section_id,title_number,title_name,chapter,subchapter,part_number,part_name,subpart,subpart_name,section_number,section_heading,agency,authority,source_citation,amendment_citations,full_text 10:10:4.0.1.1.1.1.38.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,A,Subpart A—General Provisions,,§ 431.1 Purpose and scope.,DOE,,,"[70 FR 60414, Oct. 18, 2005]","This part establishes the regulations for the implementation of provisions relating to commercial and industrial equipment in Part B of Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291-6309) and in Part C of Title III of the Energy Policy and Conservation Act (42 U.S.C. 6311-6317), which establishes an energy conservation program for certain commercial and industrial equipment." 10:10:4.0.1.1.1.1.38.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,A,Subpart A—General Provisions,,§ 431.2 Definitions.,DOE,,,"[69 FR 61923, Oct. 21, 2004, as amended at 71 FR 71369, Dec. 8, 2006; 74 FR 12071, Mar. 23, 2009; 75 FR 666, Jan. 5, 2010; 76 FR 12503, Mar. 7, 2011; 77 FR 28987, May 16, 2012; 79 FR 26601, May 9, 2014; 87 FR 45197, July 27, 2022; 89 FR 82071, Oct. 9, 2024; 90 FR 43384, Sept. 9, 2025]","The following definitions apply for purposes of this part. Any words or terms not defined in this Section or elsewhere in this part shall be defined as provided in Section 340 of the Act. Act means the Energy Policy and Conservation Act of 1975, as amended, 42 U.S.C. 6291-6316. Alternate efficiency determination method or AEDM means a method of calculating the efficiency of a commercial HVAC and WH product, in terms of the descriptor used in or under section 342(a) of the Act to state the energy conservation standard for that product. Btu means British thermal unit, which is the quantity of heat required to raise the temperature of one pound of water by one degree Fahrenheit. Commercial HVAC & WH product means any small, large, or very large commercial package air-conditioning and heating equipment (as defined in § 431.92), packaged terminal air conditioner (as defined in § 431.92), packaged terminal heat pump (as defined in § 431.92), single package vertical air conditioner (as defined in § 431.92), single package vertical heat pump (as defined in § 431.92), computer room air conditioner (as defined in § 431.92), variable refrigerant flow multi-split air conditioner (as defined in § 431.92), variable refrigerant flow multi-split heat pump (as defined in § 431.92), unitary dedicated outdoor air system (as defined in § 431.92), commercial packaged boiler (as defined in § 431.82), hot water supply boiler (as defined in § 431.102), commercial warm air furnace (as defined in § 431.72), instantaneous water heater (as defined in § 431.102), storage water heater (as defined in § 431.102), or unfired hot water storage tank (as defined in § 431.102). Covered equipment means any electric motor, as defined in § 431.12; commercial heating, ventilating, and air conditioning, and water heating product (HVAC & WH product), as defined in § 431.172; commercial refrigerator, freezer, or refrigerator-freezer, as defined in § 431.62; automatic commercial ice maker, as defined in § 431.132; commercial clothes washer, as defined in § 431.152; distribution transformer, as defined in § 431.192; illuminated exit sign, as defined in § 431.202; traffic signal module or pedestrian module, as defined in § 431.222; unit heater, as defined in § 431.242; commercial prerinse spray valve, as defined in § 431.262; mercury vapor lamp ballast, as defined in § 431.282; refrigerated bottled or canned beverage vending machine, as defined in § 431.292; walk-in cooler and walk-in freezer, as defined in § 431.302; metal halide ballast and metal halide lamp fixture, as defined in § 431.322. DOE or the Department means the U.S. Department of Energy. Energy conservation standard means any standards meeting the definitions of that term in 42 U.S.C. 6291(6) and 42 U.S.C. 6311(18) as well as any other water conservation standards and design requirements found in this part or parts 430 or 431. EPCA means the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6316. Flue loss means the sum of the sensible heat and latent heat above room temperature of the flue gases leaving the appliance. Gas means propane or natural gas as defined by the Federal Power Commission. Import means to import into the customs territory of the United States. Independent laboratory means a laboratory or test facility not controlled by, affiliated with, having financial ties with, or under common control with the manufacturer or distributor of the covered equipment being evaluated. Industrial equipment means an article of equipment, regardless of whether it is in fact distributed in commerce for industrial or commercial use, of a type which: (1) In operation consumes, or is designed to consume energy; (2) To any significant extent, is distributed in commerce for industrial or commercial use; and (3) Is not a “covered product” as defined in Section 321(2) of EPCA, 42 U.S.C. 6291(2), other than a component of a covered product with respect to which there is in effect a determination under Section 341(c) of EPCA, 42 U.S.C. 6312(c). ISO means International Organization for Standardization. Manufacture means to manufacture, produce, assemble, or import. Manufacturer means any person who manufactures industrial equipment, including any manufacturer of a commercial packaged boiler. Manufacturer's model number means the identifier used by a manufacturer to uniquely identify the group of identical or essentially identical commercial equipment to which a particular unit belongs. The manufacturer's model number typically appears on equipment nameplates, in equipment catalogs and in other product advertising literature. Private labeler means, with respect to any product covered under this part, an owner of a brand or trademark on the label of a covered product which bears a private label. A covered product bears a private label if: (1) Such product (or its container) is labeled with the brand or trademark of a person other than a manufacturer of such product; (2) The person with whose brand or trademark such product (or container) is labeled has authorized or caused such product to be so labeled; and (3) The brand or trademark of a manufacturer of such product does not appear on such label. Secretary means the Secretary of Energy. State means a State, the District of Columbia, Puerto Rico, or any territory or possession of the United States. State regulation means a law or regulation of a State or political subdivision thereof." 10:10:4.0.1.1.1.1.38.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,A,Subpart A—General Provisions,,§ 431.3 Error Correction procedure for energy conservation standards rules.,DOE,,,"[81 FR 57758, Aug. 24, 2016]",Requests for error corrections pertaining to an energy conservation standard rule for commercial or industrial equipment shall follow those procedures and provisions detailed in 10 CFR 430.5 of this chapter. 10:10:4.0.1.1.1.1.38.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,A,Subpart A—General Provisions,,"§ 431.4 Procedures, interpretations, and policies for consideration of new or revised energy conservation standards and test procedures for commercial/industrial equipment.",DOE,,,"[85 FR 8711, Feb. 14, 2020]","The procedures, interpretations, and policies for consideration of new or revised energy conservation standards and test procedures set forth in appendix A to subpart C of part 430 of this chapter shall apply to the consideration of new or revised energy conservation standards and test procedures considered for adoption under this part." 10:10:4.0.1.1.1.10.56.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,J,Subpart J—Fans and Blowers,,§ 431.171 Purpose and scope.,DOE,,,,"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." 10:10:4.0.1.1.1.10.56.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,J,Subpart J—Fans and Blowers,,§ 431.172 Definitions.,DOE,,,"[88 FR 27389, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]","Air circulating axial panel fan means an axial housed air circulating fan head without a cylindrical housing or box housing that is mounted on a panel, orifice plate or ring. Air circulating fan means a fan that has no provision for connection to ducting or separation of the fan inlet from its outlet using a pressure boundary, operates against zero external static pressure loss, and is not a jet fan. Air circulating fan discharge area means the area of a circle having a diameter equal to the blade tip diameter. Air circulating fan outlet area means the gross inside area measured at the plane of the outlet opening. Air-cooled steam condenser means a device for rejecting heat to the atmosphere through the indirect condensing of steam inside air-cooled finned tubes. Axial inline fan means a fan with an axial impeller and a cylindrical housing with or without turning vanes. Axial panel fans means an axial fan, without cylindrical housing, that includes a panel, orifice plate, or ring with brackets for mounting through a wall, ceiling, or other structure that separates the fan's inlet from its outlet. Basic model, with respect to fans and blowers, means all units of fans and blowers manufactured by one manufacturer, having the same primary energy source, and having essentially identical electrical, physical, and functional ( e.g., aerodynamic) characteristics that affect energy consumption. In addition: (1) All variations of blade pitches of an adjustable-pitch axial fan may be considered a single basic model; and (2) All variations of impeller widths and impeller diameters of a given full-width impeller and full-diameter impeller centrifugal fan may be considered a single basic model. Box fan means an axial housed air circulating fan head without a cylindrical housing that is mounted on a panel, orifice plate or ring and is mounted in a box housing. Centrifugal housed fan means a fan with a centrifugal or mixed flow impeller in which airflow exits into a housing that is generally scroll-shaped to direct the air through a single fan outlet. A centrifugal housed fan does not include a radial impeller. Centrifugal inline fan means a fan with a centrifugal or mixed flow impeller in which airflow enters axially at the fan inlet and the housing redirects radial airflow from the impeller to exit the fan in an axial direction. Centrifugal unhoused fan means a fan with a centrifugal or mixed flow impeller in which airflow enters through a panel and discharges into free space. Inlets and outlets are not ducted. This fan type also includes fans designed for use in fan arrays that have partition walls separating the fan from other fans in the array. Cross-flow fan means a fan or blower with a housing that creates an airflow path through the impeller in a direction at right angles to its axis of rotation and with airflow both entering and exiting the impeller at its periphery. Inlets and outlets can optionally be ducted. Cylindrical air circulating fan means an axial housed air circulating fan head with a cylindrical housing that is not a Positive Pressure Ventilator as defined in AMCA 240-15 (incorporated by reference, see § 431.173). Evaporative field erected closed-circuit cooling tower means a structure which rejects heat to the atmosphere through the indirect cooling of a process fluid stream to a lower temperature by partial evaporation of an external recirculating water flow. Evaporative field erected open-circuit cooling tower means a structure which rejects heat to the atmosphere through the direct cooling of a water stream to a lower temperature by partial evaporation. 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. Fan static air power means the static power delivered to air by the fan or blower; it is proportional to the product of the fan airflow rate, the fan static pressure and the compressibility coefficient and is calculated in accordance with section 7.8.1 of AMCA 210-16 (incorporated by reference, see § 431.173), using fan static pressure instead of fan total pressure. Fan total air power means the total power delivered to air by the fan or blower; it is proportional to the product of the fan airflow rate, the fan total pressure and the compressibility coefficient and is calculated in accordance with section 7.8.1 of AMCA 210-16 (incorporated by reference, see § 431.173). Field erected air-cooled (dry) cooler means a structure which rejects heat to the atmosphere from a fluid, either liquid, gas or a mixture thereof, flowing through an air-cooled internal coil. Field erected evaporative condenser means a structure which rejects heat to the atmosphere through the indirect condensing of a refrigerant in an internal coil by partial evaporation of an external recirculating water flow. Full-diameter impeller means maximum impeller diameter with which a given fan or blower basic model is distributed in commerce. Full-width impeller means the maximum impeller width with which a given fan or blower basic model is distributed in commerce. Housed air circulating fan head means an air circulating fan with an axial or centrifugal impeller, and a housing. Housed centrifugal air circulating fan means a housed air circulating fan head with a centrifugal or radial impeller in which airflow exits into a housing that is generally scroll shaped to direct the air through a single, narrow fan outlet. Induced flow fan means a type of laboratory exhaust fan with a nozzle and windband; the fan's outlet airflow is greater than the inlet airflow due to induced airflow. All airflow entering the inlet exits through the nozzle. Airflow exiting the windband includes the nozzle airflow plus the induced airflow. Jet fan means a fan designed and marketed specifically for producing a high velocity air jet in a space to increase its air momentum. Jet fans are rated using thrust. Inlets and outlets are not ducted but may include acoustic silencers. Packaged air-cooled (dry) cooler means a device which rejects heat to the atmosphere from a fluid, either liquid, gas or a mixture thereof, flowing through an air-cooled internal coil. Packaged evaporative closed-circuit cooling tower means a device which rejects heat to the atmosphere through the indirect cooling of a process fluid stream in an internal coil to a lower temperature by partial evaporation of an external recirculating water flow. Packaged evaporative condenser means a device which rejects heat to the atmosphere through the indirect condensing of a refrigerant in an internal coil by partial evaporation of an external recirculating water flow. Packaged evaporative open-circuit cooling tower means a device which rejects heat to the atmosphere through the direct cooling of a water stream to a lower temperature by partial evaporation. Power roof ventilator means a fan with an internal driver and a housing to prevent precipitation from entering the building. It has a base designed to fit over a roof or wall opening, usually by means of a roof curb. Radial-housed fan means a fan with a radial impeller in which airflow exits into a housing that is generally scroll-shaped to direct the air through a single fan outlet. Inlets and outlets can optionally be ducted. Safety Fan means: (1) A reversible axial fan in cylindrical housing that is designed and marketed for use in ducted tunnel ventilation that will reverse operation under emergency ventilation conditions; (2) A fan for use in explosive atmospheres tested and marked according to the English version of ISO 80079-36:2016 (incorporated by reference, see § 431.173); (3) An electric-motor-driven-Positive Pressure Ventilator as defined in AMCA 240-15 (incorporated by reference, see § 431.173); (4) A fan bearing a listing for “Power Ventilators for Smoke Control Systems” in compliance with UL 705 (incorporated by reference, see § 431.173); or (5) A laboratory exhaust fan designed and marketed specifically for exhausting contaminated air vertically away from a building using a high-velocity discharge. Unhoused air circulating fan head means an air circulating fan without a housing, having an axial impeller with a ratio of fan-blade span (in inches) to maximum rate of rotation (in revolutions per minute) less than or equal to 0.06. The impeller may or may not be guarded." 10:10:4.0.1.1.1.10.56.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,J,Subpart J—Fans and Blowers,,§ 431.173 Materials incorporated by reference.,DOE,,,"[88 FR 27390, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 1000 Independence Ave. SW, EE-5B, Washington, DC 20585, (202) 586-9127, Buildings@ee.doe.gov , https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email: fr.inspection@nara.gov. The material may be obtained from the sources in the following paragraphs of this section. (b) AMCA. Air Movement and Control Association International, Inc., 30 West University Drive, Arlington Heights, IL 60004-1893; (847) 394-0150; www.amca.org. (1) ANSI/AMCA Standard 210-16 (“AMCA 210-16”), Laboratory Methods of Testing Fans for Certified Aerodynamic Performance Rating, ANSI-approved August 26, 2016; IBR approved for § 431.172; appendix A to this subpart. (Co-published as ASHRAE 51-16). (2) ANSI/AMCA Standard 214-21 (“AMCA 214-21”), Test Procedure for Calculating Fan Energy Index (FEI) for Commercial and Industrial Fans and Blowers, ANSI-approved March 1, 2021; IBR approved for § 431.174; appendix A to this subpart. (3) ANSI/AMCA Standard 230-23 (“AMCA 230-23”), Laboratory Methods of Testing Air Circulating Fans for Rating and Certification, ANSI-approved February 10, 2023. IBR approved for appendix B to this subpart. (4) ANSI/AMCA Standard 240-15 (“AMCA 240-15”), Laboratory Methods of Testing Positive Pressure Ventilators for Aerodynamic Performance Rating, ANSI-approved May 9, 2015; IBR approved for § 431.172. (c) ISO. International Organization for Standardization, Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; www.iso.org. (1) ISO 5801:2017(E) (“ISO 5801:2017”), Fans—Performance testing using standardized airways, Third Edition, approved September 2017; IBR approved for appendix A to this subpart. (2) ISO 80079-36:2016, Explosive atmospheres—Part 36: Non-electrical equipment for explosive atmospheres—Basic method and requirements, Edition 1.0, February 2016; IBR approved for § 431.172. (d) UL. Underwriters Laboratories, 333 Pfingsten Road, Northbrook, Illinois, 60062; www.shopulstandards.com. (1) UL 705, Standard for Safety for Power Ventilators, Edition 7, July 19, 2017 (including revisions through August 19, 2022); IBR approved for § 431.172. (2) [Reserved]." 10:10:4.0.1.1.1.10.56.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,J,Subpart J—Fans and Blowers,,§ 431.174 Test Procedure for fans or blowers.,DOE,,,"[88 FR 27391, May 1, 2023, as amended at 88 FR 53375, Aug. 8, 2023]","(a) Scope for fans and blowers other than air circulating fans. A fan or blower, other than an air circulating fan is subject to the test procedure in this section if it meets the following criteria: (1) Is a centrifugal housed fan; radial housed fan; centrifugal inline fan; centrifugal unhoused fan; centrifugal power roof ventilator exhaust fan; centrifugal power roof ventilator supply fan; axial inline fan; axial panel fan; or axial power roof ventilator fan; (2) Is not: (i) A radial housed unshrouded fan with blade diameter at tip less than 30 inches or a blade width of less than 3 inches; (ii) A safety fan; (iii) An induced flow fan; (iv) A jet fan; (v) A cross-flow fan; (vi) A fan manufactured exclusively to be powered by internal combustion engines; (vii) A fan that create a vacuum of 30 inches water gauge or greater; (viii) A fan that is designed and marketed to operate at or above 482 degrees Fahrenheit (250 degrees Celsius); or (ix) A fan and blower embedded in the equipment listed in paragraph (a)(3) of this section; (3) Is not an embedded fan subject to the following exclusions: (i) The test procedure in this section does not apply to fans or blowers that are embedded in: (A) Single phase central air conditioners and heat pumps rated with a certified cooling capacity less than 65,000 British thermal units per hour (“Btu/h”) cooling capacity, that are subject to DOE's energy conservation standard at 10 CFR 430.32(c); (B) Three phase, air-cooled, small commercial packaged air-conditioning and heating equipment rated with a certified cooling capacity less than 65,000 Btu/h cooling capacity, that are subject to DOE's energy conservation standard at § 431.97(b); (C) Transport refrigeration ( i.e., Trailer refrigeration, Self-powered truck refrigeration, Vehicle-powered truck refrigeration, Marine/Rail container refrigerant); (D) Vacuum cleaners; (E) Heat Rejection Equipment: Packaged evaporative open-circuit cooling towers; Evaporative field-erected open-circuit cooling towers; Packaged evaporative closed-circuit cooling towers; Evaporative field-erected closed-circuit cooling towers; Packaged evaporative condensers; Field-erected evaporative condensers; Packaged air-cooled (dry) coolers; Field-erected air-cooled (dry) cooler; Air-cooled steam condensers; Hybrid (water saving) versions of all of the previously listed equipment that contain both evaporative and air-cooled heat exchange sections; (F) Air curtains; and (G) Direct expansion-dedicated outdoor air system that are subject to any of DOE's test procedures in appendix B to subpart F of this part. (ii) The test procedure in this section does not apply to supply or condenser fans or blowers that are embedded in: (A) Air-cooled commercial package air conditioners and heat pumps (“CUAC,” “CUHP”) with a certified cooling capacity between 5.5 ton (65,000 Btu/h) and 63.5 ton (760,000 Btu/h) that are subject to DOE's energy conservation standard at § 431.97(b); (B) Water-cooled and evaporatively-cooled commercial air conditioners that are subject to DOE's energy conservation standard at § 431.97(b); (C) Water-source heat pumps that are subject to DOE's energy conservation standard at § 431.97(b); (D) Single package vertical air conditioners and heat pumps that are subject to DOE's energy conservation standard at § 431.97(d); (E) Packaged terminal air conditioners (“PTAC”) and packaged terminal heat pumps (PTHP) that are subject to DOE's energy conservation standard at § 431.97(c); (F) Computer room air conditioners that are subject to DOE's energy conservation standard at § 431.97(e); and (G) Variable refrigerant flow multi-split air conditioners and heat pumps that are subject to DOE's energy conservation standard at § 431.97(f); and (4) In addition, the test procedure is only applicable to fan or blower duty points with the following characteristics, measured or calculated in accordance with the test procedure set forth in appendix A of this subpart: (i)(A) Fan shaft input power equal to or greater than 1 horsepower; or (B) Fan electrical power equal to or greater than 0.89 kW; and (ii)(A) Fan static air power equal to or less than 150 horsepower for fans using a static pressure basis fan energy index (“FEI”) in accordance with the required test configuration listed in table 7.1 of AMCA 214-21 (incorporated by reference, see § 431.173); or (B) Fan total air power equal to or less than 150 horsepower for fans using a total pressure basis FEI in accordance with the required test configuration listed in table 7.1 of AMCA 214-21; (b) Scope for air circulating fans. The test procedure in this section applies to all air circulating fans with input power greater than or equal to 125W at maximum speed. (c) Testing and calculations for fans and blowers other than air circulating fans. Determine the FEI, the fan electrical power (“FEP”), and fan shaft power (as applicable) at each duty point, as specified by the manufacturer, using the test procedure set forth in appendix A of this subpart. (d) Testing and calculations for air circulating fan. Determine the air circulating fan efficacy in cubic feet per minute per watt at maximum speed using the test procedure set forth in appendix B to this subpart." 10:10:4.0.1.1.1.10.56.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,J,Subpart J—Fans and Blowers,,§§ 431.175-431.176 [Reserved],DOE,,,, 10:10:4.0.1.1.1.11.56.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,K,Subpart K—Distribution Transformers,,§ 431.191 Purpose and scope.,DOE,,,"[71 FR 24995, Apr. 27, 2006]","This subpart contains energy conservation requirements for distribution transformers, pursuant to Parts B and C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6317." 10:10:4.0.1.1.1.11.56.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,K,Subpart K—Distribution Transformers,,§ 431.192 Definitions.,DOE,,,"[70 FR 60416, Oct. 18, 2005, as amended at 71 FR 24995, Apr. 27, 2006; 71 FR 60662, Oct. 16, 2006; 72 FR 58239, Oct. 12, 2007; 78 FR 23433, Apr. 18, 2013; 86 FR 51252, Sept. 14, 2021; 89 FR 30039, Apr. 22, 2024; 90 FR 6795, Jan. 21, 2025]","The following definitions apply for purposes of this subpart: Autotransformer means a transformer that: (1) Has one physical winding that consists of a series winding part and a common winding part; (2) Has no isolation between its primary and secondary circuits; and (3) During step-down operation, has a primary voltage that is equal to the total of the series and common winding voltages, and a secondary voltage that is equal to the common winding voltage. Auxiliary device means a localized component of a distribution transformer that is a circuit breaker, switch, fuse, or surge/lightning arrester. Basic model means a group of models of distribution transformers manufactured by a single manufacturer, that have the same insulation type ( i.e., liquid-immersed or dry-type), have the same number of phases ( i.e., single or three), have the same standard kVA rating, and do not have any differentiating electrical, physical or functional features that affect energy consumption. Differences in voltage and differences in basic impulse insulation level (BIL) rating are examples of differentiating electrical features that affect energy consumption. Distribution transformer means a transformer that— (1) Has an input line voltage of 34.5 kV or less; (2) Has an output line voltage of 600 V or less; (3) Is rated for operation at a frequency of 60 Hz; and (4) Has a capacity of 10 kVA to 5000 kVA for liquid-immersed units and 15 kVA to 5000 kVA for dry-type units; but (5) The term “distribution transformer” does not include a transformer that is an— (i) Autotransformer; (ii) Drive (isolation) transformer; (iii) Grounding transformer; (iv) Machine-tool (control) transformer; (v) Nonventilated transformer; (vi) Rectifier transformer; (vii) Regulating transformer; (viii) Sealed transformer; (ix) Special-impedance transformer; (x) Testing transformer; (xi) Transformer with tap range of 20 percent or more; (xii) Uninterruptible power supply transformer; or (xiii) Welding transformer. Drive (isolation) transformer means a transformer that: (1) Isolates an electric motor from the line; (2) Accommodates the added loads of drive-created harmonics; (3) Is designed to withstand the additional mechanical stresses resulting from an alternating current adjustable frequency motor drive or a direct current motor drive; and (4) Has a rated output voltage that is neither “208Y/120” nor “480Y/277”. Efficiency means the ratio of the useful power output to the total power input. Excitation current or no-load current means the current that flows in any winding used to excite the transformer when all other windings are open-circuited. Grounding transformer means a three-phase transformer intended primarily to provide a neutral point for system-grounding purposes, either by means of: (1) A grounded wye primary winding and a delta secondary winding; or (2) A transformer with its primary winding in a zig-zag winding arrangement, and with no secondary winding. Liquid-immersed distribution transformer means a distribution transformer in which the core and coil assembly is immersed in an insulating liquid. Load loss means, for a distribution transformer, those losses incident to a specified load carried by the transformer, including losses in the windings as well as stray losses in the conducting parts of the transformer. Low-voltage dry-type distribution transformer means a distribution transformer that has an input voltage of 600 volts or less and has the core and coil assembly immersed in a gaseous or dry-compound insulating medium. Machine-tool (control) transformer means a transformer that is equipped with a fuse or other over-current protection device, and is generally used for the operation of a solenoid, contactor, relay, portable tool, or localized lighting. Medium-voltage dry-type distribution transformer means a distribution transformer in which the core and coil assembly is immersed in a gaseous or dry-compound insulating medium, and which has a rated primary voltage between 601 V and 34.5 kV. Mining distribution transformer means a medium-voltage dry-type distribution transformer that is built only for installation in an underground mine or surface mine, inside equipment for use in an underground mine or surface mine, on-board equipment for use in an underground mine or surface mine, or for equipment used for digging, drilling, or tunneling underground or above ground, and that has a nameplate which identifies the transformer as being for this use only. No-load loss means those losses that are incident to the excitation of the transformer. Nonventilated transformer means a dry-type transformer constructed so as to prevent external air circulation through the coils of the transformer while operating at zero gauge pressure. Per-unit load means the fraction of rated load. Phase angle means the angle between two phasors, where the two phasors represent progressions of periodic waves of either: (1) Two voltages; (2) Two currents; or (3) A voltage and a current of an alternating current circuit. Phase angle correction means the adjustment (correction) of measurement data to negate the effects of phase angle error. Phase angle error means incorrect displacement of the phase angle, introduced by the components of the test equipment. Rectifier transformer means a transformer that operates at the fundamental frequency of an alternating-current system and that is designed to have one or more output windings connected to a rectifier. Reference temperature means the temperature at which the transformer losses are determined, and to which such losses are corrected if testing is done at a different point. (Reference temperature values are specified in the test method in appendix A to this subpart.) Regulating transformer means a transformer that varies the voltage, the phase angle, or both voltage and phase angle, of an output circuit and compensates for fluctuation of load and input voltage, phase angle or both voltage and phase angle. Sealed transformer means a dry-type transformer designed to remain hermetically sealed under specified conditions of temperature and pressure. Special-impedance transformer means a transformer built to operate at an impedance outside of the normal impedance range for that transformer's kVA rating. The normal impedance range for each kVA rating for liquid-immersed and dry-type transformers is shown in Tables 1 and 2, respectively. Table 1 to the Definition of “Special-Impedance Transformer”—Normal Impedance Ranges for Liquid-Immersed Transformers Table 2 to the Definition of “Special-Impedance Transformer”—Normal Impedance Ranges for Dry-Type Transformers Submersible distribution transformer means a liquid-immersed distribution transformer, so constructed as to be operable when fully or partially submerged in water including the following features— (1) Has sealed-tank construction; and (2) Has the tank, cover, and all external appurtenances made of corrosion-resistant material or with appropriate corrosion resistant surface treatment to induce the components surface to be corrosion resistant. Temperature correction means the mathematical correction(s) of measurement data, obtained when a transformer is tested at a temperature that is different from the reference temperature, to the value(s) that would have been obtained if the transformer had been tested at the reference temperature. Terminal means a conducting element of a distribution transformer providing electrical connection to an external conductor that is not part of the transformer. Test current means the current of the electrical power supplied to the transformer under test. Test frequency means the frequency of the electrical power supplied to the transformer under test. Test voltage means the voltage of the electrical power supplied to the transformer under test. Testing transformer means a transformer used in a circuit to produce a specific voltage or current for the purpose of testing electrical equipment. Total loss means the sum of the no-load loss and the load loss for a transformer. Transformer means a device consisting of 2 or more coils of insulated wire that transfers alternating current by electromagnetic induction from 1 coil to another to change the original voltage or current value. Transformer with tap range of 20 percent or more means a transformer with multiple voltage taps, each capable of operating at full, rated capacity (kVA), whose range, defined as the difference between the highest voltage tap and the lowest voltage tap, is 20 percent or more of the highest voltage tap. Uninterruptible power supply transformer means a transformer that is used within an uninterruptible power system, which in turn supplies power to loads that are sensitive to power failure, power sages, over voltage, switching transients, line notice, and other power quality factors. It does not include distribution transformers at the input, output, or by-pass of an uninterruptible power system. Waveform correction means the adjustment(s) (mathematical correction(s)) of measurement data obtained with a test voltage that is non-sinusoidal, to a value(s) that would have been obtained with a sinusoidal voltage. Welding transformer means a transformer designed for use in arc welding equipment or resistance welding equipment." 