.
    DOE requests comment on the proposal that all calculations be 
performed with the raw measured data, to ensure accuracy, and to round 
CER, BEP flow at maximum speed and BEP head at maximum speed values to 
three significant figures; real power, true RMS

[[Page 72126]]

current, and true RMS voltage values the tenths place (i.e., 0.1); and 
CEI, hydraulic horsepower, and true power factor values to the 
hundredths place (i.e., 0.01).
3. Rated Hydraulic Horsepower
    As discussed in section III.B.2, the proposed definitions of dry 
rotor, two-piece circulator pumps and dry rotor, three-piece circulator 
pumps each contain a clause that the pump must have a rated hydraulic 
power less than or equal to 5 hp at BEP at full impeller diameter. 
Accordingly, DOE proposes nomenclature to consistently refer to and 
categorize dry rotor circulator pumps based on the hydraulic horsepower 
they can produce at BEP and full impeller diameter, as measured in 
accordance with the proposed circulator pump test procedure. DOE notes 
that hydraulic horsepower (termed pump power output \29\) is defined in 
HI 40.6-2021, which DOE proposes to incorporate by reference (see 
section III.E.1). HI 40.6-2021 also contains a test method for 
determining pump power output. However, HI 40.6-2021 includes methods 
for determining pump power output at any load point.
---------------------------------------------------------------------------

    \29\ 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 ``hydraulic horsepower'' in this document. 
However, where hydraulic horsepower is used to reference the size of 
a dry rotor circulator pump, it refers to the rated hydraulic 
horsepower.
---------------------------------------------------------------------------

    To specify the pump power characteristic that DOE proposes to use 
to describe the size of dry rotor circulator pumps, DOE proposes to 
introduce a new term, the ``rated hydraulic horsepower,'' that is 
identified as the measured hydraulic horsepower at BEP and full 
impeller diameter for the rated pump. DOE believes that measuring and 
reporting rated hydraulic horsepower at BEP and full impeller diameter 
for each dry rotor circulator pump variety would result in the most 
consistent determination of applicability of this circulator pump test 
procedure.
    DOE requests comment on the proposal to use rated hydraulic 
horsepower, identified as the measured hydraulic horsepower at BEP and 
full impeller diameter for the rated pump, as the primary standardized 
metric to determine the scope of applicability of dry rotor circulator 
pumps in this circulator pump test procedure.

F. Sampling Plan and Enforcement Provisions for Circulator Pumps

    For determining the proposed representative values (i.e., both the 
proposed energy- and non-energy-related metrics) for each basic model, 
DOE proposes that manufacturers must use a statistical sampling plan of 
tested data, consistent with the sampling plan for pumps that is 
currently specified at 10 CFR 429.59. In addition, DOE is proposing 
specific enforcement procedures that DOE would follow when testing 
equipment to verify compliance of any circulator pump basic model. The 
following sections III.F.1 and III.F.2 discuss DOE's proposed sampling 
plan and enforcement provisions for circulator pumps.
1. Sampling Plan
    DOE provides, in subpart B to 10 CFR part 429, sampling plans for 
covered equipment. The purpose of a statistical sampling plan is to 
provide a method to determine representative values of energy- and non-
energy-related metrics, for each basic model. In the January 2016 TP 
final rule, DOE adopted sampling provisions applicable to pumps that 
were similar to those used for other commercial and industrial 
equipment. 81 FR 4086, 4135-4136 (Jan. 25, 2016). See also 10 CFR 
429.59.
    For circulator pumps, DOE proposes to adopt statistical sampling 
plans similar to that adopted for pumps. That is, DOE proposes to amend 
10 CFR 429.59 to require that, for each basic model of pump (including 
circulator pumps), a sample of sufficient size must be randomly 
selected and tested to ensure that any representative value of CEI or 
other measure of energy consumption of a basic model for which 
customers would favor lower values is greater than or equal to the 
lower of the following two values:
    (1) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP20DE21.015
    
    and x is the sample mean, n is the number of samples, and 
xi is the maximum of the i\th\ sample;
    Or,
    (2) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP20DE21.016

    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 of 10 CFR part 429).
    Under this proposal, for purposes of certification testing, the 
determination that a basic model complies with the applicable energy 
conservation standard would be based on testing conducted using the 
proposed DOE test procedure and sampling plan. The general sampling 
requirement currently applicable to all covered products and equipment 
provides that a sample of sufficient size must be randomly selected and 
tested to ensure compliance and that, unless otherwise specified, a 
minimum of two units must be tested to certify a basic model as 
compliant. 10 CFR 429.11(a)-(b).
    DOE proposes to apply this same minimum sample size requirement to 
circulator pumps. Thus, if a statistical sampling plan is used, DOE 
proposes that a sample of sufficient size be selected to ensure 
compliance and that at least two units must be tested to determine the 
representative values of applicable metrics for each basic model. 
Manufacturers may need to test a sample of more than two units 
depending on the variability of their sample, as provided by the 
statistical sampling plan.
    DOE notes that the proposed sampling provisions would be applicable 
to all energy-related metrics for which each manufacturer elected to 
make representations. DOE believes that, similar to other pumps, a UCL 
of 0.95 divided by a de-rating factor of 1.05 would also be applicable 
to circulator pumps, based on the variability inherent in the test 
procedure and manufacturing variability among units within a given 
model. Specifically, DOE notes that the proposed circulator pump test 
procedure is based on the same fundamental test standard (i.e., HI 
40.6-2021), with identical equipment accuracy requirements and test 
tolerances. In addition, DOE believes circulator pumps would realize 
similar performance variability to other commercial and industrial 
equipment, such as general pumps and dedicate-purpose pool pumps, based 
on a statistical analysis conducted by DOE discussed in section III.F.2 
of this document.
    In addition to CEI, the rated hydraulic horsepower would also be an 
important characteristic for determining the applicability of the 
proposed test procedure to a given circulator pump model. Specifically, 
rated hydraulic horsepower would determine the scope of applicability 
of the proposed test procedure for dry-rotor close-coupled circulator 
pump and dry-rotor mechanically-coupled circulator pump (see section 
III.B.2). DOE proposes that the representative value of rated

[[Page 72127]]

hydraulic horsepower be determined as the average of all the tested 
units that serve as the basis for the rated efficiency for that basic 
model. Similarly, the true power factor and the flow and head at BEP at 
each load point are important characteristics that may aid utilities in 
crafting incentive programs regarding circulator pumps or aid customers 
in properly selecting circulator pumps. As discussed in section 
III.E.1, DOE notes that HI 40.6-2021 specifies measurement equipment 
for determining the circulator pump performance characteristics of true 
RMS current, true RMS voltage, input power, and the flow and head at 
BEP at each load point. Additionally, as discussed in section III.E.1, 
DOE discussed how to calculate true power factor based on the 
measurements of true RMS current, true RMS voltage, and real power. To 
ensure such values are determined in a consistent manner, DOE also 
proposes that true RMS current, true RMS voltage, true power factor, 
input power, and the flow and head at BEP at each load point be 
determined based on the average of the test results, for each metric, 
from all the tested units that serve as the basis for the rating for 
that basic model.
    Finally, consistent with provisions for other commercial and 
industrial equipment, DOE notes the applicability of certain 
requirements regarding retention of certain information related to the 
testing and certification of circulator pumps, which are detailed under 
10 CFR 429.71. Generally, manufacturers must establish, maintain, and 
retain certification and test information, including underlying test 
data for all certification testing for 2 years from the date on which 
the circulator pump model is discontinued in commerce.
    DOE requests comment on the proposed statistical sampling 
procedures and certification requirements for circulator pumps.
2. Enforcement Provisions
    Enforcement provisions govern the process DOE would follow when 
performing an assessment of basic model compliance with standards, as 
described under subpart C of 10 CFR part 429. Specifically, subpart C 
of 10 CFR part 429 describes the notification requirements, legal 
processes, penalties, specific prohibited acts, and testing protocols 
related to testing covered equipment to determine or verify compliance 
with standards. DOE proposes that the same general enforcement 
provisions contained in subpart C of 10 CFR part 429 would be 
applicable to circulator pumps.
    Related to enforcement testing of circulator pumps, as specified in 
10 CFR 429.110(e)(1), DOE proposes that it would conduct the applicable 
circulator pump test procedure, once adopted, to determine the CEI for 
tested circulator pump models. In this rulemaking, DOE is proposing 
circulator-pump specific enforcement testing provisions for 10 CFR 
429.134.\30\ Specifically, if a manufacturer did not certify a control 
setting, DOE would test the circulator pump model using the no controls 
test method if no controls were available, or if controls are 
available, DOE would test using the test method for any one of the 
available control varieties on board.
---------------------------------------------------------------------------

    \30\ DOE intends to propose certification requirements in a 
separate energy conservation standards rulemaking.
---------------------------------------------------------------------------

    DOE requests comment on how, absent information on the tested 
control method for a basic model, DOE should determine which test 
method to conduct.
    The CPWG recommended that for pressure controls, manufacturers 
choose the factory control logic to test, report the control setting 
used for rating, and report the method of control (automatic speed 
adjustment, manual speed adjustment, or simulated pressure signal 
adjustment). (Docket No. EERE-2016-BT-STD-0004, No. 58 Recommendation 
#9 at p. 7) However, DOE proposes that it would test using the 
specified control curve, but would always use the automatic control 
option for testing of pressure controls, to ensure that any rated CEI 
is representative of commercially available performance, as distributed 
in commerce (see section III.D.3). In addition, for circulator pumps 
rated with adaptive pressure controls, DOE proposes to test the 
circulator pump using the manual control option that results in the 
lowest head values at each test point below maximum speed. This would 
ensure that, if the minimum head thresholds are not accessible via the 
commercially available control with which the pump is distributed in 
commerce, a representative CEI can still be obtained for the compliance 
of that circulator pump to be assessed. If a specified control curve is 
not available, DOE proposes to test using any control that meets the 
requirements specified in the pressure control test method. DOE would 
consider adopting more specific provisions in the final rule given 
feedback on the most appropriate selection criteria.
    For manual speed controls and external input signal controls, the 
CPWG recommended testing at the lowest speed setting that will achieve 
a head at or above the reference curve. (Docket No. EERE-2016-BT-STD-
0004, No. 58 Recommendation #9 at p. 7-8) As discussed in section 
III.D.6, this requirement has been removed in HI 41.5-2021. For 
external input signal controls and temperature controls, DOE proposes 
that it would conduct enforcement testing with this provision. DOE 
understands that if manual speed control testing is allowed below the 
reference curve, this provision would not be applicable to 
certification testing. However, to provide certainty as to how DOE 
would conduct enforcement testing DOE proposes to specify that it would 
conduct testing using the speed setting closest to each of the head 
points specified by the reference system curve (above or below).
    DOE requests comment on the proposed product-specific enforcement 
testing provisions for circulator pumps, particularly with regard to 
the appropriate control curve for pressure controls (when not 
specified) and the appropriate speed settings for other control 
methods.
    In addition, DOE believes that, as circulator pumps have relatively 
large shipments and are generally a high-volume piece of equipment, DOE 
should apply the enforcement testing sample size and calculations 
applicable to consumer products and certain high-volume commercial 
equipment specified in appendix A to subpart C of 10 CFR part 429. 
Therefore, DOE proposes to use, when determining performance for a 
specific basic model, the enforcement testing sample size, 
calculations, and procedures laid out in appendix A to subpart C of 10 
CFR part 429 for consumer products and certain high-volume commercial 
equipment. These procedures, in general, provide that DOE would test an 
initial sample of at least 4 units and determine the mean CEI value and 
standard error of the sample. DOE would then compare these values to 
the CEI standard level, once adopted, to determine the compliance of 
the basic model or if additional testing (up to a total of 21 units) is 
required to make a compliance determination with sufficient confidence.
    DOE notes that this proposal differs from the enforcement testing 
sample size and calculations for DOE adopted for general pumps in the 
January 2016 TP final rule. Specifically, in the January 2016 TP final 
rule, DOE adopted provisions at 10 CFR 429.110(e)(5) \31\ stating that 
DOE would

