[Federal Register Volume 76, Number 185 (Friday, September 23, 2011)]
[Rules and Regulations]
[Pages 59003-59008]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-24500]
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Rules and Regulations
Federal Register
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This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
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Federal Register / Vol. 76, No. 185 / Friday, September 23, 2011 /
Rules and Regulations
[[Page 59003]]
DEPARTMENT OF ENERGY
10 CFR Part 431
[Docket No. EERE-2010-BT-CE-0014]
RIN 1904-AC23
Energy Conservation Program: Compliance Certification for
Electric Motors
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule; technical amendment.
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SUMMARY: This final rule provides a new means for manufacturers of
electric motors and their private labelers to prepare and submit
Compliance Certification information to the Department of Energy (DOE
or the ``Department'') through an electronic Web-based tool, the
Compliance and Certification Management System (CCMS). The CCMS is the
preferred mechanism for submitting Compliance Certification information
for electric motors covered under the Energy Policy and Conservation
Act (EPCA), as amended. This rule is also being issued to correct the
sample Compliance Certification form currently located in Appendix C to
Subpart B of 10 CFR Part 431 to be consistent with the Energy
Independence and Security Act of 2007 (EISA 2007) energy conservation
standards. Additionally, this rule updates the address and contact
information used to submit Compliance Certification information through
certified mail to DOE.
DATES: Effective date: September 23, 2011.
ADDRESSES: For access to the docket and to read background material,
visit the U.S. Department of Energy, Resource Room of the Building
Technologies Program, 950 L'Enfant Plaza, SW., 6th Floor, 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 the
above telephone number for additional information regarding visiting
the Resource Room.
FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, 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: 202-586-6590. E-mail:
[email protected]; and Ms. Celia Sher, U.S. Department of
Energy, Office of the General Counsel, Forrestal Building, GC-71, 1000
Independence Avenue, SW., Washington, DC 20585. Telephone: 202-287-
6122. E-mail: [email protected].
SUPPLEMENTARY INFORMATION:
I. Background
EPCA establishes energy efficiency standards and test procedures
for certain commercial and industrial equipment, including electric
motors, 42 U.S.C. 6291 et seq., and states in relevant part that, ``the
Secretary [of Energy] shall require manufacturers to certify'' that
each electric motor meets the applicable energy efficiency standards.
(42 U.S.C. 6316(c)) To achieve this end, EPCA authorizes the Secretary
to issue the necessary rules requiring each manufacturer or private
labeler of covered electric motors to submit information and reports to
ensure compliance. (42 U.S.C. 6316(a)) This directive is carried out
under Section 431.36 of Title 10 of the Code of Federal Regulations
(CFR), which requires that each manufacturer or private labeler, before
distributing in commerce any basic model of an electric motor subject
to the applicable energy conservation standard, certify by means of a
Compliance Certification that each basic model(s) meets the applicable
energy conservation standard.
Section 313(b)(1)(B) of EISA 2007 amended EPCA to require each
National Electrical Manufacturers Association (NEMA) Design B, 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) after December 19, 2010, to
have a nominal full load efficiency that is not less than the values in
NEMA Standard MG-1 (2006) Table 12-11. (42 U.S.C. 6313(b)(2)(D)) DOE
codified this requirement at 10 CFR 431.25(f). 74 FR 12058 (March 23,
2009). Appendix C to Subpart B of 10 CFR Part 431 provides a format for
a manufacturer or private labeler to report the energy efficiency of
its basic models of electric motors according to rated horsepower or
kilowatts, number of poles, and open or enclosed construction.
II. Discussion
A. Submission of Compliance Certification Information
DOE establishes that Compliance Certification information for
electric motors may be submitted to DOE through either of the following
means: 1. Compliance and Certification Management System (CCMS)--via
the Web portal: https://www.regulations.doe.gov/ccms. Follow the
instructions on the CCMS Web site for submitting compliance statements
and certification reports. The CCMS is a tool for certification of
compliance with applicable energy conservation standards. Submission of
Compliance Certification information via the CCMS is strongly
encouraged and will satisfy DOE's compliance and certification
reporting requirements for electric motors. 2. Certified Mail--send to:
Certification and Compliance Reports, U.S. Department of Energy, Office
of Energy Efficiency and Renewable Energy, Building Technologies
Program, EE-2J, Forrestal Building, 1000 Independence Avenue, SW.,
Washington, DC 20585-0121.