10:10:4.0.1.1.1.11.56.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,K,Subpart K—Distribution Transformers,,§ 431.193 Test procedure for measuring energy consumption of distribution transformers.,DOE,,,"[86 FR 51252, Sept. 14, 2021]",The test procedure for measuring the energy efficiency of distribution transformers for purposes of EPCA is specified in appendix A to this subpart. The test procedure specified in appendix A to this subpart applies only to distribution transformers subject to energy conservation standards at § 431.196. 10:10:4.0.1.1.1.11.57.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,K,Subpart K—Distribution Transformers,,§ 431.196 Energy conservation standards and their effective dates.,DOE,,,"[78 FR 23433, Apr. 18, 2013, as amended at 86 FR 51252, Sept. 14, 2021; 89 FR 30040, Apr. 22, 2024]","(a) Low-Voltage Dry-Type Distribution Transformers. (1) The efficiency of a low-voltage, dry-type distribution transformer manufactured on or after January 1, 2007, but before January 1, 2016, shall be no less than that required for the applicable kVA rating in the table below. Low-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. All efficiency values are at 35 percent per-unit load. (2) The efficiency of a low-voltage, dry-type distribution transformer manufactured on or after January 1, 2016, but before April 23, 2029, shall be no less than that required for the applicable kVA rating in the following table. Low-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 2 to Paragraph ( a )(1) Note: All efficiency values are at 35 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption of Distribution Transformers under appendix A to this subpart K. (3) The efficiency of a low-voltage dry-type distribution transformer manufactured on or after April 23, 2029, shall be no less than that required for their kVA rating in the following table. Low-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 3 to Paragraph ( a )(3) Note: All efficiency values are at 35 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption of Distribution Transformers under appendix A to this subpart K. (b) Liquid-Immersed Distribution Transformers. (1) The efficiency of a liquid-immersed distribution transformer manufactured on or after January 1, 2010, but before January 1, 2016, shall be no less than that required for their kVA rating in the table below. Liquid-immersed distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. All efficiency values are at 50 percent per-unit load. (2) The efficiency of a liquid-immersed distribution transformer, including submersible distribution transformers, manufactured on or after January 1, 2016, but before April 23, 2029, shall be no less than that required for their kVA rating in the following table. Liquid-immersed distribution transformers, including submersible distribution transformers, with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 5 to Paragraph ( b )(2) Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test—Procedure, appendix A to this subpart K. (3) The efficiency of a liquid-immersed distribution transformer, that is not a submersible distribution transformer, manufactured on or after April 23, 2029, shall be no less than that required for their kVA rating in the following table. Liquid-immersed distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 6 to Paragraph ( b )(3) Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test Method for Measuring the Energy Consumption of Distribution Transformers under appendix A to this subpart K. (4) The efficiency of a submersible distribution transformer, manufactured on or after April 23, 2029, shall be no less than that required for their kVA rating in the following table. Submersible distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 7 to Paragraph ( b )(4) Note: All efficiency values are at 50 percent of nameplate-rated load, determined according to the DOE Test—Procedure, appendix A to this subpart K. (c) Medium-Voltage Dry-Type Distribution Transformers. (1) The efficiency of a medium-voltage dry-type distribution transformer manufactured on or after January 1, 2010, but before January 1, 2016, shall be no less than that required for their kVA and BIL rating in the table below. Medium-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. * BIL means basic impulse insulation level. All efficiency values are at 50 percent per-unit load. (2) The efficiency of a medium-voltage dry-type distribution transformer manufactured on or after January 1, 2016, but before April 23, 2029, shall be no less than that required for their kVA and BIL rating in the following table. Medium-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 9 to Paragraph ( c )(2) 1 BIL means basic impulse insulation level. Note: All efficiency values are at 50 percent of nameplate rated load, determined according to the DOE Test Method for Measuring the Energy Consumption of Distribution Transformers under appendix A to this subpart K. (3) The efficiency of a medium-voltage dry-type distribution transformer manufactured on or after April 23, 2029, shall be no less than that required for their kVA and BIL rating in the following table. Medium-voltage dry-type distribution transformers with kVA ratings not appearing in the table shall have their minimum efficiency level determined by linear interpolation of the kVA and efficiency values immediately above and below that kVA rating. Table 10 to Paragraph ( c )(3) 1 BIL means basic impulse insulation level/ Note: All efficiency values are at 50 percent of nameplate rated load, determined according to the DOE Test Method for Measuring the Energy Consumption of Distribution Transformers under appendix A to this subpart K. (d) Mining Distribution Transformers. [Reserved] (e) Severability. The provisions of paragraphs (a) through (d) of this section are separate and severable from one another. Should a court of competent jurisdiction hold any provision(s) of this section to be stayed or invalid, such action shall not affect any other provision of this section." 10:10:4.0.1.1.1.12.59.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,L,Subpart L—Illuminated Exit Signs,,§ 431.201 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for illuminated exit signs, pursuant to Part B of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309." 10:10:4.0.1.1.1.12.59.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,L,Subpart L—Illuminated Exit Signs,,§ 431.202 Definitions concerning illuminated exit signs.,DOE,,,"[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71372, Dec. 8, 2006; 76 FR 12504, Mar. 7, 2011]","Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency. Face means an illuminated side of an illuminated exit sign. Illuminated exit sign means a sign that— (1) Is designed to be permanently fixed in place to identify an exit; and (2) Consists of an electrically powered integral light source that— (i) Illuminates the legend “EXIT” and any directional indicators; and (ii) Provides contrast between the legend, any directional indicators, and the background. Input power demand means the amount of power required to continuously illuminate an exit sign model, measured in watts (W). For exit sign models with rechargeable batteries, input power demand shall be measured with batteries at full charge." 10:10:4.0.1.1.1.12.59.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,L,Subpart L—Illuminated Exit Signs,,§ 431.203 Materials incorporated by reference.,DOE,,,"[71 FR 71373, Dec. 8, 2006]","(a) General. The Department incorporates by reference the following test procedures into subpart L of part 431. The Director of the Federal Register has approved the material listed in paragraph (b) of this section for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to this material by the standard-setting organization will not affect the DOE test procedures unless and until DOE amends its test procedures. The Department incorporates the material as it exists on the date of the approval by the Federal Register and a notice of any change in the material will be published in the Federal Register. (b) Test procedure incorporated by reference. Environmental Protection Agency “ENERGY STAR Program Requirements for Exit Signs,” Version 2.0 issued January 1, 1999. (c) Availability of reference —(1) Inspection of test procedure. The test procedure incorporated by reference are available for inspection at: (i) National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 (Resource Room of the Building Technologies Program), 1000 Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. (2) Obtaining copies of the standard. Copies of the Environmental Protection Agency “ENERGY STAR Program Requirements for Exit Signs,” Version 2.0, may be obtained from the Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, (202) 272-0167 or at http://www.epa.gov." 10:10:4.0.1.1.1.12.59.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,L,Subpart L—Illuminated Exit Signs,,§ 431.204 Uniform test method for the measurement of energy consumption of illuminated exit signs.,DOE,,,"[71 FR 71373, Dec. 8, 2006]","(a) Scope. This section provides the test procedure for measuring, pursuant to EPCA, the input power demand of illuminated exit signs. For purposes of this part 431 and EPCA, the test procedure for measuring the input power demand of illuminated exit signs shall be the test procedure specified in § 431.203(b). (b) Testing and Calculations. Determine the energy efficiency of each covered product by conducting the test procedure, set forth in the Environmental Protection Agency's “ENERGY STAR Program Requirements for Exit Signs,” Version 2.0, section 4 (Test Criteria), “Conditions for testing” and “Input power measurement.” (Incorporated by reference, see § 431.203)" 10:10:4.0.1.1.1.12.60.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,L,Subpart L—Illuminated Exit Signs,,§ 431.206 Energy conservation standards and their effective dates.,DOE,,,,"An illuminated exit sign manufactured on or after January 1, 2006, shall have an input power demand of 5 watts or less per face." 10:10:4.0.1.1.1.13.61.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,M,Subpart M—Traffic Signal Modules and Pedestrian Modules,,§ 431.221 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for traffic signal modules and pedestrian modules, pursuant to Part B of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309." 10:10:4.0.1.1.1.13.61.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,M,Subpart M—Traffic Signal Modules and Pedestrian Modules,,§ 431.222 Definitions concerning traffic signal modules and pedestrian modules.,DOE,,,"[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71373, Dec. 8, 2006; 76 FR 12504, Mar. 7, 2011]","Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency. Maximum wattage means the power consumed by the module after being operated for 60 minutes while mounted in a temperature testing chamber so that the lensed portion of the module is outside the chamber, all portions of the module behind the lens are within the chamber at a temperature of 74 °C and the air temperature in front of the lens is maintained at a minimum of 49 °C. Nominal wattage means the power consumed by the module when it is operated within a chamber at a temperature of 25 °C after the signal has been operated for 60 minutes. Pedestrian module means a light signal used to convey movement information to pedestrians. Traffic signal module means a standard 8-inch (200 mm) or 12-inch (300 mm) traffic signal indication that— (1) Consists of a light source, a lens, and all other parts necessary for operation; and (2) Communicates movement messages to drivers through red, amber, and green colors." 10:10:4.0.1.1.1.13.61.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,M,Subpart M—Traffic Signal Modules and Pedestrian Modules,,§ 431.223 Materials incorporated by reference.,DOE,,,"[71 FR 71373, Dec. 8, 2006]","(a) General. The Department incorporates by reference the following test procedures into subpart M of part 431. The Director of the Federal Register has approved the material listed in paragraph (b) of this section for incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Any subsequent amendment to this material by the standard-setting organization will not affect the DOE test procedures unless and until DOE amends its test procedures. The Department incorporates the material as it exists on the date of the approval by the Federal Register and a notice of any change in the material will be published in the Federal Register. (b) List of test procedures incorporated by reference. (1) Environmental Protection Agency, “ENERGY STAR Program Requirements for Traffic Signals,” Version 1.1 issued February 4, 2003. (2) Institute of Transportation Engineers (ITE), “Vehicle Traffic Control Signal Heads: Light Emitting Diode (LED) Circular Signal Supplement,” June 27, 2005. (c) Availability of references —(1) Inspection of test procedures. The test procedures incorporated by reference are available for inspection at: (i) National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (ii) U.S. Department of Energy, Forrestal Building, Room 1J-018 (Resource Room of the Building Technologies Program), 1000 Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-9127, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. (2) Obtaining copies of standards. Standards incorporated by reference may be obtained from the following sources: (i) Copies of the Environmental Protection Agency “ENERGY STAR Program Requirements for Traffic Signals,” Version 1.1, may be obtained from the Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, (202) 272-0167 or at http://www.epa.gov. (ii) Institute of Transportation Engineers, 1099 14th Street, NW., Suite 300 West, Washington, DC 20005-3438, (202) 289-0222, or ite_staff@ite.org." 10:10:4.0.1.1.1.13.61.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,M,Subpart M—Traffic Signal Modules and Pedestrian Modules,,§ 431.224 Uniform test method for the measurement of energy consumption for traffic signal modules and pedestrian modules.,DOE,,,"[71 FR 71373, Dec. 8, 2006]","(a) Scope. This section provides the test procedures for measuring, pursuant to EPCA, the maximum wattage and nominal wattage of traffic signal modules and pedestrian modules. For purposes of 10 CFR part 431 and EPCA, the test procedures for measuring the maximum wattage and nominal wattage of traffic signal modules and pedestrian modules shall be the test procedures specified in § 431.223(b). (b) Testing and Calculations. Determine the nominal wattage and maximum wattage of each covered traffic signal module or pedestrian module by conducting the test procedure set forth in Environmental Protection Agency, “ENERGY STAR Program Requirements for Traffic Signals,” Version 1.1, section 1, “Definitions,” and section 4, “Test Criteria.” (Incorporated by reference, see § 431.223) Use a wattmeter having an accuracy of ±1% to measure the nominal wattage and maximum wattage of a red and green traffic signal module, and a pedestrian module when conducting the photometric and colormetric tests as specified by the testing procedures in VTCSH 2005." 10:10:4.0.1.1.1.13.62.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,M,Subpart M—Traffic Signal Modules and Pedestrian Modules,,§ 431.226 Energy conservation standards and their effective dates.,DOE,,,"[70 FR 60417, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]","Any traffic signal module or pedestrian module manufactured on or after January 1, 2006, shall meet both of the following requirements: (a) Have a nominal wattage and maximum wattage no greater than: (b) Be installed with compatible, electrically connected signal control interface devices and conflict monitoring systems." 10:10:4.0.1.1.1.14.63.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,N,Subpart N—Unit Heaters,,§ 431.241 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for unit heaters, pursuant to Part B of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309." 10:10:4.0.1.1.1.14.63.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,N,Subpart N—Unit Heaters,,§ 431.242 Definitions concerning unit heaters.,DOE,,,"[70 FR 60418, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006; 76 FR 12504, Mar. 7, 2011]","Automatic flue damper means a device installed in the flue outlet or in the inlet of or upstream of the draft control device of an individual, automatically operated, fossil fuel-fired appliance that is designed to automatically open the flue outlet during appliance operation and to automatically close the flue outlet when the appliance is in a standby condition. Automatic vent damper means a device intended for installation in the venting system of an individual, automatically operated, fossil fuel-fired appliance either in the outlet or downstream of the appliance draft control device, which is designed to automatically open the venting system when the appliance is in operation and to automatically close off the venting system when the appliance is in a standby or shutdown condition. Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency. Intermittent ignition device means an ignition device in which the ignition source is automatically shut off when the appliance is in an off or standby condition. Power venting means a venting system that uses a separate fan, either integral to the appliance or attached to the vent pipe, to convey products of combustion and excess or dilution air through the vent pipe. Unit heater means a self-contained fan-type heater designed to be installed within the heated space; however, the term does not include a warm air furnace. Warm air furnace means commercial warm air furnace as defined in § 431.72." 10:10:4.0.1.1.1.14.64.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,N,Subpart N—Unit Heaters,,§ 431.246 Energy conservation standards and their effective dates.,DOE,,,"[70 FR 60418, Oct. 18, 2005, as amended at 71 FR 71374, Dec. 8, 2006]","A unit heater manufactured on or after August 8, 2008, shall: (a) Be equipped with an intermittent ignition device; and (b) Have power venting or an automatic flue damper. An automatic vent damper is an acceptable alternative to an automatic flue damper for those unit heaters where combustion air is drawn from the conditioned space." 10:10:4.0.1.1.1.15.65.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,O,Subpart O—Commercial Prerinse Spray Valves,,§ 431.261 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for commercial prerinse spray valves, pursuant to section 135 of the Energy Policy Act of 2005, Pub. L. 109-58." 10:10:4.0.1.1.1.15.65.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,O,Subpart O—Commercial Prerinse Spray Valves,,§ 431.262 Definitions.,DOE,,,"[80 FR 81453, Dec. 30, 2015, as amended at 87 FR 13909, Mar. 11, 2022]","As used in this subpart: Basic model means all spray settings of a given class manufactured by one manufacturer, which have essentially identical physical and functional (or hydraulic) characteristics that affect water consumption or water efficiency. Commercial prerinse spray valve means a handheld device that has a release-to-close valve and is suitable for removing food residue from food service items before cleaning them in commercial dishwashing or ware washing equipment. DOE may determine that a device is suitable for removing food residue from food service items before cleaning them in commercial dishwashing or ware washing equipment based on any or all of the following: (1) Equipment design and representations (for example, whether equipment is represented as being capable of rinsing dishes as compared to equipment that is represented exclusively for washing walls and floors or animal washing); (2) Channels of marketing and sales (for example, whether equipment is marketed or sold through outlets that market or sell to food service entities); (3) Actual sales (including whether the end-users are restaurants or commercial or institutional kitchens, even if those sales are indirectly through an entity such as a distributor). Spray force means the amount of force exerted onto the spray disc, measured in ounce-force (ozf)." 10:10:4.0.1.1.1.15.65.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,O,Subpart O—Commercial Prerinse Spray Valves,,§ 431.263 Materials incorporated by reference.,DOE,,,"[87 FR 13910, Mar. 11, 2022]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the U.S. Department of Energy (DOE) must publish a document in the Federal Register and the material must be available to the public. All approved material is available for inspection at the DOE and at the National Archives and Records Administration (NARA). Contact DOE at: The U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, or Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the source(s) in the following paragraph(s) of this section. (b) ASTM. ASTM, International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959, (610) 832-9585, or go to www.astm.org. (1) ASTM F2324-13 (R2019) (“ASTM F2324”),”Standard Test Method for Prerinse Spray Valves”, Approved May 1, 2019; IBR approved for § 431.264. (2) [Reserved]" 10:10:4.0.1.1.1.15.65.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,O,Subpart O—Commercial Prerinse Spray Valves,,§ 431.264 Uniform test method to measure flow rate and spray force of commercial prerinse spray valves.,DOE,,,"[80 FR 81453, Dec. 30, 2015, as amended at 87 FR 13910, Mar. 11, 2022]","(a) Scope. This section provides the test procedure to measure the flow rate and spray force of a commercial prerinse spray valve. (b) Testing and calculations for a unit with a single spray setting —(1) Flow rate. (i) Test each unit in accordance with the requirements of Sections 6.1 through 6.9 (Apparatus) (except 6.4 and 6.7), 9.1 through 9.4 (Preparation of Apparatus), and 10.1 through 10.2.5 (Procedure) of ASTM F2324, (incorporated by reference, see § 431.263). Precatory language in ASTM F2324 is to be treated as mandatory for the purpose of testing. In Section 9.1 of ASTM F2324, the second instance of “prerinse spray valve” refers to the spring-style deck-mounted prerinse unit defined in Section 6.8. In lieu of using manufacturer installation instructions or packaging, always connect the commercial prerinse spray valve to the flex tubing for testing. Normalize the weight of the water to calculate flow rate using Equation 1 to this paragraph, where W water is the weight normalized to a 1 minute time period, W 1 is the weight of the water in the carboy at the conclusion of the flow rate test, and t 1 is the total recorded time of the flow rate test. (ii) Perform calculations in accordance with Section 11.3.1 (Calculation and Report) of ASTM F2324. Record the water temperature ( °F) and dynamic water pressure (psi) once at the start for each run of the test. Record the time (min), the normalized weight of water in the carboy (lb) and the resulting flow rate (gpm) once at the end of each run of the test. Record flow rate measurements of time (min) and weight (lb) at the resolutions of the test instrumentation. Perform three runs on each unit, as specified in Section 10.2.5 of ASTM F2324, but disregard any references to Annex A1. Then, for each unit, calculate the mean of the three flow rate values determined from each run. Round the final value for flow rate to two decimal places and record that value. (2) Spray force. Test each unit in accordance with the test requirements specified in Sections 6.2 and 6.4 through 6.9 (Apparatus), 9.1 through 9.5.3.2 (Preparation of Apparatus), and 10.3.1 through 10.3.8 (Procedure) of ASTM F2324. In Section 9.1 of ASTM F2324, the second instance of “prerinse spray valve” refers to the spring-style deck-mounted prerinse unit defined in Section 6.8. In lieu of using manufacturer installation instructions or packaging, always connect the commercial prerinse spray valve to the flex tubing for testing. Record the water temperature ( °F) and dynamic water pressure (psi) once at the start for each run of the test. In order to calculate the mean spray force value for the unit under test, there are two measurements per run and there are three runs per test. For each run of the test, record a minimum of two spray force measurements and calculate the mean of the measurements over the 15-second time period of stabilized flow during spray force testing. Record the time (min) once at the end of each run of the test. Record spray force measurements at the resolution of the test instrumentation. Conduct three runs on each unit, as specified in Section 10.3.8 of ASTM F2324, but disregard any references to Annex A1. Ensure the unit has been stabilized separately during each run. Then for each unit, calculate and record the mean of the spray force values determined from each run. Round the final value for spray force to one decimal place. (c) Testing and calculations for a unit with multiple spray settings. If a unit has multiple user-selectable spray settings, or includes multiple spray faces that can be installed, for each possible spray setting or spray face: (1) Measure both the flow rate and spray force according to paragraphs (b)(1) and (2) of this section (including calculating the mean flow rate and mean spray force) for each spray setting; and (2) Record the mean flow rate for each spray setting, rounded to two decimal places. Record the mean spray force for each spray setting, rounded to one decimal place. (d) Test procedure for voluntary representations. Follow paragraph (b)(1) or (2) or (c) of this section, as applicable, using test water pressure(s) of interest for voluntary representations of flow rate. Representations made at a water pressure other than the required test water pressure cannot replace a representation at the required test water pressure specified in Section 9.1 of ASTM F2324. Any voluntary representation of flow rate made pursuant to this paragraph shall specify the water pressure associated with the represented flow rate." 10:10:4.0.1.1.1.15.66.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,O,Subpart O—Commercial Prerinse Spray Valves,,§ 431.266 Energy conservation standards and their effective dates.,DOE,,,"[81 FR 4801, Jan. 27, 2016]","(a) Commercial prerinse spray valves manufactured on or after January 1, 2006 and before January 28, 2019, shall have a flow rate of not more than 1.6 gallons per minute. For the purposes of this standard, a commercial prerinse spray valve is a handheld device designed and marketed for use with commercial dishwashing and ware washing equipment that sprays water on dishes, flatware, and other food service items for the purpose of removing food residue before cleaning the items. (b) Commercial prerinse spray valves manufactured on or after January 28, 2019 shall have a flow rate that does not exceed the following: (1) For the purposes of this standard, the definition of commercial prerinse spray valve in § 431.262 applies. (2) [Reserved]" 10:10:4.0.1.1.1.16.67.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,P,Subpart P—Mercury Vapor Lamp Ballasts,,§ 431.281 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for mercury vapor lamp ballasts, pursuant to section 135 of the Energy Policy Act of 2005, Pub. L. 109-58." 10:10:4.0.1.1.1.16.67.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,P,Subpart P—Mercury Vapor Lamp Ballasts,,§ 431.282 Definitions concerning mercury vapor lamp ballasts.,DOE,,,"[74 FR 12074, Mar. 23, 2009]","Ballast means a device used with an electric discharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating. High intensity discharge lamp means an electric-discharge lamp in which— (1) The light-producing arc is stabilized by the arc tube wall temperature; and (2) The arc tube wall loading is in excess of 3 Watts/cm 2 , including such lamps that are mercury vapor, metal halide, and high-pressure sodium lamps. Mercury vapor lamp means a high intensity discharge lamp, including clear, phosphor-coated, and self-ballasted screw base lamps, in which the major portion of the light is produced by radiation from mercury typically operating at a partial vapor pressure in excess of 100,000 Pa (approximately 1 atm). Mercury vapor lamp ballast means a device that is designed and marketed to start and operate mercury vapor lamps intended for general illumination by providing the necessary voltage and current. Specialty application mercury vapor lamp ballast means a mercury vapor lamp ballast that— (1) Is designed and marketed for operation of mercury vapor lamps used in quality inspection, industrial processing, or scientific use, including fluorescent microscopy and ultraviolet curing; and (2) In the case of a specialty application mercury vapor lamp ballast, the label of which— (i) Provides that the specialty application mercury vapor lamp ballast is ‘For specialty applications only, not for general illumination’; and (ii) Specifies the specific applications for which the ballast is designed." 10:10:4.0.1.1.1.16.68.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,P,Subpart P—Mercury Vapor Lamp Ballasts,,§ 431.286 Energy conservation standards and their effective dates.,DOE,,,"[74 FR 12074, Mar. 23, 2009]","Mercury vapor lamp ballasts, other than specialty application mercury vapor lamp ballasts, shall not be manufactured or imported after January 1, 2008." 10:10:4.0.1.1.1.17.69.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,Q,Subpart Q—Refrigerated Bottled or Canned Beverage Vending Machines,,§ 431.291 Scope.,DOE,,,"[80 FR 45792, July 31, 2015]","This subpart specifies test procedures and energy conservation standards for certain commercial refrigerated bottled or canned beverage vending machines, pursuant to part A of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309. The regulatory provisions of §§ 430.33 and 430.34 and subparts D and E of part 430 of this chapter are applicable to refrigerated bottled or canned beverage vending machines." 10:10:4.0.1.1.1.17.69.