[Federal Register Volume 76, Number 3 (Wednesday, January 5, 2011)]
[Proposed Rules]
[Pages 648-676]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-33069]



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Part III





Department of Energy





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10 CFR Part 431



Energy Conservation Program: Test Procedures for Electric Motors and 
Small Electric Motors; Proposed Rule

  Federal Register / Vol. 76, No. 3 / Wednesday, January 5, 2011 / 
Proposed Rules  

[[Page 648]]


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DEPARTMENT OF ENERGY

10 CFR Part 431

[Docket No. EERE-2008-BT-TP-0008]
RIN 1904-AB71


Energy Conservation Program: Test Procedures for Electric Motors 
and Small Electric Motors

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

ACTION: Supplemental notice of proposed rulemaking.

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SUMMARY: This supplemental notice of proposed rulemaking (SNOPR) 
proposes to clarify certain terms and language in our regulations for 
certain commercial and industrial equipment, as follows: revise the 
definitions of certain terms related to electric motors and small 
electric motors, clarify the scope of energy conservation standards for 
electric motors, update references to several industry and testing 
standards for electric motors, incorporate by reference and update 
alternative test methods for polyphase and single-phase small electric 
motors, and specify the determination of efficiency requirements for 
small electric motors. These actions are being proposed to clarify the 
scope of regulatory coverage for small electric motors and electric 
motors and ensure the accurate and consistent measurement of energy 
efficiency. This notice invites comments on U.S. Department of Energy 
(DOE) proposals and the issues presented herein, and requests comments, 
data, and other information that would enable DOE to promulgate a final 
rule.

DATES: DOE will accept comments, data, and information regarding the 
SNOPR until February 4, 2011. See section IV, ``Public Participation,'' 
of this supplemental proposed rule for details.

ADDRESSES: Any comments submitted must identify the SNOPR on Test 
Procedures for Electric Motors and provide the docket number EERE-2008-
BT-TP-0008 and/or Regulation Identifier Number (RIN) 1904-AB71. 
Comments may be submitted using any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. 
Include the docket number EERE-2008-BT-TP-0008 and/or RIN 1904-AB71 in 
the subject line of the message.
     Postal Mail: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, Mailstop EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Please submit one 
signed paper original. Due to the potential delays in DOE's receipt and 
processing of mail sent through the U.S. Postal Service, DOE encourages 
respondents to submit comments electronically to ensure timely receipt.
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, 6th Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024. Telephone: (202) 586-2945. Please 
submit one signed paper original.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section IV, ``Public 
Participation,'' of this document.
    Docket: For access to the docket to read background documents or 
comments received, visit the U.S. Department of Energy, Sixth Floor, 
950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, between 
9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. 
Please call Ms. Brenda Edwards at (202) 586-2945 for additional 
information about visiting the Resource Room.

FOR FURTHER INFORMATION CONTACT: Mr. James Raba, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121. Telephone: (202) 586-8654. E-mail: [email protected]. 
In the Office of the General Counsel, contact Ms. Ami Grace-Tardy, U.S. 
Department of Energy, Office of the General Counsel, GC-71, 1000 
Independence Avenue, SW., Washington, DC 20585. Telephone: (202) 586-
5709. E-mail: [email protected].
    For information about how to submit or review public comments, 
contact Ms. Brenda Edwards, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 
1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: 
(202) 586-2945. E-mail: [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Introduction
    A. Authority
    B. Background
    1. Electric Motors
    2. Small Electric Motors
II. Summary of Supplemental Notice of Proposed Rulemaking
III. Discussion
    A. Definition of Electric Motor
    B. Definition of General Purpose Electric Motors, Subtypes I and 
II
    C. Definition of NEMA Design B Motor
    D. Fire Pump Motors Definition
    E. Fire Pump Motor Coverage
    F. Energy Conservation Standards for Electric Motors
    G. References to International Electrotechnical Commission, 
National Electrical Manufacturers Association, Institute of 
Electrical and Electronics Engineers, and Canadian Standards 
Association Standards for Electric Motors
    H. National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program Handbook 150-10 Update 
and Checklist
    I. Appendix A to Subpart B of Title 10 of the Code of Federal 
Regulations Part 431
    J. Definition of Small Electric Motor
    K. Canadian Standards Association Test Procedures for Small 
Electric Motors
    L. Small Electric Motor Represented Efficiency Value
    M. Validation of the Small Electric Motor Alternative Efficiency 
Determination Method
    N. Small Electric Motor Nationally Recognized Certification 
Program
    O. Issues Related to Compliance Certification and Enforcement of 
Electric Motors and Small Electric Motors.
IV. Public Participation
    A. Submission of Comments
    B. Issues on Which the Department of Energy Seeks Comment
    1. Definition of Electric Motor
    2. Definition of General Purpose Electric Motors, Subtypes I and 
II
    3. Definition of NEMA Design B Motor
    4. Fire Pump Motors Definition
    5. Fire Pump Motor Coverage
    6. Energy Conservation Standards for Electric Motors
    7. References to International Electrotechnical Commission, 
National Electrical Manufacturers Association, Institute of 
Electrical and Electronics Engineers, and Canadian Standards 
Association Standards for Electric Motors
    8. National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program Handbook 150-10 Update 
and Checklist
    9. Appendix A to Subpart B of Title 10 of the Code of Federal 
Regulations Part 431
    10. Canadian Standards Association Test Procedure for Small 
Electric Motors
    11. Small Electric Motor Represented Efficiency Value
    12. Validation of the Small Electric Motor Alternative 
Efficiency Determination Method
    13. Small Electric Motor Nationally Recognized Certification 
Program
    14. Issues Related to Compliance Certification and Enforcement 
of Electric Motors and Small Electric Motors
V. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under the Paperwork Reduction Act

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    D. Review Under the National Environmental Policy Act
    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under the Treasury and General Government 
Appropriations Act, 1999
    I. Review Under Executive Order 12630
    J. Review Under the Treasury and General Government 
Appropriations Act, 2001
    K. Review Under Executive Order 13211
    L. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
VI. Approval of the Office of the Secretary

I. Introduction

A. Authority

    Part A-1 of Title III of the Energy Policy and Conservation Act, as 
amended (EPCA), provides the Department of Energy (``DOE'' or, in 
context, ``the Department'') with the authority to promulgate energy 
conservation standards and related test procedures for certain 
commercial and industrial equipment. (42 U.S.C. 6311-6317) This 
supplemental notice of proposed rulemaking addresses issues raised in 
response to an earlier notice of proposed rulemaking, 73 FR 78220 
(December 22, 2008).

B. Background

    In the Energy Policy Act of 1992, Public Law 102-486 (October 24, 
1992) (EPAct 1992), Congress amended EPCA to establish energy 
conservation standards, test procedures, compliance certification, and 
labeling requirements for certain electric motors.\1\ In addition, 
EPAct 1992 directed the Secretary of Energy to determine whether energy 
conservation standards for small electric motors would be 
technologically feasible and economically justified, and would result 
in significant energy savings.\2\ On October 5, 1999, DOE published in 
the Federal Register, a final rule that set forth procedures to 
determine the energy efficiency of electric motors. 64 FR 54114. After 
determining that energy conservation standards for small electric 
motors would be technologically feasible and economically justified, 
see 71 FR 38799 (July 10, 2006), DOE initiated a rulemaking to begin 
the development of standards for small electric motors.\3\ Related to 
these efforts was DOE's publication of a July 7, 2009 final rule 
prescribing test procedures for small electric motors. 74 FR 32059. 
Today's supplemental notice of proposed rulemaking (SNOPR) proposes 
revisions, as summarized below, to the test procedures and definitions 
related to electric motors and small electric motors that were not 
addressed in previous rulemakings.
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    \1\ EPCA, as amended by EPAct 1992, had previously defined an 
``electric motor'' as ``any motor which is a general purpose T-
frame, single-speed, foot-mounting, polyphase squirrel-cage 
induction motor of the National Electrical Manufacturers 
Association, Design A and B, continuous rated, operating on 230/460 
volts and constant 60 Hertz line power as defined in NEMA Standards 
Publication MG1-1987.'' (42 U.S.C. 6311(13)(A) (1992)) Through 
subsequent amendments to EPCA, Congress removed this definition and 
replaced it with language denoting two new subtypes of general 
purpose electric motors. (See 42 U.S.C. 6311(13)(A)-(B) (2010))
    \2\ EPCA, as amended by EPAct 1992, defines the term ``small 
electric motor'' to mean a ``NEMA general purpose alternating 
current single-speed induction motor, built in a two-digit frame 
number series in accordance with NEMA Standards Publication MG1-
1987.'' (42 U.S.C. 6311(13)(G))
    \3\ A single-phase small electric motor is a rotating electrical 
machine that operates on single-phase electrical power, which refers 
to a single alternating voltage sinusoidal waveform. Similarly, a 
polyphase small electric motor is a rotating electrical machine that 
operates on three-phase electrical power, which refers to the 
sinusoidal waveforms of three supply conductors that are offset from 
one another by 120 degrees. Small electric motors are generally used 
as components to drive commercial and industrial pumps, fans, 
conveyors, and other equipment that require low power (i.e., 
approximately 3 horsepower and below). 73 FR 78220, 78221 n.2 
(December 22, 2008)
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1. Electric Motors
    Section 343(a)(5)(A) of EPCA requires that test procedures for 
electric motor efficiency shall be the test procedures specified in the 
National Electrical Manufacturers Association (NEMA) Standards 
Publication MG1-1987 and IEEE Standard 112 Test Method B for electric 
motor efficiency, as in effect on the date of enactment of EPAct 1992. 
(42 U.S.C. 6314(a)(5)(A)) Section 343(a)(5)(B) of EPCA directs that if 
the NEMA and IEEE test procedures are amended, the Secretary of Energy 
shall amend the efficiency test procedures for electric motors to 
conform to the amended NEMA and IEEE test procedures, unless the 
Secretary determines, by rule, that amended procedures are not 
reasonably designed to produce results that reflect energy efficiency, 
energy use, and estimated operating costs, and would be unduly 
burdensome to conduct. (42 U.S.C. 6314(a)(5)(B)) Subsequently, once 
newer versions of these industry test procedures became available, DOE 
amended its regulations to include more recent versions of these 
procedures. MG1-1993 and IEEE Standard 112-1996 were codified at 10 CFR 
431.22 (now codified at 10 CFR 431.16 and appendix B to subpart B). In 
addition, the equivalent CAN/CSA C390-93, ``Energy Efficiency Test 
Methods for Three-Phase Induction Motors'' was added in the final rule 
published on October 5, 1999. 64 FR 54114. These changes were made to 
ensure that the latest industry practices were incorporated into DOE's 
regulations and to incorporate related equivalent procedures.
    NEMA Standards Publication MG1 was most recently revised and 
published on April 9, 2010, IEEE Standard 112 was most recently amended 
in November 2004, and CAN/CSA C390 was most recently amended on March 
22, 2010 (as the renamed ``Test methods, marking requirements, and 
energy efficiency levels for three-phase induction motors.'') As 
directed by section 343(a)(5)(B) of EPCA, DOE proposed in a December 
22, 2008, test procedure notice of proposed rulemaking (NOPR) (December 
2008 NOPR) to update the test procedures in 10 CFR part 431 by 
incorporating by reference the test methods from the most current 
versions (at that time) of those industry testing standards. 73 FR 
78220. DOE received several comments on its proposed updates as well as 
on other issues and is addressing them in today's SNOPR for further 
public review.
2. Small Electric Motors
    Section 346 of EPCA requires DOE to prescribe test procedures for 
those small electric motors for which the Secretary of Energy makes a 
positive determination that energy conservation standards would be 
technologically feasible and economically justified, and would result 
in significant energy savings. (42 U.S.C. 6317(b)(1)) Consistent with 
this requirement, DOE announced its intention in the determination 
notice to initiate the development of test procedures for certain small 
electric motors. 71 FR 38807 (July 10, 2006).
    Pursuant to section 346(b)(1) of EPCA, in the December 2008 NOPR, 
DOE presented potential test methods for measuring the energy 
efficiency of small electric motors that DOE was considering 
incorporating into its regulations. 73 FR 78220. DOE proposed to base 
its test procedure on IEEE Standard 114-2001, ``Test Procedure for 
Single-Phase Induction Motors,'' IEEE Standard 112-2004, ``Test 
Procedure for Polyphase Induction Motors and Generators,'' and Canadian 
Standards Association (CAN/CSA) C747-94, ``Energy Efficiency Test 
Methods for Single- and Three-Phase Small Motors.'' \4\ All of these 
testing standards are industry-based test procedures that

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are well-known and commonly used by small electric motor manufacturers.
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    \4\ The IEEE Standards addressed in this notice are generally 
listed chronologically by their last date of revision and adoption 
rather than their sequential number.
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    On July 7, 2009, DOE published a final rule adopting test 
procedures for measuring the energy efficiency of small electric 
motors. 74 FR 32059. However, there were certain subsidiary issues 
raised in the December 2008 NOPR that required additional consideration 
before a final decision could be made on how to address them in light 
of comments received from interested parties. These issues are 
addressed in today's SNOPR.

II. Summary of Supplemental Notice of Proposed Rulemaking

    Today's SNOPR addresses and solicits comment on particular issues 
concerning definitions and test procedures for electric motors and 
small electric motors. DOE prepared this SNOPR to ensure clarity in the 
definitions and test procedures for electric motors and small electric 
motors and to address public comments received in response to the 
December NOPR.
    With respect to electric motors, DOE proposes to take four actions. 
First, DOE proposes to clarify definitions for the terms ``electric 
motor,'' ``fire pump motor,'' ``general purpose electric motor (subtype 
I),'' ``general purpose electric motor (subtype II),'' and ``NEMA 
Design B.'' In addition, DOE proposes to rename the term ``general 
purpose motor'' to be ``general purpose electric motor'' consistent 
with terminology used in the regulations. DOE believes that the 
proposed revisions to these terms will make the applicable test 
procedures contained in 10 CFR part 431 appropriate for this equipment 
while addressing comments from interested parties submitted in response 
to the December 2008 NOPR. Second, today's notice proposes to clarify 
the scope of existing and pending energy conservation standards for 
electric motors in 10 CFR 431.25. Third, DOE proposes to update the 
references to NIST Handbook 150-10, ``Efficiency of Electric Motors,'' 
and the associated NIST Handbook 150-10 Checklist, IEC standards 
documents, CAN/CSA C390, and NEMA MG1 throughout subpart B of 10 CFR 
part 431. Fourth, DOE proposes revisions to appendix A to subpart B, of 
10 CFR part 431, to maintain consistency with the Energy Independence 
and Security Act (EISA 2007) amendments to the electric motor scope of 
coverage, and to address acceptable bounds for shaft dimensions for 
covered general purposes electric motors.
    With respect to small electric motors, on July 7, 2009, DOE 
published a final rule that prescribed test procedures to measure the 
energy efficiency of small electric motors (July 2009 final rule). 74 
FR 32059. Today's SNOPR addresses three related matters that would 
clarify the scope of coverage and alleviate potential undue testing 
burdens.
    First, DOE proposes to define the represented efficiency value and 
average full load efficiency for small electric motors.
    Second, DOE proposes to include the following test procedures as 
alternative methodologies for measuring the energy efficiency of 
polyphase small electric motors: CAN/CSA C747 and CAN/CSA C390. DOE 
understands that both test methods are equivalent to IEEE Standard 112 
Test Methods A and B, respectively, which were adopted in the July 2009 
final rule. DOE is also updating existing references to CAN/CSA C747 to 
the latest version of the standard.
    Finally, DOE proposes a method to validate an alternative 
efficiency determination method (AEDM) for small electric motors, 
including the statistical requirements to substantiate the AEDM. While 
the AEDM was addressed in the December 2008 NOPR, comments to that 
notice indicated that the agency needed to provide additional 
clarification regarding how manufacturers should use the sample of 
basic models tested when validating their AEDMs. Today's notice 
clarifies that issue by proposing an approach based on the AEDM 
substantiation requirements for 1-200 horsepower electric motors.
    The proposed revisions are summarized in the table below and 
addressed in detail in the following section. Note that all citations 
to various sections of 10 CFR part 431 throughout this SNOPR preamble 
refer to the current version of 10 CFR part 431. The proposed 
regulatory text follows the preamble to this notice. DOE seeks comments 
from interested parties on each of the proposed revisions.

Table 1--Summary of Changes Proposed in This SNOPR and Affected Sections
                           of 10 CFR Part 431
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                                               Summary of Proposed
  Existing Section in 10 CFR Part 431             Modifications
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Section 431.11 of Subpart B--Purpose      Clarifies that subpart
 and Scope.                               B is applicable to ``electric
                                          motors,'' but not ``small
                                          electric motors.''
Section 431.12 of Subpart B--             Revises the
 Definitions.                             definitions of
                                          ``accreditation,'' ``definite
                                          purpose motor,'' ``general
                                          purpose electric motor
                                          (subtype I),'' ``general
                                          purpose electric motor
                                          (subtype II),'' and ``nominal
                                          full load efficiency.''
                                          Adds new definitions
                                          for ``electric motor,'' ``fire
                                          pump motor,'' ``general
                                          purpose electric motor,'' and
                                          ``NEMA Design B motor.''
                                          Removes definition of
                                          ``general purpose motor.''
Section 431.14 of Subpart B-- Sources     Removes sources for
 for information and guidance.            information and guidance from
                                          Section 431.15 and places it
                                          in new Section 431.14.
Section 431.15 of Subpart B--Materials    Updates reference to
 incorporated by reference.               CAN/CSA-C390.
                                          Updates references to
                                          IEC standards.
                                          Updates reference to
                                          IEEE 112.
                                          Updates reference to
                                          NEMA MG1.
Section 431.18 of Subpart B--Testing      Updates reference to
 Laboratories.                            NIST Handbook 150-10.
Section 431.19 of Subpart B--Department   Updates references to
 of Energy recognition of accreditation   IEEE 112 and CAN/CSA C390.
 bodies.
Section 431.20 of Subpart B--Department   Updates references to
 of Energy recognition of nationally      IEEE 112 and CAN/CSA-C390 for
 recognized certification programs.       electric motors.
Section 431.25 of Subpart B--Energy       Clarifies the scope of
 conservation standards and effective     efficiency standards in
 dates.                                   431.25(a) through (e).
                                          Inserts kilowatt
                                          equivalent power ratings in
                                          the efficiency standard
                                          tables.
Section 431.31 of Subpart B--Labeling     Updates reference to
 Requirements.                            NEMA MG1.
Appendix A to Subpart B--Policy           Revised for
 Statement for Electric Motors Covered    consistency with EISA 2007
 Under the Energy Policy and              amendments.
 Conservation Act.

