Thursday,

October 21, 2004

Part II

Department of 

Energy

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 431

Energy Efficiency Program for Certain 

Commercial and Industrial Equipment: 

Test Procedures and Efficiency Standards; 

Final Rules


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61916 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

DEPARTMENT OF ENERGY

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 431 

[Docket No. EE–RM/TP–99–450] 

RIN 1904–AA96 

Energy Efficiency Program for Certain 

Commercial and Industrial Equipment: 

Test Procedures and Efficiency 

Standards for Commercial Warm Air 

Furnaces; General Provisions for 

Commercial Heating, Air Conditioning 

and Water Heating Equipment; Energy 

Efficiency Provisions for Electric 

Motors

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy.

ACTION: Final rule.

SUMMARY: Pursuant to Part C of Title III 

of the Energy Policy and Conservation 

Act (EPCA), the Department of Energy 

(DOE or the Department) promulgates a 

rule prescribing test procedures to rate 

the energy efficiency of commercial 

warm air furnaces. The rule also 

recodifies existing commercial warm air 

furnace energy conservation standards 

so that they are located contiguous with 

the test procedures that DOE 

promulgates today. For commercial 

heating, air conditioning and water 

heating products generally, the rule 

prescribes definitions and procedural 

provisions, and incorporates from EPCA 

general enforcement and administrative 

provisions. Finally, we are placing the 

new requirements for this equipment in 

the part of our regulations that already 

contains existing efficiency 

requirements for electric motors, and we 

are reorganizing and republishing, 

without substantive change, the existing 

requirements for motors.

DATES: This rule is effective November 

22, 2004. The incorporation by reference 

of certain publications listed in this rule 

is approved by the Director of the 

Federal Register as of November 22, 

2004.

FOR FURTHER INFORMATION CONTACT:

Mohammed Khan, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, Forrestal 

Building, EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585–

0121, (202) 586–7892, fax (202) 586–

4617, e-mail: 

Mohammed.Khan@ee.doe.gov, or 

Francine Pinto, Esq., U.S. Department of 

Energy, Office of General Counsel, 

Forrestal Building, GC–72, 1000 

Independence Avenue, SW., 

Washington, DC 20585, (202) 586–9507, 

e-mail: Francine.Pinto@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This final 

rule incorporates, by reference, into 

Subpart D of Part 431, two test 

procedures contained in industry testing 

standards referenced by the American 

Society of Heating, Refrigerating and 

Air-Conditioning Engineers, Inc. 

(ASHRAE) and the Illuminating 

Engineering Society of North America 

(IES) Standard 90.1 (‘‘ASHRAE/IES 

Standard 90.1’’), for commercial warm 

air furnaces. Those industry testing 

standards are: American National 

Standards Institute (ANSI) Standard 

Z21.47–1998, ‘‘Gas-Fired Central 

Furnaces,’’ and Underwriters 

Laboratories (UL) Standard 727–1994, 

‘‘Standard for Safety Oil-Fired Central 

Furnaces.’’ This final rule also 

incorporates by reference into Subpart D 

of Part 431, (1) sections 8.2.2, 11.1.4, 

11.1.5 and 11.1.6.2 of the Hydronics 

Institute Division of the Gas Appliance 

Manufacturers Association Boiler 

Testing Standard BTS–2000, ‘‘Method to 

Determine Efficiency of Commercial 

Space Heating Boilers,’’ published 

January 2001 (HI BTS–2000) which 

specify a flue loss calculation procedure 

for oil-fired equipment, and (2) sections 

7.2.2.4, 7.8, 9.2 and 11.3.7 of the 

ASHRAE Standard 103–1993, ‘‘Method 

of Testing for Annual Fuel Utilization 

Efficiency of Residential Central 

Furnaces and Boilers,’’ which specify a 

test procedure for measuring the 

incremental efficiency of condensing 

furnaces under steady state operation. 

You can view copies of these 

standards in the resource room of the 

Building Technologies Program, room 

1J–018 at the U.S. Department of 

Energy, 1000 Independence Avenue, 

SW., Washington, DC 20585, between 

the hours of 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

(202) 586–2945, for additional 

information regarding visiting the 

resource room. 

You can purchase copies of the 

ASHRAE Standard 103–1993 from the 

American Society of Heating, 

Refrigerating, and Air-Conditioning 

Engineers, Inc., 1971 Tullie Circle, NE., 

Atlanta, GA 30329, http://

www.ashrae.org/book/bookshop.htm; HI 

Standard BTS–2000 from Hydronics 

Institute Division of GAMA, P.O. Box 

218, Berkeley Heights, NJ 07922, http:/

/www.gamanet.org/publist/ 

hydroordr.htm; and Standards ANSI 

Z21.47–1998 and UL 727–1994 from 

Global Engineering Documents, 15 

Inverness Way East, Englewood, CO 

80112, http://global.ihs.com/

respectively.

I. Introduction 

A. Authority 

B. Background 

C. Summary of the Final Rule 

II. Discussion 

A. General 

B. Warm Air Furnaces 

1. Definitions 

a. ‘‘Commercial Warm Air Furnace’’ 

b. ‘‘Thermal Efficiency’’ for Furnaces 

2. ASHRAE/IES Standard 90.1 Referenced 

Furnace Test Standards 

3. Procedures for Measuring the Flue 

Losses of Oil Furnaces and the 

Incremental Efficiency of Condensing 

Furnaces 

a. Flue Loss Calculation for Oil-Fired 

Furnaces 

b. Condensing Furnaces 

C. Procedural, Administrative and 

Enforcement Provisions for Commercial 

Heating, Air Conditioning and Water 

Heating Products 

D. Effect of Amended Test Procedure on 

Measured Energy Efficiency

III. Procedural Requirements 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act 

D. Review Under the National 

Environmental Policy Act 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Congressional Notification 

N. Approval of the Office of the Secretary

I. Introduction 

A. Authority 

Title III of the Energy Policy and 

Conservation Act (EPCA) sets forth a 

variety of provisions designed to 

improve energy efficiency. Part B of 

Title III (42 U.S.C. 6291–6309) provides 

for the ‘‘Energy Conservation Program 

for Consumer Products other than 

Automobiles.’’ Part C of Title III (42 

U.S.C. 6311–6317) provides for a 

program similar to Part B which is 

entitled ‘‘Certain Industrial Equipment,’’ 

and which includes commercial air 

conditioning equipment, furnaces, and 

other types of equipment. 

DOE publishes today’s final rule 

pursuant to Part C which specifically 

provides for definitions, test procedures, 

labeling provisions, energy conservation 

standards, and the authority to require 

information and reports from 


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manufacturers. (42 U.S.C. 6311–6317) 

With regard to test procedures, Part C 

generally authorizes the Secretary of 

Energy to prescribe test procedures that 

are reasonably designed to produce 

results which reflect energy efficiency, 

energy use and estimated operating 

costs, and that are not unduly 

burdensome to conduct. (42 U.S.C. 

6314) 

With respect to some commercial 

equipment for which EPCA prescribes 

energy conservation standards, 

including commercial warm air 

furnaces, Section 343 (a)(4)(A) provides 

‘‘the test procedures shall be those 

generally accepted industry testing 

procedures or rating procedures 

developed or recognized by the AirConditioning and Refrigeration Institute 

or by the American Society of Heating, 

Refrigerating and Air Conditioning 

Engineers, as referenced in ASHRAE/

IES Standard 90.1 and in effect on June 

30, 1992.’’ (42 U.S.C. 6314(a)(4)(A)) 

Further, if such an industry testing or 

rating procedure is amended, DOE must 

revise the test procedure to be 

consistent with the amendment, unless 

the Secretary determines, based on clear 

and convincing evidence, that to do so 

would not meet certain general 

requirements spelled out in EPCA 

Section 343 for test procedures. (42 

U.S.C. 6314(a)(4)(B)) Before prescribing 

any test procedures for such equipment, 

the Secretary must publish them in the 

Federal Register and afford interested 

persons at least 45 days to present data, 

views and arguments. (42 U.S.C. 

6314(b)) Effective 360 days after a test 

procedure rule applicable to any 

covered commercial equipment, such as 

a commercial warm air furnace, is 

prescribed, no manufacturer, 

distributor, retailer or private labeler 

may make any representation in writing 

or in broadcast advertisement respecting 

the energy consumption or cost of 

energy consumed by such equipment, 

unless it has been tested in accordance 

with the prescribed procedure and such 

representation fairly discloses the 

results of the testing. (42 U.S.C. 6314(d)) 

Finally, under the terms of Part C of 

Title III of EPCA, the Secretary is 

authorized to require manufacturers of 

equipment covered by today’s rule to 

submit information and reports for a 

variety of purposes, including insuring 

compliance with requirements. (42 

U.S.C. 6316(b)(1)) 

B. Background 

DOE began implementation of Part C 

of Title III of EPCA by establishing 10 

CFR Part 431. Part 431 is entitled 

‘‘Energy Efficiency Program for Certain 

Commercial and Industrial Equipment.’’

It consists of test procedures, Federal 

energy conservation standards, labeling, 

and certification and enforcement 

procedures. Today, DOE amends Part 

431 in order further to implement Part 

C of Title III of EPCA.

As a first step in the process that led 

to today’s final rule, we convened 

public workshops on April 14 and 15, 

1998, and on October 18, 1998, to solicit 

views and information from interested 

parties to aid in developing proposed 

rules that would address test 

procedures, certification and 

enforcement procedures, and EPCA’s 

coverage for this equipment. The 

workshop discussions and comments 

focused on the following issues for 

warm air furnaces specifically: 

(1) The efficiency descriptor; 

(2) Calculation of flue loss for oil fired 

furnaces; and 

(3) Adoption of a test procedure for 

condensing furnaces. 

We also requested comment on 

several issues for all commercial 

heating, air conditioning and water 

heating products, relating primarily to 

the most cost effective and reliable 

methodology for sampling, certification 

and enforcement. Discussion and 

comments focused largely on the 

following: 

(1) Whether we should require 

sampling procedures for compliance 

certification and enforcement testing 

that are similar to those used for 

consumer products; 

(2) Adapting for commercial 

equipment other compliance and 

enforcement procedures that currently 

apply to consumer products; and 

(3) The use of voluntary industry 

programs to help assure compliance, 

and the content of such programs. 

We published a Notice of Proposed 

Rulemaking and Public Hearing 

(‘‘proposed rule’’ or ‘‘NOPR’’) after 

considering statements made during the 

public workshops and written 

comments. (64 FR 69598, December 13, 

1999). We proposed regulations to: (1) 

Implement the energy efficiency 

standards and test procedures mandated 

by EPCA for commercial warm air 

furnaces, and (2) set forth definitions, 

methods of determining efficiency, 

compliance certification procedures, 

prohibited actions, enforcement 

procedures, and general administrative 

and procedural provisions for all 

covered commercial heating, air 

conditioning and water heating 

products. The Department requested 

data, comments and information 

regarding the proposed regulations. We 

held a public hearing on January 27, 

2000, (the January 2000 workshop) to 

receive oral comments, and we accepted 

written comments until February 28, 

2000. 

In formulating today’s final rule, we 

considered the comments received, and 

have incorporated recommendations 

where appropriate. Section II below 

discusses comments that questioned or 

disagreed with the Department’s 

positions as presented in the NOPR. 

Energy conservation standard levels 

are not at issue here. The NOPR merely 

proposed to incorporate into the 

Department’s regulations on efficiency 

requirements for commercial warm air 

furnaces the standard levels that had 

been established by law in Section 

342(a) of EPCA. 

Subsequent to issuance of the NOPR, 

in a separate proceeding, we 

promulgated a regulation (10 CFR Part 

431, Subpart Q) to adopt as Federal 

standards some of the efficiency levels 

contained in amendments to ASHRAE/

IES Standard 90.1. 66 FR 3336, 3354 

(January 12, 2001). For furnaces, the 

levels contained in these amendments, 

and consequently in Subpart Q (10 CFR 

431.702), are the same as the levels in 

Section 342(a) of EPCA. 

C. Summary of the Final Rule 

Today’s final rule incorporates the 

following for commercial warm air 

furnaces: (1) Definitions for the 

equipment and for its efficiency 

descriptor, (2) energy efficiency test 

procedures, and (3) energy conservation 

standards. Pursuant to the definition of 

‘‘commercial warm air furnace’’ in 

today’s rule, the rule covers only those 

commercial furnaces for which EPCA 

specifies standard levels, i.e., furnaces 

having a maximum rated input capacity 

of 225,000 Btu (British thermal unit) per 

hour or more. The rule also uses 

‘‘thermal efficiency’’ as the efficiency 

descriptor, as specified in the statute, 

but defines the term as having the 

meaning conventionally given to 

‘‘combustion efficiency,’’ as proposed in 

the NOPR. The rule adopts, as the test 

procedures under EPCA, ANSI Standard 

Z21.47–1998 for gas-fired furnaces and 

UL Standard 727–1994 for oil-fired 

furnaces (incorporated by reference, see 

§ 431.75). We have incorporated 

provisions of the HI Standard BTS–2000 

to calculate flue loss for oil-fired 

furnaces, and ASHRAE Standard 103–

1993 (incorporated by reference, see 

§ 431.75) to determine the incremental 

efficiency of condensing furnaces under 

steady state conditions. Finally, so that 

the efficiency test procedures and 

standards for commercial warm air 

furnaces will be in the same place in our 

regulations, this rule also recodifies 

elsewhere in Part 431 the minimum 

energy efficiency levels prescribed by 


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1 ‘‘Tr.’’ followed by a number or numbers, refers 

to a page or pages in the transcript of the January 

2000 workshop.

2A notation in the form ‘‘CEC, No. 7 at 4’’

identifies a written comment DOE received in this 

rulemaking subsequent to issuance of the NOPR. 

This notation refers to a comment (1) by CEC, (2) 

in document number 7 in the docket in this matter, 

and (3) appearing at page 4 of document number 7.

3The definition reads as follows: 

‘‘Warm air furnace’’ means a self-contained oilfired or gas-fired furnace designed to supply heated 

air through ducts to spaces that require it and 

includes combination warm air furnace/electric air 

conditioning units but does not include unit heaters 

Section 342(a) of EPCA and 10 CFR 

431.702. Consequently, we are deleting 

§ 431.702 from the regulations. 

Today’s final rule also adopts certain 

general provisions to implement 

efficiency requirements for the 

commercial air conditioning, heating, 

and water heating products, as well as 

boilers and furnaces, for which EPCA 

provides energy conservation standards 

(which we refer to collectively as 

‘‘commercial HVAC & WH products’’). 

Specifically, as proposed in the NOPR, 

the rule contains provisions for these 

products that: (1) Allow manufacturers 

to obtain a waiver of an applicable test 

procedure, (2) require maintenance of 

records concerning compliance, (3) 

provide for subpoenas and confidential 

treatment of information, and (4) 

incorporate from EPCA a description of 

prohibited actions, general enforcement 

procedures, and provisions as to 

imported and exported equipment. At 

this time, however, the Department is 

not adopting for commercial HVAC 

&WH products methods and procedures 

for manufacturers to determine and 

certify compliance, or procedures 

(including testing regimens) that DOE 

will use in resolving any disputed 

performance claims and in deciding 

whether to pursue enforcement action. 

We proposed such methods and 

procedures in the NOPR, and are still 

considering what action to take with 

respect to these proposals. 

Finally, today’s final rule combines in 

10 CFR Part 431 the existing 

requirements for electric motors and the 

new requirements for commercial 

HVAC & WH products. Because we are 

reorganizing and renumbering 10 CFR 

Part 431 in this rule, we are 

republishing today the text of these 

provisions. The text of these provisions 

is substantively the same as currently 

exists in DOE’s regulations. We have 

also reorganized and renumbered the 

proposed regulations. 

II. Discussion

A. General 

Representatives from seven 

organizations representing stakeholders 

from trade associations (the Gas 

Appliance Manufacturers Association 

(GAMA) and the Air Conditioning and 

Refrigeration Institute (ARI)), 

manufacturers (A.O. Smith Water 

Products Co. (A.O. Smith), York 

International (York), and Bock Water 

Heaters (Bock)), and State government 

energy offices (the California Energy 

Commission (CEC) and the Oregon 

Office of Energy (OOE)) attended the 

January 2000 workshop. GAMA and ARI 

submitted written statements in advance 

of the hearing. GAMA, ARI and CEC 

also submitted additional written 

comments afterward. We provided a 

call-in telephone number (notifying 

stakeholders by telephone and e-mail on 

the day before) for interested 

stakeholders who could not attend the 

workshop due to adverse weather 

conditions along the east coast prior to 

the day of the workshop. 

In the next portion of this 

SUPPLEMENTARY INFORMATION, the 

Department addresses the points on 

which significant comments were made 

in response to the NOPR on issues 

concerning commercial warm air 

furnaces. Then, DOE addresses the 

NOPR’s proposals as to certification, 

methods of determining compliance, 

and enforcement for commercial HVAC 

& WH products generally, and DOE’s 

decision to adopt at this time only 

certain of these proposals. 

B. Warm Air Furnaces 

1. Definitions 

a. ‘‘Commercial Warm Air Furnace’’

In § 431.141 of the rule language in 

the NOPR, we proposed to define a 

commercial warm air furnace as ‘‘a 

warm air furnace that is a commercial 

HVAC & WH product,’’ and to define 

‘‘commercial HVAC & WH product’’ in 

part as a product ‘‘to which an energy 

conservation standard is applicable 

under Section 342(a)’’ of EPCA. 64 FR 

at 69610. Section 342(a) specifies 

standards for furnaces with capacities of 

225,000 Btu per hour or more, but no 

standard has been adopted under that 

section for any smaller commercial 

furnace. Thus, ‘‘commercial warm air 

furnace’’ as defined in the NOPR would 

not include any such smaller furnace, 

and the proposed requirements in the 

NOPR would not apply to these 

products. Moreover, proposed 

§§ 431.162 and 431.171 in the NOPR 

explicitly state that the test procedures 

and efficiency standards, respectively, 

would apply to commercial warm air 

furnaces of 225,000 Btu per hour or 

more. 64 FR 69611–12. 

At the January 2000 workshop, and in 

written comments following the 

workshop, the CEC asserted, that in the 

final rule, the Department should apply 

the efficiency standards for commercial 

furnaces to products less than 225,000 

Btu per hour that are not consumer 

products, and that, in any event, it 

appeared from the NOPR that the 

certification, enforcement and 

compliance requirements in the 

proposed rule would apply to these 

smaller commercial furnaces. (CEC, Tr.1

27–29, and No. 7 at 4 2). The CEC 

referred to 10 CFR 430.2, which 

delineates the consumer products 

covered by EPCA efficiency 

requirements, and defines a ‘‘furnace’’

as one that (1) is an electric or fossilfueled furnace that uses single-phase 

electric current, (2) is designed as the 

principal heating source for residential 

living space, (3) is not in a cabinet with 

a central air conditioner with a rated 

cooling capacity above 65,000 Btu per 

hour, and (4) has a heat input rate of less 

than 225,000 Btu per hour. Expressing 

particular concern about smaller 

equipment that uses three-phase electric 

current, CEC recommended that the 

final rule apply the efficiency standards 

for commercial furnaces to any warm air 

furnace with a capacity of less than 

225,000 Btu per hour that does not meet 

this definition of a consumer product 

and, consequently, is not covered by the 

standards for such a product. CEC also 

stated that, regardless of what position 

we take on this point, we should make 

that position clear. The OOE concurred 

with the CEC’s recommendation as to 

coverage of smaller three-phase 

equipment, with three-phase equipment 

with a capacity of 150,000 Btu per hour. 

(OOE, Tr. 29). CEC recognized, however, 

that EPCA does not explicitly provide 

efficiency standards for such smaller 

commercial furnaces, and GAMA stated 

that there is a gap in the statute with 

respect to these products. (GAMA, Tr. 

30).

We have considered these comments, 

and have decided to adhere to the 

approach taken in the NOPR for the 

reasons set forth below. Thus, the 

efficiency requirements we are adopting 

at this point for commercial warm air 

furnaces will apply only to equipment 

with a capacity of 225,000 Btu per hour 

or greater. 

Section 340 of EPCA, which contains 

definitions for certain types of 

commercial and industrial equipment 

covered by EPCA, defines a ‘‘warm air 

furnace’’ in terms of its features and its 

functions, specifically including or 

excluding certain equipment.3 Section 


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and duct furnaces. EPCA Section 340(11)(A), 42 

U.S.C. 6311(11)(A).

4We are not adopting compliance, certification 

or, for the most part, enforcement provisions for 

commercial HVAC equipment in today’s final rule. 

But as with the enforcement procedures that are in 

the rule, we anticipate that when we adopt such 

provisions, the only commercial warm air furnaces 

to which they will apply will have capacities of 

225,000 Btu per hour or more.

342(a)(4), 42 U.S.C. 6313(a)(4), then 

specifies energy conservation standards 

for ‘‘warm air furnaces with capacity of 

225,000 Btu per hour or more.’’ Section 

342(a)(6) further mandates action by 

DOE should the conservation standards 

in ASHRAE/IES Standard 90.1 for warm 

air furnaces (and other specified 

equipment) be amended.

With regard to efficiency standards, 

the purpose of this rulemaking is to 

recodify standards already prescribed by 

statute or the Department’s regulations. 

The only such existing standards for 

commercial warm air furnaces, set forth 

in Section 342(a)(4)(A) and (B) of EPCA 

and 10 CFR 431.702 (66 FR 3354), are 

for units with a capacity of 225,000 Btu 

per hour or more. In the NOPR, the 

Department did not propose, or even 

discuss, the adoption of efficiency 

standards for smaller furnaces; we did 

not invite comment on the issue or give 

any indication such standards might be 

promulgated. Therefore, we decline to 

adopt any such standards at this time. 

Similarly, we proposed test procedures 

in the NOPR only for furnaces with a 

capacity of 225,000 Btu per hour or 

more, and did not discuss application of 

these procedures to smaller furnaces. As 

to the certification and enforcement 

provisions proposed in the NOPR, by 

their terms they address compliance 

with applicable efficiency standards and 

do not apply to equipment for which no 

standards have been prescribed. The 

compliance provisions—the methods 

(other than the test procedures) for 

determining efficiency—are also 

designed to assure compliance with 

existing standards, as illustrated by 

provisions such as proposed 

§§ 431.481(a) and 431.484(a)(10). For all 

of these reasons, and as proposed in the 

NOPR, the test procedures in today’s 

final rule apply only to commercial 

warm air furnaces of 225,000 Btu per 

hour or more.4

Accordingly, we have revised the 

definition of ‘‘commercial warm air 

furnace’’ in today’s final rule to make 

explicit that it includes only furnaces 

(1) with capacities of 225,000 Btu per 

hour or larger, i.e., furnaces for which 

standards have been prescribed, and

(2) that are ‘‘industrial equipment,’’ a 

term which EPCA defines and which we 

define in today’s rule by incorporating 

and paraphrasing language from the 

EPCA definition. These language 

changes will not in any way alter the 

coverage of warm air furnaces as 

proposed in the NOPR, or the substance 

of the regulation. But they should make 

the rule clearer.

Finally, EPCA and the NOPR refer to 

commercial furnaces with a ‘‘capacity’’

of 225,000 Btu per hour or more, but do 

not state whether ‘‘capacity’’ refers to an 

input or output value. Because any 

given Btu per hour level of input and 

output actually represents two different 

values and sizes of equipment, we 

believe we should clarify what 

‘‘capacity’’ means so as to make clear 

what equipment is covered. We note 

first that ASHRAE/IES Standard 90.1–

1989 delineated categories of furnaces 

by reference to the 225,000 Btu per hour 

value, without mentioning input or 

output, whereas Standard 90.1–1999 

explicitly states that such size categories 

are based on ‘‘input.’’ We believe this 

change was designed to clarify rather 

than alter the scope of the applicable 

efficiency requirements. Because 

EPCA’s efficiency requirements for 

commercial furnaces are based on these 

same provisions in ASHRAE 90.1, and 

also use the 225,000 Btu/hr level as a 

cut-off for differentiating efficiency 

requirements, ASHRAE’s categorization 

of commercial furnace sizes by reference 

to input strongly suggests that furnace 

‘‘capacity’’ in EPCA should be 

interpreted to mean input capacity. 

Second, the Department believes that, 

because EPCA provides efficiency 

standards for furnaces that are consumer 

(residential) products if they have an 

‘‘input rate’’ of less than 225,000 Btu/hr, 

(42 U.S.C. 6291–6292), the ‘‘capacity’’ of 

commercial furnaces to which Section 

342(a)(4)(A)–(B) of EPCA refers is also 

the input rate. The most reasonable 

construction of EPCA is that the 

capacities of residential and commercial 

furnaces must be measured in a uniform 

manner under the statute. If the term 

‘‘capacity’’ in EPCA were construed as 

providing standards for commercial 

furnaces with an output rate of 225,000 

BTU/hr or more, there would be a gap 

between the capacities of the largest 

consumer furnace and the smallest 

commercial furnace for which EPCA 

prescribes standards. We do not believe 

Congress intended such a result. 

For these reasons, we construe the 

term ‘‘capacity,’’ as applied to 

commercial warm air furnaces in 

Section 342(a)(4)(A)–(B) of EPCA, to 

mean the rated input capacity and not 

the output capacity. To clarify this 

point, we are including in our definition 

of ‘‘commercial warm air furnace,’’ in 10 

CFR 431.72, the parenthetical ‘‘(rated 

maximum input)’’ to modify the term 

‘‘capacity.’’

b. ‘‘Thermal Efficiency’’ for Furnaces 

EPCA specifies the energy efficiency 

standard levels for commercial warm air 

furnaces in terms of ‘‘thermal 

efficiency,’’ 42 U.S.C. 6313(a)(4)(A)–(B), 

but provides no definition for this term. 

For reasons discussed in detail in the 

NOPR, 64 FR 69601, we proposed to 

interpret this term, for purposes of 

commercial warm air furnaces as 

meaning what is commonly known as 

‘‘combustion efficiency’’ in other 

contexts, i.e., 100 percent minus percent 

flue loss. 

No one opposed this proposal during 

the January 2000 workshop, although in 

its subsequent written comments CEC 

supported our approach but advocated 

use of the term ‘‘combustion efficiency’’

rather than ‘‘thermal efficiency.’’ (CEC, 

No. 7 at 3). Given use of the latter term 

in EPCA, and its continued use as the 

efficiency descriptor for furnaces in 

ANSI Standard Z21.47, which we 

reference in today’s rule, we believe it 

would be confusing to use the term 

‘‘combustion efficiency’’ in the final 

rule. Accordingly, as proposed in the 

NOPR, we are defining the term 

‘‘thermal efficiency’’ to mean 100 

percent minus the percent flue loss. 

2. ASHRAE/IES Standard 90.1 

Referenced Furnace Test Standards 

EPCA requires that the testing 

procedures for measuring the energy 

efficiency of commercial warm air 

furnaces must be those generally 

accepted industry testing procedures or 

rating procedures that were developed 

or are recognized by ASHRAE, as 

referenced in ASHRAE/IES Standard 

90.1–1989 and in effect on June 30, 

1992. EPCA also specifies that if such an 

industry test procedure or rating 

procedure for commercial warm air 

furnaces is amended, we must adopt the 

revisions unless we determine that they 

are not reasonably designed to produce 

test results which reflect energy 

efficiency, energy use, and estimated 

operating costs, or that the revised 

procedures would be unduly 

burdensome to conduct. 

ASHRAE/IES Standard 90.1 as in 

effect on June 30, 1992 referenced two 

industry test standards: One for gasfired furnaces, ANSI Standard Z21.47–

1987, and the other for oil-fired 

furnaces, UL Standard 727–1986. Both 

standards were subsequently revised, 

resulting in ANSI Standard Z21.47–

1993 and UL Standard 727–1994. We 

proposed in the NOPR to incorporate by 

reference as the applicable test 


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procedures under EPCA these revised 

versions of the two test procedures. 