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,Q,Subpart Q—Refrigerated Bottled or Canned Beverage Vending Machines,,§ 431.292 Definitions concerning refrigerated bottled or canned beverage vending machines.,DOE,,,"[71 FR 71375, Dec. 8, 2006, as amended at 74 FR 44967, Aug. 31, 2009; 76 FR 12504, Mar. 7, 2011; 80 FR 45792, July 31, 2015; 81 FR 1112, Jan. 8, 2016]","Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency. Bottled or canned beverage means a beverage in a sealed container. Class A means a refrigerated bottled or canned beverage vending machine that is not a combination vending machine and in which 25 percent or more of the surface area on the front side of the beverage vending machine is transparent. Class B means a refrigerated bottled or canned beverage vending machine that is not considered to be Class A and is not a combination vending machine. Combination A means a combination vending machine where 25 percent or more of the surface area on the front side of the beverage vending machine is transparent. Combination B means a combination vending machine that is not considered to be Combination A. Combination vending machine means a bottled or canned beverage vending machine containing two or more compartments separated by a solid partition, that may or may not share a product delivery chute, in which at least one compartment is designed to be refrigerated, as demonstrated by the presence of temperature controls, and at least one compartment is not. Refrigerated bottled or canned beverage vending machine means a commercial refrigerator (as defined at § 431.62) that cools bottled or canned beverages and dispenses the bottled or canned beverages on payment. Transparent means greater than or equal to 45 percent light transmittance, as determined in accordance with ASTM E 1084-86 (Reapproved 2009), (incorporated by reference, see § 431.293) at normal incidence and in the intended direction of viewing. V means the refrigerated volume (ft 3 ) of the refrigerated bottled or canned beverage vending machine, as measured by Appendix C of ANSI/ASHRAE 32.1 (incorporated by reference, see § 431.293)." 10:10:4.0.1.1.1.17.69.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,Q,Subpart Q—Refrigerated Bottled or Canned Beverage Vending Machines,,§ 431.293 Materials incorporated by reference.,DOE,,,"[88 FR 28400, May 4, 2023]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 1000 Independence Ave. SW, EE-5B, Washington, DC 20585, (202) 586-9127, Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov. The material may be obtained from the sources in the following paragraphs of this section: (b) AHAM. Association of Home Appliance Manufacturers, 1111 19th Street NW, Suite 402, Washington, DC 20036; (202) 872-5955; www.aham.org. (1) AHAM HRF-1-2016, Energy and Internal Volume of Refrigerating Appliances, copyright 2016; IBR approved for appendix B to this subpart. (2) [Reserved] (c) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc., 1791 Tullie Circle NE, Atlanta, GA 30329; (404) 636-8400; www.ashrae.org. (1) ANSI/ASHRAE Standard 32.1-2022 (ANSI/ASHRAE 32.1), Methods of Testing for Rating Refrigerated Vending Machines for Sealed Beverages, approved December 30, 2022; IBR approved for § 431.292 and appendix B to this subpart. (2) [Reserved] (d) ASTM. ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; (877) 909-2786; www.astm.org. (1) ASTM E 1084-86 (Reapproved 2009), Standard Test Method for Solar Transmittance (Terrestrial) of Sheet Materials Using Sunlight, approved April 1, 2009; IBR approved for § 431.292. (2) [Reserved]" 10:10:4.0.1.1.1.17.69.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,Q,Subpart Q—Refrigerated Bottled or Canned Beverage Vending Machines,,§ 431.294 Uniform test method for the measurement of energy consumption of refrigerated bottled or canned beverage vending machines.,DOE,,,"[71 FR 71375, Dec. 8, 2006, as amended at 80 FR 45793, July 31, 2015]","(a) Scope. This section provides test procedures for measuring, pursuant to EPCA, the energy consumption of refrigerated bottled or canned beverage vending machines. (b) Testing and Calculations. Determine the daily energy consumption of each covered refrigerated bottled or canned beverage vending machine by conducting the appropriate test procedure set forth in appendix A or B to this subpart." 10:10:4.0.1.1.1.17.70.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,Q,Subpart Q—Refrigerated Bottled or Canned Beverage Vending Machines,,§ 431.296 Energy conservation standards and their effective dates.,DOE,,,"[81 FR 1113, Jan. 8, 2016]","(a) Each refrigerated bottled or canned beverage vending machine manufactured on or after August 31, 2012 and before January 8, 2019, shall have a daily energy consumption (in kilowatt hours per day), when measured in accordance with the DOE test procedure at § 431.294, that does not exceed the following: † “V” is the representative value of refrigerated volume (ft 3 ) of the BVM model, as calculated pursuant to 10 CFR 429.52(a)(3). (b) Each refrigerated bottled or canned beverage vending machine manufactured on or after January 8, 2019, shall have a daily energy consumption (in kilowatt hours per day), when measured in accordance with the DOE test procedure at § 431.294, that does not exceed the following: † “V” is the representative value of refrigerated volume (ft 3 ) of the BVM model, as calculated pursuant to 10 CFR 429.52(a)(3)." 10:10:4.0.1.1.1.18.71.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.301 Purpose and scope.,DOE,,,,"This subpart contains energy conservation requirements for walk-in coolers and walk-in freezers, pursuant to Part C of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317." 10:10:4.0.1.1.1.18.71.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.302 Definitions concerning walk-in coolers and walk-in freezers.,DOE,,,"[74 FR 12074, Mar. 23, 2009, as amended at 76 FR 12504, Mar. 7, 2011; 76 FR 21604, Apr. 15, 2011; 76 FR 33631, June 9, 2011; 79 FR 32123, June 3, 2014; 81 FR 95801, Dec. 28, 2016; 88 FR 28838, May 4, 2023]","Adaptive defrost means a factory-installed defrost control system that reduces defrost frequency by initiating defrosts or adjusting the number of defrosts per day in response to operating conditions ( e.g., moisture levels in the refrigerated space, measurements that represent coil frost load) rather than initiating defrost strictly based on compressor run time or clock time. Attached split system means a matched pair refrigeration system which is designed to be installed with the evaporator entirely inside the walk-in enclosure and the condenser entirely outside the walk-in enclosure, and the evaporator and condenser are permanently connected with structural members extending through the walk-in wall. Basic model means all components of a given type of walk-in cooler or walk-in freezer (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency; and (1) With respect to panels, which do not have any differing features or characteristics that affect U-factor. (2) [Reserved] CO 2 unit cooler means a unit cooler that includes a nameplate listing only CO 2 as an approved refrigerant. Dedicated condensing unit means a positive displacement condensing unit that is part of a refrigeration system (as defined in this section) and is an assembly that (1) Includes 1 or more compressors, a condenser, and one refrigeration circuit; and (2) Is designed to serve one refrigerated load. Dedicated condensing refrigeration system means one of the following: (1) A dedicated condensing unit; (2) A single-package dedicated system; or (3) A matched refrigeration system. Detachable single-packaged dedicated system means a system consisting of a dedicated condensing unit and an insulated evaporator section in which the evaporator section is designed to be installed external to the walk-in enclosure and circulating air through the enclosure wall, and the condensing unit is designed to be installed either attached to the evaporator section or mounted remotely with a set of refrigerant lines connecting the two components. Display door means a door that: (1) Is designed for product display; or (2) Has 75 percent or more of its surface area composed of glass or another transparent material. Display panel means a panel that is entirely or partially comprised of glass, a transparent material, or both and is used for display purposes. Door means an assembly installed in an opening on an interior or exterior wall that is used to allow access or close off the opening and that is movable in a sliding, pivoting, hinged, or revolving manner of movement. For walk-in coolers and walk-in freezers, a door includes the frame (including mullions), the door leaf or multiple leaves (including glass) within the frame, and any other elements that form the assembly or part of its connection to the wall. Door leaf means the pivoting, rolling, sliding, or swinging portion of a door. Door surface area means the product of the height and width of a walk-in door measured external to the walk-in. The height and width dimensions shall be perpendicular to each other and parallel to the wall or panel of the walk-in to which the door is affixed. The height and width measurements shall extend to the edge of the frame and frame flange (as applicable) to which the door is affixed. For sliding doors, the height and width measurements shall include the track; however, the width (for horizontal sliding doors) or the height (for vertical sliding doors) shall be truncated to the external width or height of the door leaf or leaves and its frame or casings. The surface area of a display door is represented as A dd and the surface area of a non-display door is represented as A nd . Ducted fan coil unit means an assembly, including means for forced air circulation capable of moving air against both internal and non-zero external flow resistance, and elements by which heat is transferred from air to refrigerant to cool the air, with provision for ducted installation. Ducted multi-circuit single-packaged dedicated system means a ducted single-packaged dedicated system or a ducted single-packaged dedicated system (as defined in this section) that contains two or more refrigeration circuits that refrigerate a single stream of circulated air. Ducted single-packaged dedicated system means a refrigeration system (as defined in this section) that is a single-packaged assembly designed for use with ducts, that includes one or more compressors, a condenser, a means for forced circulation of refrigerated air, and elements by which heat is transferred from air to refrigerant. Envelope means— (1) The portion of a walk-in cooler or walk-in freezer that isolates the interior, refrigerated environment from the ambient, external environment; and (2) All energy-consuming components of the walk-in cooler or walk-in freezer that are not part of its refrigeration system. Freight door means a door that is not a display door and is equal to or larger than 4 feet wide and 8 feet tall. High-temperature refrigeration system means a refrigeration system which is not designed to operate below 45 °F. Indoor dedicated condensing refrigeration system means a dedicated condensing refrigeration system designated by the manufacturer for indoor use or for which there is no designation regarding the use location. K-factor means the thermal conductivity of a material. Manufacturer of a walk-in cooler or walk-in freezer means any person who: (1) Manufactures a component of a walk-in cooler or walk-in freezer that affects energy consumption, including, but not limited to, refrigeration, doors, lights, windows, or walls; or (2) Manufactures or assembles the complete walk-in cooler or walk-in freezer. Matched condensing unit means a dedicated condensing unit that is distributed in commerce with one or more unit cooler(s) specified by the condensing unit manufacturer. Matched refrigeration system (also called “matched-pair”) means a refrigeration system including the matched condensing unit and the one or more unit coolers with which it is distributed in commerce. Multi-circuit single-packaged dedicated system means a single-packaged dedicated system or a ducted single-packaged dedicated system (as defined in this section) that contains two or more refrigeration circuits that refrigerate a single stream of circulated air. Non-display door means a door that is not a display door. Outdoor dedicated condensing refrigeration system means a dedicated condensing refrigeration system designated by the manufacturer for outdoor use. Panel means a construction component that is not a door and is used to construct the envelope of the walk-in, i.e., elements that separate the interior refrigerated environment of the walk-in from the exterior. Passage door means a door that is not a freight or display door. Refrigerated means held at a temperature at or below 55 degrees Fahrenheit using a refrigeration system. Refrigerated storage space means a space held at refrigerated (as defined in this section) temperatures. Refrigeration system means the mechanism (including all controls and other components integral to the system's operation) used to create the refrigerated environment in the interior of a walk-in cooler or walk-in freezer, consisting of: (1) A dedicated condensing refrigeration system (as defined in this section); or (2) A unit cooler. Single-packaged dedicated system means a refrigeration system (as defined in this section) that is a single-package assembly that includes one or more compressors, a condenser, a means for forced circulation of refrigerated air, and elements by which heat is transferred from air to refrigerant, without any element external to the system imposing resistance to flow of the refrigerated air. U-factor means the heat transmission in a unit time through a unit area of a specimen or product and its boundary air films, induced by a unit temperature difference between the environments on each side. Unit cooler means an assembly, including means for forced air circulation and elements by which heat is transferred from air to refrigerant, thus cooling the air, without any element external to the cooler imposing air resistance. Walk-in cooler and walk-in freezer means an enclosed storage space including, but not limited to, panels, doors, and refrigeration system, refrigerated to temperatures, respectively, above, and at or below 32 degrees Fahrenheit that can be walked into, and has a total chilled storage area of less than 3,000 square feet; however, the terms do not include products designed and marketed exclusively for medical, scientific, or research purposes. Walk-in process cooling refrigeration system means a refrigeration system that is capable of rapidly cooling food or other substances from one temperature to another. The basic model of such a system must satisfy one of the following three conditions: (1) Be distributed in commerce with an insulated enclosure consisting of panels and door(s) such that the assembled product has a refrigerating capacity of at least 100 Btu/h per cubic foot of enclosed internal volume; (2) Be a unit cooler having an evaporator coil that is at least four-and-one-half (4.5) feet in height and whose height is at least one-and-one-half (1.5) times the width. The height of the evaporator coil is measured perpendicular to the tubes and is also the fin height, while its width is the finned length parallel to the tubes, as illustrated in Figure 1; or (3) Be a dedicated condensing unit that is distributed in commerce exclusively with a unit cooler meeting description (2) or with an evaporator that is not a unit cooler, i.e., an evaporator that is not distributed or installed as part of a package including one or more fans." 10:10:4.0.1.1.1.18.71.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.303 Materials incorporated by reference.,DOE,,,"[88 FR 28838, May 4, 2023]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the U.S. Department of Energy (DOE) must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs of this section. (b) AHRI. Air-Conditioning, Heating, and Refrigeration Institute, 2111 Wilson Boulevard, Suite 500, Arlington, VA 22201; (703) 600-0366; www.ahrinet.org. (1) ANSI/AHRI Standard 420-2008 (“AHRI 420-2008”), Performance Rating of Forced-Circulation Free-Delivery Unit Coolers for Refrigeration, Copyright 2008; IBR approved for appendix C to subpart R. (2) AHRI Standard 1250P (I-P)-2009 (“AHRI 1250-2009”), Standard for Performance Rating of Walk-in Coolers and Freezers, (including Errata sheet dated December 2015), copyright 2009, except Table 15 and Table 16; IBR approved for appendix C to subpart R. (3) AHRI Standard 1250 (“AHRI 1250-2020”), Standard for Performance Rating of Walk-in Coolers and Freezers, copyright 2020; IBR approved for appendix C1 to subpart R. (c) ASHRAE. American Society of Heating, Refrigerating and Air-Conditioning Engineers, 180 Technology Parkway, Peachtree Corners, GA 30092; (404) 636-8400; www.ashrae.org. (1) ANSI/ASHRAE Standard 16-2016 (“ANSI/ASHRAE 16”), Method of Testing for Rating Room Air Conditioners, Packaged Terminal Air Conditioners, and Packaged Terminal Heat Pumps for Cooling and Heating Capacity, ANSI-approved November 1, 2016; IBR approved for appendix C1 to subpart R. (2) ANSI/ASHRAE Standard 23.1-2010 (“ASHRAE 23.1-2010”), Methods of Testing for Rating the Performance of Positive Displacement Refrigerant Compressors and Condensing Units that Operate at Subcritical Temperatures of the Refrigerant, ANSI-approved January 28, 2010; IBR approved for appendices C and C1 to subpart R. (3) ANSI/ASHRAE Standard 37-2009 (“ANSI/ASHRAE 37”), Methods of Testing for Rating Electrically Driven Unitary Air-Conditioning and Heat Pump Equipment, ASHRAE-approved June 24, 2009; IBR approved for appendices C and C1 to subpart R. (4) ANSI/ASHRAE Standard 41.1-2013 (“ANSI/ASHRAE 41.1”), Standard Method for Temperature Measurement, ANSI-approved January 30, 2013; IBR approved for appendix C1 to subpart R. (5) ANSI/ASHRAE Standard 41.3-2014 (“ANSI/ASHRAE 41.3”), Standard Methods for Pressure Measurement, ANSI-approved July 3, 2014; IBR approved for appendix C1 to subpart R. (6) ANSI/ASHRAE Standard 41.6-2014 (“ANSI/ASHRAE 41.6”), Standard Method for Humidity Measurement, ANSI-approved July 3, 2014; IBR approved for appendix C1 to subpart R. (7) ANSI/ASHRAE Standard 41.10-2013 (“ANSI/ASHRAE 41.10”), Standard Methods for Refrigerant Mass Flow Measurement Using Flowmeters, ANSI-approved June 27, 2013; IBR approved for appendix C1 to subpart R. (d) ASTM. ASTM, International, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959; (610) 832-9500; www.astm.org. (1) ASTM C518-17, Standard Test Method for Steady-State Thermal Transmission Properties by Means of the Heat Flow Meter Apparatus, approved May 1, 2017; IBR approved for appendix B to subpart R. (2) ASTM C1199-14, Standard Test Method for Measuring the Steady-State Thermal Transmittance of Fenestration Systems Using Hot Box Methods, approved February 1, 2014; IBR approved for appendix A to subpart R. (e) NFRC. National Fenestration Rating Council, 6305 Ivy Lane, Ste. 140, Greenbelt, MD 20770; (301) 589-1776; www.nfrc.org/. (1) NFRC 102-2020 [E0A0] (“NFRC 102-2020”), Procedure for Measuring the Steady-State Thermal Transmittance of Fenestration Systems, copyright 2013; IBR approved for appendix A to subpart R. (2) [Reserved]" 10:10:4.0.1.1.1.18.71.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.304 Uniform test method for the measurement of energy consumption of walk-in coolers and walk-in freezers.,DOE,,,"[74 FR 12074, Mar. 23, 2009, as amended at 76 FR 21605, Apr. 15, 2011; 76 FR 33631, June 9, 2011; 76 FR 65365, Oct. 21, 2011; 79 FR 27412, May 13, 2014; 79 FR 32123, June 3, 2014; 81 FR 95802, Dec. 28, 2016; 88 FR 28839, May 4, 2023]","(a) Scope. This section provides test procedures for measuring, pursuant to EPCA, the energy consumption of walk-in coolers and walk-in freezers. (b) Testing and calculations. Determine the energy efficiency and/or energy consumption of the specified walk-in cooler and walk-in freezer components by conducting the appropriate test procedure as follows: (1) Display panels. Determine the energy use of walk-in cooler and walk-in freezer display panels by conducting the test procedure set forth in appendix A to this subpart. (2) Display doors and non-display doors. Determine the energy use of walk-in cooler and walk-in freezer display doors and non-display doors by conducting the test procedure set forth in appendix A to this subpart. (3) Non-display panels and non-display doors. Determine the R-value of insulation of walk-in cooler and walk-in freezer non-display panels and non-display doors by conducting the test procedure set forth in appendix B to this subpart. (4) Refrigeration systems. Determine the AWEF and net capacity of walk-in cooler and walk-in freezer refrigeration systems by conducting the test procedures set forth in appendix C or C1 to this subpart, as applicable. Refer to the notes at the beginning of those appendices to determine the applicable appendix to use for testing. (i) For unit coolers: follow the general testing provisions in sections 3.1 and 3.2, and the equipment-specific provisions in section 3.3 of appendix C or sections 4.5 through 4.8 of appendix C1. (ii) For dedicated condensing units: follow the general testing provisions in sections 3.1 and 3.2, and the product-specific provisions in section 3.4 of appendix C or sections 4.5 through 4.8 of appendix C1. (iii) For single-packaged dedicated systems: follow the general testing provisions in sections 3.1 and 3.2, and the product-specific provisions in section 3.3 of appendix C or sections 4.5 through 4.8 of appendix C1." 10:10:4.0.1.1.1.18.71.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.305 Walk-in cooler and walk-in freezer labeling requirements.,DOE,,,"[81 FR 95802, Dec. 28, 2016, as amended at 89 FR 82071, Oct. 9, 2024; 90 FR 43384, Sept. 9, 2025]","(a) Panel nameplate— (1) Required information. The permanent nameplate of a walk-in cooler or walk-in freezer panel for which standards are prescribed in § 431.306 must be marked clearly with the following information: (i) The panel brand or manufacturer; and (ii) One of the following statements, as appropriate: (A) “This panel is designed and certified for use in walk-in cooler applications.” (B) “This panel is designed and certified for use in walk-in freezer applications.” (C) “This panel is designed and certified for use in walk-in cooler and walk-in freezer applications.” (2) Display of required information. All orientation, spacing, type sizes, typefaces, and line widths to display this required information must be the same as or similar to the display of the other performance data included on the panel's permanent nameplate. The permanent nameplate must be visible unless the panel is assembled into a completed walk-in. (b) Door nameplate— (1) Required information. The permanent nameplate of a walk-in cooler or walk-in freezer door for which standards are prescribed in § 431.306 must be marked clearly with the following information: (i) The door brand or manufacturer; and (ii) One of the following statements, as appropriate: (A) “This door is designed and certified for use in walk-in cooler applications.” (B) “This door is designed and certified for use in walk-in freezer applications.” (C) “This door is designed and certified for use in walk-in cooler and walk-in freezer applications.” (2) Display of required information. All orientation, spacing, type sizes, typefaces, and line widths to display this required information must be the same as or similar to the display of the other performance data included on the door's permanent nameplate. The permanent nameplate must be visible unless the door is assembled into a completed walk-in. (c) Refrigeration system nameplate—(1) Required information. The permanent nameplate of a walk-in cooler or walk-in freezer refrigeration system for which standards are prescribed in § 431.306 must be marked clearly with the following information: (i) The refrigeration system brand or manufacturer; (ii) The refrigeration system model number; (iii) The date of manufacture of the refrigeration system (if the date of manufacture is embedded in the unit's serial number, then the manufacturer of the refrigeration system must retain any relevant records to discern the date from the serial number); (iv) If the refrigeration system is a dedicated condensing refrigeration system, and is not designated for outdoor use, the statement, “Indoor use only” (for a matched pair this must appear on the condensing unit); and (v) One of the following statements, as appropriate: (A) “This refrigeration system is designed and certified for use in walk-in cooler applications.” (B) “This refrigeration system is designed and certified for use in walk-in freezer applications.” (C) “This refrigeration system is designed and certified for use in walk-in cooler and walk-in freezer applications.” (2) Process cooling refrigeration systems. The permanent nameplate of a process cooling refrigeration system (as defined in § 431.302) must be marked clearly with the statement, “This refrigeration system is designed for use exclusively in walk-in cooler and walk-in freezer process cooling refrigeration applications.” (3) Display of required information. All orientation, spacing, type sizes, typefaces, and line widths to display this required information must be the same as or similar to the display of the other performance data included on the refrigeration system's permanent nameplate. The model number must be in one of the following forms: “Model ______” or “Model number ______” or “Model No. ______.” The permanent nameplate must be visible unless the refrigeration system is assembled into a completed walk-in. (d) A manufacturer may not mark the nameplate of a component with the required information if the manufacturer has not submitted a certification of compliance for the relevant model. (e) Disclosure of efficiency information in marketing materials. Each catalog that lists the component and all materials used to market the component must include: (1) For panels—The R-value in the form “R-value____.” (2) For doors—The energy consumption in the form “EC____kWh/day.” (3) For those refrigeration system for which standards are prescribed—The AWEF in the form “AWEF ____.” (4) The information that must appear on a walk-in cooler or walk-in freezer component's permanent nameplate pursuant to paragraphs (a)-(c) of this section must also be prominently displayed in each catalog that lists the component and all materials used to market the component." 10:10:4.0.1.1.1.18.72.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,R,Subpart R—Walk-in Coolers and Walk-in Freezers,,§ 431.306 Energy conservation standards and their effective dates.,DOE,,,"[74 FR 12074, Mar. 23, 2009, as amended at 78 FR 62993, Oct. 23, 2013; 79 FR 32123, June 3, 2014; 80 FR 69838, Nov. 12, 2015; 82 FR 31885, July 10, 2017]","(a) Each walk-in cooler or walk-in freezer manufactured on or after January 1, 2009, shall— (1) Have automatic door closers that firmly close all walk-in doors that have been closed to within 1 inch of full closure, except that this paragraph shall not apply to doors wider than 3 feet 9 inches or taller than 7 feet; (2) Have strip doors, spring hinged doors, or other method of minimizing infiltration when doors are open; (3) Contain wall, ceiling, and door insulation of at least R-25 for coolers and R-32 for freezers, except that this paragraph shall not apply to: (i) Glazed portions of doors not to structural members and (ii) A walk-in cooler or walk-in freezer component if the component manufacturer has demonstrated to the satisfaction of the Secretary in a manner consistent with applicable requirements that the component reduces energy consumption at least as much as if such insulation requirements of subparagraph (a)(3) were to apply. (4) Contain floor insulation of at least R-28 for freezers; (5) For evaporator fan motors of under 1 horsepower and less than 460 volts, use— (i) Electronically commutated motors (brushless direct current motors); or (ii) 3-phase motors; (6) For condenser fan motors of under 1 horsepower, use— (i) Electronically commutated motors (brushless direct current motors); (ii) Permanent split capacitor-type motors; or (iii) 3-phase motors; and (7) For all interior lights, use light sources with an efficacy of 40 lumens per watt or more, including ballast losses (if any), except that light sources with an efficacy of 40 lumens per watt or less, including ballast losses (if any), may be used in conjunction with a timer or device that turns off the lights within 15 minutes of when the walk-in cooler or walk-in freezer is not occupied by people. (b) Each walk-in cooler or walk-in freezer with transparent reach-in doors manufactured on or after January 1, 2009, shall also meet the following specifications: (1) Transparent reach-in doors for walk-in freezers and windows in walk-in freezer doors shall be of triple-pane glass with either heat-reflective treated glass or gas fill. (2) Transparent reach-in doors for walk-in coolers and windows in walk-in cooler doors shall be— (i) Double-pane glass with heat-reflective treated glass and gas fill; or (ii) Triple-pane glass with either heat-reflective treated glass or gas fill. (3) If the walk-in cooler or walk-in freezer has an antisweat heater without antisweat heat controls, the walk-in cooler and walk-in freezer shall have a total door rail, glass, and frame heater power draw of not more than 7.1 watts per square foot of door opening (for freezers) and 3.0 watts per square foot of door opening (for coolers). (4) If the walk-in cooler or walk-in freezer has an antisweat heater with antisweat heat controls, and the total door rail, glass, and frame heater power draw is more than 7.1 watts per square foot of door opening (for freezers) and 3.0 watts per square foot of door opening (for coolers), the antisweat heat controls shall reduce the energy use of the antisweat heater in a quantity corresponding to the relative humidity in the air outside the door or to the condensation on the inner glass pane. (c) Walk-in cooler and freezer display doors. All walk-in cooler and walk-in freezer display doors manufactured starting June 5, 2017, must satisfy the following standards: *A dd represents the surface area of the display door. (d) Walk-in cooler and freezer non-display doors. All walk-in cooler and walk-in freezer non-display doors manufactured starting on June 5, 2017, must satisfy the following standards: *A nd represents the surface area of the non-display door. (e) Walk-in cooler refrigeration systems. All walk-in cooler and walk-in freezer refrigeration systems manufactured starting on the dates listed in the table, except for walk-in process cooling refrigeration systems (as defined in § 431.302), must satisfy the following standards: * Where q net is net capacity as determined in accordance with § 431.304 and certified in accordance with 10 CFR part 429." 10:10:4.0.1.1.1.19.73.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,S,Subpart S—Metal Halide Lamp Ballasts and Fixtures,,§ 431.321 Purpose and scope.,DOE,,,"[75 FR 10966, Mar. 9, 2010]","This subpart contains energy conservation requirements for metal halide lamp ballasts and fixtures, pursuant to Part A of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6309." 10:10:4.0.1.1.1.19.73.