[[Page 72128]]

assess compliance of any pump basic models undergoing enforcement 
testing based on the arithmetic mean of up to four units. 81 FR 4086, 
4121 (Jan. 25, 2016). In the August 2017 DPPP TP final rule, DOE also 
adopted the enforcement testing sample provisions in appendix A and 
clarified that the enforcement provisions adopted in the January 2016 
TP final rule and specified at 10 CFR 429.110(e)(5) are only applicable 
to those pumps subject to the test procedure adopted in the January 
2016 TP final rule. 82 FR 36858, 36910. DOE believes that circulator 
pumps should be treated similarly to DPPP because of the shipments and 
high volume of the equipment.
---------------------------------------------------------------------------

    \31\ DOE notes that the 2016 general pumps TP final rule were 
originally adopted into 10 CFR 429.110(e)(1)(iv), but a recent 
rulemaking for battery chargers reorganized the enforcement 
provisions for various equipment, including pumps, to place the pump 
enforcement provisions in 10 CFR 429.110(e)(5). 81 FR 31827, 31841 
(May 20, 2016).
---------------------------------------------------------------------------

    DOE requests comment on the proposal to apply to circulator pumps 
the enforcement testing sample size, calculations, and procedures laid 
out in appendix A to subpart C of 10 CFR part 429.
    In addition, the rated hydraulic horsepower would be necessary to 
determine the scope of applicability of the test procedure to certain 
circulator pump varieties (i.e., dry-rotor close-coupled circulator 
pump and dry-rotor mechanically-coupled circulator pump, see section 
III.B.2). Therefore, DOE is also proposing specific procedures to 
determine the rated hydraulic horsepower of tested circulator pumps 
when verifying compliance. When determining compliance of any units 
tested for enforcement purposes, DOE proposes that, if the rated 
hydraulic horsepower determined through DOE's testing (either the 
measured rated hydraulic horsepower for a single unit sample or the 
average of the measured rated hydraulic horsepower values for a 
multiple unit sample) is within 5 percent of the certified value of 
rated hydraulic horsepower, then DOE would use the certified value of 
rated hydraulic horsepower as the basis for determining the scope of 
applicability for that circulator pump model. However, if DOE's tested 
value of hydraulic horsepower is not within 5 percent of the certified 
value of hydraulic horsepower, DOE would use the arithmetic mean of all 
the hydraulic horsepower values resulting from DOE's testing when 
determining the scope of applicability for the circulator pump model. 
DOE believes such an approach would result in more reproducible and 
equitable compliance determinations among DOE, manufacturers, and test 
labs.
    The 5 percent tolerance on hydraulic horsepower is based on a 
statistical analysis DOE conducted of the maximum allowed testing 
uncertainty due to fluctuations in measurements, measurement 
uncertainty, and the typical manufacturing uncertainty. The maximum 
experimental uncertainty is discussed in HI 40.6-2021, which DOE 
proposes to incorporate by reference in the DOE test procedure (section 
III.E.1). DOE estimated the manufacturing variability based on the 
maximum tolerances on head and flow that are allowed in the ANSI/HI 
14.6-2011 standard tolerance grade 1B. Specifically, ANSI/HI 14.6-2011 
requires that the tested flow be within 5 percent of the 
pump performance curve and the tested head be within 3 
percent of the pump performance curve for the acceptance grade 1B. DOE 
recognizes that these are all worst-case uncertainties and that testing 
a unit with the maximum possible variability in every parameter would 
be extremely unlikely. Therefore, DOE assumed that the maximum 
uncertainty would represent a worst case. For the purposes of analysis, 
DOE assumed the maximum uncertainty was three standard deviations away 
from the mean (encompassing 99.7 percent of the population) and 
conducting the analysis assuming a tolerance of one standard deviation.
    DOE seeks comment upon the applicability of a 5 percent tolerance 
on hydraulic horsepower for each tested circulator pump model or if a 
higher or lower percentage variation would be justified.

G. Representations of Energy Use and Energy Efficiency

    Manufacturers of circulator pumps within the scope of the proposed 
circulator pump test procedure, if finalized, would be required to use 
the test procedures proposed 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 ``no 
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.''
    If made final, the proposed test procedure would not require 
manufacturers to test the subject circulator pumps. However, beginning 
180 days after publication of a final rule that adopts a test procedure 
for circulator pumps, any voluntary representations as to the energy 
efficiency or energy use of a subject circulator pump would be required 
to be based on the DOE test procedure. (42 U.S.C. 6314(d))
    With respect to representations, generally, DOE understands that 
manufacturers often make representations (graphically or in numerical 
form) of energy use metrics, including overall (wire-to-water) 
efficiency, driver power input, and/or pump power output (hydraulic 
horsepower) and may make these representations at a variety of 
different load points or operating speeds. DOE proposes to allow 
manufacturers to continue making these representations. In order to 
ensure consistent and standardized representations across the pump 
industry and to ensure such representations are not in conflict with 
the reported CEI for any given circulator pump model, DOE proposes to 
establish testing procedures for these parameters that are part of the 
DOE test procedure and that while manufacturers would not be required 
to make representations regarding the performance of circulator pumps 
using these additional metrics, to the extent manufacturers wish to do 
so, they would be required to do so based on testing in accordance with 
the DOE test procedure. In addition, as noted in section III.C, the 
CPWG-recommended method of determining PERSTD, if adopted by 
DOE, would require tested hydraulic horsepower of the rated circulator 
pump at one or more specific load points.
    DOE notes that overall (wire-to-water) efficiency, driver power 
input, and/or pump power output (hydraulic horsepower) are already 
parameters that are described in HI 40.6-2021, which DOE proposes to 
incorporate by reference in the DOE test procedure (section III.E.1). 
DOE believes that further specification is not necessary regarding the 
determination of these parameters. DOE notes that HI 40.6-2021 does not 
include explicit instructions for determining pump power output at 
specific load points; however section E.3.2 specifies determination of 
the circulator pump total head versus flow rate curve based on a 
polynomial of the 6th order, and DOE assumes this curve would be used 
to calculate pump power output at any relevant load point.
    DOE requests comment on its proposal to adopt provisions for the 
measurement of several other circulator pump metrics, including overall 
(wire-to-water) efficiency, driver power input, and/or pump power 
output (hydraulic horsepower).

[[Page 72129]]

    DOE also requests comment on its belief that HI 40.6-2021 contains 
all the necessary methods to determine overall (wire-to-water) 
efficiency, driver power input, and/or pump power output (hydraulic 
horsepower) and that further specification is not necessary.

H. Test Procedure Costs and Harmonization

1. Test Procedure Costs and Impact
    In this NOPR, DOE proposes to establish a test procedure for 
circulator pumps by incorporating by reference the test methods 
established in HI 40.6-2021, ``Methods for Rotodynamic Pump Efficiency 
Testing,'' with certain exceptions. This NOPR also contains proposals 
regarding representations, enforcement, and labeling provisions for 
circulator pumps that would be added to 10 CFR parts 429 and 431, 
respectively. DOE has tentatively determined that these proposed 
amendments would impact testing costs as discussed in the following 
paragraphs.
    DOE proposes to incorporate, by reference, the test methods 
established in HI 40.6-2021, ``Methods for Rotodynamic Pump Efficiency 
Testing,'' with certain exceptions. The test results are necessary for 
calculating the CEI to represent the energy consumption of the 
circulator pump, inclusive of a motor and any controls, and (3) 
determine the minimum test sample (i.e., number of units) and permitted 
method of determining represented values.
    By adopting industry standards, DOE has tentatively determined that 
the proposed amendments in this NOPR would establish DOE test 
procedures that are reasonably designed to produce test results which 
reflect energy efficiency and energy use of circulator pumps during a 
representative average use cycle and that would not be unduly 
burdensome for manufacturers to conduct. DOE is presenting the costs 
associated with testing equipment and procedure consistent with the 
requirements of the proposed test procedure, as would be required to 
certify compliance with any future energy conservation standard.
    DOE recognizes that, because such testing is not currently required 
or standardized in the United States, testing facilities may vary from 
one pump manufacturer to another. As such, DOE has estimated a maximum 
expected testing burden associated with this test procedure NOPR, which 
is associated with an expectation where all pump manufacturers do not 
have existing testing capabilities and would be required to purchase 
the necessary test equipment in accordance with the proposed test 
procedure, if finalized.
    To estimate the burden associated with the testing and sampling 
plan requirements proposed in this test procedure NOPR, DOE understands 
that in order to conduct the proposed test procedure, each manufacturer 
would either (a) have to test the units in-house or (b) test the units 
at a third-party testing facility. If a manufacturer elects to test 
circulator pumps in-house, that manufacturer may have to undertake the 
following burden inducing activities: (1) Acquire necessary testing 
equipment that is capable of testing circulator 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 circulator pump basic model.
    DOE's cost estimates factored in capital costs and labor costs. 
Capital cost estimates are based on previous manufacturer interviews. 
The following sections detail those costs in specifics.
a. Estimated Capital Costs for Testing Circulator Pumps
    In the maximum-burden case where a circulator pump manufacturer 
would be required to construct a test lab from scratch, manufacturers 
would be required to make capital outlays to acquire test equipment.
    The first necessary item for testing a circulator pump is a water 
reservoir to hold the water that the pump circulates during testing. 
Manufacturers provided estimates to DOE on the cost of water reservoirs 
for a variety of sizes. The water reservoir sizes provided from 
manufacturers varied between 5 gallons and 1,500 gallons, as some 
manufacturers also use their water reservoirs to test larger pumps. 
Based on the information provided, DOE estimates the cost of a water 
reservoir to test circulator pumps to be approximately $9.30 per 
gallon. Because the circulator pumps are typically less than 5 hp in 
size, DOE is using a 100-gallon water reservoir as a typical size and 
thus estimates the cost at approximately $930 for the water 
reservoir.\32\
---------------------------------------------------------------------------

    \32\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    To complete the circulator pump test loop, assorted piping and 
valves would be necessary to circulate water from the reservoir to the 
pump and regulate the flow and head of the water. Multiple diameter 
pipes, valves, and associated fittings may be required to accommodate 
different size circulator pumps. The total costs for the values and 
piping will vary on pipe diameter as well as the actual testing 
laboratory configuration. DOE estimates a cost of $2,745 for the piping 
and valves necessary to test the circulator pumps within the scope of 
the proposed test procedure.\33\
---------------------------------------------------------------------------

