[Federal Register Volume 67, Number 228 (Tuesday, November 26, 2002)]
[Rules and Regulations]
[Pages 70675-70678]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-29969]


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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 431

[Docket No. EE-RM-96-400]
RIN 1904-AB11


Energy Efficiency Program for Certain Commercial and Industrial 
Equipment: Extension of Time for Electric Motor Manufacturers To 
Certify Compliance With Energy Efficiency Standards

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

ACTION: Final rule.

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SUMMARY: This procedural rule amends the compliance certification 
regulations by revising the deadline date for all electric motor 
manufacturers to certify compliance to the Department of Energy that 
their motors meet the applicable energy efficiency standards.

DATES: This rule is effective November 26, 2002.

FOR FURTHER INFORMATION CONTACT: James Raba, U.S. Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Mail Station EE-41, 
1000 Independence Avenue, SW., Washington, DC 20585-0121, telephone 
(202) 586-8654, telefax (202) 586-4617, or: [email protected].
    Francine Pinto, Esq., U.S. Department of Energy, Office of General 
Counsel, Mail Station GC-72, 1000 Independence Avenue, SW., Washington, 
DC 20585-0103, (202) 586-7432, telefax (202) 586-4116, or: 
[email protected].

SUPPLEMENTARY INFORMATION: 

I. Introduction

    Section 345(c) of the Energy Policy and Conservation Act of 1975 
(EPCA) requires ``manufacturers to certify, through an independent 
testing or certification program nationally recognized in the United 
States, that such motor meets the applicable [nominal full load 
efficiency standard]'' (42 U.S.C. 6316(c)). The Department of Energy 
(DOE) construes the statutory language to provide manufacturers with 
two equivalent ways to fulfill the certification requirement: (1) A

[[Page 70676]]

manufacturer may certify, through an independent testing program 
nationally recognized in the United States, that a covered motor meets 
the standard; or (2) a manufacturer may certify, through an independent 
certification program nationally recognized in the United States, that 
a covered motor meets the standard. DOE is of the view that section 
345(c) does not require preference for one program over the other.
    The procedures by which a manufacturer may certify the energy 
efficiency of the manufacturer's electric motors, through either a 
certification program or an accredited laboratory, are set forth in 10 
CFR 431.24(a)(5). Section 431.123(a) in 10 CFR part 431 currently 
provides that, beginning on June 7, 2002, no electric motor ``subject 
to an energy efficiency standard set forth in subpart C of this part'' 
may be distributed in commerce unless it is covered by a Compliance 
Certification that the manufacturer has submitted to DOE.

II. Background

    On November 9, 2001, DOE published a notice of final rulemaking in 
the Federal Register that amended 10 CFR 431.123(a) to change the 
deadline for submission of compliance certifications from November 5, 
2001, to June 7, 2002 (66 FR 56604). That action was taken because 
there was insufficient independent testing laboratory capacity for 
testing the thousands of basic models of electric motors covered by 
EPCA's efficiency standards. The notice of final rulemaking reported 
that a number of motor manufacturers had elected to base the 
certification of their motors' energy efficiency on testing conducted 
in a National Voluntary Laboratory Accreditation Program (NVLAP) 
accredited laboratory. However, about half of the motor manufacturers 
had elected to base their compliance on a certification program that 
DOE classifies as nationally recognized. Many of those manufacturers 
have committed resources in anticipation of certification programs 
being recognized by DOE. As of the November 9, 2001 date of publication 
of the notice of final rulemaking, there were no certification programs 
nationally recognized for the purposes of section 345(c) of EPCA. 
Therefore, it was impossible for manufacturers electing to use a 
nationally recognized certification program, as allowed by EPCA, to 
test and certify their motors for energy efficiency before November 5, 
2001.
    At that time, DOE believed that the extension of the certification 
deadline to June 7, 2002, would provide sufficient time for all 
manufacturers to come into compliance with EPCA's requirements. The new 
deadline was based on DOE's belief that it would be able to promptly 
complete action on the petitions for certification program recognition 
that had been submitted by CSA International and Underwriters 
Laboratories, Inc., and that such action could be completed in a 
timeframe that would allow manufacturers, if they so chose, to use an 
approved certification program and submit required certifications to 
DOE by the June 7, 2002 deadline. DOE had published for public comment 
the petition of CSA International on April 26, 2000 (65 FR 24429), and 
the petition of Underwriters Laboratories, Inc. on October 3, 2001 (66 
FR 50355).