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,S,Subpart S—Metal Halide Lamp Ballasts and Fixtures,,§ 431.322 Definitions concerning metal halide lamp ballasts and fixtures.,DOE,,,"[74 FR 12075, Mar. 23, 2009, as amended at 75 FR 10966, Mar. 9, 2010; 74 FR 12074, Mar. 23, 2009; 79 FR 7843, Feb. 10, 2014; 87 FR 37699, June 24, 2022]","Active mode means the condition in which an energy-using product: (1) Is connected to a main power source; (2) Has been activated; and (3) Provides one or more main functions. Ballast means a device used with an electric discharge lamp to obtain necessary circuit conditions (voltage, current, and waveform) for starting and operating. Ballast efficiency means, in the case of a high intensity discharge fixture, the efficiency of a lamp and ballast combination, expressed as a percentage, and calculated in accordance with the following formula: Efficiency = P out /P in where: (1) P out equals the measured operating lamp wattage; and (2) P in equals the measured operating input wattage. (3) The lamp, and the capacitor when the capacitor is provided, shall constitute a nominal system in accordance with the ANSI C78.43-2017 (incorporated by reference; see § 431.323); (4) For ballasts with a frequency of 60 Hz, Pin and Pout shall be measured after lamps have been stabilized according to Section 4.4 of ANSI C82.6-2015 (incorporated by reference; see § 431.323) using a wattmeter with accuracy specified in Section 4.5 of ANSI C82.6-2015; and (5) For ballasts with a frequency greater than 60 Hz, Pin and Pout shall have a basic accuracy of ±0.5 percent at the higher of either 3 times the output operating frequency of the ballast or 2.4 kHz. Basic model means all units of a given type of covered product (or class thereof) manufactured by one manufacturer, having the same primary energy source, and which have essentially identical electrical, physical, and functional (or hydraulic) characteristics that affect energy consumption, energy efficiency, water consumption, or water efficiency, and are rated to operate a given lamp type and wattage. Ceramic metal halide lamp means a metal halide lamp with an arc tube made of ceramic materials. Electronic ballast means a device that uses semiconductors as the primary means to control lamp starting and operation. General lighting application means lighting that provides an interior or exterior area with overall illumination. High-frequency electronic metal halide ballast means an electronic ballast that operates a lamp at an output frequency of 1000 Hz or greater. Metal halide ballast means a ballast used to start and operate metal halide lamps. Metal halide lamp means a high intensity discharge lamp in which the major portion of the light is produced by radiation of metal halides and their products of dissociation, possibly in combination with metallic vapors. Metal halide lamp fixture means a light fixture for general lighting application designed to be operated with a metal halide lamp and a ballast for a metal halide lamp. Nonpulse-start electronic ballast means an electronic ballast with a starting method other than pulse-start. Off mode means the condition in which an energy-using product: (1) Is connected to a main power source; and (2) Is not providing any standby or active mode function. PLC control signal means a power line carrier (PLC) signal that is supplied to the ballast using the input ballast wiring for the purpose of controlling the ballast and putting the ballast in standby mode. Probe-start metal halide ballast means a ballast that starts a probe-start metal halide lamp that contains a third starting electrode (probe) in the arc tube, and does not generally contain an igniter but instead starts lamps with high ballast open circuit voltage. Pulse-start metal halide ballast means an electronic or electromagnetic ballast that starts a pulse-start metal halide lamp with high voltage pulses, where lamps shall be started by the ballast first providing a high voltage pulse for ionization of the gas to produce a glow discharge and then power to sustain the discharge through the glow-to-arc transition. Quartz metal halide lamp means a metal halide lamp with an arc tube made of quartz materials. Reference lamp is a metal halide lamp that meets the operating conditions of a reference lamp as defined by ANSI C82.9-2016 (incorporated by reference; see § 431.323). Standby mode means the condition in which an energy-using product: (1) Is connected to a main power source; and (2) Offers one or more of the following user-oriented or protective functions: (i) To facilitate the activation or deactivation of other functions (including active mode) by remote switch (including remote control), internal sensor, or timer; (ii) Continuous functions, including information or status displays (including clocks) or sensor-based functions." 10:10:4.0.1.1.1.19.73.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,S,Subpart S—Metal Halide Lamp Ballasts and Fixtures,,§ 431.323 Materials incorporated by reference.,DOE,,,"[74 FR 12075, Mar. 23, 2009, as amended at 75 FR 10966, Mar. 9, 2010; 87 FR 37699, June 24, 2022]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the U.S. Department of Energy (DOE) must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE, and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs of this section. (b) ANSI. American National Standards Institute, 25 W. 43rd Street, 4th Floor, New York, NY 10036; 212-642-4900; www.ansi.org. (1) ANSI C78.43-2017, American National Standard for Electric Lamps—Single-Ended Metal Halide Lamps, approved December 21, 2017; IBR approved for § 431.324. (2) ANSI C78.44-2016, American National Standard for Electric Lamps—Double-Ended Metal Halide Lamps, approved July 1, 2016; IBR approved for § 431.324. (3) ANSI C82.6-2015 (R2020), American National Standard for Lamp Ballasts—Ballasts for High-Intensity Discharge Lamps—Methods of Measurement, approved March 30, 2020; IBR approved for §§ 431.322; 431.324. (4) ANSI C82.9-2016, American National Standard for Lamp Ballasts—High Intensity Discharge and Low-Pressure Sodium Lamps—Definitions, approved July 12, 2016; IBR approved for §§ 431.322; 431.324. (c) IEC. International Electrotechnical Commission, 3 rue de Varembé, 1st Floor, P.O. Box 131, CH—1211 Geneva 20—Switzerland, +41 22 919 02 11, or go to webstore.iec.ch/home. (1) IEC 63103, Lighting Equipment—Non-active Mode Power Measurement, Edition 1.0, dated 2020-07; IBR approved for § 431.324. (2) [Reserved] (d) NFPA. National Fire Protection Association, 11 Tracy Drive, Avon, MA 02322, 1-800-344-3555, or go to http://www.nfpa.org; (1) NFPA 70-2002 (“NFPA 70”), National Electrical Code 2002 Edition, IBR approved for § 431.326; (2) [Reserved] (e) UL. Underwriters Laboratories, Inc., COMM 2000, 1414 Brook Drive, Downers Grove, IL 60515, 1-888-853-3503, or go to http://www.ul.com. (1) UL 1029 (ANSI/UL 1029-2007) (“UL 1029”), Standard for Safety High-Intensity-Discharge Lamp Ballasts, 5th edition, May 25, 1994, which consists of pages dated May 25, 1994, September 28, 1995, August 3, 1998, February 7, 2001 and December 11, 2007, IBR approved for § 431.326. (2) [Reserved]" 10:10:4.0.1.1.1.19.73.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,S,Subpart S—Metal Halide Lamp Ballasts and Fixtures,,§ 431.324 Uniform test method for the measurement of energy efficiency and standby mode energy consumption of metal halide lamp ballasts.,DOE,,,"[87 FR 37699, June 24, 2022]","(a) Scope. This section provides test procedures for measuring, pursuant to EPCA, the energy efficiency of metal halide lamp ballasts. After July 25, 2022, and prior to December 21, 2022, any representations with respect to energy use or efficiency of metal halide lamp fixtures must be in accordance with the results of testing pursuant to this section or the test procedures as they appeared in 10 CFR 431.324 as it appeared in the 10 CFR parts 200-499 edition revised as of January 1, 2022. On or after December 21, 2022, any representations, including certifications of compliance for metal halide lamp fixtures subject to any energy conservation standard, made with respect to the energy use or efficiency of metal halide lamp fixtures must be made in accordance with the results of testing pursuant to this section. (b) Active mode procedure —(1) General instructions. Specifications in referenced standards that are recommended, that “shall” or “should” be met, or that are not otherwise explicitly optional, are mandatory. In cases where there is a conflict between any industry standard(s) and this section, the language of the test procedure in this section takes precedence over the industry standard(s). (2) Test conditions and setup. (i) The power supply, ballast conditions, lamp position, and instrumentation must all conform to the requirements specified in Section 4.0 of ANSI C82.6-2015 (R2020) (incorporated by reference; see § 431.323). (ii) Airflow in the room for the testing period must be ≤0.5 meters/second. (iii) Test circuits must be in accordance with the circuit connections specified in Section 6.3 of ANSI C82.6-2015 (R2020). (iv) For ballasts designed to operate lamps rated less than 150 W that have 120 V as an available input voltage, testing must be performed at 120 V. For ballasts designed to operate lamps rated less than 150 W that do not have 120 V as an available voltage, testing must be performed at the highest available input voltage. For ballasts designed to operate lamps rated greater than or equal to 150 W that have 277 V as an available input voltage, testing must be conducted at 277 V. For ballasts designed to operate lamps rated greater than or equal to 150 W that do not have 277 V as an available input voltage, testing must be conducted at the highest available input voltage. (v) Operate dimming ballasts at maximum input power. (vi) Select the metal halide lamp for testing as follows: (A) The metal halide lamp used for testing must meet the specifications of a reference lamp as defined by ANSI C82.9-2016 and the rated values of the corresponding lamp data sheet as specified in ANSI C78.43-2017 (both incorporated by reference; see § 431.323) for single-ended lamps and ANSI C78.44-2016 (incorporated by reference; see § 431.323) for double-ended lamps. (B) Ballasts designated with ANSI codes corresponding to more than one lamp must be tested with the lamp having the highest nominal lamp wattage as specified in ANSI C78.43-2017 or ANSI C78.44-2016, as applicable. (C) Ballasts designated with ANSI codes corresponding to both ceramic metal halide lamps (code beginning with “C”) and quartz metal halide lamps (code beginning with “M”) of the same nominal lamp wattage must be tested with the quartz metal halide lamp. (3) Test method —(i) Stabilization criteria —(A) General instruction. Lamp must be seasoned as prescribed in Section 4.4.1 of ANSI C82.6-2015 (R2020). (B) Basic stabilization method. Lamps using the basic stabilization method must be stabilized in accordance with Section 4.4.2 of ANSI C82.6-2015 (R2020). Stabilization is reached when the lamp's electrical characteristics vary by no more than 3-percent in three consecutive 10- to 15-minute intervals measured after the minimum burning time of 30 minutes. (C) Alternative stabilization method. In cases where switching from the reference ballast to test ballast without extinguishing the lamp is impossible, such as for low-frequency electronic ballasts, the alternative stabilization method must be used. Lamps using the alternative stabilization method must be stabilized in accordance with Section 4.4.3 of ANSI C82.6-2015 (R2020). (ii) Test measurements. (A) The ballast input power during operating conditions must be measured in accordance with the methods specified in Sections 6.1 and 6.8 of ANSI C82.6-2015 (R2020). (B) The ballast output (lamp) power during operating conditions must be measured in accordance with the methods specified in Sections 6.2 and 6.10 of ANSI C82.6-2015 (R2020). (C) For ballasts with a frequency of 60 Hz, the ballast input and output power shall be measured after lamps have been stabilized according to Section 4.4 of ANSI C82.6-2015 (R2020) using a wattmeter with accuracy specified in Section 4.5 of ANSI C82.6-2015 (R2020); and (D) For ballasts with a frequency greater than 60 Hz, the ballast input and output power shall have a basic accuracy of ±0.5 percent at the higher of either 3 times the output operating frequency of the ballast or 2.4 kHz. (iii) Calculations. (A) To determine the percent efficiency of the ballast under test, divide the measured ballast output (lamp) power, as measured in paragraph (b)(3)(ii) of this section, by the measured ballast input power, as measured in paragraph (b)(3)(ii) of this section. Calculate percent efficiency to three significant figures. (B) [Reserved] (c) Standby mode procedure —(1) General instructions. Measure standby mode energy consumption only for a ballast that is capable of operating in standby mode. Specifications in referenced standards that are recommended, that “shall” or “should” be met, or that are not otherwise explicitly optional, are mandatory. When there is a conflict, the language of the test procedure in this section takes precedence over IEC 63103 (incorporated by reference; see § 431.323). (2) Test conditions and setup. (i) Establish and maintain test conditions and setup in accordance with paragraph (b)(2) of this section. (ii) Connect each ballast to a lamp as specified in paragraph (b)(2)(vi) of this section. Note: ballast operation with a reference lamp is not required. (3) Test method and measurement. (i) Turn on all of the lamps at full light output. If any lamp is not functional, replace the lamp and repeat the test procedure. If the ballast will not operate any lamps, replace the unit under test. (ii) Send a signal to the ballast instructing it to have zero light output using the appropriate ballast communication protocol or system for the ballast being tested. (iii) Stabilize the ballast prior to measurement using one of the methods as specified in Section 5.4 of IEC 63103. (iv) Measure the standby mode energy consumption in watts using one of the methods as specified in Section 5.4 of IEC 63103." 10:10:4.0.1.1.1.19.74.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,S,Subpart S—Metal Halide Lamp Ballasts and Fixtures,,§ 431.326 Energy conservation standards and their effective dates.,DOE,,,"[74 FR 12075, Mar. 23, 2009, as amended at 79 FR 7844, Feb. 10, 2014]","(a) Except as provided in paragraph (b) of this section, each metal halide lamp fixture manufactured on or after January 1, 2009, and designed to be operated with lamps rated greater than or equal to 150 watts but less than or equal to 500 watts shall contain— (1) A pulse-start metal halide ballast with a minimum ballast efficiency of 88 percent; (2) A magnetic probe-start ballast with a minimum ballast efficiency of 94 percent; or (3) A nonpulse-start electronic ballast with either a minimum ballast efficiency of 92 percent for wattages greater than 250 watts; or a minimum ballast efficiency of 90 percent for wattages less than or equal to 250 watts. (b) The standards described in paragraph (a) of this section do not apply to— (1) Metal halide lamp fixtures with regulated lag ballasts; (2) Metal halide lamp fixtures that use electronic ballasts that operate at 480 volts; or (3) Metal halide lamp fixtures that; (i) Are rated only for 150 watt lamps; (ii) Are rated for use in wet locations; as specified by the National Fire Protection Association in NFPA 70 (incorporated by reference; see § 431.323); and (iii) Contain a ballast that is rated to operate at ambient air temperatures above 50 °C, as specified in UL 1029, (incorporated by reference; see § 431.323). (c) Except when the requirements of paragraph (a) of this section are more stringent ( i.e., require a larger minimum efficiency value) or as provided by paragraph (e) of this section, each metal halide lamp fixture manufactured on or after February 10, 2017, must contain a metal halide ballast with an efficiency not less than the value determined from the appropriate equation in the following table: † Includes 150 W fixtures specified in paragraph (b)(3) of this section, that are fixtures rated only for 150 W lamps; rated for use in wet locations, as specified by the NFPA 70 (incorporated by reference, see § 431.323), section 410.4(A); and containing a ballast that is rated to operate at ambient air temperatures above 50 °C, as specified by UL 1029 (incorporated by reference, see § 431.323). ‡ Excludes 150 W fixtures specified in paragraph (b)(3) of this section, that are fixtures rated only for 150 W lamps; rated for use in wet locations, as specified by the NFPA 70, section 410.4(A); and containing a ballast that is rated to operate at ambient air temperatures above 50 °C, as specified by UL 1029. †† P is defined as the rated wattage of the lamp the fixture is designed to operate. ‡‡ Tested input voltage is specified in 10 CFR 431.324. (d) Except as provided in paragraph (e) of this section, metal halide lamp fixtures manufactured on or after February 10, 2017, that operate lamps with rated wattage >500 W to ≤1000 W must not contain a probe-start metal halide ballast. (e) The standards described in paragraphs (c) and (d) of this section do not apply to— (1) Metal halide lamp fixtures with regulated-lag ballasts; (2) Metal halide lamp fixtures that use electronic ballasts that operate at 480 volts; and (3) Metal halide lamp fixtures that use high-frequency electronic ballasts." 10:10:4.0.1.1.1.2.38.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.11 Purpose and scope.,DOE,,,"[77 FR 26633, May 4, 2012, as amended at 86 FR 40774, July 29, 2021]","This subpart contains energy conservation requirements for electric motors. It contains test procedures that EPCA requires DOE to prescribe, related requirements, energy conservation standards prescribed by EPCA, labeling rules, and compliance procedures. It also identifies materials incorporated by reference in this part. This subpart does not cover “small electric motors,” which are addressed in subpart X of this part. This subpart does not cover electric motors that are “dedicated-purpose pool pump motors,” which are addressed in subpart Z of this part." 10:10:4.0.1.1.1.2.38.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.12 Definitions.,DOE,,,"[69 FR 61923, Oct. 21, 2004, as amended at 74 FR 12071, Mar. 23, 2009; 77 FR 26633, May 4, 2012; 78 FR 75993, Dec. 13, 2013; 79 FR 31009, May 29, 2014; 86 FR 21, Jan. 4, 2021; 87 FR 63654, Oct. 19, 2022; 87 FR 64689, Oct. 26, 2022; 88 FR 36150, Sept. 29, 2023]","The following definitions apply for purposes of this subpart, and of subparts U and V of this part. Any words or terms not defined in this Section or elsewhere in this part shall be defined as provided in Section 340 of the Act. Accreditation means recognition by an accreditation body that a laboratory is competent to test the efficiency of electric motors according to the scope and procedures given in IEEE 112-2017 Test Method B, CSA C390-10, or IEC 60034-2-1:2014 Method 2-1-1B (incorporated by reference, see § 431.15). Accreditation body means an organization or entity that conducts and administers an accreditation system and grants accreditation. Accreditation system means a set of requirements to be fulfilled by a testing laboratory, as well as rules of procedure and management, that are used to accredit laboratories. Accredited laboratory means a testing laboratory to which accreditation has been granted. Air-over electric motor means an electric motor that does not reach thermal equilibrium ( i.e., thermal stability), during a rated load temperature test according to section 2 of appendix B, without the application of forced cooling by a free flow of air from an external device not mechanically connected to the motor within the motor enclosure. Alternative efficiency determination method or AEDM means, with respect to an electric motor, a method of calculating the total power loss and average full load efficiency. Average full load efficiency means the arithmetic mean of the full load efficiencies of a population of electric motors of duplicate design, where the full load efficiency of each motor in the population is the ratio (expressed as a percentage) of the motor's useful power output to its total power input when the motor is operated at its full rated load, rated voltage, and rated frequency. Basic model means all units of electric motors manufactured by a single manufacturer, that are within the same equipment class, have electrical characteristics that are essentially identical, and do not have any differing physical or functional characteristics that affect energy consumption or efficiency. Brake electric motor means a motor that contains a dedicated mechanism for speed reduction, such as a brake, either within or external to the motor enclosure Certificate of conformity means a document that is issued by a certification program, and that gives written assurance that an electric motor complies with the energy efficiency standard applicable to that motor, as specified in § 431.25. Certification program means a certification system that determines conformity by electric motors with the energy efficiency standards prescribed by and pursuant to the Act. Certification system means a system, that has its own rules of procedure and management, for giving written assurance that a product, process, or service conforms to a specific standard or other specified requirements, and that is operated by an entity independent of both the party seeking the written assurance and the party providing the product, process or service. Component set means a combination of motor parts that require the addition of more than two endshields (and their associated bearings) to create an operable motor. These parts may consist of any combination of a stator frame, wound stator, rotor, shaft, or endshields. For the purpose of this definition, the term “operable motor” means an electric motor engineered for performing in accordance with nameplate ratings. CSA means Canadian Standards Association. Definite purpose electric motor means any electric motor that cannot be used in most general purpose applications and is designed either: (1) To standard ratings with standard operating characteristics or standard mechanical construction for use under service conditions other than usual, such as those specified in NEMA MG 1-2016, Paragraph 14.3, “Unusual Service Conditions,” (incorporated by reference, see § 431.15); or (2) For use on a particular type of application. Definite purpose motor means any electric motor that cannot be used in most general purpose applications and is designed either: (1) To standard ratings with standard operating characteristics or standard mechanical construction for use under service conditions other than usual, such as those specified in NEMA MG 1-2016, Paragraph 14.3, “Unusual Service Conditions,” (incorporated by reference, see § 431.15); or (2) For use on a particular type of application. Electric motor means a machine that converts electrical power into rotational mechanical power. Electric motor with encapsulated windings means an electric motor capable of passing the conformance test for water resistance described in NEMA MG 1-2016, Paragraph 12.62 (incorporated by reference, see § 431.15). Electric motor with moisture resistant windings means an electric motor that is capable of passing the conformance test for moisture resistance generally described in NEMA MG 1-2016, paragraph 12.63 (incorporated by reference, see § 431.15). Electric motor with sealed windings means an electric motor capable of passing the conformance test for water resistance described in NEMA MG 1-2016, paragraph 12.62 (incorporated by reference, see § 431.15). Enclosed motor means an electric motor so constructed as to prevent the free exchange of air between the inside and outside of the case but not sufficiently enclosed to be termed airtight. Equipment class means one of the combinations of an electric motor's horsepower (or standard kilowatt equivalent), number of poles, and open or enclosed construction, with respect to a category of electric motor for which § 431.25 prescribes nominal full-load efficiency standards. Fire pump electric motor means an electric motor, including any IEC-equivalent, that meets the requirements of section 9.5 of NFPA 20 (incorporated by reference, see § 431.15). General purpose electric motor means any electric motor that is designed in standard ratings with either: (1) Standard operating characteristics and mechanical construction for use under usual service conditions, such as those specified in NEMA MG 1-2016, paragraph 14.2, “Usual Service Conditions,” (incorporated by reference, see § 431.15) and without restriction to a particular application or type of application; or (2) Standard operating characteristics or standard mechanical construction for use under unusual service conditions, such as those specified in NEMA MG 1-2016, paragraph 14.3, “Unusual Service Conditions,” (incorporated by reference, see § 431.15) or for a particular type of application, and which can be used in most general purpose applications. General purpose electric motor (subtype I) means a general purpose electric motor that: (1) Is a single-speed, induction motor; (2) Is rated for continuous duty (MG1) operation or for duty type S1 (IEC); (3) Contains a squirrel-cage (MG1) or cage (IEC) rotor; (4) Has foot-mounting that may include foot-mounting with flanges or detachable feet; (5) Is built in accordance with NEMA T-frame dimensions or their IEC metric equivalents, including a frame size that is between two consecutive NEMA frame sizes or their IEC metric equivalents; (6) Has performance in accordance with NEMA Design A (MG1) or B (MG1) characteristics or equivalent designs such as IEC Design N (IEC); (7) Operates on polyphase alternating current 60-hertz sinusoidal power, and: (i) Is rated at 230 or 460 volts (or both) including motors rated at multiple voltages that include 230 or 460 volts (or both), or (ii) Can be operated on 230 or 460 volts (or both); and (8) Includes, but is not limited to, explosion-proof construction. References to “MG1” above refer to NEMA Standards Publication MG 1-2016 (incorporated by reference in § 431.15). References to “IEC” above refer to IEC 60034-1, 60034-12:2016, 60050-411, and 60072-1 (incorporated by reference in § 431.15), as applicable. General purpose electric motor (subtype II) means any general purpose electric motor that incorporates design elements of a general purpose electric motor (subtype I) but, unlike a general purpose electric motor (subtype I), is configured in one or more of the following ways: (1) Is built in accordance with NEMA U-frame dimensions as described in NEMA MG 1-1967 (incorporated by reference, see § 431.15) or in accordance with the IEC metric equivalents, including a frame size that is between two consecutive NEMA frame sizes or their IEC metric equivalents; (2) Has performance in accordance with NEMA Design C characteristics as described in MG1 or an equivalent IEC design(s) such as IEC Design H; (3) Is a close-coupled pump motor; (4) Is a footless motor; (5) Is a vertical solid shaft normal thrust motor (as tested in a horizontal configuration) built and designed in a manner consistent with MG1; (6) Is an eight-pole motor (900 rpm); or (7) Is a polyphase motor with a voltage rating of not more than 600 volts, is not rated at 230 or 460 volts (or both), and cannot be operated on 230 or 460 volts (or both). With the exception of the NEMA Motor Standards MG1-1967 (incorporated by reference in § 431.15), references to “MG1” above refer to NEMA MG 1-2016 (incorporated by reference in § 431.15). References to “IEC” above refer to IEC 60034-1, 60034-12, 60050-411, and 60072-1 (incorporated by reference in § 431.15), as applicable. IEC means the International Electrotechnical Commission. IEC Design H motor means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of direct-on-line starting (4) Has 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and (6) Conforms to Sections 9.1, 9.2, and 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design HE means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of direct-on-line starting; (4) Has 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and (6) Conforms to section 9.1, Table 3, and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design HEY means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of star-delta starting; (4) Has 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and (6) Conforms to section 5.7, Table 3 and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design HY means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of star-delta starting; (4) Has 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 160 kW at a frequency of 60 Hz; and (6) Conforms to Section 5.7, Section 9.2 and Section 9.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design N motor means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of direct-on-line starting; (4) Has 2, 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and (6) Conforms to Sections 6.1, 6.2, and 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for torque characteristics, locked rotor apparent power, and starting requirements, respectively. If a motor has an increased safety designation of type “e,”, the locked rotor apparent power shall be in accordance with the appropriate values specified in IEC 60079-7:2015 (incorporated by reference, see § 431.15). IEC Design NE means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of direct-on-line starting; (4) Has 2, 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and (6) Conforms to section 6.1, Table 3 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design NEY means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of star-delta starting; (4) Has 2, 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and (6) Conforms to section 5.4, Table 3 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEC Design NY means an electric motor that: (1) Is an induction motor designed for use with three-phase power; (2) Contains a cage rotor; (3) Is capable of star-delta starting; (4) Has 2, 4, 6, or 8 poles; (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and (6) Conforms to Section 5.4, Section 6.2 and Section 6.3 of the IEC 60034-12:2016 (incorporated by reference, see § 431.15) specifications for starting torque, locked rotor apparent power, and starting requirements, respectively. IEEE means the Institute of Electrical and Electronics Engineers, Inc. Immersible electric motor means an electric motor primarily designed to operate continuously in free-air, but is also capable of temporarily withstanding complete immersion in liquid for a continuous period of no less than 30 minutes. Inverter means an electronic device that converts an input AC or DC power into a controlled output AC or DC voltage or current. An inverter may also be called a converter. Inverter-capable electric motor means an electric motor designed for direct online starting and is suitable for operation on an inverter without special filtering. Inverter-only electric motor means an electric motor designed specifically for operation fed by an inverter with a temperature rise within the specified insulation thermal class or thermal limits. Liquid-cooled electric motor means a motor that is cooled by liquid circulated using a designated cooling apparatus such that the liquid or liquid-filled conductors come into direct contact with the parts of the motor but is not submerged in a liquid during operation. NEMA means the National Electrical Manufacturers Association. NEMA Design A motor means a squirrel-cage motor that: (1) Is designed to withstand full-voltage starting and developing locked-rotor torque as shown in NEMA MG 1-2016, paragraph 12.38.1 (incorporated by reference, see § 431.15); (2) Has pull-up torque not less than the values shown in NEMA MG 1-2016, paragraph 12.40.1; (3) Has breakdown torque not less than the values shown in NEMA MG 1-2016, paragraph 12.39.1; (4) Has a locked-rotor current higher than the values shown in NEMA MG 1-2016, Paragraph 12.35.2 for 60 hertz and NEMA MG 1-2016, Paragraph 12.35.4 for 50 hertz; and (5) Has a slip at rated load of less than 5 percent for motors with fewer than 10 poles. NEMA Design B motor means a squirrel-cage motor that is: (1) Designed to withstand full-voltage starting; (2) Develops locked-rotor, breakdown, and pull-up torques adequate for general application as specified in Sections 12.38, 12.39 and 12.40 of NEMA MG 1-2016 (incorporated by reference, see § 431.15); (3) Draws locked-rotor current not to exceed the values shown in Section 12.35.2 for 60 hertz and 12.35.4 for 50 hertz of NEMA MG 1-2016; and (4) Has a slip at rated load of less than 5 percent for motors with fewer than 10 poles. NEMA Design C motor means a squirrel-cage motor that: (1) Is designed to withstand full-voltage starting and developing locked-rotor torque for high-torque applications up to the values shown in NEMA MG 1-2016, paragraph 12.38.2 (incorporated by reference, see § 431.15); (2) Has pull-up torque not less than the values shown in NEMA MG 1-2016, paragraph 12.40.2; (3) Has breakdown torque not less than the values shown in NEMA MG 1-2016, paragraph 12.39.2; (4) Has a locked-rotor current not to exceed the values shown in NEMA MG 1-2016, paragraphs 12.35.2 for 60 hertz and 12.35.4 for 50 hertz; and (5) Has a slip at rated load of less than 5 percent. Nominal full-load efficiency means, with respect to an electric motor, a representative value of efficiency selected from the “nominal efficiency” column of Table 12-10, NEMA MG 1-2016, (incorporated by reference, see § 431.15), that is not greater than the average full-load efficiency of a population of motors of the same design. Open motor means an electric motor having ventilating openings which permit passage of external cooling air over and around the windings of the machine. Partial electric motor means an assembly of motor components necessitating the addition of no more than two endshields, including bearings, to create an electric motor capable of operation in accordance with the applicable nameplate ratings. Rated frequency means 60 Hz and corresponds to the frequency of the electricity supplied either: (1) Directly to the motor, in the case of electric motors capable of operating without an inverter; or (2) To the inverter in the case on inverter-only electric motors. Rated load (or full-load, full rated load, or rated full-load ) means the rated output power of an electric motor. Rated voltage means the input voltage of a motor or inverter used when making representations of the performance characteristics of a given electric motor and selected by the motor's manufacturer to be used for testing the motor's efficiency. Special purpose motor means any motor, other than a general purpose motor or definite purpose motor, which has special operating characteristics or special mechanical construction, or both, designed for a particular application. Special purpose electric motor means any electric motor, other than a general purpose motor or definite electric purpose motor, which has special operating characteristics or special mechanical construction, or both, designed for a particular application. Specialized frame size means an electric motor frame size for which the rated output power of the motor exceeds the motor frame size limits specified for standard frame size. Specialized frame sizes have maximum diameters corresponding to the following NEMA Frame Sizes: Standard frame size means a motor frame size that aligns with the specifications in NEMA MG 1-2016, section 13.2 for open motors, and NEMA MG 1-2016, section 13.3 for enclosed motors (incorporated by reference, see § 431.15). Submersible electric motor means an electric motor that: (1) Is intended to operate continuously only while submerged in liquid; (2) Is capable of operation while submerged in liquid for an indefinite period of time; and (3) Has been sealed to prevent ingress of liquid from contacting the motor's internal parts. Total power loss means that portion of the energy used by an electric motor not converted to rotational mechanical power, expressed in percent. Totally enclosed non-ventilated (TENV) electric motor means an electric motor that is built in a frame-surface cooled, totally enclosed configuration that is designed and equipped to be cooled only by free convection." 