    \33\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    The proposed DOE test procedure also requires the power supply 
characteristics (i.e., voltage, frequency, voltage unbalance, and total 
harmonic distortion) to be maintained within specific values. 
Specifically, the proposed power supply requirements must be within a 
certain percent of the rated voltage, frequency, and voltage unbalance. 
Also, the total harmonic distortion must be limited throughout the 
test. In some situations, manufacturers may be required to acquire 
power conditioning equipment to ensure the power supplied to the 
circulator pump motor or control is within the required tolerances. 
Based on the estimates DOE researched for power supplies as well as 
incorporated estimates provided by manufacturers of possible equipment 
costs, DOE estimates the cost for power conditioning equipment as 
$2,200.\34\
---------------------------------------------------------------------------

    \34\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    The proposed circulator pump test procedure contains requirements 
regarding the characteristics and accuracy of the measurement equipment 
necessary to precisely and accurately determine relevant measured 
quantities. The primary measurement equipment includes flow measuring 
equipment, pressure measuring equipment, and electrical measuring 
equipment.
    Test facilities would need equipment to measure the flow rate in 
gallons per minute to verify that the circulator pump is operating at 
the applicable load point. Manufacturers indicated that, for flow 
measurement equipment, they utilized magnetic flow measurement devices. 
These magnetic flow measurement devices vary in price based on the 
range of the device to accommodate different sizes of circulator pumps. 
DOE researched flow measurement devices, as well as referenced feedback 
from manufacturer interviews about the typical prices of various sizes 
of flow measurement devices. DOE estimates a typical flow measurement 
equipment capable of accommodating the full range of

[[Page 72130]]

circulator pumps subject to this proposed test procedure to be 
$4,400.\35\
---------------------------------------------------------------------------

    \35\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    Pressure measurement equipment could include a manometer, bourdon 
tube, digital indicator, or a transducer. Manufacturers provided 
information as to which pressure measurement device they utilize and 
the approximate cost of such device. DOE's research indicates that most 
manufacturers utilize differential pressure transducers to measure 
pressure in the test setup. Based on this information and DOE research, 
DOE estimates the average cost of the pressure measurement devices to 
be $1,650.\36\
---------------------------------------------------------------------------

    \36\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    Finally, electrical measurement equipment is necessary to determine 
the input power to the circulator pump, as measured at the input to the 
motor or controls (if present). There are multiple devices that can 
measure power and energy values. However, DOE proposes specific 
requirements regarding the accuracy and quantities measured for such 
power measuring equipment, as discussed in section III.E.1. In this 
case, only specific power analyzers and watt-amp-volt meters with the 
necessary accuracy can measure RMS voltage, RMS current, and real power 
up to at least the 40th harmonic of fundamental supply source frequency 
and having an accuracy level of 2.0 percent of the measured 
value when measured at the fundamental supply source frequency. DOE 
researched equipment as well as inquired with manufacturers about the 
equipment used and related costs. Based on information provided by 
manufacturers and DOE's own research, DOE estimates the typical cost 
for the electrical measurement equipment to conduct this proposed test 
procedure is $4,400.\37\
---------------------------------------------------------------------------

    \37\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    Additionally, temperature measurements would be necessary, to 
perform the test procedure as proposed. To verify that the testing 
fluid (i.e., clear water) is within the specified temperature range, 
testing facilities will also need to measure temperature. DOE estimates 
a cost of $220 for potential temperature measurement devices.\38\
---------------------------------------------------------------------------

    \38\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    Finally, to ensure that all data are taken simultaneously and 
properly recorded, a data acquisition system might also be necessary. 
DOE researched data acquisition systems necessary for the proposed test 
procedure and estimates the typical cost for a data acquisition system 
as $21,000.\39\
---------------------------------------------------------------------------

    \39\ DOE based this cost estimate on information gathered from 
manufacturers during the 2016 CPWG meetings.
---------------------------------------------------------------------------

    In total, DOE estimates the cost of acquiring all the necessary 
equipment to perform the proposed circulator pump test procedure as 
approximately $37,600, if a manufacturer needed to purchase all the 
testing equipment described in this section.
    However, DOE notes that the majority of circulator pump 
manufacturers may already have existing testing capabilities to verify 
equipment performance, as well as certify performance for other 
applicable circulator pump programs.\40\ Therefore, DOE interprets the 
previously estimated $37,600 value as a worst-case estimate that is not 
representative of the likely eventual burden to most manufacturers.
---------------------------------------------------------------------------

    \40\ See section III.B.1 for a review of applicable circulator 
pump regulatory and voluntary programs.
---------------------------------------------------------------------------

    DOE requests comment on the capital cost burden associated with the 
proposed circulator pump test procedure, including the estimated 
capabilities of current manufacturers. Specifically, DOE requests 
comment on the estimate that the likely capital cost burden incurred by 
existing circulator pump manufacturers would be between $0 and $37,600.
b. Between Estimated Labor Costs for Testing Circulator Pumps
    This test procedure NOPR also proposes requirements regarding the 
sampling plan and representations for covered circulator 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, among other things, require a sample 
size of at least two units per circulator pump basic model be tested 
when determining representative values CEI, as well as other circulator 
pump performance metrics.
    Based on wage and salary data from the Bureau of Labor Statistics, 
DOE estimates the fully burdened mechanical engineering technician wage 
of $41.46/hr.\41\ DOE received information from manufacturers about the 
typical time required to test a circulator pump for applicable programs 
with similar testing requirements proposed in this test procedure 
NOPR.\42\ The time for testing ranged from an hour per test to over 24 
hours when completing testing for multiple programs. The longer testing 
is a function of the longer stabilization times required for some 
manufacturers' circulator pumps with new motors. On average, the 
expected testing time for this proposed test procedure is approximately 
7.5 hours per pump based on DOE research and estimates from 
manufacturers. Using the labor rate established previously, the total 
cost of labor for testing a circulator pump is estimated to be 
approximately $622 per basic model.\43\
---------------------------------------------------------------------------

    \41\ DOE estimated the hourly wage using data from BLS's 
``Occupational Employment and Wages, May 2020'' publication. DOE 
used the ``Mechanical Engineering Technologies and Technicians'' 
mean hourly wage of $29.27 to estimate the hourly wage rate 
(www.bls.gov/oes/current/oes173027.htm). DOE then used BLS's 
``Employer Costs for Employee Compensation--June 2021'' to estimate 
that wages and salary account for approximately 70.6 for private 
industry workers (www.bls.gov/news.release/archives/ecec_09162021.pdf). Last accessed on September 21, 2021. Therefore 
DOE estimated an fully-burdened labor rate of $41.46 ($29.27 / 0.706 
= $41.46),
    \42\ See section III.B.1 for a discussion of applicable programs 
and the similarity to DOE's proposed test procedure.
    \43\ 7.5 hours x $41.46/hr x 2 units per basic model = $621.90 
(rounded to $622).
---------------------------------------------------------------------------

    DOE requests comment on the estimated time and costs to complete a 
test of a single circulator pump basic model under the proposed test 
procedure.
    Based on a review of the market. DOE is proposing to adopt the 
industry standard, HI 40.6-2021, ``Methods for Rotodynamic Pump 
Efficiency Testing,'' with certain exceptions. As previously discussed, 
DOE estimates the potential capital costs to be approximately $37,600 
per manufacturer and DOE estimates the potential labor costs to be 
approximately $622 per basic model. However, because HI 40.6-2021 is 
the generally accepted industry standard, DOE believes that 
manufacturer costs would most likely be less than the estimated costs, 
as most manufacturers are already testing to HI 40.6-2021. Further, 
relative costs arising from the proposed test procedure would fall 
further to the degree to which manufacturers are already rating pumps 
in accordance with the proposed test procedure. As of mid-October, DOE 
observes 68 models from 4 manufacturers listed in the Hydraulic 
Institute's voluntary rating program.\44\ While this figure represents 
a minority of available circulator pump models on the market, the 
Hydraulic Institute's program is relatively new and manufacturer may 
still be in the process of adding models. Finally, costs may fall 
further to the extent already-rated

[[Page 72131]]

models as the basis for certification of other, similar models under 
the same basic model.
---------------------------------------------------------------------------

    \44\ The Hydraulic Institute. Energy Rating Program Database. 
Available at: er.pumps.org/circulator/ratings. Last accessed: 
October 12, 2021.
---------------------------------------------------------------------------

2. Harmonization With Industry Standards
    DOE's established practice is to adopt relevant industry standards 
as DOE test procedures unless such methodology would be unduly 
burdensome to conduct or would not produce test results that reflect 
the energy efficiency, energy use, water use (as specified in EPCA) or 
estimated operating costs of that product during a representative 
average use cycle. Section 8(c) of Appendix A of 10 CFR part 430 
subpart C; 10 CFR 431.4. In cases where the industry standard does not 
meet EPCA statutory criteria for test procedures, DOE will make 
modifications through the rulemaking process to these standards as the 
DOE test procedure.
    The industry standard DOE proposes to incorporate by reference via 
proposals described in this NOPR is discussed in further detail in 
section IV.M.
    DOE requests comments on the benefits and burdens of the proposed 
additions to industry standards referenced in the test procedure for 
circulator pumps.
    DOE notes that, as discussed in section III.E.2, it is proposing 
exceptions and additions to HI 40.6-2021 in order to appropriately 
address circulator pump testing as specific from other rotodynamic pump 
testing. In addition, DOE is proposing test methods and calculations 
for circulator pumps with certain control varieties, which are 
supplemental to the test procedure in HI 40.6-2021. DOE notes that 
these test method proposals are consistent with HI 41.5-2021, which, as 
discussed in section II, is a program guideline rather than a test 
standard.

I. Compliance Date

    EPCA prescribes that, if DOE amends a test procedure, all 
representations of energy efficiency and energy use, including those 
made on marketing materials and product labels, must be made in 
accordance with that amended test procedure, beginning 180 days after 
publication of such a test procedure final rule in the Federal 
Register. (42 U.S.C. 6314(d)(1)) To the extent the test procedure 
proposed in this document is required only for the evaluation and 
issuance of updated efficiency standards, use of the test procedure, if 
finalized, would not be required until the implementation date of 
updated standards. 10 CFR 431.4; Section 8(d) of appendix A 10 CFR part 
430 subpart C.
    If DOE were to publish an amended test procedure, EPCA provides an 
allowance for individual manufacturers to petition DOE for an extension 
of the 180-day period if the manufacturer may experience undue hardship 
in meeting the deadline. (42 U.S.C. 6314(d)(2)) To receive such an 
extension, petitions must be filed with DOE no later than 60 days 
before the end of the 180-day period and must detail how the 
manufacturer will experience undue hardship. (Id.)