III. Discussion of Rule Amendment

    DOE was not able to complete action on these two petitions for 
certification program recognition by June 7, 2002. DOE published its 
interim determinations to approve the CSA International and 
Underwriters Laboratories, Inc., petitions for certification program 
recognition on July 5, 2002. 67 FR 45018 and 45028. Under the 
certification program recognition process set forth in 10 CFR 
431.28(a)-(f), after the period for public comment for the interim 
determinations closes, DOE will review any comments and information 
submitted, as well as any responsive statements of the petitioners. DOE 
then will publish a final determination on the petitions. In the 
meantime, however, the situation remains the same as it was in November 
2001 when DOE granted the previous extension of the deadline in 10 CFR 
431.123(a). That is, a number of motor manufacturers have elected to 
base the certification of their motors' energy efficiency on a 
certification program that DOE classifies as nationally recognized; 
many of those manufacturers have committed resources in anticipation of 
certification programs being recognized by DOE; there are no 
certification programs nationally recognized for the purposes of 
section 345(c) of EPCA; it is impossible for manufacturers electing to 
use a nationally recognized certification program, as allowed by EPCA, 
to test and certify their motors for energy efficiency before June 7, 
2002; and there is insufficient independent testing laboratory capacity 
for testing the thousands of basic models of electric motors covered by 
EPCA's efficiency standards. Therefore, DOE is amending section 
431.123(a) to further extend the deadline for motor manufacturers to 
certify compliance with EPCA.
    In view of the foregoing, DOE today amends 10 CFR 431.123 to 
replace ``June 7, 2002'' with a phrase cross-referencing a new 
paragraph (g), which establishes a new compliance date. New paragraph 
(g) of 10 CFR 431.123 provides that the new compliance date is April 
30, 2003, or the date that is 120 days after the date on which DOE 
publishes its final determinations for the CSA International and 
Underwriters Laboratories, Inc. petitions, whichever is earlier. The 
rule further provides that if DOE publishes the final determinations 
for the CSA International and Underwriters Laboratories, Inc. petitions 
on different dates, the compliance certification date is the date that 
is 120 days after the date of publication of the earlier final 
determination. DOE believes this approach will result in certifications 
by manufacturers using certification programs at the earliest possible 
time. While establishing April 30, 2003 as the outside limit on the 
extension, DOE expects to issue final determinations on the two 
petitions in time to allow manufacturers to come into compliance before 
that date.
    The Secretary of Energy has approved issuance of this final rule.

IV. Procedural Issues and Regulatory Review

A. Review Under the National Environmental Policy Act

    DOE reviewed today's rule under the National Environmental Policy 
Act of 1969 (NEPA), 42 U.S.C. 4321 et seq., the regulations of the 
Council on Environmental Quality, 40 CFR parts 1500-1508, and DOE's 
regulations on compliance with NEPA, 10 CFR part 1021. DOE has 
determined that today's rule is covered by the Categorical Exclusion 
found at paragraph A6 of appendix A to subpart D of DOE's NEPA 
regulations, which applies to rulemakings that are strictly procedural. 
Accordingly, neither an environmental assessment nor an environmental 
impact statement has been prepared.

B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''

    Today's regulatory action has been determined not to be a 
``significant regulatory action'' under Executive Order 12866, 
``Regulatory Planning and Review'' (58 FR 51735). Accordingly, today's 
action was not subject to review under the Executive Order by the 
Office of Information and Regulatory Affairs in the Office of 
Management and Budget.

[[Page 70677]]

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act, 5 U.S.C. 601, et seq., requires 
that a federal agency prepare a regulatory flexibility analysis for any 
rule for which the agency is required to publish a general notice of 
proposed rulemaking. Today's rule is a rule of agency procedure that is 
exempt from the Administrative Procedure Act's notice and comment 
requirements. Therefore, a regulatory flexibility analysis has not been 
prepared.

D. Review Under Executive Order 13132, ``Federalism''

    Executive Order 13132, ``Federalism'' (64 FR 43255) requires 
federal agencies to develop an accountable process to ensure meaningful 
and timely input by State and local officials in the development of 
regulatory policies that have ``federalism implications.'' Policies 
that have federalism implications are defined in the Executive Order to 
include regulations that have ``substantial direct effects on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government.'' On March 14, 2000, DOE published a 
statement of policy describing the intergovernmental consultation 
process it will follow in the development of such regulations (65 FR 
13735). DOE has examined today's rule and determined that it does not 
have a substantial direct effect on the States, on the relationship 
between the national government and the States, or on the distribution 
of power and responsibilities among the various levels of government. 
No further action is required by the Executive Order.

E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference With Constitutionally Protected Property Rights''

    DOE has determined that this regulation would not result in any 
takings which might require compensation under the Fifth Amendment to 
the United States Constitution.

F. Review Under the Paperwork Reduction Act

    No new collection of information will be imposed by this 
rulemaking. Accordingly, no clearance by the Office of Management and 
Budget is required under the Paperwork Reduction Act (44 U.S.C. 3501, 
et seq.).