10:10:4.0.1.1.1.2.38.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.14 [Reserved],DOE,,,, 10:10:4.0.1.1.1.2.38.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.15 Materials incorporated by reference.,DOE,,,"[77 FR 26634, May 4, 2012, as amended at 78 FR 75994, Dec. 13, 2013; 86 FR 21, Jan. 4, 2021; 87 FR 63656, Oct. 19, 2022]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the U.S. Department of Energy (DOE) must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, https://www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. The material may be obtained from the sources in the following paragraphs: (b) CSA. Canadian Standards Association, Sales Department, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada; (800) 463-6727; www.shopcsa.ca/onlinestore/welcome.asp. (1) CSA C390-10 (reaffirmed 2019), (“CSA C390-10”), Test methods, marking requirements, and energy efficiency levels for three-phase induction motors, including Updates No. 1 through 3, Revised January 2020; IBR approved for § 431.12 and appendix B to this subpart. (2) CSA C747-09 (reaffirmed 2019) (“CSA C747-09”), Energy efficiency test methods for small motors, including Update No. 1 (August 2016), October 2009; IBR approved for appendix B to this subpart. (c) IEC. International Electrotechnical Commission Central Office, 3, rue de Varembé, P.O. Box 131, CH-1211 GENEVA 20, Switzerland; + 41 22 919 02 11; webstore.iec.ch. (1) IEC 60034-1 Edition 12.0 2010-02, (“IEC 60034-1”), Rotating Electrical Machines, Part 1: Rating and Performance, February 2010, IBR approved as follows: section 4: Duty, clause 4.2.1 and Figure 1, IBR approved for § 431.12. (2) IEC 60034-1, Edition 12.0 2010-02, (“IEC 60034-1:2010”), Rotating Electrical Machines—Part 1: Rating and Performance, IBR approved for appendix B to this subpart. (3) IEC 60034-2-1:2014, Rotating electrical machines—Part 2-1: Standard methods for determining losses and efficiency from tests (excluding machines for traction vehicles), Edition 2.0, 2014-06; IBR approved for § 431.12 and appendix B to this subpart. (4) IEC 60034-12:2016, Rotating electrical machines, Part 12: Starting performance of single-speed three-phase cage induction motors, Edition 3.0, 2016-11; IBR approved for § 431.12. (5) IEC 60050-411, International Electrotechnical Vocabulary Chapter 411: Rotating machines, 1996, IBR approved as follows: sections 411-33-07 and 411-37-26, IBR approved for § 431.12. (6) IEC 60051-1:2016, Edition 6.0 2016-02, (“IEC 60051-1:2016”), Direct acting indicating analogue electrical measuring instruments and their accessories—Part 1: Definitions and general requirements common to all parts, IBR approved for appendix B to this subpart. (7) IEC 60072-1, Dimensions and Output Series for Rotating Electrical Machines—Part 1: Frame numbers 56 to 400 and flange numbers 55 to 1080, Sixth edition, 1991-02; IBR approved as follows: clauses 2, 3, 4.1, 6.1, 7, and 10, and Tables 1, 2 and 4; IBR approved for § 431.12 and appendix B to this subpart. (8) IEC 60079-7:2015, Explosive atmospheres—Part 7: Equipment protection by increased safety “e”, Edition 5.0, 2015-06; IBR approved for § 431.12. (9) IEC 61800-9-2:2017, Adjustable speed electrical power drive systems—Part 9-2: Ecodesign for power drive systems, motor starters, power electronics and their driven applications—Energy efficiency indicators for power drive systems and motor starters, Edition 1.0, 2017-03; IBR approved for appendix B to this subpart. (d) IEEE. Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331; (800) 678-IEEE (4333); www.ieee.org/web/publications/home/index.html. (1) IEEE Std 112-2017 (“IEEE 112-2017”), IEEE Standard Test Procedure for Polyphase Induction Motors and Generators, approved December 6, 2017; IBR approved for § 431.12 and appendix B to this subpart. (2) IEEE Std 114-2010 (“IEEE 114-2010”), Test Procedure for Single-Phase Induction Motors, December 23, 2010; IBR approved for appendix B to this subpart. (e) NEMA. National Electrical Manufacturers Association, 1300 North 17th Street, Suite 1752, Rosslyn, Virginia 22209; (703) 841-3200; www.nema.org/. (1) ANSI/NEMA MG 1-2016 (Revision 1, 2018) (“NEMA MG 1-2016”), Motors and Generators, ANSI-approved June 15, 2021; IBR approved for § 431.12 and appendix B to this subpart. (2) NEMA Standards Publication MG1-1967 (“NEMA MG1-1967”), Motors and Generators, January 1968; as follows: (i) Part 11, Dimension; IBR approved for § 431.12. (ii) Part 13, Frame Assignments—A-C Integral-Horsepower Motors; IBR approved for § 431.12. (f) NFPA. National Fire Protection Association, 1 Batterymarch Park, Quincy, MA 02169-7471; (617) 770-3000; www.nfpa.org/. (1) NFPA 20, Standard for the Installation of Stationary Pumps for Fire Protection, 2022 Edition, ANSI-approved April 8, 2021. IBR approved for § 431.12. (2) [Reserved]" 10:10:4.0.1.1.1.2.38.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.16 Test procedures for the measurement of energy efficiency.,DOE,,,,"For purposes of 10 CFR part 431 and EPCA, the test procedures for measuring the energy efficiency of an electric motor shall be the test procedures specified in appendix B to this subpart B." 10:10:4.0.1.1.1.2.38.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.17 [Reserved],DOE,,,, 10:10:4.0.1.1.1.2.38.7,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.18 Testing laboratories.,DOE,,,"[69 FR 61923, Oct. 21, 2004, as amended at 77 FR 26635, May 4, 2012; 87 FR 63657, Oct. 19, 2022]","(a) Testing pursuant to § 431.17(a)(5)(ii) must be conducted in an accredited laboratory for which the accreditation body was: (1) The National Institute of Standards and Technology/National Voluntary Laboratory Accreditation Program (NIST/NVLAP); or (2) A laboratory accreditation body having a mutual recognition arrangement with NIST/NVLAP; or (3) An organization classified by the Department, pursuant to § 431.19, as an accreditation body. (b) NIST/NVLAP is under the auspices of the National Institute of Standards and Technology (NIST)/National Voluntary Laboratory Accreditation Program (NVLAP), which is part of the U.S. Department of Commerce. NIST/NVLAP accreditation is granted on the basis of conformance with criteria published in 15 CFR part 285. The National Voluntary Laboratory Accreditation Program, “Procedures and General Requirements,” NIST Handbook 150-10, April 2020, (referenced for guidance only, see § 429.3 of this subchapter) present the technical requirements of NVLAP for the Efficiency of Electric Motors field of accreditation. This handbook supplements NIST Handbook 150, National Voluntary Laboratory Accreditation Program “Procedures and General Requirements,” which contains 15 CFR part 285 plus all general NIST/NVLAP procedures, criteria, and policies. Information regarding NIST/NVLAP and its Efficiency of Electric Motors Program (EEM) can be obtained from NIST/NVLAP, 100 Bureau Drive, Mail Stop 2140, Gaithersburg, MD 20899-2140, (301) 975-4016 (telephone), or (301) 926-2884 (fax)." 10:10:4.0.1.1.1.2.39.8,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.25 Energy conservation standards and effective dates.,DOE,,,"[79 FR 31010, May 29, 2014, as amended at 87 FR 63657, Oct. 19, 2022; 88 FR 36150, Sept. 29, 2023]","(a) Except as provided for fire pump electric motors in paragraph (b) of this section, each general purpose electric motor (subtype I) with a power rating of 1 horsepower or greater, but not greater than 200 horsepower, including a NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype I), manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following: Table 1—Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype I), Except Fire Pump Electric Motors (b) Each fire pump electric motor that is a general purpose electric motor (subtype I) or general purpose electric motor (subtype II) manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following: Table 2—Nominal Full-Load Efficiencies of Fire Pump Electric Motors (c) Except as provided for fire pump electric motors in paragraph (b) of this section, each general purpose electric motor (subtype II) with a power rating of 1 horsepower or greater, but not greater than 200 horsepower, including a NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype II), manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016, shall have a nominal full-load efficiency that is not less than the following: Table 3—Nominal Full-Load Efficiencies of General Purpose Electric Motors (Subtype II), Except Fire Pump Electric Motors (d) Each NEMA Design B or an equivalent IEC Design N motor that is a general purpose electric motor (subtype I) or general purpose electric motor (subtype II), excluding fire pump electric motors, with a power rating of more than 200 horsepower, but not greater than 500 horsepower, manufactured (alone or as a component of another piece of equipment) on or after December 19, 2010, but before June 1, 2016 shall have a nominal full-load efficiency that is not less than the following: Table 4—Nominal Full-Load Efficiencies of NEMA Design B General Purpose Electric Motors (Subtype I and II), Except Fire Pump Electric Motors (e) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (a) through (d) of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows: (1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers; (2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or (3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1 / 0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraph (e)(1) or (e)(2) of this section, whichever applies. (f) The standards in Table 1 through Table 4 of this section do not apply to definite purpose electric motors, special purpose electric motors, or those motors exempted by the Secretary. (g) The standards in Table 5 through Table 7 of this section apply only to electric motors, including partial electric motors, that satisfy the following criteria: (1) Are single-speed, induction motors; (2) Are rated for continuous duty (MG 1) operation or for duty type S1 (IEC); (3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor; (4) Operate on polyphase alternating current 60-hertz sinusoidal line power; (5) Are rated 600 volts or less; (6) Have a 2-, 4-, 6-, or 8-pole configuration, (7) Are built in a three-digit or four-digit NEMA frame size (or IEC metric equivalent), including those designs between two consecutive NEMA frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA frame size (or IEC metric equivalent), (8) Produce at least one horsepower (0.746 kW) but not greater than 500 horsepower (373 kW), and (9) Meet all of the performance requirements of one of the following motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, NY or H, HE, HEY, HY motor. (h) Each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an electric motor meeting the criteria in paragraph (g) of this section and with a power rating from 1 horsepower through 500 horsepower, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) on or after June 1, 2016, but before June 1, 2027, shall have a nominal full-load efficiency of not less than the following: Table 5 to Paragraph ( h )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump Electric Motors) at 60 Hz (i) Starting on June 1, 2016, each NEMA Design C motor and IEC Design H (including HE, HEY, or HY variants) motor that is an electric motor meeting the criteria in paragraph (g) of this section and with a power rating from 1 horsepower through 200 horsepower manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency that is not less than the following: Table 6 to Paragraph ( i )—Nominal Full-Load Efficiencies of NEMA Design C and IEC Design H, HE, HEY or HY Motors at 60 Hz (j) Starting on June 1, 2016, each fire pump electric motor meeting the criteria in paragraph (g) of this section and with a power rating of 1 horsepower through 500 horsepower, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency that is not less than the following: Table 7—Nominal Full-Load Efficiencies of Fire Pump Electric Motors at 60 Hz (k) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (h) through (l) of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows: (1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers; (2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or (3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1 / 0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraph (k)(1) or (k)(2) of this section, whichever applies. (l) The standards in Table 5 through Table 7 of this section do not apply to the following electric motors exempted by the Secretary, or any additional electric motors that the Secretary may exempt: (1) Air-over electric motors; (2) Component sets of an electric motor; (3) Liquid-cooled electric motors; (4) Submersible electric motors; and (5) Inverter-only electric motors. (m) The standards in tables 8 through 10 of this section apply only to electric motors, including partial electric motors, that satisfy the following criteria: (1) Are single-speed, induction motors; (2) Are rated for continuous duty (MG 1) operation or for duty type S1 (IEC); (3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor; (4) Operate on polyphase alternating current 60-hertz sinusoidal line power; (5) Are rated 600 volts or less; (6) Have a 2-, 4-, 6-, or 8-pole configuration, (7) Are built in a three-digit or four-digit NEMA frame size (or IEC metric equivalent), including those designs between two consecutive NEMA frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA frame size (or IEC metric equivalent), (8) Produce at least one horsepower (0.746 kW) but not greater than 750 horsepower (559 kW), and (9) Meet all of the performance requirements of one of the following motor types: A NEMA Design A, B, or C motor or an IEC Design N, NE, NEY, NY or H, HE, HEY, HY motor. (n) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 750 horsepower, but excluding fire pump electric motors and air-over electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following: Table 8 to Paragraph ( n )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump Electric Motors and Air-Over Electric Motors) at 60 H z (o) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an air-over electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 250 horsepower, built in a standard frame size, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following: Table 9 to Paragraph ( o )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Standard Frame Size Air-Over Electric Motors (Excluding Fire Pump Electric Motors) at 60 H z (p) Starting on June 1, 2027, each NEMA Design A motor, NEMA Design B motor, and IEC Design N (including NE, NEY, or NY variants) motor that is an air-over electric motor meeting the criteria in paragraph (m) of this section and with a power rating from 1 horsepower through 20 horsepower, built in a specialized frame size, but excluding fire pump electric motors, manufactured (alone or as a component of another piece of equipment) shall have a nominal full-load efficiency of not less than the following: Table 10 to Paragraph ( p )—Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B and IEC Design N, NE, NEY or NY Specialized Frame Size Air-Over Electric Motors (Excluding Fire Pump Electric Motors) at 60 H z (q) For purposes of determining the required minimum nominal full-load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of energy conservation standards in paragraphs (n) through (p) through of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows: (1) A horsepower at or above the midpoint between the two consecutive horsepowers shall be rounded up to the higher of the two horsepowers; (2) A horsepower below the midpoint between the two consecutive horsepowers shall be rounded down to the lower of the two horsepowers; or (3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = ( 1/0.746 ) horsepower. The conversion should be calculated to three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraphs (q)(1) or (2) of this section, whichever applies. (r) The standards in tables 8 through 10 of this section do not apply to the following electric motors exempted by the Secretary, or any additional electric motors that the Secretary may exempt: (1) Component sets of an electric motor; (2) Liquid-cooled electric motors; (3) Submersible electric motors; and (4) Inverter-only electric motors." 10:10:4.0.1.1.1.2.39.9,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.26 Preemption of State regulations.,DOE,,,,"Any State regulation providing for any energy conservation standard, or other requirement with respect to the energy efficiency or energy use, of an electric motor that is not identical to a Federal standard in effect under this subpart is preempted by that standard, except as provided for in Section 345(a) and 327(b) and (c) of the Act." 10:10:4.0.1.1.1.2.40.10,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.31 Labeling requirements.,DOE,,,"[69 FR 61923, Oct. 21, 2004, as amended at 77 FR 26637, May 4, 2012]","(a) Electric motor nameplate —(1) Required information. The permanent nameplate of an electric motor for which standards are prescribed in § 431.25 must be marked clearly with the following information: (i) The motor's nominal full load efficiency (as of the date of manufacture), derived from the motor's average full load efficiency as determined pursuant to this subpart; and (ii) A Compliance Certification number (“CC number”) supplied by DOE to the manufacturer or private labeler, pursuant to § 431.36(f), and applicable to that motor. Such CC number must be on the nameplate of a motor beginning 90 days after either: (A) The manufacturer or private labeler has received the number upon submitting a Compliance Certification covering that motor, or (B) The expiration of 21 days from DOE's receipt of a Compliance Certification covering that motor, if the manufacturer or private labeler has not been advised by DOE that the Compliance Certification fails to satisfy § 431.36. (2) Display of required information. All orientation, spacing, type sizes, type faces, and line widths to display this required information shall be the same as or similar to the display of the other performance data on the motor's permanent nameplate. The nominal full-load efficiency shall be identified either by the term “Nominal Efficiency” or “Nom. Eff.” or by the terms specified in paragraph 12.58.2 of NEMA MG1-2009, (incorporated by reference, see § 431.15) as for example “NEMA Nom. Eff. ____.” The Compliance Certification number issued pursuant to § 431.36 shall be in the form “CC ____.” (3) Optional display. The permanent nameplate of an electric motor, a separate plate, or decalcomania, may be marked with the encircled lower case letters “ee”, for example, or with some comparable designation or logo, if the motor meets the applicable standard prescribed in § 431.25, as determined pursuant to this subpart, and is covered by a Compliance Certification that satisfies § 431.36. (b) Disclosure of efficiency information in marketing materials. (1) The same information that must appear on an electric motor's permanent nameplate pursuant to paragraph (a)(1) of this section, shall be prominently displayed: (i) On each page of a catalog that lists the motor; and (ii) In other materials used to market the motor. (2) The “ee” logo, or other similar logo or designations, may also be used in catalogs and other materials to the same extent they may be used on labels under paragraph (a)(3) of this section." 10:10:4.0.1.1.1.2.40.11,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.32 Preemption of State regulations.,DOE,,,,"The provisions of § 431.31 supersede any State regulation to the extent required by Section 327 of the Act. Pursuant to the Act, all State regulations that require the disclosure for any electric motor of information with respect to energy consumption, other than the information required to be disclosed in accordance with this part, are superseded." 10:10:4.0.1.1.1.2.41.12,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.35 Applicability of certification requirements.,DOE,,,,Section 431.36 sets forth the procedures for manufacturers to certify that electric motors comply with the applicable energy efficiency standards set forth in this subpart. 10:10:4.0.1.1.1.2.41.13,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,B,Subpart B—Electric Motors,,§ 431.36 Compliance Certification.,DOE,,,"[69 FR 61923, Oct. 21, 2004, as amended at 76 FR 59006, Sept. 23, 2011; 77 FR 26638, May 4, 2012]","(a) General. A manufacturer or private labeler shall not distribute in commerce any basic model of an electric motor which is subject to an energy efficiency standard set forth in this subpart unless it has submitted to the Department a Compliance Certification certifying, in accordance with the provisions of this section, that the basic model meets the requirements of the applicable standard. The representations in the Compliance Certification must be based upon the basic model's energy efficiency as determined in accordance with the applicable requirements of this subpart. This means, in part, that either: (1) The representations as to the basic model must be based on use of a certification organization; or (2) Any testing of the basic model on which the representations are based must be conducted at an accredited laboratory. (b) Required contents —(1) General representations. Each Compliance Certification must certify that: (i) The nominal full load efficiency for each basic model of electric motor distributed is not less than the minimum nominal full load efficiency required for that motor by § 431.25; (ii) All required determinations on which the Compliance Certification is based were made in compliance with the applicable requirements prescribed in this subpart; (iii) All information reported in the Compliance Certification is true, accurate, and complete; and (iv) The manufacturer or private labeler is aware of the penalties associated with violations of the Act and the regulations thereunder, and of 18 U.S.C. 1001 which prohibits knowingly making false statements to the Federal Government. (2) Specific data. (i) For each rating of electric motor (as the term “rating” is defined in the definition of basic model) which a manufacturer or private labeler distributes, the Compliance Certification must report the nominal full load efficiency, determined pursuant to §§ 431.16 and 431.17, of the least efficient basic model within that rating. (ii) The Compliance Certification must identify the basic models on which actual testing has been performed to meet the requirements of § 431.17. (iii) The format for a Compliance Certification is set forth in appendix C of this subpart. (c) Optional contents. In any Compliance Certification, a manufacturer or private labeler may at its option request that DOE provide it with a unique Compliance Certification number (“CC number”) for any brand name, trademark or other label name under which the manufacturer or private labeler distributes electric motors covered by the Certification. Such a Compliance Certification must also identify all other names, if any, under which the manufacturer or private labeler distributes electric motors, and to which the request does not apply. (d) Signature and submission. A manufacturer or private labeler must submit the Compliance Certification either on its own behalf, signed by a corporate official of the company, or through a third party (for example, a trade association or other authorized representative) acting on its behalf. Where a third party is used, the Compliance Certification must identify the official of the manufacturer or private labeler who authorized the third party to make representations on the company's behalf, and must be signed by a corporate official of the third party. The Compliance Certification must be submitted to the Department electronically at https://www.regulations.doe.gov/ccms. Alternatively, the Compliance Certification may be submitted by certified mail to: Certification and Compliance Reports, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585-0121. (e) New basic models. For electric motors, a Compliance Certification must be submitted for a new basic model only if the manufacturer or private labeler has not previously submitted to DOE a Compliance Certification, that meets the requirements of this section, for a basic model that has the same rating as the new basic model, and that has a lower nominal full load efficiency than the new basic model. (f) Response to Compliance Certification; Compliance Certification Number (CC number) —(1) DOE processing of Certification. Promptly upon receipt of a Compliance Certification, the Department will determine whether the document contains all of the elements required by this section, and may, in its discretion, determine whether all or part of the information provided in the document is accurate. The Department will then advise the submitting party in writing either that the Compliance Certification does not satisfy the requirements of this section, in which case the document will be returned, or that the Compliance Certification satisfies this section. The Department will also advise the submitting party of the basis for its determination. (2) Issuance of CC number(s). (i) Initial Compliance Certification. When DOE advises that the initial Compliance Certification submitted by or on behalf of a manufacturer or private labeler is acceptable, either: (A) DOE will provide a single unique CC number, “CC________,” to the manufacturer or private labeler, and such CC number shall be applicable to all electric motors distributed by the manufacturer or private labeler, or (B) When required by paragraph (f)(3) of this section, DOE will provide more than one CC number to the manufacturer or private labeler. (ii) Subsequent Compliance Certification. When DOE advises that any other Compliance Certification is acceptable, it will provide a unique CC number for any brand name, trademark or other name when required by paragraph (f)(3) of this section. (iii) When DOE declines to provide a CC number as requested by a manufacturer or private labeler in accordance with § 431.36(c), DOE will advise the requester of the reasons for such refusal. (3) Issuance of two or more CC numbers. (i) DOE will provide a unique CC number for each brand name, trademark or other label name for which a manufacturer or private labeler requests such a number in accordance with § 431.36(c), except as follows. DOE will not provide a CC number for any brand name, trademark or other label name (A) For which DOE has previously provided a CC number, or (B) That duplicates or overlaps with other names under which the manufacturer or private labeler sells electric motors. (ii) Once DOE has provided a CC number for a particular name, that shall be the only CC number applicable to all electric motors distributed by the manufacturer or private labeler under that name. (iii) If the Compliance Certification in which a manufacturer or private labeler requests a CC number is the initial Compliance Certification submitted by it or on its behalf, and it distributes electric motors not covered by the CC number(s) DOE provides in response to the request(s), DOE will also provide a unique CC number that shall be applicable to all of these other motors." 10:10:4.0.1.1.1.20.75.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§ 431.341 Purpose and scope.,DOE,,,,"This subpart contains and energy conservation requirements for compressors, pursuant to Part A-1 of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317." 10:10:4.0.1.1.1.20.75.