[Federal Register Volume 86, Number 240 (Friday, December 17, 2021)]
[Proposed Rules]
[Pages 71710-71783]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-25667]



[[Page 71709]]

Vol. 86

Friday,

No. 240

December 17, 2021

Part II





Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Electric Motors; 
Proposed Rule

  Federal Register / Vol. 86 , No. 240 / Friday, December 17, 2021 / 
Proposed Rules  

[[Page 71710]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[EERE-2020-BT-TP-0011]
RIN 1904-AE62


Energy Conservation Program: Test Procedure for Electric Motors

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

ACTION: Notice of proposed rulemaking and request for comment.

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SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend the 
existing scope of the DOE test procedures consistent with related 
industry changes for nomenclature and test procedure developments 
(i.e., for air-over electric motors, submersible electric motors, 
electric motors greater than 500 horsepower, electric motors considered 
small, inverter-only electric motors, and synchronous electric motors); 
add test procedures, metric, and supporting definitions for additional 
electric motors covered under the proposed scope; and update references 
to industry standards to reference current versions. Furthermore, DOE 
proposes to adopt industry provisions related to the prescribed test 
conditions to further ensure the comparability of test. In addition, 
DOE proposes to update certain testing instructions to reduce 
manufacturer burden. Further, DOE proposes to amend the provisions 
pertaining to certification testing and determination of represented 
values for electric motors other than dedicated-purpose pool pump 
motors, apply these provisions to the additional electric motors 
proposed for inclusion in the scope of the test procedure, and to move 
both provisions consistent with the location of other certification 
requirements for other covered products and equipment. Finally, DOE 
proposes to add provisions pertaining to certification testing and 
determination of represented values for dedicated-purpose pool pump 
motors. DOE is seeking comment from interested parties on the proposal.

DATES: DOE will accept comments, data, and information regarding this 
proposal no later than February 15, 2022. See section V, ``Public 
Participation,'' for details. DOE will hold a webinar on Tuesday, 
January 25, 2022, from 12:30 p.m. to 4:00 p.m. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at www.regulations.gov. Follow the 
instructions for submitting comments. Alternatively, interested persons 
may submit comments, identified by docket number EERE-2020-BT-TP-0011, 
by any of the following methods:
    (1) Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    (2) Email: [email protected]. Include the docket 
number EERE-2020-BT-TP-0011 or regulatory information number (``RIN'') 
1904-AE62 in the subject line of the message.
    No telefacsimiles (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of this document.
    Although DOE has routinely accepted public comment submissions 
through a variety of mechanisms, including postal mail and hand 
delivery/courier, the Department has found it necessary to make 
temporary modifications to the comment submission process in light of 
the ongoing Covid-19 pandemic. DOE is currently suspending receipt of 
public comments via postal mail and hand delivery/courier. If a 
commenter finds that this change poses an undue hardship, please 
contact Appliance Standards Program staff at (202) 586-1445 to discuss 
the need for alternative arrangements. Once the Covid-19 pandemic 
health emergency is resolved, DOE anticipates resuming all of its 
regular options for public comment submission, including postal mail 
and hand delivery/courier.
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts (if a public meeting is held), 
comments, and other supporting documents/materials, is available for 
review at www.regulations.gov. All documents in the docket are listed 
in the www.regulations.gov index. However, some documents listed in the 
index, such as those containing information that is exempt from public 
disclosure, may not be publicly available.
    The docket web page can be found at www.regulations.gov/docket?D=EERE-2020-BT-TP-0011. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section V for information on how to submit comments 
through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Mr. Jeremy Dommu, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 586-9870. Email [email protected]">ApplianceStandards[email protected].
    Mr. Michael Kido, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-8145. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in a public meeting (if 
one is held), contact the Appliance and Equipment Standards Program 
staff at (202) 287-1445 or by email: [email protected]">ApplianceStandards[email protected].
    DOE has submitted the collection of information contained in the 
proposed rule to OMB for review under the Paperwork Reduction Act, as 
amended. (44 U.S.C. 3507(d)) Comments on the information collection 
proposal shall be directed to the Office of Information and Regulatory 
Affairs, Office of Management and Budget, Attention: Sofie Miller, OIRA 
Desk Officer by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to maintain a previously 
approved incorporation by reference and to incorporate by reference the 
following industry standards into part 431:
    Canadian Standards Association (``CSA'') C390-10 (R2019), ``Test 
methods, marking requirements, and energy efficiency levels for three-
phase induction motors,'' March 2010.
    CSA C747-09 (R2019), ``Energy Efficiency Test Methods for Small 
Motors'', October 2009.
    Copies of CSA C390-10 (R2019) and CSA C747-09 (R2019) can be 
obtained from Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-
463-6727, or by visiting http://www.shopcsa.ca/onlinestore/welcome.asp.
    International Electrotechnical Commission (``IEC'') 60034-12:2016, 
Edition 3.0 2016-11, ``Rotating Electrical Machines, Part 12: Starting 
Performance of Single-Speed Three-Phase Cage Induction Motors,'' 
Published November 23, 2016.
    IEC 60079-7:2015, Edition 5.0 2015-06, ``Explosive atmospheres--
Part 7: Equipment protection by increased safety ``e'','' Published 
June 26, 2015.
    IEC 60034-2-1:2014, Edition 2.0 2014-06, Rotating electrical 
machines--Part 2-1: Standard methods for