During the January 2000 workshop, 

all attendees supported the DOE 

proposal to incorporate by reference 

revised versions of the two industry test 

procedures. However, GAMA pointed 

out that ANSI Z21.47–1993 has been 

revised to ANSI Z21.47–1998. (GAMA, 

Tr. 32, No. 3, at 3.) GAMA stated that 

since there is no change in the energy 

efficiency test sections between these 

two versions of the test standard, DOE 

should reference the latest version of 

that standard. York supported GAMA’s 

recommendation and pointed out that 

the only change between the two 

versions is the thermal efficiency test 

Section number (Section 2.37 in the 

1993 version versus Section 2.38 in the 

1998 version). (York, Tr. 32.) A.O. Smith 

questioned whether the designation 

ANSI Z21.47 is still appropriate since it 

is also a harmonized Canadian standard 

with a different designation. (A.O. 

Smith, Tr . 33.) CEC stated that the 

ANSI Z21.47 designation is still valid 

for use in the United States. (CEC, Tr. 

34.) CEC also supported referencing the 

1998 version. 

We compared the 1993 and 1998 

versions of ANSI Z21.47 with respect to 

the sections that involve thermal 

efficiency testing. Except for the 

difference in the designation of the 

section number for the thermal 

efficiency test, mentioned above, there 

is no change in the test procedure for 

the thermal efficiency test. Therefore, 

we agree with GAMA’s 

recommendation, and are incorporating 

by reference in today’s final rule the 

latest version of the ANSI test 

procedure, ANSI Z21.47–1998, 

(incorporated by reference, see § 431.75) 

for the energy efficiency test of gas-fired 

furnaces. Also, as proposed, we are 

incorporating by reference in today’s 

final rule the energy efficiency test 

sections of UL 727–1994 for oil-fired 

furnaces (incorporated by reference, see 

§ 431.75). 

3. Procedures for Measuring the Flue 

Losses of Oil Furnaces and the 

Incremental Efficiency of Condensing 

Furnaces

a. Flue Loss Calculation for Oil-Fired 

Furnaces 

The referenced test standard for oilfired furnaces, UL Standard 727, does 

not provide a procedure for calculating 

the percent flue loss. Accordingly, in 

the NOPR we proposed that this 

calculation be made using the flue loss 

calculation specified for oil-fired boilers 

in the 1989 edition of the Hydronics 

Institute Testing and Rating Standard 

for Heating Boilers (HI–1989). We 

received no comments opposing our 

proposal. Subsequent to the January 

2000 workshop, however, in January 

2001, a revised test standard, BTS–2000, 

‘‘Method to Determine Efficiency of 

Commercial Space Heating Boilers,’’

replaced HI–1989. BTS–2000 contains 

provisions for calculating flue loss that 

are identical to the provisions of HI–

1989 that we proposed in the NOPR to 

adopt for oil-fired furnaces. Therefore, 

in today’s final rule, we are adopting 

these provisions of BTS–2000 as the 

calculation procedure for percent flue 

loss for oil-fired furnaces. (We note that 

the forms in BTS–2000 that have 

replaced Forms 715 and 721 of HI–1989, 

which are referenced in the NOPR, are 

no longer integral to the flue loss 

calculation. Therefore, we are not 

incorporating the BTS–2000 forms in 

today’s rule.) 

b. Condensing Furnaces 

ASHRAE/IES Standard 90.1, and the 

two warm air furnace test standards 

referenced by it, do not specifically 

provide test conditions or procedures 

for testing a condensing furnace. In the 

NOPR, we stated that a test procedure 

should be in place to test these more 

efficient products in the future, and to 

enable evaluation of this design option 

during any consideration of possible 

revisions to the efficiency standard, 

even if no commercial condensing 

furnaces are currently available in the 

market as asserted by some participants 

in earlier workshops. Therefore we 

proposed to adopt for commercial warm 

air furnaces the test procedure specified 

in the steady state efficiency test 

sections of ASHRAE Standard 103–1993 

(sections 7.2.2.4, 7.8, 9.2 and 11.3.7) 

(incorporated by reference, see § 431.75) 

for determining the increment in energy 

efficiency due to the condensing feature 

of a residential furnace. In proposing to 

adopt this test procedure, we applied a 

slight modification to the equation in 

Section 11.3.7.2 of ASHRAE Standard 

103–1993 for steady-state heat loss due 

to hot condensate flowing down the 

drain. In the aforementioned section, 

the assumed indoor temperature is 70°F, 

and the average outside temperature is 

42°F. The modification replaces both of 

these temperatures with the actual 

temperature of the test area during the 

steady-state thermal efficiency test, 

consistent with Section 2.2.8 of ANSI 

Standard Z21.47–1993 (now ANSI 

Standard Z21.47–1998). 

At the January 2000 workshop, York 

International (York, Tr. 39–41) stated 

that the regulation should make clear 

that DOE is referencing the steady-state 

test in ASHRAE Standard 103, not its 

annual fuel utilization efficiency test. 

CEC supported our proposal to 

incorporate Standard 103 as the test 

method for condensing furnaces. (CEC, 

Tr. 42, No. 7 at p. 3.) 

With regard to the concern expressed 

by York, the specific sections of the 

ASHRAE Standard 103–1993 that we 

proposed to adopt for commercial 

condensing furnaces all deal with 

steady state testing only. The 

Department did not propose to adopt 

those sections of ASHRAE Standard 

103–1993 dealing with cyclic tests and 

AFUE calculations. 

For the reasons stated above and in 

the NOPR, we are incorporating by 

reference, in today’s final rule, the test 

procedure specified in sections 7.2.2.4, 

7.8, 9.2 and 11.3.7 of ASHRAE Standard 

103–1993 (incorporated by reference, 

see § 431.75) for determining the 

increment in energy efficiency, under 

steady state conditions, of a condensing 

furnace, including modifications which 

replace the values of the indoor and 

outdoor temperatures with the actual 

measured test room temperature as 

described earlier in this section. 

C. Procedural, Administrative, and 

Enforcement Provisions for Commercial 

Heating, Air Conditioning and Water 

Heating Products 

The NOPR proposed detailed 

provisions designed to provide 

reasonable assurance that commercial 

HVAC & WH products would be 

appropriately tested and comply with 

applicable energy conservation 

standards. These included methods for 

applying the DOE test procedures, as 

well as calculation methods, to be used 

by manufacturers to determine the 

efficiency of this equipment. We also 

proposed procedures for manufacturers 

to certify that their equipment complies 

with our efficiency requirements, and 

proposed to allow manufacturer 

participation in DOE-approved 

Voluntary Industry Certification 

Programs (VICPs) as a means of helping 

to assure such compliance. The NOPR 

had detailed criteria for a VICP to obtain 

our approval. The proposed rule set 

forth, in addition, procedures for DOE to 

use to address allegations of noncompliance. These included detailed 

procedures for enforcement testing of 

allegedly noncompliant products, 

criteria for determining whether the test 

results warranted pursuit of 

enforcement action, and provisions for 

ceasing distribution of non-compliant 

products, as well as provisions that 

largely incorporated EPCA procedures 

for DOE to seek injunctive relief and 

civil penalties. Finally, we proposed 

other general provisions, similar to 


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those in 10 CFR Part 430 for consumer 

products, such as a restatement of 

EPCA’s list of prohibited actions, 

procedures for waiving test procedures 

and records maintenance requirements. 

During the January 2000 workshop, 

and in subsequent written statements, 

we received many comments 

concerning (1) methods for 

manufacturers to determine the 

efficiencies of their equipment, (2) 

certification of such efficiencies to DOE, 

(3) criteria for our approval of VICPs 

and (4) the procedures and criteria for 

DOE to pursue enforcement action. 

These comments, as well as the 

Department’s further review of the 

proposed rule, raised significant issues, 

concerning these subjects, on which 

further comment appears to be 

warranted. Therefore, the Department 

has decided to continue its review of 

these subjects and it is not issuing final 

regulations at this time concerning 

methods for manufacturers to determine 

efficiency, certification of compliance, 

use of VICPs, and, for the most part, 

procedures and criteria for pursuing 

enforcement action. The Department 

intends to seek further comment on 

these issues. 

However, DOE received no comments 

on the proposed provisions, adapted 

from EPCA, as to prohibited actions and 

remedies, or on proposed general 

provisions such as those concerning 

waiver of test procedures, records 

maintenance, treatment of exported and 

imported products, subpoenas, and 

confidentiality of information. As a 

result, DOE concludes that these 

provisions are noncontroversial and 

supported by all stakeholders. 

Therefore, in today’s final rule the 

Department is adopting these provisions 

as proposed in the NOPR, without 

substantive change but with some renumbering, reorganization and editorial 

changes to reflect the combining of 

these provisions with existing 

requirements for electric motors in Part 

431. 

Subpart D of Part 431 currently 

contains procedures for a State to seek 

and obtain a rule from DOE to waive 

Federal preemption of a State energy 

conservation requirement for electric 

motors, and for a party to seek to have 

such a rule withdrawn. The NOPR did 

not propose such provisions for 

commercial HVAC & WH products. 

Their adoption is warranted, however, 

because waiver provisions are already 

prescribed by law, i.e.—Section 

345(b)(2)(D) of EPCA (42 U.S.C. 

6316(b)(2)(D)), which provides for 

waiver of preemption for this equipment 

under the same procedures as for 

electric motors. Since Subpart D is 

purely procedural, and procedural rules 

can be adopted without notice and 

comment, 5 U.S.C. 553(b), today’s final 

rule makes Subpart D applicable to 

commercial HVAC & WH products. 

We note also that § 431.141 of the 

proposed rule contained definitions for 

furnaces and for commercial HVAC & 

WH products generally. Those 

definitions that would apply only to 

methods of determining efficiency, 

certification, or enforcement for these 

products are not included in today’s 

final rule. The remainder of the 

definitions in proposed § 431.141 are 

divided among three different sections, 

one applying to the revised Part 431 

generally, another to furnaces only, and 

the third to commercial HVAC and 

water heating products generally.

D. Effect of Amended Test Procedure on 

Measured Energy Efficiency 

As to rulemakings to amend test 

procedures, section 323(e) of EPCA, 42 

U.S.C. 6293(e), provides that DOE shall 

determine whether the amended test 

procedure would alter measured energy 

efficiency of any covered product. ‘‘If 

the amendment does alter measured 

efficiency, the Secretary must determine 

the average efficiency level under the 

new test procedure of products that 

minimally complied with the applicable 

energy conservation standard prior to 

the test procedure amendment, and 

must set the standard at that level. (42 

U.S.C. 6293(e)(2)) In addition, any 

existing model of a product that 

complied with the previously applicable 

standard would be deemed to comply 

with the new standard. ‘‘(42 U.S.C. 

6293(e)(3)) These provisions prevent 

changes in a test procedure from 

indirectly altering the applicable 

Federal energy conservation standard. 

‘‘They also prevent products that 

complied with standards using the 

previous test procedure from being 

forced out of compliance by the new test 

procedure. 

For commercial furnaces, this final 

rule is adopting later versions of two 

test procedures referenced in ASHRAE 

90.1–1989 and in effect on June 30, 

1992: ANSI Standard Z21.47–1998 for 

gas-fired equipment and UL Standard 

727–1994 for oil-fired equipment. These 

later versions do not contain 

amendments to the efficiency test 

methods for this equipment. 

Accordingly, section 323(e) does not 

apply to their adoption by DOE. 

In addition, this final rule adds two 

provisions, first a method for testing 

condensing furnaces, based upon 

ASHRAE Standard 103–1993, and 

second, a method for calculating the 

flue loss of oil-fired furnaces, a method 

necessary for determining furnace 

efficiency that is missing from ANSI 

Standard Z21.47–1998 and its 

predecessor version. This latter 

requirement is in HI BTS–2000. 

With respect to the first additional 

requirement, there is no existing DOE 

test procedure for condensing furnaces. 

Therefore, this added requirement does 

not represent an amended test 

procedure. Accordingly, section 323(e) 

does not apply. 

With respect to the second additional 

requirement, in order to determine the 

efficiency of oil-fired furnaces, a value 

for the percent flue loss is needed. 

Today’s rule adopts a method which 

DOE understands the industry has been 

using unofficially to test oil-fired 

furnaces. Therefore, requiring use of this 

method will not alter measured energy 

efficiency of oil-fired furnaces for 

purposes of section 323(e) of EPCA. 

III. Procedural Requirements 

A. Review Under Executive Order 12866 

The Office of Information and 

Regulatory Affairs of the Office of 

Management and Budget (OMB) has 

determined that today’s regulatory 

action is not a ‘‘significant regulatory 

action’’ under Executive Order 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (October 4, 1993). 

Accordingly, this action was not subject 

to review under the Executive Order. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis for any rule that by law must 

be proposed for public comment, unless 

the agency certifies that the rule, if 

promulgated, will not have a significant 

economic impact on a substantial 

number of small entities. As required by 

Executive Order 13272, ‘‘Proper 

Consideration of Small Entities in 

Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process (68 FR 7990). DOE 

has made its procedures and policies 

available on the Office of General 

Counsel’s Web site: http://

www.gc.doe.gov.

DOE reviewed today’s rule under the 

provisions of the Regulatory Flexibility 

Act and the procedures and policies 

published on February 19, 2003, and 

certified in the NOPR that the proposed 

rule would not impose a significant 

economic impact on a substantial 


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number of small entities. (64 FR 69597). 

We received no comments on this issue, 

and after considering the potential small 

entity impact of this final rule, DOE 

affirms the certification that this rule 

will not have a significant economic 

impact on a substantial number of small 

entities. Accordingly, DOE has not 

prepared a regulatory flexibility analysis 

for this rulemaking. DOE will transmit 

the certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the Small 

Business Administration for review 

pursuant to 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act

This rulemaking will impose no new 

information or recordkeeping 

requirements. Accordingly, OMB 

clearance is not required under the 

Paperwork Reduction Act (44 U.S.C. 

3501 et seq.) 

D. Review Under the National 

Environmental Policy Act 

DOE has determined that this rule 

falls into a class of actions that are 

categorically excluded from review 

under the National Environmental 

Policy Act of 1969 (42 U.S.C. 4321 et 

seq.) and the Department’s 

implementing regulations at 10 CFR Part 

1021. Specifically, this rule amends an 

existing rule without changing the 

environmental effect of the rule being 

amended, and, therefore, is covered by 

the Categorical Exclusion in paragraph 

A5 to subpart D, 10 CFR Part 1021. 

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’

64 FR 43255 (August 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have federalism implications. On March 

14, 2000, DOE published a statement of 

policy describing the intergovernmental 

consultation process it will follow in the 

development of such regulations (65 FR 

13735). DOE has examined today’s rule 

and has determined that it does not 

preempt State law and does not have a 

substantial direct effect on the States, on 

the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. No further action 

is required by Executive Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, Section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform’’ (61 FR 4729, February 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; and 

(3) provide a clear legal standard for 

affected conduct rather than a general 

standard and promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in Section 3(a) and Section 

3(b) to determine whether they are met 

or it is unreasonable to meet one or 

more of them. DOE has completed the 

required review and determined that, to 

the extent permitted by law, this rule 

meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995

Title II of the Unfunded Mandates 

Reform Act of 1995 (Pub. L. 104–4) 

requires each Federal agency to assess 

the effects of Federal regulatory actions 

on State, local, and tribal governments 

and the private sector. With respect to 

a proposed regulatory action that may 

result in the expenditure by State, local 

and tribal governments, in the aggregate, 

or by the private sector of $100 million 

or more (adjusted annually for 

inflation), Section 202 of the Act 

requires a Federal agency to publish 

estimates of the resulting costs, benefits, 

and other effects on the national 

economy (2 U.S.C. 1532(a),(b)). The Act 

also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and tribal governments on a 

proposed ‘‘significant intergovernmental 

mandate,’’ and requires an agency plan 

for giving notice and opportunity for 

timely input to potentially affected 

small governments before establishing 

any requirements that might 

significantly or uniquely affect small 

governments. On March 18, 1997, DOE 

published a statement of policy on its 

process for intergovernmental 

consultation under the Act (62 FR 

12820) (also available at http://

www.gc.doe.gov). The rule published 

today does not contain any Federal 

mandate, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined pursuant to 

Executive Order 12630, ‘‘Governmental 

Actions and Interference with 

Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 18, 1988) 

that this regulation would not result in 

any takings which might require 

compensation under the Fifth 

Amendment to the United States 

Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

The Treasury and General 

Government Appropriations Act, 2001 

(44 U.S.C. 3516, note) provides for 

agencies to review most disseminations 

of information to the public under 

guidelines established by each agency 

pursuant to general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (February 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (October 7, 2002). DOE has 

reviewed today’s final rule under the 

OMB and DOE guidelines and has 

concluded that it is consistent with 

applicable policies in those guidelines. 


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K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001) requires Federal agencies to 

prepare and submit to the Office of 

Information and Regulatory Affairs 

(OIRA), Office of Management and 

Budget, a Statement of Energy Effects for 

any proposed significant energy action. 

A ‘‘significant energy action’’ is defined 

as any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy, or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

Today’s regulatory action would not 

have a significant adverse effect on the 

supply, distribution, or use of energy 

and, therefore, is not a significant 

energy action. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under Section 301 of the Department 

of Energy Organization Act (Pub. L. 95–

91), the Department must comply with 

Section 32 of the Federal Energy 

Administration Act of 1974 (FEAA), as 

amended by the Federal Energy 

Administration Authorization Act of 

1977. 15 U.S.C. 788. The Department 

stated in the NOPR the reasons why 

Section 32 does not apply to two of the 

commercial standards incorporated into 

the proposed rule, ANSI Standard 

Z21.47–1993 and UL Standard 727–

1994. 64 FR 69608. The Department did 

not receive any comments on this issue. 

The rule published today incorporates 

the UL Standard, as well as an amended 

version of the ANSI Standard. The 

Department continues to adhere to the 

view expressed in the NOPR that 

Section 32 of the FEAA does not apply 

to these standards. 

The Department also indicated in the 

NOPR that Section 32 does apply to the 

other two commercial standards it is 

incorporating in this rule, ASHRAE 

Standard 103–1993 and HI BTS–2000. 

64 FR 69608. As required by Section 

32(c) of the FEAA, the Department has 

consulted with the Attorney General 

and the Chairman of the Federal Trade 

Commission concerning the impact of 

these two standards on competition, and 

neither recommended against 

incorporation of these standards. 

M. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

report to Congress on the promulgation 

of today’s rule prior to its effective date. 

The report will state that it has been 

determined that the rule is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 804(2). 

N. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s rule.

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Energy conservation, 

Incorporation by reference.

Issued in Washington, DC, on July 27, 

2004. 

David K. Garman, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy.

■ For the reasons set forth in the 

preamble, Part 431 of Chapter II of Title 

10, Code of Federal Regulations, is 

amended, as set forth below:

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT

■ 1. The authority citation for Part 431 

continues to read as follows:

Authority: 42 U.S.C. 6311–6316.

Subpart A—General Provisions

■ 2. Section 431.2 of subpart A is revised 

to read as follows:

§ 431.2 Definitions. 

The following definitions apply for 

purposes of this part. Any words or 

terms not defined in this Section or 

elsewhere in this Part shall be defined 

as provided in Section 340 of the Act. 

Act means the Energy Policy and 

Conservation Act of 1975, as amended, 

42 U.S.C. 6291–6316. 

Btu means British thermal unit, which 

is the quantity of heat required to raise 

the temperature of one pound of water 

by one degree Fahrenheit. 

Covered equipment means any 

electric motor, as defined in § 431.12, or 

commercial heating, ventilating, and air 

conditioning, and water heating product 

(HVAC & WH product), as defined in 

§ 431.72. 

DOE or the Department means the 

U.S. Department of Energy. 

EPCA means the Energy Policy and 

Conservation Act, as amended, 42 

U.S.C. 6291–6316. 

Gas means propane or natural gas as 

defined by the Federal Power 

Commission. 

ISO means International Organization 

for Standardization. 

Manufacture means to manufacture, 

produce, assemble, or import. 

Manufacturer means any person who 

manufactures industrial equipment, 

including any manufacturer of a 

commercial packaged boiler. 

Secretary means the Secretary of 

Energy. 

State means a State, the District of 

Columbia, Puerto Rico, or any territory 

or possession of the United States. 

State regulation means a law or 

regulation of a State or political 

subdivision thereof.

Appendix A to Subpart A—[Removed]

■ 3. Appendix A to subpart A of Part 431 

is removed.

■ 4. Subpart B is revised to read as 

follows:

Subpart B—Electric Motors

Sec. 

431.11 Purpose and scope. 

431.12 Definitions. 

Test Procedures, Materials Incorporated and 

Methods of Determining Efficiency 

431.15 Materials incorporated by reference. 

431.16 Test procedures for the 

measurement of energy efficiency. 

431.17 Determination of efficiency. 

431.18 Testing laboratories. 

431.19 Department of Energy recognition of 

accreditation bodies. 

431.20 Department of Energy recognition of 

nationally recognized certification 

programs.

431.21 Procedures for recognition and 

withdrawal of recognition of 

accreditation bodies and certification 

programs. 

Energy Conservation Standards 

431.25 Energy conservation standards and 

effective dates. 

431.26 Preemption of State regulations. 

Labeling 

431.30 Applicability of labeling 

requirements. 

431.31 Labeling requirements. 

431.32 Preemption of State regulations. 

Certification 

431.35 Applicability of certification 

requirements. 

431.36 Compliance Certification.

Appendix A to Subpart B of 10 CFR Part 

431—Policy Statement for Electric 

Motors Covered Under the Energy Policy 

and Conservation Act 


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61924 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

Appendix B to Subpart B of Part 431—

Uniform Test Method for Measuring 

Nominal Full Load Efficiency of Electric 

Motors 

Appendix C to Subpart B of Part 431—

Compliance Certification

Subpart B—Electric Motors

§ 431.11 Purpose and scope. 

This subpart contains energy 

conservation requirements for electric 

motors. It contains test procedures that 

EPCA requires DOE to prescribe, related 

requirements, energy conservation 

standards prescribed by EPCA, labeling 

rules, and compliance procedures. It 

also identifies materials incorporated by 

reference in this part.

§ 431.12 Definitions. 

The following definitions apply for 

purposes of this subpart, and of subparts 

K through M of this part. Any words or 

terms not defined in this Section or 

elsewhere in this Part shall be defined 

as provided in Section 340 of the Act. 

Accreditation means recognition by 

an accreditation body that a laboratory 

is competent to test the efficiency of 

electric motors according to the scope 

and procedures given in Test Method B 

of Institute of Electrical and Electronics 

Engineers (IEEE) Standard 112–1996, 

Test Procedure for Polyphase Induction 

Motors and Generators, and Test 

Method (1) of CSA Standard C390–93, 

Energy Efficient Test Methods for ThreePhase Induction Motors. (Incorporated 

by reference, see § 431.15) 

Accreditation body means an 

organization or entity that conducts and 

administers an accreditation system and 

grants accreditation. 

Accreditation system means a set of 

requirements to be fulfilled by a testing 

laboratory, as well as rules of procedure 

and management, that are used to 

accredit laboratories. 

Accredited laboratory means a testing 

laboratory to which accreditation has 

been granted. 

Alternative efficiency determination 

method or AEDM means, with respect to 

an electric motor, a method of 

calculating the total power loss and 

average full load efficiency. 

Average full load efficiency means the 

arithmetic mean of the full load 

efficiencies of a population of electric 

motors of duplicate design, where the 

full load efficiency of each motor in the 

population is the ratio (expressed as a 

percentage) of the motor’s useful power 

output to its total power input when the 

motor is operated at its full rated load, 

rated voltage, and rated frequency. 

Basic model means, with respect to an 

electric motor, all units of a given type 

of electric motor (or class thereof) 

manufactured by a single manufacturer, 

and which have the same rating, have 

electrical characteristics that are 

essentially identical, and do not have 

any differing physical or functional 

characteristics which affect energy 

consumption or efficiency. For the 

purpose of this definition, ‘‘rating’’

means one of the 113 combinations of 

an electric motor’s horsepower (or 

standard kilowatt equivalent), number 

of poles, and open or enclosed 

construction, with respect to which 

§ 431.25 prescribes nominal full load 

efficiency standards. 

Certificate of conformity means a 

document that is issued by a 

certification program, and that gives 

written assurance that an electric motor 

complies with the energy efficiency 

standard applicable to that motor, as 

specified in § 431.25. 

Certification program means a 

certification system that determines 

conformity by electric motors with the 

energy efficiency standards prescribed 

by and pursuant to the Act. 

Certification system means a system, 

that has its own rules of procedure and 

management, for giving written 

assurance that a product, process, or 

service conforms to a specific standard 

or other specified requirements, and 

that is operated by an entity 

independent of both the party seeking 

the written assurance and the party 

providing the product, process or 

service. 

CSA means CSA International. 

Definite purpose motor means any 

motor designed in standard ratings with 

standard operating characteristics or 

standard mechanical construction for 

use under service conditions other than 

usual, such as those specified in 

National Electrical Manufacturers 

Association (NEMA) Standards 

Publication MG1–1993 (MG1), Motors 

and Generators, paragraph 14.03, 

‘‘Unusual Service Conditions,’’

(Incorporated by reference, see § 431.15) 

or for use on a particular type of 

application, and which cannot be used 

in most general purpose applications. 

Electric motor is defined as follows: 

(1) ‘‘Electric motor’’ means a machine 

which converts electrical power into 

rotational mechanical power and which: 

(i) Is a general purpose motor, 

including but not limited to motors with 

explosion-proof construction; 

(ii) Is a single speed, induction motor 

(MG1); 

(iii) Is rated for continuous duty 

(MG1) operation, or is rated duty type 

S1 (International Electrotechnical 

Commission (IEC)); 

(iv) Contains a squirrel-cage (MG1) or 

cage (IEC) rotor, and has foot-mounting, 

including foot-mounting with flanges or 

detachable feet; 

(v) Is built in accordance with NEMA 

T-frame dimensions (MG1), or IEC 

metric equivalents (IEC); 

(vi) Has performance in accordance 

with NEMA Design A (MG1) or B (MG1) 

characteristics, or equivalent designs 

such as IEC Design N (IEC); and 

(vii) Operates on polyphase 

alternating current 60-Hertz sinusoidal 

power, and: 

(A) Is rated 230 volts or 460 volts, or 

both, including any motor that is rated 

at multi-voltages that include 230 volts 

or 460 volts, or

(B) Can be operated on 230 volts or 

460 volts, or both. 

(2) Terms in this definition followed 

by the parenthetical ‘‘MG1’’ must be 

construed with reference to provisions 

in NEMA Standards Publication MG1–

1993, Motors and Generators, with 

Revisions 1, 2, 3 and 4, (Incorporated by 

reference, see § 431.15) as follows: 

(i) Section I, General Standards 

Applying to All Machines, Part 1, 

Referenced Standards and Definitions, 

paragraphs 1.16.1, 1.16.1.1, 1.17.1.1, 

1.17.1.2, and 1.40.1 (Incorporated by 

reference, see § 431.15) pertain to the 

terms ‘‘induction motor,’’ ‘‘squirrelcage,’’ ‘‘NEMA Design A,’’ ‘‘NEMA 

Design B,’’ and ‘‘continuous duty’’

respectively; 

(ii) Section I, General Standards 

Applying to All Machines, Part 4, 

Dimensions, Tolerances, and Mounting, 

paragraph 4.01 and Figures 4–1, 4–2, 4–

3, and 4–4 (Incorporated by reference, 

see § 431.15) pertain to ‘‘NEMA T-frame 

dimensions;’’

(iii) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 11, 

Dimensions—AC and DC Small and 

Medium Machines, paragraphs 11.01.2, 

11.31 (except the lines for frames 447T, 

447TS, 449T and 449TS), 11.32, 11.34 

(except the line for frames 447TC and 

449TC, and the line for frames 447TSC 

and 449TSC), 11.35, and 11.36 (except 

the line for frames 447TD and 449TD, 

and the line for frames 447TSD and 

449TSD), and Table 11–1, (Incorporated 

by reference, see § 431.15) pertain to 

‘‘NEMA T-frame dimensions;’’ and 

(iv) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 12, 

Tests and Performance—AC and DC 

Motors, paragraphs 12.35.1, 12.35.5, 

12.38.1, 12.39.1, and 12.40.1, and Table 

12–2, (Incorporated by reference, see 

§ 431.15) pertain both to ‘‘NEMA Design 

A’’ and ‘‘NEMA Design B.’’) 

