This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents.

Rules and Regulations Federal Register

46579 

Vol. 86, No. 158 

Thursday, August 19, 2021 

1All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 

2For editorial reasons, upon codification in the 

U.S. Code, Part C was redesignated Part A–1 and 

hereafter referred to as Part A–1. 

3 ‘‘Covered equipment’’ means one of the 

following types of industrial equipment: Electric 

motors and pumps; small commercial package air 

conditioning and heating equipment; large 

commercial package air conditioning and heating 

equipment; very large commercial package air 

conditioning and heating equipment; commercial 

refrigerators, freezers, and refrigerator-freezers; 

automatic commercial ice makers; walk-in coolers 

and walk-in freezers; commercial clothes washers; 

packaged terminal air-conditioners and packaged 

terminal heat pumps; warm air furnaces and 

packaged boilers; and storage water heaters, 

instantaneous water heaters, and unfired hot water 

storage tanks. (42 U.S.C. 6311(1)(A)–(K)) 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[EERE–2011–BT–DET–0045] 

RIN 1905–AC55 

Energy Conservation Program: Final 

Determination of Fans and Blowers as 

Covered Equipment 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Final rule; final determination. 

SUMMARY: The U.S. Department of 

Energy (‘‘DOE’’) is classifying certain 

fans and blowers as covered equipment 

under Part A–1 of Title III of the Energy 

Policy and Conservation Act, as 

amended. Accordingly, this document 

establishes the definition of equipment 

that is considered fans and blowers. 

DATES: This final determination is 

effective September 20, 2021. 

ADDRESSES: Docket: The docket, which 

includes Federal Register notices, 

public meeting attendee lists and 

transcripts, comments, and other 

supporting documents/materials, is 

available for review at 

www.regulations.gov. All documents in 

the docket are listed in the 

www.regulations.gov index. However, 

not all documents listed in the index 

may be publicly available, such as 

information that is exempt from public 

disclosure. 

The docket web page can be found at 

www.regulations.gov/docket/EERE2011-BT-DET-0045. The docket web 

page contains instructions on how to 

access all documents, including public 

comments, in the docket. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Jeremy Dommu, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Office, EE–5B, 1000 

Independence Avenue SW, Washington, 

DC 20585–0121. Email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

Ms. Amelia Whiting, U.S. Department 

of Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585. Telephone: 

(202) 586–2588. Email: 

Amelia.Whiting@hq.doe.gov. 

For further information on how to 

review other public comments and the 

docket contact the Appliance and 

Equipment Standards Program staff at 

(202) 287–1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents 

I. Introduction 

A. Authority 

B. Background 

II. General Discussion 

A. Definition and Scope of Coverage 

B. Evaluation of Fans and Blowers as 

Covered Equipment 

1. Energy Consumption in Operation 

2. Distribution in Commerce 

3. Prior Inclusion as a Covered Product 

4. Coverage Necessary To Carry Out the 

Purposes of Part A–1 

C. Final Determination 

III. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the National 

Environmental Policy Act of 1969 

D. Review Under Executive Order 13132 

E. Review Under Executive Order 12988 

F. Review Under the Unfunded Mandates 

Reform Act of 1995 

G. Review Under the Treasury and General 

Government Appropriations Act, 1999 

H. Review Under Executive Order 12630 

I. Review Under the Treasury and General 

Government Appropriations Act, 2001 

J. Review Under Executive Order 13211 

K. Information Quality 

L. Congressional Notification 

IV. Approval of the Office of the Secretary 

I. Introduction 

The following section briefly 

discusses the statutory authority 

underlying this determination, as well 

as the relevant historical background to 

the inclusion of fans and blowers as 

covered equipment under the Energy 

Policy and Conservation Act, as 

amended (‘‘EPCA’’).1

A. Authority 

EPCA authorizes DOE to regulate the 

energy efficiency of a number of 

consumer products and certain 

industrial equipment. (42 U.S.C. 6291– 

6317) Title III, Part C2 of EPCA, added 

by Public Law 95–619, Title IV, section 

441(a) (42 U.S.C. 6311–6317, as 

codified), established the Energy 

Conservation Program for Certain 

Industrial Equipment, which sets forth a 

variety of provisions designed to 

improve energy efficiency of certain 

commercial and industrial equipment 

(hereafter referred to as ‘‘covered 

equipment’’). The purpose of Part A–1 

is to improve the efficiency of electric 

motors and pumps and certain other 

industrial equipment in order to 

conserve the energy resources of the 

Nation. (42 U.S.C. 6312(a)) 

EPCA specifies a list of equipment 

that constitutes covered equipment.3

EPCA also provides that ‘‘covered 

equipment’’ includes any other type of 

industrial equipment for which the 

Secretary of Energy (‘‘Secretary’’) 

determines inclusion is necessary to 

carry out the purpose of Part A–1. (42 

U.S.C. 6311(1)(L); 42 U.S.C. 6312(b)) 

EPCA specifies the types of equipment 

that can be classified as industrial 

equipment. (42 U.S.C. 6311(2) This 

equipment includes fans and blowers. 

(42 U.S.C. 6311(2)(B)(ii) and (iii)). 

Industrial equipment must be of a type 

that consumes, or is designed to 

consume, energy in operation; is 

distributed in commerce for industrial 

or commercial use; and is not a covered 

product as defined in 42 U.S.C. 

6291(a)(2) of EPCA other than a 

component of a covered product with 

respect to which there is in effect a 

determination under section 6312(c). 

(42 U.S.C. 6311(2)(A)). 


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4Energy Conservation Standards Rulemaking 

Framework for Commercial and Industrial Fans and 

Blowers (‘‘January 2013 Framework Document’’) is 

included in Docket EERE–2013–BT–STD–0006 and 

available at www.regulations.gov/ 

document?D=EERE-2013-BT-STD-0006-0001. 

5The Working Group was comprised of 

representatives from AAON, Inc.; AcoustiFLO LLC; 

AGS Consulting LLC; AMCA; AHRI, Appliance 

Standards Awareness Project; Berner International 

Corp; Buffalo Air Handling Company; Carnes 

Company; Daikin/Goodman; ebm-papst; Greenheck; 

Morrison Products; Natural Resources Defense 

Council; Newcomb & Boyd; Northwest Energy 

Efficiency Alliance; CA IOUs; Regal Beloit 

Corporation; Rheem Manufacturing Company; 

Smiley Engineering LLC representing Ingersoll 

Rand/Trane; SPX Cooling Technologies/CTI; The 

New York Blower Company; Twin City Companies, 

Ltd; U.S. Department of Energy; and United 

Technologies/Carrier 

6 Details of the negotiation sessions can be found 

in the public meeting transcripts that are posted to 

the docket for the energy conservation standard 

rulemaking at: www.regulations.gov/ 

docket?D=EERE-2013-BT-STD-0006. 

7At the beginning of the negotiated rulemaking 

process, the Working Group defined that before any 

vote could occur, the Working Group must establish 

a quorum of at least 20 of the 25 members and 

defined consensus as an agreement with less than 

4 negative votes. Twenty voting members of the 

Working Group were present for this vote. Two 

members (Air-Conditioning, Heating, and 

Refrigeration Institute and Ingersoll Rand/Trane) 

voted no on the term sheet. 

8The parenthetical reference provides a reference 

for information located in DOE Docket No. EERE– 

2011–BT–DET–0045. The references are arranged as 

follows: (Commenter name, comment docket ID 

number, page of that document). If one comment 

was submitted with multiple attachments, the 

references are arranged as follows: (Commenter 

name, comment docket ID number, attachment 

number, page of that document). The attachment 

number corresponds to the order in which the 

attachment appears in the docket. If the information 

was submitted to a different DOE docket, the DOE 

Docket number is additionally specified in the 

reference. 

B. Background 

On June 28, 2011, DOE published a 

notice of proposed determination of 

coverage proposing to determine that 

fans, blowers, and fume hoods qualify 

as covered equipment (‘‘June 2011 

NOPD’’). 76 FR 37678. DOE noted that 

there are no statutory definitions for 

‘‘fan,’’ ‘‘blower,’’ or ‘‘fume hood,’’ and 

presented definitions for consideration. 

76 FR 37678, 37679. 

In the June 2011 NOPD, DOE 

preliminarily determined that coverage 

of fans, blowers, and fume hoods is 

necessary to carry out the purposes of 

Part A–1 because coverage would 

promote the conservation of energy 

supplies. 76 FR 37678, 37680. DOE 

estimated that technologies exist which 

can reduce the electricity consumption 

of fans and blowers by as much as 20 

percent and that there are technologies 

and design strategies for fume hoods 

that could reduce energy use by 50 

percent. Id. DOE requested comment on 

the proposed definitions and its 

preliminary determination that coverage 

of fans, blowers, and fume hoods is 

necessary to carry out the purposes of 

Part A–1. 76 FR 37678, 37682. 

DOE received seven comments in 

response to the June 2011 NOPD from 

the interested parties listed in Table II– 

1 of this document. 

DOE subsequently published a 

framework document 4 detailing an 

analytical approach for developing 

potential energy conservation standards 

for commercial and industrial fans and 

blowers should the Secretary classify 

such equipment as covered equipment. 

78 FR 7306 (Feb. 1, 2013). In the January 

2013 Framework Document, DOE also 

requested feedback from interested 

parties generally on issues related to test 

methods for evaluating the energy 

efficiency of commercial and industrial 

fans and blowers (January 2013 

Framework Document at pp. 16–25). 

In the January 2013 Framework 

Document DOE determined that it lacks 

authority to establish energy 

conservation standards for fume hoods 

because fume hoods are not listed as a 

type of equipment for which DOE could 

establish standards (January 2013 

Framework Document at p. 15). DOE 

acknowledged that the fan that provides 

ventilation for the fume hood consumes 

the largest portion of energy within the 

fume hood system, and that DOE 

planned to cover all commercial and 

industrial fan types, which includes 

fans used to ventilate fume hoods. Id. 

On December 10, 2014, DOE 

published a notice of data availability 

that presented a provisional analysis 

estimating the economic impacts and 

energy savings from potential energy 

conservation standards for certain fans 

and blowers. 79 FR 73246. 