[[Page 71711]]

determining losses and efficiency from tests (excluding machines for 
traction vehicles).
    IEC 61800-9-2:2017, ``Adjustable speed electrical power drive 
systems--Part 9-2: Ecodesign for power drive systems, motor starters, 
power electronics and their driven applications--Energy efficiency 
indicators for power drive systems and motor starters'', Edition 1.0, 
March 2017.
    Copies of IEC 60034-2-1:2014, IEC 60034-12:2016, IEC 60079-7:2015 
and IEC 61800-9-2:2017 may be purchased from International 
Electrotechnical Commission, 3 rue de Varemb[eacute], 1st floor, P.O. 
Box 131, CH--1211 Geneva 20--Switzerland, +41 22 919 02 11, or by 
visiting https://webstore.iec.ch/home.

    Institute of Electrical and Electronics Engineers (``IEEE'') 112-
2017, IEEE Standard Test Procedure for Polyphase Induction Motors and 
Generators, approved December 6, 2017;
    IEEE 114-2010, ``Test Procedure for Single-Phase Induction 
Motors'', September 30, 2010.
    Copies of IEEE 112-2017 and 114-2010 can be obtained from: IEEE, 
445 Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, (732) 981-
0060, or by visiting http://www.ieee.org.
    National Electrical Manufacturers Association (``NEMA'') MG 1-2016, 
``American National Standard for Motors and Generators, ANSI approved 
June 1, 2018. (``NEMA MG 1-2016 with 2018 Supplements'').
    Copies of NEMA MG 1-2016 may be purchased from National Electrical 
Manufacturers Association, 1300 North 17th Street, Suite 900, 
Arlington, Virginia 22209, +1 703 841 3200, or by visiting https://www.nema.org.
    National Fire Protection Association (``NFPA'') 20, 2019 Edition, 
``Standard for the Installation of Stationary Pumps for Fire 
Protection,'' Approved by American National Standard on May 24, 2018. 
(``NFPA 20-2019'').
    See section IV.M for a further discussion of these standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    1. ``E'' and ``Y'' Designations of IEC Design N and H Motors
    2. Single-Speed AC Induction Motors
    3. Air-Over Electric Motors
    4. Submersible Electric Motors
    5. AC Induction Electric Motors Greater Than 500 Horsepower
    6. AC Induction Electric Motors Considered ``Small''
    7. AC Induction Inverter-Only Electric Motors
    8. Synchronous Electric Motors
    9. Exemptions
    10. Motor Used as a Component of a Covered Product or Equipment
    B. Definitions
    1. Updating IEC Design N and H Motors Definitions and Including 
New Definitions for IEC Design N and H ``E'' and ``Y'' Designations
    2. Updating Definitions to Reference NEMA MG1-2016 With 2018 
Supplements
    3. Inverter, Inverter-Only, and Inverter-Capable
    4. Air-Over Electric Motors
    5. Liquid-Cooled Electric Motors
    6. Basic Model and Equipment Class
    C. Updates to Industry Standards Currently Incorporated by 
Reference
    1. IEC 60034-12
    2. NFPA 20
    3. CSA C390
    4. NEMA MG1
    D. Industry Standards To Incorporate By Reference
    1. Test Procedures for Air-Over Electric Motors
    2. Test Procedures for SNEMs
    3. Test Procedures for AC Induction Inverter-Only Electric 
