[Federal Register Volume 62, Number 214 (Wednesday, November 5, 1997)]
[Rules and Regulations]
[Pages 59978-59985]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-28911]



[[Page 59977]]

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Part III





Department of Energy





_______________________________________________________________________



Office of Energy Efficiency and Renewable Energy



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10 CFR Part 431



Policies on Coverage and Enforcement of Energy Efficiency Requirements 
for Electric Motors; Final Rule

  Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / 
Rules and Regulations  

[[Page 59978]]



DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

RIN 1904-AA82


Policies on Coverage and Enforcement of Energy Efficiency 
Requirements for Electric Motors

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

ACTION: Policy Statement.

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SUMMARY: The Department of Energy is publishing a statement of policy 
which provides guidance concerning compliance with provisions of the 
Energy Policy and Conservation Act (EPCA), as amended, which 
establishes energy efficiency standards and test procedures for certain 
commercial and industrial electric motors.

DATES: Effective: September 17, 1997.

ADDRESSES: Any comments or suggestions with respect to this policy 
statement, as well as requests for further information, should be 
addressed to the Director, Office of Codes and Standards, EE-43, U.S. 
Department of Energy, 1000 Independence Avenue, SW., Washington, DC 
20585-0121.

FOR FURTHER INFORMATION CONTACT: James Raba, U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Mail Station EE-43, 
1000 Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-
8654.
SUPPLEMENTARY INFORMATION: The following policy statement provides 
guidance concerning compliance with provisions of the Energy Policy and 
Conservation Act (EPCA), as amended, which establishes energy 
efficiency standards and test procedures for certain commercial and 
industrial electric motors.
    Section 340(13)(A) of EPCA defines the term ``electric motor,'' and 
a rule proposed by the Department of Energy (Department) at 61 FR 
60440, November 27, 1996, clarifies this definition. Notwithstanding 
the definition in EPCA and the proposed clarification, motor 
manufacturers have expressed residual uncertainty as to whether motors 
with certain modifications are ``electric motors'' covered under the 
statute. Consequently, motor manufacturers have requested that the 
Department provide guidance as to which types of motors are covered 
under EPCA. Motor manufacturers have also expressed concern about their 
ability to comply with the statute by October 25, 1997, for some such 
covered motors, and the impact of compliance on manufacturers of some 
equipment that incorporates electric motors. Hence, they have requested 
that the Department delay enforcement of EPCA as to certain motors.
    The policy statement that follows addresses these concerns. It is 
based upon recommendations from motor manufacturers, original equipment 
manufacturers, energy efficiency advocates, trade associations, testing 
laboratories, and other government officials, and provides such 
guidance.

    Issued in Washington, DC, on September 17, 1997.
Joseph J. Romm,
Acting Assistant Secretary, Energy Efficiency and Renewable Energy.

    Policy Statement:

Policy Statement for Electric Motors Covered Under the Energy Policy 
and Conservation Act

I. Introduction

    The Energy Policy and Conservation Act (EPCA), 42 U.S.C. 6311, et 
seq., establishes energy efficiency standards and test procedures for 
certain commercial and industrial electric motors manufactured (alone 
or as a component of another piece of equipment) after October 24, 
1997, or, in the case of an electric motor which requires listing or 
certification by a nationally recognized safety testing laboratory, 
after October 24, 1999.\1\ EPCA also directs the Department 
of Energy (DOE or Department) to implement the statutory test 
procedures prescribed for motors, and to require efficiency labeling of 
motors and certification that covered motors comply with the standards.
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    \\1\\ The term manufacture means ``to manufacture, produce, 
assemble or import.'' EPCA Sec. 321(10). Thus, the standards apply 
to motors produced, assembled, imported or manufactured after these 
statutory deadlines.
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    Section 340(13)(A) of EPCA defines the term ``electric motor'' 
based essentially on the construction and rating system in the National 
Electrical Manufacturers Association (NEMA) Standards Publication MG1. 
Sections 340(13)(B) and (C) of EPCA define the terms ``definite purpose 
motor'' and ``special purpose motor,'' respectively, for which the 
statute prescribes no efficiency standards.
    In its proposed rule to implement the EPCA provisions that apply to 
motors (61 FR 60440, November 27, 1996), DOE has proposed to clarify 
the statutory definition of ``electric motor,'' to mean a machine which 
converts electrical power into rotational mechanical power and which: 
(1) is a general purpose motor, including motors with explosion-proof 
construction;\2\ (2) is a single speed, induction motor; (3) 
is rated for continuous duty operation, or is rated duty type S-1 
(IEC),\3\ (4) contains a squirrel-cage or cage (IEC) rotor; 
(5) has foot-mounting, including foot-mounting with flanges or 
detachable feet; (6) is built in accordance with NEMA T-frame 
dimensions, or IEC metric equivalents (IEC); (7) has performance in 
accordance with NEMA Design A or B characteristics, or equivalent 
designs such as IEC Design N (IEC); and (8) operates on polyphase 
alternating current 60-Hertz sinusoidal power, and is (i) rated 230 
volts or 460 volts, or both, including any motor that is rated at 
multi-voltages that include 230 volts or 460 volts, or (ii) can be 
operated on 230 volts or 460 volts, or both.
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    \\2\\ Section 342(b)(1) of EPCA recognizes that EPCA's 
efficiency standards cover ``motors which require listing or 
certification by a nationally recognized safety testing 
laboratory.'' This applies, for example, to explosion-proof motors 
which are otherwise general purpose motors.
    \\3\\ Terms followed by the parenthetical ``IEC'' are referred 
to in the International Electrotechnical Commission (IEC) Standard 
34-1. Such terms are included in DOE's proposed definition of 
``electric motor'' because DOE believes EPCA's efficiency 
requirements apply to metric system motors that conform to IEC 
Standard 34, and that are identical or equivalent to motors 
constructed in accordance with NEMA MG1 and covered by the statute.
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    Notwithstanding the clarification provided in the proposed rule, 
there still appears to be uncertainty as to which motors EPCA covers. 
It is widely understood that the statute covers ``general purpose'' 
motors that are manufactured for a variety of applications, and that 
meet EPCA's definition of ``electric motor.'' Many modifications, 
however, can be made to such generic motors. Motor manufacturers have 
expressed concern as to precisely which motors with such modifications 
are covered under the statute, and as to whether manufacturers will be 
able to comply with the statute by October 25, 1997 with respect to all 
of these covered motors. Consequently, motor manufacturers have 
requested that the Department provide additional guidance as to which 
types of motors are ``electric motors,'' ``definite purpose motors,'' 
and ``special purpose motors'' under EPCA. The policy statement that 
follows is based upon input from motor manufacturers and energy 
efficiency advocates, and provides such guidance.