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§ 431.342 Definitions concerning compressors.,DOE,,,"[82 FR 1101, Jan. 4, 2017, as amended at 85 FR 1591, Jan. 10, 2020; 90 FR 5555, Jan. 17, 2025]","The following definitions are applicable to this subpart, including appendix A. In cases where there is a conflict, the language of the definitions adopted in this section take precedence over any descriptions or definitions found in any other source, including in ISO Standard 1217:2009(E), “Displacement compressors—Acceptance tests,” as amended through Amendment 1:2016(E), “Calculation of isentropic efficiency and relationship with specific energy” (incorporated by reference, see § 431.343). In cases where definitions reference design intent, DOE will consider all relevant information, including marketing materials, labels and certifications, and equipment design, to determine design intent. Actual volume flow rate means the volume flow rate of air, compressed and delivered at the standard discharge point, referred to conditions of total temperature, total pressure and composition prevailing at the standard inlet point, and as determined in accordance with the test procedures prescribed in § 431.344. Air compressor means a compressor designed to compress air that has an inlet open to the atmosphere or other source of air, and is made up of one or more compression elements (bare compressors), driver(s), mechanical equipment to drive the compression elements, and any ancillary equipment. Air-cooled compressor means a compressor that utilizes air to cool both the compressed air and, if present, any auxiliary substance used to facilitate compression, and that is not a liquid-cooled compressor. Ancillary equipment means any equipment distributed in commerce with an air compressor but that is not a bare compressor, driver, or mechanical equipment. Ancillary equipment is considered to be part of a given air compressor, regardless of whether the ancillary equipment is physically attached to the bare compressor, driver, or mechanical equipment at the time when the air compressor is distributed in commerce. Auxiliary substance means any substance deliberately introduced into a compression process to aid in compression of a gas by any of the following: Lubricating, sealing mechanical clearances, or absorbing heat. Bare compressor means the compression element and auxiliary devices ( e.g., inlet and outlet valves, seals, lubrication system, and gas flow paths) required for performing the gas compression process, but does not include any of the following: (1) The driver; (2) Speed-adjusting gear(s); (3) Gas processing apparatuses and piping; and (4) Compressor equipment packaging and mounting facilities and enclosures. Basic model means all units of a class of compressors manufactured by one manufacturer, having the same primary energy source, the same compressor motor nominal horsepower, and essentially identical electrical, physical, and functional (or pneumatic) characteristics that affect energy consumption and energy efficiency. Brushless electric motor means a machine that converts electrical power into rotational mechanical power without use of sliding electrical contacts. Compressor means 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. Compressor motor nominal horsepower means the motor horsepower of the electric motor, as determined in accordance with the applicable procedures in subparts B and X of this part, with which the rated air compressor is distributed in commerce. Driver means the machine providing mechanical input to drive a bare compressor directly or through the use of mechanical equipment. Fixed-speed compressor means an air compressor that is not capable of adjusting the speed of the driver continuously over the driver operating speed range in response to incremental changes in the required compressor flow rate. Full-load actual volume flow rate means the actual volume flow rate of the compressor at the full-load operating pressure. Liquid-cooled compressor means a compressor that utilizes liquid coolant provided by an external system to cool both the compressed air and, if present, any auxiliary substance used to facilitate compression. Lubricant-free compressor means a compressor that does not introduce any auxiliary substance into the compression chamber at any time during operation. Lubricated compressor means a compressor that introduces an auxiliary substance into the compression chamber during compression. Maximum full-flow operating pressure means the maximum discharge pressure at which the compressor is capable of operating, as determined in accordance with the test procedure prescribed in § 431.344. Mechanical equipment means any component of an air compressor that transfers energy from the driver to the bare compressor. Package isentropic efficiency means the ratio of power required for an ideal isentropic compression process to the actual packaged compressor power input used at a given load point, as determined in accordance with the test procedures prescribed in § 431.344. Package specific power means the compressor power input at a given load point, divided by the actual volume flow rate at the same load point, as determined in accordance with the test procedures prescribed in § 431.344. Positive displacement compressor means a compressor in which the admission and diminution of successive volumes of the gaseous medium are performed periodically by forced expansion and diminution of a closed space(s) in a working chamber(s) by means of displacement of a moving member(s) or by displacement and forced discharge of the gaseous medium into the high-pressure area. Pressure ratio at full-load operating pressure means the ratio of discharge pressure to inlet pressure, determined at full-load operating pressure in accordance with the test procedures prescribed in § 431.344. Reciprocating compressor means a positive displacement compressor in which gas admission and diminution of its successive volumes are performed cyclically by straight-line alternating movements of a moving member(s) in a compression chamber(s). Rotary compressor means a positive displacement compressor in which gas admission and diminution of its successive volumes or its forced discharge are performed cyclically by rotation of one or several rotors in a compressor casing. Rotor means a compression element that rotates continually in a single direction about a single shaft or axis. Variable-speed compressor means an air compressor that is capable of adjusting the speed of the driver continuously over the driver operating speed range in response to incremental changes in the required compressor actual volume flow rate. Water-injected lubricated compressor means a lubricated compressor that uses injected water as an auxiliary substance." 10:10:4.0.1.1.1.20.75.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§ 431.343 Materials incorporated by reference.,DOE,,,"[90 FR 5555, Jan. 17, 2025]","(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the DOE must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at DOE and at the National Archives and Records Administration (NARA). Contact DOE at: the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 1000 Independence Avenue SW, EE-5B, Washington, DC 20024, (202) 586-9127, Buildings@ee.doe.gov, www.energy.gov/eere/buildings/building-technologies-office. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email: fr.inspection@nara.gov. The material may be obtained from the sources in paragraphs (b) and (c) of this section: (b) IEC. International Electrotechnical Commission Central Office, 3, rue de Varembé, Case Postale 131, CH-1211 GENEVA 20, Switzerland; + 41 22 919 02 11; webstore.iec.ch. (1) IEC 60584-1:2013, Thermocouples—Part 1: EMF specifications and tolerances, editions 3.0, August 2013; IBR approved for appendix A to this subpart. (2) IEC 60584-3:2021, Thermocouples—Part 3: Extension and compensating cables—Tolerances and identification system, edition 3.0, February 2021; IBR approved for appendix A to this subpart. (c) ISO. International Organization for Standardization, Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland +41 22 749 01 11, www.iso.org. (1) ISO 1217:2009(E), Displacement compressors—Acceptance tests, fourth edition, July 1, 2009; IBR approved for appendix A to this subpart. (2) ISO 1217:2009/Amd.1:2016(E), Displacement compressors—Acceptance tests (fourth edition, July 1, 2009), AMENDMENT 1: Calculation of isentropic efficiency and relationship with specific energy, April 15, 2016; IBR approved for appendix A to this subpart. (3) ISO 5167-1:2022(E), Measurement of fluid flow by means of pressure differential devices inserted in circular cross-section conduits running full —Part 1: General principles and requirements, third edition, June 2022; IBR approved for appendix A to this subpart. (4) ISO 9300:2022(E), Measurement of gas flow by means of critical flow nozzles, third edition, June 2022; IBR approved for appendix A to this subpart." 10:10:4.0.1.1.1.20.75.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§ 431.344 Test procedure for measuring and determining energy efficiency of compressors.,DOE,,,"[82 FR 1102, Jan. 4, 2017]","(a) Scope. This section is a test procedure that is applicable to a compressor that meets the following criteria: (1) Is an air compressor; (2) Is a rotary compressor; (3) Is not a liquid ring compressor; (4) Is driven by a brushless electric motor; (5) Is a lubricated compressor; (6) Has a full-load operating pressure greater than or equal to 75 pounds per square inch gauge (psig) and less than or equal to 200 psig; (7) Is not designed and tested to the requirements of the American Petroleum Institute Standard 619, “Rotary-Type Positive-Displacement Compressors for Petroleum, Petrochemical, and Natural Gas Industries;” (8) Has full-load actual volume flow rate greater than or equal to 35 cubic feet per minute (cfm), or is distributed in commerce with a compressor motor nominal horsepower greater than or equal to 10 horsepower (hp); and (9) Has a full-load actual volume flow rate less than or equal to 1,250 cfm, or is distributed in commerce with a compressor motor nominal horsepower less than or equal to 200 hp. (b) Testing and calculations. Determine the applicable full-load package isentropic efficiency (η isen,FL ), part-load package isentropic efficiency (η isen,PL ), package specific power, maximum full-flow operating pressure, full-load operating pressure, full-load actual volume flow rate, and pressure ratio at full-load operating pressure using the test procedure set forth in appendix A of this subpart." 10:10:4.0.1.1.1.20.75.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§ 431.345 Energy conservation standards and effective dates.,DOE,,,"[85 FR 1591, Jan. 10, 2020]","(a) Each compressor that is manufactured starting on January 10, 2025 and that: (1) Is an air compressor, (2) Is a rotary compressor, (3) Is not a liquid ring compressor, (4) Is driven by a brushless electric motor, (5) Is a lubricated compressor, (6) Has a full-load operating pressure greater than or equal to 75 pounds per square inch gauge (psig) and less than or equal to 200 psig, (7) Is not designed and tested to the requirements of The American Petroleum Institute standard 619, “Rotary-Type Positive-Displacement Compressors for Petroleum, Petrochemical, and Natural Gas Industries,” (8) Has full-load actual volume flow rate greater than or equal to 35 cubic feet per minute (cfm), or is distributed in commerce with a compressor motor nominal horsepower greater than or equal to 10 horsepower (hp), (9) Has a full-load actual volume flow rate less than or equal to 1,250 cfm, or is distributed in commerce with a compressor motor nominal horsepower less than or equal to 200 hp, (10) Is driven by a three-phase electric motor, (11) Is manufactured alone or as a component of another piece of equipment; and (12) Is in one of the equipment classes listed in the Table 1, must have a full-load package isentropic efficiency or part-load package isentropic efficiency that is not less than the appropriate “Minimum Package Isentropic Efficiency” value listed in Table 1 of this section. Table 1—Energy Conservation Standards for Certain Compressors (b) Instructions for the use of Table 1 of this section: (1) To determine the standard level a compressor must meet, the correct equipment class must be identified. The descriptions are in the first column (“Equipment Class”); definitions for these descriptions are found in § 431.342. (2) The second column (“Minimum Package Isentropic Efficiency”) contains the applicable energy conservation standard level, provided in terms of package isentropic efficiency. (3) For “Fixed-speed compressor” equipment classes, the relevant Package Isentropic Efficiency is Full-load Package Isentropic Efficiency. For “Variable-speed compressor” equipment classes, the relevant Package Isentropic Efficiency is Part-load Package Isentropic Efficiency. Both Full- and Part-load Package Isentropic Efficiency are determined in accordance with the test procedure in § 431.344. (4) The second column (“Minimum Package Isentropic Efficiency”) references the third column (“η Regr ”), also a function of full-load actual volume flow rate, and the fourth column (“d”). The equations are provided separately to maintain consistency with the language of the preamble and analysis. (5) The second and third columns contain the term V 1 , which denotes compressor full-load actual volume flow rate, given in terms of cubic feet per minute (“cfm”) and determined in accordance with the test procedure in § 431.344." 10:10:4.0.1.1.1.20.75.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,T,Subpart T—Compressors,,§§ 431.346-431.346 [Reserved],DOE,,,, 10:10:4.0.1.1.1.21.75.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.381 Purpose and scope for electric motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","This subpart describes violations of EPCA's energy conservation requirements, specific procedures we will follow in pursuing alleged non-compliance of an electric motor with an applicable energy conservation standard or labeling requirement, and general procedures for enforcement action, largely drawn directly from EPCA, that apply to electric motors." 10:10:4.0.1.1.1.21.75.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.382 Prohibited acts.,DOE,,,"[69 FR 61941, Oct. 21, 2004. Redesignated at 70 FR 60416, Oct. 18, 2005, as amended at 79 FR 19, Jan. 2, 2014; 81 FR 41794, June 28, 2016; 81 FR 96351, Dec. 30, 2016; 83 FR 1291, Jan. 11, 2018; 83 FR 66083, Dec. 26, 2018; 85 FR 830, Jan. 8, 2020; 86 FR 2955, Jan. 14, 2021; 87 FR 1063, Jan. 10, 2022; 88 FR 2193, Jan. 13, 2023; 89 FR 1028, Jan. 9, 2024; 89 FR 105406, Dec. 27, 2024]","(a) Each of the following is a prohibited act under sections 332 and 345 of the Act: (1) Distribution in commerce by a manufacturer or private labeler of any “new covered equipment” which is not labeled in accordance with an applicable labeling rule prescribed in accordance with Section 344 of the Act, and in this part; (2) Removal from any “new covered equipment” or rendering illegible, by a manufacturer, distributor, retailer, or private labeler, of any label required under this part to be provided with such covered equipment; (3) Failure to permit access to, or copying of records required to be supplied under the Act and this part, or failure to make reports or provide other information required to be supplied under the Act and this part; (4) Advertisement of an electric motor or motors, by a manufacturer, distributor, retailer, or private labeler, in a catalog from which the equipment may be purchased, without including in the catalog all information as required by § 431.31(b)(1), provided, however, that this shall not apply to an advertisement of an electric motor in a catalog if distribution of the catalog began before the effective date of the labeling rule applicable to that motor; (5) Failure of a manufacturer to supply at his expense a reasonable number of units of covered equipment to a test laboratory designated by the Secretary; (6) Failure of a manufacturer to permit a representative designated by the Secretary to observe any testing required by the Act and this part, and to inspect the results of such testing; and (7) Distribution in commerce by a manufacturer or private labeler of any new covered equipment which is not in compliance with an applicable energy efficiency standard prescribed under the Act and this part. (b) In accordance with sections 333 and 345 of the Act, any person who knowingly violates any provision of paragraph (a) of this section may be subject to assessment of a civil penalty of no more than $575 for each violation. (c) For purposes of this section: (1) The term “new covered equipment” means covered equipment the title of which has not passed to a purchaser who buys such product for purposes other than: (i) Reselling it; or (ii) Leasing it for a period in excess of one year; and (2) The term “knowingly” means: (i) Having actual knowledge; or (ii) Presumed to have knowledge deemed to be possessed by a reasonable person who acts in the circumstances, including knowledge obtainable upon the exercise of due care." 10:10:4.0.1.1.1.21.75.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.383 Enforcement process for electric motors.,DOE,,,"[69 FR 61941, Oct. 21, 2004. Redesignated at 70 FR 60416, Oct. 18, 2005, as amended at 78 FR 75995, Dec. 13, 2013]","(a) Test notice. Upon receiving information in writing, concerning the energy performance of a particular electric motor sold by a particular manufacturer or private labeler, which indicates that the electric motor may not be in compliance with the applicable energy efficiency standard, or upon undertaking to ascertain the accuracy of the efficiency rating on the nameplate or in marketing materials for an electric motor, disclosed pursuant to subpart B of this part, the Secretary may conduct testing of that electric motor under this subpart by means of a test notice addressed to the manufacturer in accordance with the following requirements: (1) The test notice procedure will only be followed after the Secretary or his/her designated representative has examined the underlying test data (or, where appropriate, data as to use of an alternative efficiency determination method) provided by the manufacturer and after the manufacturer has been offered the opportunity to meet with the Department to verify, as applicable, compliance with the applicable efficiency standard, or the accuracy of labeling information, or both. In addition, where compliance of a basic model was certified based on an AEDM, the Department shall have the discretion to pursue the provisions of § 431.17(a)(4)(iii) prior to invoking the test notice procedure. A representative designated by the Secretary shall be permitted to observe any re-verification procedures undertaken pursuant to this subpart, and to inspect the results of such reverification. (2) The test notice will be signed by the Secretary or his/her designee. The test notice will be mailed or delivered by the Department to the plant manager or other responsible official, as designated by the manufacturer. (3) The test notice will specify the model or basic model to be selected for testing, the method of selecting the test sample, the date and time at which testing shall be initiated, the date by which testing is scheduled to be completed and the facility at which testing will be conducted. The test notice may also provide for situations in which the specified basic model is unavailable for testing, and may include alternative basic models. (4) The Secretary may require in the test notice that the manufacturer of an electric motor shall ship at his expense a reasonable number of units of a basic model specified in such test notice to a testing laboratory designated by the Secretary. The number of units of a basic model specified in a test notice shall not exceed 20. (5) Within five working days of the time the units are selected, the manufacturer shall ship the specified test units of a basic model to the testing laboratory. (b) Testing laboratory. Whenever the Department conducts enforcement testing at a designated laboratory in accordance with a test notice under this section, the resulting test data shall constitute official test data for that basic model. Such test data will be used by the Department to make a determination of compliance or noncompliance if a sufficient number of tests have been conducted to satisfy the requirements of appendix A of this subpart. (c) Sampling. The determination that a manufacturer's basic model complies with its labeled efficiency, or the applicable energy efficiency standard, shall be based on the testing conducted in accordance with the statistical sampling procedures set forth in appendix A of this subpart and the test procedures set forth in appendix B to subpart B of this part. (d) Test unit selection. A Department inspector shall select a batch, a batch sample, and test units from the batch sample in accordance with the provisions of this paragraph and the conditions specified in the test notice. (1) The batch may be subdivided by the Department utilizing criteria specified in the test notice. (2) A batch sample of up to 20 units will then be randomly selected from one or more subdivided groups within the batch. The manufacturer shall keep on hand all units in the batch sample until such time as the basic model is determined to be in compliance or non-compliance. (3) Individual test units comprising the test sample shall be randomly selected from the batch sample. (4) All random selection shall be achieved by sequentially numbering all of the units in a batch sample and then using a table of random numbers to select the units to be tested. (e) Test unit preparation. (1) Prior to and during the testing, a test unit selected in accordance with paragraph (d) of this section shall not be prepared, modified, or adjusted in any manner unless such preparation, modification, or adjustment is allowed by the applicable Department of Energy test procedure. One test shall be conducted for each test unit in accordance with the applicable test procedures prescribed in appendix B to subpart B of this part. (2) No quality control, testing, or assembly procedures shall be performed on a test unit, or any parts and sub-assemblies thereof, that is not performed during the production and assembly of all other units included in the basic model. (3) A test unit shall be considered defective if such unit is inoperative or is found to be in noncompliance due to failure of the unit to operate according to the manufacturer's design and operating instructions. Defective units, including those damaged due to shipping or handling, shall be reported immediately to the Department. The Department shall authorize testing of an additional unit on a case-by-case basis. (4)(i) Non-standard endshields or flanges. For purposes of DOE-initiated testing of electric motors with non-standard endshields or flanges, the Department will have the discretion to determine whether the lab should test a general purpose electric motor of equivalent electrical design and enclosure rather than replacing the nonstandard flange or endshield. (ii) Partial electric motors. For purposes of DOE-initiated testing, the Department has the discretion to determine whether the lab should test a general purpose electric motor of equivalent electrical design and enclosure rather than machining and attaching an endshield. (f) Testing at manufacturer's option. (1) If a manufacturer's basic model is determined to be in noncompliance with the applicable energy performance standard at the conclusion of Department testing in accordance with the sampling plan specified in appendix A of this subpart, the manufacturer may request that the Department conduct additional testing of the basic model according to procedures set forth in appendix A of this subpart. (2) All units tested under this paragraph shall be selected and tested in accordance with the provisions given in paragraphs (a) through (e) of this section. (3) The manufacturer shall bear the cost of all testing conducted under this paragraph. (4) The manufacturer shall cease distribution of the basic model tested under the provisions of this paragraph from the time the manufacturer elects to exercise the option provided in this paragraph until the basic model is determined to be in compliance. The Department may seek civil penalties for all units distributed during such period. (5) If the additional testing results in a determination of compliance, a notice of allowance to resume distribution shall be issued by the Department." 10:10:4.0.1.1.1.21.75.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.384 [Reserved],DOE,,,, 10:10:4.0.1.1.1.21.75.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.385 Cessation of distribution of a basic model of an electric motor.,DOE,,,,"(a) In the event that a model of an electric motor is determined non-compliant by the Department in accordance with § 431.192 or if a manufacturer or private labeler determines a model of an electric motor to be in noncompliance, then the manufacturer or private labeler shall: (1) Immediately cease distribution in commerce of the basic model. (2) Give immediate written notification of the determination of noncompliance, to all persons to whom the manufacturer has distributed units of the basic model manufactured since the date of the last determination of compliance. (3) Pursuant to a request made by the Secretary, provide the Department within 30 days of the request, records, reports, and other documentation pertaining to the acquisition, ordering, storage, shipment, or sale of a basic model determined to be in noncompliance. (4) The manufacturer may modify the non-compliant basic model in such manner as to make it comply with the applicable performance standard. Such modified basic model shall then be treated as a new basic model and must be certified in accordance with the provisions of this subpart; except that in addition to satisfying all requirements of this subpart, the manufacturer shall also maintain records that demonstrate that modifications have been made to all units of the new basic model prior to distribution in commerce. (b) If a basic model is not properly certified in accordance with the requirements of this subpart, the Secretary may seek, among other remedies, injunctive action to prohibit distribution in commerce of such basic model." 10:10:4.0.1.1.1.21.75.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.386 Remedies.,DOE,,,,"If the Secretary determines that a basic model of any covered equipment does not comply with an applicable energy conservation standard: (a) The Secretary will notify the manufacturer, private labeler, or any other person as required, of this finding and of the Secretary's intent to seek a judicial order restraining further distribution in commerce of units of such a basic model unless the manufacturer, private labeler or other person as required, delivers, within 15 calendar days, a satisfactory statement to the Secretary, of the steps the manufacturer, private labeler or other person will take to insure that the noncompliant basic model will no longer be distributed in commerce. The Secretary will monitor the implementation of such statement. (b) If the manufacturer, private labeler or any other person as required, fails to stop distribution of the noncompliant basic model, the Secretary may seek to restrain such violation in accordance with sections 334 and 345 of the Act. (c) The Secretary will determine whether the facts of the case warrant the assessment of civil penalties for knowing violations in accordance with sections 333 and 345 of the Act." 10:10:4.0.1.1.1.21.75.7,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,U,Subpart U—Enforcement for Electric Motors,,§ 431.387 Hearings and appeals.,DOE,,,,"(a) Under sections 333(d) and 345 of the Act, before issuing an order assessing a civil penalty against any person, the Secretary must provide to such a person a notice of the proposed penalty. Such notice must inform the person that such person can choose (in writing within 30 days after receipt of the notice) to have the procedures of paragraph (c) of this section (in lieu of those in paragraph (b) of this section) apply with respect to such assessment. (b)(1) Unless a person elects, within 30 calendar days after receipt of a notice under paragraph (a) of this section, to have paragraph (c) of this section apply with respect to the civil penalty under paragraph (a), the Secretary will assess the penalty, by order, after providing an opportunity for an agency hearing under 5 U.S.C. 554, before an administrative law judge appointed under 5 U.S.C. 3105, and making a determination of violation on the record. Such assessment order will include the administrative law judge's findings and the basis for such assessment. (2) Any person against whom the Secretary assesses a penalty under this paragraph may, within 60 calendar days after the date of the order assessing such penalty, initiate action in the United States Court of Appeals for the appropriate judicial circuit for judicial review of such order in accordance with 5 U.S.C. chapter 7. The court will have jurisdiction to enter a judgment affirming, modifying, or setting aside in whole or in part, the order of the Secretary, or the court may remand the proceeding to the Secretary for such further action as the court may direct. (c)(1) In the case of any civil penalty with respect to which the procedures of this paragraph have been elected, the Secretary will promptly assess such penalty, by order, after the date of the receipt of the notice under paragraph (a) of this section of the proposed penalty. (2) If the person has not paid the civil penalty within 60 calendar days after the assessment has been made under paragraph (c)(1) of this section, the Secretary will institute an action in the appropriate District Court of the United States for an order affirming the assessment of the civil penalty. The court will have authority to review de novo the law and the facts involved and jurisdiction to enter a judgment enforcing, modifying, and enforcing as so modified, or setting aside in whole or in part, such assessment. (3) Any election to have this paragraph apply can only be revoked with the consent of the Secretary. (d) If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order under paragraph (b) of this section, or after the appropriate District Court has entered final judgment in favor of the Secretary under paragraph (c) of this section, the Secretary will institute an action to recover the amount of such penalty in any appropriate District Court of the United States. In such action, the validity and appropriateness of such final assessment order or judgment will not be subject to review. (e)(1) In accordance with the provisions of sections 333(d)(5)(A) and 345 of the Act and notwithstanding the provisions of title 28, United States Code, or Section 502(c) of the Department of Energy Organization Act, the General Counsel of the Department of Energy (or any attorney or attorneys within DOE designated by the Secretary) will represent the Secretary, and will supervise, conduct, and argue any civil litigation to which paragraph (c) of this section applies (including any related collection action under paragraph (d) of this section) in a court of the United States or in any other court, except the Supreme Court of the United States. However, the Secretary or the General Counsel will consult with the Attorney General concerning such litigation and the Attorney General will provide, on request, such assistance in the conduct of such litigation as may be appropriate. (2) In accordance with the provisions of sections 333(d)(5)(B) and 345 of the Act, and subject to the provisions of Section 502(c) of the Department of Energy Organization Act, the Secretary will be represented by the Attorney General, or the Solicitor General, as appropriate, in actions under this section, except to the extent provided in paragraph (e)(1) of this section. (3) In accordance with the provisions of Section 333(d)(5)(c) and 345 of the Act, Section 402(d) of the Department of Energy Organization Act will not apply with respect to the function of the Secretary under this section." 10:10:4.0.1.1.1.22.75.