Initially, the CCMS database will be used only as an alternative
method for the submission of Compliance Certification information for
electric motors, in addition to the current certified mail option. In a
future rulemaking, DOE anticipates proposing to remove the certified
mail option to make electronic submissions of Compliance Certification
information through the CCMS the sole method of submission for electric
motors. Such a requirement would be consistent with DOE's March 7, 2011
final rule titled ``Certification, Compliance and Enforcement for
Consumer Products and Commercial and Industrial Equipment.'' 76 FR
12422. In that final rule, DOE noted its intent, where possible, to
harmonize the certification provisions
[[Page 59004]]
for electric motors with the requirements for covered products and
equipment under Part 429 of the CFR, which includes mandatory
electronic submission. 76 FR 12447.
B. Sample Compliance Certification Form
In order to provide clarity to manufacturers, DOE is correcting the
sample Compliance Certification form currently located in Appendix C to
Subpart B of 10 CFR part 431 to be consistent with the EISA 2007 energy
conservation standards. DOE's regulations, under 10 CFR 431.36(b),
require manufacturers of electric motors to use the format in Appendix
C to subpart B of 10 CFR part 431 for submitting Compliance
Certification reports. As published, this Compliance Certification form
does not allow manufacturers to identify the correct motor subtype and
product class information that would allow DOE to determine whether a
basic model is in compliance with the EISA 2007 standards.
Consequently, today's final rule conforms the sample Compliance
Certification form and table with the efficiency levels resulting from
EISA 2007 by replacing the table with a revised table showing the
additional subtypes and product classes of electric motors subject to
the EISA 2007 standards.
III. Procedural Requirements
A. Executive Order 12866
Today's regulatory action is not a ``significant regulatory
action'' under section 3(f) of Executive Order 12866, ``Regulatory
Planning and Review,'' 58 FR 51735 (October 4, 1993). Accordingly, this
action was not subject to review under that Executive Order by the
Office of Information and Regulatory Affairs (OIRA) of the Office of
Management and Budget (OMB).
B. Administrative Procedure Act
The Department finds good cause to waive notice and comment on
these regulations pursuant to 5 U.S.C. 553(b)(3)(B), and the 30-day
delay in effective date pursuant to 5 U.S.C. 553(d). Notice and comment
are unnecessary and contrary to the public interest because this final
rule does not require any new actions on the part of manufacturers,
private labelers, or third-party representatives; rather it simply
allows an alternative option for submission of information which is
already required, and is otherwise technical in nature. A delay in
effective date is unnecessary and contrary to the public interest for
these same reasons. Therefore, these regulations are being published as
final regulations and are effective immediately.
C. National Environmental Policy Act
DOE has determined that this rule falls into a class of actions
that are categorically excluded from further review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's
implementing regulations at 10 CFR part 1021. This rule amends an
existing rule without changing its environmental effect, and,
therefore, is covered by the Categorical Exclusion A5 found in appendix
A to subpart D, 10 CFR part 1021. Accordingly, neither an environmental
assessment nor an environmental impact statement is required.
D. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that must be proposed for public comment, unless the agency certifies
that the rule will have no significant economic impact on a substantial
number of small entities. 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 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.
Because a notice of proposed rulemaking is not required under the
Administrative Procedure Act or other applicable law, the Regulatory
Flexibility Act does not require certification or the conduct of a
regulatory flexibility analysis for this rule.
E. Paperwork Reduction Act
Manufacturers of electric motors must certify to DOE that their
products comply with any applicable energy conservation standards. In
certifying compliance, manufacturers must test their products according
to the DOE test procedures for electric motors, including any
amendments adopted for those test procedures. DOE has established
regulations for the certification and recordkeeping requirements for
electric motors. 10 CFR 431.36. 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 approved by OMB under OMB control number
1910-1400. 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.
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.
F. Unfunded Mandates Reform Act of 1995
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub.
L. 104-4) requires each Federal agency to assess the effects of Federal
regulatory actions on State, local, and Tribal governments and the
private sector. For proposed regulatory actions likely to result in a
rule that may cause expenditures by State, local, and Tribal
governments, in the aggregate, or by the private sector, of $100
million or more (adjusted annually for inflation), section 202 of UMRA
requires a Federal agency to publish estimates of the resulting costs,
benefits, and other effects on the national economy. (2 U.S.C. 1532(a),
(b)) The UMRA also requires a Federal agency to develop an effective
process to permit timely input by elected officers of State, local, and
Tribal governments on a proposed ``significant intergovernmental
mandate.'' UMRA also requires an agency plan for giving notice and
opportunity for timely input to small governments that may be affected
before establishing a requirement that might significantly or uniquely
affect them. 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 final rule contains
neither an intergovernmental mandate nor a mandate that may result in
the expenditure of $100 million or more in any year, so these
requirements do not apply.