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (``OMB'') has determined that 
this test procedure rulemaking does not constitute ``significant 
regulatory actions'' under section 3(f) of Executive Order (``E.O.'') 
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 an initial regulatory flexibility analysis (``IRFA'') 
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 website: www.energy.gov/gc/office-general-counsel. DOE 
reviewed the test procedures in this proposed rule under the provisions 
of the Regulatory Flexibility Act and the procedures and policies 
published on February 19, 2003.
    The following sections detail DOE's IRFA for this test procedure 
rulemaking.
1. Description of Why Action Is Being Considered
    DOE proposes to amend subpart Y of 10 CFR part 431 to establish a 
test procedure for circulator pumps in advance of the finalization of 
any energy conservation standards for this equipment. (See Docket No. 
EERE-2016-BT-STD-0004.) The test procedure for circulator pumps 
proposed in this test procedure NOPR includes the methods necessary to: 
(1) Measure the performance of the covered equipment, (2) use the 
measured results to calculate the CEI to represent the energy 
consumption of the circulator pump, inclusive of a motor and any 
controls, and (3) determine the minimum test sample (i.e., number of 
units) and permitted method of determining represented values. In this 
test procedure NOPR, DOE also proposes to set the scope of those 
circulator pumps to which the proposed test methods would apply.
2. Objective of, and Legal Basis for, Rule
    EPCA \45\ authorizes DOE to regulate the energy efficiency of a 
number of consumer products and certain industrial equipment. (42 
U.S.C. 6291-6317) Title III, Part C \46\ of EPCA, added by Public Law 
95-619, Title IV, section 441(a) (42 U.S.C. 6311-6317 as codified), 
established the Energy Conservation Program for Certain Industrial 
Equipment, which sets forth a variety of provisions designed to improve 
energy efficiency. This equipment includes pumps, the subject of this 
document. (42 U.S.C. 6311(1)(A))
---------------------------------------------------------------------------

    \45\ All references to EPCA in this document refer to the 
statute as amended through the Energy Act of 2020, Public Law 116-
260 (Dec. 27, 2020).
    \46\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
---------------------------------------------------------------------------

    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 requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results which reflect energy efficiency, energy use or estimated annual 
operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2)) To fulfill 
these requirements, in this test procedure NOPR, DOE proposes to 
establish a test procedure for circulator pumps in advance of the 
finalization of any energy conservation standards for this equipment. 
(See Docket No. EERE-2016-BT-STD-0004.)
3. Description and Estimate of Small Entities Regulated
    For manufacturers of circulator pumps, the Small Business 
Administration (``SBA'') has set a size threshold, which defines those 
entities

[[Page 72132]]

classified as ``small businesses'' for the purposes of the statute. DOE 
used the SBA's small business size standards to determine whether any 
small entities would be subject to the requirements of the rule. See 13 
CFR part 121. The equipment covered by this rule are classified under 
North American Industry Classification System (``NAICS'') code 
333914,\47\ ``Measuring, Dispensing, and Other Pumping Equipment 
Manufacturing.'' In 13 CFR 121.201, the SBA sets a threshold of 750 
employees or fewer for an entity to be considered as a small business 
for this category.
---------------------------------------------------------------------------

    \47\ The size standards are listed by NAICS code and industry 
description and are available at: www.sba.gov/document/support--
table-size-standards (Last accessed on July 16, 2021).
---------------------------------------------------------------------------

    DOE reviewed the test procedures proposed in this NOPR under the 
provisions of the Regulatory Flexibility Act and the procedures and 
policies published on February 19, 2003. DOE used publicly available 
information to identify potential small businesses that manufacture 
circulator pumps covered in this rulemaking. DOE identified ten 
companies that are OEMs of circulator pumps covered by this rulemaking. 
DOE screened out companies that do not meet the definition of a ``small 
business'' or are foreign-owned and operated. DOE identified three 
potential small, domestic OEMs for consideration. DOE used 
subscription-based business information tools to determine the number 
of employees and revenue of the potential small businesses.
    DOE requests comment on the number of small businesses DOE 
identified.
4. Description and Estimate of Compliance Requirements
    DOE estimates that this proposed test procedure would not require 
any manufacturer to incur any additional testing burden associated with 
the proposed test procedure, if finalized, DOE recognizes that 
circulator pump energy conservation standards may be proposed or 
promulgated in the future and pump manufactures would then be required 
to test all covered circulator pumps in accordance with the proposed 
test procedures. (See Docket No. EERE-2016-BT-STD-0004) Therefore, 
although such is not yet required, DOE is presenting the costs 
associated with testing equipment and procedure consistent with the 
requirements of the proposed test procedure, as would be required to 
certify compliance with any future energy conservation standards.
    In the test procedure outlined in this NOPR for circulator pumps, 
DOE proposes a new metric, called CEI. To determine the applicable 
measured values for determining circulator pump performance, DOE 
proposes to incorporate by reference the test methods established in HI 
40.6-2021, ``Methods for Rotodynamic Pump Efficiency Testing,'' with 
certain exceptions. DOE also proposes to set the scope of those 
circulator pumps to which the proposed test methods would apply.
    DOE recognizes that, because such testing is not currently required 
in the United States, testing facilities may vary from one pump 
manufacturer to another. As such, DOE has estimated the potential 
testing burden associated with this test procedure NOPR, which is 
associated with a situation where a given pump manufacturer does not 
have existing test facilities and would be required to purchase the 
necessary test equipment in accordance with any test procedure final 
rule. Furthermore, DOE believes that manufacturer costs would most 
likely be less than the estimated costs because most manufacturers are 
already testing to HI 40.6-2021. Additionally, if manufacturers are 
already testing to HI 40.6-2021, manufacturers would not be required to 
re-test those models. DOE's cost estimates factored in capital 
expenditures required to purchase the necessary testing equipment as 
well as labor expenditures required to conduct the testing. DOE has 
tentatively determined that most manufacturers would choose to perform 
in-house testing as opposed to third-party lab testing.
    DOE estimated the range of potential costs for the three small, 
domestic manufacturers of circular pumps. When developing cost 
estimates for these manufacturers, DOE considered the cost of testing 
equipment as well as the labor required to test per basic model. Should 
DOE adopt energy conservation standards in terms of CEI, the small 
businesses could incur capital costs of up to $37,600 per manufacturer. 
Additionally, DOE estimates testing labor costs of approximately $622 
per basic model. DOE estimates, based on market research, that 
circulator pump manufacturers would each typically rate between 75 to 
125 models with an average of 100 models per small business 
manufacture. Therefore, DOE estimates that the associated testing labor 
costs for a typical small business to be approximately $62,200 to test 
each small business's currently covered circulator pump basic 
models.\48\
---------------------------------------------------------------------------

    \48\ $622 (per basic model) x 100 (average number of basic 
models per small business) = $62,200.
---------------------------------------------------------------------------

    Should DOE adopt energy conservation standards in terms of CEI, 
small businesses could incur total capital and labor testing costs of 
approximately $99,800. DOE understands the annual revenue of the three 
small businesses to be approximately $2 million, $5 million, and $158 
million. Therefore, testing costs could cause these small businesses to 
incur up to 5 percent, 2 percent, and less than 1 percent of annual 
revenue, respectively.
    DOE requests comment on the estimated potential costs for the small 
businesses.
5. Duplication Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the proposed rule being considered today.
6. Significant Alternatives to the Rule
    The discussion in the previous section analyzes impacts on small 
businesses that would result from DOE's proposed test procedure, if 
finalized. In reviewing alternatives to the proposed test procedure, 
DOE examined not establishing a performance-based test procedure for 
circulator pumps or establishing prescriptive-based test procedures for 
circulator pumps. While not establishing performance-based test 
procedures or establishing prescriptive-based test procedures for 
circular pumps would reduce the burden on small businesses, DOE must 
use test procedures to determine whether the products comply with 
relevant standards promulgated under EPCA. (42 U.S.C. 6295(s))
    DOE notes there currently are no energy conservation standards 
prescribed for circular pumps. Therefore, manufacturers would not be 
required to conduct the proposed test procedure, if made final, until 
such time as compliance is required with energy conservation standards, 
should DOE establish such standards, unless manufacturers voluntarily 
chose to make representations as to the energy use or energy efficiency 
of circulator pumps.
    Additional compliance flexibilities may be available through other 
means. EPCA provides that a manufacturer whose annual gross revenue 
from all of its operations does not exceed $8 million may apply for an 
exemption from all or part of an energy conservation standard for a 
period not longer than 24 months after the effective date of a final 
rule establishing the standard. (42 U.S.C. 6295(t)) Additionally, 
section 504 of the

[[Page 72133]]

Department of Energy Organization Act, 42 U.S.C. 7194, provides 
authority for the Secretary to adjust a rule issued under EPCA in order 
to prevent ``special hardship, inequity, or unfair distribution of 
burdens'' that may be imposed on that manufacturer as a result of such 
rule. Manufacturers should refer to 10 CFR part 430, subpart E, and 10 
CFR part 1003 for additional details.

C. Review Under the Paperwork Reduction Act of 1995

    Although no energy conservation standards have been established for 
circulator pumps as of the publication of this NOPR, manufacturers of 
circulator pumps would need to certify to DOE that their products 
comply with any potential future applicable energy conservation 
standards. To certify compliance, manufacturers must first obtain test 
data for their products according to the DOE test procedures, including 
any amendments adopted for those test procedures. DOE has established 
regulations for the certification and recordkeeping requirements for 
all covered consumer products and commercial equipment, including 
circulator pumps. (See generally 10 CFR part 429.) The collection-of-
information requirement for the certification and recordkeeping is 
subject to review and approval by OMB under the Paperwork Reduction Act 
(``PRA''). This requirement has been approved by OMB under OMB control 
number 1910-1400. Public reporting burden for the certification is 
estimated to average 35 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    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 proposed rule, DOE proposes definitions and a test 
procedure for circulator pumps that it expects will be used to develop 
and implement future energy conservation standards for this equipment. 
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, DOE has determined that 
adopting test procedures for measuring energy efficiency of consumer 
products and industrial equipment is consistent with activities 
identified in 10 CFR part 1021, appendix A to subpart D, A5 and A6. 
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 (Aug. 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 has examined this proposed rule and has 
determined that it would 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 proposed 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 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, 
the proposed 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 proposed regulatory action likely to result 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 www.energy.gov/gc/office-general-counsel. DOE examined this proposed 
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

[[Page 72134]]

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 proposed rule would not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this proposed regulation 
would 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). Pursuant 
to OMB Memorandum M-19-15, Improving Implementation of the Information 
Quality Act (April 24, 2019), DOE published updated guidelines which 
are available at www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this proposed 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 proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated or is expected to lead to promulgation of a 
final rule, and that (1) is a significant regulatory action under 
Executive Order 12866, or any successor order; and (2) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to establish a test procedure for 
measuring the energy efficiency of circulator pumps 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 proposed test procedure for circulator pumps would incorporate 
testing methods contained in certain sections of the following 
commercial standard: Hydraulic Institute (HI) 40.6-2021, (``HI 40.6-
2021'') ``Methods for Rotodynamic Pump Efficiency Testing''. DOE has 
evaluated this standard and is unable to conclude whether it fully 
complies with the requirements of section 32(b) of the FEAA (i.e., 
whether it was developed in a manner that fully provides for public 
participation, comment, and review.) DOE will consult with both the 
Attorney General and the Chairman of the FTC concerning the impact of 
these test procedures on competition, prior to prescribing a final 
rule.

M. Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the test 
standard published by Hydraulic Institute (HI), titled ``Methods for 
Rotodynamic Pump Efficiency Testing,'' HI 40.6-2021. HI 40.6-2021 is an 
industry-accepted standard used to specify methods of testing for 
determining the head, flow rate, driver power input, pump power output, 
and other relevant parameters necessary to determine the CEI of 
applicable pumps proposed in this TP NOPR. The test procedure proposed 
in this NOPR references various sections of HI 40.6-2021 that address 
test setup, instrumentation, measurement, and test specifications. This 
standard can be obtained from the organization directly at the 
following address: Hydraulic Institute, 6 Campus Drive, First Floor 
North, Parsippany, NJ 07054-4406, (973) 267-9700, or by visiting 
www.Pumps.org.