On April 1, 2015, DOE published a 

notice of intent to establish a negotiated 

rulemaking working group under the 

Appliance Standards and Rulemaking 

Federal Advisory Committee (hereafter 

referred to as the ‘‘Working Group’’) to 

negotiate proposed definitions, and, as 

applicable, certain aspects of a proposed 

test procedure and proposed energy 

conservation standards for fans and 

blowers. 80 FR 17359. On May 1, 2015, 

DOE published a second notice of data 

availability of a revised provisional 

analysis of the potential economic 

impacts and energy savings that could 

result from promulgating an energy 

conservation standard for commercial 

and industrial fans and blowers. 80 FR 

24841 (‘‘May 2015 NODA’’). 

The Working Group 5 negotiations 

comprised 16 meetings and three 

webinars and covered scope, metrics, 

test procedures, and energy 

conservation standard levels for fans 

and blowers.6 The Working Group 

concluded its negotiations on 

September 3, 2015, and approved by 

consensus vote 7 a term sheet containing 

recommendations for DOE on scope, 

energy conservation standards, and a 

test procedure for the subject industrial 

equipment. The term sheet containing 

the Working Group recommendations is 

available in the commercial and 

industrial fans and blowers energy 

conservation standard rulemaking 

docket. (Docket No. EERE–2013–BT– 

STD–0006, No. 179) ASRAC approved 

the term sheet on September 24, 2015. 

(Docket No. EERE–2013–BT–NOC–0005; 

Public Meeting Transcript, No. 58, at p. 

29) On November 1, 2016, DOE 

published a third notice of data 

availability (‘‘November 2016 NODA’’) 

that presented a revised analysis based 

on the scope and metric 

recommendations of the term sheet. 81 

FR 75742. 

On January 10, 2020, DOE received a 

petition from the Air Movement and 

Control Association, International 

(‘‘AMCA’’), Air Conditioning 

Contractors of America, and Sheet Metal 

& Air Conditioning Contractors of 

America requesting that DOE establish a 

Federal test procedure for certain 

categories of fans based on an upcoming 

industry test method, AMCA Standard 

214, ‘‘Test Procedure for Calculating 

Fan Energy Index (FEI) for Commercial 

and Industrial Fans and Blowers’’ DOE 

published a notice of petition and 

request for public comment (‘‘April 

2020 Notice of Petition’’). 85 FR 22677 

(Apr. 23, 2020). AMCA, Air 

Conditioning Contractors of America, 

and Sheet Metal & Air Conditioning 

Contractors have since withdrawn their 

petition (AMCA, No.12, at p. 1).8

In preparation for this notice, on May 

10, 2021, DOE published a request for 

information requesting comments on a 

potential fan or blower definition. 86 FR 

24752 (‘‘May 2021 RFI’’). 

On February 14, 2020, DOE published 

in the Federal Register a final rule 

which updated the procedures, 

interpretations, and policies that DOE 

will follow in the consideration and 

promulgation of new or revised 

appliance energy conservation 

standards and test procedures under 

EPCA. 85 FR 8626; see also 10 CFR part 

430, subpart C, appendix A (i.e., 

‘‘Process Rule’’). The updated Process 

Rule establishes the process DOE must 

follow when undertaking a 

determination of whether industrial 

equipment should be covered under 

EPCA. Section 5 of the Process Rule. 


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9 DOE Docket No. EERE–2013–BT–STD–0006. 

10 DOE Docket No. EERE–2020–BT–PET–0003. 

11 DOE also proposed a definition of ‘‘fume 

hood,’’ but as discussed DOE has determined it 

does not have statutory authority to include fume 

hoods as covered equipment. 

Pursuant to the updated Process Rule, if 

DOE determines to initiate the coverage 

determination process, it will first 

publish a notice of proposed 

determination, providing an 

opportunity for public comment of not 

less than 60 days, in which DOE will 

explain how coverage of the equipment 

type that it seeks to designate as 

‘‘covered’’ is ‘‘necessary’’ to carry out 

the purposes of EPCA. Section 5(b) of 

the Process Rule. DOE will publish its 

final decision on coverage as a separate 

notice, an action that will be completed 

prior to the initiation of any test 

procedure or energy conservation 

standards rulemaking (i.e., DOE will not 

issue any requests for information, 

notices of data availability, or any other 

mechanism to gather information for the 

purpose of initiating a rulemaking to 

establish a test procedure or energy 

conservation standard for the proposed 

covered equipment prior to finalization 

of the coverage determination). Section 

5(c) of the Process Rule. 

Because this coverage determination 

was already in progress at the time the 

revised Process Rule was published, 

DOE is applying those provisions 

moving forward (i.e., rather than 

reinitiating the entire rulemaking 

process). To date, DOE has not proposed 

test procedures or energy conservation 

standards for fans and blowers. 

II. General Discussion 

DOE developed this determination 

after considering comments, data, and 

information from interested parties that 

represent a variety of interests. Table II– 

1 lists the interested parties that have 

provided comments on the January 2013 

Framework,9 June 2011 NOPD, April 

2020 Notice of Petition,10 and May 2021 

RFI relevant to the coverage 

determination. 

TABLE II–1—JANUARY 2013 FRAMEWORK, JUNE 2011 NOPD, APRIL 2020 NOTICE OF PETITION, AND MAY 2021 RFI 

WRITTEN COMMENTS

Organization(s) Reference in this NOPR Organization type 

January 

2013 

framework 

June 

2011 

NOPD 

April 

2020 

notice of 

petition 

May 

2021 

RFI 

Air Movement and Control Association International.AMCA .................................. Trade Association ................ .................... X .................... X 

Air-Conditioning, Heating, and Refrigeration Institute.AHRI .................................... Trade Association ................ X X X X 

Appliance Standards Awareness Project, American Council for an Energy-Efficient Economy, 

National Consumer Law Center, and Natural 

Resources Defense Council.

Efficiency Advocates ........... Efficiency Organizations ...... .................... X .................... ................

Appliance Standards Awareness Project/National 

Research Defense Council.

ASAP/NRDC ........................ Efficiency Organization ........ .................... ................ .................... X 

Appliance Standards Awareness Project, Northwest Energy Efficiency Alliance, Natural Resources Defense Council, and Alliance to Save 

Energy.

ACEEE et al ........................ Efficiency Organization ........ X ................ .................... ................

China World Trade Organization, Technical Barriers to Trade National Notification and Enquiry 

Center.

China WTO/TBT .................. Government Entity ............... .................... X .................... ................

Cooling Technology Institute ................................ CTI ....................................... Trade Association ................ .................... ................ .................... X 

Daikin Applied ....................................................... Daikin ................................... Manufacturer ........................ .................... ................ X ................

Ebm-papst Inc ...................................................... Ebm-papst ........................... Manufacturer ........................ X X .................... X 

Edison Electric Institute ........................................ EEI ....................................... Utility .................................... X ................ .................... ................

Greenheck Group ................................................. Greenheck ........................... Manufacturer ........................ .................... ................ .................... X 

Ingersoll Rand/Trane ............................................ Ingersoll Rand/Trane ........... Manufacturer ........................ X ................ .................... ................

Johnson Controls .................................................. Johnson Controls ................. Manufacturer ........................ .................... ................ X ................

Lennox International Inc ....................................... Lennox ................................. Manufacturer ........................ X ................ X ................

Marley Engineered Products LLC ........................ MEP ..................................... Manufacturer ........................ .................... ................ .................... X 

Morrison Products Inc .......................................... Morrison Products ............... Manufacturer ........................ X ................ .................... ................

Northwest Energy Efficiency Alliance ................... NEEA ................................... Efficiency Organizations ...... .................... X .................... ................

Pacific Gas and Electric Company, Southern 

California Edison, San Diego Gas and Electric 

Company.

PG&E, SCE, SDG&E .......... Utility .................................... .................... ................ .................... X 

Pacific Gas and Electric Company, San Diego 

Gas and Electric, Southern California Gas 

Company, and Southern California Edison.

CA IOUs .............................. Utility .................................... X X .................... ................

The comments received specific to the 

fan and blower definition, fan and 

blower coverage, and DOE’s decision 

regarding a definition and coverage for 

fans and blowers are discussed in the 

paragraphs that follow. However, DOE 

does not reference or respond to 

comments made by interested parties 

regarding issues that are outside the 

scope of this final determination (e.g., 

comments related to potential energy 

conservation standards and test 

procedures). The comments from 

interested parties and term sheet 

recommendations related to the test 

procedures and energy conservation 

standards will be addressed separately 

as part of any potential rulemaking for 

establishing test procedures and energy 

conservation standards for fans and 

blowers. Further, comments related to 

fume hoods are not discussed in this 

final determination as DOE has 

determined it does not have the 

statutory authority to include fume 

hoods as covered equipment. 

A. Definition and Scope of Coverage 

Although EPCA lists fans and blowers 

as types of equipment that may be 

defined as industrial equipment, these 

terms are not defined. (See 42 U.S.C. 

6311(2)(B)(ii) and (iii)) As noted, DOE 

proposed definitions for ‘‘fan’’ and 

‘‘blower’’ in the June 2011 NOPD.11 76 


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12ANSI/AMCA Standard 99–10: Standards 

Handbook. Available at www.amca.org. 

13Fans and compressors are equipment used to 

move amounts of gas (generally air). A fan moves 

gas with a low increase in pressure while a 

compressor moves gas with a high increase in 

pressure. DOE established a definition of 

compressor as follows: A machine or apparatus that 

converts different types of energy into the potential 

energy of gas pressure for displacement and 

compression of gaseous media to any higher 

pressure values above atmospheric pressure and has 

a pressure ratio at full-load operating pressure 

greater than 1.3. See 10 CFR 431.342. 

14AMCA recommended defining fan as a rotary 

bladed machine designed to convert mechanical 

power to air power in order to maintain continuous 

flow from the inlet(s) to outlet(s). Energy output is 

limited to 25 kJ/kg of air. A fan contains the 

following basic components: (a) Impeller(s): Rotary 

bladed aerodynamic component responsible for the 

total energy increase of the airstream delivered by 

the fan; (b) Fan Structure: Any integral 

component(s) necessary to support the impeller, 

alter(s) the energy-composition of the airstream, or 

direct(s) flow into or out of the impeller. These 

components must be present when testing to 

develop performance ratings of the fan; (c) Inlet: 

Surface(s) bounded by a portion of the fan structure 

across which air enters the fan; (d) Outlet: 

Surface(s) bounded by a portion of the fan structure 

from which air exits the fan. (Docket No. EERE– 

2013–BT–STD–0006; AMCA, No. 19, at p. 43) 

15Appliance Standards Awareness Project, 

Northwest Energy Efficiency Alliance, Natural 

Resources Defense Council, and Alliance to Save 

Energy. 