(3) Terms in this definition followed 

by the parenthetical ‘‘IEC’’ must be 

construed with reference to provisions 

in IEC Standards as follows: 


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(i) IEC Standard 60034–1 (1996), 

Rotating electrical machines, Part 1: 

Rating and performance, with 

Amendment 1 (1997), Section 3: Duty, 

clause 3.2.1 and figure 1 (Incorporated 

by reference, see § 431.15) pertain to 

‘‘duty type S1’’; 

(ii) IEC Standard 60050–411 (1996), 

International Electrotechnical 

Vocabulary Chapter 411: Rotating 

machines, sections 411–33–07 and 411–

37–26, (Incorporated by reference, see 

§ 431.15) pertain to ‘‘cage’’; 

(iii) IEC Standard 60072–1 (1991), 

Dimensions and output series for 

rotating electrical machines—Part 1: 

Frame numbers 56 to 400 and flange 

numbers 55 to 1080, clauses 2, 3, 4.1, 

6.1, 7, and 10, and Tables 1, 2 and 4, 

(Incorporated by reference, see § 431.15) 

pertain to ‘‘IEC metric equivalents’’ to 

‘‘T-frame’’ dimensions; and 

(iv) IEC Standard 60034–12 (1980), 

Rotating electrical machines, Part 12: 

Starting performance of single-speed 

three-phase cage induction motors for 

voltages up to and including 660 V, 

with Amendment 1 (1992) and 

Amendment 2 (1995), clauses 1, 2, 3.1, 

4, 5, and 6, and Tables I, II, and III, 

(Incorporated by reference, see § 431.15) 

pertain to ‘‘IEC Design N.’’

Enclosed motor means an electric 

motor so constructed as to prevent the 

free exchange of air between the inside 

and outside of the case but not 

sufficiently enclosed to be termed 

airtight. 

General purpose motor means any 

motor which is designed in standard 

ratings with either: 

(1) Standard operating characteristics 

and standard mechanical construction 

for use under usual service conditions, 

such as those specified NEMA 

Standards Publication MG1–1993, 

paragraph 14.02, ‘‘Usual Service 

Conditions,’’ (Incorporated by reference, 

see § 431.15) and without restriction to 

a particular application or type of 

application; or 

(2) Standard operating characteristics 

or standard mechanical construction for 

use under unusual service conditions, 

such as those specified in NEMA 

Standards Publication MG1–1993, 

paragraph 14.03, ‘‘Unusual Service 

Conditions,’’ (Incorporated by reference, 

see § 431.15) or for a particular type of 

application, and which can be used in 

most general purpose applications. 

IEC means the International 

Electrotechnical Commission. 

IEEE means the Institute of Electrical 

and Electronics Engineers, Inc. 

NEMA means the National Electrical 

Manufacturers Association. 

Nominal full load efficiency means, 

with respect to an electric motor, a 

representative value of efficiency 

selected from Column A of Table 12–8, 

NEMA Standards Publication MG1–

1993, (Incorporated by reference, see 

§ 431.15), that is not greater than the 

average full load efficiency of a 

population of motors of the same 

design. 

Open motor means an electric motor 

having ventilating openings which 

permit passage of external cooling air 

over and around the windings of the 

machine.

Special purpose motor means any 

motor, other than a general purpose 

motor or definite purpose motor, which 

has special operating characteristics or 

special mechanical construction, or 

both, designed for a particular 

application. 

Total power loss means that portion of 

the energy used by an electric motor not 

converted to rotational mechanical 

power, expressed in percent. 

Test Procedures, Materials 

Incorporated and Methods of 

Determining Efficiency

§ 431.15 Materials incorporated by 

reference. 

(a) General. We incorporate by 

reference the following test procedures 

into Subpart B of Part 431. The material 

listed in paragraph (b) of this section 

has been approved for incorporation by 

reference by the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR 51. Any subsequent 

amendment to a standard by the 

standard-setting organization will not 

affect the DOE test procedures unless 

and until amended by DOE. Material is 

incorporated as it exists on the date of 

the approval and a notice of any change 

in the material will be published in the 

Federal Register. 

(b) List of standards incorporated by 

reference. (1) The following provisions 

of National Electrical Manufacturers 

Association Standards Publication 

MG1–1993, Motors and Generators, 

with Revisions 1, 2, 3 and 4, IBR 

approved for §§ 431.12; 431.31 and 

appendix B to subpart B of Part 431: 

(i) Section I, General Standards 

Applying to All Machines, Part 1, 

Referenced Standards and Definitions, 

paragraphs 1.16.1, 1.16.1.1, 1.17.1.1, 

1.17.1.2, and 1.40.1, IBR approved for 

§ 431.12; 

(ii) Section I, General Standards 

Applying to All Machines, Part 4, 

Dimensions, Tolerances, and Mounting, 

paragraph 4.01 and Figures 4–1, 4–2, 4–

3, and 4–4, IBR approved for § 431.12; 

(iii) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 11, 

Dimensions—AC and DC Small and 

Medium Machines, paragraphs 11.01.2, 

11.31 (except the lines for frames 447T, 

447TS, 449T and 449TS), 11.32, 11.34 

(except the line for frames 447TC and 

449TC, and the line for frames 447TSC 

and 449TSC), 11.35, and 11.36 (except 

the line for frames 447TD and 449TD, 

and the line for frames 447TSD and 

449TSD), and Table 11–1, IBR approved 

for § 431.12; 

(iv) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 12, 

Tests and Performance—AC and DC 

Motors, paragraphs 12.35.1, 12.35.5, 

12.38.1, 12.39.1, and 12.40.1, 12.58.1, 

and Tables 12–2 and 12–8, IBR 

approved for § 431.12; and 

(v) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 14, 

Application Data—AC and DC Small 

and Medium Machines, paragraphs 

14.02 and 14.03, IBR approved for 

§ 431.12. 

(2) Institute of Electrical and 

Electronics Engineers, Inc., Standard 

112–1996, Test Procedure for Polyphase 

Induction Motors and Generators, Test 

Method B, Input-Output with Loss 

Segregation, and the correction to the 

calculation at item (28) in Section 10.2 

Form B-Test Method B issued by IEEE 

on January 20, 1998. (Note: Paragraph 2 

of appendix A to subpart B of Part 431 

sets forth modifications to this Standard 

when it is used for purposes of Part 431 

and EPCA, IBR approved for §§ 431.12; 

431.19; 431.20; appendix B to subpart B 

of Part 431. 

(3) CSA International Standard C390–

93, Energy Efficiency Test Methods for 

Three-Phase Induction Motors, Test 

Method (1), Input-Output Method With 

Indirect Measurement of the Stray-Load 

Loss and Direct Measurement of the 

Stator Winding (I2R), Rotor Winding

(I2R), Core and Windage-Friction Losses, 

IBR approved for §§ 431.12; 431.19; 

431.20; appendix B to subpart B of Part 

431. 

(4) International Electrotechnical 

Commission Standard 60034–1 (1996), 

Rotating electrical machines, Part 1: 

Rating and performance, with 

Amendment 1 (1997), Section 3: Duty, 

clause 3.2.1 and figure 1, IBR approved 

for § 431.12. 

(5) International Electrotechnical 

Commission Standard 60050–411 

(1996), International Electrotechnical 

Vocabulary Chapter 411: Rotating 

machines, sections 411–33–07 and 411–

37–26, IBR approved for § 431.12. 

(6) International Electrotechnical 

Commission Standard 60072–1 (1991), 

Dimensions and Output Series for 

Rotating Electrical Machines—Part 1: 

Frame numbers 56 to 400 and flange 

numbers 55 to 1080, clauses 2, 3, 4.1, 


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61926 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

6.1, 7, and 10, and Tables 1, 2 and 4, 

IBR approved for § 431.12. 

(7) International Electrotechnical 

Commission Standard 60034–12 (1980), 

Rotating Electrical Machines, Part 12: 

Starting performance of single-speed 

three-phase cage induction motors for 

voltages up to and including 660 V, 

with Amendment 1 (1992) and 

Amendment 2 (1995), clauses 1, 2, 3.1, 

4, 5, and 6, and Tables I, II, and III, IBR 

approved for § 431.12.

(c) Inspection of standards. The 

standards incorporated by reference are 

available for inspection at: 

(1) National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/

federal_register/

code_of_federal_regulations/ 

ibr_locations.html;

(2) U.S. Department of Energy, Office 

of Energy Efficiency and Renewable 

Energy, Hearings and Dockets, ‘‘Test 

Procedures, Labeling, and Certification 

Requirements for Electric Motors,’’

Docket No. EE–RM–96–400, Forrestal 

Building, 1000 Independence Avenue, 

SW., Washington, DC. 

(d) Availability of standards.

Standards incorporated by reference 

may be obtained from the following 

sources: 

(1) Copies of IEEE Standard 112–1996 

can be obtained from the Institute of 

Electrical and Electronics Engineers, 

Inc., 445 Hoes Lane, P.O. Box 1331, 

Piscataway, NJ 08855–1331, 1–800–678-

IEEE (4333); 

(2) Copies of NEMA Standards 

Publication MG1–1993 with Revisions 

1, 2, 3, and 4, and copies of 

International Electrotechnical 

Commission standards can be obtained 

from Global Engineering Documents, 15 

Inverness Way East, Englewood, 

Colorado 80112–5776, 1–800–854–7179 

(within the U.S.) or (303) 397–7956 

(international). 

(3) Copies of CSA International 

Standard C390–93 can be obtained from 

CSA International, 5060 Spectrum Way, 

Mississauga, Ontario, Canada L4W5N6, 

(416) 747–4044; 

(e) Reference standards—(1) General. 

The standards listed in this paragraph 

are referred to in the DOE procedures 

for testing laboratories, and recognition 

of accreditation bodies and certification 

programs but are not incorporated by 

reference. These sources are given here 

for information and guidance. 

(2) List of references. (i) National 

Voluntary Laboratory Accreditation 

Program Handbooks 150, ‘‘Procedures 

and General Requirements,’’ March 

1994, and 150–10, ‘‘Efficiency of 

Electric Motors,’’ August 1995. National 

Voluntary Laboratory Accreditation 

Program, National Institute of Standards 

and Technology, Gaithersburg, MD 

20899. 

(ii) ISO/IEC Guide 25, ‘‘General 

requirements for the competence of 

calibration and testing laboratories.’’

(iii) ISO Guide 27, ‘‘Guidelines for 

corrective action to be taken by a 

certification body in the event of either 

misapplication of its mark of conformity 

to a product, or products which bear the 

mark of the certification body being 

found to subject persons or property to 

risk.’’

(iv) ISO/IEC Guide 28, ‘‘General rules 

for a model third-party certification 

system for products.’’

(v) ISO/IEC Guide 58, ‘‘Calibration 

and testing laboratory accreditation 

systems—General requirements for 

operation and recognition.’’

(vi) ISO/IEC Guide 65, ‘‘General 

requirements for bodies operating 

product certification systems.’’

§ 431.16 Test procedures for the 

measurement of energy efficiency. 

For purposes of 10 CFR Part 431 and 

EPCA, the test procedures for measuring 

the energy efficiency of an electric 

motor shall be the test procedures 

specified in appendix B to this subpart 

B.

§ 431.17 Determination of efficiency. 

When a party determines the energy 

efficiency of an electric motor in order 

to comply with an obligation imposed 

on it by or pursuant to Part C of Title 

III of EPCA, 42 U.S.C. 6311–6316, this 

Section applies. This section does not 

apply to enforcement testing conducted 

pursuant to § 431.192. 

(a) Provisions applicable to all electric 

motors—(1) General requirements. The 

average full load efficiency of each basic 

model of electric motor must be 

determined either by testing in 

accordance with § 431.16 of this 

subpart, or by application of an 

alternative efficiency determination 

method (AEDM) that meets the 

requirements of paragraphs (a)(2) and 

(3) of this section, provided, however, 

that an AEDM may be used to determine 

the average full load efficiency of one or 

more of a manufacturer’s basic models 

only if the average full load efficiency 

of at least five of its other basic models 

is determined through testing.

(2) Alternative efficiency 

determination method. An AEDM 

applied to a basic model must be: 

(i) Derived from a mathematical 

model that represents the mechanical 

and electrical characteristics of that 

basic model, and 

(ii) Based on engineering or statistical 

analysis, computer simulation or 

modeling, or other analytic evaluation 

of performance data. 

(3) Substantiation of an alternative 

efficiency determination method. Before 

an AEDM is used, its accuracy and 

reliability must be substantiated as 

follows: 

(i) The AEDM must be applied to at 

least five basic models that have been 

tested in accordance with § 431.16, and 

(ii) The predicted total power loss for 

each such basic model, calculated by 

applying the AEDM, must be within 

plus or minus ten percent of the mean 

total power loss determined from the 

testing of that basic model. 

(4) Subsequent verification of an 

AEDM. (i) Each manufacturer shall 

periodically select basic models 

representative of those to which it has 

applied an AEDM, and for each basic 

model selected shall either: 

(A) Subject a sample of units to 

testing in accordance with § § 431.16 

and 431.17(b)(2) by an accredited 

laboratory that meets the requirements 

of § 431.18; 

(B) Have a certification body 

recognized under § 431.20 certify its 

nominal full load efficiency; or 

(C) Have an independent stateregistered professional engineer, who is 

qualified to perform an evaluation of 

electric motor efficiency in a highly 

competent manner and who is not an 

employee of the manufacturer, review 

the manufacturer’s representations and 

certify that the results of the AEDM 

accurately represent the total power loss 

and nominal full load efficiency of the 

basic model. 

(ii) Each manufacturer that has used 

an AEDM under this section shall have 

available for inspection by the 

Department of Energy records showing: 

the method or methods used; the 

mathematical model, the engineering or 

statistical analysis, computer simulation 

or modeling, and other analytic 

evaluation of performance data on 

which the AEDM is based; complete test 

data, product information, and related 

information that the manufacturer has 

generated or acquired pursuant to 

paragraphs (a)(3) and (a)(4)(i) of this 

section; and the calculations used to 

determine the average full load 

efficiency and total power losses of each 

basic model to which the AEDM was 

applied. 

(iii) If requested by the Department, 

the manufacturer shall conduct 

simulations to predict the performance 

of particular basic models of electric 

motors specified by the Department, 

analyses of previous simulations 

conducted by the manufacturer, sample 


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1 In identifying thse five basic models, any 

electric motor that does not comply with § 431.25 

shall be excluded from consideration.

2Components of similar design may be 

substituted without requiring additional testing if 

the represented measures of energy consumption 

continue to satisfy the applicable sampling 

provision.

testing of basic models selected by the 

Department, or a combination of the 

foregoing. 

(5) Use of a certification program or 

accredited laboratory. (i) A 

manufacturer may have a certification 

program, that DOE has classified as 

nationally recognized under § 431.20, 

certify the nominal full load efficiency 

of a basic model of electric motor, and 

issue a certificate of conformity for the 

motor. 

(ii) For each basic model for which a 

certification program is not used as 

described in paragraph (a)(5)(i) of this 

section, any testing of the motor 

pursuant to paragraphs (a)(1) through (3) 

of this section to determine its energy 

efficiency must be carried out in 

accordance with paragraph (b) of this 

section, in an accredited laboratory that 

meets the requirements of § 431.18. 

(This includes testing of the basic 

model, pursuant to paragraph (a)(3)(i) of 

this section, to substantiate an AEDM.) 

(b) Additional testing requirements 

applicable when a certification program 

is not used—(1) Selection of basic 

models for testing. (i) Basic models must 

be selected for testing in accordance 

with the following criteria: 

(A) Two of the basic models must be 

among the five basic models with the 

highest unit volumes of production by 

the manufacturer in the prior year, or 

during the prior 12 calendar month 

period beginning in 1997,1 whichever is 

later;

(B) The basic models should be of 

different horsepowers without 

duplication; 

(C) The basic models should be of 

different frame number series without 

duplication; and 

(D) Each basic model should be 

expected to have the lowest nominal 

full load efficiency among the basic 

models with the same rating (‘‘rating’’ as 

used here has the same meaning as it 

has in the definition of ‘‘basic model’’). 

(ii) In any instance where it is 

impossible for a manufacturer to select 

basic models for testing in accordance 

with all of these criteria, the criteria 

shall be given priority in the order in 

which they are listed. Within the limits 

imposed by the criteria, basic models 

shall be selected randomly.

(2) Selection of units for testing. For 

each basic model selected for testing,2 a 

sample of units shall be selected at 

random and tested. The sample shall be 

comprised of production units of the 

basic model, or units that are 

representative of such production units. 

The sample size shall be not fewer than 

five units, except that when fewer than 

five units of a basic model would be 

produced over a reasonable period of 

time (approximately 180 days), then 

each unit shall be tested. In a test of 

compliance with a represented average 

or nominal efficiency:

(i) The average full-load efficiency of 

the sample X ̄ which is defined by

X n Xi

i

n

=

=

∑

1

1

,

where Xi is the measured full-load 

efficiency of unit i and n is the number 

of units tested, shall satisfy the 

condition:

X

RE

≥

+ − 







100

1 1 05 100 . 1

where RE is the represented nominal 

full-load efficiency, and 

(ii) The lowest full-load efficiency in 

the sample Xmin, which is defined by

X X min = min ( i)

shall satisfy the condition

X

RE

min

.

≥

+ − 







100

1 115 100 1

(3) Substantiation of an alternative 

efficiency determination method. The 

basic models tested under 

§ 431.17(a)(3)(i) must be selected for 

testing in accordance with paragraph 

(b)(1) of this section, and units of each 

such basic model must be tested in 

accordance with paragraph (b)(2) of this 

section by an accredited laboratory that 

meets the requirements of § 431.18.

§ 431.18 Testing laboratories. 

(a) Testing pursuant to 

§ 431.17(a)(5)(ii) must be conducted in 

an accredited laboratory for which the 

accreditation body was: 

(1) The National Institute of Standards 

and Technology/National Voluntary 

Laboratory Accreditation Program 

(NIST/NVLAP); or 

(2) A laboratory accreditation body 

having a mutual recognition 

arrangement with NIST/NVLAP; or

(3) An organization classified by the 

Department, pursuant to § 431.19, as an 

accreditation body. 

(b) NIST/NVLAP is under the 

auspices of the National Institute of 

Standards and Technology (NIST) 

which is part of the U.S. Department of 

Commerce. NIST/NVLAP accreditation 

is granted on the basis of conformance 

with criteria published in 15 CFR Part 

285, The National Voluntary Laboratory 

Accreditation Program Procedures and 

General Requirements. NIST Handbook 

150–10, August 1995, presents the 

technical requirements of the National 

Voluntary Laboratory Accreditation 

Program for the Efficiency of Electric 

Motors field of accreditation. This 

handbook supplements NIST Handbook 

150, National Voluntary Laboratory 

Accreditation Program Procedures and 

General Requirements, which contains 

15 CFR Part 285 plus all general NIST/

NVLAP procedures, criteria, and 

policies. Changes in NIST/NVLAP’s 

criteria, procedures, policies, standards 

or other bases for granting accreditation, 

occurring subsequent to the initial 

effective date of 10 CFR Part 431, shall 

not apply to accreditation under this 

Part unless approved in writing by the 

Department of Energy. Information 

regarding NIST/NVLAP and its 

Efficiency of Electric Motors Program 

(EEM) can be obtained from NIST/

NVLAP, 100 Bureau Drive, Mail Stop 

2140, Gaithersburg, MD 20899–2140, 

telephone (301) 975–4016, or telefax 

(301) 926–2884.

§ 431.19 Department of Energy recognition 

of accreditation bodies. 

(a) Petition. To be classified by the 

Department of Energy as an 

accreditation body, an organization 

must submit a petition to the 

Department requesting such 

classification, in accordance with 

paragraph (c) of this section and 

§ 431.21. The petition must demonstrate 

that the organization meets the criteria 

in paragraph (b) of this section. 

(b) Evaluation criteria. To be 

classified as an accreditation body by 

the Department, the organization must 

meet the following criteria: 

(1) It must have satisfactory standards 

and procedures for conducting and 

administering an accreditation system 

and for granting accreditation. This 

must include provisions for periodic 

audits to verify that the laboratories 

receiving its accreditation continue to 

conform to the criteria by which they 

were initially accredited, and for 

withdrawal of accreditation where such 

conformance does not occur, including 

failure to provide accurate test results. 

(2) It must be independent of electric 

motor manufacturers, importers, 

distributors, private labelers or vendors. 

It cannot be affiliated with, have 

financial ties with, be controlled by, or 

be under common control with any such 

entity. 


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(3) It must be qualified to perform the 

accrediting function in a highly 

competent manner. 

(4) It must be expert in the content 

and application of the test procedures 

and methodologies in IEEE Standard 

112–1996 Test Method B and CSA 

Standard C390–93 Test Method (1), 

(Incorporated by reference, see § 431.15) 

or similar procedures and 

methodologies for determining the 

energy efficiency of electric motors. 

(c) Petition format. Each petition 

requesting classification as an 

accreditation body must contain a 

narrative statement as to why the 

organization meets the criteria set forth 

in paragraph (b) of this section, must be 

signed on behalf of the organization by 

an authorized representative, and must 

be accompanied by documentation that 

supports the narrative statement. The 

following provides additional guidance: 

(1) Standards and procedures. A copy 

of the organization’s standards and 

procedures for operating an 

accreditation system and for granting 

accreditation should accompany the 

petition. 

(2) Independent status. The 

petitioning organization should identify 

and describe any relationship, direct or 

indirect, that it has with an electric 

motor manufacturer, importer, 

distributor, private labeler, vendor, 

trade association or other such entity, as 

well as any other relationship it believes 

might appear to create a conflict of 

interest for it in performing as an 

accreditation body for electric motor 

testing laboratories. It should explain 

why it believes such relationship(s) 

would not compromise its 

independence as an accreditation body. 

(3) Qualifications to do accrediting.

Experience in accrediting should be 

discussed and substantiated by 

supporting documents. Of particular 

relevance would be documentary 

evidence that establishes experience in 

the application of guidelines contained 

in the ISO/IEC Guide 58, Calibration 

and testing laboratory accreditation 

systems—General requirements for 

operation and recognition, as well as 

experience in overseeing compliance 

with the guidelines contained in the 

ISO/IEC Guide 25, General 

Requirements for the Competence of 

Calibration and Testing Laboratories.

(4) Expertise in electric motor test 

procedures. The petition should set 

forth the organization’s experience with 

the test procedures and methodologies 

in IEEE Standard 112–1996 Test Method 

B and CSA Standard C390–93 Test 

Method (1), (Incorporated by reference, 

see § 431.15) and with similar 

procedures and methodologies. This 

part of the petition should include 

description of prior projects, 

qualifications of staff members, and the 

like. Of particular relevance would be 

documentary evidence that establishes 

experience in applying the guidelines 

contained in the ISO/IEC Guide 25, 

General Requirements for the 

Competence of Calibration and Testing 

Laboratories, to energy efficiency testing 

for electric motors. 

(d) Disposition. The Department will 

evaluate the petition in accordance with 

§ 431.21, and will determine whether 

the applicant meets the criteria in 

paragraph (b) of this section to be 

classified as an accrediting body.

§ 431.20 Department of Energy recognition 

of nationally recognized certification 

programs.

(a) Petition. For a certification 

program to be classified by the 

Department of Energy as being 

nationally recognized in the United 

States for the purposes of Section 345(c) 

of EPCA (‘‘nationally recognized’’), the 

organization operating the program 

must submit a petition to the 

Department requesting such 

classification, in accordance with 

paragraph (c) of this Section and 

§ 431.21. The petition must demonstrate 

that the program meets the criteria in 

paragraph (b) of this section. 

(b) Evaluation criteria. For a 

certification program to be classified by 

the Department as nationally 

recognized, it must meet the following 

criteria: 

(1) It must have satisfactory standards 

and procedures for conducting and 

administering a certification system, 

including periodic follow up activities 

to assure that basic models of electric 

motor continue to conform to the 

efficiency levels for which they were 

certified, and for granting a certificate of 

conformity. 

(2) It must be independent of electric 

motor manufacturers, importers, 

distributors, private labelers or vendors. 

It cannot be affiliated with, have 

financial ties with, be controlled by, or 

be under common control with any such 

entity. 

(3) It must be qualified to operate a 

certification system in a highly 

competent manner. 

(4) It must be expert in the content 

and application of the test procedures 

and methodologies in IEEE Standard 

112–1996 Test Method B and CSA 

Standard C390–93 Test Method (1), 

(Incorporated by reference, see § 431.15) 

or similar procedures and 

methodologies for determining the 

energy efficiency of electric motors. It 

must have satisfactory criteria and 

procedures for the selection and 

sampling of electric motors tested for 

energy efficiency. 

(c) Petition format. Each petition 

requesting classification as a nationally 

recognized certification program must 

contain a narrative statement as to why 

the program meets the criteria listed in 

paragraph (b) of this section, must be 

signed on behalf of the organization 

operating the program by an authorized 

representative, and must be 

accompanied by documentation that 

supports the narrative statement. The 

following provides additional guidance 

as to the specific criteria: 

(1) Standards and procedures. A copy 

of the standards and procedures for 

operating a certification system and for 

granting a certificate of conformity 

should accompany the petition. 

(2) Independent status. The 

petitioning organization should identify 

and describe any relationship, direct or 

indirect, that it or the certification 

program has with an electric motor 

manufacturer, importer, distributor, 

private labeler, vendor, trade association 

or other such entity, as well as any other 

relationship it believes might appear to 

create a conflict of interest for the 

certification program in operating a 

certification system for compliance by 

electric motors with energy efficiency 

standards. It should explain why it 

believes such relationship would not 

compromise its independence in 

operating a certification program. 

(3) Qualifications to operate a 

certification system. Experience in 

operating a certification system should 

be discussed and substantiated by 

supporting documents. Of particular 

relevance would be documentary 

evidence that establishes experience in 

the application of guidelines contained 

in the ISO/IEC Guide 65, General 

requirements for bodies operating 

product certification systems, ISO/IEC 

Guide 27, Guidelines for corrective 

action to be taken by a certification 

body in the event of either 

misapplication of its mark of conformity 

to a product, or products which bear the 

mark of the certification body being 

found to subject persons or property to 

risk, and ISO/IEC Guide 28, General 

rules for a model third-party 

certification system for products, as well 

as experience in overseeing compliance 

with the guidelines contained in the 

ISO/IEC Guide 25, General requirements 

for the competence of calibration and 

testing laboratories.

(4) Expertise in electric motor test 

procedures. The petition should set 

forth the program’s experience with the 

test procedures and methodologies in 

IEEE Standard 112–1996 Test Method B 


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and CSA Standard C390–93 Test 

Method (1), (Incorporated by reference, 

see § 431.15) and with similar 

procedures and methodologies. This 

part of the petition should include 

description of prior projects, 

qualifications of staff members, and the 

like. Of particular relevance would be 

documentary evidence that establishes 

experience in applying guidelines 

contained in the ISO/IEC Guide 25, 

General requirements for the 

competence of calibration and testing 

laboratories, to energy efficiency testing 

for electric motors.