V. Public Participation

A. Participation in the Webinar

    The time and date of the webinar are listed in the DATES section at 
the beginning of this document. If no participants register for the 
webinar, it will be cancelled. Webinar registration information, 
participant instructions, and information about the capabilities 
available to webinar participants will be published on DOE's website: 
www.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=66. Participants are responsible for ensuring 
their systems are compatible with the webinar software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has an interest in the topics addressed in this 
NOPR, or who is representative of a group or class of persons that has 
an interest in these issues, may request an opportunity to make an oral 
presentation at the webinar. Such persons may submit to 
[email protected]. Persons who wish to speak 
should include with their request a computer file in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format that briefly describes 
the nature of their interest in this rulemaking and the topics they 
wish to discuss. Such persons should also provide a daytime

[[Page 72135]]

telephone number where they can be reached.
    Persons requesting to speak should briefly describe the nature of 
their interest in this rulemaking and provide a telephone number for 
contact. DOE requests persons selected to make an oral presentation to 
submit an advance copy of their statements at least two weeks before 
the webinar. At its discretion, DOE may permit persons who cannot 
supply an advance copy of their statement to participate, if those 
persons have made advance alternative arrangements with the Building 
Technologies Office. As necessary, requests to give an oral 
presentation should ask for such alternative arrangements.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar/public 
meeting and may also use a professional facilitator to aid discussion. 
The meeting will not be a judicial or evidentiary-type public hearing, 
but DOE will conduct it in accordance with section 336 of EPCA (42 
U.S.C. 6306). A court reporter will be present to record the 
proceedings and prepare a transcript. DOE reserves the right to 
schedule the order of presentations and to establish the procedures 
governing the conduct of the webinar/public meeting. There shall not be 
discussion of proprietary information, costs or prices, market share, 
or other commercial matters regulated by U.S. anti-trust laws. After 
the webinar/public meeting and until the end of the comment period, 
interested parties may submit further comments on the proceedings and 
any aspect of the rulemaking.
    The webinar will be conducted in an informal, conference style. DOE 
will present summaries of comments received before the webinar, allow 
time for prepared general statements by participants, and encourage all 
interested parties to share their views on issues affecting this 
rulemaking. Each participant will be allowed to make a general 
statement (within time limits determined by DOE), before the discussion 
of specific topics. DOE will permit, as time permits, other 
participants to comment briefly on any general statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly. Participants should 
be prepared to answer questions by DOE and by other participants 
concerning these issues. DOE representatives may also ask questions of 
participants concerning other matters relevant to this rulemaking. The 
official conducting the webinar/public meeting will accept additional 
comments or questions from those attending, as time permits. The 
presiding official will announce any further procedural rules or 
modification of the above procedures that may be needed for the proper 
conduct of the webinar/public meeting.
    A transcript of the webinar/public meeting will be included in the 
docket, which can be viewed as described in the Docket section at the 
beginning of this NOPR. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through www.regulations.gov cannot be claimed as CBI. Comments received 
through the website will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information on a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. No faxes will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email two well-marked copies: One copy of the document marked 
confidential including all the information believed to be confidential, 
and one copy of the document marked non-confidential with the 
information believed to be confidential deleted. DOE will make its own 
determination about the confidential status of the

[[Page 72136]]

information and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE requests comment on the proposed definition for circulator 
pump.
    (2) DOE requests comment on the proposed definition for horizontal 
motor, including whether it meets the intent of the CPWG or whether it 
would include other motors not intended to be captured in the 
definition.
    (3) DOE requests comment on the proposed definitions of header pump 
and circulator-less-volute.
    (4) DOE requests comment on its proposal to include on-demand 
circulator pumps within the scope of this test procedure. DOE also 
requests data and information that would justify a CEI credit for on-
demand circulator pumps.
    (5) DOE requests comment on the proposed scope of applicability of 
the circulator pump test procedure to circulator pumps that are clean 
water pumps, and the exclusion of header pumps and submersible pumps 
from the scope of the proposed test procedure.
    (6) DOE requests comment on the proposed applicability of the 
definition of ``basic model'' at 10 CFR 431.462 to circulator pumps and 
any characteristics unique to circulator pumps that may necessitate 
modifications to that definition.
    (7) DOE requests comment on its proposal to adopt CEI as the metric 
to characterize the energy use of certain circulator pumps and on the 
proposed equation for CEI.
    (8) DOE requests comment on the proposal to allow manufacturers to 
select the control variety used for testing if the circulator pump 
model is distributed in commerce with multiple control varieties. DOE 
specifically requests comment on whether DOE should instead require 
manufacturers to test a circulator pump model that offers multiple 
control varieties with the least consumptive control variety. DOE also 
requests comment on the burden that would be associated with such an 
approach.
    (9) DOE requests comment on its proposed definition of adaptive 
pressure control.
    (10) DOE requests comment on the proposed test method for 
circulator pumps with pressure controls, including whether DOE's 
interpretation of the new provisions in HI 41.5-2021 are accurate.
    (11) DOE requests comment on whether specific test provisions for 
circulator pumps equipped with user-adjustable pressure controls are 
needed, and if so, on the proposed provisions for such pumps.
    (12) DOE requests comment on the proposed test methods for 
circulator pumps with adaptive pressure controls, and in particular on 
the proposed provisions not included in HI 41.5-2021, including for 
pumps without a manual control mode, whether throttling should be 
allowed to achieve head above the reference system curve, or instead 
head should be allowed below the reference system curve and adjusted 
back to the curve, as with other non-adaptive pressure controls. DOE 
also requests comment on the HI 41.5-2021 provision for manual 
adjustment to achieve 100 percent BEP flow and heat point at max speed, 
which is not included for other pressure controls.
    (13) DOE requests comment on the proposed test methods, test 
points, and weights for circulator pumps with temperature controls.
    (14) DOE requests comment on the proposed test method and the 
unique test points, weights, and speed factors for circulator pumps 
distributed in commerce with manual speed controls.
    (15) DOE requests comment on the proposed test method and the 
unique test points, weights, and speed factors for circulator pumps 
distributed in commerce with external input signal controls. In 
particular, DOE requests comment on whether manual speed adjustment 
and/or simulated external input signal are appropriate for testing 
circulator pumps with external input signal only, as well as circulator 
pumps with external input signal in addition to other control 
varieties. DOE also seeks comment on whether it is necessary to 
reference the ``lowest speed setting'' when determining the appropriate 
test points. Finally, DOE seeks comment on whether the test points and 
weights for circulator pumps distributed in commerce with external 
input signal control in addition to other control varieties are 
appropriately reflective of their energy consumption in the field 
relative to other control varieties.
    (16) DOE requests comment on the proposed test method for 
circulator pumps distributed in commerce with no controls.
    (17) DOE requests comment on the proposal to incorporate by 
reference HI 40.6-2021, inclusive of Appendix E, into the proposed 
appendix D to subpart Y, with the exceptions, modifications, and 
additions described in section III.E.2 of this document.
    (18) DOE requests comment on its proposal to not reference sections 
40.6.4.1, 40.6.4.2, 40.6.5.3, 40.6.5.5.2, 40.6.6.1, 40.6.6.1.1, 
Appendix B, and Appendix G of HI 40.6-2021 as part of the DOE test 
procedure for circulator pumps.
    (19) DOE requests comment on the proposed test procedure for twin 
head circulator pumps.
    (20) DOE requests comment on the proposed test procedure for 
circulators-less-volute. Specifically, DOE seeks comment as to any 
additional details that should be addressed in testing a circulator-
less-volute with any given volute to determine applicable CEI values.
    (21) DOE requests comment on its proposal to adopt the provisions 
in Appendix E of HI 40.6-2021 for determining circulator pump driver 
power input at specified flow rates, including whether these provisions 
are more appropriate than those recommended by the CPWG.
    (22) DOE requests comment on the proposal that for circulator pumps 
with pressure and manual speed controls, if all the tested flow values 
are within 5 percent of the flow load points specified by 
the reference curve and tested head values are below the head load 
points specified by the reference curve, the tested driver power input 
values would be proportionally adjusted to the specified flow and head 
points. If the tested head values are above the reference system curve, 
only the flow values would be proportionally adjusted to the specified 
value. DOE requests comment on whether HI intended to remove all power 
correction (including flow correction) above the reference curve for 
pumps with pressure and manual speed controls.
    (23) DOE requests comment on the proposal that for temperature and 
external input signal controls, if all the tested flow values are 
within 5 percent of the flow load points specified by the 
reference system curve and all the tested head values are within 10 percent of the head load points specified by the reference 
system curve, the tested driver power input values would be 
proportionally adjusted to the specified flow and head points. If the 
tested head values are above the reference system curve by more than 10 
percent, only the

[[Page 72137]]

flow values would be proportionally adjusted to the specified value. 
DOE requests comment on whether HI intended to remove all power 
correction above the reference curve for temperature and external input 
signal controls.
    (24) DOE also requests comment on the proposed applicability of the 
tolerance and proportional adjustment method to the various test 
points, as compared to the curve fitting method, based on circulator 
pump control variety. DOE particularly requests comment on which 
category is most appropriate for the 100 percent of BEP flow point.
    (25) DOE requests comment on the proposal that all calculations be 
performed with the raw measured data, to ensure accuracy, and to round 
CER, BEP flow at maximum speed and BEP head at maximum speed values to 
three significant figures; real power, true RMS current, and true RMS 
voltage values the tenths place (i.e., 0.1); and CEI, hydraulic 
horsepower, and true power factor values to the hundredths place (i.e., 
0.01).
    (26) DOE requests comment on the proposal to use rated hydraulic 
horsepower, identified as the measured hydraulic horsepower at BEP and 
full impeller diameter for the rated pump, as the primary standardized 
metric to determine the scope of applicability of dry rotor circulator 
pumps in this circulator pump test procedure.
    (27) DOE requests comment on the proposed statistical sampling 
procedures and certification requirements for circulator pumps.
    (28) DOE requests comment on how, absent information on the tested 
control method for a basic model, DOE should determine which test 
method to conduct.
    (29) DOE requests comment on the proposed product-specific 
enforcement testing provisions for circulator pumps, particularly with 
regard to the appropriate control curve for pressure controls (when not 
specified) and the appropriate speed settings for other control 
methods.
    (30) DOE requests comment on the proposal to apply to circulator 
pumps the enforcement testing sample size, calculations, and procedures 
laid out in appendix A to subpart C of 10 CFR part 429.
    (31) DOE seeks comment upon the applicability of a 5 percent 
tolerance on hydraulic horsepower for each tested circulator pump model 
or if a higher or lower percentage variation would be justified.
    (32) DOE requests comment on its proposal to adopt provisions for 
the measurement of several other circulator pump metrics, including 
overall (wire-to-water) efficiency, driver power input, and/or pump 
power output (hydraulic horsepower).
    (33) DOE also requests comment on its belief that HI 40.6-2021 
contains all the necessary methods to determine overall (wire-to-water) 
efficiency, driver power input, and/or pump power output (hydraulic 
horsepower) and that further specification is not necessary.
    (34) DOE requests comment on the capital cost burden associated 
with the proposed circulator pump test procedure, including the 
estimated capabilities of current manufacturers. Specifically, DOE 
requests comment on the estimate that the likely capital cost burden 
incurred by existing circulator pump manufacturers would be between $0 
and $37,600.
    (35) DOE requests comment on the estimated time and costs to 
complete a test of a single circulator pump basic model under the 
proposed test procedure.
    (36) DOE requests comments on the benefits and burdens of the 
proposed additions to industry standards referenced in the test 
procedure for circulator pumps.
    (37) DOE requests comment on the number of small businesses DOE 
identified.
    (38) DOE requests comment on the estimated potential costs for the 
small businesses.

Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this notice of 
proposed rulemaking and request for comment.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Reporting and 
recordkeeping requirements.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation test procedures, Incorporation by 
reference, Reporting and recordkeeping requirements.

Signing Authority

    This document of the Department of Energy was signed on November 
16, 2021, by Kelly Speakes-Backman, Principal Deputy Assistant 
Secretary and Acting Assistant Secretary for Energy Efficiency and 
Renewable Energy, pursuant to delegated authority from the Secretary of 
Energy. That document with the original signature and date is 
maintained by DOE. For administrative purposes only, and in compliance 
with requirements of the Office of the Federal Register, the 
undersigned DOE Federal Register Liaison Officer has been authorized to 
sign and submit the document in electronic format for publication, as 
an official document of the Department of Energy. This administrative 
process in no way alters the legal effect of this document upon 
publication in the Federal Register.

    Signed in Washington, DC, on November 17, 2021.
Treena V. Garrett,

Federal Register Liaison Officer, U.S. Department of Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 431 of Chapter II 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; 28 U.S.C. 2461 note.

0
2. Section 429.59 is amended by:
0
a. Revising paragraphs (a)(1)(i), (a)(2)(i) and (a)(2)(iii), and
0
b. Adding paragraphs (a)(2)(iv) through (vii).
    The revisions and addition read as follows:


Sec.  429.59   Pumps.

    (a) * * *
    (1) * * *
    (i) Any representation of the constant load pump energy index 
(PEICL), variable load pump energy index (PEIVL), 
circulator energy index (CEI), or other measure of energy consumption 
of a basic model for which consumers would favor lower values shall be 
greater than or equal to the higher of:
    (A) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP20DE21.017
    

and x is the sample mean, n is the number of samples, and xi 
is the maximum of the i\th\ sample;
    Or,
    (B) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:

[[Page 72138]]

[GRAPHIC] [TIFF OMITTED] TP20DE21.018


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 of part 429).
* * * * *
    (2) * * *
    (i) Rated hydraulic horsepower. The representative value of rated 
hydraulic horsepower of a basic model of dedicated-purpose pool pump or 
circulator pump must be the mean of the rated hydraulic horsepower for 
each tested unit.
* * * * *
    (iii) True power factor. The representative value of true power 
factor of a basic model of dedicated-purpose pool pump or circulator 
pump must be determined based on the mean of the true power factors for 
each tested unit of dedicated-purpose pool pump or circulator pump 
motor, respectively.
    (iv) True RMS current and true RMS voltage. The representative 
values of true RMS current and true RMS voltage of a basic model of 
circulator pump must be determined based on the mean of the true RMS 
currents and true RMS voltages, respectively, for each tested unit.
    (v) Input power. The representative value(s) of input power of a 
basic model of circulator pump must be determined based on the mean of 
the input power at measured data point(s) for each tested unit.
    (vi) Flow at BEP and maximum speed. The representative value of 
flow at BEP and maximum speed of a basic model of circulator pump must 
be determined based on the mean of the flow at BEP and maximum speed 
for each tested unit.
    (vii) Head at BEP and maximum speed. The representative value of 
head at BEP and maximum speed of a basic model of circulator pump must 
be determined based on the mean of the head at BEP and maximum speed 
for each tested unit.
* * * * *
0
3. Section 429.110 is amended by revising paragraphs (e)(1) and (5) to 
read as follows:


Sec.  429.110   Enforcement testing.

* * * * *
    (e) * * *
    (1) For products with applicable energy conservation standard(s) in 
Sec.  430.32 of this chapter, and commercial prerinse spray valves, 
illuminated exit signs, traffic signal modules and pedestrian modules, 
commercial clothes washers, dedicated-purpose pool pumps, circulator 
pumps, and metal halide lamp ballasts, DOE will use a sample size of 
not more than 21 units and follow the sampling plans in appendix A of 
this subpart (Sampling for Enforcement Testing of Covered Consumer 
Products and Certain High-Volume Commercial Equipment).
* * * * *
    (5) For pumps subject to the test procedures specified in Sec.  
431.464(a) of this chapter, 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
4. Section 429.134 is amended by adding paragraph (i)(3) to read as 
follows:


Sec.  429.134   Product-specific enforcement provisions.

* * * * *
    (i) * * *
    (3) Circulator pumps.
    (i) The flow rate at BEP and maximum speed of each tested unit of 
the basic model will be measured pursuant to the test requirements of 
Sec.  431.464(c) of this chapter, where the value of flow rate at BEP 
and maximum speed certified by the manufacturer will be treated as the 
expected BEP flow rate at maximum speed. The resulting measurement will 
be compared to the value of flow rate at BEP and maximum speed 
certified by the manufacturer. The certified flow rate at BEP and 
maximum speed will be considered valid only if the measurement (either 
the measured flow rate at BEP and maximum speed for a single unit 
sample or the average of the measured flow rates for a multiple unit 
sample) is within 5 percent of the certified flow rate at BEP and 
maximum speed.
    (A) If the representative value of flow rate is found to be valid, 
the measured flow rate at BEP and maximum speed will be used in 
subsequent calculations of circulator energy rating (CER) and 
circulator energy index (CEI) for that basic model.
    (B) If the representative value of flow rate at BEP and maximum 
speed is found to be invalid, the mean of all the measured values of 
flow rate at BEP and maximum speed 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 flow rate at BEP and maximum 
speed is within 5 percent of the expected BEP flow rate.
    (ii) DOE will test each circulator pump unit according to the 
control setting with which the unit was rated. If no control setting is 
specified and no controls were available, DOE would test using the full 
speed test. If no control setting is specified and a variety of 
controls are available, DOE would test using the test method for any 
one of the control varieties available on board.
    (iii) Pressure controls will be tested in the automatic setting 
except that adaptive pressure controls will be tested at the manual 
control option that results in the lowest head values at each test 
point below maximum speed. When conducting tests of pressure controls 
for which the no control curve is specified, the circulator pump will 
be tested using any control curve meeting the requirements specified in 
the test method.
    (iv) External input signal controls and temperature controls will 
be tested at the lowest speed setting that will achieve a head at or 
above the reference curve.
    (v) Manual speed controls will be tested using the speed setting 
closest to (above or below) each of the head points specified by the 
reference system curve.
* * * * *

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

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

    Authority:  42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
6. Section 431.462 is amended by:
0
a. Adding, in alphabetical order, definitions for the terms ``Adaptive 
pressure controls,'' ``Circulator-less-volute,'' ``Circulator pump,'' 
``Dry rotor, three-piece circulator pump,'' ``Dry rotor, two-piece 
circulator pump,'' ``External input signal control,'' ``Header pump,'' 
``Manual speed control,'' ``On-demand circulator,'' ``Pressure 
control,'' ``Temperature control,'' and ``Wet rotor circulator pump.''; 
and
0
b. Revising the definition of the term ``Horizontal motor.''
    The additions and revision read as follows:


Sec.  431.462   Definitions.

* * * * *
    Adaptive pressure control means a pressure control that 
continuously senses the head requirements in the system in which it is 
installed and adjusts the control curve of the pump accordingly.
* * * * *
    Circulator-less-volute means a circulator pump distributed in

[[Page 72139]]

commerce without a volute and for which a paired volute is also 
distributed in commerce. Whether a paired volute is distributed in 
commerce will be determined based on published data, marketing 
literature, and other publicly available information.
    Circulator pump means is a pump that is either a wet rotor 
circulator pumps; a dry rotor, two-piece circulator pump; or a dry 
rotor, three-piece circulator pump. A circulator pump may be 
distributed in commerce with or without a volute.
* * * * *
    Dry rotor, three-piece circulator pump means a single stage, 
rotodynamic, single-axis flow, mechanically-coupled, dry rotor pump 
that:
    (1) Has a rated hydraulic power less than or equal to 5 hp at the 
best efficiency point at full impeller diameter,
    (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 generally referred 
to in industry as CP3.
    Dry rotor, two-piece circulator pump means a single stage, 
rotodynamic, single-axis flow, close-coupled, dry rotor pump that:
    (1) Has a rated hydraulic power less than or equal to 5 hp at best 
efficiency point at full impeller diameter,
    (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 generally referred 
to in industry as CP2.
* * * * *
    External input signal control means a variable speed drive that 
adjusts the speed of the driver in response to an input signal from an 
external logic and/or user interface.
* * * * *
    Header pump means a circulator pump distributed in commerce without 
a volute and for which a paired volute is not distributed in commerce. 
Whether a paired volute is distributed in commerce will be determined 
based on published data, marketing literature, and other publicly 
available information.
    Horizontal motor means a motor, for which the motor shaft position 
when functioning under operating conditions specified in manufacturer 
literature, includes a horizontal position.
* * * * *
    Manual speed control means a control (variable speed drive and user 
interface) that adjusts the speed of the driver based on manual user 
input.
* * * * *
    On-demand circulator pump means a circulator pump that is 
distributed in commerce with an integral control that:
    (1) Initiates water circulation based on receiving a signal from 
the action of a user [of a fixture or appliance] or sensing the 
presence of a user of a fixture and cannot initiate water circulation 
based on other inputs, such as water temperature or a pre-set schedule.
    (2) Automatically terminates water circulation once hot water has 
reached the pump or desired fixture.
    (3) Does not allow the pump to operate when the temperature in the 
pipe exceeds 104 [deg]F or for more than 5 minutes continuously.
* * * * *
    Pressure control means a control (variable speed drive and 
integrated logic) that automatically adjusts the speed of the driver in 
response to pressure.
* * * * *
    Temperature control means a control (variable speed drive and 
integrated logic) that automatically adjusts the speed of the driver 
continuously over the driver operating speed range in response to 
temperature.
* * * * *
    Wet rotor circulator pump means a single stage, rotodynamic, close-
coupled, wet rotor pump. Examples include, but are not limited to, 
pumps generally referred to in industry as CP1.
0
7. Section 431.463 is amended by revising paragraph (a) and adding 
paragraph (d)(5) to read as follows:


Sec.  431.463   Materials incorporated by reference.

    (a) Certain material is incorporated by reference into this subpart 
with the approval of the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other 
than that specified in this section, DOE must publish a document in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at the 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, https://www.energy.gov/eere/buildings/appliance-and-equipment-standards-program, and may be obtained from the 
other sources in this section. It is also available for inspection at 
the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, email:  
[email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.
* * * * *
    (d) * * *
    (5) HI 40.6-2021, (``HI 40.6-2021''), ``Methods for Rotodynamic 
Pump Efficiency Testing,'' copyright 2021, IBR approved for appendix D 
to subpart Y of this part.
* * * * *
0
8. Section 431.464 is amended by adding paragraph (c) to read as 
follows:


Sec.  431.464   Test procedure for measuring energy efficiency and 
other performance factors of pumps.