[[Page 59979]]

II. Guidelines for Determining Whether a Motor is Covered by EPCA

A. General
    EPCA specifies minimum nominal full-load energy efficiency 
standards for 1 to 200 horsepower electric motors, and, to measure 
compliance with those standards, prescribes use of the test procedures 
in NEMA Standard MG1 and Institute of Electrical and Electronics 
Engineers (IEEE) Standard 112. In DOE's view, as stated in Assistant 
Secretary Ervin's letter of May 9, 1996, to NEMA's Malcolm O'Hagan, 
until DOE's regulations become effective, manufacturers can establish 
compliance with these EPCA requirements through use of competent and 
reliable procedures or methods that give reasonable assurance of such 
compliance. So long as these criteria are met, manufacturers may 
conduct required testing in their own laboratories or in independent 
laboratories, and may employ alternative correlation methods (in lieu 
of actual testing) for some motors. Manufacturers may also establish 
their compliance with EPCA standards and test procedures through use of 
third party certification or verification programs such as those 
recognized by Natural Resources Canada. Labeling and certification 
requirements will become effective only after DOE has promulgated a 
final rule prescribing such requirements.
    Motors with features or characteristics that do not meet the 
statutory definition of ``electric motor'' are not covered, and 
therefore are not required to meet EPCA requirements. Examples include 
motors without feet and without provisions for feet, and variable speed 
motors operated on a variable frequency power supply. Similarly, 
multispeed motors and variable speed motors, such as inverter duty 
motors, are not covered equipment, based on their intrinsic design for 
use at variable speeds. However, NEMA Design A or B motors that are 
single speed, meet all other criteria under the definitions in EPCA for 
covered equipment, and can be used with an inverter in variable speed 
applications as an additional feature, are covered equipment under 
EPCA. In other words, being suitable for use on an inverter by itself 
does not exempt a motor from EPCA requirements.
    Section 340(13)(F) of EPCA, defines a ``small electric motor'' as 
``a NEMA general purpose alternating current single-speed induction 
motor, built in a two-digit frame number series in accordance with NEMA 
Standards Publication MG 1-1987.'' Section 346 of EPCA requires DOE to 
prescribe testing requirements and efficiency standards only for those 
small electric motors for which the Secretary determines that standards 
are warranted. The Department has not yet made such a determination.
B. Electrical Features
    As noted above, the Department's proposed definition of ``electric 
motor'' provides in part that it is a motor that ``operates on 
polyphase alternating current 60-Hertz sinusoidal power, and . . . can 
be operated on 230 volts or 460 volts, or both.'' In DOE's view, ``can 
be operated'' implicitly means that the motor can be operated 
successfully. According to NEMA Standards Publication MG1-1993, section 
12.44, ``Variations from Rated Voltage and Rated Frequency,'' 
alternating-current motors must operate successfully under running 
conditions at rated load with a variation in the voltage or the 
frequency up to the following: plus or minus 10 percent of rated 
voltage, with rated frequency for induction motors; 4 plus 
or minus 5 percent of rated frequency, with rated voltage; and a 
combined variation in voltage and frequency of 10 percent (sum of 
absolute values) of the rated values, provided the frequency variation 
does not exceed plus or minus 5 percent of rated frequency. DOE 
believes that, for purposes of determining whether a motor meets EPCA's 
definition of ``electric motor,'' these criteria should be used to 
determine when a motor that is not rated at 230 or 460 volts or 60 
Hertz can be operated at such voltage and frequency.5
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    \4\ For example, a motor that is rated at 220 volts should 
operate successfully on 230 volts, since 220 + .10(220) = 242 volts. 
A 208 volt motor, however, would not be expected to operate 
successfully on 230 volts, since 208 + .10(208) = 228.8 volts.
    \5\ The Department understands that a motor that can operate at 
such voltage and frequency, based on variations defined for 
successful operation, will not necessarily perform in accordance 
with the industry standards established for operation at the motor's 
rated voltage and frequency. In addition, under the test procedures 
prescribed by EPCA, motors are to be tested at their rated values. 
Therefore, in DOE's view a motor that is not rated for 230 or 460 
volts, or 60 Hertz, but that can be successfully operated at these 
levels, must meet the energy efficiency requirements at its rated 
voltage(s) and frequency. DOE also notes that when a motor is rated 
to include a wider voltage range that includes 230/460 volts, the 
motor should meet the energy efficiency requirements at 230 volts or 
460 volts.
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    NEMA Standards Publication MG1 categorizes electrical modifications 
to motors according to performance characteristics that include locked 
rotor torque, breakdown torque, pull-up torque, locked rotor current, 
and slip at rated load, and assigns design letters, such as Design A, 
B, C, D, or E, to identify various combinations of such electrical 
performance characteristics. Under section 340(13)(A) of EPCA, electric 
motors subject to EPCA efficiency requirements include only motors that 
fall within NEMA ``Design A and B . . . as defined in [NEMA] Standards 
Publication MG1-1987.'' As to locked rotor torque, for example, MG1 
specifies a minimum performance value for a Design A or B motor of a 
given speed and horsepower, and somewhat higher minimum values for 
Design C and D motors of the same speed and horsepower. The Department 
understands that, under MG1, the industry classifies a motor as Design 
A or B if it has a locked rotor torque at or above the minimum for A 
and B but below the minimum for Design C, so long as it otherwise meets 
the criteria for Design A or B. Therefore, in the Department's view, 
such a motor is covered by EPCA's requirements for electric motors. By 
contrast a motor that meets or exceeds the minimum locked rotor torque 
for Design C or D is not covered by EPCA. In sum, if a motor has 
electrical modifications that meet Design A or B performance 
requirements it is covered by EPCA, and if its characteristics meet 
Design C, D or E it is not covered.
C. Size
    Motors designed for use on a particular type of application which 
are in a frame size that is one or more frame series larger than the 
frame size assigned to that rating by sections 1.2 and 1.3 of NEMA 
Standards Publication MG 13-1984 (R1990), ``Frame Assignments for 
Alternating Current Integral-Horsepower Induction Motors,'' are not, in 
the Department's view, usable in most general purpose applications. 
This is due to the physical size increase associated with a frame 
series change. A frame series is defined as the first two digits of the 
frame size designation. For example, 324T and 326T are both in the same 
frame series, while 364T is in the next larger frame series. Hence, in 
the Department's view, a motor that is of a larger frame series than 
normally assigned to that standard rating of motor is not covered by 
EPCA. A physically larger motor within the same frame series would be 
covered, however, because it would be usable in most general purpose 
applications.
    Motors built in a T-frame series or a T-frame size smaller than 
that assigned by MG 13-1984 (R1990) are also considered usable in most 
general purpose applications. This is because simple modifications can 
generally be made to fit a smaller motor in place of a motor with a 
larger frame size assigned in conformity with NEMA MG