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                                          Includes guidance
                                          regarding special shaft
                                          designs for motors.
Appendix B to Subpart B--Uniform Test     Updates references to
 Method for Measuring Nominal Full Load   NEMA MG1, IEEE 112, and CAN/
 Efficiency of Electric Motors.           CSA C390.
Section 431.441 of Subpart X--Purpose     Clarifies that subpart
 and Scope.                               X is applicable to ``small
                                          electric motors,'' but not
                                          ``electric motors.''
Section 431.443 of Subpart X--Materials   Updates reference to
 incorporated by reference.               CAN/CSA-C747.
                                          Adds reference to CSA-
                                          C390.
                                          Updates references to
                                          IEEE 112 and 114.
Section 431.444 of Subpart X--Test        Updates reference to
 procedures for measurement of energy     CAN/CSA-C747.
 efficiency.
                                          Adds reference to CAN/
                                          CSA-C390.
Section 431.445 of Subpart X--            Adds additional
 Determination of small electric motor    guidelines on use of a
 efficiency.                              certification program and
                                          references section 431.447 for
                                          small electric motors.
                                          Defines the
                                          represented efficiency value.
Section 431.447 of Subpart X--            Adds a section on
 Department of Energy recognition of      nationally recognized
 nationally recognized certification      certification programs for
 programs.                                small electric motors similar
                                          to section 431.20 for electric
                                          motors.
Section 431.448 of Subpart X--            Adds a section on
 Procedures for recognition and           procedures for recognition of
 withdrawal of recognition of             certification programs for
 certification programs.                  small electric motors similar
                                          to section 431.21 for electric
                                          motors.
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III. Discussion

A. Definition of Electric Motor

    Before the enactment of EISA 2007, section 340(13)(A) of EPCA, as 
amended, defined the term ``electric motor'' as ``any motor which is a 
general purpose T-frame, single-speed, foot-mounting, polyphase 
squirrel-cage induction motor of the National Electrical Manufacturers 
Association, Design A and B, continuous rated, operating on 230/460 
volts and constant 60 Hertz line power as defined in NEMA Standards 
Publication MG1-1987.'' Section 313(a)(2) of EISA 2007 struck that 
definition and established two subtypes: General purpose electric motor 
(subtype I) and general purpose electric motor (subtype II). (42 U.S.C. 
6311(13)) In addition, section 313(b)(2) of EISA 2007 established 
energy conservation standards for four types of motors: General purpose 
electric motor (subtype I) with a power rating of 1 to 200 horsepower; 
fire pump motors; general purpose electric motor (subtype II) with a 
power rating of 1 to 200 horsepower; and NEMA Design B, general purpose 
electric motors with a power rating of more than 200 horsepower to 500 
horsepower. (42 U.S.C. 6313(b)(2)) All of these standards apply to 
covered motors that are manufactured alone or as a component of another 
piece of equipment. The term ``electric motor'' (which frequently 
appears throughout EPCA, as amended by EISA, and various subparts of 10 
CFR part 431) was left undefined. Consequently, DOE expressed concern 
that the absence of a definition may cause confusion about which 
electric motors are required to comply with mandatory test procedures 
and energy conservation standards. 73 FR 78225.
    In the December 2008 NOPR, DOE proposed to clarify the EISA 
definition of ``electric motor'' to mean any of the following four 
types of motors: A general purpose electric motor (subtype I), a fire 
pump motor, a general purpose electric motor (subtype II), or a NEMA 
Design B general purpose electric motor. 73 FR 78225 and 78235. In 
DOE's view, applying the term ``electric motor'' in this manner would 
clarify that the test procedures prescribed for electric motors would 
equally apply to each of the four types of motors. 73 FR 78225.
    Whereas DOE proposed to separate (and define) the covered electric 
motors into four distinct and separate types, NEMA asserted that 
section 313(a)(2) of EISA 2007 categorized covered electric motors into 
two types: General purpose electric motor (subtype I) and general 
purpose electric motor (subtype II). Further, NEMA commented that under 
the DOE-proposed definition of electric motor, a NEMA Design B general 
purpose electric motor and a fire pump motor would be viewed as 
separate and apart from general purpose electric motor (subtype I), 
when in reality they are considered subsets of general purpose electric 
motors (subtype I). (NEMA, No. 12 at p. 7) \5\
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    \5\ Notations of this form appear throughout this document and 
identify statements made in written comments or at public hearings 
that DOE has received and has included in the docket for this 
rulemaking. For example, ``NEMA, No. 12 at p. 7'' refers to a 
comment: (1) From the National Electrical Manufacturers Association; 
(2) in document number 12 in the docket of this rulemaking; and (3) 
appearing on page 7 of the submission.
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    In view of the above and with the term ``electric motor'' as yet 
unclear, today's SNOPR proposes to clarify the term ``electric motor'' 
to mean ``a machine which converts electrical power into rotational 
mechanical power.'' Additionally, as discussed below, DOE is proposing 
to clarify what constitutes a ``general purpose electric motor (subtype 
I)'' by enumerating certain design and performance elements, and what 
constitutes a ``general purpose electric motor (subtype II)'' by 
explicitly drawing the distinction between a subtype I and subtype II.

B. Definition of General Purpose Electric Motors, Subtypes I and II

    EISA 2007 defines a general purpose electric motor (subtype I) as a 
motor that meets the definition of ``general purpose'' which was in 
effect at the time of enactment of EISA 2007. At that time, 10 CFR part 
431 did not contain a definition of ``general purpose,'' although the 
regulations did define ``general purpose motor'' as a motor designed in 
standard ratings with either:

    (1) Standard operating characteristics and standard mechanical 
construction for use under usual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.02, 
``Usual Service Conditions,'' and without restriction to a 
particular application or type of application; or
    (2) Standard operating characteristics or standard mechanical 
construction for use under unusual service conditions, such as those 
specified in NEMA Standards Publication MG1-1993, paragraph 14.03, 
``Unusual Service conditions,'' or for a particular type of 
application, and which can be used in most general purpose 
applications.


[[Page 652]]


64 FR 54142 (codified at 10 CFR 431.12).
    DOE subsequently adopted this definition of ``general purpose 
motor'' as the definition of ``general purpose electric motor (subtype 
I).'' 74 FR 12058, 12071 (March 23, 2009) (codified at 10 CFR 431.12) 
In the December 2008 NOPR, DOE did not propose any changes to the 
definition of ``general purpose electric motor (subtype I).''
    DOE also did not propose any changes to the definition of ``general 
purpose electric motor (subtype II)'' in the December 2008 NOPR because 
this term was defined in section 313(a)(2) of EISA 2007 and was 
incorporated without modification into 10 CFR 431.12. 74 FR 12071. The 
statute defines a subtype II general purpose motor as any motor 
incorporating the design elements of a general purpose electric motor 
(subtype I) configured as one of the following:
    (i) A U-frame motor;
    (ii) A Design C motor;
    (iii) A close-coupled pump motor;
    (iv) A footless motor;
    (v) A vertical solid shaft normal thrust motor (as tested in a 
horizontal configuration);
    (vi) An 8-pole motor (900 rpm); or
    (vii) A polyphase motor with voltage of not more than 600 volts 
(other than 230 or 460 volts).
(42 U.S.C. 6311(13)(B))
    In response to the December 2008 NOPR, NEMA and Baldor commented 
that Congress created confusion when it struck the EPAct 1992 
definition of electric motor from section 340(13)(A) of EPCA via 
section 313(a)(2) of EISA 2007 and subsequently inserted the terms 
``general purpose electric motor (subtype I)'' and ``general purpose 
electric motor (subtype II)'' under the umbrella heading ``Electric 
motor'' without further clarification. According to NEMA and Baldor, 
the DOE definition of general purpose electric motor (subtype I) does 
not provide the essential elements that would differentiate a general 
purpose electric motor (subtype II) from a general purpose electric 
motor (subtype I)--the subtype II characteristics described in the 
statute are also shared with subtype I motors. Consequently, NEMA 
requested that DOE clarify how it intends to distinguish between a 
general purpose electric motor (subtype I) and general purpose electric 
motor (subtype II), particularly because EISA 2007 prescribes different 
efficiency levels for subtype I and subtype II motors. Further, Baldor 
suggested that DOE restore the original [EPAct 1992] definition of 
electric motor, which was struck by the EISA 2007 amendment to EPCA, 
and from that [EPAct 1992] definition derive clear definitions to 
differentiate general purpose electric motor (subtype I) and (subtype 
II). (NEMA, No. 12 at p. 11; Baldor, Public Meeting Transcript, No. 8 
at 116-119)
    In addition, NEMA commented that section 313(a)(2) of EISA 2007 
defines a general purpose electric motor (subtype II) as one that 
incorporates the design elements of a subtype I general purpose 
electric motor and that is ``configured as 1 of several distinct 
configurations, such as ``Design C'' or ``U-Frame'' construction. 
(codified at 42 U.S.C. 6311(13)(A)-(B)). NEMA asked DOE to clarify how 
it would interpret the clause ``configured as 1 of'' in EISA 2007's 
definition of general purpose electric motor (subtype II). Otherwise, 
according to NEMA, it is possible that a general purpose motor could be 
configured in a manner that uses combinations of the various 
configurations specified by EISA 2007, that is, a Design C motor could 
be constructed in a U-frame. (NEMA, No. 12 at p. 11)
    In view of the above, DOE proposes first to clarify the definition 
of ``electric motor'' by describing what an electric motor is and what 
it does, rather than listing categories of covered electric motors. 
Second, DOE proposes to clarify the definition of ``general purpose 
electric motor (subtype I)'' by specifying certain design and 
performance elements. Third, DOE proposes to clarify the relationship 
between a general purpose electric motor subtype I and a general 
purpose electric motor subtype II.
    NEMA commented that the definition of ``general purpose electric 
motor (subtype I)'' in the December 2008 NOPR is confusing because the 
only identifying characteristic is that the motor is ``constructed for 
use in general purpose applications or can be used in most general 
purpose applications.'' Further, NEMA asserted that design 
characteristics (such as T-frame, single speed, foot-mounting, 
polyphase, squirrel-cage induction motor, Design A and B, continuous 
rated, operating on 230/460 volts or constant 60 Hertz line power, 
etc.), which were essential elements under the EPAct 1992 definition of 
``electric motor,'' are not included in the EISA 2007 definition. In 
addition, NEMA commented that when [in 1999] DOE originally codified 
regulations for electric motors into 10 CFR part 431, it determined 
that motors designed in accordance with IEC standards, and which could 
be used in the same general purpose applications as NEMA motors, be 
included as covered equipment. 61 FR 60442-43, 60449-50 (November 27, 
1996) and 64 FR 54131. Whereas the definition for ``general purpose 
electric motor (subtype I),'' proposed in the December 2008 NOPR, 
failed to include IEC motors of similar design and use, NEMA requested 
that DOE explicitly include equivalent IEC motors as covered equipment. 
(NEMA, No. 12 at pp. 9 and 11)
    In view of the above comments, DOE is proposing to clarify what 
constitutes a ``general purpose electric motor (subtype I)'' by 
referencing the enumerated design and performance elements under the 
definition of ``electric motor,'' set forth in EPCA, as amended by 
EPAct 1992 and codified in 10 CFR 431.2 (January 1, 2000). DOE would 
also include references to IEC standards to clarify that IEC-equivalent 
electric motors are subject to energy conservation standards. DOE 
requests comment on the following proposed definition for ``general 
purpose electric motor (subtype I)'':
General purpose electric motor (subtype I) means a general purpose 
electric motor that:
    (1) Is a single-speed induction motor (MG1);
    (2) Is rated for continuous duty (MG1) operation or for duty type 
S1 (IEC);
    (3) Contains a squirrel-cage (MG1) or cage (IEC) rotor;
    (4) Has foot-mounting that may include foot-mounting with flanges 
or detachable feet;
    (5) Is built in accordance with NEMA T-frame dimensions (MG1) or 
their IEC metric equivalents (IEC);
    (6) Has performance in accordance with NEMA Design A (MG1) or B 
characteristics or equivalent designs such as IEC Design N (IEC);
    (7) Operates on polyphase alternating current 60-hertz sinusoidal 
power, and:
    (i) Is rated 230 or 460 volts (or both) including motors rated at 
multiple voltages that include 230 or 460 volts (or both), or
    (ii) Can be operated on 230 or 460 volts (or both); and
    (8) Includes, but is not limited to, explosion-proof construction.
    Terms in this definition followed by the parenthetical ``MG1'' must 
be construed with reference to provisions in NEMA Standards Publication 
MG1-2009 and elements followed by the parenthetical ``IEC'' must be 
construed with reference to the IEC Standards. 10 CFR part 431, subpart 
B applies to general purpose electric motors (subtype I) even if the 
NEMA or IEC-equivalent frame size or design element has been 
discontinued or is discontinued in the future.
    To be consistent with the proposed definition of ``electric motor'' 
and corresponding use of the term ``general

[[Page 653]]

purpose electric motor'' in the definition of ``general purpose 
electric motor (subtype I),'' DOE proposes to amend the definition of 
``general purpose motor'' in 10 CFR 431.12 by adding the word 
``electric'' in front of the word ``motor'' to clarify that a general 
purpose motor is a type of electric motor. Furthermore, DOE proposes to 
update references to NEMA MG1, from NEMA MG1-1993 to NEMA MG1-2009 in 
this definition.
    DOE distinguishes between a general purpose electric motor subtype 
I and subtype II based on whether the motor is configured to have one 
or more of the design or performance elements listed in the definition 
of general purpose electric motor (subtype II) at 42 U.S.C. 
6311(13)(B). For example, a subtype I motor could be built in 
accordance with NEMA T-frame dimensions and could have the performance 
characteristics of a NEMA Design A motor. In contrast, a motor built 
with all of the same design elements as the above mentioned motor but 
with the performance characteristics of a NEMA Design C motor would be 
a subtype II motor. To clarify this interpretation of the statutory 
definition of ``general purpose electric motor (subtype I),'' DOE 
proposes to modify the introductory text of the definition to read, 
``means any general purpose electric motor that incorporates design 
elements of a general purpose electric motor (subtype I) but, unlike a 
general purpose electric motor (subtype I), is configured in one or 
more of the following ways.'' For clarification, DOE is also proposing 
to add references to MG1 and IEC standards in the definition of 
``general purpose electric motor (subtype II)'' to clarify the terms 
``U-frame,'' ``NEMA Design C,'' and ``vertical solid shaft normal 
thrust motor.''
    Finally, DOE has received inquiries regarding whether motors 
designed in accordance with IEC standards are covered motors under 
EPCA, as amended by EISA, if there is no longer a NEMA MG1-equivalent 
design standard. Specifically, manufacturers are requesting guidance as 
to whether IEC 100 millimeter frame motors are covered motors under 
EPCA, as amended by EISA 2007, because the equivalent NEMA 160 frame 
size was discontinued as a standard NEMA frame. Before EISA 2007 was 
enacted, DOE addressed this question in the 1996 electric motors test 
procedure NOPR. 61 FR 60440, 60443 (November 27, 1996). At that time, 
DOE considered whether the proposed scenario was covered under the 
then-current definition of ``electric motor.'' \6\ The Department 
tentatively decided that the IEC 100 millimeter frame motor was not 
covered by EPCA because the ``electric motor'' definition required the 
motor to be a T-frame motor as defined in NEMA MG1-1987, but the NEMA 
T-frame motor that was equivalent to an IEC 100 millimeter frame motor 
had been discontinued.
---------------------------------------------------------------------------

    \6\ Section 340(13)(A) of EPCA, as amended, defined the term 
``electric motor'' as ``any motor which is a general purpose T-
frame, single-speed, foot-mounting, polyphase squirrel-cage 
induction motor of the National Electrical Manufacturers 
Association, Design A and B, continuous rated, operating on 230/460 
volts and constant 60 Hertz line power as defined in NEMA Standards 
Publication MG1-1987.''
---------------------------------------------------------------------------

    DOE has reassessed this previous preliminary determination in light 
of the EISA 2007 amendment that struck the definition of ``electric 
motor'' relied upon in the above analysis, and today's proposal to 
include references to IEC standards to clarify that IEC-equivalent 
electric motors are subject to energy conservation standards. Upon 
reconsideration of the issue, DOE proposes that IEC 100 millimeter 
frame motors, and other electric motors built to IEC standards, that 
otherwise meet the proposed definition of ``general purpose electric 
motor (subtype I)'' are covered motors under EPCA, even though the 
NEMA-equivalent frame size has been discontinued.

C. Definition of NEMA Design B Motor

    In the December 2008 NOPR, DOE proposed to adopt a definition for 
the term ``NEMA Design B, general purpose electric motor.'' 73 FR 
78235. This definition was based on the definition of general purpose 
electric motor in paragraph 1.19.1.2, ``Design B,'' of NEMA MG1-2006 
Revision 1, with three changes. First the proposed definition removed 
the reference to 50 hertz and corresponding performance characteristics 
because the EISA 2007-prescribed efficiency standards for ``NEMA Design 
B, general purpose electric motors'' at 42 U.S.C. 6313(b)(2)(D) cover 
only 60-hertz motors. (See NEMA MG-1 (2006) Table 12-11) Second, it 
limited the maximum rated slip at rated load to less than 5 percent for 
motors with fewer than 10 poles, because the EISA 2007-prescribed 
energy conservation standards only cover 2-, 4-, 6-, and 8-pole motors 
and, according to the footnote to MG1-2006 paragraph 1.19.1.2, motors 
with 10 or more poles are permitted to have slip slightly greater than 
5 percent. Third, it corrected the referenced 60-hertz locked-rotor 
current paragraph from 12.35.3 to 12.35.1, because there is no 
paragraph12.35.3 in MG1-2006 and the table under paragraph 12.35.1 
contains the maximum currents associated with a locked rotor.
    Several interested parties expressed concern over DOE's proposed 
definition for a NEMA Design B, general purpose electric motor. NEMA 
and Baldor urged DOE not to change the NEMA MG1 definition of Design B 
where it refers to MG1-12.35.[2] for 50 hertz, stating that the 
industry definition has existed for many years and should be 
maintained, and that EISA 2007 does not explicitly limit coverage to 60 
hertz. (Baldor, Public Meeting Transcript, No. 8 at p. 159, NEMA, No. 
12 at p. 10) NEMA also noted that Table 12-11 of NEMA MG1 (the 
applicable efficiency standards for NEMA Design B, general purpose 
electric motors) applies both to 60-hertz and 50-hertz rated motors. In 
sum, NEMA requested that DOE incorporate the definition of NEMA Design 
B, general purpose electric motor from NEMA MG1-2006 in its entirety 
and refer to paragraph 1.19.1.2 of NEMA MG1-2006. Notwithstanding this 
request, NEMA asserts that it is not condoning the inclusion of 
efficiency standards for 50-hertz motors in 10 CFR part 431. NEMA also 
commented that even though NEMA Design B motors are a subset of general 
purpose electric motor (subtype I), if DOE deems it necessary, NEMA 
would support adding a separate definition for NEMA Design B general 
purpose electric motor in Sec.  431.12, as long as it was clearly 
classified as a general purpose electric motor (subtype I) with some 
specific characteristics. (NEMA, No. 12 at p. 10)
    In addition, the Northwest Energy Efficiency Alliance (NEEA) agreed 
that it could see no benefit to making changes to an industry-wide and 
well-accepted definition for a NEMA Design B general purpose motor that 
includes 50-hertz motors and energy efficiency levels for 8-pole 
motors. NEEA recommended that DOE adopt the NEMA MG1 1.19.1.2 
definition without amending it. (NEEA, No. 10 at pp. 2-3)
    In response, due to the NEMA MG1 technical error in referencing 
section 12.35.3 for 60 Hz motors, DOE cannot simply adopt or reference 
the NEMA MG1 1.19.1.2 definition for Design B without any amendments, 
as suggested by NEMA and NEEA. Furthermore, it is common and within 
DOE's authority to adopt a long-standing industry definition and adapt 
the definition to make it more precise for regulatory purposes.
    Therefore, DOE intends to adopt a definition of NEMA Design B motor 
that includes corrections to the reference to section 12.35.1 of MG1. 
In addition, for consistency with the footnote to the definition in 
NEMA MG1-2009, DOE intends to maintain the limitation that the maximum 
rated slip at rated load to

[[Page 654]]

less than 5 percent for only motors with fewer than 10 poles. DOE 
agrees with commenters that there is limited benefit to constraining 
the definition of NEMA Design B to only 60-hertz motors. Though DOE's 
proposed definitions of general purpose electric motor (subtype I) and 
(subtype II) limit those regulations to 60-hertz motors, DOE could 
consider expanding energy conservation standards to 50-hertz motors in 
the future. Including provisions for 50-hertz motors would maintain 
consistency with the industry definition and preserve DOE's flexibility 
to regulate electric motors covered under EPCA. In addition, DOE 
believes that it is inaccurate and inconsistent with industry practice 
to narrowly categorize NEMA Design B motors as only a subset of general 
purpose electric motor (subtype I). It is DOE's understanding that NEMA 
Design B motors can also fall under the category of general purpose 
electric motor (subtype II) (e.g., a footless NEMA Design B motor), or 
other type of electric motor.
    For all of these reasons, DOE proposes to adopt a broad definition 
of a NEMA Design B motor similar to that which was proposed for ``NEMA 
Design B, general purpose electric motor'' in the December 2008 NOPR 
with three revisions. First, DOE proposes to include provisions 
regarding 50 hertz motors. Second, DOE intends to modify the proposal 
to update the reference to ``NEMA MG1-2006'' to ``NEMA MG1-2009.'' 
Third, DOE proposes to eliminate any reference to NEMA Design B motors 
necessarily being general purpose electric motors.