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.401 Petitions for waiver and interim waiver.,DOE,,,"[79 FR 26601, May 9, 2014, as amended at 85 FR 79820, Dec. 11, 2020; 86 FR 70960, Dec. 14, 2021]","(a) General information. This section provides a means for seeking waivers of the test procedure requirements of this part for basic models that meet the requirements of paragraph (a)(1) of this section. In granting a waiver or interim waiver, DOE will not change the energy use or efficiency metric that the manufacturer must use to certify compliance with the applicable energy conservation standard and to make representations about the energy use or efficiency of the covered equipment. The granting of a waiver or interim waiver by DOE does not exempt such basic models from any other regulatory requirement contained in this part or the certification and compliance requirements of 10 CFR part 429 and specifies an alternative method for testing the basic model(s) addressed in the waiver. (1) Any interested person may submit a petition to waive for a particular basic model the requirements of any uniform test method contained in this part, upon the grounds that either the basic model contains one or more design characteristics that prevent testing of the basic model according to the prescribed test procedures or cause the prescribed test procedures to evaluate the basic model in a manner so unrepresentative of its true energy or water consumption characteristics as to provide materially inaccurate comparative data. (2) Manufacturers of basic model(s) subject to a waiver or interim waiver are responsible for complying with the other requirements of this part and with the requirements of 10 CFR part 429 regardless of the person that originally submitted the petition for waiver and/or interim waiver. The filing of a petition for waiver and/or interim waiver shall not constitute grounds for noncompliance with any requirements of this part. (3) All correspondence regarding waivers and interim waivers must be submitted to DOE either electronically to AS_Waiver_Requests@ee.doe.gov (preferred method of transmittal) or by mail to U.S. Department of Energy, Building Technologies Program, Test Procedure Waiver, 1000 Independence Avenue SW., Mailstop EE-5B, Washington, DC 20585-0121. (b) Petition content and publication. (1) Each petition for interim waiver and waiver must: (i) Identify the particular basic model(s) for which a waiver is requested, each brand name under which the identified basic model(s) will be distributed in commerce, the design characteristic(s) constituting the grounds for the petition, and the specific requirements sought to be waived, and must discuss in detail the need for the requested waiver; (ii) Identify manufacturers of all other basic models distributed in commerce in the United States and known to the petitioner to incorporate design characteristic(s) similar to those found in the basic model that is the subject of the petition; (iii) Include any alternate test procedures known to the petitioner to evaluate the performance of the equipment type in a manner representative of the energy and/or water consumption characteristics of the basic model; and (iv) Be signed by the petitioner or an authorized representative. In accordance with the provisions set forth in 10 CFR 1004.11, any request for confidential treatment of any information contained in a petition or in supporting documentation must be accompanied by a copy of the petition, application or supporting documentation from which the information claimed to be confidential has been deleted. DOE will publish in the Federal Register the petition and supporting documents from which confidential information, as determined by DOE, has been deleted in accordance with 10 CFR 1004.11 and will solicit comments, data and information with respect to the determination of the petition. (2) In addition to the requirements in paragraph (b)(1) of this section, each petition for interim waiver must reference the related petition for waiver, demonstrate likely success of the petition for waiver, and address what economic hardship and/or competitive disadvantage is likely to result absent a favorable determination on the petition for interim waiver. (c) Notification to other manufacturers. (1) Each petitioner for interim waiver must, upon publication of a grant of an interim waiver in the Federal Register, notify in writing all known manufacturers of domestically marketed basic models of the same equipment class (as specified in the relevant subpart of 10 CFR part 431), and of other equipment classes known to the petitioner to use the technology or have the characteristic at issue in the waiver. The notice must include a statement that DOE has published the interim waiver and petition for waiver in the Federal Register and the date the petition for waiver was published. The notice must also include a statement that DOE will receive and consider timely written comments on the petition for waiver. Within five working days, each petitioner must file with DOE a statement certifying the names and addresses of each person to whom a notice of the petition for waiver has been sent. (2) If a petitioner does not request an interim waiver and notification has not been provided pursuant to paragraph (c)(1) of this section, each petitioner, after filing a petition for waiver with DOE, and after the petition for waiver has been published in the Federal Register, must, within five working days of such publication, notify in writing all known manufacturers of domestically marketed basic models of the same equipment class (as listed in the relevant subpart of 10 CFR part 431), and of other equipment classes known to the petitioner to use the technology or have the characteristic at issue in the waiver. The notice must include a statement that DOE has published the petition in the Federal Register and the date the petition for waiver was published. Within five working days of the publication of the petition in the Federal Register, each petitioner must file with DOE a statement certifying the names and addresses of each person to whom a notice of the petition for waiver has been sent. (d) Public comment and rebuttal. (1) Any person submitting written comments to DOE with respect to an interim waiver must also send a copy of the comments to the petitioner by the deadline specified in the notice. (2) Any person submitting written comments to DOE with respect to a petition for waiver must also send a copy of such comments to the petitioner. (3) A petitioner may, within 10 working days of the close of the comment period specified in the Federal Register, submit a rebuttal statement to DOE. A petitioner may rebut more than one comment in a single rebuttal statement. (e) Provisions specific to interim waivers. (1) DOE will post a petition for interim waiver on its website within 5 business days of receipt of a complete petition. DOE will make best efforts to review a petition for interim waiver within 90 business days of receipt of a complete petition. (2) A petition for interim waiver that does not meet the content requirements of paragraph (b) of this section will be considered incomplete. DOE will notify the petitioner of an incomplete petition via email. (3) DOE will grant an interim waiver from the test procedure requirements if it appears likely that the petition for waiver will be granted and/or if DOE determines that it would be desirable for public policy reasons to grant immediate relief pending a determination on the petition for waiver. Notice of DOE's determination on the petition for interim waiver will be published in the Federal Register . (f) Provisions specific to waivers —(1) Disposition of application. The petitioner shall be notified in writing as soon as practicable of the disposition of each petition for waiver. DOE shall issue a decision on the petition as soon as is practicable following receipt and review of the Petition for Waiver and other applicable documents, including, but not limited to, comments and rebuttal statements. (2) Criteria for granting. DOE will grant a waiver from the test procedure requirements if DOE determines either that the basic model(s) for which the waiver was requested contains a design characteristic that prevents testing of the basic model according to the prescribed test procedures, or that the prescribed test procedures evaluate the basic model in a manner so unrepresentative of its true energy or water consumption characteristics as to provide materially inaccurate comparative data. DOE may grant a waiver subject to conditions, which may include adherence to alternate test procedures specified by DOE. DOE will promptly publish in the Federal Register notice of each waiver granted or denied, and any limiting conditions of each waiver granted. (g) Extension to additional basic models. A petitioner may request that DOE extend the scope of a waiver or an interim waiver to include additional basic models employing the same technology as the basic model(s) set forth in the original petition. The petition for extension must identify the particular basic model(s) for which a waiver extension is requested, each brand name under which the identified basic model(s) will be distributed in commerce, and documentation supporting the claim that the additional basic models employ the same technology as the basic model(s) set forth in the original petition. DOE will publish any such extension in the Federal Register . (h) Duration. (1) Within one year of issuance of an interim waiver, DOE will either: (i) Publish in the Federal Register a final determination on the petition for waiver; or (ii) Publish in the Federal Register a new or amended test procedure that addresses the issues presented in the waiver. (2) When DOE publishes a decision and order on a petition for waiver in the Federal Register pursuant to paragraph (f) of this section, the interim waiver will terminate upon the date specified in the decision and order, in accordance with paragraph (i) of this section. (3) When DOE amends the test procedure to address the issues presented in a waiver, the waiver or interim waiver will automatically terminate on the date on which use of that test procedure is required to demonstrate compliance. (4) When DOE publishes a decision and order in the Federal Register to modify a waiver pursuant to paragraph (k) of this section, the existing waiver will terminate upon the date specified in the decision and order, in accordance with paragraph (i) of this section. (i) Compliance certification and representations. (1) If the interim waiver test procedure methodology is different than the decision and order test procedure methodology, certification reports to DOE required under 10 CFR 429.12 and any representations must be based on either of the two methodologies until 180-360 days after the publication date of the decision and order, as specified by DOE in the decision and order. Thereafter, certification reports and any representations must be based on the decision and order test procedure methodology, unless otherwise specified by DOE. Once a manufacturer uses the decision and order test procedure methodology in a certification report or any representation, all subsequent certification reports and any representations must be made using the decision and order test procedure methodology while the waiver is valid. (2) When DOE publishes a new or amended test procedure, certification reports to DOE required under 10 CFR 429.12 and any representations must be based on the testing methodology of an applicable waiver or interim waiver, or the new or amended test procedure until the date on which use of such test procedure is required to demonstrate compliance, unless otherwise specified by DOE in the test procedure final rule. Thereafter, certification reports and any representations must be based on the test procedure final rule methodology. Once a manufacturer uses the test procedure final rule methodology in a certification report or any representation, all subsequent certification reports and any representations must be made using the test procedure final rule methodology. (3) If DOE publishes a decision and order modifying an existing waiver, certification reports to DOE required under 10 CFR 429.12 and any representations must be based on either of the two methodologies until 180-360 days after the publication date of the decision and order modifying the waiver, as specified by DOE in the decision and order. Thereafter, certification reports and any representations must be based on the modified test procedure methodology unless otherwise specified by DOE. Once a manufacturer uses the modified test procedure methodology in a certification report or any representation, all subsequent certification reports and any representations must be made using the modified test procedure methodology while the modified waiver is valid. (j) Petition for waiver required of other manufactures. Any manufacturer of a basic model employing a technology or characteristic for which a waiver was granted for another basic model and that results in the need for a waiver (as specified by DOE in a published decision and order in the Federal Register ) must petition for and be granted a waiver for that basic model. Manufacturers may also submit a request for interim waiver pursuant to the requirements of this section. (k) Rescission or modification. (1) DOE may rescind or modify a waiver or interim waiver at any time upon DOE's determination that the factual basis underlying the petition for waiver or interim waiver is incorrect, upon a determination that the results from the alternate test procedure are unrepresentative of the basic model(s)' true energy consumption characteristics, or for other appropriate reason. Waivers and interim waivers are conditioned upon the validity of statements, representations, and documents provided by the requestor; any evidence that the original grant of a waiver or interim waiver was based upon inaccurate information will weigh against continuation of the waiver. DOE's decision will specify the basis for its determination and, in the case of a modification, will also specify the change to the authorized test procedure. (2) A person may request that DOE rescind or modify a waiver or interim waiver issued to that person if the person discovers an error in the information provided to DOE as part of its petition, determines that the waiver is no longer needed, or for other appropriate reasons. In a request for rescission, the requestor must provide a statement explaining why it is requesting rescission. In a request for modification, the requestor must explain the need for modification to the authorized test procedure and detail the modifications needed and the corresponding impact on measured energy consumption. (3) DOE will publish a proposed rescission or modification (DOE-initiated or at the request of the original requestor) in the Federal Register for public comment. A requestor may, within 10 working days of the close of the comment period specified in the proposed rescission or modification published in the Federal Register, submit a rebuttal statement to DOE. A requestor may rebut more than one comment in a single rebuttal statement. (4) DOE will publish its decision in the Federal Register. DOE's determination will be based on relevant information contained in the record and any comments received. (5) After the effective date of a rescission, any basic model(s) previously subject to a waiver must be tested and certified using the applicable DOE test procedure in 10 CFR part 431. (l) Revision of regulation. As soon as practicable after the granting of any waiver, DOE will publish in the Federal Register a notice of proposed rulemaking to amend its regulations so as to eliminate any need for the continuation of such waiver. As soon thereafter as practicable, DOE will publish in the Federal Register a final rule. (m) To exhaust administrative remedies, any person aggrieved by an action under this section must file an appeal with the DOE's Office of Hearings and Appeals as provided in 10 CFR part 1003, subpart C." 10:10:4.0.1.1.1.22.75.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.402 Preemption of State regulations for commercial HVAC & WH products.,DOE,,,,"Beginning on the effective date of such standard, an energy conservation standard set forth in this part for a commercial HVAC & WH product supersedes any State or local regulation concerning the energy efficiency or energy use of that product, except as provided for in Section 345(b)(2)(B)-(D) of the Act." 10:10:4.0.1.1.1.22.75.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.403 Maintenance of records for electric motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","(a) Manufacturers of electric motors must establish, maintain and retain records of the following: (1) The test data for all testing conducted pursuant to this part; (2) The development, substantiation, application, and subsequent verification of any AEDM used under this part; (3) Any written certification received from a certification program, including a certificate or conformity, relied on under the provisions of this part; (b) You must organize such records and index them so that they are readily accessible for review. The records must include the supporting test data associated with tests performed on any test units to satisfy the requirements of this part (except tests performed by DOE). (c) For each basic model, you must retain all such records for a period of two years from the date that production of all units of that basic model has ceased. You must retain records in a form allowing ready access to DOE, upon request." 10:10:4.0.1.1.1.22.75.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.404 Imported electric motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","(a) Under sections 331 and 345 of the Act, any person importing an electric motor into the United States must comply with the provisions of the Act and of this part, and is subject to the remedies of this part. (b) Any electric motor offered for importation in violation of the Act and of this part will be refused admission into the customs territory of the United States under rules issued by the Secretary of the Treasury, except that the Secretary of the Treasury may, by such rules, authorize the importation of such electric motor upon such terms and conditions (including the furnishing of a bond) as may appear to the Secretary of the Treasury appropriate to ensure that such electric motor will not violate the Act and this part, or will be exported or abandoned to the United States." 10:10:4.0.1.1.1.22.75.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.405 Exported electric motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","Under Sections 330 and 345 of the Act, this part does not apply to any electric motor if: (a) Such electric motor is manufactured, sold, or held for sale for export from the United States (or such electric motor was imported for export), unless such electric motor is, in fact, distributed in commerce for use in the United States; and, (b) Such electric motor, when distributed in commerce, or any container in which it is enclosed when so distributed, bears a stamp or label stating that such electric motor is intended for export." 10:10:4.0.1.1.1.22.75.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.406 Subpoena—Electric Motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","Pursuant to sections 329(a) and 345 of the Act, for purposes of carrying out this part, the Secretary or the Secretary's designee, may sign and issue subpoenas for the attendance and testimony of witnesses and the production of relevant books, records, papers, and other documents, and administer the oaths. Witnesses summoned under the provisions of this section shall be paid the same fees and mileage as are paid to witnesses in the courts of the United States. In case of contumacy by, or refusal to obey a subpoena served upon any persons subject to this part, the Secretary may seek an order from the District Court of the United States for any District in which such person is found or resides or transacts business requiring such person to appear and give testimony, or to appear and produce documents. Failure to obey such order is punishable by such court as a contempt thereof." 10:10:4.0.1.1.1.22.75.7,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,§ 431.407 Confidentiality—Electric Motors.,DOE,,,"[76 FR 12505, Mar. 7, 2011]","Pursuant to the provisions of 10 CFR 1004.11, any manufacturer or private labeler of electric motors submitting information or data which they believe to be confidential and exempt from public disclosure should submit one complete copy, and 15 copies from which the information believed to be confidential has been deleted. In accordance with the procedures established at 10 CFR 1004.11, the Department shall make its own determination with regard to any claim that information submitted be exempt from public disclosure." 10:10:4.0.1.1.1.22.75.8,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,V,Subpart V—General Provisions,,"§ 431.408 Preemption of State regulations for covered equipment other than electric motors and commercial heating, ventilating, air-conditioning and water heating products.",DOE,,,"[75 FR 675, Jan. 5, 2010, as amended at 78 FR 62993, Oct. 23, 2013]","This section concerns State regulations providing for any energy conservation standard, or water conservation standard (in the case of commercial prerinse spray valves or commercial clothes washers), or other requirement with respect to the energy efficiency, energy use, or water use (in the case of commercial prerinse spray valves or commercial clothes washers), for any covered equipment other than an electric motor or commercial HVAC and WH product. Any such regulation that contains a standard or requirement that is not identical to a Federal standard in effect under this subpart is preempted by that standard, except as provided for in sections 327(b) and (c) and 345(a)(10), (e), (f) and (g) of the Act." 10:10:4.0.1.1.1.23.75.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.421 Purpose and scope.,DOE,,,,"(a) The regulations in this subpart prescribe the procedures to be followed in connection with petitions requesting a rule that a State regulation prescribing an energy conservation standard or other requirement respecting energy use or energy efficiency of a type (or class) of covered equipment not be preempted. (b) The regulations in this subpart also prescribe the procedures to be followed in connection with petitions to withdraw a rule exempting a State regulation prescribing an energy conservation standard or other requirement respecting energy use or energy efficiency of a type (or class) of covered equipment." 10:10:4.0.1.1.1.23.75.10,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.430 Finality of decision.,DOE,,,,"(a) A decision to prescribe a rule that a State energy conservation standard or other requirement not be preempted is final on the date the rule is issued, i.e. , signed by the Secretary. A decision to prescribe such a rule has no effect on other regulations of covered equipment of any other State. (b) A decision to prescribe a rule withdrawing a rule exempting a State standard or other requirement is final on the date the rule is issued, i.e. , signed by the Secretary. A decision to deny such a petition is final on the day a denial of a request for reconsideration is issued, i.e. , signed by the Secretary." 10:10:4.0.1.1.1.23.75.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.422 Prescriptions of a rule.,DOE,,,,"(a) Criteria for exemption from preemption. Upon petition by a State which has prescribed an energy conservation standard or other requirement for a type or class of covered equipment for which a Federal energy conservation standard is applicable, the Secretary shall prescribe a rule that such standard not be preempted if he/she determines that the State has established by a preponderance of evidence that such requirement is needed to meet unusual and compelling State or local energy interests. For the purposes of this regulation, the term “unusual and compelling State or local energy interests” means interests which are substantially different in nature or magnitude from those prevailing in the U.S. generally, and are such that when evaluated within the context of the State's energy plan and forecast, the costs, benefits, burdens, and reliability of energy savings resulting from the State regulation make such regulation preferable or necessary when measured against the costs, benefits, burdens, and reliability of alternative approaches to energy savings or production, including reliance on reasonably predictable market-induced improvements in efficiency of all equipment subject to the State regulation. The Secretary may not prescribe such a rule if he finds that interested persons have established, by a preponderance of the evidence, that the State's regulation will significantly burden manufacturing, marketing, distribution, sale or servicing of the covered equipment on a national basis. In determining whether to make such a finding, the Secretary shall evaluate all relevant factors including: The extent to which the State regulation will increase manufacturing or distribution costs of manufacturers, distributors, and others; the extent to which the State regulation will disadvantage smaller manufacturers, distributors, or dealers or lessen competition in the sale of the covered equipment in the State; the extent to which the State regulation would cause a burden to manufacturers to redesign and produce the covered equipment type (or class), taking into consideration the extent to which the regulation would result in a reduction in the current models, or in the projected availability of models, that could be shipped on the effective date of the regulation to the State and within the U.S., or in the current or projected sales volume of the covered equipment type (or class) in the State and the U.S.; and the extent to which the State regulation is likely to contribute significantly to a proliferation of State commercial and industrial equipment efficiency requirements and the cumulative impact such requirements would have. The Secretary may not prescribe such a rule if he/she finds that such a rule will result in the unavailability in the State of any covered equipment (or class) of performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as those generally available in the State at the time of the Secretary's finding. The failure of some classes (or types) to meet this criterion shall not affect the Secretary's determination of whether to prescribe a rule for other classes (or types). (1) Requirements of petition for exemption from preemption. A petition from a State for a rule for exemption from preemption shall include the information listed in paragraphs (a)(1)(i) through (a)(1)(vi) of this section. A petition for a rule and correspondence relating to such petition shall be available for public review except for confidential or proprietary information submitted in accordance with the Department of Energy's Freedom of Information Regulations set forth in 10 CFR part 1004. (i) The name, address, and telephone number of the petitioner; (ii) A copy of the State standard for which a rule exempting such standard is sought; (iii) A copy of the State's energy plan and forecast; (iv) Specification of each type or class of covered equipment for which a rule exempting a standard is sought; (v) Other information, if any, believed to be pertinent by the petitioner; and (vi) Such other information as the Secretary may require. (b) Criteria for exemption from preemption when energy emergency conditions exist within State. Upon petition by a State which has prescribed an energy conservation standard or other requirement for a type or class of covered equipment for which a Federal energy conservation standard is applicable, the Secretary may prescribe a rule, effective upon publication in the Federal Register, that such regulation not be preempted if he determines that in addition to meeting the requirements of paragraph (a) of this Section the State has established that: an energy emergency condition exists within the State that imperils the health, safety, and welfare of its residents because of the inability of the State or utilities within the State to provide adequate quantities of gas or electric energy to its residents at less than prohibitive costs; and cannot be substantially alleviated by the importation of energy or the use of interconnection agreements; and the State regulation is necessary to alleviate substantially such condition. (1) Requirements of petition for exemption from preemption when energy emergency conditions exist within a State. A petition from a State for a rule for exemption from preemption when energy emergency conditions exist within a State shall include the information listed in paragraphs (a)(1)(i) through (a)(1)(vi) of this section. A petition shall also include the information prescribed in paragraphs (b)(1)(i) through (b)(1)(iv) of this section, and shall be available for public review except for confidential or proprietary information submitted in accordance with the Department of Energy's Freedom of Information Regulations set forth in 10 CFR part 1004: (i) A description of the energy emergency condition which exists within the State, including causes and impacts. (ii) A description of emergency response actions taken by the State and utilities within the State to alleviate the emergency condition; (iii) An analysis of why the emergency condition cannot be alleviated substantially by importation of energy or the use of interconnection agreements; (iv) An analysis of how the State standard can alleviate substantially such emergency condition. (c) Criteria for withdrawal of a rule exempting a State standard. Any person subject to a State standard which, by rule, has been exempted from Federal preemption and which prescribes an energy conservation standard or other requirement for a type or class of covered equipment, when the Federal energy conservation standard for such equipment subsequently is amended, may petition the Secretary requesting that the exemption rule be withdrawn. The Secretary shall consider such petition in accordance with the requirements of paragraph (a) of this section, except that the burden shall be on the petitioner to demonstrate that the exemption rule received by the State should be withdrawn as a result of the amendment to the Federal standard. The Secretary shall withdraw such rule if he determines that the petitioner has shown the rule should be withdrawn. (1) Requirements of petition to withdraw a rule exempting a State standard. A petition for a rule to withdraw a rule exempting a State standard shall include the information prescribed in paragraphs (c)(1)(i) through (c)(1)(vii) of this section, and shall be available for public review, except for confidential or proprietary information submitted in accordance with the Department of Energy's Freedom of Information Regulations set forth in 10 CFR part 1004: (i) The name, address and telephone number of the petitioner; (ii) A statement of the interest of the petitioner for which a rule withdrawing an exemption is sought; (iii) A copy of the State standard for which a rule withdrawing an exemption is sought; (iv) Specification of each type or class of covered equipment for which a rule withdrawing an exemption is sought; (v) A discussion of the factors contained in paragraph (a) of this section; (vi) Such other information, if any, believed to be pertinent by the petitioner; and (vii) Such other information as the Secretary may require. (2) [Reserved]" 10:10:4.0.1.1.1.23.75.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.423 Filing requirements.,DOE,,,,"(a) Service. All documents required to be served under this subpart shall, if mailed, be served by first class mail. Service upon a person's duly authorized representative shall constitute service upon that person. (b) Obligation to supply information. A person or State submitting a petition is under a continuing obligation to provide any new or newly discovered information relevant to that petition. Such information includes, but is not limited to, information regarding any other petition or request for action subsequently submitted by that person or State. (c) The same or related matters. A person or State submitting a petition or other request for action shall state whether to the best knowledge of that petitioner the same or related issue, act, or transaction has been or presently is being considered or investigated by any State agency, department, or instrumentality. (d) Computation of time. (1) Computing any period of time prescribed by or allowed under this subpart, the day of the action from which the designated period of time begins to run is not to be included. If the last day of the period is Saturday, or Sunday, or Federal legal holiday, the period runs until the end of the next day that is neither a Saturday, or Sunday or Federal legal holiday. (2) Saturdays, Sundays, and intervening Federal legal holidays shall be excluded from the computation of time when the period of time allowed or prescribed is 7 days or less. (3) When a submission is required to be made within a prescribed time, DOE may grant an extension of time upon good cause shown. (4) Documents received after regular business hours are deemed to have been submitted on the next regular business day. Regular business hours for the DOE's National Office, Washington, DC, are 8:30 a.m. to 4:30 p.m. (5) DOE reserves the right to refuse to accept, and not to consider, untimely submissions. (e) Filing of petitions. (1) A petition for a rule shall be submitted in triplicate to: The Assistant Secretary for Energy Efficiency and Renewable Energy, U.S. Department of Energy, Section 327 Petitions, Building Technologies, EE-2J, Forrestal Building,1000 Independence Avenue, SW., Washington, DC 20585. (2) A petition may be submitted on behalf of more than one person. A joint petition shall indicate each person participating in the submission. A joint petition shall provide the information required by § 431.212 for each person on whose behalf the petition is submitted. (3) All petitions shall be signed by the person(s) submitting the petition or by a duly authorized representative. If submitted by a duly authorized representative, the petition shall certify this authorization. (4) A petition for a rule to withdraw a rule exempting a State regulation, all supporting documents, and all future submissions shall be served on each State agency, department, or instrumentality whose regulation the petitioner seeks to supersede. The petition shall contain a certification of this service which states the name and mailing address of the served parties, and the date of service. (f) Acceptance for filing. (1) Within 15 days of the receipt of a petition, the Secretary will either accept it for filing or reject it, and the petitioner will be so notified in writing. The Secretary will serve a copy of this notification on each other party served by the petitioner. Only such petitions which conform to the requirements of this subpart and which contain sufficient information for the purposes of a substantive decision will be accepted for filing. Petitions which do not so conform will be rejected and an explanation provided to petitioner in writing. (2) For purposes of the Act and this subpart, a petition is deemed to be filed on the date it is accepted for filing. (g) Docket. A petition accepted for filing will be assigned an appropriate docket designation. Petitioner shall use the docket designation in all subsequent submissions." 