[[Page 59980]]

13. Therefore, DOE believes that such smaller motors are covered by 
EPCA.

D. Motors With Seals

    Some electric motors have seals to prevent ingress of water, dust, 
oil, and other foreign materials into the motor. DOE understands that, 
typically, a manufacturer will add seals to a motor that it 
manufactures, so that it will sell two motors that are identical except 
that one has seals and the other does not. In such a situation, if the 
motor without seals is ``general purpose'' and covered by EPCA's 
efficiency requirements, then the motor with seals will also be covered 
because it can still be used in most general purpose applications. DOE 
understands, however, that manufacturers previously believed motors 
with seals were not covered under EPCA, in part because IEEE Standard 
112, ``Test Procedure for Polyphase Induction Motors and Generators,'' 
prescribed by EPCA, does not address how to test a motor with seals 
installed.
    The efficiency rating of such a motor, if determined with seals 
installed and when the motor is new, apparently would significantly 
understate the efficiency of the motor as operated. New seals are 
stiff, and provide friction that is absent after their initial break-in 
period. DOE understands that, after this initial period, the efficiency 
ratings determined for the same motor with and without seals would be 
virtually identical. To construe EPCA, therefore, as requiring such 
separate efficiency determinations would impose an unnecessary burden 
on manufacturers.
    In light of the foregoing, the Department believes that EPCA 
generally permits the efficiency of a motor with seals to be determined 
without the seals installed. Furthermore, notwithstanding the prior 
belief that such motors are not covered by EPCA, use of this approach 
to determining efficiency will enable manufacturers to meet EPCA's 
standards with respect to covered motors with seals by the date the 
standards go into effect on October 25, 1997.

III. Discussion of How DOE Would Apply EPCA Definitions, Using the 
Foregoing Guidelines

    Using the foregoing guidelines, the attached matrix provides DOE's 
view as to which motors with common features are covered by EPCA. 
Because manufacturers produce many basic models that have many 
modifications of generic general purpose motors, the Department does 
not represent that the matrix is all-inclusive. Rather it is a set of 
examples demonstrating how DOE would apply EPCA definitions, as 
construed by the above guidelines, to various motor types. By extension 
of these examples, most motors currently in production, or to be 
designed in the future, could probably be classified. The matrix 
classifies motors into five categories, which are discussed in the 
following passages.

    Category I--For ``electric motors'' (manufactured alone or as a 
component of another piece of equipment) in Category I, DOE will 
enforce EPCA efficiency standards and test procedures beginning on 
October 25, 1997.

    The Department understands that some motors essentially are 
relatively simple modifications of generic general purpose motors. 
Modifications could consist, for example, of minor changes such as the 
addition of temperature sensors or a heater, the addition of a shaft 
extension and a brake disk from a kit, or changes in exterior features 
such as the motor housing. Such motors can still be used for most 
general purpose applications, and the modifications have little or no 
effect on motor performance. Nor do the modifications affect energy 
efficiency.

    Category II--For certain motors that are ``definite purpose'' 
according to present industry practice, but that can be used in most 
general purpose applications, DOE will generally enforce EPCA 
efficiency standards and test procedures beginning no later than 
October 25, 1999.