D. Fire Pump Motors Definition

    EPCA section 342(b), as amended by section 313(b)(1)(B) of EISA 
2007 (Pub. L. 110-140), prescribes energy efficiency standards for fire 
pump motors, which were subsequently codified at 10 CFR 431.25(d). 74 
FR 12072. However, section 340(13) of EPCA, as amended by EISA 2007, 
does not define the term ``fire pump motor.'' DOE proposed a definition 
for fire pump motors in its December 2008 NOPR to mean ``a Design B 
polyphase motor, as defined in NEMA MG1-2006, rated 500 horsepower (373 
kW) or less, 600 volts or less, and that is intended for use in 
accordance with the National Fire Protection Association (NFPA) 
Standard 20-2007, `Standard for the Installation of Stationary Pumps 
for Fire Protection.' '' 73 FR 78235. In the NOPR, DOE based the 
definition primarily on the scope of the Underwriters Laboratories (UL) 
Standard 1004A-2001, ``Fire Pump Motors,'' and NFPA Standard 20-2007. 
Further, DOE proposed to make two modifications to the definition by 
inserting a publication date for the cited NFPA standard and correcting 
the title of NFPA Standard 20.
    In response to the NOPR, NEMA raised concerns that fire pump motors 
should not be required to meet any efficiency standards because they 
are expected to operate on an emergency basis for a relatively short 
time with virtually no opportunity to save a significant amount of 
energy. Further, NEMA asserted that motors identified as ``fire pump 
motors'' are recognized by the industry as both EPAct 1992 electric 
motors or EISA 2007 general purpose electric motors (subtype I) and, 
therefore, should not be listed as a separate motor type under the 
electric motor definition as proposed in the December 2008 NOPR. 
Notwithstanding this argument, NEMA supports DOE adding the definition 
of ``fire pump motor'' to 10 CFR 431.12, provided that it is 
characterized as being a ``general purpose electric motor (subtype I)'' 
with some specific characteristics. (NEMA, No. 12 at pp. 8-9) 
Additionally, NEMA noted that the UL Standard 1004A-2001, ``Fire Pump 
Motors,'' has been replaced by UL Standard 1004-5 (2008), and that DOE 
should reference the newest standard if it is necessary to define a 
fire pump motor. (NEMA, No. 12 at pp. 8-9)
    Similarly, other attendees at the January 29, 2009, public meeting 
questioned the proposed definition and scope of coverage for fire pump 
motors. (Baldor, Public Meeting Transcript, No. 8 at pp. 112-113, 116-
119, 133-136)
    DOE examined UL Standard 1004-5 (2008), including paragraph 1.2, 
which reads as follows: ``Standard covers Design B polyphase motors, as 
defined in NEMA MG 1, Motors and Generators, rated 500 horsepower (373 
kW) or less, 600 volts or less, that are intended for use in accordance 
with NFPA 20, the Standard for the Installation of Centrifugal Fire 
Pumps.'' DOE then compared UL Standard 1004-5 (2008) with the 
comparable text in UL Standard 1004A-2001, which contains virtually 
identical language and concludes that the documents share the same 
scope of coverage. In today's SNOPR, DOE proposes to further clarify 
that a fire pump motor is an electric motor that is required to meet 
certain safety and performance requirements set forth by NFPA Standard 
20-2010, section 9.5, and UL Standard 1004-5 (2008).
    However, similar to DOE's above proposal to adopt a broad 
definition for a NEMA Design B motor, DOE does not agree that fire pump 
motors are necessarily a subset of general purpose electric motors 
(subtype I) or general purpose electric motors (as defined in this 
SNOPR). It is DOE's understanding that all fire pump motors, 
irrespective of whether they are considered general purpose or meet the 
design constraints of general purpose electric motor (subtype I), would 
be subject to energy conservation standards. For all of these reasons, 
in today's SNOPR DOE proposes to define a fire pump motor as an 
electric motor that is required to meet the performance and 
construction requirements set forth by NFPA Standard 20-2010, section 
9.5, and UL Standard 1004-5 (2008).

E. Fire Pump Motor Coverage

    Section 313(b)(1)(B) of EISA 2007 amends EPCA section 342(b), to 
prescribe energy conservation standards for fire pump motors by 
referring to NEMA MG 1-2006 Table 12-11. That provision reads as 
follows:
    (B) FIRE PUMP MOTORS--Each fire pump motor manufactured (alone or 
as a component of another piece of equipment) after the 3-year period 
beginning on the date of enactment of the Energy Independence and 
Security Act of 2007 shall have nominal full load efficiency that is 
not less than as defined in NEMA MG-1 (2006) Table 12-11.
    (42 U.S.C. 6313(b)(2)(B))
    On March 23, 2009, DOE published a technical amendment to 10 CFR 
part 431 to adopt the energy conservation standards for fire pump 
motors prescribed by EISA 2007. 74 FR 12058, 12072. The technical 
amendment codified the energy conservation standards for fire pump 
motors, contained in Table 12-11 of NEMA Standards Publication MG1-2006 
(and Revision 1 to MG1-2006) which contains energy efficiency values 
from 1 through 500 horsepower and covers 2-pole, 4-pole, 6-pole, and 8-
pole, open and enclosed fire pump motors. 74 FR 12061, 12072.
    During the January 29, 2009, public meeting there appeared to be 
some confusion over whether the covered range of horsepowers for fire 
pump motors is 1-200 horsepower or 1-500 horsepower. (GE, Public 
Meeting Transcript, No. 8 at p. 147; Navigant Consulting, Public 
Meeting Transcript, No. 8 at pp. 147-148; WEG, Public Meeting 
Transcript, No. 8 at pp. 148-149; NEMA, No. 12 at pp. 8-9; NEEA, No. 10 
at p. 2). Further, Baldor alluded to an excerpt of the language under 
EPCA section 342(b), as amended by section 313(b)(1)(B) of EISA 2007, 
which provides ``GENERAL PURPOSE

[[Page 655]]

ELECTRIC MOTORS (SUBTYPE I).--Except as provided in subparagraph (B), 
each general purpose electric motor (subtype I) with a power rating of 
1 horsepower or greater, but not greater than 200 horsepower.'' (42 
U.S.C. 6313(b)(2)(A)) Baldor opined that whether a fire pump motor 
covered under 42 U.S.C. 6313(b)(2)(B) was limited to the same 1-200 
horsepower range as a general purpose electric motor (subtype I) was a 
matter of statutory interpretation. (Baldor, Public Meeting Transcript, 
No. 8 at pp. 112-113,145, 149-50).
    DOE understands that EISA 2007 section 313(b)(1)(A) sets energy 
conservation standards for general purpose electric motors (subtype I) 
with a rating of 1 through 200 horsepower and clearly excepts fire pump 
motors from this subsection. (42 U.S.C. 6313(b)(2)(A)) EISA 2007 
section 313(b)(1)(B), which prescribes energy conservation standards 
for fire pump motors, does not, however, explicitly limit the standard 
based on a motor's horsepower rating. (42 U.S.C. 6313(b)(2)(B)) 
Instead, fire pump motor manufacturers are required to meet the 
requirements of NEMA Standard MG1-2006 Table 12-11, which covers 1 
through 500 horsepower motors. (42 U.S.C. 6313(b)(2)(B)) Consequently, 
DOE continues to believe that energy conservation standards DOE 
promulgated in its March 23, 2009, technical amendment are the logical 
result of provisions set forth in EISA section 313(b)(1)(B) and cannot 
be construed as being a subset of subsection EISA section 313(b)(1)(A) 
or subject to any constraints contained in subparagraph (A), including 
horsepower rating constraints. DOE, therefore, proposes in today's 
SNOPR that fire pump motor energy conservation standards apply to fire 
pump motors rated 1 through 500 horsepower.

F. Energy Conservation Standards for Electric Motors

    In addition to the above comments submitted about the definitions 
for ``electric motor,'' ``general purpose electric motor (subtype I),'' 
``general purpose electric motor (subtype II),'' ``NEMA Design B 
motor,'' and ``fire pump motor,'' commenters also submitted comments 
(shown below) requesting clarification of the tables of electric motor 
efficiency standards in 10 CFR 431.25.
    DOE's current regulations require manufacturers of ``electric 
motors'' to comply with the energy efficiency levels in 10 CFR 
431.25(a), which were prescribed by EPAct in 1992, but do not specify a 
sunset date. Section 313(b) of EISA 2007 amended EPCA to prescribe 
energy conservation standards for general purpose electric motors 
(subtype I and subtype II), with a compliance date of December 19, 
2010. (42 U.S.C. 6313(b)(2)) These standards, and the compliance date, 
were subsequently codified at 10 CFR 431.25(c) and (e) respectively. 
Because EPAct does not specify an apparent terminus for the 1992 
efficiency levels, NEMA argued that this was potentially confusing for 
manufacturers to decide which provisions apply--the EPAct 1992 levels 
or the EISA 2007 levels. Consequently, NEMA requested guidance on the 
proper energy conservation standards for general purpose electric 
motors (subtype I). (NEMA, No. 12 at p. 9) To address this issue, DOE 
proposes to delete 10 CFR 431.25(a) to clarify that the standards in 
this section no longer apply.
    In view of the above statutory history and relationship of EPCA to 
EPAct 1992 and to EISA 2007, DOE believes that the electric motor 
standards prescribed by EPAct 1992 apply only to general purpose 
electric motors (subtype I). DOE proposes that electric motors covered 
under EPAct 1992 (general purpose electric motor (subtype I)), which 
are manufactured or imported prior to December 19, 2010, were subject 
to the EPAct 1992 energy conservation standards codified at 10 CFR 
431.25(a). Further, DOE proposes that a general purpose electric motor 
(subtype I) that is manufactured or imported on or after December 19, 
2010, is subject to the EISA 2007 energy conservation standards that 
are codified at 10 CFR 431.25(c).
    In addition, in the December 2008 NOPR, DOE did not explicitly 
state that a NEMA Design B general purpose electric motors that 
otherwise meets the definition of a general purpose electric motors 
(subtype I) is subject to the EISA 2007 energy conservation standards 
that are codified at 10 CFR 431.25(c) NEMA expressed concern in 
responding to the December 2008 NOPR that given the proposed 
definitions and structure of 10 CFR 431.25, NEMA Design B general 
purpose electric motors rated 1 horsepower or greater, but not greater 
than 200 horsepower, would appear to remain at the levels established 
by EPAct 1992 (codified at 10 CFR 431.25(a)).
    To clarify the scope of energy conservation standards for NEMA 
Design B motors from 1 through 200 horsepower, DOE proposes two 
modifications of 10 CFR 431.25. First, because general purpose electric 
motors (subtype I) include certain NEMA Design B motors, DOE proposes 
to specify that NEMA Design B motors, rated 1 through 200 horsepower, 
that are also general purpose electric motors (subtype I), are subject 
to energy conservations standards in 10 CFR 431.25(c). Second, and 
similarly, as general purpose electric motors (subtype II) include 
certain NEMA Design B motors (e.g., footless motors), DOE proposes to 
specify that NEMA Design B motors, rated 1 through 200 horsepower, that 
are also general purpose electric motors (subtype II), are subject to 
energy conservation standards in 10 CFR 431.25(e).
    EISA 2007 also established energy conservations standards for 
``NEMA Design B, general purpose electric motors'' rated greater than 
200 horsepower but less than or equal to 500 horsepower, which were 
later codified into the current version of 10 CFR 431.25(f). NEMA 
asserts that the motor industry recognizes a ``NEMA Design B, general 
purpose electric motor'' as a specific group of motors that fit the 
definition of either ``electric motor'' from EPAct 1992 or ``general 
purpose electric motor (subtype I)'' from EISA 2007.
    DOE notes that EISA 2007 did not define ``NEMA Design B, general 
purpose electric motor,'' ``NEMA Design B motor,'' or ``general purpose 
electric motor.'' In the absence of any statutory definition, DOE views 
the regulatory definition of ``general purpose motor'' that was in 
place on EISA2007's enactment date as the proper definition for 
``general purpose electric motor'' as used in the term ``NEMA Design B, 
general purpose electric motor.'' The ``general purpose motor'' 
definition in place at the time of EISA's enactment is the same as the 
``general purpose electric motor'' definition proposed today, with 
minor differences for standards updates. DOE proposes that this 
definition, read in conjunction with the definition of ``NEMA Design 
B'' proposed in today's SNOPR, delineates the motors regulated under 10 
CFR 431.25(f). DOE realizes that this interpretation could potentially 
include NEMA Design B motors that are general purpose electric motors 
that do not meet the proposed definition of ``general purpose electric 
motor (subtype I)'' or ``general purpose electric motor (subtype II).'' 
It is DOE's understanding, however, that there are few, if any, NEMA 
Design B motors that would be neither a subtype I or subtype II general 
purpose electric motor. DOE requests comment on this specific issue. 
Based on these comments and any additional information collected, DOE 
may revise this proposed approach.
    NEMA also noted that the energy efficiency standards tables 
contained in 10 CFR 431.25(c)-(f) list motor ratings

[[Page 656]]

in horsepower but not equivalent kilowatts. NEMA requested that DOE 
include kilowatt power ratings in the newly codified tables that 
promulgate the EISA 2007 efficiency standards. (NEMA, No. 12 at p. 9) 
Without this change, NEMA raised concerns that metric-rated motors 
would not be covered. To ensure that the tables under 10 CFR 431.25(c)-
(f) apply to metric-rated, kilowatt-equivalent motors, DOE proposes to 
amend the tables to provide an equivalent kilowatt rating for each 
horsepower. Although the EISA 2007 definition for general purpose 
electric motor (subtype I and subtype II) does not specifically mention 
motors rated in kilowatts, as motors are rated under (IEC) standards, 
DOE believes that the statute covers IEC motors that are identical or 
equivalent to motors included in the statutory definition. DOE 
understands that IEC motors generally can perform the identical 
functions of EISA-covered electric motors. Comparable motors of both 
types provide virtually identical amounts of rotational mechanical 
power, and generally can operate or provide power for the same pieces 
of machinery or equipment. A given industrial central air conditioner, 
for example, could operate with either an IEC or NEMA motor with little 
or no effect on performance. Providing equivalent kilowatt/horsepower 
ratings would be consistent with the EPAct 1992 levels that are 
codified at 10 CFR 431.25(a), and would clarify the applicability of 
these standards levels.
    Finally, DOE proposes to clarify in 10 CFR 431.11 that the electric 
motors covered under subpart B are not small electric motors. DOE 
believes that this clarification is necessary because electric motors 
(covered under 10 CFR part 431, subpart B) and small electric motors 
(covered under 10 CFR part 431, subpart X) are separate and unique 
covered equipment with particular regulatory requirements.

G. References to International Electrotechnical Commission, National 
Electrical Manufacturers Association, Institute of Electrical and 
Electronics Engineers, and Canadian Standards Association Standards for 
Electric Motors

    After EISA 2007 struck and replaced the definition of electric 
motor under 42 U.S.C. 6311(13), DOE subsequently proposed in the 
December 2008 NOPR to remove the corresponding test standards 
incorporated by reference under 10 CFR 431.15. These test standards 
helped clarify critical elements in the definition of electric motor 
under 10 CFR 431.12. 73 FR 78227. The standards incorporated by 
reference included IEC Standards 60034-1 (1996), 60050-411 (1996), 
60072-1 (1991), and 60034-12 (1980).
    NEMA commented that when DOE adopted the content of EPAct 1992 into 
10 CFR part 431, it recognized the necessity of including equivalent 
motors designed in accordance with IEC standards that could be used in 
the same applications as motors designed in accordance with NEMA MG1 
standards. Although the IEC standards do not particularly identify 
``general purpose motors,'' motors built according to IEC 
specifications can be used interchangeably with NEMA motors in most 
general purpose applications. Because of this fact, NEMA argued that 
the applicable IEC standards should be retained in 10 CFR part 431, and 
that motors constructed in accordance with those standards in metric-
equivalent ratings should be considered as covered equipment under 10 
CFR part 431. (NEMA, No. 10 at p. 10)
    DOE previously took such an approach when addressing IEC metric 
motors in the final test procedure rule for electric motors at 64 FR 
54142 (October 5, 1999). The inclusion of parenthetical references to 
the IEC standards in the codified definition of ``electric motor'' 
under 10 CFR 431.2 (2000) clarified the applicability and coverage of 
IEC (i.e. metric-equivalent) electric motors. For example, under the 
EPAct 1992 definition of ``electric motor,'' a motor had to be 
``continuous rated.'' DOE later clarified ``continuous rated'' in 10 
CFR 431.2 (2000) to mean ``is rated for continuous duty (MG1) 
operation, or is rated duty type S1 (IEC).'' Although the then-
statutory definition did not explicitly mention IEC motors, DOE 
proposed that the term ``continuous rated'' apply to those electric 
motors that are equivalent to the ``continuous duty operation'' rating 
denoted by the parenthetical ``MG1'' or the equivalent IEC duty type 
``S1.'' (See 61 FR 60440, 60442 (November 27, 1996) where it states 
that ``[A]lthough the statutory definition of `electric motor' does not 
specifically mention IEC motors, the Department believes that the Act 
covers IEC motors that are identical or equivalent to motors included 
in the statutory definition.'') DOE later codified this approach at 10 
CFR 431.2. 64 FR 54143 (October 5, 1999).
    DOE believes that EISA 2007 provides the same breadth of coverage 
over IEC motors that are identical or equivalent to electric motors 
built in accordance with MG1. As discussed earlier in this SNOPR, DOE 
is proposing a revised definition of ``general purpose electric motor 
(subtype I)'' and ``general purpose electric motor (subtype II)'' which 
would incorporate IEC-equivalent motors. Thus, DOE proposes to maintain 
IEC standards incorporated by reference in 10 CFR 431.15. In addition, 
DOE proposes to adopt the updated versions of two of the IEC standards, 
IEC Standards 60034-1 and 60034-12, to the 2004 and 2007 versions, 
respectively.
    NEMA also notes that a source to obtain IEC standards does not 
appear in 10 CFR 431.15(d). (NEMA, No. 10 at p. 10) In response to 
NEMA's comment, DOE proposes to reorganize and update 10 CFR 431.15 to 
include each standard incorporated by reference with corresponding 
updated information about how to obtain copies of these documents.
    In addition, DOE notes that several electric motor definitions and 
sections of 10 CFR part 431 reference outdated standards, such as NEMA 
MG1-1993, IEEE 112-1996 Test Method B, CAN/CSA C390-93 (Test Method 1). 
In this SNOPR, DOE proposes to update the following references 
throughout 10 CFR part 431 to be consistent with current industry 
standards: NEMA MG1-2009, IEEE 112-2004 Test Method B, and CAN/CSA 
C390-10. DOE believes that the exceptions to IEEE 112-1996 Test Method 
B contained in paragraph (2) of appendix B to subpart B, 2. Test 
Procedures, are contained in the updated version of IEEE 112-2004 Test 
Method B, although DOE accepts comments on this assessment. DOE does 
not believe that the updated standards and test procedures will 
adversely affect the measured losses and determined efficiency of an 
electric motor, nor significantly change the meaning of a definition. 
Finally, NEMA recently provided comments on the electric motors 
framework document indicating that while the test data collection 
methods for the updated versions of IEEE 112-2004 Test Method B and 
CAN/CSA 390-10 are the same, there are differences in the methods in 
which the efficiency is determined from the data.\7\ (NEMA, No. 0013 at 
p. 2) DOE requests comment on this issue.
---------------------------------------------------------------------------

    \7\ The written comments cited in this paragraph were submitted 
to the docket of the energy conservation standards rulemaking for 
electric motors (refer to http://www.regulations.gov, Docket No. 
EERE-2010-BT-STD-0027; RIN number 1904-AC28).
---------------------------------------------------------------------------

H. National Institute of Standards and Technology/National Voluntary 
Laboratory Accreditation Program Handbook 150-10 Update and Checklist

    In the December 2008 NOPR, DOE proposed updating the current 
reference to the 1995 edition of the NIST

[[Page 657]]

Handbook 150-10 to the 2007 edition. 73 FR 78228. Although following 
the NIST/NVLAP Handbook is not a required part of the electric motors 
test procedure, the Handbook provides important guidance for assuring 
testing laboratory competency and is used by test facilities seeking 
accreditation under 10 CFR 431.18, 431.19, and 431.36(a)(2).
    At the January 30, 2009, public meeting, Baldor Electric expressed 
concern that an update to NIST/NVLAP Handbook 150-10 could be 
problematic because it refers to test methods that are different from 
the updated test methods proposed by DOE. For example, the NIST/NVLAP 
Handbook 150-10 refers to proficiency in IEEE 112-1996 Test Method B 
and CSA C390-93 Test Method 1 to become an accredited laboratory. 
(Baldor, Public Meeting Transcript, No. 8 at p. 178) Because these 
industry test methods have been revised, DOE proposed to update 10 CFR 
431.16, appendix A to subpart B, and 10 CFR 431.15 to be consistent 
with current industry practice. 73 FR 78228. Also, DOE proposed that 
NIST review this matter and consider updating the industry test methods 
referenced in its NIST/NVLAP Handbook 150-10.
    Subsequently, NIST reviewed its Handbook 150-10 and issued a formal 
Laboratory Bulletin on March 19, 2009 (Lab Bulletin LB-42-2009) about 
the Efficiency of Electric Motors Program. The Lab Bulletin made a 
series of updates and corrections. Although NIST did not update its 
references to CSA C390-93 Test Method 1, DOE and NIST have evaluated 
the differences between the 1993 version and the updated version of the 
Canadian standard and have initially determined that there is no 
substantive difference between the two standards that would result in a 
significant change in measured efficiency. Therefore, DOE is proposing 
to adopt NIST/NVLAP Handbook 150-10 that references IEEE 112-2004 
(November 2001), CSA C390-10 (March 2010), and NEMA MG1-2009 (April 
2009).
    A second issue relating to NIST/NVLAP Handbook 150-10 was raised 
both at the January 30, 2009 public meeting and in subsequent written 
comments. Baldor commented that while the NIST/NVLAP 150-10 Handbook is 
available online, Baldor has had difficulty locating the current 
checklist, formerly in the 1995 version of the handbook, which 
systematically lists the laboratory testing requirements and the 
applicable test procedures. Further, the 2007 edition of the handbook 
does not address the test procedure used for accrediting a laboratory. 
(Baldor, Public Meeting Transcript, No. 8 at pp. 166-167) NEMA 
commented that it found a ``significant difference'' between the 1995 
and 2007 editions of the NIST/NVLAP Handbook 150-10. NEMA noted that 
the 1995 edition provides (1) information on the required accuracy of 
the test equipment, (2) details of the test procedure to be used for 
testing induction motors, and (3) a checklist for the purpose of 
evaluating the test facility. NEMA expressed concern that the 2007 
edition does not contain that technical information. NEMA noted that 
according to clause 1.6.2 of NIST/NVLAP Handbook 150-10 (2007), all 
NVLAP programs use a NIST Handbook 150 Checklist, but the document is 
not easily found on the NIST Web site at http://www.nist.gov/index.html. NEMA commented that DOE should not reference the 2007 
edition of NIST/NVLAP Handbook 150-10 until the NIST/NVLAP Handbook 
150-10 Checklist is available to the public and DOE has examined it to 
be certain it contains the same information about the accuracy of test 
equipment and the procedure for testing that is in the 1995 edition. 
NEMA requests that if DOE finds the checklist to be a proper substitute 
for the provisions in the 1995 edition, then DOE should update 10 CFR 
431.15(e)(2)(i) to refer to the 2007 edition of NIST/NVLAP Handbook 
150-10 and add the 2007 Checklist 150-10 to the list of documents 
incorporated by reference. (NEMA, No. 12 at pp. 11-12)
    DOE consulted with NIST on this matter and learned that the NIST/
NVLAP Handbook 150-10 (2007) Checklist is available on the NIST Web 
site at: http://ts.nist.gov/Standards/Accreditation/upload/NIST_HB_150_10_Checklist.pdf. Although there are minor differences between 
the 1995 and 2007 Checklists, DOE is satisfied with the rigor and 
requirements presented in the 2007 Checklist, which NIST has 
established as the requirements for accreditation of a laboratory under 
NIST/NVLAP Handbook 150-10. However, DOE does not agree with NEMA's 
recommendation to incorporate by reference the NIST/NVLAP Handbook 150-
10 (2007) checklist into 10 CFR 431.15(e). The checklist is not a 
requirement of the test procedure itself, but rather a document used to 
accredit a testing facility as being capable of conducting the 
necessary tests for evaluating the energy efficiency of an electric 
motor. Finally, while DOE is aware that the 2007 version of the 
checklist references IEEE 112-1996 and MG1-1993, DOE considers these 
referenced documents to be updated by NIST Lab Bulletin LB-42-2009, 
issued on March 19, 2009. DOE has also asked NIST to further update the 
referenced standards to include IEEE 112-2004, CSA C390-10, and NEMA 
MG1-2009.