G. Review Under Executive Order 12988, ``Civil Justice Reform''

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3 of Executive Order 12988, 
``Civil Justice Reform'' (61 FR 4729) imposes on Executive agencies the 
general duty to eliminate drafting errors and ambiguity; write 
regulations to minimize litigation; provide a clear legal standard for 
affected conduct rather than a general standard; and promote 
simplification and burden reduction. Section 3(c) of Executive Order 
12988 requires Executive agencies to review regulations in light of 
applicable standards in section 3(a) and section 3(b) to determine 
whether they are met. DOE has completed the required review and 
determined that, to the extent permitted by law, this final rule meets 
the relevant standards of Executive Order 12988.

H. Review Under Section 32 of the Federal Energy Administration Act

    Today's final rule does not incorporate commercial standards by 
reference. Therefore, section 32 of the Federal Energy Administration 
Act does not apply to today's final rule.

I. Review Under the Unfunded Mandates Reform Act

    DOE has determined that today's final rule does not include a 
federal mandate that may result in estimated costs of $100 million or 
more to state, local or to tribal governments in the aggregate or to 
the private sector. Therefore, the requirements of Title II of the 
Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) do not apply.

J. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires federal agencies to issue a Family 
Policymaking Assessment for any proposed rule or policy that may affect 
family well-being. Today's final rule would not have any impact on the 
autonomy or integrity of the family as an institution. Accordingly, DOE 
has concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

K. Review Under Executive Order 13211, ``Actions Concerning Regulations 
That Significantly Affect Energy Supply, Distribution, or Use''

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' (66 FR 
28355, May 22, 2001) requires federal agencies to prepare and submit to 
the Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget, a Statement of Energy Effects for any proposed 
significant energy action. A ``significant energy action'' is defined 
as any action by an agency that promulgates or is expected to lead to 
the promulgation of a final rule, and that: (1) Is a significant 
regulatory action under Executive Order 12866, or any successor order; 
and (2) is likely to have a significant adverse effect on the supply, 
distribution, or use of energy; or (3) is designated by the 
Administrator of OIRA as a significant energy action. For any proposed 
significant energy action, the agency must give a detailed statement of 
any adverse effects on energy supply, distribution, or use should the 
proposed action be implemented, and of reasonable alternatives to the 
action and their expected benefits on energy supply, distribution, and 
use.
    Today's final rule would not have any adverse effects on the 
supply, distribution, or use of energy.

L. Review Under the Administrative Procedure Act

    Today's final rule is not subject to requirements for prior notice 
and opportunity for public comment because it is procedural in nature. 
However, to the extent that 5 U.S.C. 553(b) may apply to this 
rulemaking, DOE finds that is impracticable and contrary to the public 
interest to publish prior notice because it is impossible for 
manufacturers who elected to use a nationally recognized certification 
program, as allowed by EPCA, to comply with the certification 
requirement by the June 7, 2002 deadline, and because regulated 
manufacturers should be relieved as promptly as possible of the threat 
of potential enforcement of the June 7, 2002 deadline, with which it 
was impossible for them to comply. This situation also warrants DOE 
making this final rule effective upon publication in the Federal 
Register.

M. Review Under the Small Business Regulatory Enforcement Fairness Act

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule prior to its effective date. The report 
will state that it has been determined that the rule is not a ``major 
rule'' as defined by 5 U.S.C. 804(2).

List of Subjects in 10 CFR Part 431

    Administrative practice and procedure, Energy conservation,

[[Page 70678]]

Reporting and recordkeeping requirements.

    Issued in Washington, DC, on November 18, 2002.
David K. Garman,
Assistant Secretary, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, part 431 of chapter II 
of title 10, Code of Federal Regulations, is amended as follows:

PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND 
INDUSTRIAL EQUIPMENT

    1. The authority citation for part 431 continues to read as 
follows:

    Authority: 42 U.S.C. 6311-6316.

    2. Section 431.123 is amended in paragraph (a), in the first 
sentence, by removing the phrase ``Beginning June 7, 2002'' and adding 
in its place the phrase ``Beginning on the compliance date specified in 
paragraph (g) of this section'', and by adding a new paragraph (g) to 
read as follows:


Sec.  431.123  Compliance certification.

* * * * *
    (g) Compliance date. The compliance date for purposes of this 
section is February 28, 2003, or the date that is 120 days after the 
date of publication in the Federal Register of DOE's final 
determinations on petitions for certification program recognition 
submitted by CSA International and Underwriters Laboratories, Inc., 
whichever is earlier. If DOE publishes the final determinations on 
different dates, the compliance certification date for purposes of this 
section shall be the date that is 120 days after the date of 
publication of the earlier final determination.

[FR Doc. 02-29969 Filed 11-25-02; 8:45 am]
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