(d) Disposition. The Department will 

evaluate the petition in accordance with 

§ 431.21, and will determine whether 

the applicant meets the criteria in 

paragraph (b) of this section for 

classification as a nationally recognized 

certification program.

§ 431.21 Procedures for recognition and 

withdrawal of recognition of accreditation 

bodies and certification programs. 

(a) Filing of petition. Any petition 

submitted to the Department pursuant 

to §§ 431.19(a) or 431.20(a), shall be 

entitled ‘‘Petition for Recognition’’

(‘‘Petition’’) and must be submitted, in 

triplicate to the Assistant Secretary for 

Energy Efficiency and Renewable 

Energy, U.S. Department of Energy, 

Forrestal Building, 1000 Independence 

Avenue, SW., Washington, DC 20585–

0121. In accordance with the provisions 

set forth in 10 CFR 1004.11, any request 

for confidential treatment of any 

information contained in such a Petition 

or in supporting documentation must be 

accompanied by a copy of the Petition 

or supporting documentation from 

which the information claimed to be 

confidential has been deleted. 

(b) Public notice and solicitation of 

comments. DOE shall publish in the 

Federal Register the Petition from 

which confidential information, as 

determined by DOE, has been deleted in 

accordance with 10 CFR 1004.11 and 

shall solicit comments, data and 

information on whether the Petition 

should be granted. The Department 

shall also make available for inspection 

and copying the Petition’s supporting 

documentation from which confidential 

information, as determined by DOE, has 

been deleted in accordance with 10 CFR 

1004.11. Any person submitting written 

comments to DOE with respect to a 

Petition shall also send a copy of such 

comments to the petitioner. 

(c) Responsive statement by the 

petitioner. A petitioner may, within 10 

working days of receipt of a copy of any 

comments submitted in accordance with 

paragraph (b) of this section, respond to 

such comments in a written statement 

submitted to the Assistant Secretary for 

Energy Efficiency and Renewable 

Energy. A petitioner may address more 

than one set of comments in a single 

responsive statement. 

(d) Public announcement of interim 

determination and solicitation of 

comments. The Assistant Secretary for 

Energy Efficiency and Renewable 

Energy shall issue an interim 

determination on the Petition as soon as 

is practicable following receipt and 

review of the Petition and other 

applicable documents, including, but 

not limited to, comments and responses 

to comments. The petitioner shall be 

notified in writing of the interim 

determination. DOE shall also publish 

in the Federal Register the interim 

determination and shall solicit 

comments, data and information with 

respect to that interim determination. 

Written comments and responsive 

statements may be submitted as 

provided in paragraphs (b) and (c) of 

this section. 

(e) Public announcement of final 

determination. The Assistant Secretary 

for Energy Efficiency and Renewable 

Energy shall as soon as practicable, 

following receipt and review of 

comments and responsive statements on 

the interim determination, publish in 

the Federal Register a notice of final 

determination on the Petition. 

(f) Additional information. The 

Department may, at any time during the 

recognition process, request additional 

relevant information or conduct an 

investigation concerning the Petition. 

The Department’s determination on a 

Petition may be based solely on the 

Petition and supporting documents, or 

may also be based on such additional 

information as the Department deems 

appropriate. 

(g) Withdrawal of recognition—(1) 

Withdrawal by the Department. If the 

Department believes that an 

accreditation body or certification 

program that has been recognized under 

§§ 431.19 or 431.20, respectively, is 

failing to meet the criteria of paragraph 

(b) of the section under which it is 

recognized, the Department will so 

advise such entity and request that it 

take appropriate corrective action. The 

Department will give the entity an 

opportunity to respond. If after 

receiving such response, or no response, 

the Department believes satisfactory 

correction has not been made, the 

Department will withdraw its 

recognition from that entity. 

(2) Voluntary withdrawal. An 

accreditation body or certification 

program may withdraw itself from 

recognition by the Department by 

advising the Department in writing of 

such withdrawal. It must also advise 

those that use it (for an accreditation 

body, the testing laboratories, and for a 

certification organization, the 

manufacturers) of such withdrawal. 

(3) Notice of withdrawal of 

recognition. The Department will 

publish in the Federal Register a notice 

of any withdrawal of recognition that 

occurs pursuant to this paragraph. 

Energy Conservation Standards

§ 431.25 Energy conservation standards 

and effective dates. 

(a) Each electric motor manufactured 

(alone or as a component of another 

piece of equipment) after October 24, 

1997, or in the case of an electric motor 

which requires listing or certification by 

a nationally recognized safety testing 

laboratory, after October 24, 1999, shall 

have a nominal full load efficiency of 

not less than the following:

Motor horsepower/ standard kilowatt equivalent 

Nominal full load efficiency 

Open motors (number of poles) Enclosed motors (number of poles) 

6 4 2 6 4 2 

1 / .75 ................................................................................ 80.0 82.5 .................... 80.0 82.5 75.5 

1.5 / 1.1 ............................................................................. 84.0 84.0 82.5 85.5 84.0 82.5 

2 / 1.5 ................................................................................ 85.5 84.0 84.0 86.5 84.0 84.0 

3 / 2.2 ................................................................................ 86.5 86.5 84.0 87.5 87.5 85.5 

5 / 3.7 ................................................................................ 87.5 87.5 85.5 87.5 87.5 87.5 

7.5 / 5.5 ............................................................................. 88.5 88.5 87.5 89.5 89.5 88.5 

10 / 7.5 .............................................................................. 90.2 89.5 88.5 89.5 89.5 89.5 

15 / 11 ............................................................................... 90.2 91.0 89.5 90.2 91.0 90.2 

20 / 15 ............................................................................... 91.0 91.0 90.2 90.2 91.0 90.2 


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Motor horsepower/ standard kilowatt equivalent 

Nominal full load efficiency 

Open motors (number of poles) Enclosed motors (number of poles) 

6 4 2 6 4 2 

25 / 18.5 ............................................................................ 91.7 91.7 91.0 91.7 92.4 91.0 

30 / 22 ............................................................................... 92.4 92.4 91.0 91.7 92.4 91.0 

40 / 30 ............................................................................... 93.0 93.0 91.7 93.0 93.0 91.7 

50 / 37 ............................................................................... 93.0 93.0 92.4 93.0 93.0 92.4 

60 / 45 ............................................................................... 93.6 93.6 93.0 93.6 93.6 93.0 

75 / 55 ............................................................................... 93.6 94.1 93.0 93.6 94.1 93.0 

100 / 75 ............................................................................. 94.1 94.1 93.0 94.1 94.5 93.6 

125 / 90 ............................................................................. 94.1 94.5 93.6 94.1 94.5 94.5 

150 / 110 ........................................................................... 94.5 95.0 93.6 95.0 95.0 94.5 

200 / 150 ........................................................................... 94.5 95.0 94.5 95.0 95.0 95.0 

(b) For purposes of determining the 

required minimum nominal full load 

efficiency of an electric motor that has 

a horsepower or kilowatt rating between 

two horsepowers or kilowattages listed 

consecutively in paragraph (a) of this 

section, each such motor shall be 

deemed to have a horsepower or 

kilowatt rating that is listed in 

paragraph (a) of this section. The rating 

that the motor is deemed to have shall 

be determined as follows: 

(1) A horsepower at or above the 

midpoint between the two consecutive 

horsepowers shall be rounded up to the 

higher of the two horsepowers; 

(2) A horsepower below the midpoint 

between the two consecutive 

horsepowers shall be rounded down to 

the lower of the two horsepowers, or 

(3) A kilowatt rating shall be directly 

converted from kilowatts to horsepower 

using the formula, 1 kilowatt = (1 /

0.746) horsepower, without calculating 

beyond three significant decimal places, 

and the resulting horsepower shall be 

rounded in accordance with paragraphs 

(b)(1) or (b)(2) of this section, whichever 

applies. 

(c) This section does not apply to 

definite purpose motors, special 

purpose motors, and those motors 

exempted by the Secretary.

§ 431.26 Preemption of State regulations. 

Any State regulation providing for 

any energy conservation standard, or 

other requirement with respect to the 

energy efficiency or energy use, of an 

electric motor that is not identical to a 

Federal standard in effect under this 

subpart is preempted by that standard, 

except as provided for in Section 345(a) 

and 327(b) and (c) of the Act. 

Labeling

§ 431.30 Applicability of labeling 

requirements. 

The labeling rules in § 431.31, 

established pursuant to Section 344 of 

EPCA, 42 U.S.C. 6315, apply only to 

electric motors manufactured after 

October 5, 2000.

§ 431.31 Labeling requirements. 

(a) Electric motor nameplate—(1) 

Required information. The permanent 

nameplate of an electric motor for 

which standards are prescribed in 

§ 431.25 must be marked clearly with 

the following information: 

(i) The motor’s nominal full load 

efficiency (as of the date of 

manufacture), derived from the motor’s 

average full load efficiency as 

determined pursuant to this subpart; 

and 

(ii) A Compliance Certification 

number (‘‘CC number’’) supplied by 

DOE to the manufacturer or private 

labeler, pursuant to § 431.36(f), and 

applicable to that motor. Such CC 

number must be on the nameplate of a 

motor beginning 90 days after either: 

(A) The manufacturer or private 

labeler has received the number upon 

submitting a Compliance Certification 

covering that motor, or 

(B) The expiration of 21 days from 

DOE’s receipt of a Compliance 

Certification covering that motor, if the 

manufacturer or private labeler has not 

been advised by DOE that the 

Compliance Certification fails to satisfy 

§ 431.36. 

(2) Display of required information.

All orientation, spacing, type sizes, type 

faces, and line widths to display this 

required information shall be the same 

as or similar to the display of the other 

performance data on the motor’s 

permanent nameplate. The nominal full 

load efficiency shall be identified either 

by the term ‘‘Nominal Efficiency’’ or 

‘‘Nom. Eff.’’ or by the terms specified in 

paragraph 12.58.2 of NEMA MG1–1993, 

(Incorporated by reference, see § 431.15) 

as for example ‘‘NEMA Nom. Eff. 

llll.’’ The DOE number shall be in 

the form ‘‘CCllll. 

(3) Optional display. The permanent 

nameplate of an electric motor, a 

separate plate, or decalcomania, may be 

marked with the encircled lower case 

letters ‘‘ee’’, for example,

or with some comparable designation or 

logo, if the motor meets the applicable 

standard prescribed in § 431.25, as 

determined pursuant to this subpart, 

and is covered by a Compliance 

Certification that satisfies § 431.36. 

(b) Disclosure of efficiency 

information in marketing materials. (1) 

The same information that must appear 

on an electric motor’s permanent 

nameplate pursuant to paragraph (a)(1) 

of this section, shall be prominently 

displayed: 

(i) On each page of a catalog that lists 

the motor; and 

(ii) In other materials used to market 

the motor. 

(2) The ‘‘ee’’ logo, or other similar 

logo or designations, may also be used 

in catalogs and other materials to the 

same extent they may be used on labels 

under paragraph (a)(3) of this section.

§ 431.32 Preemption of State regulations. 

The provisions of § 431.31 supersede 

any State regulation to the extent 

required by Section 327 of the Act. 

Pursuant to the Act, all State regulations 

that require the disclosure for any 

electric motor of information with 

respect to energy consumption, other 

than the information required to be 

disclosed in accordance with this part, 

are superseded. 

Certification

§ 431.35 Applicability of certification 

requirements. 

Section 431.36 sets forth the 

procedures for manufacturers to certify 

that electric motors comply with the 

applicable energy efficiency standards 

set forth in this subpart.

§ 431.36 Compliance Certification. 

(a) General. Beginning April 26, 2003, 

a manufacturer or private labeler shall 


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not distribute in commerce any basic 

model of an electric motor which is 

subject to an energy efficiency standard 

set forth in this subpart unless it has 

submitted to the Department a 

Compliance Certification certifying, in 

accordance with the provisions of this 

section, that the basic model meets the 

requirements of the applicable standard. 

The representations in the Compliance 

Certification must be based upon the 

basic model’s energy efficiency as 

determined in accordance with the 

applicable requirements of this subpart. 

This means, in part, that either: 

(1) The representations as to the basic 

model must be based on use of a 

certification organization; or 

(2) Any testing of the basic model on 

which the representations are based 

must be conducted at an accredited 

laboratory. 

(b) Required contents—(1) General 

representations. Each Compliance 

Certification must certify that: 

(i) The nominal full load efficiency for 

each basic model of electric motor 

distributed is not less than the 

minimum nominal full load efficiency 

required for that motor by § 431.25; 

(ii) All required determinations on 

which the Compliance Certification is 

based were made in compliance with 

the applicable requirements prescribed 

in this subpart; 

(iii) All information reported in the 

Compliance Certification is true, 

accurate, and complete; and 

(iv) The manufacturer or private 

labeler is aware of the penalties 

associated with violations of the Act 

and the regulations thereunder, and of 

18 U.S.C. 1001 which prohibits 

knowingly making false statements to 

the Federal Government. 

(2) Specific data. (i) For each rating of 

electric motor (as the term ‘‘rating’’ is 

defined in the definition of basic model) 

which a manufacturer or private labeler 

distributes, the Compliance Certification 

must report the nominal full load 

efficiency, determined pursuant to 

§ § 431.16 and 431.17, of the least 

efficient basic model within that rating. 

(ii) The Compliance Certification 

must identify the basic models on 

which actual testing has been performed 

to meet the requirements of § 431.17. 

(iii) The format for a Compliance 

Certification is set forth in appendix C 

of this subpart. 

(c) Optional contents. In any 

Compliance Certification, a 

manufacturer or private labeler may at 

its option request that DOE provide it 

with a unique Compliance Certification 

number (‘‘CC number’’) for any brand 

name, trademark or other label name 

under which the manufacturer or 

private labeler distributes electric 

motors covered by the Certification. 

Such a Compliance Certification must 

also identify all other names, if any, 

under which the manufacturer or 

private labeler distributes electric 

motors, and to which the request does 

not apply. 

(d) Signature and submission. A 

manufacturer or private labeler must 

submit the Compliance Certification 

either on its own behalf, signed by a 

corporate officer of the company, or 

through a third party (for example, a 

trade association or other authorized 

representative) acting on its behalf. 

Where a third party is used, the 

Compliance Certification must identify 

the official of the manufacturer or 

private labeler who authorized the third 

party to make representations on the 

company’s behalf, and must be signed 

by a corporate official of the third party. 

The Compliance Certification must be 

submitted to the Department by certified 

mail, to Department of Energy, Assistant 

Secretary for Energy Efficiency and 

Renewable Energy, Building 

Technologies (EE–2J), Forrestal 

Building, 1000 Independence Avenue, 

SW., Washington, DC 20585–0121.

(e) New basic models. For electric 

motors, a Compliance Certification must 

be submitted for a new basic model only 

if the manufacturer or private labeler 

has not previously submitted to DOE a 

Compliance Certification, that meets the 

requirements of this section, for a basic 

model that has the same rating as the 

new basic model, and that has a lower 

nominal full load efficiency than the 

new basic model. 

(f) Response to Compliance 

Certification; Compliance Certification 

Number (CC number)—(1) DOE 

processing of Certification. Promptly 

upon receipt of a Compliance 

Certification, the Department will 

determine whether the document 

contains all of the elements required by 

this section, and may, in its discretion, 

determine whether all or part of the 

information provided in the document 

is accurate. The Department will then 

advise the submitting party in writing 

either that the Compliance Certification 

does not satisfy the requirements of this 

section, in which case the document 

will be returned, or that the Compliance 

Certification satisfies this section. The 

Department will also advise the 

submitting party of the basis for its 

determination. 

(2) Issuance of CC number(s). (i) 

Initial Compliance Certification. When 

DOE advises that the initial Compliance 

Certification submitted by or on behalf 

of a manufacturer or private labeler is 

acceptable, either: 

(A) DOE will provide a single unique 

CC number, ‘‘CCllll,’’ to the 

manufacturer or private labeler, and 

such CC number shall be applicable to 

all electric motors distributed by the 

manufacturer or private labeler, or 

(B) When required by paragraph (f)(3) 

of this section, DOE will provide more 

than one CC number to the 

manufacturer or private labeler. 

(ii) Subsequent Compliance 

Certification. When DOE advises that 

any other Compliance Certification is 

acceptable, it will provide a unique CC 

number for any brand name, trademark 

or other name when required by 

paragraph (f)(3) of this section. 

(iii) When DOE declines to provide a 

CC number as requested by a 

manufacturer or private labeler in 

accordance with § 431.36(c), DOE will 

advise the requester of the reasons for 

such refusal. 

(3) Issuance of two or more CC 

numbers. (i) DOE will provide a unique 

CC number for each brand name, 

trademark or other label name for which 

a manufacturer or private labeler 

requests such a number in accordance 

with § 431.36(c), except as follows. DOE 

will not provide a CC number for any 

brand name, trademark or other label 

name 

(A) For which DOE has previously 

provided a CC number, or 

(B) That duplicates or overlaps with 

other names under which the 

manufacturer or private labeler sells 

electric motors. 

(ii) Once DOE has provided a CC 

number for a particular name, that shall 

be the only CC number applicable to all 

electric motors distributed by the 

manufacturer or private labeler under 

that name. 

(iii) If the Compliance Certification in 

which a manufacturer or private labeler 

requests a CC number is the initial 

Compliance Certification submitted by 

it or on its behalf, and it distributes 

electric motors not covered by the CC 

number(s) DOE provides in response to 

the request(s), DOE will also provide a 

unique CC number that shall be 

applicable to all of these other motors. 

Appendix A to Subpart B of 10 CFR 

Part 431, Policy Statement for Electric 

Motors Covered Under the Energy 

Policy and Conservation Act

This is a reprint of a policy statement 

which was published on November 5, 1997 

at 62 FR 59978. 

Policy Statement for Electric Motors Covered 

Under the Energy Policy and Conservation 

Act 

I. Introduction 

The Energy Policy and Conservation Act 

(EPCA), 42 U.S.C. 6311, et seq., establishes 


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1The term ‘‘manufacture’’ means ‘‘to 

manufacture, produce, assemble or import.’’ EPCA 

§ 321(10). Thus, the standards apply to motors 

produced, assembled, imported or manufactured 

after these statutory deadlines.

2Section 342(b)(1) of EPCA recognizes that 

EPCA’s efficiency standards cover ‘‘motors which 

require listing or certification by a nationally 

recognized safety testing laboratory.’’ This applies, 

for example, to explosion-proof motors which are 

otherwise general purpose motors.

3Terms followed by the parenthetical ‘‘IEC’’ are 

referred to in the International Electrotechnical 

Commission (IEC) Standard 34–1. Such terms are 

included in DOE’s proposed definition of ‘‘electric 

motor’’ because DOE believes EPCA’s efficiency 

requirements apply to metric system motors that 

conform to IEC Standard 34, and that are identical 

or equivalent to motors constructed in accordance 

with NEMA MG1 and covered by the statute.

4For example, a motor that is rated at 220 volts 

should operate successfully on 230 volts, since 220 

+ .10(220) = 242 volts. A 208 volt motor, however, 

would not be expected to operate successfully on 

230 volts, since 208 + .10(208) = 228.8 volts.

5The Department understands that a motor that 

can operate at such voltage and frequency, based on 

variations defined for successful operation, will not 

necessarily perform in accordance with the industry 

standards established for operation at the motor’s 

rated voltage and frequency. In addition, under the 

test procedures prescribed by EPCA, motors are to 

be tested at their rated values. Therefore, in DOE’s 

view a motor that is not rated for 230 or 460 volts, 

or 60 Hertz, but that can be successfully operated 

at these levels, must meet the energy efficiency 

requirements at its rated voltage(s) and frequency. 

DOE also notes that when a motor is rated to 

include a wider voltage range that includes 230/460 

volts, the motor should meet the energy efficiency 

requirements at 230 volts or 460 volts.

energy efficiency standards and test 

procedures for certain commercial and 

industrial electric motors manufactured 

(alone or as a component of another piece of 

equipment) after October 24, 1997, or, in the 

case of an electric motor which requires 

listing or certification by a nationally 

recognized safety testing laboratory, after 

October 24, 1999.1 EPCA also directs the 

Department of Energy (DOE or Department) 

to implement the statutory test procedures 

prescribed for motors, and to require 

efficiency labeling of motors and certification 

that covered motors comply with the 

standards.

Section 340(13)(A) of EPCA defines the 

term ‘‘electric motor’’ based essentially on 

the construction and rating system in the 

National Electrical Manufacturers 

Association (NEMA) Standards Publication 

MG1. Sections 340(13)(B) and (c) of EPCA 

define the terms ‘‘definite purpose motor’’

and ‘‘special purpose motor,’’ respectively, 

for which the statute prescribes no efficiency 

standards.

In its proposed rule to implement the 

EPCA provisions that apply to motors (61 FR 

60440, November 27, 1996), DOE has 

proposed to clarify the statutory definition of 

‘‘electric motor,’’ to mean a machine which 

converts electrical power into rotational 

mechanical power and which: (1) Is a general 

purpose motor, including motors with 

explosion-proof construction 2; (2) is a single 

speed, induction motor; (3) is rated for 

continuous duty operation, or is rated duty 

type S–1 (IEC) 3; (4) contains a squirrel-cage 

or cage (IEC) rotor; (5) has foot-mounting, 

including foot-mounting with flanges or 

detachable feet; (6) is built in accordance 

with NEMA T-frame dimensions, or IEC 

metric equivalents (IEC); (7) has performance 

in accordance with NEMA Design A or B 

characteristics, or equivalent designs such as 

IEC Design N (IEC); and (8) operates on 

polyphase alternating current 60-Hertz 

sinusoidal power, and is (i) rated 230 volts 

or 460 volts, or both, including any motor 

that is rated at multi-voltages that include 

230 volts or 460 volts, or (ii) can be operated 

on 230 volts or 460 volts, or both.

Notwithstanding the clarification provided 

in the proposed rule, there still appears to be 

uncertainty as to which motors EPCA covers. 

It is widely understood that the statute covers 

‘‘general purpose’’ motors that are 

manufactured for a variety of applications, 

and that meet EPCA’s definition of ‘‘electric 

motor.’’ Many modifications, however, can 

be made to such generic motors. Motor 

manufacturers have expressed concern as to 

precisely which motors with such 

modifications are covered under the statute, 

and as to whether manufacturers will be able 

to comply with the statute by October 25, 

1997 with respect to all of these covered 

motors. Consequently, motor manufacturers 

have requested that the Department provide 

additional guidance as to which types of 

motors are ‘‘electric motors,’’ ‘‘definite 

purpose motors,’’ and ‘‘special purpose 

motors’’ under EPCA. The policy statement 

that follows is based upon input from motor 

manufacturers and energy efficiency 

advocates, and provides such guidance. 

II. Guidelines for Determining Whether a 

Motor Is Covered by EPCA 

A. General 

EPCA specifies minimum nominal fullload energy efficiency standards for 1 to 200 

horsepower electric motors, and, to measure 

compliance with those standards, prescribes 

use of the test procedures in NEMA Standard 

MG1 and Institute of Electrical and 

Electronics Engineers, Inc., (IEEE) Standard 

112. In DOE’s view, as stated in Assistant 

Secretary Ervin’s letter of May 9, 1996, to 

NEMA’s Malcolm O’Hagan, until DOE’s 

regulations become effective, manufacturers 

can establish compliance with these EPCA 

requirements through use of competent and 

reliable procedures or methods that give 

reasonable assurance of such compliance. So 

long as these criteria are met, manufacturers 

may conduct required testing in their own 

laboratories or in independent laboratories, 

and may employ alternative correlation 

methods (in lieu of actual testing) for some 

motors. Manufacturers may also establish 

their compliance with EPCA standards and 

test procedures through use of third party 

certification or verification programs such as 

those recognized by Natural Resources 

Canada. Labeling and certification 

requirements will become effective only after 

DOE has promulgated a final rule prescribing 

such requirements. 

Motors with features or characteristics that 

do not meet the statutory definition of 

‘‘electric motor’’ are not covered, and 

therefore are not required to meet EPCA 

requirements. Examples include motors 

without feet and without provisions for feet, 

and variable speed motors operated on a 

variable frequency power supply. Similarly, 

multi speed motors and variable speed 

motors, such as inverter duty motors, are not 

covered equipment, based on their intrinsic 

design for use at variable speeds. However, 

NEMA Design A or B motors that are single 

speed, meet all other criteria under the 

definitions in EPCA for covered equipment, 

and can be used with an inverter in variable 

speed applications as an additional feature, 

are covered equipment under EPCA. In other 

words, being suitable for use on an inverter 

by itself does not exempt a motor from EPCA 

requirements.

Section 340(13)(F) of EPCA, defines a 

‘‘small electric motor’’ as ‘‘a NEMA general 

purpose alternating current single-speed 

induction motor, built in a two-digit frame 

number series in accordance with NEMA 

Standards Publication MG 1–1987.’’ Section 

346 of EPCA requires DOE to prescribe 

testing requirements and efficiency standards 

only for those small electric motors for which 

the Secretary determines that standards are 

warranted. The Department has not yet made 

such a determination. 

B. Electrical Features 

As noted above, the Department’s proposed 

definition of ‘‘electric motor’’ provides in 

part that it is a motor that ‘‘operates on 

polyphase alternating current 60-Hertz 

sinusoidal power, and * * * can be operated 

on 230 volts or 460 volts, or both.’’ In DOE’s 

view, ‘‘can be operated’’ implicitly means 

that the motor can be operated successfully. 

According to NEMA Standards Publication 

MG1–1993, paragraph 12.44, ‘‘Variations 

from Rated Voltage and Rated Frequency,’’

alternating-current motors must operate 

successfully under running conditions at 

rated load with a variation in the voltage or 

the frequency up to the following: Plus or 

minus 10 percent of rated voltage, with rated 

frequency for induction motors; 4 plus or 

minus 5 percent of rated frequency, with 

rated voltage; and a combined variation in 

voltage and frequency of 10 percent (sum of 

absolute values) of the rated values, provided 

the frequency variation does not exceed plus 

or minus 5 percent of rated frequency. DOE 

believes that, for purposes of determining 

whether a motor meets EPCA’s definition of 

‘‘electric motor,’’ these criteria should be 

used to determine when a motor that is not 

rated at 230 or 460 volts or 60 Hertz can be 

operated at such voltage and frequency.5

NEMA Standards Publication MG1 

categorizes electrical modifications to motors 

according to performance characteristics that 

include locked rotor torque, breakdown 

torque, pull-up torque, locked rotor current, 

and slip at rated load, and assigns design 

letters, such as Design A, B, C, D, or E, to 

identify various combinations of such 

electrical performance characteristics. Under 

Section 340(13)(A) of EPCA, electric motors 

subject to EPCA efficiency requirements 

include only motors that fall within NEMA 

‘‘Design A and B * * * as defined in [NEMA] 

Standards Publication MG1–1987.’’ As to 

locked rotor torque, for example, MG1 

specifies a minimum performance value for 

a Design A or B motor of a given speed and 


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horsepower, and somewhat higher minimum 

values for Design C and D motors of the same 

speed and horsepower. The Department 

understands that, under MG1, the industry 

classifies a motor as Design A or B if it has 

a locked rotor torque at or above the 

minimum for A and B but below the 

minimum for Design C, so long as it 

otherwise meets the criteria for Design A or 

B. Therefore, in the Department’s view, such 

a motor is covered by EPCA’s requirements 

for electric motors. By contrast a motor that 

meets or exceeds the minimum locked rotor 

torque for Design C or D is not covered by 

EPCA. In sum, if a motor has electrical 

modifications that meet Design A or B 

performance requirements it is covered by 

EPCA, and if its characteristics meet Design 

C, D or E it is not covered. 