I. Appendix A to Subpart B of Title 10 of the Code of Federal 
Regulations Part 431

    Section 313(a)(2) of EISA 2007 amended EPCA section 340(13)(A) to 
set forth a new definition of ``electric motor,'' which included motors 
not previously covered under EPCA, such as a footless motor, close-
coupled pump motor, and a vertical solid shaft normal thrust motor. 
Prior to EISA 2007, the Policy Statement, under appendix A to subpart B 
of 10 CFR part 431, provided interpretive guidance as to which types of 
motors DOE viewed as covered under EPCA and how DOE would apply energy 
conservation standards to electric motors that are components of 
certain equipment. To accommodate the changes to section 340(13)(A) of 
EPCA that EISA 2007 introduced, which removed much of the basis for 
DOE's previous interpretive guidance, in the December 2008 NOPR, DOE 
proposed to delete the contents of appendix A to subpart B, and replace 
the existing policy statement with the term ``[Reserved].'' DOE also 
proposed to maintain the outline structure of this subpart should DOE 
decide in the future to clarify the scope of covered electric motors in 
its regulations. 73 FR 78228 and 78237.
    During the January 29, 2009, public meeting, Baldor commented that 
removing the guidelines from appendix A to subpart B of 10 CFR part 431 
would result in no guidance at present and leave open the possibility 
to greatly expanded guidance in the future. (Baldor, Public Meeting 
Transcript No. 8, p. 118)
    To address this possibility, DOE is proposing, as an alternative, 
to revise the contents of appendix A to provide guidance that 
corresponds with EISA 2007 regarding general purpose electric motors. 
As guidance, appendix A represents DOE's interpretation of existing 
statutes and regulations but does not, and is not intended to, have the 
force and effect of law.
    Specifically, DOE proposes to eliminate references to enactment 
dates that are no longer applicable and update the scope of coverage to 
include general purpose electric motors (subtype I) and general purpose 
electric motors (subtype II). DOE is not proposing to provide guidance 
in-line with EISA 2007 for fire pump or NEMA Design B motors because 
DOE does not think such guidance is necessary at this time,

[[Page 658]]

although DOE may add such guidance at a future date.
    In addition, the Policy Statement addresses the bounds of standard 
shaft dimensions applicable to general purpose electric motors (subtype 
I) and general purpose electric motors (subtype II). It is DOE's 
understanding that NEMA Standard MG1-2009 and IEC Standard 60072-1 
(1991) specify tolerances for the shaft extension diameter and keyset 
that relate to the fit between the shaft and the device mounted on the 
shaft. DOE is aware that shafts of special diameter, length, or design 
are often provided at a customer's request for use in particular 
applications. However, there are electric motors with non-standard 
shafts which could be used in most general purpose applications and 
would then be considered ``general purpose electric motors (subtype 
I)'' and ``general purpose electric motors (subtype II).'' DOE has 
received inquiries regarding whether motors with shaft designs that are 
not necessarily in conformance with the standard shaft types and 
dimensions in NEMA MG1 or IEC 60072-1 are covered under EPCA. (Baldor, 
No. 16; WEG, No. 17) In response to such inquiries and in view of 
possible confusion in the marketplace, DOE is proposing to add guidance 
on shaft diameter, length, shoulder location, and special designs under 
section III of appendix A to subpart B of 10 CFR part 431.
    DOE's guidance specifies the range of variation in motor 
characteristics beyond which DOE interprets a motor to no longer be 
general purpose for some specific technical design features. DOE 
provides this guidance to help avoid market conditions where motor 
manufacturers and manufacturers of equipment using motors avoid 
increases in motor efficiency by making technical changes in motor 
characteristics that do not make substantial changes in motor 
application or use. DOE considers an empirical test of whether a 
particular motor design variant can be used in many general purpose 
applications to be whether many users of general purpose motors might 
be willing to switch such motor design variants given a relatively 
modest price differential between a general purpose motor and the motor 
design variant.
    Four general purpose motor design features that may technically be 
changed while maintaining the general purpose application of a motor 
include: (1) Shaft diameter, (2) shaft length, (3) shoulder location, 
and (4) special shaft design features. In the proposed regulatory text, 
DOE provides the following guidance on the amount of variation from 
standard characteristics that maintains the general purpose 
classification of a motor.
    For shaft diameter, DOE provides guidance that any variation in the 
shaft diameter between the standard shaft diameter of the next lower 
and higher frame numbers series maintains the general purpose 
classification of a motor.
    For shaft length, DOE provides guidance that any shaft length 
between and inclusive of 0.5 to 1.25 times the standard shaft length of 
the motor maintains the general purpose classification of the motor.
    For shoulder location, DOE provides guidance that an increase less 
than or equal to 25% in either the ``BA'' (MG1) or ``C'' (IEC) 
dimensions of the standard motor frame dimensions maintains the general 
purpose classification of the motor.
    For special shaft designs, DOE provides guidance that the special 
shaft designs of a flat section in shaft (for pulley mounting), and 
shafts with a threaded hole maintain the general purpose classification 
of the motor. Alternatively, DOE is proposing guidance that shafts with 
threads on the outside of the shaft or a stepped shaft do not currently 
maintain their general purpose classification. If DOE receives 
information that manufacturers are switching to motors with outside 
thread and stepped shaft design variants to avoid efficiency 
improvements, then DOE may change the guidance to classify motors with 
outside threads and stepped shafts as general purpose electric motors.

J. Definition of Small Electric Motor

    Subsequent to the publication of the July 7, 2009, small electric 
motor test procedures final rule (74 FR 32059), Baldor expressed 
concern over the clarity of certain key terms contained within the 
statutory definition of a small electric motor, asking DOE to clarify 
the statutory definition of ``small electric motor'' by interpreting 
key phrases in the definition, specifically: ``General purpose,'' 
``induction motor,'' ``two-digit frame number series,'' and ``IEC 
metric equivalent motors.'' (Baldor, No. 15 at p. 2) Baldor suggested 
that DOE consider clarifying the definition by adding parenthetical 
identifiers ``(MG1)'' and ``(IEC)'' to the definition after each of 
these four key phrases to indicate the industry reference from which 
DOE interprets the meaning of that phrase. (Baldor, No. 15 at p. 2) 
These citations would then be expanded upon in the second paragraph of 
the definition by providing explicit references to the relevant 
sections of these industry documents. (Baldor, No. 15 at pp. 2-3)
    DOE is currently involved in litigation regarding the final rule on 
energy conservation standards for small electric motors. 75 FR 10874 
(March 9, 2010). Because the definition of ``small electric motor'' is 
at issue in the litigation, it is inappropriate for DOE to respond to 
Baldor's concerns at this time.

K. Canadian Standards Association Test Procedures for Small Electric 
Motors

    In the December 2008 NOPR, DOE proposed three test methods from 
which a manufacturer could select to measure the energy efficiency of 
its covered small electric motors: IEEE Standard 114, IEEE Standard 
112, or CAN/CSA Standard C747-94. 73 FR 78223, 78238. The choice of 
test procedures was consistent with the choice of test methods for 
electric motors listed in 10 CFR 431.16, where a manufacturer could 
select either an IEEE or CSA test method for determining the efficiency 
of covered 1-200 horsepower electric motors. DOE adopted IEEE Standard 
114-2001 for single-phase small electric motors and both IEEE Standard 
112-2004 Test Method A and Test Method B in its final rule for small 
electric motors test procedures. 74 FR 32065-32066, 32073-74. Since 
IEEE Standard 112 Test Method A applies to polyphase small electric 
motors below 1 kilowatt (1.34 horsepower), DOE determined that Test 
Method A would apply to polyphase small electric motors rated at or 
below 1 horsepower, which is the first common horsepower rating below 1 
kilowatt (1.34 horsepower). Similarly, IEEE Standard 112 Test Method B 
would be applicable to polyphase small electric motors rated greater 
than 1 horsepower. DOE also adopted CAN/CSA-C747-94 as an alternative 
test method for single-phase motors. In the small electric motors test 
procedure final rule, DOE stated that it was not adopting any 
alternative test methods for polyphase small electric motors based on 
CAN/CSA-747-94 or CAN/CSA-C390-10 Test Method 1 because there may be an 
inconsistency in the measured efficiency associated with units tested 
under IEEE Standard 112-2004 Test Method B and CAN/CSA-C747-94. 74 FR 
32066.
    In today's SNOPR, DOE proposes that a manufacturer may test 
according to: (1) CAN/CSA C747-09 as an alternative to IEEE Standard 
112 Test Method A for polyphase small electric motors rated less than 
or equal to 1 horsepower (0.746 kilowatt); and (2) CAN/CSA-C390-10, as 
an alternative to IEEE Standard 112 Test Method B for polyphase small 
electric motors that

[[Page 659]]

have a rating greater than 1 horsepower (0.746 kilowatt). DOE believes 
that using the CAN/CSA Standard C747-09 or CAN/CSA Standard C390-10 in 
this manner will result in consistent measurements of energy efficiency 
compared to the applicable IEEE Standard 112 and IEEE Standard 114 test 
methods adopted in the small electric motors final rule and helps 
promote harmonization of test methods internationally.

L. Small Electric Motor Represented Efficiency Value

    In DOE's notice proposing energy conservation standards for small 
electric motors, the term ``nominal full load efficiency'' was defined 
as the arithmetic mean of the full load efficiency of a population of 
motors. DOE received numerous comments on this definition, all of which 
are summarized in its final rule on energy conservation standards for 
small electric motors. 75 FR 10874 (March 9, 2010). Ultimately, DOE 
agreed with comments made by NEMA and Baldor and concluded in its final 
rule that it was not bound to establish energy conservation standards 
in terms of nominal efficiency. Instead, DOE established energy 
conservation standards for small electric motors in terms of ``average 
full load efficiency.'' 75 FR 10914.
    At the NOPR public meeting for small electric motor energy 
conservation standards, held December 17, 2009, Baldor made several 
comments regarding DOE's proposed definition for ``nominal full load 
efficiency'' pertaining to small electric motors. 74 FR 61500 (November 
24, 2009). First, Baldor commented that the proposed definition was too 
similar to the existing definition for ``average full load efficiency'' 
and that it differed from the definition in NEMA MG-1, which would 
confuse users of that voluntary industry guidance. (Baldor, Public 
Meeting Transcript, No. 20.4 at pp. 112, 126-27). 75 FR 10914 (March 9, 
2010). Next, Baldor commented that the proposed definition provided no 
guidance for what constitutes a population of motors, and suggested 
that the term be clarified. (Baldor, Public Meeting Transcript, No. 
20.4 at pp. 112-13) These two comments were echoed by NEMA in its 
written comments. (NEMA, No. 24 at pp. 10-16) Finally, Baldor commented 
that the proposed definition infers that the arithmetic mean of the 
full-load efficiencies of the population of motors is known and that 
the nominal full load efficiency must be specified to be equal to the 
arithmetic mean, which would provide no limit to the number of 
different values of efficiency that might be marked on nameplates. In 
other words, there are many populations or production runs of motors of 
identical design, wherein each motor could have a slightly different 
efficiency because of variations in materials, the manufacturing 
process, and testing equipment. Consequently, there could be no limit 
to the different arithmetic averages marked on small motor nameplates. 
As such, Baldor requested further clarification on the determination of 
any relationship between nominal full load efficiency and calculated 
efficiency. (Baldor, Public Meeting Transcript, No. 20.4 at pp. 114, 
125) \8\
---------------------------------------------------------------------------

    \8\ The written comments cited in this paragraph were submitted 
to the docket of the small electric motors energy conservation 
standards rulemaking (Docket No. EERE-2007-BT-STD-0007; RIN number 
1904-AB70).
---------------------------------------------------------------------------

    In response to the December 2008 NOPR about test procedures for 
small electric motors, NEMA also sought clarity on the use of the term 
``nominal full load efficiency.'' NEMA noted that DOE had not provided 
information on the value of efficiency for which test results are to be 
compared for the purpose of determining compliance. NEMA asked how DOE 
would require the full load efficiency to be represented on small 
electric motors, noting that motors are not marked with the average 
full load efficiency. (NEMA, No. 12 at p. 3).
    In developing today's SNOPR, DOE considered the relevant comments 
submitted to the energy conservation standards and test procedures 
rulemakings. DOE recognizes that its standards for electric motors and 
small electric motors use different metrics--i.e. nominal full load 
efficiency (electric motors) and average full load efficiency (small 
electric motors). The nominal efficiency values for electric motors are 
based on a logical sequence of standard values in NEMA Standard MG1 
Table 12-10 and is familiar to motor users. However, there is no 
comparable set of standardized values adopted by NEMA for small 
electric motors and there is no statutory requirement that efficiency 
standards for these motors be set in terms of their nominal full load 
efficiency. 74 FR 61431-32 (November 24, 2009).
    As mentioned earlier, DOE established energy conservation standards 
in terms of ``average full-load efficiency'' in the final rule. 75 FR 
10914, 10947 (March 9, 2010). The analyses and results supporting the 
final energy conservation standards levels for small electric motors 
were calculated using a metric of average efficiency and DOE in this 
SNOPR proposes procedures for reporting the average full load 
efficiency of motors, consistent with the conservations standards for 
small electric motors. With respect to the term ``nominal full load 
efficiency,'' since this term is not used in the small electric motors 
standard, DOE proposes leaving the term undefined. If DOE amends this 
test procedure to measure the nominal full load efficiency of small 
electric motors, this change will alter the applicable metric and will 
require a change in the standard levels for small electric motors to 
reflect the change in the efficiency metric. (42 U.S.C. 6293(e)). 
However, DOE understands Baldor's concern to be primarily related to 
the ambiguity of the definitions proposed in the energy conservations 
standards NOPR and recognizes that the represented efficiency value has 
yet to be defined. Therefore, in this SNOPR, DOE proposes procedures 
for determining the represented efficiency for small electric motors 
where the represented efficiency is that efficiency that corresponds to 
a 5 percent increase in losses, compared to the tested efficiency of a 
random sample of five or more units of a basic model. A very specific 
technical issue on which DOE invites comment is whether the 5 percent 
margin between the losses of the represented efficiency and the losses 
corresponding to the sample average efficiency is large enough to 
assure that the population of motor basic models is at least as 
efficient as the represented efficiency.

M. Validation of the Small Electric Motor Alternative Efficiency 
Determination Method

    Section 343(a)(2) of EPCA requires that test procedures prescribed 
for electric motors be ``reasonably designed to produce test results 
which reflect energy efficiency,'' yet not be ``unduly burdensome'' to 
conduct. (42 U.S.C. 6314(a)(2)) As discussed in the December 2008 NOPR, 
DOE recognizes that manufacturers produce large numbers of basic models 
of small electric motors, numbering in the thousands. These large 
numbers are due in part to the frequency with which units are modified 
because of material price fluctuations which, in turn, often 
necessitate the development of new basic models.
    In view of the substantial number of small electric motors that 
could be subject to an individual testing requirement for each basic 
model, in the final small electric motors test procedure rule, DOE 
adopted a certification program that consisted of an alternative 
efficiency determination method (AEDM). 74 FR 32067, 32073.

[[Page 660]]

An AEDM is a predictive mathematical model developed from engineering 
analyses of design data and substantiated by actual testing. It 
represents the energy consumption characteristics of one or more basic 
models. Before using an AEDM, a manufacturer must determine its 
accuracy and reliability through actual testing of a statistically 
valid sample of at least five basic models. (10 CFR 431.445) For each 
basic model, the manufacturer must test a sample size of at least five 
units selected at random according to the criteria adopted in section 
10 CFR 431.445, ``Determination of Small Electric Motor Efficiency.'' 
After validating an AEDM's accuracy, the manufacturer may use that AEDM 
to determine the efficiencies of other basic models of small electric 
motors without further testing.
    In the December 2008 NOPR, DOE proposed guidance about the 
certification program for testing small electric motors, selecting 
units from a basic model, and applying the results of the actual 
testing to substantiate an AEDM. 73 FR 78223-24, 78238-39. Today, DOE 
proposes additional requirements that are consistent with the AEDM 
approach adopted for 1-200 horsepower electric motors. These proposals 
help clarify portions of the AEDM procedure adopted in the final rule 
for small electric motors. DOE invites comments from interested parties 
on these requirements for a manufacturer to substantiate the accuracy 
of its AEDM.

N. Small Electric Motor Nationally Recognized Certification Program

    EPCA provides different requirements for determining the energy 
efficiency of regulated small electric motors (two-digit NEMA frame) 
and electric motors (three-digit NEMA frame). In particular, section 
345(c) of EPCA directs the Secretary of Energy to require manufacturers 
of ``electric motors'' to ``certify, through an independent testing or 
certification program nationally recognized in the United States, that 
[any electric motor subject to EPCA efficiency standards] meets the 
applicable standard.'' \9\ (42 U.S.C. 6316(c)) No such requirement for 
independent testing or certification applies to small electric motors.
---------------------------------------------------------------------------

    \9\ Further, 10 CFR 431.17(a)(5) provides for a manufacturer to 
establish compliance either through (1) a certification program that 
DOE has classified as nationally recognized, such as CAN/CSA or 
Underwriters Laboratories, Inc., or (2) testing in any laboratory 
that is accredited by the National Institute of Standards and 
Technology/National Voluntary Laboratory Accreditation Program 
(NIST/NVLAP).
---------------------------------------------------------------------------

    In the December 2008 NOPR, DOE proposed to allow a manufacturer to 
self-certify its small electric motors (i.e., not require ``independent 
testing''), which DOE believes is consistent with the compliance 
certification requirements for other commercial products such as high-
intensity discharge lamps and distribution transformers covered under 
section 346 of EPCA.
    In its comments to the NOPR, NEMA observed that many small electric 
motors sold in the U.S. are also sold in Canada, and that Canadian 
regulatory entities are considering following DOE's lead in developing 
energy efficiency standards for small electric motors. (NEMA, No. 12 at 
p. 4) NEMA noted that because the only means to certify compliance for 
electric motors in Canada is through the CAN/CSA Energy Efficiency 
Verification Program, it is likely that the Canadian government will 
require small electric motors to be certified through the same CAN/CSA 
Energy Efficiency Verification Program. NEMA requested that DOE 
recognize independent third party efficiency certification programs for 
small electric motors, but not mandate use of independent third party 
certification programs or accreditation programs for testing 
facilities. Rather, it stressed that DOE recognition of such programs 
would encourage voluntary use of certification through third parties, 
such as NIST/NVLAP. In addition, NEMA recommended that DOE allow 
sufficient time for the approval of such programs and manufacturer 
participation in such programs because no accreditation programs for 
testing in accordance with IEEE Standard 112 Method A, IEEE Standard 
114, or CAN/CSA-C747 currently exist.
    NEEA expressed its support for a nationally recognized 
certification program or accredited laboratory, according to the 
requirements that currently apply to electric motors. (See 10 CFR 
431.17(a)(5)) It recommended that DOE apply the same requirements to 
the small electric motors covered in this rulemaking. (NEEA, No. 10 at 
p. 2)
    In view of the above comments, in this SNOPR, DOE is proposing to 
add the same provisions regarding nationally recognized certification 
programs to the small electric motors regulations as are currently 
found in the electric motors regulations at 10 CFR 431.17(a)(5), 
431.20, and 431.21. DOE is proposing to allow the use of such approved 
programs although, in the future, DOE may require manufacturers to test 
small electric motors through a nationally recognized certification 
program or an independent testing program.

