[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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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
                                 -------------------------------------------------------------------------------
    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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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]]

 
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[FR Doc. 2011-24500 Filed 9-22-11; 8:45 am]
BILLING CODE 6450-01-P