C. Size 

Motors designed for use on a particular 

type of application which are in a frame size 

that is one or more frame series larger than 

the frame size assigned to that rating by 

sections 1.2 and 1.3 of NEMA Standards 

Publication MG 13–1984 (R1990), ‘‘Frame 

Assignments for Alternating Current IntegralHorsepower Induction Motors,’’ are not, in 

the Department’s view, usable in most 

general purpose applications. This is due to 

the physical size increase associated with a 

frame series change. A frame series is defined 

as the first two digits of the frame size 

designation. For example, 324T and 326T are 

both in the same frame series, while 364T is 

in the next larger frame series. Hence, in the 

Department’s view, a motor that is of a larger 

frame series than normally assigned to that 

standard rating of motor is not covered by 

EPCA. A physically larger motor within the 

same frame series would be covered, 

however, because it would be usable in most 

general purpose applications. 

Motors built in a T-frame series or a Tframe size smaller than that assigned by MG 

13–1984 (R1990) are also considered usable 

in most general purpose applications. This is 

because simple modifications can generally 

be made to fit a smaller motor in place of a 

motor with a larger frame size assigned in 

conformity with NEMA MG 13. Therefore, 

DOE believes that such smaller motors are 

covered by EPCA. 

D. Motors With Seals 

Some electric motors have seals to prevent 

ingress of water, dust, oil, and other foreign 

materials into the motor. DOE understands 

that, typically, a manufacturer will add seals 

to a motor that it manufactures, so that it will 

sell two motors that are identical except that 

one has seals and the other does not. In such 

a situation, if the motor without seals is 

‘‘general purpose’’ and covered by EPCA’s 

efficiency requirements, then the motor with 

seals will also be covered because it can still 

be used in most general purpose 

applications. DOE understands, however, 

that manufacturers previously believed 

motors with seals were not covered under 

EPCA, in part because IEEE Standard 112, 

‘‘Test Procedure for Polyphase Induction 

Motors and Generators,’’ prescribed by EPCA, 

does not address how to test a motor with 

seals installed. 

The efficiency rating of such a motor, if 

determined with seals installed and when the 

motor is new, apparently would significantly 

understate the efficiency of the motor as 

operated. New seals are stiff, and provide 

friction that is absent after their initial breakin period. DOE understands that, after this 

initial period, the efficiency ratings 

determined for the same motor with and 

without seals would be virtually identical. To 

construe EPCA, therefore, as requiring such 

separate efficiency determinations would 

impose an unnecessary burden on 

manufacturers.

In light of the foregoing, the Department 

believes that EPCA generally permits the 

efficiency of a motor with seals to be 

determined without the seals installed. 

Furthermore, notwithstanding the prior belief 

that such motors are not covered by EPCA, 

use of this approach to determining 

efficiency will enable manufacturers to meet 

EPCA’s standards with respect to covered 

motors with seals by the date the standards 

go into effect on October 25, 1997. 

III. Discussion of How DOE Would Apply 

EPCA Definitions, Using the Foregoing 

Guidelines 

Using the foregoing guidelines, the 

attached matrix provides DOE’s view as to 

which motors with common features are 

covered by EPCA. Because manufacturers 

produce many basic models that have many 

modifications of generic general purpose 

motors, the Department does not represent 

that the matrix is all-inclusive. Rather it is a 

set of examples demonstrating how DOE 

would apply EPCA definitions, as construed 

by the above guidelines, to various motor 

types. By extension of these examples, most 

motors currently in production, or to be 

designed in the future, could probably be 

classified. The matrix classifies motors into 

five categories, which are discussed in the 

following passages. 

Category I—For ‘‘electric motors’’

(manufactured alone or as a component of 

another piece of equipment) in Category I, 

DOE will enforce EPCA efficiency standards 

and test procedures beginning on October 25, 

1997. 

The Department understands that some 

motors essentially are relatively simple 

modifications of generic general purpose 

motors. Modifications could consist, for 

example, of minor changes such as the 

addition of temperature sensors or a heater, 

the addition of a shaft extension and a brake 

disk from a kit, or changes in exterior 

features such as the motor housing. Such 

motors can still be used for most general 

purpose applications, and the modifications 

have little or no effect on motor performance. 

Nor do the modifications affect energy 

efficiency. 

Category II—For certain motors that are 

‘‘definite purpose’’ according to present 

industry practice, but that can be used in 

most general purpose applications, DOE will 

generally enforce EPCA efficiency standards 

and test procedures beginning no later than 

October 25, 1999. 

General Statement 

EPCA does not prescribe standards and test 

procedures for ‘‘definite purpose motors.’’

Section 340(13)(B) of EPCA defines the term 

‘‘definite purpose motor’’ as ‘‘any motor 

designed in standard ratings with standard 

operating characteristics or standard 

mechanical construction for use under 

service conditions other than usual or for use 

on a particular type of application and which 

cannot be used in most general purpose 

applications.’’ [Emphasis added.] Except, 

significantly, for exclusion of the italicized 

language, the industry definition of ‘‘definite 

purpose motor,’’ set forth in NEMA MG1, is 

identical to the foregoing.

Category II consists of electric motors with 

horsepower ratings that fall between the 

horsepower ratings in Section 342(b)(1) of 

EPCA, thermally protected motors, and 

motors with roller bearings. As with motors 

in Category I, these motors are essentially 

modifications of generic general purpose 

motors. Generally, however, the 

modifications contained in these motors are 

more extensive and complex than the 

modifications in Category I motors. These 

Category II motors have been considered 

‘‘definite purpose’’ in common industry 

parlance, but are covered equipment under 

EPCA because they can be used in most 

general purpose applications. 

According to statements provided during 

the January 15, 1997, Public Hearing, Tr. pgs. 

238–239, Category II motors were, until 

recently, viewed by most manufacturers as 

definite purpose motors, consistent with the 

industry definition that did not contain the 

clause ‘‘which cannot be used in most 

general purpose applications.’’ Hence, DOE 

understands that many manufacturers 

assumed these motors were not subject to 

EPCA’s efficiency standards. During the 

period prior and subsequent to the hearing, 

discussions among manufacturers resulted in 

a new understanding that such motors are 

general purpose under EPCA, since they can

be used in most general purpose 

applications. Thus, the industry only 

recently recognized that such motors are 

covered under EPCA. Although the statutory 

definition adopted in 1992 contained the 

above-quoted definition of ‘‘definite 

purpose,’’ the delay in issuing regulations 

which embody this definition may have 

contributed to industry’s delay in recognizing 

that these motors are covered. 

The Department understands that redesign 

and testing these motors in order to meet the 

efficiency standards in the statute may 

require a substantial amount of time. Given 

the recent recognition that they are covered, 

it is not realistic to expect these motors will 

be able to comply by October 25, 1997. A 

substantial period beyond that will be 

required. Moreover, the Department believes 

different manufacturers will need to take 

different approaches to achieving compliance 

with respect to these motors, and that, for a 

particular type of motor, some manufacturers 

will be able to comply sooner than others. 

Thus, the Department intends to refrain from 

taking enforcement action for two years, until 

October 25, 1999, with respect to motors with 

horsepower ratings that fall between the 

horsepower ratings in Section 342(b)(1) of 

EPCA, thermally protected motors, and 

motors with roller bearings. Manufacturers 

are encouraged, however, to manufacture 


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6 IP refers to the IEC Standard 34–5: Classification 

of degrees of protection provided by enclosures for 

rotating machines. IC refers to the IEC Standard 34–

6: Methods of cooling rotating machinery. The IP 

and IC codes are referenced in the NEMA 

designations for TENV and TEAO motors in MG1–

1993 Part 1, ‘‘Classification According to 

Environmental Protection and Methods of Cooling,’’

these motors in compliance with EPCA at the 

earliest possible date. 

The following sets forth in greater detail, 

for each of these types of motors, the basis 

for the Department’s policy to refrain from 

enforcement for two years. Also set forth is 

additional explanation of the Department’s 

understanding as to why manufacturers 

previously believed intermediate horsepower 

motors were not covered by EPCA. 

Intermediate Horsepower Ratings 

Section 342(b)(1) of EPCA specifies 

efficiency standards for electric motors with 

19 specific horsepower ratings, ranging from 

one through 200 horsepower. Each is a 

preferred or standardized horsepower rating 

as reflected in the table in NEMA Standards 

Publication MG1–1993, paragraph 10.32.4, 

Polyphase Medium Induction Motors. 

However, an ‘‘electric motor,’’ as defined by 

EPCA, can be built at other horsepower 

ratings, such as 6 horsepower, 65 

horsepower, or 175 horsepower. Such 

motors, rated at horsepower levels between 

any two adjacent horsepower ratings 

identified in Section 342(b)(1) of EPCA will 

be referred to as ‘‘intermediate horsepower 

motors.’’ In the Department’s view, efficiency 

standards apply to every motor that has a 

rating from one through 200 horsepower (or 

kilowatt equivalents), and that otherwise 

meets the criteria for an ‘‘electric motor’’

under EPCA, including an electric motor 

with an intermediate horsepower (or kW) 

rating. 

To date, these motors have typically been 

designed in conjunction with and supplied to 

a specific customer to fulfill certain 

performance and design requirements of a 

particular application, as for example to run 

a certain type of equipment. See the 

discussion in Section IV below on ‘‘original 

equipment’’ and ‘‘original equipment 

manufacturers.’’ In large part for these 

reasons, manufacturers believed intermediate 

horsepower motors to be ‘‘definite purpose 

motors’’ that were not covered by EPCA. 

Despite their specific uses, however, these 

motors are electric motors under EPCA when 

they are capable of being used in most 

general purpose applications. 

Features of a motor that are directly related 

to its horsepower rating include its physical 

size, and the ratings of its controller and 

protective devices. These aspects of a 175 

horsepower motor, for example, which is an 

intermediate horsepower motor, must be 

appropriate to that horsepower, and would 

generally differ from the same aspects of 150 

and 200 horsepower motors, the two 

standard horsepower ratings closest to 175. 

To re-design an existing intermediate 

horsepower electric motor so that it complies 

with EPCA could involve all of these 

elements of a motor’s design. For example, 

the addition of material necessary to achieve 

EPCA’s prescribed level of efficiency could 

cause the size of the motor to increase. The 

addition of magnetic material would invite 

higher inrush current that could cause an 

incorrectly sized motor controller to 

malfunction, or the circuit breaker with a 

standard rating to trip unnecessarily, or both. 

The Department believes motor 

manufacturers will require a substantial 

amount of time to redesign and retest each 

intermediate horsepower electric motor they 

manufacture. 

To the extent such intermediate 

horsepower electric motors become 

unavailable because motor manufacturers 

have recognized only recently that they are 

covered by EPCA, equipment in which they 

are incorporated would temporarily become 

unavailable also. Moreover, re-design of such 

a motor to comply with EPCA could cause 

changes in the motor that require re-design 

of the equipment in which the motor is used. 

For example, if an intermediate horsepower 

electric motor becomes larger, it might no 

longer fit in the equipment for which it was 

designed. In such instances, the equipment 

would have to be re-designed. Because these 

motors were previously thought not to be 

covered, equipment manufacturers may not 

have had sufficient lead time to make the 

necessary changes to the equipment without 

interrupting its production. 

With respect to intermediate horsepower 

motors, the Department intends to refrain 

from enforcing EPCA for a period of 24 

months only as to such motor designs that 

were being manufactured prior to the date 

this Policy Statement was issued. The 

Department is concerned that small 

adjustments could be made to the 

horsepower rating of an existing electric 

motor, in an effort to delay compliance with 

EPCA, if it delayed enforcement as to all 

intermediate horsepower motors produced 

during the 24 month period. For example, a 

50 horsepower motor that has a service factor 

of 1.15 could be renameplated as a 571⁄2

horsepower motor that has a 1.0 service 

factor. By making this delay in enforcement 

applicable only to pre-existing designs of 

intermediate horsepower motors, the 

Department believes it has made adequate 

provision for the manufacture of bona fide 

intermediate horsepower motor designs that 

cannot be changed to be in compliance with 

EPCA by October 25, 1997. 

Thermally Protected Motors 

The Department understands that in order 

to redesign a thermally protected motor to 

improve its efficiency so that it complies 

with EPCA, various changes in the windings 

must be made which will require the thermal 

protector to be re-selected. Such devices 

sense the inrush and running current of the 

motor, as well as the operating temperature. 

Any changes to a motor that affect these 

characteristics will prevent the protector 

from operating correctly. When a new 

protector is selected, the motor must be 

tested to verify proper operation of the device 

in the motor. The motor manufacturer would 

test the locked rotor and overload conditions, 

which could take several days, and the 

results may dictate that a second selection is 

needed with additional testing. When the 

manufacturer has finished testing, typically 

the manufacturer will have a third party 

conduct additional testing. This testing may 

include cycling the motor in a locked-rotor 

condition to verify that the protector 

functions properly. This testing may take 

days or even weeks to perform for a 

particular model of motor.

Since it was only recently recognized by 

industry that these motors are covered by 

EPCA, in the Department’s view the total 

testing program makes it impossible for 

manufacturers to comply with the EPCA 

efficiency levels in thermally protected 

motors by October 25, 1997, especially since 

each different motor winding must be tested 

and motor winding/thermal protector 

combinations number in the thousands. 

Motors With Roller Bearings 

Motors with roller bearings fit within the 

definition of electric motor under the statute. 

However, because the IEEE Standard 112 

Test Method B does not provide measures to 

test motors with roller bearings installed, 

manufacturers mistakenly believed such 

motors were not covered. Under IEEE 

Standard 112, a motor with roller bearings 

could only be tested for efficiency with the 

roller bearings removed and standard ball 

bearings installed as temporary substitutes. 

Then on the basis of the energy efficiency 

information gained from that test, the 

manufacturer may need to redesign the motor 

in order to comply with the statute. In this 

situation, the Department understands that 

testing, redesigning, and retesting lines of 

motors with roller bearings, to establish 

compliance, would be difficult and time 

consuming. 

Categories III, IV and V—Motors not within 

EPCA’s definition of ‘‘electric motor,’’ and 

not covered by EPCA. 

Close-Coupled Pump Motors 

NEMA Standards Publication MG1–1993, 

with revisions one through three, Part 18, 

‘‘Definite-Purpose Machines,’’ defines ‘‘a 

face-mounting close-coupled pump motor’’ 

as ‘‘a medium alternating-current squirrelcage induction open or totally enclosed 

motor, with or without feet, having a shaft 

suitable for mounting an impeller and sealing 

device.’’ Paragraphs MG1–18.601–18.614 

specify its performance, face and shaft 

mounting dimensions, and frame 

assignments that replace the suffix letters T 

and TS with the suffix letters JM and JP. 

The Department understands that such 

motors are designed in standard ratings with 

standard operating characteristics for use in 

certain close-coupled pumps and pumping 

applications, but cannot be used in nonpumping applications, such as, for example, 

conveyors. Consequently, the Department 

believes close-coupled pump motors are 

definite-purpose motors not covered by 

EPCA. However, a motor that meets EPCA’s 

definition of ‘‘electric motor,’’ and which can 

be coupled to a pump, for example by means 

of a C-face or D-flange end shield, as depicted 

in NEMA Standards Publication MG1, Part 4, 

‘‘Dimensions, Tolerances, and Mounting,’’ is 

covered. 

Totally-Enclosed Non-Ventilated (TENV) and 

Totally-Enclosed Air-Over (TEAO) Motors 

A motor designated in NEMA MG1–1993, 

paragraph MG1–1.26.1, as ‘‘totally-enclosed 

non-ventilated (IP54, IC410)’’ 6 is ‘‘not 


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as a Suggested Standard for Future Design, since the 

TENV and TEAO motors conform to IEC Standards. 

Details of protection (IP) and methods of cooling 

(IC) are defined in MG1 Part 5 and Part 6, 

respectively.

equipped for cooling by means external to 

the enclosing parts.’’ This means that the 

motor, when properly applied, does not 

require the use of any additional means of 

cooling installed external to the motor 

enclosure. The TENV motor is cooled by 

natural conduction and natural convection of 

the motor heat into the surrounding 

environment. As stated in NEMA MG1–1993, 

Suggested Standard for Future Design, 

paragraph MG1–1.26.1a, a TENV motor ‘‘is 

only equipped for cooling by free 

convection.’’ The general requirement for the 

installation of the TENV motor is that it not 

be placed in a restricted space that would 

inhibit this natural dissipation of the motor 

heat. Most general purpose applications use 

motors which include a means for forcing air 

flow through or around the motor and 

usually through the enclosed space and, 

therefore, can be used in spaces that are more 

restrictive than those required for TENV 

motors. Placing a TENV motor in such 

common restricted areas is likely to cause the 

motor to overheat. The TENV motor may also 

be larger than the motors used in most 

general purpose applications, and would take 

up more of the available space, thus reducing 

the size of the open area surrounding the 

motor. Installation of a TENV motor might 

require, therefore, an additional means of 

ventilation to continually exchange the 

ambient around the motor.

A motor designated in NEMA MG1–1993 

as ‘‘totally-enclosed air-over (IP54, IC417)’’ is 

intended to be cooled by ventilation means 

external to (i.e., separate and independent 

from) the motor, such as a fan. The motor 

must be provided with the additional 

ventilation to prevent it from overheating. 

Consequently, neither the TENV motor nor 

the TEAO motor would be suitable for most 

general purpose applications, and, DOE 

believes they are definite-purpose motors not 

covered by EPCA. 

Integral Gearmotors 

An ‘‘integral gearmotor’’ is an assembly of 

a motor and a specific gear drive or assembly 

of gears, such as a gear reducer, as a unified 

package. The motor portion of an integral 

gearmotor is not necessarily a complete 

motor, since the end bracket or mounting 

flange of the motor portion is also part of the 

gear assembly and cannot be operated when 

separated from the complete gear assembly. 

Typically, an integral gearmotor is not 

manufactured to standard T-frame 

dimensions specified in NEMA MG1. 

Moreover, neither the motor portion, not the 

entire integral gearmotor, are capable of being 

used in most general purpose applications 

without significant modifications. An 

integral gearmotor is also designed for a 

specific purpose and can have unique 

performance characteristics, physical 

dimensions, and casing, flange and shafting 

configurations. Consequently, integral 

gearmotors are outside the scope of the EPCA 

definition of ‘‘electric motor’’ and are not 

covered under EPCA.

However, an ‘‘electric motor,’’ as defined 

by EPCA, which is connected to a stand 

alone mechanical gear drive or an assembly 

of gears, such as a gear reducer connected by 

direct coupling, belts, bolts, a kit, or other 

means, is covered equipment under EPCA. 

IV. Electric Motors That Are Components in 

Certain Equipment 

The primary function of an electric motor 

is to convert electrical energy to mechanical 

energy which then directly drives machinery 

such as pumps, fans, or compressors. Thus, 

an electric motor is always connected to a 

driven machine or apparatus. Typically the 

motor is incorporated into a finished product 

such as an air conditioner, a refrigerator, a 

machine tool, food processing equipment, or 

other commercial or industrial machinery. 

These products are commonly known as 

‘‘original equipment’’ or ‘‘end-use 

equipment,’’ and are manufactured by firms 

known as ‘‘original equipment 

manufacturers’’ (OEMs). 

Many types of motors used in original 

equipment are covered under EPCA. As 

noted above, EPCA prescribes efficiency 

standards to be met by all covered electric 

motors manufactured after October 24, 1997, 

except that covered motors which require 

listing or certification by a nationally 

recognized safety testing laboratory need not 

meet the standards until after October 24, 

1999. Thus, for motors that must comply 

after October 24, 1997, once inventories of 

motors manufactured before the deadline 

have been exhausted, only complying motors 

would be available for purchase and use by 

OEMs in manufacturing original equipment. 

Any non-complying motors previously 

included in such equipment would no longer 

be available. 

The physical, and sometimes operational, 

characteristics of motors that meet EPCA 

efficiency standards normally differ from the 

characteristics of comparable existing motors 

that do not meet those standards. In part 

because of such differences, the Department 

is aware of two types of situations where 

strict application of the October 24, 1997, 

deadline could temporarily prevent the 

manufacture of, and remove from the 

marketplace, currently available original 

equipment. 

One such situation is where an original 

equipment manufacturer uses an electric 

motor as a component in end-use equipment 

that requires listing or certification by a 

nationally recognized safety testing 

laboratory, even though the motor itself does 

not require listing or certification. In some of 

these instances, the file for listing or 

certification specifies the particular motor to 

be used. No substitution could be made for 

the motor without review and approval of the 

new motor and the entire system by the 

safety testing laboratory. Consequently, a 

specified motor that does not meet EPCA 

standards could not be replaced by a 

complying motor without such review and 

approval. 

This re-listing or re-certification process is 

subject to substantial variation from one 

piece of original equipment to the next. For 

some equipment, it could be a simple 

paperwork transaction between the safety 

listing or certification organization and the 

OEM, taking approximately four to eight 

weeks to complete. But the process could 

raise more complex system issues involving 

redesign of the motor or piece of equipment, 

or both, and actual testing to assure that 

safety and performance criteria are met, and 

could take several months to complete. The 

completion time could also vary depending 

on the response time of the particular safety 

approval agency. Moreover, in the period 

immediately after October 24, the 

Department believes wholesale changes 

could occur in equipment lines when OEMs 

must begin using motors that comply with 

EPCA. These changes are likely to be 

concentrated in the period immediately after 

EPCA goes into effect on October 24, and if 

many OEMs seek to re-list or re-certify 

equipment at the same time, substantial 

delays in the review and approval process at 

the safety approval agencies could occur. For 

these reasons, the Department is concerned 

that certain end-user equipment that requires 

safety listing or certification could become 

unavailable in the marketplace, because an 

electric motor specifically identified in a 

listing or certification is covered by EPCA 

and will become unavailable, and the steps 

have not been completed to obtain safety 

approval of the equipment when 

manufactured with a complying motor. 

Second, a situation could exist where an 

electric motor covered by EPCA is 

constructed in a T-frame series or T-frame 

size that is smaller (but still standard) than 

that assigned by NEMA Standards 

Publication MG 13–1984 (R1990), sections 

1.2 and 1.3, in order to fit into a restricted 

mounting space that is within certain enduse equipment. (Motors in IEC metric frame 

sizes and kilowatt ratings could also be 

involved in this type of situation.) In such 

cases, the manufacturer of the end-use 

equipment might need to redesign the 

equipment containing the mounting space to 

accommodate a larger motor that complies 

with EPCA. These circumstances as well 

could result in certain currently available 

equipment becoming temporarily unavailable 

in the market, since the smaller size motor 

would become unavailable before the original 

equipment had been re-designed to 

accommodate the larger, complying motor.

The Department understands that many 

motor manufacturers and OEMs became 

aware only recently that the electric motors 

addressed in the preceding paragraphs were 

covered by EPCA. This is largely for the same 

reasons, discussed above, that EPCA coverage 

of Category II motors was only recently 

recognized. In addition, the Department 

understands that some motor manufacturers 

and original equipment manufacturers 

confused motors that themselves require 

safety listing or certification, which need not 

comply until October 25, 1999, with motors 

that, while not subject to such requirements, 

are included in original equipment that 

requires safety listing or certification. 

Consequently, motor manufacturers and 

original equipment manufacturers took 

insufficient action to assure that appropriate 

complying motors would be available for the 

original equipment involved, and that the 

equipment could accommodate such motors. 


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61936 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

OEMs involved in such situations may often 

be unable to switch to motors that meet 

EPCA standards in the period immediately 

following October 24. To mitigate any 

hardship to purchasers of the original 

equipment, the Department intends to refrain 

from enforcing EPCA in certain limited 

circumstances, under the conditions 

described below. 

Where a particular electric motor is 

specified in an approved safety listing or 

certification for a piece of original 

equipment, and the motor does not meet the 

applicable efficiency standard in EPCA, the 

Department’s policy will be as follows: For 

the period of time necessary for the OEM to 

obtain a revised safety listing or certification 

for that piece of equipment, with a motor 

specified that complies with EPCA, but in no 

event beyond October 24, 1999, the 

Department would refrain from taking 

enforcement action under EPCA with respect 

to manufacture of the motor for installation 

in such original equipment. This policy 

would apply only where the motor has been 

manufactured and specified in the approved 

safety listing or certification prior to October 

25, 1997. 

Where a particular electric motor is used 

in a piece of original equipment and 

manufactured in a smaller than assigned 

frame size or series, and the motor does not 

meet the applicable efficiency standard in 

EPCA, the Department’s policy will be as 

follows: For the period of time necessary for 

the OEM to re-design the piece of equipment 

to accommodate a motor that complies with 

EPCA, but in no event beyond October 24, 

1999, the Department would refrain from 

enforcing the standard with respect to 

manufacture of the motor for installation in 

such original equipment. This policy would 

apply only to a model of motor that has been 

manufactured and included in the original 

equipment prior to October 25, 1997. 

To allow the Department to monitor 

application of the policy set forth in the prior 

two paragraphs, the Department needs to be 

informed as to the motors being 

manufactured under the policy. Therefore, 

each motor manufacturer and OEM should 

jointly notify the Department as to each 

motor they will be manufacturing and using, 

respectively, after October 24, 1997, in the 

belief that it is covered by the policy. The 

notification should set forth: (1) The name of 

the motor manufacturer, and a description of 

the motor by type, model number, and date 

of design or production; (2) the name of the 

original equipment manufacturer, and a 

description of the application where the 

motor is to be used; (3) the safety listing or 

safety certification organization and the 

existing listing or certification file or 

document number for which re-listing or recertification will be requested, if applicable; 

(4) the reason and amount of time required 

for continued production of the motor, with 

a statement that a substitute electric motor 

that complies with EPCA could not be 

obtained by an earlier date; and (5) the name, 

address, and telephone number of the person 

to contact for further information. The joint 

request should be signed by a responsible 

official of each requesting company, and sent 

to: U.S. Department of Energy, Assistant 

Secretary for Energy Efficiency and 

Renewable Energy, Office of Building 

Research and Standards, EE–41, Forrestal 

Building, 1000 Independence Avenue, SW., 

Room 1J–018, Washington, DC 20585–0121. 

The Department does not intend to apply this 

policy to any motor for which it does not 

receive such a notification. Moreover, the 

Department may use the notification, and 

make further inquiries, to be sure motors 

listed in the notification meet the criteria for 

application of the policy. 

This part of the Policy Statement will not 

apply to a motor in Category II, discussed 

above in Section III. Because up to 24 months 

is contemplated for compliance by Category 

II motors, the Department believes any issues 

that might warrant a delay of enforcement for 

such motors can be addressed during that 

time period. 

V. Further Information 

The Department intends to incorporate this 

Policy Statement into an appendix to its final 

rule to implement the EPCA provisions that 

apply to motors. Any comments or 

suggestions with respect to this Policy 

Statement, as well as requests for further 

information, should be addressed to the 

Director, Building Technologies, EE–2J, U.S. 

Department of Energy, Forrestal Building, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121.

EXAMPLES OF MANY COMMON FEATURES OR MOTOR MODIFICATIONS TO ILLUSTRATE HOW THE EPCA DEFINITIONS AND

DOE GUIDELINES WOULD BE APPLIED TO MOTOR CATEGORIES: GENERAL PURPOSE; DEFINITE PURPOSE; AND SPECIAL PURPOSE

Motor modification 

Category1

Explanation 

I II III IV V 

A. Electrical Modifications

1 Altitude ............................................................. X .......... .......... .......... .......... General purpose up to a frame series change 

larger. 

2 Ambient ............................................................ X .......... .......... .......... .......... General purpose up to a frame series change 

larger. 

3 Multispeed ........................................................ .......... .......... .......... .......... X EPCA applies to single speed only. 

4 Special Leads ................................................... X .......... .......... .......... ..........

5 Special Insulation ............................................. X .......... .......... .......... ..........

6 Encapsulation ................................................... .......... .......... .......... X .......... Due to special construction. 