Motors and Synchronous Electric Motors
    E. Metric
    F. Rated Output Power and Breakdown Torque of Electric Motors
    G. Rated Values Specified for Testing
    1. Rated Frequency
    2. Rated Load
    3. Rated Voltage
    H. Temperature Rise Measurement Location
    I. Submersible Electric Motors Testing
    J. Vertical Electric Motors Testing
    K. Contact Seals Requirement
    L. Additional Testing Instructions for Additional Electric 
Motors Proposed for Inclusion in the Scope of the Test Procedure
    M. Transition to 10 CFR Part 429
    N. Certification of Electric Motors
    1. Independent Testing
    2. Certification Process for Electric Motors
    O. Determination of Represented Value
    1. Nominal Full-Load Efficiency
    2. Testing: Use of a Nationally Recognized Testing Program
    3. Testing: Use of a Nationally Recognized Certification Program
    4. Use of an AEDM
    P. Certification, Sampling Plans, and AEDM Provisions for 
Dedicated-Purpose Pool Pump Motors
    Q. Reporting
    R. Test Procedure Costs and Harmonization
    1. Test Procedure Costs and Impact
    2. Harmonization With Industry Standards
    S. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Description of Reasons Why Action Is Being Considered
    2. Objective of, and Legal Basis for, Rule
    3. Description and Estimate of Small Entities Regulated
    4. Description and Estimate of Compliance Requirements
    5. Duplication, Overlap, and Conflict With Other Rules and 
Regulations
    6. Significant Alternatives to the Rule
    C. Review Under the Paperwork Reduction Act of 1995
    D. Review Under the National Environmental Policy Act of 1969
    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 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
    M. Description of Materials Incorporated by Reference
V. Public Participation
    A. Participation in the Webinar
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of the Webinar
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Electric motors are included in the list of ``covered equipment'' 
for which DOE is authorized to establish and amend energy conservation 
standards and test procedures. (42 U.S.C. 6311(1)(A)) DOE's energy 
conservation standards and test procedures for electric motors are 
currently prescribed at title 10 of the Code of Federal Regulations 
(``CFR'') part 431 section 25 and appendix B to subpart B of 10 CFR 
part 431 (``Appendix B''), respectively. The following sections discuss 
DOE's authority to establish test procedures for electric motors and 
relevant background information regarding DOE's consideration of test 
procedures for this equipment.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
authorizes DOE to regulate the energy efficiency of a number of 
consumer products and certain industrial equipment. (42 U.S.C. 6291-
6317) Title III, Part C \2\ of EPCA, added by Public Law 95-619, Title 
IV, section441(a), established the Energy Conservation Program for 
Certain Industrial Equipment (42 U.S.C. 6311-6317), which sets forth a 
variety of

[[Page 71712]]