G. 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
[[Page 59005]]
that may affect family well-being. Today's rule would have no 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.
H. Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 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. DOE has examined this final rule and
determined that it would not preempt State law and would have no
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. Executive
Order 13132 requires no further action.
I. 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 general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity, (2) write
regulations to minimize litigation, (3) provide a clear legal standard
for affected conduct rather than a general standard, and (4) promote
simplification and burden reduction. Regarding the review required by
section 3(a), section 3(b) of Executive Order 12988 specifically
requires 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 conduct
while promoting simplification and burden reduction; (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 rule meets the
relevant standards of Executive Order 12988.
J. Treasury and General Government Appropriations Act, 2001
The Treasury and General Government Appropriations Act, 2001 (44
U.S.C. 3516 note) provides for agencies to review most disseminations
of information to the public under guidelines established by each
agency pursuant to 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 rulemaking under the OMB and DOE guidelines and has concluded
that it is consistent with applicable policies in those guidelines.
K. 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 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 of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use. Today's regulatory
action is not a significant regulatory action under Executive Order
12866 or any successor order; would not have a significant adverse
effect on the supply, distribution, or use of energy; and has not been
designated by the Administrator of OIRA as a significant energy action.
Accordingly, DOE has not prepared a Statement of Energy Effects.
L. Executive Order 12630
Pursuant to Executive Order 12630, ``Governmental Actions and
Interference with Constitutionally Protected Property Rights,'' 53 FR
8859 (March 15, 1988), DOE has determined that this rule would not
result in any takings that might require compensation under the Fifth
Amendment to the U.S. Constitution.
M. Section 32 of the Federal Energy Administration Act of 1974
Under section 301 of the Department of Energy Organization Act
(Pub. L. 95-91), the Department of Energy 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
notice of proposed rulemaking 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. This final rule to provide for use of the
CCMS system for the submission of Compliance Certification information
and correct the sample Compliance Certification form does not require
the use of any commercial standards. Therefore, no consultation with
either DOJ or FTC is required.
N. Congressional Notification
As required by 5 U.S.C. 801, DOE will report to Congress on the
promulgation of today's rule before its effective date. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 804(2).
IV. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this final
rule.
List of Subjects in 10 CFR Part 431
Administrative practice and procedure, Confidential business
information, Energy conservation, Household appliances, and Reporting
and recordkeeping requirements.
Issued in Washington, DC, on September 12, 2011.
Kathleen Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology
Development, Energy Efficiency and Renewable Energy.
For the reasons set forth in the preamble, chapter II of title 10,
Code of Federal Regulations, part 431 is amended to read as set forth
below.
[[Page 59006]]
PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND
INDUSTRIAL EQUIPMENT
0
1. The authority citation for part 431 continues to read as follows:
Authority: U.S.C. 6291-6317.
0
2. Section 431.36 is amended by revising paragraph (d) to read as
follows:
Sec. 431.36 Compliance Certification.
* * * * *
(d) Signature and submission. A manufacturer or private labeler
must submit the Compliance Certification either on its own behalf,
signed by a corporate official of the company, or through a third party
(for example, a trade association or other authorized representative)
acting on its behalf. Where a third party is used, the Compliance
Certification must identify the official of the manufacturer or private
labeler who authorized the third party to make representations on the
company's behalf, and must be signed by a corporate official of the
third party. The Compliance Certification must be submitted to the
Department electronically at https://www.regulations.doe.gov/ccms.
Alternatively, the Compliance Certification may be submitted by
certified mail to: Certification and Compliance Reports, U.S.
Department of Energy, Office of Energy Efficiency and Renewable Energy,
Building Technologies Program, EE-2J, Forrestal Building, 1000
Independence Avenue, SW., Washington, DC 20585-0121.
* * * * *
0
3. Appendix C to subpart B of part 431 is revised to read as follows:
APPENDIX C TO SUBPART B OF PART 431--COMPLIANCE CERTIFICATION
Certification of Compliance With Energy Efficiency Standards for
Electric Motors (Office of Management and Budget Control Number: 1910-
1400. Expires February 13, 2014)
An electronic form is available at https://www.regulations.doe.gov/ccms/.
1. Name and Address of Company (the ``company''):
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2. Name(s) to be Marked on Electric Motors to Which this
Compliance Certification Applies:
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3. If manufacturer or private labeler wishes to receive a unique
Compliance Certification number for use with any particular brand
name, trademark, or other label name, fill out the following two
items:
A. List each brand name, trademark, or other label name for
which the company requests a Compliance Certification number:
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B. List other name(s), if any, under which the company sells
electric motors (if not listed in item 2 above):
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Submit electronically at https://www.regulations.doe.gov/ccms.