16ANSI/AMCA Standard 99–10: Standards 

Handbook. Available at www.amca.org. 

FR 37678, 37679. Specifically, DOE 

proposed the following definitions: 

A fan is an electrically powered device 

used in commercial or industrial systems to 

provide a continuous flow of a gas, typically 

air, for ventilation, circulation, or other 

industrial process requirements. Fans are 

classified as axial or centrifugal. Axial fans 

move an airstream along the axis of the fan. 

Centrifugal fans generate airflow by 

accelerating the airstream radially. A fan may 

include some or all of the following 

components: motor and motor controls, rotor 

or fan blades, and transmission and housing. 

A blower is a type of centrifugal fan. 

Id. 

In response to the June 2011 NOPD, 

the CA IOUs encouraged DOE to consult 

test procedures of AMCA, American 

Society of Heating, Refrigeration and 

Air-Conditioning Engineers 

(‘‘ASHRAE’’), and National Fire 

Protection Association, as well as any 

other test procedures that may be 

relevant to this rulemaking. They also 

encouraged DOE to develop a more 

robust definition for blowers suggesting 

that fans and blowers are differentiated 

by the method used to move the air and 

by the system pressure they must 

operate against. The CA IOUs 

recommended DOE rely on specific 

ratios of the discharge pressure over the 

suction pressure, to define fans and 

blowers. The CA IOUs also urged DOE 

to ensure that the definitions for fans do 

not overlap with residential air handlers 

or commercial packaged air 

conditioning units. (CA IOUs, No. 6, at 

pp. 3–5). 

In response to the June 2011 NOPD, 

NEEA asked whether the proposed 

definition of ‘‘fan’’ included mixed flow 

fans which have aspects of both an axial 

and centrifugal fan, citing a tubular 

centrifugal fan as an example of this 

type of fan. NEEA also asked whether 

the proposed definition of ‘‘blower’’ 

would include mixed flow blowers that 

have aspects of both an axial and 

centrifugal fan and are frequently used 

for laboratory exhaust applications. 

(NEEA, No. 5, at p. 1–2). The Efficiency 

advocates encouraged DOE to cover 

mixed flow fans (Efficiency advocates, 

No. 4, at p. 3). 

In response to the June 2011 NOPD, 

AMCA commented generally that the 

proposed definitions of fans and 

blowers were not consistent with the 

established fan industry definitions and 

recommended that DOE adopt the 

relevant industry standards (AMCA, No. 

7, at p. 3). 

Taking into consideration the 

comments received to the June 2011 

NOPD, in the January 2013 Framework 

Document, DOE considered the 

following definitions for ‘‘fan’’ and 

‘‘blower:’’ 

Commercial/Industrial Fan: A device used 

in commercial or industrial systems to 

provide a continuous flow of a gas, typically 

air, by an impeller fit to a shaft and 

bearing(s). A fan may be manufactured with 

or without a housing component. 

Blower: An axial or centrifugal fan with a 

specific ratio between 1.11 and 1.20. 

(January 2013 Framework Document at 

pp. 7 and 9) 

DOE also acknowledged that the 

terms ‘‘fan’’ and ‘‘blower’’ are used 

interchangeably by the industry. 

(January 2013 Framework Document at 

p. 9) 

In response to the January 2013 

Framework Document, the CA IOUs 

commented that AMCA 99–10, 

‘‘Standards Handbook’’ 12 included a fan 

definition and that the American 

Society of Mechanical Engineers 

(‘‘ASME’’) relied on specific ratios of the 

total pressure at the outlet of the 

equipment over the total inlet pressure 

to distinguish between fans, blowers, 

and compressors. The CA IOUs 

commented that DOE should ensure the 

definitions for fans, blowers, and 

compressors 13 are aligned to prevent 

any loopholes. (Docket No. EERE–2013– 

BT–STD–0006; CA IOUs, No. 11, at p. 

3) Morrison Products commented that 

while the industry used the terms fan 

and blower interchangeably, they 

recommend using the ASME 

terminology. (Docket No. EERE–2013– 

BT–STD–0006; Morrison Products, No. 

15, at p. 5) AMCA commented that the 

terms fan and blower were used 

interchangeably and suggested a 

definition for the term fan.14 (Docket 

No. EERE–2013–BT–STD–0006; AMCA, 

No. 19, at pp. 4, 43) The American 

Council for an Energy-Efficient 

Economy and other efficiency 

organizations 15 (‘‘ACEEE, et al.’’) 

commented in support of establishing a 

broad definition for fans and then 

specify which fans should be excluded 

from coverage, as this approach is more 

administrable and less subject to 

unintended loopholes. ACEE, et al. also 

commented that the a distinction 

between fans, blowers, and compressors 

has not been established. (Docket No. 

EERE–2013–BT–STD–0006; ACEEE, et 

al.; No. 25, at p. 3) In response to the 

January 2013 Framework Document, 

ebm-papst commented that the terms 

‘‘commercial’’ and ‘‘industrial’’ would 

require further clarification and that a 

fan definition should rely on physical 

features (e.g., size, performance, 

construction). Ebm-papst noted that in 

Europe, an impeller fitted to a shaft and 

bearing is not considered a ‘‘fan’’. 

Rather the entity that combines the 

impeller with an electric motor is 

considered the fan manufacturer. 

(Docket No. EERE–2013–BT–STD–0006; 

emb-papst, No. 20, at p. 6) Emb-papst 

added a fan description from the 

European Ventilation Industry 

Association which describes a fans as: 

‘‘A fan is a combination of an 

impeller(s) and motor. It may also 

include a housing, mechanical drive 

and a variable speed drive.’’ (Docket No. 

EERE–2013–BT–STD–0006; emb-papst, 

No. 20, at p. 8) 

Consistent with DOE’s 

acknowledgement, the Working Group 

commented that the terms ‘‘fan’’ and 

‘‘blower’’ are used interchangeably in 

the U.S. market and suggested 

eliminating the term ‘‘blower’’ to avoid 

potential confusion. (Docket No. EERE– 

2013–BT–STD–0006; Public Meeting 

Presentation, No. 106, at p. 47) To the 

extent that a blower would meet the 

criteria in the proposed definition, it is 

a fan. As such, DOE is not considering 

further a separate definition for 

‘‘blower.’’ 

DOE reviewed existing industry 

standards to compare how industry 

standards define the terms fan and 

blower and distinguish this equipment 

from compressors. AMCA 99–10 16

includes an energy limit of 25 kilojoule 


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17This value characterizes the increase in 

pressure of the air being moved by the fan. An 

energy output of 25 kJ/kg is equivalent to a pressure 

ratio of 1.3. For an air density of 1.2 kg/m3, the fan 

pressure is 1.2 × 25 kJ/kg, i.e., 30 kPa, and the 

pressure ratio is calculated as (100+30)/100 = 1.30 

(where atmospheric pressure = 100 kPa). 18ASME PTC 11–2008 Standard: Fans. Available 

at www.asme.org. 

19 ISO 13349:2010 Fans—Vocabulary and 

definitions of categories. Available at www.iso.org. 

20ANSI/AMCA 214–21, Test Procedure for 

Calculating Fan Energy Index (FEI) for Commercial 

and Industrial Fans and Blowers. (‘‘AMCA 214– 

21’’) 

21For an air density of 1.2 kg/m3, the fan pressure 

is 1.2 × 25 kJ/kg, i.e., 30 kPa, and the pressure ratio 

is calculated as (100 + 30)/100 = 1.30 (where 

atmospheric pressure = 100 kPa). 

(‘‘kJ’’)/kilogram (‘‘kg’’) of air 17 in its fan 

definition. As discussed, the specific 

ratio is often used to separate fans 

(specific ratio less than or equal to 1.11), 

blowers (specific ratio greater than 1.11 

and less than or equal to 1.20), and 

compressors (specific ratio greater than 

1.20), however, ASME states that this 

distinction in common practice is 

imprecise.18 The ISO 13349:2010, 

‘‘Fans—Vocabulary and definitions of 

categories’’ 19 defines fans based on a 

maximum energy limit of 25 kJ/kg of air 

and indicates that this is equivalent to 

a specific ratio of 1.3. DOE presented 

this information to the Working Group. 

(Docket No. EERE–2013–BT–STD–0006; 

Public Meeting Presentation, No. 106, at 

p. 47). Subsequently, the Working 

Group developed a draft definition of 

fan as follows: ‘‘a rotary bladed machine 

used to convert power to air power with 

an energy output limited to 25 kJ/kg of 

air; typically consisting of an impeller, 

a shaft, bearings, a structure or housing, 

transmission, driver, and control if 

included by the manufacturer at the 

time of sale’’. The Working Group noted 

that this definition was still a work in 

progress and that AMCA would consult 

its technical committee to confirm the 

value used to characterize the energy 

output limit (Docket No. EERE–2013– 

BT–STD–0006; Public Meeting 

Presentation, No. 106, at pp. 45, 47). 

Subsequently, AMCA’s fan technical 

committee commented in support of the 

Working Group’s definition. (Docket No. 

EERE–2013–BT–STD–0006; AMCA, No. 

74, at p. 1) This definition was later 

included as a draft working definition in 

a draft term sheet with some 

modifications as follows: ‘‘a rotary 

bladed machine used to convert power 

to air power, with an energy output 

limited to 25 kJ/kg of air, consisting of 

an impeller, a shaft, bearings, and a 

structure or housing; and includes any 

transmissions, driver, and/or controls if 

integrated, assembled, or packaged by 

the manufacturer at the time of sale.’’ 

(Docket No. EERE–2013–BT–STD–0006; 

Draft Term Sheet, No. 143 at p. 1) The 

approved term sheet did not include a 

recommended definition of ‘‘fan,’’ as the 

definition established by the Working 

Group was still considered a draft 

definition at the time. (Docket No. 