provisions designed to improve energy efficiency. This equipment 
includes electric motors, the subject of this document. (42 U.S.C. 
6311(1)(A))
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    \1\ All references to EPCA in this document refer to the statute 
as amended through the Energy Act of 2020, Public Law 116-260 (Dec. 
27, 2020).
    \2\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA include definitions (42 U.S.C. 6311), test 
procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), 
energy conservation standards (42 U.S.C. 6313), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316)
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(a); 42 U.S.C. 6295(s)), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE must 
use these test procedures to determine whether the equipment complies 
with relevant standards promulgated under EPCA. (42 U.S.C. 6316(a); 42 
U.S.C. 6295(s))
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption for particular State laws or regulations, in 
accordance with the procedures and other provisions of EPCA. (42 U.S.C. 
6316(b)(2)(D))
    Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered equipment. EPCA requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results which reflect energy efficiency, energy use or estimated annual 
operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2)) In addition, if 
DOE determines that a test procedure amendment is warranted, it must 
publish proposed test procedures and offer the public an opportunity to 
present oral and written comments on them. (42 U.S.C. 6314(b))
    EPCA, pursuant to amendments made by the Energy Policy Act of 1992, 
Public Law 102-486 (Oct. 24, 1992), specifies that the test procedures 
for electric motors subject to standards are those specified in 
National Electrical Manufacturers Association (``NEMA'') Standards 
Publication MG1-1987 and Institute of Electrical and Electronics 
Engineers (``IEEE'') Standard 112 Test Method B, as in effect on 
October 24, 1992. (42 U.S.C. 6314(a)(5)(A)). If these test procedures 
are amended, DOE must amend its test procedures to conform to such 
amended test procedure requirements, unless DOE determines by rule, 
published in the Federal Register and supported by clear and convincing 
evidence, that to do so would not meet the statutory requirements 
related to the test procedure representativeness and burden. (42 U.S.C. 
6314(a)(5)(B))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including electric 
motors, to determine whether amended test procedures would more 
accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle. (42 U.S.C. 6314(a)(1)) In addition, if the Secretary determines 
that a test procedure amendment is warranted, the Secretary must 
publish proposed test procedures in the Federal Register, and afford 
interested persons an opportunity (of not less than 45 days' duration) 
to present oral and written data, views, and arguments on the proposed 
test procedures. (42 U.S.C. 6314(b)) If DOE determines that test 
procedure revisions are not appropriate, DOE must publish its 
determination not to amend the test procedures.
    DOE is publishing this NOPR in satisfaction of the requirements 
specified in EPCA.

B. Background

    DOE's existing test procedures for electric motors appear at 
appendix B. DOE updated the test procedures for electric motors in 
response to updates to NEMA MG-1 and IEEE 112 in a final rule published 
May 4, 2012. 77 FR 26608 (``May 2012 Final Rule''). In the May 2012 
Final Rule, DOE amended the test procedures to incorporate NEMA MG 1-
2009 ``American National Standard for Motors and Generators'' and IEEE 
112-2011 ``IEEE Standard Test Procedure for Polyphase Induction Motors 
and Generators''. Id. The May 2012 Final Rule also updated the test 
procedure to reference the most current version of the Canadian 
Standards Association (``CSA'') C390 ``Test methods, marking 
requirements, and energy efficiency levels for three-phase induction 
motors,'' March 2010 (``CSA C390-10'').\3\ Id.
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    \3\ DOE had previously determined that CSA Standard C390 is a 
widely recognized alternative that is consistent with IEEE 112-1996. 
64 FR 54114 (October 5, 1999).
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    On December 13, 2013, DOE again amended its electric motor test 
procedure by clarifying the test setup requirements for certain 
electric motors. 78 FR 75962 (``December 2013 Final Rule''). Amendments 
to EPCA made by the Energy Independence and Security Act of 2007 (Pub. 
L. 110-140; Dec. 19, 2007) and the American Energy Manufacturing 
Technical Corrections Act (Pub. L. 112-210; Dec. 18, 2012) enabled DOE 
to consider an expanded scope of electric motors for regulatory 
coverage. 78 FR 75962, 75965. DOE determined that the motors covered by 
the expanded scope could be tested using the testing methods provided 
in IEEE 112 (Test Method B) and CSA C390-10 (both of which were already 
incorporated as part of DOE's test procedure regulations) to accurately 
measure their losses and determine their energy efficiency. Id. 
However, some of these motors required additional testing set-up 
instructions prior to testing, which DOE established in the December 
2013 Final Rule.\4\ Id., see section 4 of appendix B.
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    \4\ A 2011 version of NEMA MG 1 was released prior to the 
publication of the December 2013 Final Rule. The updates from the 
2009 version, however, did not affect the sections of NEMA MG-1 
incorporated by reference in the DOE regulations. Subsequently, DOE 
declined to incorporate by reference NEMA MG 1-2011. 78 FR 75962, 
75963.
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    On July 31, 2017, DOE published a request for information (``RFI'') 
focused on the test procedures for small electric motors, which are 
covered separately under 10 CFR part 431 subpart X. 82 FR 35468 (``July 
2017 RFI''). The July 2017 RFI also identified issues pertaining to 
electric motors and additional motors currently not subject to either 
the small electric motor or electric motor test procedures. 82 FR 
35468, 35470-35473.