O. Issues Related to Compliance Certification and Enforcement of 
Electric Motors and Small Electric Motors

    In response to the December 2008 test procedure NOPR and the March 
2010 small electric motor energy conservation standards NOPR, DOE 
received comments on several topics pertaining to the compliance 
certification and enforcement of electric motors and small electric 
motors. These issues included: Definitions of ``basic model'' for 
electric motors and small electric motors, enforcement of energy 
conservation standards for electric motors and small electric motors, 
compliance certification and submission of data requirements for 
electric motors and small electric motors, and labeling requirements 
for small electric motors. DOE plans to address these issues and others 
in the second phase of its Compliance Certification and Enforcement 
rulemaking. In this SNOPR, however, DOE requests further comment and 
specific suggestions on how DOE should amend the provisions listed 
above.

IV. Public Participation

A. Submission of Comments

    DOE will accept comments, data, and information regarding this 
notice or any aspect of this rulemaking no later than February 4, 2011. 
Comments, data, and information submitted to DOE's e-mail address for 
this rulemaking should be provided in WordPerfect, Microsoft Word, 
portable data format (PDF), or text (ASCII) file format. Interested 
parties should avoid the use of special characters or any form of 
encryption, and wherever possible, comments should include the 
electronic signature of the author, if possible. Comments, data, and 
information submitted to DOE by mail or hand delivery/courier should 
include one signed original paper copy. No telefacsimiles (faxes) will 
be accepted.
    According to 10 CFR 1004.11, any person submitting information that 
he or she believes to be confidential and exempt by law from public 
disclosure should submit two copies of the information: One copy of the 
document including all the information believed to be confidential, and 
one copy of the document with the information believed to be 
confidential deleted. Although DOE will consider the submitter's views, 
DOE will make its own determination as to the confidential status of 
the information, and treat the

[[Page 661]]

information according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include (1) a description of the 
items, (2) whether and why such items are customarily treated as 
confidential within the industry, (3) whether the information is 
generally known or available from public sources, (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality, (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure, (6) a date after which such information might no 
longer be considered confidential, and (7) why disclosure of the 
information would be contrary to the public interest. (10 CFR 
1004.11(f))
    After the close of the comment period, DOE will review the comments 
received and conduct further analyses as needed.

B. Issues on Which the Department of Energy Seeks Comment

    Comments are welcome on all the issues raised in this SNOPR. 
However, DOE is particularly interested in receiving comments 
concerning the following issues:
1. Definition of Electric Motor
    DOE invites comment on its proposed definition for ``electric 
motor.'' DOE's proposed definition is intended to clarify the term 
``electric motor'' in the context of EPCA, and to ensure that all four 
motor types covered under EISA 2007 are covered under the broad 
definition of electric motor. See section III.A for details.
2. Definition of General Purpose Electric Motors, Subtypes I and II
    DOE invites comment on its proposed definitions for ``general 
purpose electric motor (subtype I),'' ``general purpose electric motor 
(subtype II),'' and ``general purpose electric motor.'' See section 
III.B for details.
3. Definition of NEMA Design B Motor
    DOE invites comment on its revised definition for ``NEMA Design B 
Motor,'' which adopts a broad definition of a NEMA Design B motor 
similar to that which was proposed in the December 2008, NOPR, but 
maintains the provisions regarding 50 hertz, updates the NEMA MG1 
reference, and eliminates any reference to NEMA Design B motors 
necessarily being general purpose electric motors. See section III.C 
for details.
4. Fire Pump Motors Definition
    DOE invites comment on its proposed definition for ``fire pump 
motors.'' See section III.D for details.
5. Fire Pump Motor Coverage
    DOE invites comment on its interpretation of the scope of coverage 
for fire pump motors. See section III.E for details.
6. Energy Conservation Standards for Electric Motors
    DOE invites comment on its clarification of the applicability of 
the energy conservation standards tables contained in 10 CFR 431.25. 
See section III.F for details.
7. References to International Electrotechnical Commission, National 
Electrical Manufacturers Association, Institute of Electrical and 
Electronics Engineers, and Canadian Standards Association Standards for 
Electric Motors
    DOE invites comment on its proposal to incorporate updated versions 
of the IEC, NEMA, IEEE, and CSA standards into 10 CFR part 431 to 
facilitate and clarify coverage of electric motors, including metric-
equivalent motors. DOE also invites comments on whether the updates to 
the test methods will change the efficiency of motors tested. See 
section III.G for details.
8. National Institute of Standards and Technology/National Voluntary 
Laboratory Accreditation Program Handbook 150-10 Update and Checklist
    DOE invites comment on its proposal to reference NIST Handbook 150-
10, which has been updated by NIST to incorporate references to the 
same test procedures proposed by DOE in the December 2008 NOPR. See 
section III.H for details.
9. Appendix A to Subpart B of Title 10 of the Code of Federal 
Regulations Part 431
    DOE invites comment on its revision of the contents of appendix A 
to provide guidance in line with the changes promulgated by EISA 2007, 
including its proposed guidance concerning shaft dimensions, length, 
shoulder location, and special designs. See section III.I for details.
10. Canadian Standards Association Test Procedure for Small Electric 
Motors
    DOE invites comment on its proposal to allow a manufacturer to use 
CAN/CSA Standard C747-09 as an alternative to the IEEE Standard 112 
Test Method A and IEEE Standard 114; and CAN/CSA Standard C390-10 as an 
alternative to the IEEE Standard 112 Test Method B for small electric 
motors. DOE may or may not promulgate these two alternative standards 
in the final rule of this test procedure based on comments from 
interested parties. See section III.K for details.
11. Small Electric Motor Represented Efficiency Value
    DOE invites comment on its proposed definition of the represented 
efficiency value. See section III.L for details.
12. Validation of the Small Electric Motor Alternative Efficiency 
Determination Method
    DOE invites comment on its proposed approach for using actual 
testing to validate an AEDM model. The proposed method is consistent 
with the approach followed by electric motor manufacturers for 1-200 
horsepower motors currently in place. See section III.M for details.
13. Small Electric Motor Nationally Recognized Certification Program
    DOE invites comment on its proposed approach to allow manufacturers 
to certify compliance using a nationally recognized certification 
program, similar to the program used for electric motors. DOE 
specifically would like to know if independent third party compliance 
certification or laboratory accredited programs for small electric 
motors (1) currently exist for the appropriate small electric motors 
test procedures, (2) if not should they be established, and (3) should 
they be made mandatory or voluntary. See section III.N for details.
14. Issues Related to Compliance Certification and Enforcement of 
Electric Motors and Small Electric Motors
    DOE invites comment and specific suggestions on how DOE should 
amend the provisions related to compliance certification and 
enforcement, including the definition of ``basic model,'' enforcement 
of energy conservation standards, and compliance certification and 
submission of data requirements for electric motors and small electric 
motors, as well as labeling requirements for small electric motors. See 
section III.O for details.

V. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (OMB) has determined that test 
procedure rulemakings do not constitute ``significant regulatory 
actions'' under Executive Order 12866, ``Regulatory

[[Page 662]]

Planning and Review.'' 58 FR 51735 (October 4, 1993). Accordingly, this 
proposed action is not subject to review under that Executive Order by 
the Office of Information and Regulatory Affairs of OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq., as amended by 
the Small Business Regulatory Enforcement Fairness Act of 1996) 
requires preparation of an initial regulatory flexibility analysis for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will have no 
significant economic impact on a substantial number of small entities. 
Also, as required by Executive Order 13272, ``Proper Consideration of 
Small Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), 
DOE published procedures and policies on February 19, 2003, to ensure 
that the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site at http://www.gc.doe.gov. DOE reviewed today's SNOPR 
under the provisions of the Regulatory Flexibility Act and the policies 
and procedures published on February 19, 2003.
    To estimate the number of small businesses impacted by the rule, 
DOE considered the size standards for a small business listed by the 
North American Industry Classification System (NAICS) code and 
description, under 13 CFR 121.201. To be considered a small business, a 
manufacturer of electric motors or small electric motors and its 
affiliates may employ a maximum of 1,000 employees. DOE estimates that 
there are approximately 20 domestic motor manufacturers that 
manufacture electric motors or small electric motors covered by EPCA, 
and no more than six of these manufacturers are small businesses 
employing a maximum of 1,000 employees. These estimates are based on 
analyses DOE conducted in the final rule establishing energy 
conservation standards for small electric motors at 75 FR 10874 (March 
9, 2010) and the final rule that set forth test procedures for electric 
motors at 64 FR 54114 (October 5, 1999). In these previous rules, DOE 
calculated the number of motor manufacturers, including which of those 
manufacturers are small businesses, based on interviews with motor 
manufacturers and publicly available data.
    The SNOPR proposes additional test procedures that are consistent 
with current industry practice, clarifies definitions for certain key 
terms, clarifies the scope of energy conservation standards for 
electric motors, and updates references to standards publications and 
test procedures otherwise incorporated by reference. DOE believes that 
the cost of complying with the test procedures proposed in this SNOPR 
would not impose significant economic costs on motor manufacturers that 
are small businesses because many, if not most, motor manufacturers are 
already manufacturing their electric motors or small electric motors to 
the latest industry-developed energy efficiency performance standards 
that are the basis for the standards in EPCA and in Title 10 of the 
Code of Federal Regulations, Part 431 (10 CFR part 431). In addition, 
the SNOPR promotes consistency with current industry test procedures 
and methodologies because the SNOPR is not proposing any additional 
testing requirements or higher accuracy tolerances beyond what is 
already contained in the industry standards documents incorporated by 
reference for this equipment (i.e., IEEE Std 114, IEEE Std 112; CSA 
C390, and CAN/CSA C747.) DOE elaborated on these analyses in the 
December 22, 2008, test procedure notice of proposed rulemaking (NOPR), 
which today's SNOPR supplements. 73 FR 78220. DOE believes that the 
costs imposed on manufacturers of electric motors and small electric 
motors as a result of today's SNOPR are not greater than the costs that 
would have been imposed on these manufacturers under the December 22, 
2008 NOPR.
    Moreover, DOE previously considered the one comment it received 
regarding impacts on small businesses in the small motors test 
procedure rulemaking at 64 FR 54114 (October 5, 1999). The commenter 
recommended that DOE provide more than one agency to certify and/or 
accredit labs and provide a simple procedure to verify electric motor 
compliance with EPCA efficiency levels. DOE addressed these concerns by 
finalizing a rule that provided multiple ways to certify compliance and 
adopted simple, repeatable, and statistically valid sampling 
procedures.
    Based on the above, DOE believes that the test procedure amendments 
proposed in today's SNOPR will not have a significant impact on a 
substantial number of small entities and that a Regulatory Flexibility 
Act analysis is therefore not required. Accordingly, DOE has not 
prepared a regulatory flexibility analysis for this rulemaking. DOE 
provided the Chief Counsel for Advocacy of the Small Business 
Administration a certification and supporting statement of factual 
basis pursuant to 5 U.S.C. 605(b).

C. Review Under the Paperwork Reduction Act

    Manufacturers of covered electric motors must certify to DOE that 
their electric motors comply with any applicable energy conservation 
standard. In certifying compliance, manufacturers must test their 
electric motors according to the DOE test procedure for electric 
motors, including any amendments adopted for that test procedure. DOE 
has proposed regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, including electric motors. 75 FR 56796 (September 16, 2010). 
The collection-of-information requirement for the certification and 
recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been submitted to 
OMB for approval. Public reporting burden for the certification is 
estimated to average 20 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Public comment is sought regarding: whether this proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information shall 
have practical utility; the accuracy of the burden estimate; ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and ways to minimize the burden of the collection of 
information, including through the use of automated collection 
techniques or other forms of information technology. Send comments on 
these or any other aspects of the collection of information to Ms. 
Brenda Edwards, U.S. Department of Energy, Building Technologies 
Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 
20585-0121 and e-mail to [email protected].
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

[[Page 663]]

D. Review Under the National Environmental Policy Act

    In this notice, DOE proposes limited revisions to new and amended 
test procedures that are used to measure and determine the energy 
efficiency of certain types of electric motors. This proposed rule 
falls into a class of actions that are categorically excluded from 
review under the National Environmental Policy Act of 1969, (NEPA) 42 
U.S.C. 4321 et seq., and DOE's implementing regulations at 10 CFR part 
1021. In particular, today's proposed rule is covered by Categorical 
Exclusion A5, for rulemakings that interpret or amend an existing rule 
without changing the environmental effect, as set forth in DOE's NEPA 
regulations in appendix A to subpart D of 10 CFR part 1021. Today's 
proposed rule will not affect the amount, quality, or distribution of 
energy usage, and therefore will not result in any environmental 
impacts. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 10, 
1999), imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have Federalism implications. The executive order requires agencies to 
examine the constitutional and statutory authority supporting any 
action that would limit the policymaking discretion of the States and 
to carefully assess the necessity for such actions. The Executive Order 
also requires agencies to have an accountability process to ensure 
meaningful and timely input by State and local officials in developing 
regulatory policies that have Federalism implications. On March 14, 
2000, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in developing 
such regulations. 65 FR 13735. DOE examined this proposed 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. Accordingly, no action is required under 
Executive Order 13132.

F. Review Under Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on 
Federal agencies the duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity, (2) write regulations to 
minimize litigation, and (3) provide a clear legal standard for 
affected conduct rather than a general standard and promote 
simplification and burden reduction. Section 3(b) of Executive Order 
12988 specifically requires, among other things, that Executive 
agencies make every reasonable effort to ensure that the regulation (1) 
clearly specifies the preemptive effect, if any; (2) clearly specifies 
any effect on existing Federal law or regulation; (3) provides a clear 
legal standard for affected; (4) specifies the retroactive effect, if 
any; (5) adequately defines key terms; and (6) addresses other 
important issues affecting clarity and general draftsmanship under any 
guidelines issued by the Attorney General. Section 3(c) of Executive 
Order 12988 requires Executive agencies to review regulations in light 
of applicable standards in sections 3(a) and 3(b) to determine whether 
they are met or it is unreasonable to meet one or more of them. DOE has 
completed the required review and determined that, to the extent 
permitted by law, this rulemaking meets the relevant standards of 
Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. 
L. 104-4, 2 U.S.C. 1501 et seq.) generally requires Federal agencies to 
examine closely the impacts of regulatory actions on State, local, or 
Tribal governments. Subsection 101(5) of title I of that law defines a 
Federal intergovernmental mandate to include a regulation that would 
impose upon State, local, or Tribal governments an enforceable duty, 
except a condition of Federal assistance or a duty arising from 
participating in a voluntary Federal program. Title II of that law 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments, in the 
aggregate, or the private sector, other than to the extent such actions 
merely incorporate requirements specifically set forth in a statute. 
Section 202 of the title requires a Federal agency to perform a 
detailed assessment of the anticipated costs and benefits of any rule 
that includes a Federal mandate that may result in costs State, local, 
or Tribal governments or the private sector of $100 million or more in 
any one year (adjusted annually for inflation). (2 U.S.C. 1532(a) and 
(b)) Section 204 of that title requires each agency that proposed a 
rule containing a significant Federal intergovernmental mandate to 
develop an effective process for obtaining meaningful and timely input 
by elected officers of State, local, and Tribal governments. (2 U.S.C. 
1534) On March 18, 1997, DOE published a statement of policy on its 
process for intergovernmental consultation under UMRA. 62 FR 12820 
(also available at http://www.gc.doe.gov). Today's supplemental 
proposed rule does not establish any new or amended test procedures 
that would be used in measuring the energy efficiency of electric 
motors or small electric motors--it merely clarifies existing 
definitions and test procedures. This supplemental proposed rule would, 
therefore, not result in the expenditure of $100 million or more in any 
year. Accordingly, no assessment or analysis is required under the 
UMRA.

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

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

I. Review Under Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 18, 1988), DOE has determined that this supplemental 
proposed rule would not result in any takings that might require 
compensation under the Fifth Amendment to the U.S. Constitution.

J. Review Under the Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (Pub. L. 106-554, 44 U.S.C. 3516) provides for agencies to 
review most disseminations of information to the public under 
information quality guidelines established by each agency under general 
guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 
(February 22, 2002), and DOE's guidelines were published at 67 FR 62446 
(October 7, 2002). DOE has reviewed today's supplemental proposed rule 
under the OMB and DOE

[[Page 664]]

guidelines and has concluded that it is consistent with applicable 
policies in those guidelines.

K. Review Under Executive Order 13211

    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 OMB 
a Statement of Energy Effects for any proposed significant energy 
action. A ``significant energy action'' is defined as any action by an 
agency that promulgated a final rule or is expected to lead to 
promulgation of a final rule, and that (1) is a significant regulatory 
action under Executive Order 12866, or any successor 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 
proposal be implemented, and reasonable alternatives to the action and 
their expected benefits on energy supply, distribution, and use. 
Because this rulemaking is not expected to be a significant regulatory 
action under Executive Order 12866; it would not have a significant 
adverse effect on the supply, distribution, or use of energy; and has 
not been designated a significant energy action by the Administrator of 
OIRA, DOE has determined that this rule is not a significant energy 
action. Accordingly, DOE has not prepared a Statement of Energy Effects 
for this rulemaking.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), DOE must comply with section 32 of the Federal Energy 
Administration Act of 1974 (Pub. L. 93-275), as amended by the Federal 
Energy Administration Authorization Act of 1977 (Pub. L. 95-70). (15 
U.S.C. 788) Section 32 provides that where a proposed rule authorizes 
or requires use of commercial standards, the NOPR must inform the 
public of the use and background of such standards. In addition, 
section 32(c) requires DOE to consult with the Department of Justice 
(DOJ) and the Federal Trade Commission (FTC) concerning the impact of 
the commercial or industry standards on competition.
    The rule proposed in this notice incorporates testing methods 
contained in the following commercial standards: (1) CAN/CSA C390-10, 
Test methods, marking requirements, and energy efficiency levels for 
three-phase induction motors, March 22, 2010; (2) CAN/CSA C747-09, 
Energy efficiency test methods for small motors, October 1, 2009; (3) 
IEC Standard 60034-1 (2010), Rotating Electrical Machines, Part 1: 
Rating and Performance, Section 4: Duty, clause 4.2.1 and Figure 1; (4) 
Standard 60034-12 (2007), Rotating Electrical Machines, Part 12: 
Starting Performance of Single-Speed Three-Phase Cage Induction Motors, 
clauses 5.2, 5.4, 6, and 8, and Tables 1, 2, 3, 4, 5, 6, and 7; and (5) 
NEMA Standards Publication MG1-2009 Section I (Part 1), Section I (Part 
4), Section II (Part 12), and Section II (Part 14).
    DOE has evaluated these revised standards and is unable to conclude 
whether they fully comply with the requirements of section 32(b) of the 
Federal Energy Administration Act (i.e., that they were developed in a 
manner that fully provides for public participation, comment, and 
review). DOE will consult with the Attorney General and the Chairman of 
the FTC about the impact of these test procedures on competition.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects in 10 CFR Part 431

    Administrative practice and procedure, Energy conservation, 
Incorporation by reference, Reporting and recordkeeping requirements.

    Issued in Washington, DC, on December 15, 2010.
Cathy Zoi,
Assistant Secretary, Energy Efficiency and Renewable Energy.

    For the reasons stated in the preamble, DOE proposes to amend part 
431 of chapter II of title 10, Code of Federal Regulations, as set 
forth below.

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

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

    Authority: 42 U.S.C. 6291-6317.

    2. Section 431.11 is revised to read as follows:


Sec.  431.11  Purpose and scope.

    This subpart contains energy conservation requirements for electric 
motors. It contains test procedures that EPCA requires DOE to 
prescribe, related requirements, energy conservation standards 
prescribed by EPCA, labeling rules, and compliance procedures. It also 
identifies materials incorporated by reference in this part. This 
subpart does not cover ``small electric motors,'' which are addressed 
in subpart X of this part.
    3. Section 431.12 is amended by revising the introductory text, 
revising the definitions of ``accreditation,'' ``definite purpose 
motor,'' ``general purpose electric motor (subtype I),'' ``general 
purpose electric motor (subtype II),'' and ``nominal full load 
efficiency,'' by removing the definition of ``general purpose motor'' 
and by adding in alphabetical order, new definitions for ``electric 
motor,'' ``fire pump motor,'' ``general purpose electric motor,'' and 
``NEMA Design B motor'' to read as follows:


Sec.  431.12  Definitions.