General Statement

    EPCA does not prescribe standards and test procedures for 
``definite purpose motors.'' Section 340(13)(B) of EPCA defines the 
term definite purpose motor as ``any motor designed in standard ratings 
with standard operating characteristics or standard mechanical 
construction for use under service conditions other than usual or for 
use on a particular type of application and which cannot be used in 
most general purpose applications.'' [Emphasis added.] Except, 
significantly, for exclusion of the italicized language, the industry 
definition of ``definite purpose motor,'' set forth in NEMA MG1, is 
identical to the foregoing.
    Category II consists of electric motors with horsepower ratings 
that fall between the horsepower ratings in section 342(b)(1) of EPCA, 
thermally protected motors, and motors with roller bearings. As with 
motors in Category I, these motors are essentially modifications of 
generic general purpose motors. Generally, however, the modifications 
contained in these motors are more extensive and complex than the 
modifications in Category I motors. These Category II motors have been 
considered ``definite purpose'' in common industry parlance, but are 
covered equipment under EPCA because they can be used in most general 
purpose applications.
    According to statements provided during the January 15, 1997, 
Public Hearing, Tr. pgs. 238-239, Category II motors were, until 
recently, viewed by most manufacturers as definite purpose motors, 
consistent with the industry definition that did not contain the clause 
``which cannot be used in most general purpose applications.'' Hence, 
DOE understands that many manufacturers assumed these motors were not 
subject to EPCA's efficiency standards. During the period prior and 
subsequent to the hearing, discussions among manufacturers resulted in 
a new understanding that such motors are general purpose under EPCA, 
since they can be used in most general purpose applications. Thus, the 
industry only recently recognized that such motors are covered under 
EPCA. Although the statutory definition adopted in 1992 contained the 
above-quoted definition of ``definite purpose,'' the delay in issuing 
regulations which embody this definition may have contributed to 
industry's delay in recognizing that these motors are covered.
    The Department understands that redesign and testing these motors 
in order to meet the efficiency standards in the statute may require a 
substantial amount of time. Given the recent recognition that they are 
covered, it is not realistic to expect these motors will be able to 
comply by October 25, 1997. A substantial period beyond that will be 
required. Moreover, the Department believes different manufacturers 
will need to take different approaches to achieving compliance with 
respect to these motors, and that, for a particular type of motor, some 
manufacturers will be able to comply sooner than others. Thus, the 
Department intends to refrain from taking enforcement action for two 
years, until October 25, 1999, with respect to motors with horsepower 
ratings that fall between the horsepower ratings in section 342(b)(1) 
of EPCA, thermally protected motors, and motors with roller bearings. 
Manufacturers are encouraged, however, to manufacture these motors in 
compliance with EPCA at the earliest possible date.
    The following sets forth in greater detail, for each of these types 
of motors, the basis for the Department's policy to refrain from 
enforcement for two years. Also set forth is additional explanation of 
the Department's understanding as to why manufacturers previously 
believed intermediate horsepower motors were not covered by EPCA.

[[Page 59981]]

Intermediate Horsepower Ratings

    Section 342(b)(1) of EPCA specifies efficiency standards for 
electric motors with 19 specific horsepower ratings, ranging from one 
through 200 horsepower. Each is a preferred or standardized horsepower 
rating as reflected in the table in NEMA Standards Publication MG1-
1993, paragraph 10.32.4, Polyphase Medium Induction Motors. However, an 
``electric motor,'' as defined by EPCA, can be built at other 
horsepower ratings, such as 6 horsepower, 65 horsepower, or 175 
horsepower. Such motors, rated at horsepower levels between any two 
adjacent horsepower ratings identified in section 342(b)(1) of EPCA 
will be referred to as ``intermediate horsepower motors.'' In the 
Department's view, efficiency standards apply to every motor that has a 
rating from one through 200 horsepower (or kilowatt equivalents), and 
that otherwise meets the criteria for an ``electric motor'' under EPCA, 
including an electric motor with an intermediate horsepower (or kw) 
rating.
    To date, these motors have typically been designed in conjunction 
with and supplied to a specific customer to fulfill certain performance 
and design requirements of a particular application, as for example to 
run a certain type of equipment. See the discussion in Section IV below 
on ``original equipment'' and ``original equipment manufacturers.'' In 
large part for these reasons, manufacturers believed intermediate 
horsepower motors to be ``definite purpose motors'' that were not 
covered by EPCA. Despite their specific uses, however, these motors are 
electric motors under EPCA when they are capable of being used in most 
general purpose applications.
    Features of a motor that are directly related to its horsepower 
rating include its physical size, and the ratings of its controller and 
protective devices. These aspects of a 175 horsepower motor, for 
example, which is an intermediate horsepower motor, must be appropriate 
to that horsepower, and would generally differ from the same aspects of 
150 and 200 horsepower motors, the two standard horsepower ratings 
closest to 175. To re-design an existing intermediate horsepower 
electric motor so that it complies with EPCA could involve all of these 
elements of a motor's design. For example, the addition of material 
necessary to achieve EPCA's prescribed level of efficiency could cause 
the size of the motor to increase. The addition of magnetic material 
would invite higher inrush current that could cause an incorrectly 
sized motor controller to malfunction, or the circuit breaker with a 
standard rating to trip unnecessarily, or both. The Department believes 
motor manufacturers will require a substantial amount of time to 
redesign and retest each intermediate horsepower electric motor they 
manufacture.
    To the extent such intermediate horsepower electric motors become 
unavailable because motor manufacturers have recognized only recently 
that they are covered by EPCA, equipment in which they are incorporated 
would temporarily become unavailable also. Moreover, re-design of such 
a motor to comply with EPCA could cause changes in the motor that 
require re-design of the equipment in which the motor is used. For 
example, if an intermediate horsepower electric motor becomes larger, 
it might no longer fit in the equipment for which it was designed. In 
such instances, the equipment would have to be re-designed. Because 
these motors were previously thought not to be covered, equipment 
manufacturers may not have had sufficient lead time to make the 
necessary changes to the equipment without interrupting its production.
    With respect to intermediate horsepower motors, the Department 
intends to refrain from enforcing EPCA for a period of 24 months only 
as to such motor designs that were being manufactured prior to the date 
this Policy Statement was issued. The Department is concerned that 
small adjustments could be made to the horsepower rating of an existing 
electric motor, in an effort to delay compliance with EPCA, if it 
delayed enforcement as to all intermediate horsepower motors produced 
during the 24 month period. For example, a 50 horsepower motor that has 
a service factor of 1.15 could be renameplated as a 57'' horsepower 
motor that has a 1.0 service factor. By making this delay in 
enforcement applicable only to pre-existing designs of intermediate 
horsepower motors, the Department believes it has made adequate 
provision for the manufacture of bona fide intermediate horsepower 
motor designs that cannot be changed to be in compliance with EPCA by 
October 25, 1997.