Submit paper form by Certified Mail to: U.S. Department of
Energy, Office of Energy Efficiency and Renewable Energy, Building
Technologies (EE-2J), Forrestal Building, 1000 Independence Avenue,
SW., Washington, DC 20585-0121.
This Compliance Certification reports on and certifies
compliance with requirements contained in 10 CFR Part 431 (Energy
Conservation Program for Certain Commercial and Industrial
Equipment) and Part C of the Energy Policy and Conservation Act
(Pub. L. 94-163), and amendments thereto. It is signed by a
responsible official of the above named company. Attached and
incorporated as part of this Compliance Certification is a Listing
of Electric Motor Efficiencies. For each rating of electric motor*
for which the Listing specifies the nominal full load efficiency of
a basic model, the company distributes no less efficient basic model
with that rating and all basic models with that rating comply with
the applicable energy efficiency standard.
* For this purpose, the term ``rating'' means one of the
combinations of an electric motor's horsepower (or standard kilowatt
equivalent), number of poles, motor type, and open or enclosed
construction, with respect to which Sec. 431.25 of 10 CFR Part 431
prescribes nominal full load efficiency standards.
Person to Contact for Further Information:
Name:------------------------------------------------------------------
Address:---------------------------------------------------------------
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Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
If any part of this Compliance Certification, including the
Attachment, was prepared by a third party organization under the
provisions of 10 CFR 431.36, the company official authorizing third
party representations:
Name:------------------------------------------------------------------
Address:---------------------------------------------------------------
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Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
Third Party Organization Officially Acting as Representative:
Third Party Organization:----------------------------------------------
Responsible Person at the Organization:--------------------------------
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Address:---------------------------------------------------------------
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Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
All required determinations on which this Compliance
Certification is based were made in conformance with the applicable
requirements in 10 CFR Part 431, subpart B. All information reported
in this Compliance Certification is true, accurate, and complete.
The company is aware of the penalties associated with violations of
the Act and the regulations thereunder, and is also aware of the
provisions contained in 18 U.S.C. 1001, which prohibits knowingly
making false statements to the Federal Government.
Signature:-------------------------------------------------------------
Date:------------------------------------------------------------------
Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Firm or Organization:--------------------------------------------------
Attachment of Certification of Compliance With Energy Efficiency
Standards for Electric Motor Efficiencies
Date:------------------------------------------------------------------
Name of Company:-------------------------------------------------------
Motor Type (i.e., general purpose electric motor (subtype I),
fire pump electric motor, general purpose electric motor (subtype
II), NEMA Design B general purpose electric motor)
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[[Page 59007]]
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Least efficient basic model--(model numbers(s)) Nominal full-load efficiency
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Motor horsepower/standard Open motors (number of poles) Enclosed motors (number of poles)
kilowatt equivalent -------------------------------------------------------------------------------
8 6 4 2 8 6 4 2
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1/.75........................... ------ ------ ------ ------ ------ ------ ------ ------
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1.5/1.1......................... ------ ------ ------ ------ ------ ------ ------ ------
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2/1.5........................... ------ ------ ------ ------ ------ ------ ------ ------
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3/2.2........................... ------ ------ ------ ------ ------ ------ ------ ------
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5/3.7........................... ------ ------ ------ ------ ------ ------ ------ ------
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Etc............................. ------ ------ ------ ------ ------ ------ ------ ------
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Note: Place an asterisk beside each reported nominal full load efficiency that is determined by actual testing
rather than by application of an alternative efficiency determination method. Also list below additional basic
models that were subjected to actual testing.
Basic Model means all units of a given type of electric motor
(or class thereof) manufactured by a single manufacturer, and which
(i) have the same rating, (ii) have electrical design
characteristics that are essentially identical, and (iii) do not
have any differing physical or functional characteristics that
affect energy consumption or efficiency.
Rating means one of the combinations of an electric motor's
horsepower (or standard kilowatt equivalent), number of poles, motor
type, and open or enclosed construction, with respect to which Sec.
431.25 of 10 CFR Part 431 prescribes nominal full load efficiency
standards.
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Least efficient basic model--(model numbers(s)) Nominal full-load efficiency
-------------------------------------------------------------------------------
Motor horsepower/standard Open motors (number of poles) Enclosed motors (number of poles)
kilowatt equivalent -------------------------------------------------------------------------------
8 6 4 2 8 6 4 2
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[[Page 59008]]
Etc............................. ------ ------ ------ ------ ------ ------ ------ ------
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[FR Doc. 2011-24500 Filed 9-22-11; 8:45 am]
BILLING CODE 6450-01-P