    The following definitions apply for purposes of this subpart, and 
of subparts U and V of this part. Any words or terms not defined in 
this section or elsewhere in this part shall be defined as provided in 
Section 340 of the Act.
    Accreditation means recognition by an accreditation body that a 
laboratory is competent to test the efficiency of electric motors 
according to the scope and procedures given in Test Method B of IEEE 
Standard 112-2004 and CAN/CSA Standard C390-10 (incorporated by 
reference, see Sec.  431.15).
* * * * *
    Definite purpose motor means any motor designed in standard ratings 
with standard operating characteristics or standard mechanical 
construction for use under service conditions other than usual, such as 
those specified in NEMA Standards Publication MG1-2009, paragraph 14.3, 
``Unusual Service Conditions,'' (incorporated by reference, see Sec.  
431.15) or for use on a particular type of application, and which 
cannot be used in most general purpose applications.
* * * * *
    Electric motor means a machine that converts electrical power into 
rotational mechanical power.
* * * * *
    Fire pump motor means an electric motor that meets the performance 
and construction requirements of section 9.5 of National Fire 
Protection Association (NFPA) Standard 20-2010, ``Standard for the 
Installation of Stationary Pumps for Fire Protection,'' and 
Underwriters Laboratories (UL) 1004-5, ``Standard for Fire Pump 
Motors,'' dated September 15, 2008.
* * * * *

[[Page 665]]

    General purpose electric motor means any electric motor that is 
designed in standard ratings with either:
    (1) Standard operating characteristics and mechanical construction 
for use under usual service conditions, such as those specified in NEMA 
Standards Publication MG1-2009, paragraph 14.2, ``Usual Service 
Conditions,'' (incorporated by reference, see Sec.  431.15) and without 
restriction to a particular application or type of application; or
    (2) Standard operating characteristics or standard mechanical 
construction for use under unusual service conditions, such as those 
specified in NEMA Standards Publication MG1-2009, paragraph 14.3, 
``Unusual Service Conditions,'' (incorporated by reference, see Sec.  
431.15) or for a particular type of application, and which can be used 
in most general purpose applications. These cited examples of standard 
operating characteristics and mechanical construction are for 
illustrative purposes only.
    General purpose electric motor (subtype I) means a general purpose 
electric motor that:
    (1) Is a single-speed induction motor (MG1);
    (2) Is rated for continuous duty (MG1) operation or for duty type 
S1 (IEC);
    (3) Contains a squirrel-cage (MG1) or cage (IEC) rotor;
    (4) Has foot-mounting that may include foot-mounting with flanges 
or detachable feet;
    (5) Is built in accordance with NEMA T-frame dimensions (MG1) or 
their IEC metric equivalents (IEC);
    (6) Has performance in accordance with NEMA Design A (MG1) or B 
characteristics or equivalent designs such as IEC Design N (IEC);
    (7) Operates on polyphase alternating current 60-hertz sinusoidal 
power, and:
    (i) Is rated 230 or 460 volts (or both) including motors rated at 
multiple voltages that include 230 or 460 volts (or both), or
    (ii) Can be operated on 230 or 460 volts (or both); and
    (8) Includes, but is not limited to, explosion-proof construction.

    Note to Definition of General purpose electric motor (subtype 
I): Terms in this definition followed by the parenthetical ``MG1'' 
must be construed with reference to provisions in NEMA Standards 
Publication MG1-2009 (incorporated by reference in Sec.  431.15), 
and elements followed by the parenthetical ``IEC'' must be construed 
with reference to the IEC Standards (incorporated by reference in 
Sec.  431.15). 10 CFR part 431, subpart B applies to general purpose 
electric motors (subtype I) even if the NEMA or IEC-equivalent frame 
size or design element has been discontinued or is discontinued in 
the future.

    General purpose electric motor (subtype II) means any general 
purpose electric motor that incorporates design elements of a general 
purpose electric motor (subtype I) but, unlike a general purpose 
electric motor (subtype I), is configured in one or more of the 
following ways:
    (1) Is built in accordance with NEMA U-frame dimensions (MG1) or 
their IEC metric equivalents (IEC);
    (2) Has performance in accordance with NEMA Design C 
characteristics (MG1) or equivalent designs such as IEC Design H (IEC);
    (3) Is a close-coupled pump motor;
    (4) Is a footless motor;
    (5) Is a vertical solid shaft normal thrust motor (as tested in a 
horizontal configuration) (MG1);
    (6) Is an eight-pole motor (900 rpm); or
    (7) Is a polyphase motor with voltage of not more than 600 volts 
(other than 230 or 460 volts).

    Note to Definition of General purpose electric motor (subtype 
II): Terms in this definition followed by the parenthetical ``MG1'' 
must be construed with reference to provisions in NEMA Standards 
Publication MG1-2009 (incorporated by reference in Sec.  431.15), 
and elements followed by the parenthetical ``IEC'' must be construed 
with reference to the IEC Standards (incorporated by reference in 
Sec.  431.15). 10 CFR part 431, subpart B applies to general purpose 
electric motors (subtype I) even if the NEMA or IEC-equivalent frame 
size or design element has been discontinued or is discontinued in 
the future.

* * * * *
    NEMA Design B motor means a squirrel-cage motor designed to 
withstand full-voltage starting, developing locked-rotor, breakdown, 
and pull-up torques adequate for general application as specified in 
sections 12.38, 12.39 and 12.40 of NEMA Standards Publication MG1-2009 
(incorporated by reference, see Sec.  431.15), drawing locked-rotor 
current not to exceed the values shown in section 12.35.1 for 60 hertz 
and 12.35.2 for 50 hertz of NEMA Standards Publication MG1-2009, and 
having a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.
* * * * *
    Nominal full load efficiency means, with respect to an electric 
motor, a representative value of efficiency selected from the ``nominal 
efficiency'' column of Table 12-10, NEMA Standards Publication MG1-
2009, (incorporated by reference, see Sec.  431.15), that is not 
greater than the average full load efficiency of a population of motors 
of the same design.
* * * * *
    4. A new Sec.  431.14 is added to read as follows:


Sec.  431.14  Sources for information and guidance.

    (a) 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 guidance.
    (b) NVLAP. National Voluntary Laboratory Accreditation Program, 
National Institute of Standards and Technology, 100 Bureau Drive, M/S 
2140, Gaithersburg, MD 20899.
    (1) NVLAP Handbook 150, Procedures and General Requirements, March 
1994.
    (2) NVLAP Handbook 150-10, Efficiency of Electric Motors, August 
1995.
    (c) ISO/IEC. International Organization for Standardization (ISO), 
1, ch. de la Voie-Creuse, CP 56, CH-1211 Geneva 20, Switzerland/
International Electrotechnical Commission, 3, rue de Varemb[eacute], 
P.O. Box 131, CH-1211 Geneva 20, Switzerland.
    (1) ISO/IEC Guide 25, General requirements for the competence of 
calibration and testing laboratories, 1990.
    (2) ISO Guide 27, Guidelines for corrective action to be taken by a 
certification body in the event of either misapplication of its mark of 
conformity to a product, or products which bear the mark of the 
certification body being found to subject persons or property to risk, 
1983.
    (3) ISO/IEC Guide 28, General rules for a model third-party 
certification system for products, 2004.
    (4) ISO/IEC Guide 58, Calibration and testing laboratory 
accreditation systems--General requirements for operation and 
recognition, 1993.
    (5) ISO/IEC Guide 65, General requirements for bodies operating 
product certification systems, 1996.
    5. Section 431.15 is revised to read as follows:


Sec.  431.15  Materials incorporated by reference.

    (a) General. The Department of Energy incorporates by reference the 
following standards and test procedures into subpart B of part 431. The 
Director of the Federal Register has approved the material listed for 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. Any

[[Page 666]]

subsequent amendment to a standard by the standard-setting organization 
will not affect DOE regulations unless and until DOE amends its test 
procedures. 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. All approved material is available for 
inspection at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material is 
available for inspection at U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Program, Sixth 
Floor, 950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, 
or go to http://www1.eere.energy.gov/buildings/appliance_standards/.
    (b) CAN/CSA. Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-
463-6727, or go to http://www.shopcsa.ca/onlinestore/welcome.asp.
    (1) CSA C390-10, Test methods, marking requirements, and energy 
efficiency levels for three-phase induction motors, March 22, 2010, IBR 
approved for Sec. Sec.  431.12; 431.16; 431.19; 431.20; appendix B to 
subpart B of part 431.
    (2) [Reserved]
    (c) IEC. International Electrotechnical Commission Central Office, 
3, rue de Varemb[eacute], P.O. Box 131, CH-1211 Geneva 20, Switzerland, 
+41 22 919 02 11, or go to http://webstore.iec.ch.
    (1) International Electrotechnical Commission Standard 60034-1 
(2010), Rotating Electrical Machines, Part 1: Rating and Performance, 
Section 4: Duty, clause 4.2.1 and Figure 1, IBR approved for Sec.  
431.12.
    (2) International Electrotechnical Commission Standard 60050-411 
(1996), International Electrotechnical Vocabulary Chapter 411: Rotating 
machines, sections 411-33-07 and 411-37-26, IBR approved for Sec.  
431.12.
    (3) 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, IBR approved for 
Sec.  431.12.
    (4) International Electrotechnical Commission Standard 60034-12 
(2007), Rotating Electrical Machines, Part 12: Starting Performance of 
Single-Speed Three-Phase Cage Induction Motors, clauses 5.2, 5.4, 6, 
and 8, and Tables 1, 2, 3, 4, 5, 6, and 7, IBR approved for Sec.  
431.12.
    (d) IEEE. Institute of Electrical and Electronics Engineers 
Standard 112 can be obtained from the Institute of Electrical and 
Electronics Engineers, Inc., 445 Hoes Lane, P.O. Box 1331, Piscataway, 
NJ 08855-1331, 1-800-678-IEEE (4333), or http://www.ieee.org/web/publications/home/index.html.
    (1) Institute of Electrical and Electronics Engineers, Inc., 
Standard 112-2004, Test Procedure for Polyphase Induction Motors and 
Generators, Test Method B, Input-Output with Loss Segregation, 4 
November 2004, IBR approved for Sec. Sec.  431.12; 431.16; 431.19; 
431.20; appendix B to subpart B of part 431.
    (2) [Reserved]
    (e) NEMA. National Electrical Manufacturers Association, 1300 North 
17th Street, Suite 1752, Rosslyn, Virginia 22209, 703-841-3200, or go 
to http://www.nema.org/.
    (1) The following provisions of NEMA Standards Publication MG1-
2009, Motors and Generators, IBR approved for Sec. Sec.  431.12; 
431.31; appendix A to subpart B; and appendix B to subpart B of part 
431:
    (i) Section I, General Standards Applying to All Machines, Part 1, 
Referenced Standards and Definitions, paragraphs 1.18.1, 1.18.1.1, 
1.19.1.1, 1.19.1.2, 1.19.1.3, and 1.40.1, IBR approved for Sec.  
431.12;
    (ii) Section I, General Standards Applying to All Machines, Part 4, 
Dimensions, Tolerances, and Mounting, paragraphs 4.1, 4.2.1, 4.2.2, 
4.4.1, 4.4.2, 4.4.4, 4.4.5, and 4.4.6, Figures 4-1, 4-2, 4-3, 4-4, and 
4-5, and Table 4-2, IBR approved for Sec.  431.12;
    (iii) Section II, Small (Fractional) and Medium (Integral) 
Machines, Part 12, Tests and Performance--AC and DC Motors, paragraphs 
12.35.1, 12.38.1, 12.38.2, 12.39.1, 12.39.2, and 12.40.1, 12.40.2, 
12.58.1, and Tables 12-2 and 12-10, IBR approved for Sec.  431.12, and 
paragraph 12.58.2, IBR approved for Sec.  431.31; and
    (iv) Section II, Small (Fractional) and Medium (Integral) Machines, 
Part 14, Application Data--AC and DC Small and Medium Machines, 
paragraphs 14.2 and 14.3, IBR approved for Sec.  431.12.
    (2) [Reserved]
    6. Section 431.18, paragraph (b) is revised to read as follows:


Sec.  431.18  Testing laboratories.

* * * * *
    (b) NIST/NVLAP is under the auspices of the National Institute of 
Standards and Technology (NIST)/National Voluntary Laboratory 
Accreditation Program (NVLAP), which is part of the U.S. Department of 
Commerce. NIST/NVLAP accreditation is granted on the basis of 
conformance with criteria published in 15 CFR part 285. The National 
Voluntary Laboratory Accreditation Program, ``Procedures and General 
Requirements,'' NIST Handbook 150-10, February 2007, and Lab Bulletin 
LB-42-2009, Efficiency of Electric Motors Program, (see Sec.  
431.15(f)(2)(i)), present the technical requirements of NVLAP for the 
Efficiency of Electric Motors field of accreditation. This handbook 
supplements NIST Handbook 150, National Voluntary Laboratory 
Accreditation Program ``Procedures and General Requirements,'' which 
contains 15 CFR part 285 plus all general NIST/NVLAP procedures, 
criteria, and policies. Changes in NIST/NVLAP's criteria, procedures, 
policies, standards, or other bases for granting accreditation 
occurring after 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. Information regarding NIST/NVLAP and its 
Efficiency of Electric Motors Program (EEM) can be obtained from NIST/
NVLAP, 100 Bureau Drive, Mail Stop 2140, Gaithersburg, MD 20899-2140, 
(301) 975-4016 (telephone), or (301) 926-2884 (fax).
    7. Section 431.19, paragraphs (b)(4) and (c)(4), are revised to 
read as follows:


Sec.  431.19  Department of Energy recognition of accreditation bodies.

* * * * *
    (b) * * *
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-2004 Test Method B 
and CSA Standard C390-10 (incorporated by reference, see Sec.  431.15) 
or similar procedures and methodologies for determining the energy 
efficiency of electric motors.
    (c) * * *
    (4) Expertise in electric motor test procedures. The petition 
should set forth the organization's experience with the test procedures 
and methodologies in IEEE Standard 112-2004 Test Method B and CSA 
Standard C390-10 (incorporated by reference, see Sec.  431.15) and with 
similar procedures and methodologies. This part of the petition should 
include description of prior projects, qualifications of staff members, 
and the like. Of particular relevance would be documentary evidence 
that establishes experience in applying the guidelines contained in the 
ISO/IEC Guide 25, General Requirements for the Competence of 
Calibration and Testing Laboratories, (see Sec.  431.15(f)(2)(ii)) to

[[Page 667]]

energy efficiency testing for electric motors.
* * * * *
    8. Section 431.20 is amended by revising paragraphs (b)(4) and 
(c)(4) to read as follows:


Sec.  431.20  Department of Energy recognition of nationally recognized 
certification programs.

* * * * *
    (b) * * *
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-2004 Test Method B 
and CAN/CSA Standard C390-10 (incorporated by reference, see Sec.  
431.15) or similar procedures and methodologies for determining the 
energy efficiency of electric motors. It must have satisfactory 
criteria and procedures for the selection and sampling of electric 
motors tested for energy efficiency.
    (c) * * *
    (4) Expertise in electric motor test procedures. The petition 
should set forth the program's experience with the test procedures and 
methodologies in IEEE Standard 112-2004 Test Method B and CSA Standard 
C390-10 (incorporated by reference, see Sec.  431.15) and with similar 
procedures and methodologies for electric. This part of the petition 
should include a description of prior projects, qualifications of staff 
members, and the like. Of particular relevance would be documentary 
evidence that establishes experience in applying guidelines contained 
in the ISO/IEC Guide 25, General requirements for the competence of 
calibration and testing laboratories, to energy efficiency testing for 
electric motors.
* * * * *
    9. Section 431.25 is revised to read as follows:


Sec.  431.25  Energy conservation standards.

    (a) Except as provided in paragraph (b) of this section, each 
general purpose electric motor (subtype I) with a power rating of 1 
horsepower or greater, but not greater than 200 horsepower, including a 
NEMA Design B motor that is a general purpose electric motor (subtype 
I), manufactured (alone or as a component of another piece of 
equipment) shall have a nominal full load efficiency no less than the 
following:

                        Nominal Full-Load Efficiencies of General Purpose Electric Motors
                                                   [Subtype I]
----------------------------------------------------------------------------------------------------------------
                                                                  Nominal full-load efficiency
                                               -----------------------------------------------------------------
                                                 Open motors  (number of poles)    Enclosed motors  (number of
Motor horsepower/ standard kilowatt equivalent ---------------------------------              poles)
                                                                                --------------------------------
                                                    6          4          2          6          4          2
----------------------------------------------------------------------------------------------------------------
1/.75.........................................       82.5       85.5       77.0       82.5       85.5       77.0
1.5/1.1.......................................       86.5       86.5       84.0       87.5       86.5       84.0
2/1.5.........................................       87.5       86.5       85.5       88.5       86.5       85.5
3/2.2.........................................       88.5       89.5       85.5       89.5       89.5       86.5
5/3.7.........................................       89.5       89.5       86.5       89.5       89.5       88.5
7.5/5.5.......................................       90.2       91.0       88.5       91.0       91.7       89.5
10/7.5........................................       91.7       91.7       89.5       91.0       91.7       90.2
15/11.........................................       91.7       93.0       90.2       91.7       92.4       91.0
20/15.........................................       92.4       93.0       91.0       91.7       93.0       91.0
25/18.5.......................................       93.0       93.6       91.7       93.0       93.6       91.7
30/22.........................................       93.6       94.1       91.7       93.0       93.6       91.7
40/30.........................................       94.1       94.1       92.4       94.1       94.1       92.4
50/37.........................................       94.1       94.5       93.0       94.1       94.5       93.0
60/45.........................................       94.5       95.0       93.6       94.5       95.0       93.6
75/55.........................................       94.5       95.0       93.6       94.5       95.4       93.6
100/75........................................       95.0       95.4       93.6       95.0       95.4       94.1
125/90........................................       95.0       95.4       94.1       95.0       95.4       95.0
150/110.......................................       95.4       95.8       94.1       95.8       95.8       95.0
200/150.......................................       95.4       95.8       95.0       95.8       96.2       95.4
----------------------------------------------------------------------------------------------------------------

     (b) Each fire pump motor manufactured (alone or as a component of 
another piece of equipment) shall have a nominal full load efficiency 
no less than the following:

                                                   Nominal Full-Load Efficiencies of Fire Pump Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                 Open motors  (number of poles)            Enclosed motors  (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       74.0       80.0       82.5          -       74.0       80.0       82.5       75.5
1.5/1.1.........................................................       75.5       84.0       84.0       82.5       77.0       85.5       84.0       82.5
2/1.5...........................................................       85.5       85.5       84.0       84.0       82.5       86.5       84.0       84.0
3/2.2...........................................................       86.5       86.5       86.5       84.0       84.0       87.5       87.5       85.5
5/3.7...........................................................       87.5       87.5       87.5       85.5       85.5       87.5       87.5       87.5
7.5/5.5.........................................................       88.5       88.5       88.5       87.5       85.5       89.5       89.5       88.5
10/7.5..........................................................       89.5       90.2       89.5       88.5       88.5       89.5       89.5       89.5

[[Page 668]]

 
15/11...........................................................       89.5       90.2       91.0       89.5       88.5       90.2       91.0       90.2
20/15...........................................................       90.2       91.0       91.0       90.2       89.5       90.2       91.0       90.2
25/18.5.........................................................       90.2       91.7       91.7       91.0       89.5       91.7       92.4       91.0
30/22...........................................................       91.0       92.4       92.4       91.0       91.0       91.7       92.4       91.0
40/30...........................................................       91.0       93.0       93.0       91.7       91.0       93.0       93.0       91.7
50/37...........................................................       91.7       93.0       93.0       92.4       91.7       93.0       93.0       92.4
60/45...........................................................       92.4       93.6       93.6       93.0       91.7       93.6       93.6       93.0
75/55...........................................................       93.6       93.6       94.1       93.0       93.0       93.6       94.1       93.0
100/75..........................................................       93.6       94.1       94.1       93.0       93.0       94.1       94.5       93.6
125/90..........................................................       93.6       94.1       94.5       93.6       93.6       94.1       94.5       94.5
150/110.........................................................       93.6       94.5       95.0       93.6       93.6       95.0       95.0       94.5
200/150.........................................................       93.6       94.5       95.0       94.5       94.1       95.0       95.0       95.0
250/186.........................................................       94.5       95.4       95.4       94.5       94.5       95.0       95.0       95.4
300/224.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
350/261.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
400/298.........................................................  .........  .........       95.4       95.4  .........  .........       95.4       95.4
450/336.........................................................  .........  .........       95.8       95.8  .........  .........       95.4       95.4
500/373.........................................................  .........  .........       95.8       95.8  .........  .........       95.8       95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