EERE–2013–BT–STD–0006; Public 

Meeting Transcript, No. 165 at p. 76) 

Ingersoll Rand/Trane, commented in 

support of the fan definition as drafted 

by the Working Group (Docket No. 

EERE–2013–BT–STD–0006; Ingersoll 

Rand/Trane, No. 153 at p. 6). 

A recent industry test procedure, 

AMCA 214–21,20 includes a definition 

similar to that drafted by the Working 

Group. AMCA 214–21 defines a fan as 

follows: ‘‘a rotary bladed machine used 

to convert electrical or mechanical 

power to air power, with an energy 

output limited to 25 kJ/kg of air. It 

consists of an impeller, a shaft and 

bearings and/or driver to support the 

impeller, as well as a structure or 

housing. A fan may include a 

transmission, driver, and/or motor 

controller.’’ 

In the May 2021 RFI, DOE requested 

comments on this definition and the 

potential addition of the descriptor 

‘‘commercial and industrial’’ with the 

term ‘‘fan’’ to clarify that the subject 

fans are industrial equipment and that 

the term excludes ceiling fans and 

furnace fans, both covered products 

defined at 10 CFR 430.2. In the May 

2021 RFI, DOE also initially determined 

that the terms ‘‘fan’’ and ‘‘blower’’ can 

be used interchangeably. 86 FR 24752, 

24754. 

In response to the May 2021 RFI, 

ASAP/NRDC supported the adoption of 

the AMCA 214–21 definition of fan as 

the definition for commercial and 

industrial fans. (ASAP/NRDC, No. 14, at 

p. 1) PG&E, SCE, SDG&E also 

commented in support of this 

definition. In addition, PG&E, SCE, 

SDG&E commented that the AMCA 

214–21 fan definition included an 

energy output limit of 25 kJ/kg of air 

which is appropriate to distinguish a fan 

from a compressor (PG&E, SCE, SDG&E, 

No. 17, at pp. 1–2). Further, PG&E, SCE, 

SDG&E noted that the definition for fans 

in AMCA 214–21 includes the option 

(but not the requirement) for a motor 

controller and is not specific to 

electrically-driven equipment. PG&E, 

SCE, SDG&E, also noted that the 

definition does not specify a fan flow 

angle and includes centrifugal, axial, 

and mixed-flow blade orientations (i.e., 

what are commonly referred to as 

‘‘blowers’’). (PG&E, SCE, SDG&E, No. 

17, at p. 2). AMCA, Greenheck, and 

ebm-papst supported the definition of 

fan in AMCA 214–21 and further 

verified that they consider the terms 

‘‘fan’’ and ‘‘blower’’ to be 

interchangeable (AMCA, No. 12, at p. 3; 

ebm-papst, No. 19, at p. 1; Greenheck, 

No. 18, at p. 1). AMCA also supported 

DOE’s position that the definition of 

compressor in the compressor 

regulation sufficed to differentiate fans 

from compressors. (AMCA, No. 12, at p. 

3) Ebm-papst stated that limiting the 

energy output to 25 kJ/kg of air on the 

fan definition is appropriate to 

distinguish a fan from a compressor 

(ebm-papst, No. 19, at p. 1). In addition, 

AMCA commented that fans that use 

steam, combustion, or drivers other than 

electric motors suitable to be powered 

by the electricity ‘‘grid’’ should be 

exempted from any future DOE 

regulation. (AMCA, No. 12, at p. 2) 

DOE is establishing a definition for 

fan or blower, which provides the scope 

of coverage of the final determination, 

and is identical to the definition of 

‘‘fan’’ in AMCA 214–21. DOE has 

determined that the terms ‘‘fan’’ and 

‘‘blower’’ are used interchangeably in 

the U.S. market and therefore applies 

the same definition to the terms ‘‘fan’’ 

and ‘‘blower’’ (also referred to 

collectively as ‘‘fan’’ in the remainder of 

this final determination). 

DOE notes that the maximum energy 

limit of 25 kJ/kg of air is equivalent to 

a pressure ratio of 1.3.21 The value of 1.3 

matches the pressure ratio used in the 

definition of compressor at 10 CFR 

431.342. Based on the comments from 

interested parties and on the existing 

DOE definition of ‘‘compressor,’’ DOE 

concludes that the maximum fan energy 

limit of 25 kJ/kg is appropriate to 

distinguish fans from compressors and 

is adopting this upper limit in the 

definition. 

With regard to the criterion that a fan 

must convert ‘‘electrical and mechanical 

power into air power,’’ fans that are 

powered by an engine or any other 

driver would meet this criterion as the 

engine or other driver would be 

providing mechanical power that is 

converted into air power. Inclusion of 

the term ‘‘mechanical’’ covers fans that 

are sold without an electric motor or 

other driver and which convert 

mechanical power into airpower. 

In response to the May 2021 RFI, 

Ebm-papst agreed that the ‘‘fan’’ 

definition in AMCA 214–21 is 

appropriate for the coverage 

determination and commented that the 

‘‘commercial and industrial fan’’ 

definition, as based on the AMCA 214– 

21 fan definition, should include 

circulating fans that are not ceiling fans 

as defined at 10 CFR 430.2. (ebm-papst, 


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22As previously discussed, AHRI repeated these 

arguments in response to the May 2021 RFI. 

No. 19, at p. 1) PG&E, SCE, SDG&E 

commented that including the terms 

‘‘commercial and industrial’’ with ‘‘fan’’ 

would limit confusion with residential 

products, i.e., circulating fans and 

furnace fans. (PG&E, SCE, SDG&E, No. 

17, at p. 2) CTI generally supported the 

adoption of the AMCA 214–21 

definition of fan as the definition for 

commercial and industrial fans but 

asserted that the definition was unclear 

as to which fans would fall within 

DOE’s scope of coverage. CTI explained 

that they were neutral on the term 

‘‘commercial and industrial’’ to further 

describe fans, but expressed concern 

with the fans that could fall under such 

descriptor. In addition, CTI expressed 

concerns that embedded fans were not 

explicitly excluded from the scope of 

AMCA 214–21, only its foreword, and 

thought that embedded fans should be 

specifically excluded from the scope of 

AMCA 214–21. (CTI, No. 13, pp. 1–2) 

AMCA recommended that ceiling fans 

and furnace fans be explicitly excluded 

from the scope of any potential DOE 

regulation because of the existing 

regulations of those products. (AMCA, 

No. 12, at p. 3) 

While generally supporting use of the 

AMCA 214–21 definition as the DOE 

definition for ‘‘fan’’, AHRI expressed 

that ‘‘commercial and industrial’’ had a 

‘‘special meaning’’ not identical to the 

214–21 definition of fan and that hat 

required further elaboration by DOE. 

AHRI recommended that the definition 

for ‘‘commercial and industrial fan’’ 

needs to make clear that fans within 

scope are industrial equipment, 

including commercial fans per 42 U.S.C. 

6311(2), and exclude ceiling fans, 

furnace fans, and fans embedded in 

other consumer products. (AHRI, No. 

16.2, at p. 2). AHRI also suggested a 

definition for ‘‘commercial and 

industrial fans’’ that would exclude 

equipment that utilizes single-phase 

electricity and exclude equipment with 

a rated fan shaft power less than or 

equal to 1 hp (or fan electrical input 

power above 0.89 kilowatts), and listed 

specific equipment categories 

containing fans for which AHRI 

recommends exclusions (AHRI, No. 

16.1, at p. 1; 16.2, at pp. 2, 3). AHRI 

asserted that collectively these 

exclusions would be consistent with the 

scope of the AMCA 214–21 test 

procedure, the scope of the test 

procedure as recommended in the 

petition presented in the April 2020 

Notice of Petition, and the scope of the 

test procedure and energy conservation 

standards as recommended by the 

Working Group. AHRI also expressed 

concern that manufacturers of DOE 

regulated equipment that contain 

commercial and industrial fans would 

be subject to double regulations. (AHRI, 

No. 16.2, at p. 3). Ebm-pabst, while 

stating its support of the AMCA 214–21 

‘‘fan’’ definition for use in DOE’s 

coverage determination, also suggested 

that furnace fans and ceiling fans, as 

defined in 10 CFR 430.2, should be 

specifically excluded in the 

‘‘commercial and industrial fan’’ 

definition and commented that fans 

operating at three-phase or rated at 

greater than 127 volts would typically 

be considered as commercial and 

industrial fans (ebm-papst, No. 19, at 

p.1). MEP recommended that the 

definition for a commercial and 

industrial fan should include a 

requirement for polyphase electric 

current with a fan shaft power greater 

than 3 hp, to avoid including 

‘‘residential fans’’ in regulations. (MEP, 

No. 15, at p. 1). AMCA commented that 

the scope of any potential DOE 

regulation should be based on a lower 

shaft power limit of 1 horsepower to 

align with ASHRAE 90.1–2019 and the 

2021 International Energy Conservation 

Code. (AMCA, No.12, at p. 3) 

While generally supporting use of the 

AMCA 214–21 definition as the DOE 

definition for ‘‘fan’’, Greenheck 

recommended establishing a separate 

definition for fans that are embedded in 

a manufactured assembly where the 

assembly includes functions other than 

air movement require further definition 

that considers the utility, function and 

overall energy consumption and 

efficiency of the manufactured 

assembly. (Greenheck, No. 18, p. 1) MEP 

also recommended that DOE establish a 

separate definition for embedded fans as 

provided by AMCA 214–21 and to make 

clear that embedded fans are not 

included in the definition of ‘‘fans.’’ 

(MEP, No. 15, at p. 1) CTI commented 

that the majority of fan energy savings 

derive from standalone fans as opposed 

to embedded fans. CTI commented that 

an exemption for fans used in heat 

rejection equipment is appropriate 

because the overall performance of the 

heat rejection equipment is the key 

metric and not the performance of the 

individual fan component. (CTI, No. 13, 

at p. 2) 

In response to the April 2020 Notice 

of Petition, DOE received a number of 

comments relevant to the scope of the 

determination. AHRI commented that 

DOE should initiate a new coverage 

determination process and that the final 

scope of coverage should be limited to 

stand-alone fans. AHRI commented that 

HVACR and water heating equipment is 

built, tested, rated, and certified as a 

completed design; and that modifying a 

component, including fans, would 

change the performance of the 

equipment. AHRI commented that 

energy conservation standards could 

create a safety issue for replacement 

fans in equipment to the extent that 

compliance with safety and 

performance standards could be affected 

by a change in the fan performance. 