7 High Service Factor .......................................... X .......... .......... .......... .......... General purpose up to a frame series change 

larger. 

8 Space Heaters .................................................. X .......... .......... .......... ..........

9 Wye Delta Start ................................................ X .......... .......... .......... ..........

10 Part Winding Start .......................................... X .......... .......... .......... ..........

11 Temperature Rise ........................................... X .......... .......... .......... .......... General purpose up to a frame series change 

larger. 

12 Thermally Protected ....................................... .......... X .......... .......... .......... Requires retesting and third party agency approval. 

13 Thermostat/Thermistor ................................... X .......... .......... .......... ..........

14 Special Voltages ............................................. .......... .......... .......... .......... X EPCA applies to motors operating on 230/460 

voltages at 60 Hertz. 

15 Intermediate Horsepowers ............................. .......... X .......... .......... .......... Round horsepower according to 10 CFR 431.42 

for efficiency. 

16 Frequency ....................................................... .......... .......... .......... .......... X EPCA applies to motors operating on 230/460 

voltages at 60 Hertz. 

17 Fungus/Trop Insulation ................................... X .......... .......... .......... ..........

B. Mechanical Modifications


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Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61937

EXAMPLES OF MANY COMMON FEATURES OR MOTOR MODIFICATIONS TO ILLUSTRATE HOW THE EPCA DEFINITIONS AND

DOE GUIDELINES WOULD BE APPLIED TO MOTOR CATEGORIES: GENERAL PURPOSE; DEFINITE PURPOSE; AND SPECIAL PURPOSE—Continued

Motor modification 

Category1

Explanation 

I II III IV V 

18 Special Balance .............................................. X .......... .......... .......... ..........

19 Bearing Temp. Detector ................................. X .......... .......... .......... ..........

20 Special Base/Feet .......................................... .......... .......... .......... .......... X Does not meet definition of T-frame. 

21 Special Conduit Box ....................................... X .......... .......... .......... ..........

22 Auxiliary Conduit Box ..................................... X .......... .......... .......... ..........

23 Special Paint/Coating ..................................... X .......... .......... .......... ..........

24 Drains ............................................................. X .......... .......... .......... ..........

25 Drip Cover ...................................................... X .......... .......... .......... ..........

26 Ground. Lug/Hole ........................................... X .......... .......... .......... ..........

27 Screens on ODP Enclosure ........................... X .......... .......... .......... ..........

28 Mounting F1,F2; W1–4; C1,2 ......................... X .......... .......... .......... .......... Foot-mounting, rigid base, and resilient base. 

C. Bearings

29 Bearing Caps .................................................. X .......... .......... .......... ..........

30 Roller Bearings ............................................... .......... X .......... .......... .......... Test with a standard bearing. 

31 Shielded Bearings .......................................... X .......... .......... .......... ..........

32 Sealed Bearings ............................................. X .......... .......... .......... .......... Test with a standard bearing. 

33 Thrust Bearings .............................................. .......... .......... .......... X .......... Special mechanical construction. 

34 Clamped Bearings .......................................... X .......... .......... .......... ..........

35 Sleeve Bearings ............................................. .......... .......... .......... X .......... Special mechanical construction. 

D. Special Endshields

36 C Face ............................................................ X .......... .......... .......... .......... As defined in NEMA MG–1. 

37 D Flange ......................................................... X .......... .......... .......... .......... As defined in NEMA MG–1. 

38 Customer Defined .......................................... .......... .......... .......... X .......... Special design for a particular application. 

E. Seals

39 Contact Seals ................................................. X .......... .......... .......... .......... Includes lip seals and taconite seals—test with 

seals removed. 

40 Non-Contact Seal ........................................... X .......... .......... .......... .......... Includes labyrinth and slinger seals—test with 

seals installed. 

F. Shafts

41 Standard Shafts/NEMA Mg–1 ........................ X .......... .......... .......... .......... Includes single and double, cylindrical, tapered, 

and short shafts. 

42 Non Standard Material ................................... X .......... .......... .......... ..........

G. Fans

43 Special Material .............................................. X .......... .......... .......... ..........

44 Quiet Design ................................................... X .......... .......... .......... ..........

H. Other Motors

45 Washdown ...................................................... X .......... .......... .......... .......... Test with seals removed. 

46 Close-coupled pump ...................................... .......... .......... X .......... .......... JM and JP frame assignments.

47 Integral Gear Motor ........................................ .......... .......... .......... .......... X Typically special mechanical design, and not a Tframe; motor and gearbox inseparable and operate as one system. 

48 Vertical—Normal Thrust ................................. .......... .......... .......... .......... X EPCA covers foot-mounting. 

49 Saw Arbor ....................................................... .......... .......... .......... X .......... Special electrical/mechanical design. 

50 TENV .............................................................. .......... .......... X .......... .......... Totally-enclosed non-ventilated not equipped for 

cooling (IP54, IC410). 

51 TEAO .............................................................. .......... .......... X .......... .......... Totally-enclosed air-over requires airflow from external source (IP54, IC417). 

52 Fire Pump ....................................................... X .......... .......... .......... .......... When safety certification is not required. See 

also EPCA § 342(b)(1). 

53 Non-continuous .............................................. .......... .......... .......... .......... X EPCA covers continuous ratings. 

54 Integral Brake Motor ....................................... .......... .......... .......... X .......... Integral brake design factory built within the 

motor. 

1 Category I—General purpose electric motors as defined in EPCA. 

Category II—Definite purpose electric motors that can be used in most general purpose applications as defined in EPCA. 

Category III—Definite purpose motors as defined in EPCA. 

Category IV—Special purpose motors as defined in EPCA. 


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61938 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

Category V—Outside the scope of ‘‘electric motor’’ as defined in EPCA. 

Appendix B to Subpart B of Part 431—

Uniform Test Method for Measuring 

Nominal Full Load Efficiency of 

Electric Motors

1. Definitions.

Definitions contained in §§ 431.2 and 

431.12 are applicable to this appendix. 

2. Test Procedures.

Efficiency and losses shall be determined 

in accordance with NEMA MG1–1993 with 

Revisions 1 through 4, paragraph 12.58.1, 

‘‘Determination of Motor Efficiency and 

Losses,’’ (Incorporated by reference, see 

§ 431.15) and either: 

(1) CSA International (or Canadian 

Standards Association) Standard C390–93 

Test Method (1), (Incorporated by reference, 

see § 431.15), Input-Output Method With 

Indirect Measurement of the Stray-Load Loss 

and Direct Measurement of the Stator 

Winding (I2R), Rotor Winding (I2R), Core and 

Windage-Friction Losses, or 

(2) IEEE Standard 112–1996 Test Method 

B, Input-Output With Loss Segregation, 

(Incorporated by reference, see § 431.15) with 

IEEE correction notice of January 20, 1998, 

except as follows: 

(i) Page 8, subclause 5.1.1., Specified 

temperature, the introductory clause does not 

apply. Instead the following applies: 

The specified temperature used in making 

resistance corrections should be determined 

by one of the following (Test Method B only 

allows the use of preference (a) or (b).), 

which are listed in order of preference. 

(ii) Page 17, subclause 6.4.1.3., No-load 

test, the text does not apply. Instead, the 

following applies: 

See 5.3 including 5.3.3, the separation of 

core loss from friction and windage loss. 

Prior to making this test, the machine shall 

be operated at no-load until the input has 

stabilized. 

(iii) Page 40, subclause 8.6.3, Termination 

of test, the third sentence does not apply. 

Instead, the following applies: 

For continuous rated machines, the 

temperature test shall continue until there is 

1 °C or less change in temperature rise over 

a 30-minute time period. 

(iv) Page 47, at the top of 10.2 form B, 

immediately after the line that reads ‘‘Rated 

Load Heat Run Stator Winding Resistance 

Between Terminals,’’ the following 

additional line applies: 

Temperature for Resistance Correction (ts) 

= ¥°C (See 6.4.3.2). 

(v) Page 47, at the bottom of 10.2 Form B, 

after the first sentence to footnote tt, the 

following additional sentence applies: 

The values for ts and tt shall be based on 

the same method of temperature 

measurement, selected from the four methods 

in subclause 8.3. 

(vi) Page 47, at the bottom of 10.2 Form B, 

below the footnotes and above ‘‘Summary of 

Characteristics,’’ the following additional 

note applies: 

Note: The temperature for resistance 

correction (ts) is equal to [(4) ¥ (5) + 25 °C]. 

(vii) Page 48, item (22), the torque 

constants ‘‘k = 9.549 for torque, in N·m’’ and 

‘‘k = 7.043 for torque, in 1bf·ft’’ do not apply. 

Instead, the following applies: 

‘‘k2 = 9.549 for torque, in N·m’’ and ‘‘k2 = 

7.043 for torque, in 1bf·ft.’’

(viii) Page 48, at the end of item (27), the 

following additional reference applies: 

‘‘See 6.4.3.2.’’

(ix) Page 48, item (29). ‘‘See 4.3.2.2, Eq. 4,’’

does not apply. Instead the following applies: 

Is equal to (10)·[k1 + (4) ¥ (5) + 25 °C] / 

[k1 + (7)], see 6.4.3.3.’’

3. Amendments to test procedures.

Any revision to IEEE Standard 112–1996 

Test Method B with correction notice of 

January 20, 1998, to NEMA Standards 

Publication MG1–1993 with Revisions 1 

through 4, or to CSA Standard C390–93 Test 

Method (1), subsequent to promulgation of 

this appendix B, shall not be effective for 

purposes of test procedures required under 

Part 431 and this appendix B, unless and 

until Part 431 and this appendix B are 

amended.

Appendix C to Subpart B of Part 431—

Compliance Certification

Certification of Compliance With Energy 

Efficiency Standards for Electric Motors 

(Office of Management and Budget Control 

Number: 1910–5104. Expires 09/30/2007)

1. Name and Address of Company (the 

‘‘company’’):

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

2. Name(s) to be Marked on Electric Motors 

to Which this Compliance Certification 

Applies:

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

3. If manufacturer or private labeler wishes 

to receive a unique Compliance Certification 

number for use with any particular brand 

name, trademark, or other label name, fill out 

the following two items: 

A. List each brand name, trademark, or 

other label name for which the company 

requests a Compliance Certification number:

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

B. List other name(s), if any, under which 

the company sells electric motors (if not 

listed in item 2 above):

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Submit by Certified Mail to: U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, Building 

Technologies (EE–2J), Forrestal Building, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121.

This Compliance Certification reports on 

and certifies compliance with requirements 

contained in 10 CFR Part 431 (Energy 

Conservation Program for Certain 

Commercial and Industrial Equipment) and 

Part C of the Energy Policy and Conservation 

Act (Pub. L. 94–163), and amendments 

thereto. It is signed by a responsible official 

of the above named company. Attached and 

incorporated as part of this Compliance 

Certification is a Listing of Electric Motor 

Efficiencies. For each rating of electric 

motor* for which the Listing specifies the 

nominal full load efficiency of a basic model, 

the company distributes no less efficient 

basic model with that rating and all basic 

models with that rating comply with the 

applicable energy efficiency standard.

*For this purpose, the term ‘‘rating’’ means 

one of the 113 combinations of an electric 

motor’s horsepower (or standard kilowatt 

equivalent), number of poles, and open or 

enclosed construction, with respect to which 

§ 431.25 of 10 CFR Part 431 prescribes 

nominal full load efficiency standards.

Person to Contact for Further Information:

Name: lllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

If any part of this Compliance Certification, 

including the Attachment, was prepared by 

a third party organization under the 

provisions of 10 CFR 431.36, the company 

official authorizing third party 

representations: 

Name: lllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Third Party Organization Officially Acting as 

Representative:

Third Party Organization: llllllll

Responsible Person at that Organization: ll

Address: llllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: _ lllllllllll

All required determinations on which this 

Compliance Certification is based were made 

in conformance with the applicable 

requirements in 10 CFR Part 431, subpart B. 

All information reported in this Compliance 

Certification is true, accurate, and complete. 

The company is aware of the penalties 

associated with violations of the Act and the 

regulations thereunder, and is also aware of 

the provisions contained in 18 U.S.C. 1001, 

which prohibits knowingly making false 

statements to the Federal Government.

Signature: llllllllllllllll

Date: llllllllllllllllll

Name: lllllllllllllllll

Title: llllllllllllllllll


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Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61939

Firm or Organization: llllllllll Attachment to Certification of Compliance 

With Energy Efficiency Standards for 

Electric Motors: Listing of Electric Motor 

Efficiencies 

Date: llllllllllllllllll

Name of Company: lllllllllll

lllllllllllllllllllll

Rating of electric motor Least efficient 

basic model—

(model numbers(s)) 

Nominal full 

load efficiency Motor horsepower / kilowatts Number of poles Open or enclosed motor 

1 or .75 .......................................................... 6 ....................... Open ............................................................. llllll llllll

1 or .75 .......................................................... 4 ....................... Open ............................................................. llllll llllll

1 or .75 .......................................................... 6 ....................... Enclosed ....................................................... llllll llllll

1 or .75 .......................................................... 4 ....................... Enclosed ....................................................... llllll llllll

1 or .75 .......................................................... 2 ....................... Enclosed ....................................................... llllll llllll

1.5 or 1.1 ....................................................... 6 ....................... Open ............................................................. llllll llllll

1.5 or 1.1 ....................................................... 4 ....................... Open ............................................................. llllll llllll

1.5 or 1.1 ....................................................... 2 ....................... Open ............................................................. llllll llllll

1.5 or 1.1 ....................................................... 6 ....................... Enclosed ....................................................... llllll llllll

1.5 or 1.1 ....................................................... 4 ....................... Enclosed ....................................................... llllll llllll

1.5 or 1.1 ....................................................... 2 ....................... Enclosed ....................................................... llllll llllll

................................................................... ...................... .................................................................. llllll llllll

Etc. ................................................................ Etc. ................... Etc. ................................................................ llllll llllll

Note: Place an asterisk beside each reported nominal full load efficiency that is determined by actual testing rather than by application of an 

alternative efficiency determination method. Also list below additional basic models that were subjected to actual testing. 

Basic Model means all units of a given type of electric motor (or class thereof) manufactured by a single manufacturer, and which (i) have the 

same rating, (ii) have electrical design characteristics that are essentially identical, and (iii) do not have any differing physical or functional characteristics that affect energy consumption or efficiency. 

Rating means one of the 113 combinations of an electric motor’s horsepower (or standard kilowatt equivalent), number of poles, and open or 

enclosed construction, with respect to which § 431.25 of 10 CFR Part 431 prescribes nominal full load efficiency standards. 

MODELS ACTUALLY TESTED AND NOT PREVIOUSLY IDENTIFIED

Rating of electric motor 

Basic model(s) (model number(s)) Nominal full load 

Motor power output (e.g. 1 hp or efficiency 

.75 kW) Number of poles Open or enclosed motor 

llllll lll llllll llllll lll

llllll lll llllll llllll lll

llllll lll llllll llllll lll

llllll lll llllll llllll lll

llllll lll llllll llllll lll

Etc. Etc. Etc. Etc. Etc. 

Subpart C—[Removed and Reserved]

■ 5. Subpart C is removed and reserved.

■ 6. Subpart D is revised to read as 

follows:

Subpart D—Commercial Warm Air Furnaces 

Sec. 

431.71 Purpose and scope. 

431.72 Definitions concerning commercial 

warm air furnaces. 

Test Procedures 

431.75 Materials incorporated by reference. 

431.76 Uniform test method for the 

measurement of energy efficiency of 

commercial warm air furnaces. 

Energy Conservation Standards 

431.77 Energy conservation standards and 

their effective dates.

Subpart D—Commercial Warm Air 

Furnaces

§ 431.71 Purpose and scope. 

This subpart contains energy 

conservation requirements for 

commercial warm air furnaces, pursuant 

to Part C of Title III of the Energy Policy 

and Conservation Act, as amended, 42 

U.S.C. 6311–6316.

§ 431.72 Definitions concerning 

commercial warm air furnaces. 

The following definitions apply for 

purposes of this subpart D, and of 

subparts J through M of this part. Any 

words or terms not defined in this 

Section or elsewhere in this Part shall 

be defined as provided in Section 340 

of the Act. 

Commercial warm air furnace means 

a warm air furnace that is industrial 

equipment, and that has a capacity 

(rated maximum input) of 225,000 Btu 

per hour or more. 

Thermal efficiency for a commercial 

warm air furnace equals 100 percent 

minus percent flue loss determined 

using test procedures prescribed under 

§ 431.76. 

Warm air furnace means a selfcontained oil-fired or gas-fired furnace 

designed to supply heated air through 

ducts to spaces that require it and 

includes combination warm air furnace/

electric air conditioning units but does 

not include unit heaters and duct 

furnaces. 

Test Procedures

§ 431.75 Materials incorporated by 

reference. 

(a) We incorporate by reference the 

following test procedures into subpart D 

of Part 431. The Director of the Federal 

Register has approved the material 

listed in paragraph (b) of this section for 

incorporation by reference in 

accordance with 5 U.S.C. 552(a) and 1 

CFR 51. Any subsequent amendment to 

this material by the standard-setting 

organization will not affect the DOE test 

procedures unless and until DOE 

amends its test procedures. We 

incorporate the material as it exists on 

the date of the approval and a notice of 


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any change in the material will be 

published in the Federal Register. 

(b) List of test procedures 

incorporated by reference. (1) American 

National Standards Institute (ANSI) 

Standard Z21.47–1998, ‘‘Gas-Fired 

Central Furnaces,’’ IBR approved for 

§ 431.76. 

(2) Underwriters Laboratories (UL) 

Standard 727–1994, ‘‘Standard for 

Safety Oil-Fired Central Furnaces,’’ IBR 

approved for § 431.76.

(3) Sections 8.2.2, 11.1.4, 11.1.5, and 

11.1.6.2 of the Hydronics Institute (HI) 

Division of GAMA Boiler Testing 

Standard BTS–2000, ‘‘Method to 

Determine Efficiency of Commercial 

Space Heating Boilers,’’ published 

January 2001 (HI BTS–2000), IBR 

approved for § 431.76. 

(4) Sections 7.2.2.4, 7.8, 9.2, and 

11.3.7 of the American Society of 

Heating, Refrigerating and AirConditioning Engineers, Inc. (ASHRAE) 

Standard 103–1993, ‘‘Method of Testing 

for Annual Fuel Utilization Efficiency of 

Residential Central Furnaces and 

Boilers,’’ IBR approved for § 431.76. 

(c) Availability of references. (1) 

Inspection of test procedures. The test 

procedures incorporated by reference 

are available for inspection at: 

(i) National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call (202) 741–6030, 

or go to: http://www.archives.gov/

federal_register/

code_of_federal_regulations/

ibr_locations.html.

(ii) U.S. Department of Energy, Office 

of Energy Efficiency and Renewable 

Energy, Hearings and Dockets, ‘‘Test 

Procedures and Efficiency Standards for 

Commercial Warm Air Furnaces; 

Efficiency Certification, Compliance, 

and Enforcement Requirements for 

Commercial Heating, Air Conditioning 

and Water Heating Equipment;’’ Docket 

No. EE–RM/TP–99–450, Forrestal 

Building, 1000 Independence Avenue, 

SW., Washington, DC 20585. 

(2) Obtaining copies of Standards.

Anyone can purchase a copy of 

standards incorporated by reference 

from the following sources: 

(i) The ASHRAE Standard from the 

American Society of Heating, 

Refrigerating, and Air-Conditioning 

Engineers, Inc., 1971 Tullie Circle, NE., 

Atlanta, GA 30329, or http://

www.ashrae.org/book/bookshop.htm.

(ii) The ANSI Standard from Global 

Engineering Documents, 15 Inverness 

Way East, Englewood, CO 80112, or 

http://global.ihs.com/, or http://

webstore.ansi.org/ansidocstore/.

(iii) The UL Standard from Global 

Engineering Documents, 15 Inverness 

Way East, Englewood, CO 80112, or 

http://global.ihs.com/.

(iv) The HI Standard from the 

Hydronics Institute Division of GAMA, 

P.O. Box 218, Berkeley Heights, NJ 

07922, or http://www.gamanet.org/

publist/hydroordr.htm.

§ 431.76 Uniform test method for the 

measurement of energy efficiency of 

commercial warm air furnaces. 

(a) This Section covers the test 

procedures you must follow if, pursuant 

to EPCA, you are measuring the steady 

state thermal efficiency of a gas-fired or 

oil-fired commercial warm air furnace 

with a rated maximum input of 225,000 

Btu per hour or more. Where this 

Section prescribes use of ANSI standard 

Z21.47–1998 or UL standard 727–1994, 

(Incorporated by reference, see 

§ 431.75), perform only the procedures 

pertinent to the measurement of the 

steady-state efficiency. 

(b) Test setup. (1) Test setup for gasfired commercial warm air furnaces.

The test setup, including flue 

requirement, instrumentation, test 

conditions, and measurements for 

determining thermal efficiency is as 

specified in sections 1.1 (Scope), 2.1 

(General), 2.2 (Basic Test 

Arrangements), 2.3 (Test Ducts and 

Plenums), 2.4 (Test Gases), 2.5 (Test 

Pressures and Burner Adjustments), 2.6 

(Static Pressure and Air Flow 

Adjustments), 2.38 (Thermal Efficiency), 

and 4.2.1 (Basic Test Arrangements for 

Direct Vent Control Furnaces) of the 

ANSI Standard Z21.47–1998. The 

thermal efficiency test must be 

conducted only at the normal inlet test 

pressure, as specified in Section 2.5.1 of 

ANSI Standard Z21.47–1998, 

(Incorporated by reference, see 

§ 431.75), and at the maximum hourly 

Btu input rating specified by the 

manufacturer for the product being 

tested. 

(2) Test setup for oil-fired commercial 

warm air furnaces. The test setup, 

including flue requirement, 

instrumentation, test condition, and 

measurement for measuring thermal 

efficiency is as specified in sections 1 

(Scope), 2 (Units of Measurement), 3 

(Glossary), 37 (General), 38 and 39 (Test 

Installation), 40 (Instrumentation, 

except 40.4 and 40.6.2 through 40.6.7, 

which are not required for the thermal 

efficiency test), 41 (Initial Test 

Conditions), 42 (Combustion Test—

Burner and Furnace), 43.2 (Operation 

Tests), 44 (Limit Control Cutout Test), 

45 (Continuity of Operation Test), and 

46 (Air Flow, Downflow or Horizontal 

Furnace Test), of the UL Standard 727–

1994. You must conduct a fuel oil 

analysis for heating value, hydrogen 

content, carbon content, pounds per 

gallon, and American Petroleum 

Institute (API) gravity as specified in 

Section 8.2.2 of the HI BTS–2000 

(Incorporated by reference, see 

§ 431.75). The steady-state combustion 

conditions, specified in Section 42.1 of 

UL Standard 727–1994, (Incorporated 

by reference, see § 431.75), are attained 

when variations of not more than 5°F in 

the measured flue gas temperature occur 

for three consecutive readings taken 15 

minutes apart. 

(c) Additional test measurements. (1) 

Measurement of flue CO2 (carbon 

dioxide) for oil-fired commercial warm 

air furnaces. In addition to the flue 

temperature measurement specified in 

Section 40.6.8 of UL Standard 727–

1994, (Incorporated by reference, see 

§ 431.75) you must locate one or two 

sampling tubes within six inches 

downstream from the flue temperature 

probe (as indicated on Figure 40.3 of UL 

Standard 727–1994) (Incorporated by 

reference, see § 431.75). If you use an 

open end tube, it must project into the 

flue one-third of the chimney connector 

diameter. If you use other methods of 

sampling CO2, you must place the 

sampling tube so as to obtain an average 

sample. There must be no air leak 

between the temperature probe and the 

sampling tube location. You must 

collect the flue gas sample at the same 

time the flue gas temperature is 

recorded. The CO2 concentration of the 

flue gas must be as specified by the 

manufacturer for the product being 

tested, with a tolerance of ±0.1 percent. 

You must determine the flue CO2 using 

an instrument with a reading error no 

greater than ±0.1 percent.

(2) Procedure for the measurement of 

condensate for a gas-fired condensing 

commercial warm air furnace. The test 

procedure for the measurement of the 

condensate from the flue gas under 

steady state operation must be 

conducted as specified in sections 

7.2.2.4, 7.8 and 9.2 of the ASHRAE 

Standard 103–1993 (Incorporated by 

reference, see § 431.75) under the 

maximum rated input conditions. You 

must conduct this condensate 

measurement for an additional 30 

minutes of steady state operation after 

completion of the steady state thermal 

efficiency test specified in paragraph (b) 

of this section. 

(d) Calculations of thermal efficiency.

(1) Gas-fired commercial warm air 

furnaces. You must use the calculation 

procedure specified in Section 2.38, 

Thermal Efficiency, of ANSI Standard 

Z21.47–1998 (Incorporated by reference, 

see § 431.75). 

(2) Oil-fired commercial warm air 

furnaces. You must calculate the 


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percent flue loss (in percent of heat 

input rate) by following the procedure 

specified in sections 11.1.4, 11.1.5, and 

11.1.6.2 of the HI BTS–2000 

(Incorporated by reference, see 

§ 431.75). The thermal efficiency must 

be calculated as:

Thermal Efficiency (percent) = 100 

percent ¥ flue loss (in percent).

(e) Procedure for the calculation of 

the additional heat gain and heat loss, 

and adjustment to the thermal 

efficiency, for a condensing commercial 

warm air furnace.

(1) You must calculate the latent heat 

gain from the condensation of the water 

vapor in the flue gas, and calculate heat 

loss due to the flue condensate down 

the drain, as specified in sections 

11.3.7.1 and 11.3.7.2 of ASHRAE 

Standard 103–1993, (Incorporated by 

reference, see § 431.75), with the 

exception that in the equation for the 

heat loss due to hot condensate flowing 

down the drain in Section 11.3.7.2, the 

assumed indoor temperature of 70° F 

and the temperature term TOA must be 

replaced by the measured room 

temperature as specified in Section 2.2.8 

of ANSI Standard Z21.47–1998 

(Incorporated by reference, see 

§ 431.75). 

(2) Adjustment to the Thermal 

Efficiency for Condensing Furnace. You 

must adjust the thermal efficiency as 

calculated in paragraph (d)(1) of this 

section by adding the latent gain, 

expressed in percent, from the 

condensation of the water vapor in the 

flue gas, and subtracting the heat loss 

(due to the flue condensate down the 

drain), also expressed in percent, both 

as calculated in paragraph (e)(1) of this 

section, to obtain the thermal efficiency 

of a condensing furnace. 

Energy Conservation Standards

§ 431.77 Energy conservation standards 

and their effective dates. 

Each commercial warm air furnace 

manufactured on or after January 1, 

1994, must meet the following energy 

efficiency standard levels: 

(a) For a gas-fired commercial warm 

air furnace with capacity of 225,000 Btu 

per hour or more, the thermal efficiency 

at the maximum rated capacity (rated 

maximum input) must be not less than 

80 percent. 

(b) For an oil-fired commercial warm 

air furnace with capacity of 225,000 Btu 

per hour or more, the thermal efficiency 

at the maximum rated capacity (rated 

maximum input) must be not less than 

81 percent.

■ 7. Subpart E heading is revised to read 

as follows:

Subpart E—Commercial Packaged 

Boilers [Reserved]

§§ 431.81 through 431.83 [Removed]

■ 8. Sections 431.81 through 431.83 are 

removed.

■ 9. Subpart G heading is revised to read 

as follows:

Subpart G—Commercial Water 

Heaters, Hot Water Supply Boilers and 

Unfired Hot Water Storage Tanks 

[Reserved]

§§ 431.121 through 431.132 and Appendices 

A and B to Subpart G [Removed]

■ 10. Sections 431.121 through 431.132 

and appendices A and B to subpart G are 

removed.

