Subpart B-Test Procedures and Materials Incorporated

§ 431.21 Purpose and scope.

This subpart contains test procedures for electric motors, required to be prescribed by DOE pursuant to section 343 of EPCA, 42 U.S.C. 6314, and identifies materials incorporated by reference in this Part.

§ 431.22 Reference sources.

(a) Materials incorporated by reference. (1) General. The following standards which are not otherwise set forth in this part 431 are incorporated by reference. The material listed in paragraph (a)(2) of this section has been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51. Any subsequent amendment to a standard by the standardsetting organization will not affect the DOE test procedures unless and until amended by DOE. Material is incorporated as it exists on the date of the approval and a notice of any change in the material will be published in the FEDERAL REGISTER.

(2) List of standards incorporated by reference. (i) The following provisions of National Electrical Manufacturers Association Standards Publication MG11993, Motors and Generators, with Revisions 1, 2, 3 and 4:

(A) Section I, General Standards Applying to All Machines, Part 1, Referenced Standards and Definitions, paragraphs 1.16.1, 1.16.1.1, 1.17.1.1, 1.17.1.2, and 1.40.1;

(B) Section I, General Standards Applying to All Machines, Part 4, Dimensions, Tolerances, and Mounting, paragraph 4.01 and Figures 4-1, 4-2, 4-3, and 44;

(C) Section II, Small (Fractional) and Medium (Integral) Machines, Part 11, Dimensions-AC and DC Small and Medium Machines, paragraphs 11.01.2, 11.31 (except the lines for frames 447T, 447TS, 449T and 449TS), 11.32, 11.34 (except the line for frames 447TC and 449TC, and the line for frames 447TSC and 449TSC), 11.35, and 11.36 (except the line for frames 447TD and 449TD, and the line for frames 447TSD and 449TSD), and Table 11-1;

(D) Section II, Small (Fractional) and Medium (Integral) Machines, Part 12, Tests and Performance-AC and DC Motors, paragraphs 12.35.1, 12.35.5, 12.38.1, 12.39.1, and 12.40.1, 12.58.1, and Tables 12-2 and 12-8; and

(E) Section II, Small (Fractional) and Medium (Integral) Machines, Part 14, Application Data-AC and DC Small and Medium Machines, paragraphs 14.02 and 14.03.

(ii) Institute of Electrical and Electronics Engineers, Inc., Standard 1121996, Test Procedure for Polyphase Induction Motors and Generators, Test Method B, and the correction to the calculation at item (28) in section 10.2 Form BTest Method B issued by IEEE on January 20, 1998. (Note: Paragraph 2 of Appendix A to Subpart B of Part 431 sets forth modifications to this Standard when it is used for purposes of Part 431 and EPCA.)

(iii) CSA International Standard C390-93, Energy Efficiency Test Methods for Three-Phase Induction Motors, Test Method (1).

(iv) International Electrotechnical Commission Standard 60034–1 (1996), Rotating electrical machines, Part 1: Rating and performance, with Amendment 1 (1997), Section 3: Duty, clause 3.2.1 and figure 1.

(v) International Electrotechnical Commission Standard 60050-411 (1996), International Electrotechnical Vocabulary Chapter 411: Rotating machines, sections 411-33-07 and 411-37-26.

(vi) International Electrotechnical Commission Standard 60072-1 (1991), Dimensions and output series for rotating electrical machines-Part 1: Frame numbers 56 to 400 and flange numbers 55 to 1080, clauses 2, 3, 4.1, 6.1, 7, and 10, and Tables 1, 2 and 4.

(vii) International Electrotechnical Commission Standard 60034-12 (1980), Rotating electrical machines, Part 12: Starting performance of single-speed three-phase cage induction motors for voltages up to and including 660 V, with Amendment 1 (1992) and Amendment 2 (1995), clauses 1, 2, 3.1, 4, 5, and 6, and Tables I, II, and III.

(3) Inspection of standards. The standards incorporated by reference are available for inspection at:

(i) Office of the Federal Register Information Center, 800 North Capitol Street, NW, Suite 700, Washington, DC;

(ii) U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Hearings and Dockets, "Test Procedures, Labeling, and Certification Requirements for Electric Motors,' Docket No. EE-RM-96-400, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC.

(4) Availability of standards. Standards incorporated by reference may be obtained from the following sources:

(i) Copies of IEEE Standard 112-1996 can be obtained from the Institute of Electrical and Electronics Engineers, Inc., 445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, 1-800-678IEEE;

(ii) Copies of NEMA Standards Publication MG1-1993 with Revisions 1, 2, 3, and 4, and copies of International Electrotechnical Commission standards can be obtained from Global Engineering Documents, 15 Inverness Way East, Englewood, Colorado 80112-5776, 1-800-854– 7179 (within the U.S.) or (303) 397-7956 (international).

(iii) Copies of CSA International Standard C390-93 can be obtained from CSA International, 178 Rexdale Boulevard, Etobicoke (Toronto), Ontario, Canada M9W 1R3, (416) 747-4044;

(b) Reference Standards-(1) General. The standards listed in this paragraph are referred to in the DOE procedures for testing laboratories, and recognition of accreditation bodies and certification programs but are not incorporated by reference. These sources are given here for information and guid

ance.

(2) List of References. (i) National Voluntary Laboratory Accreditation Program Handbooks 150, "Procedures and General Requirements," March 1994, and 150-10, "Efficiency of Electric Motors," August 1995. National Voluntary Laboratory Accreditation Program, National Institute of Standards and Technology, Gaithersburg, MD 20899.

(ii) ISO/IEC Guide 25, "General requirements for the competence of calibration and testing laboratories."