(Docket No. EERE–2020–BT–PET–0003; 

AHRI, No. 14 at p. 3) 22 Daikin 

commented in support of AHRI’s 

comment. (Docket No. EERE–2020–BT– 

PET–0003; Daikin, No. 8 at p. 1) Lennox 

similarly opposed regulating fans that 

are components of HVACR equipment. 

(Docket No. EERE–2020–BT–PET–0003; 

Lennox, No. 5 at pp. 2–3) 

In response to the April 2020 Notice 

of Petition, Johnson Controls 

commented in support of initiating a 

coverage determination for commercial 

and industrial fans and blower products 

within the same scope and noted 

exemptions of the petition by AMCA, 

the Air Conditioning Contractors of 

America, and the Sheet Metal & Air 

Conditioning Contractors of America. 

Johnson Controls commented that they 

strongly oppose any regulatory 

measures aimed at fans that are 

components of heating, ventilation, and 

air conditioning (‘‘HVAC’’) equipment 

where the primary purpose of the 

equipment is to heat or cool a space, 

and for which there are already wellestablished equipment-level energy 

efficiency. (Docket No. EERE–2020–BT– 

PET–0003; Johnson Controls, No. 10 at 

p. 1) 

In this final rule, DOE is no longer 

including the description ‘‘commercial 

and industrial’’ with the term ‘‘fan’’, 

since DOE has determined that this 

language is redundant, given the 

statutory definition of ‘‘industrial 

equipment’’ in 42 U.S.C. 6311(2). In 

addition, as noted above, comments also 

raised questions as to whether including 

‘‘commercial and industrial’’ would 

provide more clarity or provoke more 

uncertainty. The definition of 

‘‘industrial equipment’’ explicitly 

excludes covered products, other than a 

component of a covered product. (42 

U.S.C. 6311(2)(A)(iii)) Therefore, the 

inclusion of ‘‘commercial and 

industrial’’ is not necessary to clarify 

the exclusion of ceiling fans and furnace 

fans, both covered products defined at 

10 CFR 430.2. 

While fans would typically operate on 

three-phase power and not on singlephase power, this criterion does not 

necessarily distinguish a fan as 

industrial equipment, because some 


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23 DOE used AEO’s estimate of total energy 

consumption in commercial buildings by end use 

(e.g., lighting, cooking, and office equipment) and 

selected ‘‘ventilation’’ as the representative end use 

for fans as this equipment is used to provide 

building ventilation. 

24Energy Efficiency and Electric Motors, Report 

PB–259 129, A.D. Little, Inc. 1976., U.S. Federal 

Energy Administration, Office of Industrial 

Programs. Springfield, VA: National Technical 

Information Service. 

fans are sold without a motor (making 

it impossible to determine whether they 

would be operated on single-phase or 

three-phase power) and some fans could 

potentially be operated with either a 

three-phase or single-phase motor. As 

such, DOE is not including a phase 

criterion as part of the definition since 

it does not sufficiently distinguish a fan 

as industrial equipment. 

Further, while larger fans (i.e., fans 

with higher fan shaft input power) are 

typically used in commercial and 

industrial applications, some with lower 

fan shaft input power are also used in 

smaller commercial and industrial 

applications. Because nothing would 

formally prevent the use of a fan with 

a lower shaft input power in 

commercial and industrial applications, 

DOE is not using shaft input power in 

defining fans and finds the definition 

as-is will provide sufficient demarcation 

between industrial equipment and 

consumer products. DOE may consider 

fan shaft power when establishing the 

scope for potential fan test procedures 

and energy conservation standards. 

Commenters raised concerns that 

including embedded fans would 

produce overlapping standards and 

create multiple standard cycles, and 

questioned how DOE would evaluate 

performance of embedded fans that 

work as a component of a system. As 

discussed, the statutory definition of 

‘‘industrial equipment’’ generally 

excludes covered products, but does not 

exclude the component of covered 

products. EPCA explicitly provides that 

industrial equipment can be a 

component of a covered product if the 

Secretary determines in a rule that such 

equipment is to a significant extent, 

distributed in commerce other than as 

component parts for consumer products 

and such equipment otherwise meets 

the definition of industrial equipment. 

(42 U.S.C. 6311(2)(A)(iii); 42 U.S.C. 

6312(c)) While some fans that meet the 

definition of ‘‘fan’’ as defined in this 

Final Determination may be component 

parts of consumer products, not all fans 

as defined are such. Therefore, whether 

a fan is embedded is not a criterion that 

can be reliably used to identify ‘‘fans’’. 

While some commenters 

recommended specific exclusions from 

the fan definition, as stated and 

discussed in detail in section II.B, DOE 

has determined that fans as defined in 

this final determination and without 

further exclusions qualify as ‘‘covered 

equipment’’ under part A–1 of Title III 

of EPCA. (See 42 U.S.C. 6311(2)(A) and 

42 U.S.C. 6312(b)) This final 

determination does not establish test 

procedures or energy conservation 

standards for fans. In evaluating 

potential test procedures and energy 

conservation standards, DOE will 

consider the extent to which any such 

test procedures or standards are 

appropriate and justified for specific 

fans. 

Based on the foregoing discussion, 

DOE is establishing the term ‘‘fan’’ to 

mean a rotary bladed machine used to 

convert electrical or mechanical power 

to air power, with an energy output 

limited to 25 kilojoule (kJ)/kilogram (kg) 

of air. It consists of an impeller, a shaft, 

and bearings and/or driver to support 

the impeller, as well as a structure or 

housing. A fan may include a 

transmission, driver, and/or motor 

controller. DOE is applying the same 

definition to the term ‘‘blower’’. 

B. Evaluation of Fans and Blowers as 

Covered Equipment 

As stated previously and discussed in 

detail in the following paragraphs, DOE 

has determined that fans (i.e., fans and 

blowers) meet the criteria for inclusion 

as ‘‘covered equipment.’’ (See 42 U.S.C. 

6311(2)(A) and 42 U.S.C. 6312(b)) 

In response to the April 2020 Notice 

of Petition, AHRI commented that any 

final coverage determination that would 

rely on the analysis performed during 

the ASRAC process would not be 

appropriate given concerns related to 

the fan performance data used which 

was not certified performance data and 

was not confirmed to be reflective of 

fans that are components of HVACR and 

water heating equipment. (Docket No. 

EERE–2020–BT–PET–0003; AHRI, No. 

14 at p. 3) Lennox commented that the 

June 2011 NOPD analysis lacked 

specificity and that DOE should account 

for the findings of the Working Group. 

(Docket No. EERE–2020–BT–PET–0003; 

Lennox, No. 5 at p. 2) 

The November 2016 NODA analysis 

included market and technical 

information to characterize and evaluate 

the impacts of potential standards on 

certain embedded fans. 81 FR 

75742,75751. As presented and 

discussed in detail in sections II.B.1, 

II.B.2, and II.B.4 of this document, DOE 

has updated its analysis to account for 

the findings of the Working Group and 

additional information collected after 

the publication of the November 2016 

NODA. 

As noted, EPCA provides that 

‘‘covered equipment’’ includes any 

other type of industrial equipment 

which the Secretary classifies as 

covered equipment for which the 

Secretary has determined coverage is 

necessary to carry out the purpose of 

Part A–1. 42 U.S.C. 6311(1)(L). 

‘‘Industrial equipment’’ is any article of 

specifically listed equipment that is 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; (3) is not a ‘‘covered 

product,’’ and (4) for which the 

Secretary has determined coverage is 

necessary to carry out the purpose of 

Part A–1. (42 U.S.C. 6311(2)(A); 42 

U.S.C. 6312(b)) 

EPCA lists fans (i.e., fans and blowers) 

among the equipment that may be 

industrial equipment. (42 U.S.C. 

6311(2)(B)(ii) and (iii)) DOE addresses 

the requirements for determining that 

fans are ‘‘industrial equipment’’ and 

‘‘covered equipment’’ in the following 

paragraphs. 

1. Energy Consumption in Operation 

To qualify as ‘‘industrial equipment’’ 

fans and blowers must be of a type 

which in operation consumes, or is 

designed to consume, energy. (42 U.S.C. 

6311(2)(A)(i)) 

In the 2011 NOPD, DOE used 

information from the 2009 U.S. Energy 

Information Administration (‘‘EIA’’) 

Annual Energy Outlook (‘‘AEO’’) to 

estimate the total energy consumption 

of equipment covered under the then 

proposed definitions of fan and blower 

in the commercial sector.23 DOE also 

used the 2009 EIA Manufacturing 

Energy Consumption Survey to estimate 

the total electricity consumption of the 

industrial sector. DOE then used 

information on the percentage of fan 

and blower electricity use in industry 

from an American Council for an 

Energy-Efficient Economy study 24 to 

calculate fan and blower electricity use 

in the industrial sector. DOE estimated 

that ‘‘commercial fans and blowers’’ 

consumed 139,533 million kWh of 

electricity per year while ‘‘industrial 

fans and blowers’’ consumed 90,057 

million kWh of electricity per year. 76 

FR 37678, 37979. 

In response to the 2011 NOPD and the 

May 2021 RFI, AHRI commented that 

the energy consumption estimate 

provided by DOE was based on outdated 

data and did not account for energy 

saving measures required by the major 

energy building codes in the U.S. AHRI 

stated that ASHRAE Standard 90.1– 

2010 Energy Standard for Buildings 

Except Low-Rise Residential Building 


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46586 Federal Register / Vol. 86, No. 158 / Thursday, August 19, 2021 / Rules and Regulations 

25U.S Department of Energy (January 2021), 

United States Industrial and Commercial Motor 

System Market Assessment Report. Volume 1: 

Characteristics of the Installed Base. Retrieved 

February 2, 2021, from eta-publications.lbl.gov/ 

sites/default/files/u.s._industrial_and_commerical_

motor_system_market_assessment_report_vol_1_

.pdf. 