Subparts H and I [Added and Reserved]

■ 11. Subparts H and I are added and 

reserved.

■ 12. Subparts J through M are added to 

read as follows:

Subpart J—Provisions for Commercial 

HVAC & Water Heating Products 

Sec. 

431.171 Purpose and scope. [Reserved] 

431.172 Definitions.

Subpart K—Enforcement 

Sec. 

431.190 Purpose and scope. 

431.191 Prohibited acts. 

431.192 Enforcement process for electric 

motors. 

431.193 [Reserved] 

431.194 Cessation of distribution of a basic 

model of an electric motor. 

431.195 Remedies. 

431.196 Hearings and appeals.

Appendix A to Subpart K of Part 431—

Sampling Plan for Enforcement Testing 

of Electric Motors

Subpart L—General Provisions 

Sec. 

431.201 Petitions for waiver, and 

applications for interim waiver, of test 

procedure. 

431.202 Preemption of State regulations for 

commercial HVAC & WH products.

431.203 Maintenance of records. 

431.204 Imported equipment. 

431.205 Exported equipment. 

431.206 Subpoena. 

431.207 Confidentiality.

Subpart M—Petitions To Exempt State 

Regulation From Preemption; Petitions To 

Withdraw Exemption of State Regulation 

Sec. 

431.211 Purpose and scope. 

431.212 Prescriptions of a rule. 

431.213 Filing requirements. 

431.214 Notice of petition. 

431.215 Consolidation. 

431.216 Hearing. 

431.217 Disposition of petitions. 

431.218 Effective dates of final rules. 

431.219 Request for reconsideration. 

431.220 Finality of decision.

Subpart J—Provisions for Commercial 

HVAC & Water Heating Products

§ 431.171 Purpose and scope. [Reserved]

§ 431.172 Definitions. 

The following definitions apply for 

purposes of subparts D through G and 

J through M of this part. Other terms in 

these subparts shall be as defined 

elsewhere in this Part and, if not 

defined in this part, shall have the 

meaning set forth in Section 340 of the 

Act. 

Basic model means, with respect to a 

commercial HVAC & WH product, all 

units of such product, manufactured by 

one manufacturer, which have the same 

primary energy source and which do not 

have any differing electrical, physical, 

or functional characteristics that affect 

energy consumption. 

Commercial HVAC & WH product

means any small or large commercial 

package air-conditioning and heating 

equipment, packaged terminal air 

conditioner, packaged terminal heat 

pump, commercial packaged boiler, hot 

water supply boiler, commercial warm 

air furnace, instantaneous water heater, 

storage water heater, or unfired hot 

water storage tank. 

Flue loss means the sum of the 

sensible heat and latent heat above room 

temperature of the flue gases leaving the 

appliance. 

Industrial equipment means an article 

of equipment, regardless of whether it is 

in fact distributed in commerce for 

industrial or commercial use, of a type 

which: 

(1) In operation consumes, or is 

designed to consume energy; 

(2) To any significant extent, is 

distributed in commerce for industrial 

or commercial use; and 

(3) Is not a ‘‘covered product’’ as 

defined in Section 321(2) of EPCA, 42 

U.S.C. 6291(2), other than a component 

of a covered product with respect to 

which there is in effect a determination 

under Section 341(c) of EPCA, 42 U.S.C. 

6312(c). 

Private labeler means, with respect to 

a commercial HVAC & WH product, an 

owner of a brand or trade mark on the 

label of a product which bears a private 

label. A commercial HVAC & WH 

product bears a private label if : 

(1) Such product (or its container) is 

labeled with the brand or trademark of 

a person other than a manufacturer of 

such product; 

(2) The person with whose brand or 

trademark such product (or container) is 

labeled has authorized or caused such 

product to be so labeled; and 

(3) The brand or trademark of a 

manufacturer of such product does not 

appear on such label.


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Subpart K—Enforcement

§ 431.190 Purpose and scope. 

This subpart describes violations of 

EPCA’s energy conservation 

requirements, specific procedures we 

will follow in pursuing alleged noncompliance of an electric motor with an 

applicable energy conservation standard 

or labeling requirement, and general 

procedures for enforcement action, 

largely drawn directly from EPCA, that 

apply to both electric motors and 

commercial HVAC & WH products.

§ 431.191 Prohibited acts. 

(a) Each of the following is a 

prohibited act under sections 332 and 

345 of the Act: 

(1) Distribution in commerce by a 

manufacturer or private labeler of any 

‘‘new covered equipment’’ which is not 

labeled in accordance with an 

applicable labeling rule prescribed in 

accordance with Section 344 of the Act, 

and in this part;

(2) Removal from any ‘‘new covered 

equipment’’ or rendering illegible, by a 

manufacturer, distributor, retailer, or 

private labeler, of any label required 

under this Part to be provided with such 

covered equipment; 

(3) Failure to permit access to, or 

copying of records required to be 

supplied under the Act and this part, or 

failure to make reports or provide other 

information required to be supplied 

under the Act and this part; 

(4) Advertisement of an electric motor 

or motors, by a manufacturer, 

distributor, retailer, or private labeler, in 

a catalog from which the equipment 

may be purchased, without including in 

the catalog all information as required 

by § 431.31(b)(1), provided, however, 

that this shall not apply to an 

advertisement of an electric motor in a 

catalog if distribution of the catalog 

began before the effective date of the 

labeling rule applicable to that motor; 

(5) Failure of a manufacturer to 

supply at his expense a reasonable 

number of units of covered equipment 

to a test laboratory designated by the 

Secretary; 

(6) Failure of a manufacturer to permit 

a representative designated by the 

Secretary to observe any testing required 

by the Act and this part, and to inspect 

the results of such testing; and 

(7) Distribution in commerce by a 

manufacturer or private labeler of any 

new covered equipment which is not in 

compliance with an applicable energy 

efficiency standard prescribed under the 

Act and this part. 

(b) In accordance with sections 333 

and 345 of the Act, any person who 

knowingly violates any provision of 

paragraph (a) of this section may be 

subject to assessment of a civil penalty 

of no more than $110 for each violation. 

Each violation of paragraphs (a)(1), (2), 

and (7) of this section shall constitute a 

separate violation with respect to each 

unit of any covered equipment, and 

each day of noncompliance with 

paragraphs (a)(3) through (6) of this 

section shall constitute a separate 

violation. 

(c) For purposes of this section: 

(1) The term ‘‘new covered 

equipment’’ means covered equipment 

the title of which has not passed to a 

purchaser who buys such product for 

purposes other than: 

(i) Reselling it; or 

(ii) Leasing it for a period in excess of 

one year; and 

(2) The term ‘‘knowingly’’ means: 

(i) Having actual knowledge; or 

(ii) Presumed to have knowledge 

deemed to be possessed by a reasonable 

person who acts in the circumstances, 

including knowledge obtainable upon 

the exercise of due care.

§ 431.192 Enforcement process for electric 

motors. 

(a) Test notice. Upon receiving 

information in writing, concerning the 

energy performance of a particular 

electric motor sold by a particular 

manufacturer or private labeler, which 

indicates that the electric motor may not 

be in compliance with the applicable 

energy efficiency standard, or upon 

undertaking to ascertain the accuracy of 

the efficiency rating on the nameplate or 

in marketing materials for an electric 

motor, disclosed pursuant to subpart B 

of this part, the Secretary may conduct 

testing of that electric motor under this 

subpart by means of a test notice 

addressed to the manufacturer in 

accordance with the following 

requirements: 

(1) The test notice procedure will only 

be followed after the Secretary or his/

her designated representative has 

examined the underlying test data (or, 

where appropriate, data as to use of an 

alternative efficiency determination 

method) provided by the manufacturer 

and after the manufacturer has been 

offered the opportunity to meet with the 

Department to verify, as applicable, 

compliance with the applicable 

efficiency standard, or the accuracy of 

labeling information, or both. In 

addition, where compliance of a basic 

model was certified based on an AEDM, 

the Department shall have the discretion 

to pursue the provisions of 

§ 431.17(a)(4)(iii) prior to invoking the 

test notice procedure. A representative 

designated by the Secretary shall be 

permitted to observe any re-verification 

procedures undertaken pursuant to this 

subpart, and to inspect the results of 

such reverification.

(2) The test notice will be signed by 

the Secretary or his/her designee. The 

test notice will be mailed or delivered 

by the Department to the plant manager 

or other responsible official, as 

designated by the manufacturer. 

(3) The test notice will specify the 

model or basic model to be selected for 

testing, the method of selecting the test 

sample, the date and time at which 

testing shall be initiated, the date by 

which testing is scheduled to be 

completed and the facility at which 

testing will be conducted. The test 

notice may also provide for situations in 

which the specified basic model is 

unavailable for testing, and may include 

alternative basic models. 

(4) The Secretary may require in the 

test notice that the manufacturer of an 

electric motor shall ship at his expense 

a reasonable number of units of a basic 

model specified in such test notice to a 

testing laboratory designated by the 

Secretary. The number of units of a 

basic model specified in a test notice 

shall not exceed 20. 

(5) Within five working days of the 

time the units are selected, the 

manufacturer shall ship the specified 

test units of a basic model to the testing 

laboratory. 

(b) Testing laboratory. Whenever the 

Department conducts enforcement 

testing at a designated laboratory in 

accordance with a test notice under this 

section, the resulting test data shall 

constitute official test data for that basic 

model. Such test data will be used by 

the Department to make a determination 

of compliance or noncompliance if a 

sufficient number of tests have been 

conducted to satisfy the requirements of 

appendix A of this subpart. 

(c) Sampling. The determination that 

a manufacturer’s basic model complies 

with its labeled efficiency, or the 

applicable energy efficiency standard, 

shall be based on the testing conducted 

in accordance with the statistical 

sampling procedures set forth in 

appendix A of this subpart and the test 

procedures set forth in appendix B to 

subpart B of this part. 

(d) Test unit selection. A Department 

inspector shall select a batch, a batch 

sample, and test units from the batch 

sample in accordance with the 

provisions of this paragraph and the 

conditions specified in the test notice. 

(1) The batch may be subdivided by 

the Department utilizing criteria 

specified in the test notice. 

(2) A batch sample of up to 20 units 

will then be randomly selected from one 

or more subdivided groups within the 


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batch. The manufacturer shall keep on 

hand all units in the batch sample until 

such time as the basic model is 

determined to be in compliance or noncompliance. 

(3) Individual test units comprising 

the test sample shall be randomly 

selected from the batch sample. 

(4) All random selection shall be 

achieved by sequentially numbering all 

of the units in a batch sample and then 

using a table of random numbers to 

select the units to be tested. 

(e) Test unit preparation. (1) Prior to 

and during the testing, a test unit 

selected in accordance with paragraph 

(d) of this section shall not be prepared, 

modified, or adjusted in any manner 

unless such preparation, modification, 

or adjustment is allowed by the 

applicable Department of Energy test 

procedure. One test shall be conducted 

for each test unit in accordance with the 

applicable test procedures prescribed in 

appendix B to subpart B of this part. 

(2) No quality control, testing, or 

assembly procedures shall be performed 

on a test unit, or any parts and subassemblies thereof, that is not performed 

during the production and assembly of 

all other units included in the basic 

model. 

(3) A test unit shall be considered 

defective if such unit is inoperative or 

is found to be in noncompliance due to 

failure of the unit to operate according 

to the manufacturer’s design and 

operating instructions. Defective units, 

including those damaged due to 

shipping or handling, shall be reported 

immediately to the Department. The 

Department shall authorize testing of an 

additional unit on a case-by-case basis. 

(f) Testing at manufacturer’s option.

(1) If a manufacturer’s basic model is 

determined to be in noncompliance 

with the applicable energy performance 

standard at the conclusion of 

Department testing in accordance with 

the sampling plan specified in appendix 

A of this subpart, the manufacturer may 

request that the Department conduct 

additional testing of the basic model 

according to procedures set forth in 

appendix A of this subpart. 

(2) All units tested under this 

paragraph shall be selected and tested in 

accordance with the provisions given in 

paragraphs (a) through (e) of this 

section. 

(3) The manufacturer shall bear the 

cost of all testing conducted under this 

paragraph. 

(4) The manufacturer shall cease 

distribution of the basic model tested 

under the provisions of this paragraph 

from the time the manufacturer elects to 

exercise the option provided in this 

paragraph until the basic model is 

determined to be in compliance. The 

Department may seek civil penalties for 

all units distributed during such period. 

(5) If the additional testing results in 

a determination of compliance, a notice 

of allowance to resume distribution 

shall be issued by the Department.

§ 431.193 [Reserved]

§ 431.194 Cessation of distribution of a 

basic model of an electric motor. 

(a) In the event that a model of an 

electric motor is determined noncompliant by the Department in 

accordance with § 431.192 or if a 

manufacturer or private labeler 

determines a model of an electric motor 

to be in noncompliance, then the 

manufacturer or private labeler shall: 

(1) Immediately cease distribution in 

commerce of the basic model. 

(2) Give immediate written 

notification of the determination of 

noncompliance, to all persons to whom 

the manufacturer has distributed units 

of the basic model manufactured since 

the date of the last determination of 

compliance. 

(3) Pursuant to a request made by the 

Secretary, provide the Department 

within 30 days of the request, records, 

reports, and other documentation 

pertaining to the acquisition, ordering, 

storage, shipment, or sale of a basic 

model determined to be in 

noncompliance. 

(4) The manufacturer may modify the 

non-compliant basic model in such 

manner as to make it comply with the 

applicable performance standard. Such 

modified basic model shall then be 

treated as a new basic model and must 

be certified in accordance with the 

provisions of this subpart; except that in 

addition to satisfying all requirements of 

this subpart, the manufacturer shall also 

maintain records that demonstrate that 

modifications have been made to all 

units of the new basic model prior to 

distribution in commerce. 

(b) If a basic model is not properly 

certified in accordance with the 

requirements of this subpart, the 

Secretary may seek, among other 

remedies, injunctive action to prohibit 

distribution in commerce of such basic 

model.

§ 431.195 Remedies. 

If the Secretary determines that a 

basic model of any covered equipment 

does not comply with an applicable 

energy conservation standard: 

(a) The Secretary will notify the 

manufacturer, private labeler, or any 

other person as required, of this finding 

and of the Secretary’s intent to seek a 

judicial order restraining further 

distribution in commerce of units of 

such a basic model unless the 

manufacturer, private labeler or other 

person as required, delivers, within 15 

calendar days, a satisfactory statement 

to the Secretary, of the steps the 

manufacturer, private labeler or other 

person will take to insure that the 

noncompliant basic model will no 

longer be distributed in commerce. The 

Secretary will monitor the 

implementation of such statement. 

(b) If the manufacturer, private labeler 

or any other person as required, fails to 

stop distribution of the noncompliant 

basic model, the Secretary may seek to 

restrain such violation in accordance 

with sections 334 and 345 of the Act.

(c) The Secretary will determine 

whether the facts of the case warrant the 

assessment of civil penalties for 

knowing violations in accordance with 

sections 333 and 345 of the Act.

§ 431.196 Hearings and appeals. 

(a) Under sections 333(d) and 345 of 

the Act, before issuing an order 

assessing a civil penalty against any 

person, the Secretary must provide to 

such a person a notice of the proposed 

penalty. Such notice must inform the 

person that such person can choose (in 

writing within 30 days after receipt of 

the notice) to have the procedures of 

paragraph (c) of this section (in lieu of 

those in paragraph (b) of this section) 

apply with respect to such assessment. 

(b)(1) Unless a person elects, within 

30 calendar days after receipt of a notice 

under paragraph (a) of this section, to 

have paragraph (c) of this section apply 

with respect to the civil penalty under 

paragraph (a), the Secretary will assess 

the penalty, by order, after providing an 

opportunity for an agency hearing under 

5 U.S.C. 554, before an administrative 

law judge appointed under 5 U.S.C. 

3105, and making a determination of 

violation on the record. Such 

assessment order will include the 

administrative law judge’s findings and 

the basis for such assessment. 

(2) Any person against whom the 

Secretary assesses a penalty under this 

paragraph may, within 60 calendar days 

after the date of the order assessing such 

penalty, initiate action in the United 

States Court of Appeals for the 

appropriate judicial circuit for judicial 

review of such order in accordance with 

5 U.S.C. chapter 7. The court will have 

jurisdiction to enter a judgment 

affirming, modifying, or setting aside in 

whole or in part, the order of the 

Secretary, or the court may remand the 

proceeding to the Secretary for such 

further action as the court may direct. 

(c)(1) In the case of any civil penalty 

with respect to which the procedures of 

this paragraph have been elected, the 


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61944 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

Secretary will promptly assess such 

penalty, by order, after the date of the 

receipt of the notice under paragraph (a) 

of this section of the proposed penalty. 

(2) If the person has not paid the civil 

penalty within 60 calendar days after 

the assessment has been made under 

paragraph (c)(1) of this section, the 

Secretary will institute an action in the 

appropriate District Court of the United 

States for an order affirming the 

assessment of the civil penalty. The 

court will have authority to review de 

novo the law and the facts involved and 

jurisdiction to enter a judgment 

enforcing, modifying, and enforcing as 

so modified, or setting aside in whole or 

in part, such assessment. 

(3) Any election to have this 

paragraph apply can only be revoked 

with the consent of the Secretary. 

(d) If any person fails to pay an 

assessment of a civil penalty after it has 

become a final and unappealable order 

under paragraph (b) of this section, or 

after the appropriate District Court has 

entered final judgment in favor of the 

Secretary under paragraph (c) of this 

section, the Secretary will institute an 

action to recover the amount of such 

penalty in any appropriate District 

Court of the United States. In such 

action, the validity and appropriateness 

of such final assessment order or 

judgment will not be subject to review. 

(e)(1) In accordance with the 

provisions of sections 333(d)(5)(A) and 

345 of the Act and notwithstanding the 

provisions of title 28, United States 

Code, or Section 502(c) of the 

Department of Energy Organization Act, 

the General Counsel of the Department 

of Energy (or any attorney or attorneys 

within DOE designated by the Secretary) 

will represent the Secretary, and will 

supervise, conduct, and argue any civil 

litigation to which paragraph (c) of this 

section applies (including any related 

collection action under paragraph (d) of 

this section) in a court of the United 

States or in any other court, except the 

Supreme Court of the United States. 

However, the Secretary or the General 

Counsel will consult with the Attorney 

General concerning such litigation and 

the Attorney General will provide, on 

request, such assistance in the conduct 

of such litigation as may be appropriate. 

(2) In accordance with the provisions 

of sections 333(d)(5)(B) and 345 of the 

Act, and subject to the provisions of 

Section 502(c) of the Department of 

Energy Organization Act, the Secretary 

will be represented by the Attorney 

General, or the Solicitor General, as 

appropriate, in actions under this 

section, except to the extent provided in 

paragraph (e)(1) of this section.

(3) In accordance with the provisions 

of Section 333(d)(5)(c) and 345 of the 

Act, Section 402(d) of the Department of 

Energy Organization Act will not apply 

with respect to the function of the 

Secretary under this section. 

Appendix A to Subpart K of Part 431—

Sampling Plan for Enforcement Testing 

of Electric Motors

Step 1. The first sample size (n1) must be 

five or more units. 

Step 2. Compute the mean (X ̄ 1 of the 

measured energy performance of the n1 units 

in the first sample as follows:

X n Xi

i

n

1

1 1

1 1 1

=

=

∑ ( )

where Xi is the measured full-load efficiency 

of unit i. 

Step 3. Compute the sample standard 

deviation (S1) of the measured full-load 

efficiency of the n1 units in the first sample 

as follows:

S

X X

n

i

i

n

1

1

1

1

2 1

1 = 2

( − )

−

=

∑

( )

Step 4. Compute the standard error 

(SE(X ̄ 1)) of the mean full-load efficiency of 

the first sample as follows:

SE X S

n 1 1

1

( ) = ( ) 3

Step 5. Compute the lower control limit 

(LCL1) for the mean of the first sample using 

RE as the desired mean as follows:

LCL RE tSE X 1 1 = − ( ) ( ) 4

where: RE is the applicable EPCA nominal 

full-load efficiency when the test is to 

determine compliance with the applicable 

statutory standard, or is the labeled nominal 

full-load efficiency when the test is to 

determine compliance with the labeled 

efficiency value, and t is the 2.5th percentile 

of a t-distribution for a sample size of n1, 

which yields a 97.5 percent confidence level 

for a one-tailed t-test. 

Step 6. Compare the mean of the first 

sample (X ̄ 1) with the lower control limit 

(LCL1) to determine one of the following: 

(i) If the mean of the first sample is below 

the lower control limit, then the basic model 

is in non-compliance and testing is at an end. 

(ii) If the mean is equal to or greater than 

the lower control limit, no final 

determination of compliance or noncompliance can be made; proceed to Step 7. 

Step 7. Determine the recommended 

sample size (n) as follows:

n tS RE

RE RE = −−





 



 1

2 120 0 2

20 0 2

5 ( .)

( .) ( )

where S1, RE and t have the values used in 

Steps 3 and 5, respectively. The factor

120 0 2

20 0 2

−

−

.

( .)

RE

RE RE

is based on a 20 percent tolerance in the total 

power loss at full-load and fixed output 

power. 

Given the value of n, determine one of the 

following: 

(i) If the value of n is less than or equal 

to n1 and if the mean energy efficiency of the 

first sample (X ̄ 1) is equal to or greater than 

the lower control limit (LCL1), the basic 

model is in compliance and testing is at an 

end. 

(ii) If the value of n is greater than n1, the 

basic model is in non-compliance. The size 

of a second sample n2 is determined to be the 

smallest integer equal to or greater than the 

difference n¥n1. If the value of n2 so 

calculated is greater than 20¥n1, set n2 equal 

to 20¥n1. 

Step 8. Compute the combined (X ̄ 2) mean 

of the measured energy performance of the n1

and n2 units of the combined first and second 

samples as follows:

X n n Xi

i

n n

2

1 2 1

1 6 1 2

= + =

+

∑ ( )

Step 9. Compute the standard error 

(SE(X ̄ 2)) of the mean full-load efficiency of 

the n1 and n2 units in the combined first and 

second samples as follows:

SE X S

n n () ( 2 1

1 2

= 7)

+

(Note that S1 is the value obtained above in 

Step 3.) 

Step 10. Set the lower control limit (LCL2) 

to,

LCL RE tSE X b ac 2 2

2 =− − ( ) () 8 4

where t has the value obtained in Step 5, and 

compare the combined sample mean (X ̄ 2) to 

the lower control limit (LCL2) to find one of 

the following: 

(i) If the mean of the combined sample (X ̄ 2) 

is less than the lower control limit (LCL2), the 

basic model is in non-compliance and testing 

is at an end. 

(ii) If the mean of the combined sample 

(X ̄ 2) is equal to or greater than the lower 

control limit (LCL2), the basic model is in 

compliance and testing is at an end. 

Manufacturer-Option Testing 

If a determination of non-compliance is 

made in Steps 6, 7 or 10, of this appendix 

A, the manufacturer may request that 

additional testing be conducted, in 

accordance with the following procedures.

Step A. The manufacturer requests that an 

additional number, n3, of units be tested, 

with n3 chosen such that n1 + n2 + n3 does 

not exceed 20. 

Step B. Compute the mean full-load 

efficiency, standard error, and lower control 

limit of the new combined sample in 

accordance with the procedures prescribed in 

Steps 8, 9, and 10, of this appendix A. 

Step C. Compare the mean performance of 

the new combined sample to the lower 

control limit (LCL2) to determine one of the 

following: 


ER83AD04.005</MATH> ER83AD04.006</MATH> ER83AD04.007</MATH> ER83AD04.008</MATH> ER83AD04.009</MATH> ER83AD04.010</MATH> ER83AD04.011</MATH> ER83AD04.012</MATH> ER83AD04.013</MATH>

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(a) If the new combined sample mean is 

equal to or greater than the lower control 

limit, the basic model is in compliance and 

testing is at an end. 

(b) If the new combined sample mean is 

less than the lower control limit and the 

value of n1 + n2 + n3 is less than 20, the 

manufacturer may request that additional 

units be tested. The total of all units tested 

may not exceed 20. Steps A, B, and C are 

then repeated. 

(c) Otherwise, the basic model is 

determined to be in non-compliance.

Subpart L—General Provisions

§ 431.201 Petitions for waiver, and 

applications for interim waiver, of test 

procedure. 

(a) General criteria. (1) Any interested 

person may submit a petition to waive 

for a particular basic model any 

requirements of §§ 431.16, 431.76, 

431.86, 431.96, and 431.106 of this part, 

upon the grounds that either the basic 

model contains one or more design 

characteristics which prevent testing of 

the basic model according to the 

prescribed test procedures, or the 

prescribed test procedures may evaluate 

the basic model in a manner so 

unrepresentative of its true energy 

consumption characteristics as to 

provide materially inaccurate 

comparative data. 

(2) Any person who has submitted a 

Petition for Waiver as provided in this 

subpart, may also file an Application for 

Interim Waiver of the applicable test 

procedure requirements. 

(b) Submission, content, and 

publication. (1) You must submit your 

Petition for Waiver in triplicate, to the 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, U.S. Department 

of Energy. Each Petition for Waiver 

must: 

(i) Identify the particular basic 

model(s) for which a waiver is 

requested, the design characteristic(s) 

constituting the grounds for the petition, 

and the specific requirements sought to 

be waived, and must discuss in detail 

the need for the requested waiver; 

(ii) Identify manufacturers of all other 

basic models marketed in the United 

States and known to the petitioner to 

incorporate similar design 

characteristic(s); 

(iii) Include any alternate test 

procedures known to the petitioner to 

evaluate the characteristics of the basic 

model in a manner representative of its 

energy consumption; and 

(iv) Be signed by you or by an 

authorized representative. In accordance 

with the provisions set forth in 10 CFR 

1004.11, any request for confidential 

treatment of any information contained 

in a Petition for Waiver or in supporting 

documentation must be accompanied by 

a copy of the petition, application or 

supporting documentation from which 

the information claimed to be 

confidential has been deleted. DOE will 

publish in the Federal Register the 

petition and supporting documents from 

which confidential information, as 

determined by DOE, has been deleted in 

accordance with 10 CFR 1004.11 and 

will solicit comments, data and 

information with respect to the 

determination of the petition. 

(2) You must submit any Application 

for Interim Waiver in triplicate, with the 

required three copies of the Petition for 

Waiver, to the Assistant Secretary for 

Energy Efficiency and Renewable 

Energy, U.S. Department of Energy. 

Each Application for Interim Waiver 

must reference the Petition for Waiver 

by identifying the particular basic 

model(s) for which you seek a waiver 

and temporary exception. Each 

Application for Interim Waiver must 

demonstrate likely success of the 

Petition for Waiver and address what 

economic hardship and/or competitive 

disadvantage is likely to result absent a 

favorable determination on the 

Application for Interim Waiver. You or 

an authorized representative must sign 

the Application for Interim Waiver. 

(c) Notification to other 

manufacturers. (1) After filing a Petition 

for Waiver with DOE, and after DOE has 

published the Petition for Waiver in the 

Federal Register, you must, within five 

working days of such publication, notify 

in writing all known manufacturers of 

domestically marketed units of the same 

product type (as defined in Section 

340(1) of the Act) and must include in 

the notice a statement that DOE has 

published in the Federal Register on a 

certain date the Petition for Waiver and 

supporting documents from which 

confidential information, if any, as 

determined by DOE, has been deleted in 

accordance with 10 CFR 1004.11. In 

complying with the requirements of this 

paragraph, you must file with DOE a 

statement certifying the names and 

addresses of each person to whom you 

have sent a notice of the Petition for 

Waiver. 