Thermally Protected Motors

    The Department understands that in order to redesign a thermally 
protected motor to improve its efficiency so that it complies with 
EPCA, various changes in the windings must be made which will require 
the thermal protector to be re-selected. Such devices sense the inrush 
and running current of the motor, as well as the operating temperature. 
Any changes to a motor that affect these characteristics will prevent 
the protector from operating correctly. When a new protector is 
selected, the motor must be tested to verify proper operation of the 
device in the motor. The motor manufacturer would test the locked rotor 
and overload conditions, which could take several days, and the results 
may dictate that a second selection is needed with additional testing. 
When the manufacturer has finished testing, typically the manufacturer 
will have a third party conduct additional testing. This testing may 
include cycling the motor in a locked-rotor condition to verify that 
the protector functions properly. This testing may take days or even 
weeks to perform for a particular model of motor.
    Since it was only recently recognized by industry that these motors 
are covered by EPCA, in the Department's view the total testing program 
makes it impossible for manufacturers to comply with the EPCA 
efficiency levels in thermally protected motors by October 25, 1997, 
especially since each different motor winding must be tested and motor 
winding/thermal protector combinations number in the thousands.

Motors With Roller Bearings

    Motors with roller bearings fit within the definition of electric 
motor under the statute. However, because the IEEE Standard 112 Test 
Method B does not provide measures to test motors with roller bearings 
installed, manufacturers mistakenly believed such motors were not 
covered. Under IEEE 112, a motor with roller bearings could only be 
tested for efficiency with the roller bearings removed and standard 
ball bearings installed as temporary substitutes. Then on the basis of 
the energy efficiency information gained from that test, the 
manufacturer may need to redesign the motor in order to comply with the 
statute. In this situation, the Department understands that testing, 
redesigning, and retesting lines of motors with roller bearings, to 
establish compliance, would be difficult and time consuming.

    Categories III, IV and V--Motors not within EPCA's definition of 
``electric motor,'' and not covered by EPCA.

Close-Coupled Pump Motors

    NEMA Standards Publication MG1-1993, with revisions one through 
three, Part 18, ``Definite-Purpose Machines,'' defines ``a face-
mounting close-coupled pump motor'' as ``a medium alternating-current 
squirrel-cage induction open or totally enclosed motor, with or without 
feet, having a shaft suitable for mounting an impeller and sealing

[[Page 59982]]

device.'' Paragraphs MG1-18.601-18.614 specify its performance, face 
and shaft mounting dimensions, and frame assignments that replace the 
suffix letters T and TS with the suffix letters JM and JP.
    The Department understands that such motors are designed in 
standard ratings with standard operating characteristics for use in 
certain close-coupled pumps and pumping applications, but cannot be 
used in non-pumping applications, such as, for example, conveyors. 
Consequently, the Department believes close-coupled pump motors are 
definite-purpose motors not covered by EPCA. However, a motor that 
meets EPCA's definition of ``electric motor,'' and which can be coupled 
to a pump, for example by means of a C-face or D-flange endshield, as 
depicted in NEMA Standards Publication MG1, Part 4, ``Dimensions, 
Tolerances, and Mounting,'' is covered.

Totally-Enclosed Non-Ventilated (TENV) and Totally-Enclosed Air-Over 
(TEAO) Motors

    A motor designated in NEMA MG1-1993, paragraph MG1-1.26.1, as 
``totally-enclosed non-ventilated (IP54, IC410)'' 6 is ``not 
equipped for cooling by means external to the enclosing parts.'' This 
means that the motor, when properly applied, does not require the use 
of any additional means of cooling installed external to the motor 
enclosure. The TENV motor is cooled by natural conduction and natural 
convection of the motor heat into the surrounding environment. As 
stated in NEMA MG1-1993, Suggested Standard for Future Design, 
paragraph MG1-1.26.1a, a TENV motor ``is only equipped for cooling by 
free convection.'' The general requirement for the installation of the 
TENV motor is that it not be placed in a restricted space that would 
inhibit this natural dissipation of the motor heat. Most general 
purpose applications use motors which include a means for forcing air 
flow through or around the motor and usually through the enclosed space 
and, therefore, can be used in spaces that are more restrictive than 
those required for TENV motors. Placing a TENV motor in such common 
restricted areas is likely to cause the motor to overheat. The TENV 
motor may also be larger than the motors used in most general purpose 
applications, and would take up more of the available space, thus 
reducing the size of the open area surrounding the motor. Installation 
of a TENV motor might require, therefore, an additional means of 
ventilation to continually exchange the ambient around the motor.
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    \6\ IP refers to the IEC Standard 34-5: Classification of 
degrees of protection provided by enclosures for rotating machines. 
IC refers to the IEC Standard 34-6: Methods of rotating machinery. 
The IP and IC codes are referenced in the NEMA designations for TENV 
and TEAO motors in MG1-1993 Part 1, ``Classification According to 
Environmental Protection and Methods of Cooling,'' as a Suggested 
Standard for Future Design, since the TENV and TEAO motors conform 
to IEC Standards. Details of protection (IP) and methods of cooling 
(IC) are defined in MG1 Part 5 and Part 6, respectively.
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    A motor designated in NEMA MG1-1993 as ``totally-enclosed air-over 
(IP54, IC417)'' is intended to be cooled by ventilation means external 
to (i.e., separate and independent from) the motor, such as a fan. The 
motor must be provided with the additional ventilation to prevent it 
from overheating.
    Consequently, neither the TENV motor nor the TEAO motor would be 
suitable for most general purpose applications, and, DOE believes they 
are definite-purpose motors not covered by EPCA.