26 DOE notes that distribution for residential use 

does not preclude coverage as covered equipment 

so long as to a significant extent the equipment is 

of a type that is also distributed in commerce for 

industrial and commercial use. 

27AHRI’s submission to the CEC docket is 

available here: CEC Docket 17–AAER–06, 

TN#221201–1. Available at: efiling.energy.ca.gov/ 

GetDocument.aspx?tn=221201- 

1&DocumentContentId=26700. 

28For return and exhaust fans, DOE assumed an 

average of 0.06 to 0.85 fans per unit depending on 

the capacity of the unit instead of 0.5 to 1.5 fans 

per unit. See Table 6 of CEC Docket 17–AAER–06, 

TN#221201–1. Available at: efiling.energy.ca.gov/ 

GetDocument.aspx?tn=221201- 

1&DocumentContentId=26700. 

29The November 2016 NODA analyzed certain 

categories of fans with a fan shaft input power equal 

to or greater than 1 horsepower and fan air power 

equal or less than 150 horsepower as recommended 

in the term sheet. (Docket No. EERE–2013–BT– 

STD–0006; No. 179, Recommendation #1, 2, 3, 5, 

at pp.1–4) 

(‘‘ASHRAE Standard 90.1’’) includes 

limits on the energy consumption of 

commercial fans and has been adopted 

in most states. (AHRI, No. 3, at pp. 2– 

3) 

For this final determination, DOE 

updated its analysis to include 

information from a 2021 DOE study to 

estimate the amount of motor electricity 

use represented by fans and blowers in 

the industrial and commercial sectors.25

Based on this study, DOE estimates that 

fans and blowers consume 192,085 

million kWh of electricity per year in 

the commercial sector and 112,942 

million kWh of electricity per year in 

the industrial sector. 

Both the estimates from the June 2011 

NOPD and the updated estimates 

demonstrate that fans and blowers 

consume energy in operation. Therefore, 

DOE concludes that fans and blowers 

satisfy the first element of ‘‘industrial 

equipment’’ required by 42 U.S.C. 

6311(2)(A)(i). 

2. Distribution in Commerce 

To qualify as ‘‘industrial equipment’’ 

fans and blowers must be, to a 

significant extent, distributed in 

commerce for industrial and 

commercial use.26 (42 U.S.C. 

6311(2)(A)(ii)) 

DOE published shipments estimates 

for certain varieties of fans to support 

the November 2016 NODA analysis. The 

November 2016 NODA analyzed a 

subset of fans operating with a shaft 

input power equal to or greater than 1 

horsepower and fan air power equal to 

or less than 150 horsepower as 

recommended in the term sheet. 

Generally, the scope excluded certain 

fans used in HVACR equipment subject 

to DOE energy conservation standards 

and specific categories of fans such as 

safety fans. 81 FR 75742, 75745–75746 

(Docket No. EERE–2013–BT–STD–0006; 

No. 179, Recommendation #1, 2, 3, 5, at 

pp. 1–4) 

In the November 2016 NODA, DOE 

estimated annual shipments of fans in 

scope of the analysis to be 1.18 million 

with approximately 18 percent for use 

in industrial applications and 82 

percent for use in commercial 

applications. (Docket No. EERE–2013– 

BT–STD–0006; National Impact 

Analysis Spreadsheet, No. 192) The 

shipments of all fans and blowers 

covered under the definition of ‘‘fan’’ as 

established in this final determination 

are likely higher. 

In response to the November 2016 

NODA analysis, A.O. Smith Corporation 

(‘‘A.O. Smith’’) commented that there 

were additional categories of equipment 

that incorporate fans. A.O Smith listed 

equipment such as boilers, water 

heaters, and pool heaters. (Docket No. 

EERE–2013–BT–STD–0006; A.O. Smith, 

No. 219 at p. 2) Greenheck listed other 

HVACR equipment that were not 

captured in DOE’s estimate. (Docket No. 

EERE–2013–BT–STD–0006; Greenheck, 

No. 221.1 at pp. 20–21) However, A.O. 

Smith and Greenheck did not provide 

quantitative information to estimate 

these shipments. (Docket No. EERE– 

2013–BT–STD–0006; A.O. Smith, No. 

219 at p. 2; Greenheck, No. 221.1 at pp. 

20–21) AHRI commented that they 

estimated the number of fans in HVACR 

equipment to be between five to 14 

million units. (Docket No. EERE–2013– 

BT–STD–0006; AHRI, No. 222 at p. 15) 

Daikin commented in support of this 

estimate and added that DOE 

overestimated the number of fans in airhandling units, noting that air-handler 

shipments should be closer to 130,000– 

230,000. (Docket No. EERE–2013–BT– 

STD–0006; Daikin, No. 216 at p. 4) 

AHRI submitted additional shipments 

data to the California Energy 

Commission (‘‘CEC’’) Fan rulemaking 

docket which included updated 

shipments estimates.27

DOE reviewed the data submitted by 

AHRI to the CEC and subsequently 

revised the shipment estimates prepared 

for the November 2016 NODA. 

Specifically, DOE revised (1) air 

handling unit shipments from 330,402 

units to 65,000 units; (2) chiller 

shipments from 12,759 to 27,000 units 

and used 7 instead of 14 fans per unit 

to calculate corresponding fan units; 

and (3) the number of fans per unit used 

in commercial packaged airconditioning and heating equipment by 

capacity range.28 The updates reduced 

the total shipments for the fans analyzed 

in the November 2016 NODA from 1.18 

million to 721,725 units.29

Based on the shipments data, DOE 

estimates the shipments of fans and 

blowers to be at least 721,725 units per 

year. Both the estimates from the June 

2011 NOPD and the updated estimates 

demonstrate that fans and blowers are 

distributed in commerce to a significant 

extent for industrial and commercial 

use, satisfying the second statutory 

element to qualify as ‘‘industrial 

equipment’’. (See 42 U.S.C. 

6311(2)(A)(ii)) 

3. Prior Inclusion as a Covered Product 

To qualify as ‘‘industrial equipment’’ 

fans and blowers must not be a ‘‘covered 

product’’ as that term is defined in 42 

U.S.C. 6291(a)(2). (42 U.S.C. 

6311(2)(A)(iii)) 

‘‘Covered product’’ is defined through 

reference to the enumerated list of 

products at section 6292(a) of EPCA, 

which includes ‘‘any other type of 

consumer product which the Secretary 

classifies as a covered product’’ 

pursuant to certain statutory criteria. (42 

U.S.C. 6291(a)(2)) The fans and blowers 

are not included in the enumerated list 

of covered products in section 6292(a) 

of EPCA and the Secretary has not 

previously determined such fans and 

blowers to be covered products, though 

DOE does regulate ceiling fans and 

furnace fans. Further, the definition of 

fans (i.e., fans and blowers) established 

in this document explicitly excludes 

ceiling fans and furnace fans, both 

defined at 10 CFR 430.2. Therefore, 

equipment that is covered under the 

definition of ‘‘fans’’ (i.e., fans and 

blowers’’ established in this document 

are not covered products as that term is 

defined in 42 U.S.C. 6291(a)(2). 

DOE concludes that the third element 

of ‘‘industrial equipment’’ is satisfied. 

(See 42 U.S.C. 6311(2)(A)(iii)) 

4. Coverage Necessary To Carry Out the 

Purposes of Part A–1 

The purpose of Part A–1 is to improve 

the energy efficiency of electric motors, 

pumps, and certain other industrial 

equipment to conserve the energy 

resources of the Nation. (42 U.S.C. 

6312(a)) In the 2011 NOPD, DOE 

initially determined that coverage of 

fans and blowers was necessary to carry 

out the purposes of Part A–1 of EPCA 

because coverage would potentially 

promote the conservation of energy 


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30Martin, N., Worrel, E., et al. Emerging Energy 

Efficient Industrial Technologies, LBNL–46990, 10/ 

2000. 

31The national impact analysis tool and results 

supporting the November 2016 NODA are available 

online at https://www.regulations.gov/document/ 

EERE-2013-BT-STD-0006-0192. 

32See AMCA’s DOE Fan efficiency Proposal 

presented at the 59th AMCA Annual Meeting, 

January 24, 2015. 

33Based on the difference in fan efficiency targets 

at EL0 and EL6. 

34The efficiency distributions reflect market 

shares of fan shipments by efficiency level in the 

absence of an energy conservation standard. In the 

November 2016 NODA, DOE assumed that some 

fans are already being purchased at efficiency levels 

above the baseline. See ‘‘LCC Input’’ tab of the 

national impact analysis tool (Row #39) Available 

at https://www.regulations.gov/document/EERE2013-BT-STD-0006-0192. 

35ANSI/ASHRAE/IES Standard 90.1–2019 (I–P), 

Energy Standard for Buildings Except Low-Rise 

Residential Buildings. Section 6.5.3.1.3 ‘‘Fan 

efficiency’’. 

36To estimate these savings, DOE subtracted the 

national energy savings estimates at EL3 from the 

national energy savings estimates as projected by in 

the November 2016 NODA. The national impact 

analysis tool and results supporting the November 

2016 NODA are available online at https://

www.regulations.gov/document/EERE-2013-BTSTD-0006-0192. 

resources. DOE estimated that 

technologies exist that could reduce the 

electricity consumption of fans by as 

much as 20 percent.30 76 FR 37678, 

37680. 

In response to the 2011 NOPD, the CA 

IOUs commented that commercial and 

industrial fans and blowers represent a 

significant potential for energy savings. 

To illustrate the potential energy 

savings, the CA IOUs presented 

estimates of how different blade designs 

compare in terms of energy efficiency, 

noting that some designs (i.e., airfoil, 

backward curved/inclined centrifugal 

fans and vanaxial axial fans) are better 

than others. (CA IOUs, No. 6 at pp. 1– 

2) 

In response to the June 2011 NOPD, 

AHRI commented that systems that 

includes commercial and industrial fans 

and blowers are already subject to DOE 

energy conservation standards. AHRI 

asserted that Part A–1’s purpose has 

already been achieved through DOE’s 

energy conservation standards for 

commercial equipment; the minimum 

energy efficiency requirements within 

these standards adequately account for 

the energy consumption of various 

components within a system, including 

fans and blowers. (AHRI, No. 3 at pp. 1– 

2) In response to the January 2013 

Framework Document, AHRI added that 

setting energy conservation standards 

for fans and blowers used in HVAC 

applications would not ensure an 

optimized energy savings solution for 

this category of equipment and that 

ASHRAE Standard 90.1 already 

includes fan efficiency requirements for 

certain categories of HVAC fans. (Docket 

No. EERE–2013–BT–STD–0006; AHRI, 

No. 12 at p. 1) Also, in response to the 

January 2013 Framework Document, 

AMCA, EEI, Lennox, commented that 

DOE’s analysis should account for the 

existing fan efficiency requirements in 

ASHRAE Standard 90.1. (Docket No. 