* * * * *
    (c) Circulator pumps--
    (1) Scope. This paragraph (c) provides the test procedures for 
determining the circulator energy index for circulator pumps that are 
also clean water pumps, including on-demand circulator pumps and 
circulators-less-volute, and excluding submersible pumps and header 
pumps.
    (2) Testing and calculations. Determine the circulator energy index 
(CEI) using the test procedure set forth in appendix D of this subpart 
Y.
0
9. Add appendix D to subpart Y of part 431 to read as follows:

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

I. Test Procedure for Circulator Pumps

    A. General
    A.1 Referenced materials. DOE incorporated by reference in Sec.  
431.463 the entire standard for HI 40.6-2021. However, not all 
provisions of HI 40.6-2021 apply to this appendix. If there is any 
conflict between any industry standard and this appendix, follow the 
language of the test procedure in this appendix, disregarding the 
conflicting industry standard language. Specifically, the following 
provisions are not applicable:

(1) Section 40.6.4--Considerations when determining the efficiency 
of certain pumps, Section 40.6.4.1--Vertically suspended pumps
(2) Section 40.6.4--Considerations when determining the efficiency 
of certain pumps, Section 40.6.4.2--Submersible pumps
(3) Section 40.6.5--Test procedures, Section 40.6.5.3--Test report
(4) Section 40.6.5--Test procedures, Section 40.6.5.5--Test 
conditions, Section 40.6.5.5.2--Speed of rotation during test
(5) Section 40.6.6--Analysis, Section 40.6.6.1--Translation of the 
test results to the specified speed of rotation

[[Page 72140]]

(6) Section 40.6.6--Analysis, Section 40.6.6.1--Translation of the 
test results to the specified speed of rotation, Section 
40.6.6.1.1--Translation of the test results into data based on 
specified speed of rotation
(7) Appendix B--Reporting of test results
(8) Appendix G--DOE compared to HI 40.6 nomenclature

    A.2 To determine the circulator energy index (CEI), testing 
shall be performed in accordance with HI 40.6-2021, including 
Appendix E ``Testing Circulator Pumps,'' with the exceptions noted 
in section A.0 of this appendix and the modifications and additions 
as noted throughout the following provisions. For the purposes of 
applying this appendix, the term ``pump power output,'' as defined 
in section 40.6.2, ``Terms and definitions,'' of HI 40.6-2021 shall 
be deemed to be synonymous with the term ``hydraulic horsepower'' 
used throughout that standard and this appendix.
    B. Scope.
    B.1 Section II of this appendix describes the testing of 
circulator pumps with external input signal controls and the 
calculation of CER for these circulator pumps.
    B.2 Section III of this appendix describes the testing of 
circulator pumps with manual speed controls and the calculation of 
CER for these circulator pumps.
    B.3 Section IV of this appendix describes the testing of 
circulator pumps with pressure controls and the calculation of CER 
for these circulator pumps.
    B.4 Section V of this appendix describes the testing of 
circulator pumps with temperature controls and the calculation of 
CER for these circulator pumps.
    B.5 Section VI of this appendix describes the testing of 
circulator pumps without external input signal, manual, pressure, or 
temperature controls (i.e., full speed test) and the calculation of 
CER for these circulator pumps.
    B.6 If a given circulator pump model is distributed in commerce 
with multiple control varieties available, the manufacturer may 
select a control variety (or varieties) among those available with 
which to test the circulator pump, including the test method for 
circulator pumps without external input signal, manual, pressure, or 
temperature controls (i.e., full speed test).
    C. Measurement Equipment. For the purposes of measuring flow 
rate, head, driver power input, and pump power output, the equipment 
specified in HI 40.6-2021 Appendix C must be used and must comply 
with the stated accuracy requirements in HI 40.6-2021 Table 
40.6.3.2.3. 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.
    D. Test conditions.
    D.1 Pump specifications. Conduct testing in accordance with the 
test conditions, stabilization requirements, and specifications of 
HI 40.6-2021 section 40.6.3, ``Pump efficiency testing''; section 
40.6.4, ``Considerations when determining the efficiency of a 
pump,'' including section 40.6.4.4, ``Determination of pump overall 
efficiency''; section 40.6.5.4 (including Appendix A), ``Test 
arrangements''; and section 40.6.5.5, ``Test conditions.''
    D.2 Twin head circulator pump. To test twin head circulator 
pumps, one of the two impeller assemblies should be incorporated 
into an adequate, single impeller volute and casing. An adequate, 
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 
circulator pump volute and casing.
    D.3 Circulator-less-volute. To determine the CEI for a 
circulator-less-volute, test each circulator-less-volute with each 
volute for which the circulator-less-volute is offered for sale or 
advertised to be paired for that circulator pump model according to 
the testing and calculations described in sections II, III, IV, V, 
or VI of this appendix, depending on the variety of control with 
which the circulator pump model is distributed in commerce, as 
specified in section B of this appendix. Alternatively, each 
circulator-less-volute may be tested with the most consumptive 
volute with which is it offered for sale or advertised to be paired 
for that circulator pump model.
    E. Data collection and analysis.
    E.1 Stabilization. Record data at any test point only under 
stabilized conditions, as defined in HI 40.6-2021 section 
40.6.5.5.1.
    E.2 Testing BEP at maximum speed for the circulator pump. 
Determine the BEP of the circulator pump at maximum speed as 
specified in Appendix E of HI 40.6-2021 including sections 
40.6.5.5.1 and 40.6.6 as modified. Determine the BEP flow rate at 
maximum speed as the flow rate at the operating point of maximum 
overall efficiency on the circulator pump curve, as determined in 
accordance with section 40.6.6.3 of HI 40.6-2021 as modified by 
Appendix E, where overall efficiency is the ratio of the circulator 
pump power output divided by the driver power input, as specified in 
Table 40.6.2.1 of HI 40.6-2021. For the purposes of this test 
procedure, all references to ``driver power input'' in this appendix 
or HI 40.6-2021 shall refer to the input power to the controls, or 
to the motor if no controls are present.
    E.3 Reference system curve. The reference system curve for each 
circulator pump variety is defined uniquely for each pump as a 
quadratic function with a fixed head component of 20 percent of the 
head at BEP at maximum speed as defined by the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.019

Where:

H = total system head (ft);
Q = flow rate (gpm);
Q100 = flow rate at 100 percent of BEP flow at 
maximum speed (gpm); and
H100 = total pump head at 100 percent of BEP flow 
at maximum speed (ft).

    E.4 Rounding. All terms and quantities refer to values 
determined in accordance with the procedures set forth in this 
appendix for the rated circulator pump. Perform all calculations 
using raw measured values without rounding. Round 
PERCIRC, BEP flow at maximum speed and BEP head at 
maximum speed values to three significant figures. Round real power, 
true RMS current and true RMS voltage values the tenths place (i.e., 
0. 1). Round PEICIRC, hydraulic horsepower, true power 
factor, and all other reported values to the hundredths place unless 
otherwise specified.
    F. Calculation of CEI.
    F.1 Determine CEI using the following equation:
    [GRAPHIC] [TIFF OMITTED] TP20DE21.020
    
Where:

CEI = the circulator energy index (dimensionless);
CER = the circulator energy rating determined in accordance with 
section II (for circulator pumps with external input signal 
controls), section III (for circulator pumps with manual speed 
controls), section IV (for circulator pumps with pressure controls), 
section V (for circulator pumps with temperature controls), or 
section VI (for circulator pumps without external input signal, 
manual, pressure or temperature controls) (hp); and
CERSTD = the CER for a circulator pump that is minimally 
compliant with DOE's energy conservation standards with the same 
hydraulic horsepower as the tested pump, as determined in accordance 
with the specifications at paragraph (i) of Sec.  431.465.

    G. Determination of Additional Circulator Performance 
Parameters.
    G.1 To determine flow and head at BEP, as well as pump power 
output (hydraulic horsepower), driver power input, overall (wire-to-
water) efficiency, true RMS current, true RMS voltage, real power, 
and/or power factor at relevant load points, conduct testing 
according to section I.A.1 of this appendix.
    G.2 Determine the rated hydraulic horsepower as the pump power 
output

[[Page 72141]]

measured at BEP and full impeller diameter for the rated pump.
    G.3 Determine the true power factor at each applicable load 
point specified in sections II, III, IV, V, or VI of this appendix 
for each circulator pump control variety as a ratio of driver power 
input to the motor (or controls, if present) (Pi), in watts, divided 
by the product of the true RMS voltage in volts and the true RMS 
current in amps at each load point i, as shown in the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.021

Where:

PFi = true power factor at each load point i, dimensionless;
Pi = driver power input to the motor (or controls, if present) at 
each load point i, in watts;
Vi = true RMS voltage at each load point i, in volts;
Ii = true RMS current at each load point i, in amps; and
i = load point(s), defined uniquely for each circulator pump control 
variety as specified in sections II, III, IV, V, or VI of this 
appendix.

II. Testing and Calculation of CER for Circulator Pumps With External 
Input Signal Controls

    A. Scope.
    A.1 This section II applies only to circulator pumps sold with 
only external input signal controls and circulator pumps sold with 
external input signal controls in addition to other control 
varieties.
    B. Circulator pumps with only external input signal control, and 
which cannot be operated without an external input signal.
    B.1 Adjust the speed of the pump using a manual speed adjustment 
or with a simulated external signal to activate the external signal 
input control to achieve flow rates of 25, 50, 75, and 100 percent 
of the BEP flow rate (as determined according to section I.E.2 of 
this appendix) with head values that are at or above the reference 
system curve (defined in section I.E.3 of this appendix). Measure 
the driver power input at those flow rates.
    B.1.1 All tested flow values must be within 5 
percent of the target flow load points as specified by the reference 
system curve.
    B.1.2 For tested head values more than 10 percent above the head 
load points specified by the reference system curve, adjust the 
tested driver power input to the specified flow point using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.022

Where:

Pin,i = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    B.1.3 For tested head values within 10 percent of 
the head load points specified by the reference system curve, adjust 
the tested driver power input to the specified flow and head point 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.023

Where:

Pin,i = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    B.1.4 If the tested head value is below the head load point 
specified by the reference system curve by more than 10 percent, the 
test point must be retested.
    B.2. Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.024

Where:

CER = circulator energy rating (hp);
[omega]i = weight of 0.05, 0.40, 0.40, and 0.15 at test 
points of 25, 50, 75, and 100 percent of BEP flow, respectively;
Pin,i = driver power input at each test point i (hp); and
i = test point(s), corresponding to 25, 50, 75, and 100 percent of 
the flow at BEP.

    C. Circulator pumps with external input signal control in 
addition to other control varieties, or which can be operated 
without an external input signal.
    C.1 Determination of circulator pump driver power input.
    C.1.1 Determine the driver power input at 25, 50, and 75 percent 
of the measured BEP flow rate at maximum speed (as determined 
according to section I.E.2 of this appendix) of the tested 
circulator pump in accordance with Appendix E of HI 40.6-2021.
    C.1.2 Determine the driver power input at 100 percent of BEP 
flow at maximum speed and at 25, 50, 75 percent of the BEP flow rate 
and reduced speed by using a manual speed adjustment or a simulated 
external input signal to adjust the speed of the driver to achieve 
those flow rates with a head value at or above the reference system 
curve defined in section I.E.3 of this appendix. Measure the driver 
power input at those flow rates.
    C.1.2.1 All tested flow values must be within 5 
percent of the target flow load points as specified by the reference 
system curve.
    C.1.2.2 For tested head values more than 10 percent above the 
head load points specified by the reference system curve, adjust the 
tested driver power input to the specified flow point using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.025

Where:

Pin,i_reduced = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    C.1.2.3 For tested head values within 10 percent of 
the head load points specified by the reference system curve, adjust 
the tested driver power input to the specified flow and head point 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.026

Where:

Pin,i_reduced = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,i = the tested driver power input at load point j 
(hp).