(iii) ISO Guide 27, "Guidelines for corrective action to be taken by a certification body in the event of either misapplication of its mark of con

formity to a product, or products which bear the mark of the certification body being found to subject persons or property to risk."

(iv) ISO/IEC Guide 28, "General rules for a model third-party certification system for products."

(v) ISO/IEC Guide 58, "Calibration and testing laboratory accreditation systems-General requirements for operation and recognition."

(vi) ISO/IEC Guide 65, "General requirements for bodies operating product certification systems."

§ 431.23 Test procedures for the measurement of energy efficiency.

For purposes of 10 CFR Part 431 and EPCA, the test procedures for measuring the energy efficiency of an electric motor shall be the test procedures specified in appendix A to this subpart B.

§ 431.24 Determination of efficiency.

When a party determines the energy efficiency of an electric motor in order to comply with an obligation imposed on it by or pursuant to Part C of Title III of EPCA, 42 U.S.C. 6311-6316, this section applies. This section does not apply to enforcement testing conducted pursuant to § 431.127.

(a) Provisions applicable to all electric motors. (1) General Requirements. The average full load efficiency of each basic model of electric motor must be determined either by testing in accordance with § 431.23 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 §431.23 of this subpart, and

(ii) The predicted total power loss for each such basic model, calculated by applying the AEDM, must be within plus or minus ten percent of the mean total power loss determined from the testing of that basic model.

(4) Subsequent verification of an AEDM. (i) Each manufacturer shall periodically select basic models representative of those to which it has applied an AEDM, and for each basic model selected shall either:

(A) Subject a sample of units to testing in accordance with §§ 431.23 and 431.24(b)(2) by an accredited laboratory that meets the requirements of § 431.25,

(B) Have a certification body recognized under § 431.27 certify its nominal full load efficiency, or

(C) Have an independent state-registered professional engineer, who is qualified to perform an evaluation of electric motor efficiency in a highly competent manner and who is not an employee of the manufacturer, review the manufacturer's representations and certify that the results of the AEDM accurately represent the total power loss and nominal full load efficiency of the basic model.

(ii) Each manufacturer that has used an AEDM under this section shall have available for inspection by the Department of Energy records showing: the method or methods used; the mathematical model, the engineering or statistical analysis, computer simulation or modeling, and other analytic evaluation of performance data on which the AEDM is based; complete test data, product information, and related information that the manufacturer has generated or acquired pursuant to §§ 431.24(a)(3) and (a)(4)(i); and the calculations used to determine the average full load efficiency and total power losses of each basic model to which the AEDM was applied.

(iii) If requested by the Department, the manufacturer shall conduct simulations to predict the performance of particular basic models of electric motors specified by the Department, analyses of previous simulations conducted by the manufacturer, sample testing of basic models selected by the Department, or a combination of the foregoing.

(5) Use of a certification program or accredited laboratory. (i) A manufacturer may have a certification program, that DOE has classified as nationally recognized under § 431.27, certify the nominal full load efficiency of a basic model of electric motor, and issue a certificate of conformity for the motor.

(ii) For each basic model for which a certification program is not used as described in paragraph (a)(5)(i) of this section, any testing of the motor pursuant to § 431.24(a)(1) through (3) to determine its energy efficiency must be carried out in accordance with § 431.24(b), in an accredited laboratory that meets the requirements of § 431.25. (This includes testing of the basic model, pursuant to §431.24(a)(3)(i), to substantiate an AEDM.)

(b) Additional testing requirements applicable when a certification program is not used. (1) Selection of basic models for testing. (i) Basic models must be selected for testing in accordance with the following criteria:

(A) Two of the basic models must be among the five basic models with the highest unit volumes of production by the manufacturer in the prior year, or during the prior 12 calendar month period beginning in 1997, whichever is later;

(B) The basic models should be of different horsepowers without duplication;

(C) The basic models should be of different frame number series without duplication; and

(D) Each basic model should be expected to have the lowest nominal full load efficiency among the basic models with the same rating ("rating" as used here has the same meaning as it has in the definition of "basic model").

1 In identifying these five basic models, any electric motor that does not comply with § 431.42, shall be excluded from consideration.

(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) ection of units for testing. For each basic model selected for testing,2 a sample of units shall be selected at random and tested. The sample shall be comprised of production units of the basic model, or units that are representative of such production units. The sample size shall be not fewer than five units, except that when fewer than five units of a basic model would be produced over a reasonable period of time (approximately 180 days), then each unit shall be tested. In a test of compliance with a represented average or nominal efficiency:

(i) The average full-load efficiency of the sample X which is defined by

§ 431.24(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 section 431.26, as an accreditation body.

(b) NIST/NVLAP is under the auspices of the National Institute of Standards and Technology (NIST) which is part of the U.S. Department of Commerce. NIST/NVLAP accreditation is granted on the basis of conformance with criteria published in 15 CFR Part 285, The National Voluntary Laboratory Accreditation Program Procedures and General Requirements. NIST Handbook 150-10, August 1995, presents the technical requirements of the National Voluntary Laboratory Accreditation Program for the Efficiency of Electric Motors field of accreditation. This handbook supplements NIST Handbook 150, National Voluntary Laboratory Accreditation Program Procedures and General Requirements, which contains 15 CFR Part 285 of the U.S. Code of Federal Regulations plus all general NIST/ NVLAP procedures, criteria, and policies. Changes in NIST/NVLAP's criteria, procedures, policies, standards or other bases for granting accreditation, occurring subsequent to the initial effective date of 10 CFR part 431 shall not apply to accreditation under this part unless approved in writing by the Department of Energy. Copies of NIST Handbooks 150 and 150-10 and information regarding NIST/NVLAP and its Efficiency of Electric Motors Program (EEM) can be obtained from NIST/ NVLAP, 100 Bureau Drive, Mail Stop