Integral Gearmotors

    An ``integral gearmotor'' is an assembly of a motor and a specific 
gear drive or assembly of gears, such as a gear reducer, as a unified 
package. The motor portion of an integral gearmotor is not necessarily 
a complete motor, since the end bracket or mounting flange of the motor 
portion is also part of the gear assembly and cannot be operated when 
separated from the complete gear assembly. Typically, an integral 
gearmotor is not manufactured to standard T-frame dimensions specified 
in NEMA MG1. Moreover, neither the motor portion, nor the entire 
integral gearmotor, are capable of being used in most general purpose 
applications without significant modifications. An integral gearmotor 
is also designed for a specific purpose and can have unique performance 
characteristics, physical dimensions, and casing, flange and shafting 
configurations. Consequently, integral gearmotors are outside the scope 
of the EPCA definition of ``electric motor'' and are not covered under 
EPCA.
    However, an ``electric motor,'' as defined by EPCA, which is 
connected to a stand alone mechanical gear drive or an assembly of 
gears, such as a gear reducer connected by direct coupling, belts, 
bolts, a kit, or other means, is covered equipment under EPCA.

IV. Electric Motors That Are Components in Certain Equipment

    The primary function of an electric motor is to convert electrical 
energy to mechanical energy which then directly drives machinery such 
as pumps, fans, or compressors. Thus, an electric motor is always 
connected to a driven machine or apparatus. Typically the motor is 
incorporated into a finished product such as an air conditioner, a 
refrigerator, a machine tool, food processing equipment, or other 
commercial or industrial machinery. These products are commonly known 
as ``original equipment'' or ``end-use equipment,'' and are 
manufactured by firms known as ``original equipment manufacturers'' 
(OEMs).
    Many types of motors used in original equipment are covered under 
EPCA. As noted above, EPCA prescribes efficiency standards to be met by 
all covered electric motors manufactured after October 24, 1997, except 
that covered motors which require listing or certification by a 
nationally recognized safety testing laboratory need not meet the 
standards until after October 24, 1999. Thus, for motors that must 
comply after October 24, 1997, once inventories of motors manufactured 
before the deadline have been exhausted, only complying motors would be 
available for purchase and use by OEMs in manufacturing original 
equipment. Any non-complying motors previously included in such 
equipment would no longer be available.
    The physical, and sometimes operational, characteristics of motors 
that meet EPCA efficiency standards normally differ from the 
characteristics of comparable existing motors that do not meet those 
standards. In part because of such differences, the Department is aware 
of two types of situations where strict application of the October 24, 
1997 deadline could temporarily prevent the manufacture of, and remove 
from the marketplace, currently available original equipment.
    One such situation is where an original equipment manufacturer uses 
an electric motor as a component in end-use equipment that requires 
listing or certification by a nationally recognized safety testing 
laboratory, even though the motor itself does not require listing or 
certification. In some of these instances, the file for listing or 
certification specifies the particular motor to be used. No 
substitution could be made for the motor without review and approval of 
the new motor and the entire system by the safety testing laboratory. 
Consequently, a specified motor that does not meet EPCA standards could 
not be replaced by a complying motor without such review and approval.
    This re-listing or re-certification process is subject to 
substantial variation from one piece of original equipment to the next. 
For some equipment, it could be a simple paperwork transaction between 
the

[[Page 59983]]