(2) If you apply for Interim Waiver, 

whether filing jointly with or 

subsequent to your Petition for Waiver 

with DOE, you must concurrently notify 

in writing all known manufacturers of 

domestically marketed units of the same 

product type (as defined in Section 

340(1) of the Act), and must include in 

the notice a copy of the Petition for 

Waiver and a copy of the Application 

for Interim Waiver. In complying with 

this section, you must in the written 

notification include a statement that the 

Assistant Secretary for Energy Efficiency 

and Renewable Energy will receive and 

consider timely written comments on 

the Application for Interim Waiver. 

Upon filing an Application for Interim 

Waiver, you must in complying with the 

requirements of this paragraph certify to 

DOE that a copy of these documents has 

been sent to all known manufacturers of 

domestically marked units of the same 

product type (as listed in Section 340(1) 

of the Act). Such certification must 

include the names and addresses of 

such persons. You must comply with 

the provisions of paragraph (c)(1) of this 

Section with respect to the petition for 

waiver. 

(d) Comments; responses to 

comments. (1) Any person submitting 

written comments to DOE with respect 

to an Application for Interim Waiver 

must also send a copy of the comments 

to the applicant. 

(2) Any person submitting written 

comments to DOE with the respect to a 

Petition for Waiver must also send a 

copy of such comments to the 

petitioner. In accordance with 

paragraph (b)(1) of this section, a 

petitioner may submit a rebuttal 

statement to the Assistant Secretary for 

Energy Efficiency and Renewable 

Energy. 

(e) Provisions specific to interim 

waivers—(1) Disposition of application.

If administratively feasible, DOE will 

notify the applicant in writing of the 

disposition of the Application for 

Interim Waiver within 15 business days 

of receipt of the application. Notice of 

DOE’s determination on the Application 

for Interim Waiver will be published in 

the Federal Register.

(2) Consequences of filing application.

The filing of an Application for Interim 

Waiver will not constitute grounds for 

noncompliance with any requirements 

of this subpart, until an Interim Waiver 

has been granted. 

(3) Criteria for granting. The Assistant 

Secretary for Energy Efficiency and 

Renewable Energy will grant an Interim 

Waiver from test procedure 

requirements if he or she determines 

that the applicant will experience 

economic hardship if the Application 

for Interim Waiver is denied, if it 

appears likely that the Petition for 

Waiver will be granted, and/or if the 

Assistant Secretary determines that it 

would be desirable for public policy 

reasons to grant immediate relief 

pending a determination on the Petition 

for Waiver. 

(4) Duration. An interim waiver will 

terminate 180 days after issuance or 

upon the determination on the Petition 

for Waiver, whichever occurs first. DOE 

may extend an interim waiver for up to 

180 days or modify its terms based on 


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relevant information contained in the 

record and any comments received 

subsequent to issuance of the interim 

waiver. DOE will publish in the Federal 

Register notice of such extension and/

or any modification of the terms or 

duration of the interim waiver. 

(f) Provisions specific to waivers—(1) 

Rebuttal by petitioner. Following 

publication of the Petition for Waiver in 

the Federal Register, a petitioner may, 

within 10 working days of receipt of a 

copy of any comments submitted in 

accordance with paragraph (b)(1) of this 

section, submit a rebuttal statement to 

the Assistant Secretary for Energy 

Efficiency and Renewable Energy. A 

petitioner may rebut more than one 

response in a single rebuttal statement. 

(2) Disposition of petition. DOE will 

notify the petitioner in writing as soon 

as practicable of the disposition of each 

Petition for Waiver. The Assistant 

Secretary for Energy Efficiency and 

Renewable Energy will issue a decision 

on the petition as soon as is practicable 

following receipt and review of the 

Petition for Waiver and other applicable 

documents, including, but not limited 

to, comments and rebuttal statements. 

(3) Consequence of filing petition. The 

filing of a Petition for Waiver will not 

constitute grounds for noncompliance 

with any requirements of this subpart, 

until a waiver or interim waiver has 

been granted. 

(4) Granting: criteria, conditions, and 

publication. The Assistant Secretary for 

Energy Efficiency and Renewable 

Energy will grant a waiver if he or she 

determines that either the basic model 

for which the waiver was requested 

contains a design characteristic which 

prevents testing of the basic model 

according to the prescribed test 

procedures, or the prescribed test 

procedures may evaluate the basic 

model in a manner so unrepresentative 

of its true energy consumption 

characteristics as to provide materially 

inaccurate comparative data. The 

Assistant Secretary for Energy Efficiency 

and Renewable Energy may grant a 

waiver subject to conditions, which may 

include adherence to alternate test 

procedures. DOE will promptly publish 

in the Federal Register notice of each 

waiver granted or denied, and any 

limiting conditions of each waiver 

granted. 

(g) Revision of regulation. Within one 

year of the granting of any waiver, the 

Department will publish in the Federal 

Register a notice of proposed 

rulemaking to amend our regulations so 

as to eliminate any need for the 

continuation of such waiver. As soon 

thereafter as practicable, the Department 

will publish in the Federal Register a 

final rule. Such waiver will terminate 

on the effective date of such final rule. 

(h) Exhaustion of remedies. In order 

to exhaust administrative remedies, any 

person aggrieved by an action under this 

Section must file an appeal with the 

DOE’s Office of Hearings and Appeals as 

provided in 10 CFR Part 1003, subpart 

C.

§ 431.202 Preemption of State regulations 

for commercial HVAC & WH products. 

Beginning on the effective date of 

such standard, an energy conservation 

standard set forth in this Part for a 

commercial HVAC & WH product 

supersedes any State or local regulation 

concerning the energy efficiency or 

energy use of that product, except as 

provided for in Section 345(b)(2)(B)–(D) 

of the Act.

§ 431.203 Maintenance of records. 

(a) If you are the manufacturer of any 

covered equipment, you must establish, 

maintain and retain records of the 

following: 

(1) The test data for all testing 

conducted pursuant to this part; 

(2) For electric motors, the 

development, substantiation, 

application, and subsequent verification 

of any AEDM used under this part; and 

(3) For electric motors, any written 

certification received from a 

certification program, including a 

certificate or conformity, relied on 

under the provisions of this part. 

(b) You must organize such records 

and index them so that they are readily 

accessible for review. The records must 

include the supporting test data 

associated with tests performed on any 

test units to satisfy the requirements of 

this Part (except tests performed by us 

directly). 

(c) For each basic model, you must 

retain all such records for a period of 

two years from the date that production 

of all units of that basic model has 

ceased. You must retain records in a 

form allowing ready access to DOE, 

upon request.

§ 431.204 Imported equipment. 

(a) Under sections 331 and 345 of the 

Act, any person importing any covered 

equipment into the United States must 

comply with the provisions of the Act 

and of this part, and is subject to the 

remedies of this part. 

(b) Any covered equipment offered for 

importation in violation of the Act and 

of this part will be refused admission 

into the customs territory of the United 

States under rules issued by the 

Secretary of the Treasury, except that 

the Secretary of the Treasury may, by 

such rules, authorize the importation of 

such covered equipment upon such 

terms and conditions (including the 

furnishing of a bond) as may appear to 

the Secretary of Treasury appropriate to 

ensure that such covered equipment 

will not violate the Act and this part, or 

will be exported or abandoned to the 

United States.

§ 431.205 Exported equipment. 

Under Sections 330 and 345 of the 

Act, this Part does not apply to any 

covered equipment if: 

(a) Such equipment is manufactured, 

sold, or held for sale for export from the 

United States (or such equipment was 

imported for export), unless such 

equipment is, in fact, distributed in 

commerce for use in the United States; 

and, 

(b) Such equipment, when distributed 

in commerce, or any container in which 

it is enclosed when so distributed, bears 

a stamp or label stating that such 

covered equipment is intended for 

export.

§ 431.206 Subpoena. 

Pursuant to sections 329(a) and 345 of 

the Act, for purposes of carrying out this 

part, the Secretary or the Secretary’s 

designee, may sign and issue subpoenas 

for the attendance and testimony of 

witnesses and the production of 

relevant books, records, papers, and 

other documents, and administer the 

oaths. Witnesses summoned under the 

provisions of this section shall be paid 

the same fees and mileage as are paid to 

witnesses in the courts of the United 

States. In case of contumacy by, or 

refusal to obey a subpoena served upon 

any persons subject to this part, the 

Secretary may seek an order from the 

District Court of the United States for 

any District in which such person is 

found or resides or transacts business 

requiring such person to appear and 

give testimony, or to appear and 

produce documents. Failure to obey 

such order is punishable by such court 

as a contempt thereof.

§ 431.207 Confidentiality. 

Pursuant to the provisions of 10 CFR 

1004.11, any person submitting 

information or data which the person 

believes to be confidential and exempt 

from public disclosure should submit 

one complete copy, and 15 copies from 

which the information believed to be 

confidential has been deleted. In 

accordance with the procedures 

established at 10 CFR 1004.11, the 

Department shall make its own 

determination with regard to any claim 

that information submitted be exempt 

from public disclosure.


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Subpart M—Petitions To Exempt State 

Regulation From Preemption; Petitions 

To Withdraw Exemption of State 

Regulation

§ 431.211 Purpose and scope. 

(a) The regulations in this subpart 

prescribe the procedures to be followed 

in connection with petitions requesting 

a rule that a State regulation prescribing 

an energy conservation standard or 

other requirement respecting energy use 

or energy efficiency of a type (or class) 

of covered equipment not be preempted. 

(b) The regulations in this subpart 

also prescribe the procedures to be 

followed in connection with petitions to 

withdraw a rule exempting a State 

regulation prescribing an energy 

conservation standard or other 

requirement respecting energy use or 

energy efficiency of a type (or class) of 

covered equipment.

§ 431.212 Prescriptions of a rule. 

(a) Criteria for exemption from 

preemption. Upon petition by a State 

which has prescribed an energy 

conservation standard or other 

requirement for a type or class of 

covered equipment for which a Federal 

energy conservation standard is 

applicable, the Secretary shall prescribe 

a rule that such standard not be 

preempted if he/she determines that the 

State has established by a 

preponderance of evidence that such 

requirement is needed to meet unusual 

and compelling State or local energy 

interests. For the purposes of this 

regulation, the term ‘‘unusual and 

compelling State or local energy 

interests’’ means interests which are 

substantially different in nature or 

magnitude from those prevailing in the 

U.S. generally, and are such that when 

evaluated within the context of the 

State’s energy plan and forecast, the 

costs, benefits, burdens, and reliability 

of energy savings resulting from the 

State regulation make such regulation 

preferable or necessary when measured 

against the costs, benefits, burdens, and 

reliability of alternative approaches to 

energy savings or production, including 

reliance on reasonably predictable 

market-induced improvements in 

efficiency of all equipment subject to 

the State regulation. The Secretary may 

not prescribe such a rule if he finds that 

interested persons have established, by 

a preponderance of the evidence, that 

the State’s regulation will significantly 

burden manufacturing, marketing, 

distribution, sale or servicing of the 

covered equipment on a national basis. 

In determining whether to make such a 

finding, the Secretary shall evaluate all 

relevant factors including: The extent to 

which the State regulation will increase 

manufacturing or distribution costs of 

manufacturers, distributors, and others; 

the extent to which the State regulation 

will disadvantage smaller 

manufacturers, distributors, or dealers 

or lessen competition in the sale of the 

covered equipment in the State; the 

extent to which the State regulation 

would cause a burden to manufacturers 

to redesign and produce the covered 

equipment type (or class), taking into 

consideration the extent to which the 

regulation would result in a reduction 

in the current models, or in the 

projected availability of models, that 

could be shipped on the effective date 

of the regulation to the State and within 

the U.S., or in the current or projected 

sales volume of the covered equipment 

type (or class) in the State and the U.S.; 

and the extent to which the State 

regulation is likely to contribute 

significantly to a proliferation of State 

commercial and industrial equipment 

efficiency requirements and the 

cumulative impact such requirements 

would have. The Secretary may not 

prescribe such a rule if he/she finds that 

such a rule will result in the 

unavailability in the State of any 

covered equipment (or class) of 

performance characteristics (including 

reliability), features, sizes, capacities, 

and volumes that are substantially the 

same as those generally available in the 

State at the time of the Secretary’s 

finding. The failure of some classes (or 

types) to meet this criterion shall not 

affect the Secretary’s determination of 

whether to prescribe a rule for other 

classes (or types). 

(1) Requirements of petition for 

exemption from preemption. A petition 

from a State for a rule for exemption 

from preemption shall include the 

information listed in paragraphs (a)(1)(i) 

through (a)(1)(vi) of this section. A 

petition for a rule and correspondence 

relating to such petition shall be 

available for public review except for 

confidential or proprietary information 

submitted in accordance with the 

Department of Energy’s Freedom of 

Information Regulations set forth in 10 

CFR Part 1004.

(i) The name, address, and telephone 

number of the petitioner; 

(ii) A copy of the State standard for 

which a rule exempting such standard 

is sought; 

(iii) A copy of the State’s energy plan 

and forecast; 

(iv) Specification of each type or class 

of covered equipment for which a rule 

exempting a standard is sought; 

(v) Other information, if any, believed 

to be pertinent by the petitioner; and 

(vi) Such other information as the 

Secretary may require. 

(b) Criteria for exemption from 

preemption when energy emergency 

conditions exist within State. Upon 

petition by a State which has prescribed 

an energy conservation standard or 

other requirement for a type or class of 

covered equipment for which a Federal 

energy conservation standard is 

applicable, the Secretary may prescribe 

a rule, effective upon publication in the 

Federal Register, that such regulation 

not be preempted if he determines that 

in addition to meeting the requirements 

of paragraph (a) of this Section the State 

has established that: an energy 

emergency condition exists within the 

State that imperils the health, safety, 

and welfare of its residents because of 

the inability of the State or utilities 

within the State to provide adequate 

quantities of gas or electric energy to its 

residents at less than prohibitive costs; 

and cannot be substantially alleviated 

by the importation of energy or the use 

of interconnection agreements; and the 

State regulation is necessary to alleviate 

substantially such condition. 

(1) Requirements of petition for 

exemption from preemption when 

energy emergency conditions exist 

within a State. A petition from a State 

for a rule for exemption from 

preemption when energy emergency 

conditions exist within a State shall 

include the information listed in 

paragraphs (a)(1)(i) through (a)(1)(vi) of 

this section. A petition shall also 

include the information prescribed in 

paragraphs (b)(1)(i) through (b)(1)(iv) of 

this section, and shall be available for 

public review except for confidential or 

proprietary information submitted in 

accordance with the Department of 

Energy’s Freedom of Information 

Regulations set forth in 10 CFR Part 

1004: 

(i) A description of the energy 

emergency condition which exists 

within the State, including causes and 

impacts. 

(ii) A description of emergency 

response actions taken by the State and 

utilities within the State to alleviate the 

emergency condition; 

(iii) An analysis of why the 

emergency condition cannot be 

alleviated substantially by importation 

of energy or the use of interconnection 

agreements; 

(iv) An analysis of how the State 

standard can alleviate substantially such 

emergency condition. 

(c) Criteria for withdrawal of a rule 

exempting a State standard. Any person 

subject to a State standard which, by 

rule, has been exempted from Federal 

preemption and which prescribes an 


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61948 Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 

energy conservation standard or other 

requirement for a type or class of 

covered equipment, when the Federal 

energy conservation standard for such 

equipment subsequently is amended, 

may petition the Secretary requesting 

that the exemption rule be withdrawn. 

The Secretary shall consider such 

petition in accordance with the 

requirements of paragraph (a) of this 

section, except that the burden shall be 

on the petitioner to demonstrate that the 

exemption rule received by the State 

should be withdrawn as a result of the 

amendment to the Federal standard. The 

Secretary shall withdraw such rule if he 

determines that the petitioner has 

shown the rule should be withdrawn. 

(1) Requirements of petition to 

withdraw a rule exempting a State 

standard. A petition for a rule to 

withdraw a rule exempting a State 

standard shall include the information 

prescribed in paragraphs (c)(1)(i) 

through (c)(1)(vii) of this section, and 

shall be available for public review, 

except for confidential or proprietary 

information submitted in accordance 

with the Department of Energy’s 

Freedom of Information Regulations set 

forth in 10 CFR Part 1004: 

(i) The name, address and telephone 

number of the petitioner; 

(ii) A statement of the interest of the 

petitioner for which a rule withdrawing 

an exemption is sought; 

(iii) A copy of the State standard for 

which a rule withdrawing an exemption 

is sought; 

(iv) Specification of each type or class 

of covered equipment for which a rule 

withdrawing an exemption is sought; 

(v) A discussion of the factors 

contained in paragraph (a) of this 

section; 

(vi) Such other information, if any, 

believed to be pertinent by the 

petitioner; and 

(vii) Such other information as the 

Secretary may require. 

(2) [Reserved]

§ 431.213 Filing requirements.

(a) Service. All documents required to 

be served under this subpart shall, if 

mailed, be served by first class mail. 

Service upon a person’s duly authorized 

representative shall constitute service 

upon that person. 

(b) Obligation to supply information.

A person or State submitting a petition 

is under a continuing obligation to 

provide any new or newly discovered 

information relevant to that petition. 

Such information includes, but is not 

limited to, information regarding any 

other petition or request for action 

subsequently submitted by that person 

or State. 

(c) The same or related matters. A 

person or State submitting a petition or 

other request for action shall state 

whether to the best knowledge of that 

petitioner the same or related issue, act, 

or transaction has been or presently is 

being considered or investigated by any 

State agency, department, or 

instrumentality. 

(d) Computation of time. (1) 

Computing any period of time 

prescribed by or allowed under this 

subpart, the day of the action from 

which the designated period of time 

begins to run is not to be included. If the 

last day of the period is Saturday, or 

Sunday, or Federal legal holiday, the 

period runs until the end of the next day 

that is neither a Saturday, or Sunday or 

Federal legal holiday. 

(2) Saturdays, Sundays, and 

intervening Federal legal holidays shall 

be excluded from the computation of 

time when the period of time allowed or 

prescribed is 7 days or less. 

(3) When a submission is required to 

be made within a prescribed time, DOE 

may grant an extension of time upon 

good cause shown. 

(4) Documents received after regular 

business hours are deemed to have been 

submitted on the next regular business 

day. Regular business hours for the 

DOE’s National Office, Washington, DC, 

are 8:30 a.m. to 4:30 p.m. 

(5) DOE reserves the right to refuse to 

accept, and not to consider, untimely 

submissions. 

(e) Filing of petitions. (1) A petition 

for a rule shall be submitted in triplicate 

to: The Assistant Secretary for Energy 

Efficiency and Renewable Energy, U.S. 

Department of Energy, Section 327 

Petitions, Building Technologies, EE–2J, 

Forrestal Building,1000 Independence 

Avenue, SW., Washington, DC 20585. 

(2) A petition may be submitted on 

behalf of more than one person. A joint 

petition shall indicate each person 

participating in the submission. A joint 

petition shall provide the information 

required by § 431.212 for each person on 

whose behalf the petition is submitted. 

(3) All petitions shall be signed by the 

person(s) submitting the petition or by 

a duly authorized representative. If 

submitted by a duly authorized 

representative, the petition shall certify 

this authorization. 

(4) A petition for a rule to withdraw 

a rule exempting a State regulation, all 

supporting documents, and all future 

submissions shall be served on each 

State agency, department, or 

instrumentality whose regulation the 

petitioner seeks to supersede. The 

petition shall contain a certification of 

this service which states the name and 

mailing address of the served parties, 

and the date of service. 

(f) Acceptance for filing. (1) Within 15 

days of the receipt of a petition, the 

Secretary will either accept it for filing 

or reject it, and the petitioner will be so 

notified in writing. The Secretary will 

serve a copy of this notification on each 

other party served by the petitioner. 

Only such petitions which conform to 

the requirements of this subpart and 

which contain sufficient information for 

the purposes of a substantive decision 

will be accepted for filing. Petitions 

which do not so conform will be 

rejected and an explanation provided to 

petitioner in writing. 

(2) For purposes of the Act and this 

subpart, a petition is deemed to be filed 

on the date it is accepted for filing. 

(g) Docket. A petition accepted for 

filing will be assigned an appropriate 

docket designation. Petitioner shall use 

the docket designation in all subsequent 

submissions.

§ 431.214 Notice of petition.

(a) Promptly after receipt of a petition 

and its acceptance for filing, notice of 

such petition shall be published in the 

Federal Register. The notice shall set 

forth the availability for public review 

of all data and information available, 

and shall solicit comments, data and 

information with respect to the 

determination on the petition. Except as 

may otherwise be specified, the period 

for public comment shall be 60 days 

after the notice appears in the Federal 

Register. 

(b) In addition to the material 

required under paragraph (a) of this 

section, each notice shall contain a 

summary of the State regulation at issue 

and the petitioner’s reasons for the rule 

sought.

§ 431.215 Consolidation. 

DOE may consolidate any or all 

matters at issue in two or more 

proceedings docketed where there exist 

common parties, common questions of 

fact and law, and where such 

consolidation would expedite or 

simplify consideration of the issues. 

Consolidation shall not affect the right 

of any party to raise issues that could 

have been raised if consolidation had 

not occurred.

§ 431.216 Hearing. 

The Secretary may hold a public 

hearing, and publish notice in the 

Federal Register of the date and 

location of the hearing, when he 

determines that such a hearing is 

necessary and likely to result in a timely 

and effective resolution of the issues. A 


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Federal Register / Vol. 69, No. 203 / Thursday, October 21, 2004 / Rules and Regulations 61949

transcript shall be kept of any such 

hearing.

§ 431.217 Disposition of petitions. 

(a) After the submission of public 

comments under § 431.213(a), the 

Secretary shall prescribe a final rule or 

deny the petition within 6 months after 

the date the petition is filed. 

(b) The final rule issued by the 

Secretary or a determination by the 

Secretary to deny the petition shall 

include a written statement setting forth 

his findings and conclusions, and the 

reasons and basis therefor. A copy of the 

Secretary’s decision shall be sent to the 

petitioner and the affected State agency. 

The Secretary shall publish in the 

Federal Register a notice of the final 

rule granting or denying the petition 

and the reasons and basis therefor. 

(c) If the Secretary finds that he 

cannot issue a final rule within the 6-

month period pursuant to paragraph (a) 

of this section, he shall publish a notice 

in the Federal Register extending such 

period to a date certain, but no longer 

than one year after the date on which 

the petition was filed. Such notice shall 

include the reasons for the delay.

§ 431.218 Effective dates of final rules. 

(a) A final rule exempting a State 

standard from Federal preemption will 

be effective: 

(1) Upon publication in the Federal 

Register if the Secretary determines that 

such rule is needed to meet an ‘‘energy 

emergency condition’’ within the State; 

(2) Three years after such rule is 

published in the Federal Register; or 

(3) Five years after such rule is 

published in the Federal Register if the 

Secretary determines that such 

additional time is necessary due to the 

burdens of retooling, redesign or 

distribution. 

(b) A final rule withdrawing a rule 

exempting a State standard will be 

effective upon publication in the 

Federal Register.

§ 431.219 Request for reconsideration. 

(a) Any petitioner whose petition for 

a rule has been denied may request 

reconsideration within 30 days of 

denial. The request shall contain a 

statement of facts and reasons 

supporting reconsideration and shall be 

submitted in writing to the Secretary. 

(b) The denial of a petition will be 

reconsidered only where it is alleged 

and demonstrated that the denial was 

based on error in law or fact and that 

evidence of the error is found in the 

record of the proceedings.

(c) If the Secretary fails to take action 

on the request for reconsideration 

within 30 days, the request is deemed 

denied, and the petitioner may seek 

such judicial review as may be 

appropriate and available. 

(d) A petitioner has not exhausted 

other administrative remedies until a 

request for reconsideration has been 

filed and acted upon or deemed denied.

§ 431.220 Finality of decision. 

(a) A decision to prescribe a rule that 

a State energy conservation standard or 

other requirement not be preempted is 

final on the date the rule is issued, i.e., 

signed by the Secretary. A decision to 

prescribe such a rule has no effect on 

other regulations of covered equipment 

of any other State. 

(b) A decision to prescribe a rule 

withdrawing a rule exempting a State 

standard or other requirement is final on 

the date the rule is issued, i.e., signed 

by the Secretary. A decision to deny 

such a petition is final on the day a 

denial of a request for reconsideration is 

issued, i.e., signed by the Secretary.

Subpart Q—[Removed]

■ 13. Subpart Q is removed.

[FR Doc. 04–17729 Filed 10–20–04; 8:45 am] 

BILLING CODE 6450–01–U

DEPARTMENT OF ENERGY

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 431 

[Docket No. EE–RM/TP–99–470] 

RIN 1904–AB02 

Energy Efficiency Program for Certain 

Commercial and Industrial Equipment: 

Test Procedures and Efficiency 

Standards for Commercial Packaged 

Boilers

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy.

ACTION: Final rule.

SUMMARY: Pursuant to Part C of title III 

of the Energy Policy and Conservation 

Act (EPCA), the Department of Energy 

(DOE or the Department) promulgates a 

rule prescribing test procedures to rate 

the energy efficiency of commercial 

packaged boilers and definitions 

relevant to this equipment. The rule also 

recodifies energy conservation 

standards prescribed by EPCA for 

commercial packaged boilers so that 

they are located contiguous with the test 

procedures that DOE promulgates today.

DATES: This rule is effective November 

22, 2004. The incorporation by reference 

of certain publications listed in this rule 

is approved by the Director of the 

Federal Register as of November 22, 

2004.

FOR FURTHER INFORMATION CONTACT:

Mohammed Khan, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Mail Station, EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585, (202) 586–7892, 

FAX (202) 586–4617, e-mail: 

Mohammed.Khan@ee.doe.gov, or 

Francine Pinto, Esq., U.S. Department of 

Energy, Office of General Counsel, Mail 

Station, GC–72, 1000 Independence 

Avenue, SW., Washington, DC 20585, 

(202) 586–9507, e-mail: 

Francine.Pinto@hq.doe.gov.

SUPPLEMENTARY INFORMATION: This final 

rule incorporates, by reference, into 

Subpart E of Part 431, two test 

procedures contained in industry 

standards referenced by the American 

Society of Heating, Refrigerating and 

Air-Conditioning Engineers, Inc. 

(ASHRAE) and the Illuminating 

Engineering Society of North America 

(IES) Standard 90.1 (‘‘ASHRAE/IES 

Standard 90.1’’) for commercial 

packaged boilers. Those industry 

standards are: the Hydronics Institute 

(HI) Division of the Gas Appliance 

Manufacturer’s Association (GAMA) 

Boiler Testing Standard BTS–2000, 

‘‘Method to Determine Efficiency of 

Commercial Space Heating Boilers’’

(which supersedes the ASHRAE 

Standard 90.1 referenced 1989 HI 

Standard, ‘‘Testing and Rating Standard 

for Heating Boilers,’’ 6th Edition, 1989); 

and American Society of Mechanical 

Engineers (ASME) PTC 4.1–1964/RA–

1991, ‘‘Power Test Codes for Steam 

Generating Units.’’

You can view copies of these 

standards in the resource room of the 

Building Technologies Program, room 

1J–018 at the U.S. Department of 

Energy, 1000 Independence Avenue, 

SW., Washington, DC 20585, between 

the hours of 9 a.m. and 4 p.m., Monday 

through Friday, except Federal holidays. 

Please call Ms. Brenda Edwards-Jones at 

(202) 586–2945, for additional 

information regarding visiting the 

resource room. 

You can purchase copies of the HI 

Standard BTS–2000 from Hydronics 

Institute Division of GAMA, P.O. Box 

218, Berkeley Heights, NJ 07922, http:/

/www.gamanet.org/publist/ 

hydroordr.htm; and Standards ANSI 

Z21.47–1998 and UL 727–1994 from 

Global Engineering Documents, 15 

Inverness Way East, Englewood, CO 

80112, http://global.ihs.com/

respectively.


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