    C.1.2.4 If the tested head value is below the head load point 
specified by the reference system curve by more than 10 percent, the 
test point must be retested.
    C.2 Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.027

Where:

CER = circulator energy rating (hp);
zmax = speed factor weight of 0.30;
Pin_max = weighted average input power at maximum 
rotating speed of the circulator pump (hp), calculated in accordance 
with section II.C.2.1 of this appendix;
zreduced = speed factor weight of 0.70; and

[[Page 72142]]

Pin_reduced = weighted average input power at reduced 
rotating speeds of the circulator pump (hp), calculated in 
accordance with section II.C.2.2 of this appendix.

    C.2.1 Determine the weighted average input power at maximum 
speed using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.028

Where:

Pin_max = weighted average input power at maximum speed 
of the circulator pump (hp);
[omega]i_max = 0.25;
Pin,i_max = driver power input at maximum rotating speed 
of the circulator pump at each test point i (hp) determined in 
accordance with section II.C.1.1 of this appendix; and
i = test point(s) corresponding to 25, 50, 75, and 100 percent of 
the flow at BEP and maximum speed.

    C.2.2 Determine the weighted average input power at reduced 
speeds of the circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.029

Where:

Pin_reduced = weighted average input power at reduced 
speeds of the circulator pump (hp);
[omega]i_reduced = 0.3333;
Pin,i_reduced = driver power input at reduced rotating 
speed of the circulator pump at each test point i (hp) determined in 
accordance with section II.C.1.2 of this appendix; and
i = test point(s) corresponding to 25, 50, and 75 percent of the 
flow at BEP with head at or above the reference system curve.

III. Testing and Calculation of CER for Circulator Pumps With Manual 
Speed Controls

    A. Scope.
    A.1 This section III applies only to circulator pumps sold with 
manual speed controls.
    B. Determination of circulator pump driver power input.
    B.1 Determine the driver power input at 25, 50, and 75 percent 
of the measured BEP flow rate at maximum speed (as determined 
according to section I.E.2 of this appendix) of the tested 
circulator pump in accordance with Appendix E of HI 40.6-2021.
    B.2 Determine the driver power input at 100 percent of BEP flow 
at maximum speed and at 25, 50, and 75 percent of the BEP flow rate 
at reduced speed by manually setting the speed of the circulator 
pump and measuring the driver power input at those flow rates with 
the following additional requirements:
    B.2.1 The tested control curve must:
    (1) Be available to the end-user,
    (2) Produce a head equal to or greater than 25 percent of BEP 
head at a minimum of one test point, and
    (3) Achieve 100 percent BEP flow of the reference system curve 
defined in section I.E.3 of this appendix.
    B.2.2 All tested flow values must be within 5 
percent of the target flow load points as specified by the reference 
system curve.
    B.2.3 For tested head values that are at or above the head load 
points specified by the reference system curve, adjust the tested 
driver power input to the specified flow point using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.030

Where:

Pin,i_reduced = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,i = the tested driver power input at load point i 
(hp).

    B.2.4 For tested head values that are below the head load points 
specified by the reference system curve, adjust the tested driver 
power input to the specified flow and head point using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.031

Where:

Pin,i_reduced = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    C. Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.032

Where:

CER = circulator energy rating (hp);
zmax = speed factor weight of 0.75;
Pin_max = weighted average input power at maximum 
rotating speed of the circulator pump (hp), calculated in accordance 
with section III.C.1 of this appendix;
zreduced = speed factor weight of 0.25;
Pin_reduced = weighted average input power at reduced 
rotating speeds of the circulator pump (hp), calculated in 
accordance with section III.C.2 of this appendix.

    C.1 Determine the weighted average input power at maximum speed 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.033

Where:

Pin_max = weighted average input power at maximum speed 
of the circulator pump (hp);
[omega]i_max = 0.25;
Pin,i_max = driver power input at maximum rotating speed 
of the circulator pump at each test point i (hp) determined in 
accordance with section III.B.1; and
i = test point(s) corresponding to 25, 50, 75, and 100 percent of 
the flow at BEP and maximum speed.

    C.2 Determine the weighted average input power at reduced speeds 
of the circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.034


[[Page 72143]]


Where:

Pin_reduced = weighted average input power at reduced 
speeds of the circulator pump (hp);
[omega]i_reduced = 0.3333;
Pin,i_reduced = driver power input at reduced rotating 
speed of the circulator pump at each test point i (hp) determined in 
accordance with section III.B.2 of this appendix; and
i = test point(s) corresponding to 25, 50, and 75 percent of the 
flow at BEP and reduced speed.

IV. Testing and Calculation of CER for Circulator Pumps With Pressure 
Controls

    A. Scope.
    A.1 This section IV applies only to circulator pumps sold with 
pressure controls, including adaptive pressure controls.
    B. Determination of circulator pump driver power input.
    B.1 Determine the driver power input at 25, 50, 75, and 100 
percent of the BEP flow rate (as determined according to section 
I.E.2 of this appendix) by measuring the driver power input at those 
flow rates with the following additional requirements.
    B.1.1 For pressure controls that are not adaptive pressure 
controls, select the control settings according to section B.1.1.1 
of this appendix, and evaluate the load points at 25, 50, and 75 
percent of BEP flow using one of the methods specified in section 
B.1.1.2 of this appendix.
    B.1.1.1 If the minimum and/or maximum head values on the control 
curve can be adjusted, adjust the maximum head value to 100 percent 
of BEP head at maximum speed and the minimum head value to 20 
percent of BEP head at maximum speed. If the maximum head values on 
the control curve cannot be adjusted, select a control curve that 
meets the following requirements:
    The tested control curve must:
    (1) Be available to the end-user,
    (2) Produce a head equal to or greater than 25 percent of BEP 
head at a minimum of one test point, and
    (3) Achieve 100 percent BEP flow of the reference system curve 
defined in section I.E.3 of this appendix.
    B.1.1.2 Adjust the speed of the pump at flow rates of 25, 50, 
and 75 percent of BEP flow using one of the methods specified in 
sections B.1.1.3.1 through B.1.1.3.3 of this appendix. Only one 
control setting may be evaluated.
    B.1.1.2.1 Throttle the pump to the desired flow rate and allow 
the selected pressure control to automatically reduce the speed 
according to the control curve for the control setting being 
evaluated.
    B.1.1.2.2 Manually adjust the speed of the pump and throttle the 
pump as needed to achieve speed settings equivalent to those that 
would be generated by the control setting being evaluated.
    B.1.1.2.3 Provide a simulated pressure signal and throttle the 
pump as needed to achieve speed settings equivalent to those that 
would be generated by the control setting being evaluated.
    B.1.2 For pressure controls that are adaptive pressure controls, 
select the control settings and adjust the speed of the pump 
according to section B.1.2.1 or B.1.2.2 of this appendix. Adaptive 
pressure controls may be manually adjusted to achieve 100 percent 
BEP flow and head point at max speed.
    B.1.2.1 If the pump can be manually controlled, adjust the speed 
manually to achieve the load point flow rates with head values at or 
above the greater of the reference system curve and the minimum 
thresholds for head specified in the manufacturer literature.
    B.1.2.2 If the pump does not have a manual control mode 
available, adjust the speed based on the pressure control mode with 
the lowest head at each load point. If the selected pressure control 
mode results in a head value below the reference system curve, the 
pump may be throttled to achieve a head value at or above the 
reference system curve.
    B.1.3 All tested flow values must be within 5 
percent of the target flow load points as specified by the reference 
system curve equation in section I.E.3 of this appendix.
    B.1.4 For tested head values that are at or above the head load 
points specified by the reference system curve, adjust the tested 
driver power input to the specified flow point using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.035

Where:

Pin,i = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    B.1.5 For tested head values that are below the head load points 
specified by the reference system curve, adjust the tested driver 
power input to the specified flow and head point using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.036

Where:

Pin,i = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    C. Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.037

Where:

CER = circulator energy rating (hp);
[omega]i = weight of 0.05, 0.40, 0.40, and 0.15 at test 
points of 25, 50, 75, and 100 percent of BEP flow, respectively;
Pin,i = driver power input at each test point i (hp); and
i = test point(s) corresponding to 25, 50, 75, and 100 percent of 
BEP flow.

V. Testing and Calculation of CER for Circulator Pumps With Temperature 
Controls

    A. Scope.
    A.1 This section V applies only to circulator pumps sold with 
temperature controls.
    B. Determination of circulator pump driver power input.
    B.1 Adjust the speed of the pump using a manual speed adjustment 
or a simulated temperature signal to activate the temperature 
control to achieve flow rates of 25, 50, 75, and 100 percent of the 
BEP flow rate (as determined according to section I.E.2 of this 
appendix) with head values that are at or above the reference system 
curve (defined in section I.E.3 of this appendix). Measure the 
driver power input at those flow rates.
    B.1.1 All tested flow values must be within 5 
percent of the target flow load points as specified by the reference 
system curve.
    B.1.2 For tested head values that are more than 10 percent above 
the reference system curve, adjust the tested driver power input to 
the specified flow point using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.038

Where:

Pin,i = the driver power input (hp);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    B.1.3 For tested head values within 10 percent of 
the head load points specified by the reference system curve, adjust 
the tested driver power input to the specified flow and head point 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.039

Where:

Pin,i = the driver power input (hp);
HR,i = the specified head at load point i based on the 
reference system curve (ft);
HT,j = the tested head at load point j (ft);
QR,i = the specified flow rate at load point i based on 
the reference system curve (gpm);
QT,j = the tested flow rate at load point j (gpm); and
PT,j = the tested driver power input at load point j 
(hp).

    B.1.4 If the tested head value is below the head load point 
specified by the reference system curve by more than 10 percent, the 
test point must be retested.

[[Page 72144]]

    C. Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.040

Where:

CER = circulator energy rating (hp);
[omega]i = weight of 0.05, 0.40, 0.40, and 0.15 at test 
points of 25, 50, 75, and 100 percent of BEP flow, respectively;
Pin,i = driver power input at each test point i (hp); and
i = test point(s) corresponding to 25, 50, 75, and 100 percent of 
BEP flow.

VI. Testing and Calculation of CER for Circulator Pumps Without 
External Input Signal, Manual, Pressure, or Temperature Controls (Full 
Speed Test)

    A. Scope.
    A.1 This section VI applies only to circulator pumps sold 
without external input signal, manual, pressure, or temperature 
controls, or to any conduct of a full speed test.
    B. Determination of circulator pump driver power input. At 
maximum speed of rotation, determine the driver power input at 25, 
50, 75, and 100 percent of the measured BEP flow rate (as determined 
according to section I.E.2 of this appendix) of the tested 
circulator pump in accordance with Appendix E of HI 40.6-2021.
    C. Calculating the circulator energy rating. Determine the CER 
of each tested circulator pump using the following equation:
[GRAPHIC] [TIFF OMITTED] TP20DE21.041

Where:

CER = circulator energy rating (hp);
[omega]i = 0.25;
Pin,i = driver power input at each test point i (hp); and
i = test point(s) corresponding to 25, 50, 75, and 100 percent of 
BEP flow.

[FR Doc. 2021-25414 Filed 12-17-21; 8:45 am]
BILLING CODE 6450-01-P