safety listing or certification organization and the OEM, taking 
approximately four to eight weeks to complete. But the process could 
raise more complex system issues involving redesign of the motor or 
piece of equipment, or both, and actual testing to assure that safety 
and performance criteria are met, and could take several months to 
complete. The completion time could also vary depending on the response 
time of the particular safety approval agency. Moreover, in the period 
immediately after October 24, the Department believes wholesale changes 
could occur in equipment lines when OEMs must begin using motors that 
comply with EPCA. These changes are likely to be concentrated in the 
period immediately after EPCA goes into effect on October 24, and if 
many OEMs seek to re-list or re-certify equipment at the same time, 
substantial delays in the review and approval process at the safety 
approval agencies could occur. For these reasons, the Department is 
concerned that certain end-user equipment that requires safety listing 
or certification could become unavailable in the marketplace, because 
an electric motor specifically identified in a listing or certification 
is covered by EPCA and will become unavailable, and the steps have not 
been completed to obtain safety approval of the equipment when 
manufactured with a complying motor.
    Second, a situation could exist where an electric motor covered by 
EPCA is constructed in a T-frame series or T-frame size that is smaller 
(but still standard) than that assigned by NEMA Standards Publication 
MG 13-1984 (R1990), sections 1.2 and 1.3, in order to fit into a 
restricted mounting space that is within certain end-use equipment. 
(Motors in IEC metric frame sizes and kilowatt ratings could also be 
involved in this type of situation.) In such cases, the manufacturer of 
the end-use equipment might need to redesign the equipment containing 
the mounting space to accommodate a larger motor that complies with 
EPCA. These circumstances as well could result in certain currently 
available equipment becoming temporarily unavailable in the market, 
since the smaller size motor would become unavailable before the 
original equipment had been re-designed to accommodate the larger, 
complying motor.
    The Department understands that many motor manufacturers and OEMs 
became aware only recently that the electric motors addressed in the 
preceding paragraphs were covered by EPCA. This is largely for the same 
reasons, discussed above, that EPCA coverage of Category II motors was 
only recently recognized. In addition, the Department understands that 
some motor manufacturers and original equipment manufacturers confused 
motors that themselves require safety listing or certification, which 
need not comply until October 25, 1999, with motors that, while not 
subject to such requirements, are included in original equipment that 
requires safety listing or certification. Consequently, motor 
manufacturers and original equipment manufacturers took insufficient 
action to assure that appropriate complying motors would be available 
for the original equipment involved, and that the equipment could 
accommodate such motors. OEMs involved in such situations may often be 
unable to switch to motors that meet EPCA standards in the period 
immediately following October 24. To mitigate any hardship to 
purchasers of the original equipment, the Department intends to refrain 
from enforcing EPCA in certain limited circumstances, under the 
conditions described below.
    Where a particular electric motor is specified in an approved 
safety listing or certification for a piece of original equipment, and 
the motor does not meet the applicable efficiency standard in EPCA, the 
Department's policy will be as follows: For the period of time 
necessary for the OEM to obtain a revised safety listing or 
certification for that piece of equipment, with a motor specified that 
complies with EPCA, but in no event beyond October 24, 1999, the 
Department would refrain from taking enforcement action under EPCA with 
respect to manufacture of the motor for installation in such original 
equipment. This policy would apply only where the motor has been 
manufactured and specified in the approved safety listing or 
certification prior to October 25, 1997.
    Where a particular electric motor is used in a piece of original 
equipment and manufactured in a smaller than assigned frame size or 
series, and the motor does not meet the applicable efficiency standard 
in EPCA, the Department's policy will be as follows: For the period of 
time necessary for the OEM to re-design the piece of equipment to 
accommodate a motor that complies with EPCA, but in no event beyond 
October 24, 1999, the Department would refrain from enforcing the 
standard with respect to manufacture of the motor for installation in 
such original equipment. This policy would apply only to a model of 
motor that has been manufactured and included in the original equipment 
prior to October 25, 1997.
    To allow the Department to monitor application of the policy set 
forth in the prior two paragraphs, the Department needs to be informed 
as to the motors being manufactured under the policy. Therefore, each 
motor manufacturer and OEM should jointly notify the Department as to 
each motor they will be manufacturing and using, respectively, after 
October 24, 1997, in the belief that it is covered by the policy. The 
notification should set forth: (1) The name of the motor manufacturer, 
and a description of the motor by type, model number, and date of 
design or production; (2) the name of the original equipment 
manufacturer, and a description of the application where the motor is 
to be used; (3) the safety listing or safety certification organization 
and the existing listing or certification file or document number for 
which re-listing or re-certification will be requested, if applicable; 
(4) the reason and amount of time required for continued production of 
the motor, with a statement that a substitute electric motor that 
complies with EPCA could not be obtained by an earlier date; and (5) 
the name, address, and telephone number of the person to contact for 
further information. The joint request should be signed by a 
responsible official of each requesting company, and sent to: U.S. 
Department of Energy, Assistant Secretary for Energy Efficiency and 
Renewable Energy, Office of Codes and Standards, EE-43, Forrestal 
Building, 1000 Independence Avenue, SW, Room 1J-018, Washington, DC 
20585-0121. The Department does not intend to apply this policy to any 
motor for which it does not receive such a notification. Moreover, the 
Department may use the notification, and make further inquiries, to be 
sure motors listed in the notification meet the criteria for 
application of the policy.
    This part of the Policy Statement will not apply to a motor in 
Category II, discussed above in section III. Because up to 24 months is 
contemplated for compliance by Category II motors, the Department 
believes any issues that might warrant a delay of enforcement for such 
motors can be addressed during that time period.

V. Further Information

    The Department intends to incorporate this Policy Statement into an 
appendix to its final rule to implement the EPCA provisions that apply 
to motors. Any comments or suggestions with respect to this Policy 
Statement, as well as requests for further information, should be 
addressed to the Director, Office of Codes and Standards, EE-43, U.S. 
Department of Energy, 1000

[[Page 59984]]

Independence Avenue, SW, Washington, DC 20585-0121.

 Examples of Many Common Features or Motor Modifications To Illustrate How the EPCA Definitions and DOE Guidelines Would be Applied to Motor Categories:
                                                 General Purpose; Definite Purpose; and Special Purpose                                                 
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                      Category 7                                                                        
              Motor modification             ------------------------------------------------------------                   Explanation                 
                                                   I          II          III         IV           V                                                    
--------------------------------------------------------------------------------------------------------------------------------------------------------
         A. Electrical Modifications                                                                                                                    
                                                                                                                                                        
1 Altitude..................................          X   ..........  ..........  ..........  ..........  General purpose up to a frame series change   
                                                                                                           larger.                                      
2 Ambient...................................          X   ..........  ..........  ..........  ..........  General purpose up to a frame series change   
                                                                                                           larger.                                      
3 Multispeed................................  ..........  ..........  ..........  ..........          X   EPCA applies to single speed only.            
4 Special Leads.............................          X                                                                                                 
5 Special Insulation........................          X                                                                                                 
6 Encapsulation.............................  ..........  ..........  ..........          X   ..........  Due to special construction.                  
7 High Service Factor.......................          X   ..........  ..........  ..........  ..........  General purpose up to a frame series change   
                                                                                                           larger.                                      
8 Space Heaters.............................          X                                                                                                 
9 WYE Delta Start...........................          X                                                                                                 
10 Part Winding Start.......................          X                                                                                                 
11 Temperature Rise.........................          X   ..........  ..........  ..........  ..........  General purpose up to a frame series change   
                                                                                                           larger.                                      
12 Thermally Protected......................  ..........          X   ..........  ..........  ..........  Requires retesting and third party agency     
                                                                                                           approval.                                    
13 Thermostat/Thermistor....................          X                                                                                                 
14 Special Voltages.........................  ..........  ..........  ..........  ..........          X   EPCA applies to motors operating on 230/460   
                                                                                                           voltages at 60 Hertz.                        
15 Intermediate Horsepowers.................  ..........          X   ..........  ..........  ..........  Round horsepower according to 10 CFR 431.42   
                                                                                                           for efficiency.                              
16 Frequency................................  ..........  ..........  ..........  ..........          X   EPCA applies to motors operating on 230/460   
                                                                                                           voltages at 60 Hertz.                        
17 Fungus/Trop Insulation...................          X                                                                                                 
                                                                                                                                                        