     (c) Each general purpose electric motor (subtype II) with a power 
rating of 1 horsepower or greater, but not greater than 200 horsepower, 
including a NEMA Design B motor that is a general purpose electric 
motor (subtype II), manufactured (alone or as a component of another 
piece of equipment) shall have a nominal full load efficiency no less 
than the following:

                                            Nominal Full-Load Efficiencies of General Purpose Electric Motors
                                                                      [Subtype II]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                 Open motors  (number of poles)            Enclosed motors  (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
1/.75...........................................................       74.0       80.0       82.5  .........       74.0       80.0       82.5       75.5
1.5/1.1.........................................................       75.5       84.0       84.0       82.5       77.0       85.5       84.0       82.5
2/1.5...........................................................       85.5       85.5       84.0       84.0       82.5       86.5       84.0       84.0
3/2.2...........................................................       86.5       86.5       86.5       84.0       84.0       87.5       87.5       85.5
5/3.7...........................................................       87.5       87.5       87.5       85.5       85.5       87.5       87.5       87.5
7.5/5.5.........................................................       88.5       88.5       88.5       87.5       85.5       89.5       89.5       88.5
10/7.5..........................................................       89.5       90.2       89.5       88.5       88.5       89.5       89.5       89.5
15/11...........................................................       89.5       90.2       91.0       89.5       88.5       90.2       91.0       90.2
20/15...........................................................       90.2       91.0       91.0       90.2       89.5       90.2       91.0       90.2
25/18.5.........................................................       90.2       91.7       91.7       91.0       89.5       91.7       92.4       91.0
30/22...........................................................       91.0       92.4       92.4       91.0       91.0       91.7       92.4       91.0
40/30...........................................................       91.0       93.0       93.0       91.7       91.0       93.0       93.0       91.7
50/37...........................................................       91.7       93.0       93.0       92.4       91.7       93.0       93.0       92.4
60/45...........................................................       92.4       93.6       93.6       93.0       91.7       93.6       93.6       93.0
75/55...........................................................       93.6       93.6       94.1       93.0       93.0       93.6       94.1       93.0
100/75..........................................................       93.6       94.1       94.1       93.0       93.0       94.1       94.5       93.6
125/90..........................................................       93.6       94.1       94.5       93.6       93.6       94.1       94.5       94.5
150/110.........................................................       93.6       94.5       95.0       93.6       93.6       95.0       95.0       94.5
200/150.........................................................       93.6       94.5       95.0       94.5       94.1       95.0       95.0       95.0
--------------------------------------------------------------------------------------------------------------------------------------------------------

     (d) Each NEMA Design B motor that is a general purpose electric 
motor with a power rating of more than 200 horsepower, but not greater 
than 500 horsepower, manufactured (alone or as a component of another 
piece of equipment) shall have a nominal full load efficiency no less 
than the following:

[[Page 669]]



                                     Nominal Full-Load Efficiencies of NEMA Design B General Purpose Electric Motors
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Nominal full-load efficiency
                                                                 ---------------------------------------------------------------------------------------
         Motor horsepower/ standard kilowatt equivalent                 Open motors  (number of poles)            Enclosed motors  (number of poles)
                                                                 ---------------------------------------------------------------------------------------
                                                                      8          6          4          2          8          6          4          2
--------------------------------------------------------------------------------------------------------------------------------------------------------
250/186.........................................................       94.5       95.4       95.4       94.5       94.5       95.0       95.0       95.4
300/224.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
350/261.........................................................  .........       95.4       95.4       95.0  .........       95.0       95.4       95.4
400/298.........................................................  .........  .........       95.4       95.4  .........  .........       95.4       95.4
450/336.........................................................  .........  .........       95.8       95.8  .........  .........       95.4       95.4
500/373.........................................................  .........  .........       95.8       95.8  .........  .........       95.8       95.4
--------------------------------------------------------------------------------------------------------------------------------------------------------

     (e) For purposes of determining the required minimum nominal full 
load efficiency of an electric motor that has a horsepower or kilowatt 
rating between two horsepower or two kilowatt ratings listed in any 
table of energy conservation standards in paragraphs (a) through (d) of 
this section, each such motor shall be deemed to have a listed 
horsepower or kilowatt rating, determined as follows:
    (1) A horsepower at or above the midpoint between the two 
consecutive horsepowers shall be rounded up to the higher of the two 
horsepowers;
    (2) A horsepower below the midpoint between the two consecutive 
horsepowers shall be rounded down to the lower of the two horsepowers; 
or
    (3) A kilowatt rating shall be directly converted from kilowatts to 
horsepower using the formula 1 kilowatt = (1/0.746) horsepower. The 
conversion should be calculated to three significant decimal places, 
and the resulting horsepower shall be rounded in accordance with 
paragraphs (e)(1) or (e)(2) of this section, whichever applies.
    (f) This section does not apply to definite purpose motors, special 
purpose motors, or those motors exempted by the Secretary.
    10. In Sec.  431.31, paragraph (a)(2) is revised to read as 
follows:


Sec.  431.31  Labeling requirements.

    (a) * * *
    (2) Display of required information. All orientation, spacing, type 
sizes, type faces, and line widths to display this required information 
shall be the same as or similar to the display of the other performance 
data on the motor's permanent nameplate. The nominal full load 
efficiency shall be identified either by the term ``Nominal 
Efficiency'' or ``Nom. Eff.'' or by the terms specified in paragraph 
12.58.2 of NEMA MG1-2009, (incorporated by reference, see Sec.  431.15) 
as for example ``NEMA Nom. Eff. ----.'' The DOE number shall be in the 
form ``CC----.
* * * * *
    11. Appendix A to subpart B of part 431 is revised to read as 
follows:

Appendix A to Subpart B of Part 431--Policy Statement for Electric 
Motors Covered Under the Energy Policy and Conservation Act

    This is in part an update to a reprint of a policy statement 
that was originally published on November 5, 1997 at 62 FR 59978 and 
is herein modified according to the Energy Policy and Conservation 
Act, as amended by the Energy Independency and Security Act of 2007.

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., as amended by the Energy Policy Act of 1992 (EPAct 1992), 
established energy efficiency standards and test procedures for 
certain commercial and industrial electric motors manufactured 
(alone or as a component of another piece of equipment).\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. (42 U.S.C. 6314-6315)
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

    On December 19, 2007, the Energy Independence and Security Act 
of 2007 (EISA 2007) struck EPCA section 340(13)(A) and all that 
followed through the end of subpart (A), including the definition of 
``electric motor,'' and inserted in its place two new subsections 
under the heading ``electric motor'' that defined two subtypes of 
general purpose electric motors: General purpose electric motor 
(subtype I) and general purpose electric motor (subtype II). (42 
U.S.C. 6311(13)(A) and (B)) Section 313(b)(1) of EISA 2007 updated 
the energy conservation standards for those electric motors already 
covered by EPCA (general purpose electric motor (subtype I)) and 
established energy conservation standards for specific motor types 
not previously covered, including: General purpose electric motor 
(subtype II), fire pump motors, and NEMA Design B, general purpose 
electric motors rated at 200 to 500 horsepower. (42 U.S.C. 
6313(b)(2)) The EISA 2007 energy conservation standards apply to 
covered motors manufactured or imported on or after December 19, 
2010. The EISA 2007 definitions and efficiency standards were 
subsequently codified under Sec. Sec.  431.12 and 431.25 
respectively, of Title 10 of the Code of Federal Regulations, Part 
431 (10 CFR part 431).
    On October 5, 1999, the Department published a Final Rule on 
Test Procedures for Electric Motors that clarified the several 
definitions including ``electric motor,'' ``general purpose electric 
motor,'' ``general purpose electric motor (subtype I),'' and 
``general purpose electric motor (subtype II).''
    Notwithstanding the above referenced provisions, in the past 
there has been uncertainty as to which motors EPCA covers. 
Consequently, motor manufacturers requested that the Department 
provide additional guidance as to which types of motors are 
``general purpose electric motors (subtype I),'' ``general purpose 
electric motors (subtype II),'' ``definite purpose motors,'' and 
``special purpose motors'' under EPCA. The policy statement that 
follows represents the Department's interpretation of existing 
statutes and regulations, informed by input from motor manufacturers 
and energy efficiency advocates. It is not intended to create or 
remove any rights or duties, nor is it intended to affect any other 
aspect of EPCA, EISA or DOE regulations. It does not, and is not 
intended to, have the force and effect of law.

II. Guidelines for Determining Whether a Motor Is Covered as a General 
Purpose Electric Motor (Subtype I) or (Subtype II)

A. General

    EPCA, as amended by EISA 2007, specifies minimum nominal full-
load energy efficiency standards for several types of electric 
motors, including general purpose electric motors (subtype I) and 
general purpose electric motors (subtype II). Motors with features 
or characteristics that do not meet the definitions of the above 
terms are not required to meet the corresponding EPCA requirements. 
An example includes variable speed motors operated on a variable 
frequency power supply. Similarly, multi-speed motors and variable-
speed motors, such as inverter-duty motors, are not covered 
equipment, based on their intrinsic design for

[[Page 670]]

use at variable speeds. However, NEMA Design A, B, or C motors that 
are single speed, meet all other criteria under the definitions in 
EPCA for general purpose electric motors (subtype I) or general 
purpose electric motors (subtype II), 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 general 
purpose electric motors (subtype I) and general purpose electric 
motors (subtype II) EPCA requirements.

B. Electrical Features

    EPCA, as amended by EISA, establishes two categories of electric 
motors: General purpose electric motor (subtype I) or a general 
purpose electric motor (subtype II). In DOE's view, a general 
purpose electric motor (subtype I) or (subtype II) operates on 
polyphase alternating current 60-Hertz sinusoidal power, and can be 
operated on either 230 volts or 460 volts, or both; or can be 
operated with voltage of not more than 600 volts (other than 230 or 
460 volts). Furthermore, ``can be operated'' implicitly means that 
the motor can be operated successfully. According to National 
Electrical Manufacturers Association (NEMA) Standards Publication 
MG1-2009, paragraph 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; 
\2\ 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 is a general purpose electric motor (subtype I) or (subtype 
II), 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; or when it is operated at a rated voltage of 
not more than 600 volts (other than 230 or 460 volts).\3\
---------------------------------------------------------------------------

    \2\ 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.
    \3\ 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, motors are to be tested at 
their rated values under the test procedures prescribed by EPCA. 
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 conservation standards at its rated 
voltage(s) and frequency. When a motor is rated to include a wider 
voltage range that includes 230/460 volts, the motor should meet the 
energy conservation standards at 230 volts or 460 volts.
---------------------------------------------------------------------------

    Under sections 340(13)(A) and 342(b)(3) of EPCA, as amended by 
EISA 2007, general purpose electric motors (subtype I) include 
motors that meet the electrical performance characteristics of NEMA 
Design A or B; and general purpose electric motors (subtype II) 
include motors that meet the electrical performance characteristics 
NEMA Design A, B, or C. NEMA Standards Publication MG1 assigns 
design letters, such as Design A, B, C, D, or E, to identify various 
combinations of electrical performance characteristics, including: 
locked rotor torque, breakdown torque, pull-up torque, locked rotor 
current, and slip at rated load. In the Department's view, a motor 
must meet the electrical performance characteristics of a NEMA 
Design A, B, or C motor to be covered as a general purpose electric 
motor (subtype I) or general purpose electric motor (subtype II). 
For example, as to locked rotor torque, MG1 specifies performance 
values for Design A, B, or C motors of a given speed and horsepower. 
A motor that does not meet the locked rotor torque requirements for 
Design A, B, or C is not a general purpose electric motor (subtype 
I) or general purpose electric motor (subtype II) covered under 
EPCA.

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 in NEMA Standards 
Publication MG1-2009 Part 13, ``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 by the first two digits of the 
frame size designation, and is a measure of the distance between the 
centerline of the shaft and the bottom of the mounting feet. 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 would not be usable in most general 
purpose applications, and therefore is not covered by EPCA's 
definitions of general purpose electric motors (Subtype I) and 
general purpose electric motors (Subtype II). 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 MG1-2009, or motors built in a U-frame series or a 
U-frame size smaller than that assigned by MG1-2009, 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 MG1. 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 covered by EPCA's energy 
conservation standards, 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.

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's definitions of ``general purpose electric motor (subtype I)'' 
and ``general purpose electric motor (subtype II).'' 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. The matrix classifies 
motors into five categories, which are discussed in the following 
passages.

Category I--General Purpose Electric Motors (Subtype I) and 
(Subtype II)

    Category I consists of general purpose electric motors (subtype 
I) and general purpose electric motors (subtype II).
    The Department understands that some motors essentially are 
relatively simple modifications of generic general purpose electric 
motors (subtype I) or (subtype II). 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

[[Page 671]]

the modifications have little or no effect on motor performance. Nor 
do the modifications affect energy efficiency.

Category II--Specific Purpose Electric Motors That Can Be Used in 
Most General Purpose Applications

    Category II motors are essentially modifications of generic 
general purpose motors for use on a particular type of application. 
These specific purpose Category II motors have been considered 
``definite-purpose'' motors in common industry parlance, but are 
covered as general purpose electric motors (subtype I or II) under 
EPCA because they can be used in most general purpose applications. 
Category II motors are often electric motors with horsepower ratings 
that fall between the horsepower ratings in Section 342(b) of EPCA, 
thermally protected motors, and motors with roller bearings.

Categories III, IV and V--Definite Purpose Motors, Special Purpose 
Motors, and Motors Outside the Scope of ``General Purpose Electric 
Motor (Subtype I)'' and ``General Purpose Electric Motor (Subtype 
II)''

    Category III consists of ``definite purpose motors'' as defined 
in EPCA and 10 CFR 431.12. Section 6311(13)(C) of EPCA, as amended 
by EISA 2007, 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.'' EPCA does not prescribe standards and test 
procedures for ``definite purpose motors.''
    Category IV consists of ``special purpose motors'' as defined in 
EPCA and 10 CFR 431.12. Section 6311(13)(D) of EPCA, as amended by 
EISA 2007, defines the term ``special purpose motor'' as ``any 
motor, other than a general purpose motor or definite purpose motor, 
which has special operating characteristics or special mechanical 
construction, or both, designed for a particular application.'' EPCA 
does not prescribe standards and test procedures for ``special 
purpose motors.''
    Category V consists of electric motors outside the scope of 
``general purpose electric motor (subtype I)'' and ``general purpose 
electric motor (subtype II)'' as defined in EPCA and 10 CFR 431.12.

Totally Enclosed Nonventilated (TENV) and Totally Enclosed Air-Over 
(TEAO) Motors

    A motor designated in NEMA MG1-2009, paragraph MG1-1.26.1, as 
``totally enclosed non-ventilated (IC410)'' \4\ is ``a frame-surface 
cooled totally enclosed machine which is only equipped for cooling 
by free convection.'' 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. 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.
---------------------------------------------------------------------------

    \4\ 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 cooling rotating 
machinery. The IP and IC codes are referenced in the NEMA 
designations for TENV and TEAO motors in MG1-2009 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.
---------------------------------------------------------------------------

    A motor designated in NEMA MG1-2009, paragraph 1.26.9, as 
``totally-enclosed air-over (IP54, IC417)'' is a totally enclosed 
frame-surface cooled machine intended for exterior cooling by a 
ventilating means external to the machine.'' That is, a TEAO motor 
has a cooling mechanism that is 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, the Department 
considers these motors as ``definite purpose motors.''

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, or standard U-frame 
dimensions. 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, DOE considers 
integral gearmotors to be outside the scope of ``general purpose 
electric motor (subtype I)'' or ``general purpose electric motor 
(subtype II).''
    However, an electric motor 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 the definitions of ``general 
purpose electric motor (subtype I)'' or ``general purpose electric 
motor (subtype II).''

Shafts

    1. Shaft diameter--The shaft diameter is designated in NEMA MG1 
by the identifier ``U'' and in IEC 60072-1 by the identifier ``H.'' 
The strength of a shaft is dependent on the diameter of the shaft. 
If the diameter of a shaft is smaller than the standard diameter, 
the shaft may not be of sufficient strength required for general 
purpose belted and overhung loads. If the diameter of a shaft is 
bigger than the standard diameter, it may not be possible to install 
a coupling or pulley with an inside diameter of sufficient size to 
accommodate the oversized shaft and provide sufficient remaining 
material of sufficient strength required for general purpose 
applications.
    The Department believes that couplings and pulleys appropriate 
for a given horsepower rating in the standard (NEMA or IEC) frame 
number series should be available to fit shaft diameters which are 
as large as the standard diameter for the next higher frame number 
series or as small as the standard diameter for the next lower frame 
number series. A motor otherwise considered to be a ``general 
purpose electric motor (subtype I)'' or ``general purpose electric 
motor (subtype II),'' but with a shaft diameter within the range 
bounded by the standard diameters for the next lower and next higher 
frame number series, is considered to be a ``general purpose 
electric motor (subtype I)'' or ``general purpose electric motor 
(subtype II).'' For the purpose of providing the requested guidance, 
the Department does not consider a motor with a shaft diameter 
smaller than that of the next lower frame number series or larger 
than that of the next higher frame number series to be a ``general 
purpose electric motor (subtype I)'' or ``general purpose electric 
motor (subtype II).''
    2. Shaft length--The useable shaft length is designated in NEMA 
MG1 by the identifier ``N-W'' and in IEC 60072-1 by the identifier 
``E.'' A shaft length different from the standard dimensions would 
require a change in the overall space required for the motor and a 
change in the position in which the motor could be mounted compared 
to a motor having a shaft of standard length. A motor with a shaft 
of shorter length should fit within the space of a motor having a 
shaft of standard length, although the mounting base may have to be 
modified to accommodate the change in the position of the mounting 
holes in the base of the motor. However, it is possible that the 
shaft may be too short to accommodate the size of a coupling or 
pulley required for the load in many general purpose applications. 
The Department believes that appropriate couplings or pulleys are 
available for shafts with a length not shorter than 50 percent of 
the standard length. A motor with a shaft of longer length would not 
fit within the space of a motor having a shaft of standard length 
and the location of some of the mounting holes in the base of the 
motor may be beyond the mounting base for the motor. The end of

[[Page 672]]

the motor with a longer shaft length may also extend beyond the 
equipment where it could possibly present some concerns should 
persons or other equipment unintentionally come in contact with the 
motor. Objects in closer proximity of the non-drive end of the motor 
with the longer shaft length may interfere with the cooling of the 
motor. The Department believes that there is some additional space 
available in most general purpose applications to accommodate a 
shaft somewhat longer than standard length, but that accommodating 
for increased length may be more difficult than accommodating for 
shorter length. The Department believes that an increase of 25 
percent in standard shaft is acceptable in most general purpose 
applications. For the purpose of providing the requested guidance, a 
motor with shaft length between 0.5 to 1.25 times the standard 
length for the appropriate NEMA MG1 or IEC standard does not 
preclude the motor from being considered ``general purpose electric 
motor (subtype I)'' or ``general purpose electric motor (subtype 
II).'' A motor with a shaft length outside of that range is not 
considered to be a ``general purpose electric motor (subtype I)'' or 
``general purpose electric motor (subtype II).''
    3. Shoulder location--The distance from the centerline of the 
mounting hole in the nearest foot to the shoulder on the drive end 
shaft is designated in NEMA MG1 by the identifier ``BA'' and in IEC 
60072-1 by the identifier ``C.'' The location of the shoulder limits 
the position at which the coupling, pulley, or load can be 
installed. The ``BA'' or ``C'' dimension is separate from that of 
the useable shaft length ``N-W'' or ``E.'' The two values combined 
define the distance from the centerline of the mounting hole in the 
nearest foot to the end of the shaft. A change in the ``BA'' or 
``C'' dimension can then result in introducing installation problems 
similar to those resulting from a change in the ``N-W'' or ``E'' 
dimension. A decrease in the ``BA'' or ``C'' dimension may require 
modifying the mounting base to accommodate the shorter distance 
between the mounting holes and the end of the shaft, but there 
should be no problem installing the appropriate coupling or pulley 
for most general purpose applications. As in the case of the ``N-W'' 
or ``E'' dimension, a significant increase in the ``BA'' or ``C'' 
dimension could make it difficult to install the motor in most 
general purpose applications or could introduce concerns of safety. 
For the purpose of providing the requested guidance, an increase in 
the ``BA'' or ``C'' dimension up to 0.25 times the standard useable 
shaft length dimension ``N-W'' or ``E'' does not preclude the motor 
from being considered a ``general purpose electric motor (subtype 
I)'' or ``general purpose electric motor (subtype II).'' The 
Department does not consider a motor with an increase in the ``BA'' 
or ``C'' dimension greater than 0.25 times that of the ``N-W'' or 
``E'' dimension to be a ``general purpose electric motor (subtype 
I)'' or ``general purpose electric motor (subtype II).''
    4. Special design--The standard dimensions in NEMA MG-1 are for 
smooth shafts with or without keyways. Such shafts are used with 
pulleys and couplings commonly found in most general purpose 
applications. The shaft may be straight or tapered. Other shaft 
designs are provided for particular applications. The Department has 
examined the issue of special shafts with respect to whether or not 
both a pulley and a coupling could be separately installed on the 
special shaft. An example of one common modification of the shaft 
design is to include a flat section in place of the keyway for the 
purpose of securing a coupling, pulley, or driven equipment on the 
shaft. It is the Department's belief that such a modification would 
not make it difficult to use the motor in most general purpose 
applications and would not remove the motor from being considered a 
``general purpose electric motor.'' Some special purpose or definite 
purpose applications require that the shaft have a threaded section, 
for securing the connection to the driven equipment in place. A 
threaded section on the outside of the shaft surface inhibits the 
proper installation of a pulley or coupling. DOE considers motors 
with such threaded shafts to be ``definite purpose'' or ``special 
purpose'' motors. However, a threaded hole in the shaft should not 
interfere with the installation of a pulley or coupling and DOE does 
not consider this to be a design which exempts the motor from being 
classified as a ``general purpose electric motor (subtype I)'' or 
``general purpose electric motor (subtype II).'' As another example, 
motors with stepped shafts, consisting of lengths of differing 
diameter over the useable length of the shaft, make it difficult to 
properly install a pulley or coupling for general purpose 
applications. DOE considers motors with a stepped shaft are 
considered to be ``definite purpose'' or ``special purpose'' motors. 
The Department recognizes that the aforementioned designs are just a 
few examples of special shaft designs and that it is not possible to 
cover all possible variations of shaft design in this guidance. 
Rather, the Department offers the guidance that if both a properly 
sized pulley and properly sized coupling can be installed on a non-
standard shaft at minimal cost, then the motor is not precluded from 
being considered to be a ``general purpose electric motor (subtype 
I)'' or ``general purpose electric motor (subtype II).''