EERE–2013–BT–STD–0006; AMCA, No. 

19 at pp. 5, 32; EEI, No. 13 at p. 2; 

Lennox, No. 18, at p. 3;) Ingersoll Rand/ 

Trane noted that HVAC equipment that 

incorporate fans are already subject to 

minimum efficiency requirements in 

ASHRAE Standard 90.1. For fans going 

into these HVAC equipment, Ingersoll 

Rand/Trane commented that any 

improvements in the fan energy 

efficiency would not results in any 

energy savings as the HVAC equipment 

would continue to be designed to meet 

the equipment level metrics required by 

ASHRAE 90.1. (Docket No. EERE–2013– 

BT–STD–0006; Ingersoll Rand/Trane, 

No. 24, at p. 2) In response to the June 

2011 NOPD, CTI also commented that 

much of the energy savings for 

standalone fans is already captured in 

ASHRAE 90.1 and in the International 

Energy Conservation Code. (CTI, No. 13, 

at p. 2) 

In response to the May 2021 RFI, 

AHRI reiterated its concern that the data 

evaluated in DOE’s previous NODA 

analyses used a fan database with fan 

performance characteristics that may 

not have appropriately represented 

embedded fans. (AHRI, No. 16.2, at p. 5) 

Greenheck recommended that DOE 

reevaluate the potential energy savings 

for fans based on the new fan energy 

requirements included in the 2019 

version of ASHRAE 90.1, as well as 

savings obtained from ongoing utility 

incentive programs, related state energy 

standards/codes and industry 

performance certifications programs. 

(Greenheck, No. 18, at pp. 2, 3) 

In the November 2016 NODA, DOE 

provided estimates of national energy 

savings that may result from potential 

energy conservation standards.31 DOE 

analyzed six efficiency levels (‘‘ELs’’) 

representing lower efficiency fans 

(‘‘baseline level’’—EL0) and higher 

efficiency fans (‘‘max tech’’—EL6). To 

develop these efficiency levels, DOE 

identified existing technology options 

that affect efficiency. DOE then 

conducted a screening analysis to 

review each technology option and 

decide whether it: (1) Is technologically 

feasible; (2) is practicable to 

manufacture, install, and service; (3) 

would adversely affect product utility or 

product availability; or (4) would have 

adverse impacts on health and safety. 

The technology options remaining after 

the screening analysis consisted of a 

variety of impeller designs and guide 

vanes. DOE used these technology 

options to divide the fan groups into 

subgroups and conducted a marketbased assessment of the prevalence of 

each subgroup at the different efficiency 

levels analyzed. DOE analyzed six 

efficiency levels in the November 2016 

NODA, including one efficiency level 

representing the efficiency target as 

recommended by AMCA 32 as well as 

additional levels above and below. 81 

FR 75742, 75748. DOE estimated that 

technologies exist that could reduce the 

electricity consumption of a baseline fan 

by as much as 30 percent,33 resulting in 

national energy savings ranging from 

0.79–6.96 quads site savings over the 30 

year analysis period (2.2 to 19.1 quads 

Full Fuel Cycle) depending on the EL 

considered. (Docket No. EERE–2013– 

BT–STD–0006; National Impact 

Analysis Spreadsheet, No. 192) 

Regarding ASHRAE Standard 90.1 

and its effect on the current mix of fan 

and blower efficiencies on the market, 

DOE considered confidential sales data 

provided by AMCA in development of 

fan efficiency distributions for the 

November 2016 NODA. DOE collected 

additional technical and market 

information specific to embedded fans 

to represent both the embedded fan and 

standalone fan markets. DOE applied 

these efficiency distributions to account 

for the fact that more efficient fans are 

already on the market when estimating 

energy savings from potential energy 

conservation standards. 81 FR 75742, 

75751–75752.34 Further, since the 

publication of the November 2016 

NODA, the industry standard in 

ASHRAE Standard 90.1 applicable to 

fans was revised to include updated fan 

efficiency requirements corresponding 

to approximately the stringency level in 

EL 3 as analyzed in the November 2016 

NODA.35 Because ASHRAE Standard 

90.1 is approximately as stringent as EL 

3 in the 2016 NODA analysis, the 

figures and analysis from the 2016 

NODA can be used to determine 

remaining potential energy savings, 

assuming a full implementation of the 

fan requirements in ASHRAE 90.1. Even 

assuming full implementation of 

ASHRAE Standard 90.1, DOE estimates 

that there would remain a potential for 

additional energy savings ranging from 

0.55–5.5 quads site energy savings (1.5 

to 15.1 quads FFC energy savings) over 

the 30 year analysis period.36

The national energy savings results 

presented in the November 2016 NODA 


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and the subsequent estimates that 

assume full implementation of relevant 

industry standards demonstrate that 

coverage of fans and blowers and energy 

conservation standards that may result 

from such coverage would improve the 

efficiency of fans and blowers. Such 

standards would further the purpose of 

Part A–1, to conserve the energy 

resources of the Nation. 

C. Final Determination 

Based on the foregoing discussion, 

DOE concludes that including fans and 

blowers, as defined in this final 

determination, as covered equipment is 

necessary to carry out the purposes of 

Part A–1. Based on the information 

discussed in sections II.B.1, II.B.2, and 

II.B.3 of this final determination, DOE is 

classifying fans and blowers as covered 

equipment. 

This final determination does not 

establish test procedures or energy 

conservation standards for fans and 

blowers. DOE will address test 

procedures and energy conservation 

standards through its normal 

rulemaking process. 

III. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

This coverage determination has been 

determined to be not significant for 

purposes of Executive Order (‘‘E.O’’) 

12866, ‘‘Regulatory Planning and 

Review,’’ 58 FR 51735 (Oct. 4, 1993). As 

a result, the Office of Management and 

Budget (‘‘OMB’’) did not review this 

final determination. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

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

of an initial regulatory flexibility 

analysis (‘‘IRFA’’) for any rule that by 

law must be proposed for public 

comment, unless the agency certifies 

that the rule, if promulgated, will not 

have a significant economic impact on 

a substantial number of small entities. 

As required by E.O. 13272, ‘‘Proper 

Consideration of Small Entities in 

Agency Rulemaking,’’ 67 FR 53461 

(Aug. 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 the General 

Counsel’s website (https://energy.gov/ 

gc/office-general-counsel). 

DOE reviewed this final rule under 

the provisions of the Regulatory 

Flexibility Act and the policies and 

procedures published on February 19, 

2003. This final determination does not 

establish test procedures or standards 

for fans and blowers. On the basis of the 

foregoing, DOE certifies that this final 

determination has no significant 

economic impact on a substantial 

number of small entities. Accordingly, 

DOE has not prepared an IRFA for this 

final determination. DOE will transmit 

this certification and supporting 

statement of factual basis to the Chief 

Counsel for Advocacy of the Small 

Business Administration for review 

under 5 U.S.C. 605(b). 

C. Review Under the National 

Environmental Policy Act of 1969 

Pursuant to the National 

Environmental Policy Act (NEPA) of 

1969, DOE has analyzed this proposed 

action in accordance with NEPA and 

DOE’s NEPA implementing regulations 

(10 CFR part 1021). DOE has determined 

that this rule qualifies for categorical 

exclusion under 10 CFR part 1021, 

subpart D, appendix A6 because it is 

strictly procedural and meets the 

requirements for application of a CX. 

See 10 CFR part 1021410. Therefore, 

DOE has determined that promulgation 

of this rule is not a major Federal action 

significantly affecting the quality of the 

human environment within the meaning 

of NEPA, and does not require an 

Environmental Assessment or 

Environmental Impact Statement. 

D. Review Under Executive Order 13132 

E.O. 13132, ‘‘Federalism,’’ 64 FR 

43255 (Aug. 10, 1999), imposes certain 

requirements on Federal agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive order also requires agencies to 

have an accountable process to ensure 

meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. 65 FR 

13735. 

EPCA governs and prescribes Federal 

preemption of State regulations as to 

energy conservation for the industrial 

equipment that is the subject of this 

final determination. (42 U.S.C. 

6316(a)(10); 42 U.S.C. 6297) Regarding 

equipment for which DOE has made a 

coverage determination pursuant to 42 

U.S.C. 6311(1)(L) the preemption 

provisions of 42 U.S.C. 6297 begin on 

the date on which a final rule 

establishing an energy conservation 

standard is issued by the Secretary, 

except that any State or local standard 

prescribed or enacted for the equipment 

before the date on which the final rule 

is issued shall not be preempted until 

the energy conservation standard 

established by the Secretary for the 

equipment takes effect. (42 U.S.C. 

6316(a)(10)) This final determination 

does not establish energy conservation 

standards for fans and blowers. DOE has 

examined this final determination and 

concludes that it does not preempt State 

law or have substantial direct effects on 

the States, on the relationship between 

the Federal government and the States, 

or on the distribution of power and 

responsibilities among the various 

levels of government. No further action 

is required by E.O. 13132. 

E. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of E.O. 

12988, ‘‘Civil Justice Reform,’’ imposes 

on Federal agencies the general duty to 

adhere to the following requirements: 

(1) Eliminate drafting errors and 

ambiguity, (2) write regulations to 

minimize litigation, (3) provide a clear 

legal standard for affected conduct 

rather than a general standard, and (4) 

promote simplification and burden 

reduction. 61 FR 4729 (Feb. 7, 1996). 

Regarding the review required by 

section 3(a), section 3(b) of E.O. 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 final 

determination meets the relevant 

standards of E.O. 12988. 