10:10:4.0.1.1.1.23.75.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.424 Notice of petition.,DOE,,,,"(a) Promptly after receipt of a petition and its acceptance for filing, notice of such petition shall be published in the Federal Register. The notice shall set forth the availability for public review of all data and information available, and shall solicit comments, data and information with respect to the determination on the petition. Except as may otherwise be specified, the period for public comment shall be 60 days after the notice appears in the Federal Register. (b) In addition to the material required under paragraph (a) of this section, each notice shall contain a summary of the State regulation at issue and the petitioner's reasons for the rule sought." 10:10:4.0.1.1.1.23.75.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.425 Consolidation.,DOE,,,,"DOE may consolidate any or all matters at issue in two or more proceedings docketed where there exist common parties, common questions of fact and law, and where such consolidation would expedite or simplify consideration of the issues. Consolidation shall not affect the right of any party to raise issues that could have been raised if consolidation had not occurred." 10:10:4.0.1.1.1.23.75.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.426 Hearing.,DOE,,,,"The Secretary may hold a public hearing, and publish notice in the Federal Register of the date and location of the hearing, when he determines that such a hearing is necessary and likely to result in a timely and effective resolution of the issues. A transcript shall be kept of any such hearing." 10:10:4.0.1.1.1.23.75.7,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.427 Disposition of petitions.,DOE,,,,"(a) After the submission of public comments under § 431.213(a), the Secretary shall prescribe a final rule or deny the petition within 6 months after the date the petition is filed. (b) The final rule issued by the Secretary or a determination by the Secretary to deny the petition shall include a written statement setting forth his findings and conclusions, and the reasons and basis therefor. A copy of the Secretary's decision shall be sent to the petitioner and the affected State agency. The Secretary shall publish in the Federal Register a notice of the final rule granting or denying the petition and the reasons and basis therefor. (c) If the Secretary finds that he cannot issue a final rule within the 6-month period pursuant to paragraph (a) of this section, he shall publish a notice in the Federal Register extending such period to a date certain, but no longer than one year after the date on which the petition was filed. Such notice shall include the reasons for the delay." 10:10:4.0.1.1.1.23.75.8,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.428 Effective dates of final rules.,DOE,,,,"(a) A final rule exempting a State standard from Federal preemption will be effective: (1) Upon publication in the Federal Register if the Secretary determines that such rule is needed to meet an “energy emergency condition” within the State; (2) Three years after such rule is published in the Federal Register ; or (3) Five years after such rule is published in the Federal Register if the Secretary determines that such additional time is necessary due to the burdens of retooling, redesign or distribution. (b) A final rule withdrawing a rule exempting a State standard will be effective upon publication in the Federal Register." 10:10:4.0.1.1.1.23.75.9,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,W,Subpart W—Petitions To Exempt State Regulation From Preemption; Petitions To Withdraw Exemption of State Regulation,,§ 431.429 Request for reconsideration.,DOE,,,,"(a) Any petitioner whose petition for a rule has been denied may request reconsideration within 30 days of denial. The request shall contain a statement of facts and reasons supporting reconsideration and shall be submitted in writing to the Secretary. (b) The denial of a petition will be reconsidered only where it is alleged and demonstrated that the denial was based on error in law or fact and that evidence of the error is found in the record of the proceedings. (c) If the Secretary fails to take action on the request for reconsideration within 30 days, the request is deemed denied, and the petitioner may seek such judicial review as may be appropriate and available. (d) A petitioner has not exhausted other administrative remedies until a request for reconsideration has been filed and acted upon or deemed denied." 10:10:4.0.1.1.1.24.75.1,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.441 Purpose and scope.,DOE,,,"[77 FR 26638, May 4, 2012, as amended at 86 FR 40774, July 29, 2021]","This subpart contains definitions, test procedures, and energy conservation requirements for small electric motors, pursuant to Part A-1 of Title III of the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6311-6317. This subpart does not cover “electric motors,” which are addressed in subpart B of this part. This subpart does not cover electric motors that are “dedicated-purpose pool pump motors,” which are addressed in subpart Z of this part." 10:10:4.0.1.1.1.24.75.2,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.442 Definitions.,DOE,,,"[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012; 86 FR 23, Jan. 4, 2021]","The following definitions are applicable to this subpart: Alternative efficiency determination method, or AEDM, means, with respect to a small electric motor, a method of calculating the total power loss and average full-load efficiency. Average full-load efficiency means the arithmetic mean of the full-load efficiencies of a population of small electric motors of duplicate design, where the full-load efficiency of each motor in the population is the ratio (expressed as a percentage) of the motor's useful power output to its total power input when the motor is operated at its full rated load, rated voltage, and rated frequency. Basic model means, with respect to a small electric motor, all units of a given type of small electric motor (or class thereof) manufactured by a single manufacturer, and which have the same rating, have electrical characteristics that are essentially identical, and do not have any differing physical or functional characteristics that affect energy consumption or efficiency. For the purpose of this definition, “rating” means a combination of the small electric motor's group (i.e., capacitor-start, capacitor-run; capacitor-start, induction-run; or polyphase), horsepower rating (or standard kilowatt equivalent), and number of poles with respect to which § 431.446 prescribes nominal full load efficiency standards. Breakdown torque means the maximum torque that the motor will develop with rated voltage and frequency applied without an abrupt drop in speed. The breakdown torque is the local maximum of the torque-speed plot of the motor, closest to the synchronous speed of the motor, determined in accordance with NEMA MG 1-2016 (incorporated by reference, see § 431.443). CSA means Canadian Standards Association. DOE or the Department means the U.S. Department of Energy. EPCA means the Energy Policy and Conservation Act, as amended, 42 U.S.C. 6291-6317. IEC means International Electrotechnical Commission. IEEE means Institute of Electrical and Electronics Engineers, Inc. NEMA means National Electrical Manufacturers Association. Rated frequency means 60 hertz. Rated load (or full load, full rated load, or rated full load ) means the rated output power of a small electric motor. Rated output power means the mechanical output power that corresponds to the small electric motor's breakdown torque as specified in NEMA MG 1-2016 Table 10-5 (incorporated by reference, see § 431.443) for single-phase motors or 140 percent of the breakdown torque values specified in NEMA MG 1-2016 Table 10-5 for polyphase motors. For purposes of this definition, NEMA MG 1-2016 Table 10-5 is applied regardless of whether elements of NEMA MG 1-2016 Table 10-5 are identified as for small or medium motors. Rated voltage means the input voltage of a small electric motor used when making representations of the performance characteristics of a given small electric motor and selected by the motor's manufacturer to be used for testing the motor's efficiency. Small electric motor means a NEMA general purpose alternating current single-speed induction motor, built in a two-digit frame number series in accordance with NEMA Standards Publication MG1-1987, including IEC metric equivalent motors." 10:10:4.0.1.1.1.24.75.3,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.443 Materials incorporated by reference.,DOE,,,"[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012; 86 FR 23, Jan. 4, 2021]","(a) General. Certain material is incorporated by reference into subpart X of part 431 with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. Material is incorporated as it exists on the date of the approval, and a notification of any change in the material will be published in the Federal Register. Standards can be obtained from the sources below. All approved material is available for inspection at U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, Sixth Floor, 950 L'Enfant Plaza SW, Washington, DC 20024, (202) 586-2945, or go to http://www1.eere.energy.gov/buildings/appliance_standards/. It is also available at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email: fedreg.legal@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html. (b) CAN/CSA. Canadian Standards Association, Sales Department, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-463-6727, or go to http://www.shopcsa.ca/onlinestore/welcome.asp. (1) CSA C747-09 (“CSA C747”), Energy efficiency test methods for small motors, October 2009, IBR approved for §§ 431.444; 431.447. (2) CSA C390-10, Test methods, marking requirements, and energy efficiency levels for three-phase induction motors, March 2010, IBR approved for §§ 431.444; 431.447. (c) IEC. International Electrotechnical Commission, 3 rue de Varembé, 1st Floor, P.O. Box 131, CH—1211 Geneva 20—Switzerland, +41 22 919 02 11, or go to https://webstore.iec.ch/home. (1) IEC 60034-1, Edition 12.0 2010-02, (“IEC 60034-1:2010”), Rotating electrical machines—Part 1: Rating and performance, IBR approved for §§ 431.444. (2) IEC 60034-2-1:2014, Edition 2.0 2014-06, (“IEC 60034-2-1:2014”), Rotating electrical machines—Part 2-1: Standard methods for determining losses and efficiency from tests (excluding machines for traction vehicles), IBR approved for §§ 431.444, and 431.447. (3) IEC 60051-1:2016, Edition 6.0 2016-02, (“IEC 60051-1:2016), Direct acting indicating analogue electrical measuring instruments and their accessories—Part 1: Definitions and general requirements common to all parts, IBR approved for §§ 431.444. (d) IEEE. Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, 1-800-678-IEEE (4333), or go to http://www.ieee.org/web/publications/home/index.html. (1) IEEE 112 TM -2017 (“IEEE 112-2017”), IEEE Standard Test Procedure for Polyphase Induction Motors and Generators, approved December 6, 2017, IBR approved for §§ 431.444, and 431.447. (2) IEEE Std 114-2010, Test Procedure for Single-Phase Induction Motors, approved September 30, 2010, IBR approved for §§ 431.444; 431.447. (e) NEMA. National Electrical Manufacturers Association, 1300 North 17th Street, Suite 900, Arlington, Virginia 22209, +1 703 841 3200, or go to https://www.nema.org. (1) NEMA MG 1-2016, American National Standard for Motors and Generators, ANSI approved June 1, 2018, IBR approved for § 431.442. (2) [Reserved]" 10:10:4.0.1.1.1.24.75.4,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.444 Test Procedures for the measurement of energy efficiency of small electric motors.,DOE,,,"[86 FR 23, Jan. 4, 2021]","(a) Scope. Pursuant to section 346(b)(1) of EPCA, this section provides the test procedures for measuring the full-load efficiency of small electric motors pursuant to EPCA. (42 U.S.C. 6317(b)(1)) For purposes of this part 431 and EPCA, the test procedures for measuring the efficiency of small electric motors shall be the test procedures specified in paragraph (b) of this section. (b) Testing and Calculations. Determine the full-load efficiency of a small electric motor using one of the test methods listed in this paragraphs (b)(1) through (4) of this section. (1) Incorporation by reference: In § 431.443, DOE incorporated by reference the entire standard for CSA C747-09, CSA C390-10, IEC 60034-1:2010, IEC 60034-2-1:2014, IEC 60051-1:2016, IEEE 112-2017, and IEEE 114-2010 into this section; however, only enumerated provisions of those documents referenced in this section are applicable as follows: (i) CSA C747-09: (A) Section 1.6 “Scope” as specified in paragraphs (b)(2)(ii) and (b)(3)(ii) of this section; (B) Section 3 “Definitions” as specified in paragraphs (b)(2)(ii) and (b)(3)(ii) of this section; (C) Section 5 “General test requirements” as specified in paragraphs (b)(2)(ii) and (b)(3)(ii) of this section; and (D) Section 6 “Test method” as specified in paragraphs (b)(2)(ii) and (b)(3)(ii) of this section. (ii) CSA C390-10: (A) Section 1.3, “Scope” as specified in paragraph (b)(4)(ii) of this section; (B) Section 3.1, “Definitions” as specified in paragraph (b)(4)(ii) of this section; (C) Section 5, “General test requirements—Measurements” as specified in paragraph (b)(4)(ii) of this section; (D) Section 7, “Test method” as specified in paragraph (b)(4)(ii) of this section; (E) Table 1, “Resistance measurement time delay” as specified in paragraph (b)(4)(ii) of this section; (F) Annex B, “Linear regression analysis” as specified in paragraph (b)(4)(ii) of this section; and (G) Annex C, “Procedure for correction of dynamometer torque readings” as specified in paragraph (b)(4)(ii) of this section. (iii) IEC 60034-1:2010: (A) Section 7.2 as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section; (B) Section 8.6.2.3.3 as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section; and (C) Table 5 as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section. (iv) IEC 60034-2-1:2014: (A) Method 2-1-1A as specified in paragraphs (b)(2)(iii) and (b)(3)(iii) of this section; (B) Method 2-1-1B as specified in paragraph (b)(4)(iii) of this section; (C) Section 3 “Terms and definitions” as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section; (D) Section 4 “Symbols and abbreviations” as specified in paragraphs (b)(2)(iii), (b)(3)(iii), (b)(4)(iii) of this section; (E) Section 5 “Basic requirements” as specified in paragraphs (b)(2)(iii), (b)(3)(iii), and (b)(4)(iii) of this section; (F) Section 6.1.2 “Method 2-1-1A—Direct measurement of input and output” (except Section 6.1.2.2, “Test Procedure”) as specified in paragraphs (b)(2)(iii) and (b)(3)(iii) of this section; (G) Section 6.1.3 “Method 2-1-1B—Summations of losses, additional load losses according to the method of residual losses” as specified in paragraph (b)(4)(iii) of this section; and (H) Annex D, “Test report template for 2-1-1B” as specified in paragraph (b)(4)(iii) of this section. (v) IEC 60051-1:2016: (A) Section 5.2 as specified in paragraphs (b)(2)(iii), (b)(3)(iii) and (b)(4)(iii), of this section; and (B) [Reserved] (vi) IEEE 112-2017: (A) Test Method A as specified in paragraph (b)(3)(i) of this section; (B) Test Method B as specified in paragraph (b)(4)(i) of this section; (C) Section 3, “General” as specified in paragraphs (b)(3)(i) and (b)(4)(i) of this section; (D) Section 4, “Measurements” as specified in paragraphs (b)(3)(i) and (b)(4)(i) of this section; (E) Section 5, “Machine losses and tests for losses” as specified in paragraphs (b)(3)(i) and (b)(4)(i) of this section; (F) Section 6.1, “General” as specified in paragraphs (b)(3)(i) and (b)(4)(i) of this section; (G) Section 6.3, “Efficiency test method A—Input-output” as specified in paragraph (b)(3)(i) of this section; (H) Section 6.4, “Efficiency test method B—Input-output” as specified in paragraph (b)(4)(i) of this section; (I) Section 9.2, “Form A—Method A” as specified in paragraph (b)(3)(i) of this section; (J) Section 9.3, “Form A2—Method A calculations” as specified in paragraph (b)(3)(i) of this section; (K) Section 9.4, “Form B—Method B” as specified in paragraph (b)(4)(i) of this section; and (L) Section 9.5, “Form B2—Method B calculations” as specified in paragraph (b)(4)(i) of this section. (vii) IEEE 114-2010: (A) Section 3.2, “Test with load” as specified in paragraph (b)(2)(i) of this section; (B) Section 4, “Testing Facilities as specified in paragraph (b)(2)(i) of this section; (C) Section 5, “Measurements” as specified in paragraph (b)(2)(i) of this section; (D) Section 6, “General” as specified in paragraph (b)(2)(i) of this section; (E) Section 7, “Type of loss” as specified in paragraph (b)(2)(i) of this section; (F) Section 8, “Efficiency and Power Factor” as specified in paragraph (b)(2)(i) of this section; (G) Section 10 “Temperature Tests” as specified in paragraph (b)(2)(i) of this section; (H) Annex A, Section A.3 “Determination of Motor Efficiency” as specified in paragraph (b)(2)(i) of this section; and (I) Annex A, Section A.4 “Explanatory notes for form 3, test data” as specified in paragraph (b)(2)(i) of this section. (viii) In cases where there is a conflict, the language of this appendix takes precedence over those documents. Any subsequent amendment to a referenced document by the standard-setting organization will not affect the test procedure in this appendix, unless and until the test procedure is amended by DOE. (2) Single-phase small electric motors. For single-phase small electric motors, use one of the following methods: (i) IEEE 114-2010, Section 3.2, “Test with load”, Section 4, “Testing Facilities, Section 5, “Measurements”, Section 6, “General”, Section 7, “Type of loss”, Section 8, “Efficiency and Power Factor”; Section 10 “Temperature Tests”, Annex A, Section A.3 “Determination of Motor Efficiency”, Annex A, Section A.4 “Explanatory notes for form 3, test data”; (ii) CSA C747-09, Section 1.6 “Scope”, Section 3 “Definitions”, Section 5, “General test requirements”, and Section 6 “Test method”; (iii) IEC 60034-2-1:2014 Method 2-1-1A, Section 3 “Terms and definitions”, Section 4 “Symbols and abbreviations”, Section 5 “Basic requirements”, and Section 6.1.2 “Method 2-1-1A—Direct measurement of input and output” (except Section 6.1.2.2, “Test Procedure”). The supply voltage shall be in accordance with section 7.2 of IEC 60034-1:2010 (incorporated by reference, see § 431.443). The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in section 8.6.2.3.3 of IEC 60034-1:2010, using the shortest possible time instead of the time interval specified in Table 5 therein, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with section 5.2 of IEC 60051-1:2016 (incorporated by reference, see § 431.443). (A) Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor performance, follow the instructions in paragraph (b)(2)(iii)(B) of this section, instead of section 6.1.2.2 of IEC 60034-2-1:2014; (B) Couple the machine under test to a load machine. Measure torque using an in-line, shaft-coupled, rotating torque transducer or stationary, stator reaction torque transducer. Operate the machine under test at the rated load until thermal equilibrium is achieved (rate of change 1 K or less per half hour). Record U, I, Pel, n, T, θc. (3) Polyphase small electric motors of less than or equal to 1 horsepower (0.75 kW). For polyphase small electric motors with 1 horsepower or less, use one of the following methods: (i) IEEE 112-2017 Test Method A, Section 3, “General”, Section 4, “Measurements”, Section 5, “Machine losses and tests for losses”, Section 6.1, “General”, Section 6.3, “Efficiency test method A—Input-output”, Section 9.2, “Form A—Method A”, and Section 9.3, “Form A2—Method A calculations”; (ii) CSA C747-09, Section 1.6 “Scope”, Section 3 “Definitions”, Section 5, “General test requirements”, and Section 6 “Test method”; (iii) IEC 60034-2-1:2014 Method 2-1-1A, Section 3 “Terms and definitions”, Section 4 “Symbols and abbreviations”, Section 5 “Basic requirements”, and Section 6.1.2 “Method 2-1-1A—Direct measurement of input and output” (except Section 6.1.2.2, “Test Procedure”). The supply voltage shall be in accordance with section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time instead of the time interval specified in Table 5 therein, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with section 5.2 of IEC 60051-1:2016. (A) Additional IEC 60034-2-1:2014 Method 2-1-1A Torque Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to measure motor performance, follow the instructions in paragraph (b)(3)(iii)(B) of this section, instead of section 6.1.2.2 of IEC 60034-2-1:2014; (B) Couple the machine under test to load machine. Measure torque using an in-line shaft-coupled, rotating torque transducer or stationary, stator reaction torque transducer. Operate the machine under test at the rated load until thermal equilibrium is achieved (rate of change 1 K or less per half hour). Record U, I, Pel, n, T, θc. (4) Polyphase small electric motors of greater than 1 horsepower (0.75 kW). For polyphase small electric motors exceeding 1 horsepower, use one of the following methods: (i) IEEE 112-2017 Test Method B, Section 3, “General”; Section 4, “Measurements”; Section 5, “Machine losses and tests for losses”, Section 6.1, “General”, Section 6.4, “Efficiency test method B—Input-output with loss segregation”, Section 9.4, “Form B—Method B”, and Section 9.5, “Form B2—Method B calculations”; or (ii) CSA C390-10, Section 1.3, “Scope”, Section 3.1, “Definitions”, Section 5, “General test requirements—Measurements”, Section 7, “Test method”, Table 1, “Resistance measurement time delay, Annex B, “Linear regression analysis”, and Annex C, “Procedure for correction of dynamometer torque readings”; or (iii) IEC 60034-2-1:2014 Method 2-1-1B Section 3 “Terms and definitions”, Section 4 “Symbols and abbreviations”, Section 5 “Basic requirements”, Section 6.1.3 “Method 2-1-1B—Summation of losses, additional load losses according to the method of residual losses.”, and Annex D, “Test report template for 2-1-1B. The supply voltage shall be in accordance with section 7.2 of IEC 60034-1:2010. The measured resistance at the end of the thermal test shall be determined in a similar way to the extrapolation procedure described in section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time instead of the time interval specified in Table 5 therein, and extrapolating to zero. The measuring instruments for electrical quantities shall have the equivalent of an accuracy class of 0,2 in case of a direct test and 0,5 in case of an indirect test in accordance with section 5.2 of IEC 60051-1:2016." 10:10:4.0.1.1.1.24.75.5,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.445 Determination of small electric motor efficiency.,DOE,,,"[74 FR 32072, July 7, 2009, as amended at 77 FR 26638, May 4, 2012]","(a) Scope. When a party determines the energy efficiency of a small electric motor to comply with an obligation imposed on it by or pursuant to Part A-1 of Title III of EPCA, 42 U.S.C. 6311-6317, this section applies. (b) Provisions applicable to all small electric motors —(1) General requirements. The average full-load efficiency of each basic model of small electric motor must be determined either by testing in accordance with § 431.444 of this subpart, or by application of an alternative efficiency determination method (AEDM) that meets the requirements of paragraphs (a)(2) and (3) of this section, provided, however, that an AEDM may be used to determine the average full-load efficiency of one or more of a manufacturer's basic models only if the average full-load efficiency of at least five of its other basic models is determined through testing. (2) Alternative efficiency determination method. An AEDM applied to a basic model must be: (i) Derived from a mathematical model that represents the mechanical and electrical characteristics of that basic model, and (ii) Based on engineering or statistical analysis, computer simulation or modeling, or other analytic evaluation of performance data. (3) Substantiation of an alternative efficiency determination method. Before an AEDM is used, its accuracy and reliability must be substantiated as follows: (i) The AEDM must be applied to at least five basic models that have been tested in accordance with § 431.444; and (ii) The predicted total power loss for each such basic model, calculated by applying the AEDM, must be within plus or minus 10 percent of the mean total power loss determined from the testing of that basic model. (4) Subsequent verification of an AEDM. (i) Each manufacturer that has used an AEDM under this section shall have available for inspection by the Department of Energy records showing the method or methods used; the mathematical model, the engineering or statistical analysis, computer simulation or modeling, and other analytic evaluation of performance data on which the AEDM is based; complete test data, product information, and related information that the manufacturer has generated or acquired pursuant to paragraph (a)(3) of this section; and the calculations used to determine the efficiency and total power losses of each basic model to which the AEDM was applied. (ii) If requested by the Department, the manufacturer shall conduct simulations to predict the performance of particular basic models of small electric motors specified by the Department, analyses of previous simulations conducted by the manufacturer, sample testing of basic models selected by the Department, or a combination of the foregoing. (5) Use of a certification program. (i) A manufacturer may use a certification program, that DOE has classified as nationally recognized under § 431.447, to certify the average full-load efficiency of a basic model of small electric motor, and issue a certificate of conformity for the small electric motor. (ii) For each basic model for which a certification program is not used as described in paragraph (b)(5)(i) of this section, any testing of a motor to determine its energy efficiency must be carried out in accordance with paragraph (c) of this section. (c) Additional testing requirements applicable when a certification program is not used —(1) Selection of basic models for testing. (i) Basic models must be selected for testing in accordance with the following criteria: (A) Two of the basic models must be among the five basic models that have the highest unit volumes of production by the manufacturer in the prior year, or during the prior 12 calendar month period beginning in 2015, whichever is later, and comply with the standards set forth in § 431.446; (B) The basic models should be of different horsepowers without duplication; (C) At least one basic model should be selected from each of the frame number series for which the manufacturer is seeking compliance; and (D) Each basic model should have the lowest average full-load efficiency among the basic models with the same rating (“rating” as used here has the same meaning as it has in the definition of “basic model”). (ii) In any instance where it is impossible for a manufacturer to select basic models for testing in accordance with all of these criteria, the criteria shall be given priority in the order in which they are listed. Within the limits imposed by the criteria, basic models shall be selected randomly. (2) Selection of units for testing within a basic model. For each basic model selected for testing, 1 a sample of units shall be selected at random and tested. The sample shall be comprised of production units of the basic model, or units that are representative of such production units. The sample size shall be no fewer than five units, except when fewer than five units of a basic model would be produced over a reasonable period of time (approximately 180 days). In such cases, each unit produced shall be tested. 1 Components of similar design may be substituted without requiring additional testing if the represented measures of energy consumption continue to satisfy the applicable sampling provision. (3) Applying results of testing. When applying the test results to determine whether a motor complies with the required average efficiency level: The average full-load efficiency of the sample, X which is defined by where X i is the measured full-load efficiency of unit i and n is the number of units tested, shall satisfy the condition: where X i is the measured full-load efficiency of unit i and n is the number of units tested, shall satisfy the condition: where RE is the required average full-load efficiency. where RE is the required average full-load efficiency." 10:10:4.0.1.1.1.24.76.6,10,Energy,II,D,431,PART 431—ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND INDUSTRIAL EQUIPMENT,X,Subpart X—Small Electric Motors,,§ 431.446 Small electric motors energy conservation standards and their effective dates.,DOE,,,"[75 FR 10947, Mar. 9, 2010; 75 FR 17036, Apr. 5, 2010]","(a) Each small electric motor manufactured (alone or as a component of another piece of non-covered equipment) after March 9, 2015, or in the case of a small electric motor which requires listing or certification by a nationally recognized safety testing laboratory, after March 9, 2017, shall have an average full load efficiency of not less than the following: (b) For purposes of determining the required minimum average full load efficiency of an electric motor that has a horsepower or kilowatt rating between two horsepower or two kilowatt ratings listed in any table of efficiency standards in paragraph (a) of this section, each such motor shall be deemed to have a listed horsepower or kilowatt rating, determined as follows: (1) A horsepower at or above the midpoint between the two consecutive horsepower ratings shall be rounded up to the higher of the two horsepower ratings; (2) A horsepower below the midpoint between the two consecutive horsepower ratings shall be rounded down to the lower of the two horsepower ratings; or (3) A kilowatt rating shall be directly converted from kilowatts to horsepower using the formula 1 kilowatt = (1/0.746) hp, without calculating beyond three significant decimal places, and the resulting horsepower shall be rounded in accordance with paragraphs (b)(1) or (b)(2) of this section, whichever applies."