         B. Mechanical Modifications                                                                                                                    
                                                                                                                                                        
18 Special Balance..........................          X                                                                                                 
19 Bearing Temp. Detector...................          X                                                                                                 
20 Special Base/Feet........................  ..........  ..........  ..........  ..........          X   Does not meet definition of T-frame.          
21 Special Conduit Box......................          X                                                                                                 
22 Auxiliary Conduit Box....................          X                                                                                                 
23 Special Paint/Coating....................          X                                                                                                 
24 Drains...................................          X                                                                                                 
25 Drip Cover...............................          X                                                                                                 
26 Ground.Lug/Hole..........................          X                                                                                                 
27 Screens on ODP Enclosure.................          X                                                                                                 
28 Mounting F1, F2; W1-4; C1, 2.............          X   ..........  ..........  ..........  ..........  Foot-mounting, rigid base, and resilient base.
                                                                                                                                                        
                 C. Bearings                                                                                                                            
                                                                                                                                                        
29 Bearing Caps.............................          X                                                                                                 
30 Roller Bearings..........................  ..........          X   ..........  ..........  ..........  Test with a standard bearing.                 
31 Shielded Bearings........................          X                                                                                                 
32 Sealed Bearings..........................          X   ..........  ..........  ..........  ..........  Test with a standard bearing.                 
33 Thrust Bearings..........................  ..........  ..........  ..........          X   ..........  Special mechanical construction.              
34 Clamped Bearings.........................          X                                                                                                 
35 Sleeve Bearings..........................  ..........  ..........  ..........          X   ..........  Special mechanical construction.              
                                                                                                                                                        
            D. Special Endshields                                                                                                                       
                                                                                                                                                        
36 C Face...................................          X   ..........  ..........  ..........  ..........  As defined in NEMA MG-1.                      
37 D Flange.................................          X   ..........  ..........  ..........  ..........  As defined in NEMA MG-1.                      
38 Customer Defined.........................  ..........  ..........  ..........          X   ..........  Special design for a particular application.  
                                                                                                                                                        
                  E. Seals                                                                                                                              
                                                                                                                                                        
39 Contact Seals............................          X   ..........  ..........  ..........  ..........  Includes lip seals and taconite seals--test   
                                                                                                           with seals removed.                          
40 Non-Contact Seal.........................          X   ..........  ..........  ..........  ..........  Includes labyrinth and slinger seals--test    
                                                                                                           with seals installed.                        
                                                                                                                                                        
                  F. Shafts                                                                                                                             
                                                                                                                                                        
41 Standard Shafts/NEMA MG-1................          X   ..........  ..........  ..........  ..........  Includes single and double, cylindrical,      
                                                                                                           tapered, and short shafts.                   
42 Non Standard Material....................          X                                                                                                 
                                                                                                                                                        

[[Page 59985]]

                                                                                                                                                        
                   G. Fans                                                                                                                              
                                                                                                                                                        
43 Special Material.........................          X                                                                                                 
44 Quiet Design.............................          X                                                                                                 
                                                                                                                                                        
               H. Other Motors                                                                                                                          
                                                                                                                                                        
45 Washdown.................................          X   ..........  ..........  ..........  ..........  Test with seals removed.                      
46 Close-Coupled Pump.......................  ..........  ..........          X   ..........  ..........  JM and JP frame assignments.                  
47 Integral Gear Motor......................  ..........  ..........  ..........  ..........          X   Typically special mechanical design, and not a
                                                                                                           T-frame; motor and gearbox inseparable and   
                                                                                                           operate as one system.                       
48 Vertical--Normal Thrust..................  ..........  ..........  ..........  ..........          X   EPCA covers foot-mounting.                    
49 Saw Arbor................................  ..........  ..........  ..........          X   ..........  Special electrical/mechanical design.         
50 TENV.....................................  ..........  ..........          X   ..........  ..........  Totally-enclosed non-ventilated not equipped  
                                                                                                           for cooling (IP54, IC410).                   
51 TEAO.....................................  ..........  ..........          X   ..........  ..........  Totally-enclosed air-over requires airflow    
                                                                                                           from external source (IP54, IC417).          
52 Fire Pump................................          X   ..........  ..........  ..........  ..........  When safety certification is not required. See
                                                                                                           also EPCA Sec.  342(b)(1).                   
53 Non-Continuous...........................  ..........  ..........  ..........  ..........          X   EPCA covers continuous ratings.               
54 Integral Brake Motor.....................  ..........  ..........  ..........          X   ..........  Integral brake design factory built within the
                                                                                                           motor.                                       
--------------------------------------------------------------------------------------------------------------------------------------------------------
7 Category I--General purpose electric motors as defined in EPCA.                                                                                       
Category II--Definite purpose electric motors that can be used in most general purpose applications as defined in EPCA.                                 
Category III--Definite purpose motors as defined in EPCA.                                                                                               
Category IV--Special purpose motors as defined in EPCA.                                                                                                 
Category V--Outside the scope of ``electric motor'' as defined in EPCA.                                                                                 

[FR Doc. 97-28911 Filed 11-4-97; 8:45 am]
BILLING CODE 6450-01-P