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37 ‘‘Energy Conservation Standards Rulemaking 

Peer Review Report.’’ 2007. Available at 

www.energy.gov/eere/buildings/downloads/energyconservation-standards-rulemaking-peer-reviewreport-0. 

F. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (‘‘UMRA’’) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

regulatory action likely to result in a 

rule that may cause the expenditure by 

State, local, and Tribal governments, in 

the aggregate, or by the private sector of 

$100 million or more in any one year 

(adjusted annually for inflation), section 

202 of UMRA requires a Federal agency 

to publish a written statement that 

estimates the resulting costs, benefits, 

and other effects on the national 

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

UMRA also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and Tribal governments on a 

proposed ‘‘significant intergovernmental 

mandate,’’ and requires an agency plan 

for giving notice and opportunity for 

timely input to potentially affected 

small governments before establishing 

any requirements that might 

significantly or uniquely affect them. On 

March 18, 1997, DOE published a 

statement of policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820. DOE’s policy 

statement is also available at 

www.energy.gov/sites/prod/files/gcprod/ 

documents/umra_97.pdf. 

This final determination does not 

contain a Federal intergovernmental 

mandate, nor is it expected to require 

expenditures of $100 million or more in 

any one year by the private sector. As 

a result, the analytical requirements of 

UMRA do not apply. 

G. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

final determination 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. 

H. Review Under Executive Order 12630 

Pursuant to E.O. 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (Mar. 15, 1988), 

DOE has determined that this final 

determination would not result in any 

takings that might require compensation 

under the Fifth Amendment to the U.S. 

Constitution. 

I. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for Federal agencies to review most 

disseminations of information to the 

public under information quality 

guidelines established by each agency 

pursuant to general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (Feb. 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (Oct. 7, 2002). Pursuant to 

OMB Memorandum M–19–15, 

Improving Implementation of the 

Information Quality Act (April 24, 

2019), DOE published updated 

guidelines which are available at 

www.energy.gov/sites/prod/files/2019/ 

12/f70/DOE%20Final%20

Updated%20IQA%20

Guidelines%20Dec%202019.pdf. DOE 

has reviewed this final determination 

under the OMB and DOE guidelines and 

has concluded that it is consistent with 

applicable policies in those guidelines. 

J. Review Under Executive Order 13211 

E.O. 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 OIRA at OMB, a Statement of Energy 

Effects for any significant energy action. 

A ‘‘significant energy action’’ is defined 

as any action by an agency that 

promulgates 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 

Executive order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy, or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any significant energy action, the agency 

must give a detailed statement of any 

adverse effects on energy supply, 

distribution, or use should the proposal 

be implemented, and of reasonable 

alternatives to the action and their 

expected benefits on energy supply, 

distribution, and use. 

This final determination is not 

establishing energy conservation 

standards for fans and blowers. It is not 

a significant energy action, nor has it 

been designated as such by the 

Administrator at OIRA. Accordingly, 

DOE has not prepared a Statement of 

Energy Effects. 

K. Information Quality 

On December 16, 2004, OMB, in 

consultation with the Office of Science 

and Technology Policy (‘‘OSTP’’), 

issued its Final Information Quality 

Bulletin for Peer Review (‘‘the 

Bulletin’’). 70 FR 2664 (Jan. 14, 2005). 

The Bulletin establishes that certain 

scientific information shall be peer 

reviewed by qualified specialists before 

it is disseminated by the Federal 

Government, including influential 

scientific information related to agency 

regulatory actions. The purpose of the 

bulletin is to enhance the quality and 

credibility of the Government’s 

scientific information. Under the 

Bulletin, the energy conservation 

standards rulemaking analyses are 

‘‘influential scientific information,’’ 

which the Bulletin defines as ‘‘scientific 

information the agency reasonably can 

determine will have, or does have, a 

clear and substantial impact on 

important public policies or private 

sector decisions.’’ Id. at 70 FR 2667. 

In response to OMB’s Bulletin, DOE 

conducted formal peer reviews of the 

energy conservation standards 

development process and the analyses 

that are typically used and has prepared 

a report describing that peer review.37

Generation of this report involved a 

rigorous, formal, and documented 

evaluation using objective criteria and 

qualified and independent reviewers to 

make a judgment as to the technical/ 

scientific/business merit, the actual or 

anticipated results, and the productivity 

and management effectiveness of 

programs and/or projects. DOE has 

determined that the peer-reviewed 

analytical process continues to reflect 

current practice, and the Department 

followed that process for developing 

energy conservation standards in the 

case of the present action. 

L. Congressional Notification 

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

report to Congress on the promulgation 

of this final determination prior to its 

effective date. The report will state that 

it has been determined that the rule is 

a ‘‘major rule’’ as defined by 5 U.S.C. 

804(2). 

IV. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this final determination. 


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46590 Federal Register / Vol. 86, No. 158 / Thursday, August 19, 2021 / Rules and Regulations 

List of Subjects in 10 CFR 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation, 

Incorporation by reference, 

Intergovernmental relations, Reporting 

and recordkeeping requirements, Small 

businesses. 

Signing Authority 

This document of the Department of 

Energy was signed on August 13, 2021, 

by Kelly Speakes-Backman, Principal 

Deputy Assistant Secretary and Acting 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, pursuant to 

delegated authority from the Secretary 

of Energy. That document with the 

original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on August 13, 

2021. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons set forth in the preamble, 

DOE amends part 431 of chapter II, 

subchapter D, of title 10 of the Code of 

Federal Regulations, 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. 6291–6317; 28 U.S.C. 

2461 note. 

■ 2. Add subpart J to read as follows: 

Subpart J—Fans and Blowers 

Sec. 

431.171 Purpose and scope. 

431.172 Definition. 

431.173–431.176 [Reserved]. 

Subpart J—Fans and Blowers 

§ 431.171 Purpose and scope. 

This subpart contains provisions 

regarding fans and blowers, pursuant to 

Part C of Title III of the Energy Policy 

and Conservation Act, as amended, 42 

U.S.C. 6311–6317. This subpart does not 

cover ‘‘ceiling fans’’ as that term is 

defined and addressed in part 430 this 

chapter, nor does it cover ‘‘furnace fans’’ 

as that term is defined and addressed in 

part 430 of this chapter. 

§ 431.172 Definition. 

Fan or blower means a rotary bladed 

machine used to convert electrical or 

mechanical power to air power, with an 

energy output limited to 25 kilojoule 

(kJ)/kilogram (kg) of air. It consists of an 

impeller, a shaft and bearings and/or 

driver to support the impeller, as well 

as a structure or housing. A fan or 

blower may include a transmission, 

driver, and/or motor controller. 

§§ 431.173–431.176 [Reserved]. 

[FR Doc. 2021–17715 Filed 8–18–21; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 740, 742, 743, 748, 758, 

and 774 

[Docket No. 210810–0160] 

RIN 0694–AF47 

Control of Firearms, Guns, 

Ammunition and Related Articles the 

President Determines No Longer 

Warrant Control Under the United 

States Munitions List (USML) 

AGENCY: Bureau of Industry and 

Security, Department of Commerce. 

ACTION: Final rule; technical corrections. 

SUMMARY: On January 23, 2020, the 

Department of Commerce published a 

final rule in conjunction with a 

Department of State final rule to revise 

Categories I (firearms, close assault 

weapons and combat shotguns), II (guns 

and armaments), and III (ammunition/ 

ordnance) of the United States 

Munitions List (USML) and transfer 

items that no longer warrant control on 

the USML in the International Traffic in 

Arms Regulations (ITAR) to the 

Commerce Control List (CCL). This final 

rule makes corrections and clarifications 

to the January 23 rule. The changes 

made in this final rule are intended to 

make the requirements easier to 

understand, interpreted consistently, 

and in accordance with the intent of the 

Commerce January 23 rule. 

DATES: This rule is effective September 

20, 2021. 

FOR FURTHER INFORMATION CONTACT: 

Steven Clagett, Office of 

Nonproliferation Controls and Treaty 

Compliance, Nuclear and Missile 

Technology Controls Division, tel. (202) 

482–1641 or email steven.clagett@

bis.doc.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

On January 23, 2020, the Department 

of Commerce published the final rule, 

Control of Firearms, Guns, Ammunition 

and Related Articles the President 

Determines No Longer Warrant Control 

Under the United States Munitions List 

(USML) (85 FR 4136) (referred to 

henceforth as the ‘‘Commerce January 

23 rule’’) in conjunction with a 

Department of State final rule to revise 

Categories I, II, and III of the USML in 

the ITAR (85 FR 3819) (referred to 

henceforth as the ‘‘State January 23 

rule’’). The Department of Commerce in 

issuing the January 23 rule described 

how articles the President determined 

no longer warrant control under USML 

Category I—Firearms, Close Assault 

Weapons and Combat Shotguns; 

Category II—Guns and Armament; and 

Category III—Ammunition/Ordnance 

were to be controlled on the CCL of the 

Export Administration Regulations 

(EAR). The Commerce January 23 rule 

was published in conjunction with the 

State January 23 rule, issued by the 

Department of State, Directorate of 

Defense Trade Controls (DDTC), 

completing the initial review of the 

USML that began in 2011 and making 

conforming changes to the EAR to 

control these items on the Commerce 

Control List (CCL). 

This final rule makes certain 

corrections and clarifications for the 

changes made in the Commerce January 

23 rule. These changes are made to 

improve understanding of the 0x5zz 

Export Control Classification Numbers 

(ECCNs) for items that transitioned from 

USML Categories I and III to the CCL 

and to the associated control structure 

added to the EAR. These changes are 

informed by BIS’s experience of 

licensing, classifying, and enforcing the 

export control requirements specific to 

these items. These changes are also 

informed by BIS’s experience of 

conducting outreach and answering 

questions from the public on the 

changes made to the EAR in the 

Commerce January 23 rule. The changes 

made in this final rule are intended to 

make the requirements easier to 

understand, provide for consistent 

interpretation, and ensure the 

requirements are in accordance with the 

intent of the Commerce January 23 rule. 

Corrections and Clarifications 

In § 740.9(b) (Exports of items 

temporarily in the United States), this 

final rule removes the last sentence of 

the introductory text of paragraph (b)(1) 

and adds that same sentence as 

introductory text to paragraph (b). This 


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