IV. Further Information

    The Department has incorporated this Policy Statement into 
appendix A to subpart B of Title 10 of the Code of Federal 
Regulations, Part 431, to provide guidance as to the Department's 
interpretation of EPCA, as amended. Any comments or suggestions with 
respect to this Policy Statement, as well as requests for further 
information, should be addressed to the Program Manager, Building 
Technologies, EE-2J, U.S. Department of Energy, Forrestal Building, 
1000 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 EPCA Motor Categories: General Purpose Electric Motor Subtype I) and General
                   Purpose Electric Motor (Subtype II); Definite Purpose; and Special Purpose
----------------------------------------------------------------------------------------------------------------
                                                      Category \1\
           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   General Purpose Electric Motors
                                                                                  (Subtype I) and (Subtype II)
                                                                                  apply 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 voltages less
                                                                                  than 600 volts at 60 Hertz.
    15. Intermediate Horsepowers.......  ......      X   ......  ......  ......  Round horsepower according to
                                                                                  10 CFR 431.42 for efficiency.

[[Page 673]]

 
    16. Frequency......................  ......  ......  ......  ......      X   EPCA applies to motors
                                                                                  operating on voltages less
                                                                                  than 600 volts 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 or U-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 MG1.
    37. D Flange.......................      X   ......  ......  ......  ......  As defined in NEMA MG1.
    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 MG1.......      X   ......  ......  ......  ......  Includes single and double,
                                                                                  cylindrical, tapered, and
                                                                                  short shafts.
    42. Non-Standard Shafts or Special       X   ......  ......  ......  ......  Shaft diameter bound by the
     Shafts.                                                                      standard diameters for the
                                                                                  next lower and next higher
                                                                                  frame number series.
                                         ......  ......  ......  ......      X   Shaft diameter smaller than
                                                                                  that of the next lower frame
                                                                                  number series or larger than
                                                                                  that of the next higher frame
                                                                                  number.
                                             X   ......  ......  ......  ......  Shaft length from 0.5 to 1.25
                                                                                  times the standard length for
                                                                                  the appropriate NEMA MG1 or
                                                                                  IEC standard.
                                         ......  ......  ......  ......      X   Shaft length outside the range
                                                                                  from 0.5 to 1.25 times the
                                                                                  standard length for the
                                                                                  appropriate NEMA MG1 or IEC
                                                                                  standard.
                                             X   ......  ......  ......  ......  Shaft shoulder location with an
                                                                                  increase in the ``BA'' or
                                                                                  ``C'' dimension up to 0.25
                                                                                  times that standard useable
                                                                                  shaft length dimension ``N-W''
                                                                                  or ``E''.
                                         ......  ......  ......  ......      X   A motor with an increase in the
                                                                                  ``BA'' or ``C'' dimension
                                                                                  greater than 0.25 times that
                                                                                  of the ``N-W'' or ``E''
                                                                                  dimension.
                                             X   ......  ......  ......  ......  If both a properly sized pulley
                                                                                  and properly sized coupling
                                                                                  can be separately installed on
                                                                                  a non-standard shaft without
                                                                                  significantly changing the
                                                                                  shaft extension or mounting
                                                                                  configuration of the driven
                                                                                  equipment.
    43. Non-Standard Material..........      X   ......  ......  ......  ......  ...............................
G. Fans:
    44. Special Material...............      X   ......  ......  ......  ......  ...............................
    45. Quiet Design...................      X   ......  ......  ......  ......  ...............................
H. Other Motors:
    46. Washdown.......................      X   ......  ......  ......  ......  Test with seals removed.
    47. Close-coupled pump.............      X   ......  ......  ......  ......  JM and JP frame assignments.
    48. Integral Gear Motor............  ......  ......  ......  ......      X   Typically special mechanical
                                                                                  design, and not a T-frame or U-
                                                                                  frame; motor and gearbox
                                                                                  inseparable and operate as one
                                                                                  system.
    49. Vertical solid shaft normal          X   ......  ......  ......  ......  ...............................
     thrust.
    50. Saw Arbor......................  ......  ......  ......      X   ......  Special electrical/mechanical
                                                                                  design.

[[Page 674]]

 
    51. TENV...........................  ......  ......      X   ......  ......  Totally-enclosed non-
                                                                                  ventilated; not equipped for
                                                                                  cooling (IP54, IC410).
    52. TEAO...........................  ......  ......      X   ......  ......  Totally-enclosed air-over;
                                                                                  requires airflow from external
                                                                                  source (IP54, IC417).
    53. Fire Pump......................      X   ......  ......  ......  ......  When safety certification is
                                                                                  not required. See also EPCA
                                                                                  Sec.   342(b)(1).
    54. Non-continuous.................  ......  ......  ......  ......      X   EPCA covers only continuous
                                                                                  ratings as general purpose
                                                                                  electric motor (subtype I) and
                                                                                  (subtype II).
    55. Integral Brake Motor...........  ......  ......  ......      X   ......  Integral brake design factory
                                                                                  built within the motor.
----------------------------------------------------------------------------------------------------------------
\1\ Category I--General purpose electric motors (subtype I) or (subtype II) as defined in EPCA.
Category II--Specific purpose electric motors that can be used in most general purpose applications.
Category III--Definite purpose motors as defined in EPCA.
Category IV--Special purpose motors as defined in EPCA.
Category V--Outside the scope of General purpose electric motors (subtype I) or (subtype II) as defined in EPCA.

    12. Appendix B to subpart B of part 431 is revised to read as 
follows:

Appendix B to Subpart B of Part 431--Uniform Test Method for Measuring 
Nominal Full Load Efficiency of Electric Motors

1. Definitions

    Definitions contained in Sec. Sec.  431.2 and 431.12 are 
applicable to this appendix.

2. Test Procedures

    Efficiency and losses shall be determined in accordance with 
NEMA MG1-2009, paragraph 12.58.1, ``Determination of Motor 
Efficiency and Losses,'' (incorporated by reference, see Sec.  
431.15) and either:
    (1) CSA Standard C390-10 (incorporated by reference, see Sec.  
431.15), or
    (2) IEEE Standard 112-2004 Test Method B, Input-Output With Loss 
Segregation, (incorporated by reference, see Sec.  431.15).

3. Amendments to Test Procedures

    Any revision to IEEE Standard 112-2004 Test Method B, to NEMA 
Standards Publication MG1-2009, or to CSA Standard C390-10 
(incorporated by reference, see Sec.  431.15) subsequent to 
promulgation of this appendix B, shall not be effective for purposes 
of test procedures required under Part 431 and this appendix B, 
unless and until Part 431 and this appendix B are amended.

    13. Section 431.441 is revised to read as follows:


Sec.  431.441  Purpose and scope.

    This subpart contains definitions, test procedures, and energy 
conservation requirements for small electric motors, pursuant to Part 
A-1 of Title III of the Energy Policy and Conservation Act, as amended, 
42 U.S.C. 6311-6317. This subpart does not cover ``electric motors,'' 
which are addressed in subpart B of this part.
    14. In Sec.  431.443, revise paragraphs (b)(1), (c)(1), and (c)(2), 
and add a new paragraph (b)(2) to read as follows:


Sec.  431.443  Materials incorporated by reference.

* * * * *
    (b) * * *
    (1) CAN/CSA-C747-09 (``CAN/CSA-C747''), Energy efficiency test 
methods for small motors, October 1, 2009, IBR approved for Sec. Sec.  
431.444; 431.447.
    (2) CSA C390-10, Test methods, marking requirements, and energy 
efficiency levels for three-phase induction motors, March 22, 2010, IBR 
approved for Sec. Sec.  431.444; 431.447.
    (c) * * *
    (1) IEEE Standard 112-2004, (``IEEE Std 112''), Test Procedure for 
Polyphase Induction Motors and Generators, Test Method A, Input-Output, 
and Test Method B, Input-Output with Loss Segregation, 4 November 2004, 
IBR approved for Sec. Sec.  431.444; 431.447.
    (2) IEEE Standard 114-2001, (``IEEE Std 114''), Test Procedure for 
Single-Phase Induction Motors, 6 December 2001, IBR approved for 
Sec. Sec.  431.444; 431.447.
    15. In Sec.  431.444, paragraph (b) is revised to read as follows:


Sec.  431.444  Test procedures for the measurement of energy 
efficiency.

* * * * *
    (b) Testing and Calculations. Determine the energy efficiency and 
losses by using one of the following test methods:
    (1) Single-phase small electric motors: Either IEEE 114-2001, 
(incorporated by reference, see Sec.  431.443), or CAN/CSA C747, 
(incorporated by reference, see Sec.  431.443);
    (2) Polyphase small electric motors less than or equal to 1 
horsepower (0.75 kW): Either IEEE 112-2004 Test Method A, (incorporated 
by reference, see Sec.  431.443), or CAN/CSA C747, (incorporated by 
reference, see Sec.  431.443); or
    (3) Polyphase small electric motors greater than 1 horsepower (0.75 
kW): Either IEEE 112-2004 Test Method, (incorporated by reference, see 
Sec.  431.443), or CSA C390-10 (incorporated by reference, see Sec.  
431.443).
    16. In Sec.  431.445, paragraph (b)(5) is added and paragraph (c) 
is revised to read as follows:


Sec.  431.445  Determination of small electric motor efficiency.

* * * * *
    (b) * * *
    (5) Use of a certification program. (i) A manufacturer may have a 
certification program, that DOE has classified as nationally recognized 
under Sec.  431.447, certify the average full load efficiency of a 
basic model of small electric motor, and issue a certificate of 
conformity for the small motor.
    (ii) For each basic model for which a certification program is not 
used as described in paragraph (b)(5)(i) of this section, any testing 
of a motor to determine its energy efficiency must be carried out in 
accordance with paragraphs (b) and (c) of this section. (This includes 
testing of the basic model, pursuant to paragraph (b)(3)(i) of this 
section, to substantiate an AEDM.)
    (c) Additional testing requirements applicable when a certification 
program is not used--(1) Selection of basic models for testing. (i) 
Basic models must be selected for testing in accordance with the 
following criteria:

[[Page 675]]

    (A) Two of the basic models must be among the five basic models 
that comply with Sec.  431.446 and have the highest unit volumes of 
production by the manufacturer in the prior year, or during the prior 
12 calendar month period beginning in 2015, whichever is later;
    (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 average 
full load efficiency among the basic models with the same rating 
(``rating'' as used here has the same meaning as it has in the 
definition of ``basic model'').
    (ii) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, the criteria shall be given priority in the order in which 
they are listed. Within the limits imposed by the criteria, basic 
models shall be selected randomly.
    (2) Selection of units for testing within a basic model. For each 
basic model selected for testing, a sample of units shall be selected 
at random and tested. The sample shall be comprised of production units 
of the basic model, or units that are representative of such production 
units. The sample size shall be no fewer than five units, except when 
fewer than five units of a basic model would be produced over a 
reasonable period of time (approximately 180 days), then each unit 
shall be tested. When selecting a basic model for testing, components 
of similar design may be substituted without requiring additional 
testing if the represented measures of energy consumption satisfy the 
applicable sampling provision.
    (3) Applying results of testing. In a test of compliance with a 
represented average efficiency:
    The average full load efficiency of the sample X, which is defined 
by
[GRAPHIC] [TIFF OMITTED] TP05JA11.000

where Xi is the measured full load efficiency of unit i 
and n is the number of units tested, shall satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TP05JA11.001

where RE is the represented average full load efficiency.

    17. A new Sec.  431.447 is added to read as follows:


Sec.  431.447  Department of Energy recognition of nationally 
recognized certification programs.

    (a) Petition. For a certification program to be classified by the 
Department of Energy as being nationally recognized in the United 
States for the purposes of Section 345(c) of EPCA (``nationally 
recognized''), the organization operating the program must submit a 
petition to the Department requesting such classification, in 
accordance with paragraph (c) of this section and Sec.  431.448. The 
petition must demonstrate that the program meets the criteria in 
paragraph (b) of this section.
    (b) Evaluation criteria. For a certification program to be 
classified by the Department as nationally recognized, it must meet the 
following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering a certification system, including periodic 
follow up activities to assure that basic models of small electric 
motors continue to conform to the efficiency levels for which they were 
certified, and for granting a certificate of conformity.
    (2) It must be independent of small electric motor manufacturers, 
importers, distributors, private labelers or vendors. It cannot be 
affiliated with, have financial ties with, be controlled by, or be 
under common control with any such entity.
    (3) It must be qualified to operate a certification system in a 
highly competent manner.
    (4) It must be expert in the content and application of the test 
procedures and methodologies in IEEE Standard 112-2004 Test Methods A 
and B, IEEE Standard 114-2001, CSA Standard C390-10, and CAN/CSA 
Standard C747-09 (incorporated by reference, see Sec.  431.443) or 
similar procedures and methodologies for determining the energy 
efficiency of small electric motors. It must have satisfactory criteria 
and procedures for the selection and sampling of electric motors tested 
for energy efficiency.
    (c) Petition format. Each petition requesting classification as a 
nationally recognized certification program must contain a narrative 
statement as to why the program meets the criteria listed in paragraph 
(b) of this section, must be signed on behalf of the organization 
operating the program by an authorized representative, and must be 
accompanied by documentation that supports the narrative statement. The 
following provides additional guidance as to the specific criteria:
    (1) Standards and procedures. A copy of the standards and 
procedures for operating a certification system and for granting a 
certificate of conformity should accompany the petition.
    (2) Independent status. The petitioning organization should 
identify and describe any relationship, direct or indirect, that it or 
the certification program has with an electric motor manufacturer, 
importer, distributor, private labeler, vendor, trade association or 
other such entity, as well as any other relationship it believes might 
appear to create a conflict of interest for the certification program 
in operating a certification system for compliance by small electric 
motors with energy efficiency standards. It should explain why it 
believes such relationship would not compromise its independence in 
operating a certification program.
    (3) Qualifications to operate a certification system. Experience in 
operating a certification system should be discussed and substantiated 
by supporting documents. Of particular relevance would be documentary 
evidence that establishes experience in the application of guidelines 
contained in the ISO/IEC Guide 65, General requirements for bodies 
operating product certification systems, ISO/IEC Guide 27, Guidelines 
for corrective action to be taken by a certification body in the event 
of either misapplication of its mark of conformity to a product, or 
products which bear the mark of the certification body being found to 
subject persons or property to risk, and ISO/IEC Guide 28, General 
rules for a model third-party certification system for products, as 
well as experience in overseeing compliance with the guidelines 
contained in the ISO/IEC Guide 25, General requirements for the 
competence of calibration and testing laboratories.
    (4) Expertise in small electric motor test procedures. The petition 
should set forth the program's experience with the test procedures and 
methodologies in IEEE Standard 112-2004 Test Methods A and B, IEEE 
Standard 114-2001, CSA Standard C390-10, and CAN/CSA Standard C747-2009 
(incorporated by reference, see Sec.  431.443) and with similar 
procedures and methodologies. This part of the petition should include 
description of prior projects, qualifications of staff members, and the 
like. Of particular relevance would be documentary evidence that 
establishes experience in applying guidelines contained in the ISO/IEC 
Guide 25, General requirements for the competence of calibration and 
testing laboratories, to energy efficiency testing for small electric 
motors.

[[Page 676]]

    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  431.448, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as a nationally recognized certification program.
    18. A new Sec.  431.448 is added to read as follows:


Sec.  431.448  Procedures for recognition and withdrawal of recognition 
of certification programs.

    (a) Filing of petition. Any petition submitted to the Department 
pursuant to Sec.  431.447(a), shall be entitled ``Petition for 
Recognition'' (``Petition'') and must be submitted, in triplicate to 
the Assistant Secretary for Energy Efficiency and Renewable Energy, 
U.S. Department of Energy, Forrestal Building, 1000 Independence 
Avenue, SW., Washington, DC 20585-0121. In accordance with the 
provisions set forth in 10 CFR 1004.11, any request for confidential 
treatment of any information contained in such a Petition or in 
supporting documentation must be accompanied by a copy of the Petition 
or supporting documentation from which the information claimed to be 
confidential has been deleted.
    (b) Public notice and solicitation of comments. DOE shall publish 
in the Federal Register the Petition from which confidential 
information, as determined by DOE, has been deleted in accordance with 
10 CFR 1004.11 and shall solicit comments, data and information on 
whether the Petition should be granted. The Department shall also make 
available for inspection and copying the Petition's supporting 
documentation from which confidential information, as determined by 
DOE, has been deleted in accordance with 10 CFR 1004.11. Any person 
submitting written comments to DOE with respect to a Petition shall 
also send a copy of such comments to the petitioner.
    (c) Responsive statement by the petitioner. A petitioner may, 
within 10 working days of receipt of a copy of any comments submitted 
in accordance with paragraph (b) of this section, respond to such 
comments in a written statement submitted to the Assistant Secretary 
for Energy Efficiency and Renewable Energy. A petitioner may address 
more than one set of comments in a single responsive statement.
    (d) Public announcement of interim determination and solicitation 
of comments. The Assistant Secretary for Energy Efficiency and 
Renewable Energy shall issue an interim determination on the Petition 
as soon as is practicable following receipt and review of the Petition 
and other applicable documents, including, but not limited to, comments 
and responses to comments. The petitioner shall be notified in writing 
of the interim determination. DOE shall also publish in the Federal 
Register the interim determination and shall solicit comments, data and 
information with respect to that interim determination. Written 
comments and responsive statements may be submitted as provided in 
paragraphs (b) and (c) of this section.
    (e) Public announcement of final determination. The Assistant 
Secretary for Energy Efficiency and Renewable Energy shall as soon as 
practicable, following receipt and review of comments and responsive 
statements on the interim determination publish in the Federal Register 
a notice of final determination on the Petition.
    (f) Additional information. The Department may, at any time during 
the recognition process, request additional relevant information or 
conduct an investigation concerning the Petition. The Department's 
determination on a Petition may be based solely on the Petition and 
supporting documents, or may also be based on such additional 
information as the Department deems appropriate.
    (g) Withdrawal of recognition--(1) Withdrawal by the Department. If 
the Department believes that a certification program that has been 
recognized under Sec.  431.447 is failing to meet the criteria of 
paragraph (b) of the section under which it is recognized, the 
Department will so advise such entity and request that it take 
appropriate corrective action. The Department will give the entity an 
opportunity to respond. If after receiving such response, or no 
response, the Department believes satisfactory correction has not been 
made, the Department will withdraw its recognition from that entity.
    (2) Voluntary withdrawal. A certification program may withdraw 
itself from recognition by the Department by advising the Department in 
writing of such withdrawal. It must also advise those that use it (for 
a certification organization, the manufacturers) of such withdrawal.
    (3) Notice of withdrawal of recognition. The Department will 
publish in the Federal Register a notice of any withdrawal of 
recognition that occurs pursuant to this paragraph (g).

[FR Doc. 2010-33069 Filed 1-4-11; 8:45 am]
BILLING CODE 6450-01-P