[[Page 71713]]

DOE also requested comment on potentially establishing test procedures 
for additional categories of motors currently not included in the test 
procedures for small electric motors and electric motors. Id. DOE 
received comments related to the scope in response to the July 2017 RFI 
from the interested parties listed in Table I.1, which are addressed in 
this document.\5\
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    \5\ Comments related to potential scope expansion received in 
response to the July 2017 RFI are identified by the Docket No. EERE-
2017-BT-TP-0047.

               Table I.1--Scope-Related Written Comments Received in Response to the July 2017 RFI
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         Commenter(s)                   Reference in this NOPR                       Commenter type
----------------------------------------------------------------------------------------------------------------
Advanced Energy...............  Advanced Energy.......................  Independent Testing Laboratory.
Association of Home Appliance   AHAM and AHRI.........................  Industry Trade Associations.
 Manufacturers and Air-
 conditioning, Heating, and
 Refrigeration Institute.
Pacific Gas and Electric        CA IOUs...............................  Utilities.
 Company (PG&E), San Diego Gas
 and Electric (SDG&E), and
 Southern California Edison
 (SCE).
Detector Technology Inc.......  Detech................................  Manufacturer.
American Council for an Energy- Joint Advocates.......................  Efficiency Organizations.
 efficient Economy, Appliance
 Standards Awareness Project,
 Northwest Power and
 Conservation Council,
 Northwest Energy Efficiency
 Alliance.
Lennox International Inc......  Lennox................................  Manufacturer.
McMillan Electric Company.....  McMillan Electric Company.............  Manufacturer.
National Electrical             NEMA..................................  Industry Trade Association.
 Manufacturers Association.
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    Subsequent to the July 2017 RFI, on April 23, 2019, DOE published a 
test procedure notice of proposed rulemaking (``NOPR'') for small 
electric motors and electric motors. 84 FR 17004 (``April 2019 NOPR''). 
As it relates to electric motors, DOE proposed to (1) incorporate by 
reference a revised test procedure for the measurement of energy 
efficiency, the IEEE 112-2017, ``IEEE Standard Test Procedure for 
Polyphase Induction Motors and Generators'' (``IEEE 112-2017''); and 
(2) incorporate by reference an alternative test procedure for the 
measurement of energy efficiency, the International Electrotechnical 
Commission (``IEC'') 60034-2-1:2014, ``Standard methods for determining 
losses and efficiency from tests (excluding machines for traction 
vehicles)'' (``IEC 60034-2-1:2014''). 84 FR 17004, 17006, 17010-17014. 
On January 4, 2021, DOE published the test procedure final rule for 
small electric motors and electric motors. 86 FR 4 (``January 2021 
Final Rule''). As it relates to electric motors, DOE amended the test 
procedure to finalize the proposals from the April 2019 NOPR, including 
the incorporation by reference of IEEE 112-2017 and IEC 60034-2-1:2014. 
86 FR 4, 10, 11-13.
    On June 3, 2020, DOE published an RFI pertaining to test procedures 
for electric motors in response to updates to the applicable industry 
testing standards and the 7-year look-back review required under EPCA. 
85 FR 34111 (``June 2020 RFI''). DOE received comments in response to 
the June 2020 RFI from the interested parties listed in Table I.2.

                      Table I.2--Written Comments Received in Response to the June 2020 RFI
----------------------------------------------------------------------------------------------------------------
         Commenter(s)                   Reference in this NOPR                       Commenter type
----------------------------------------------------------------------------------------------------------------
Appliance Standard Awareness    Efficiency Advocates..................  Efficiency Organizations.
 Project, American Council for
 an Energy-Efficient Economy
 and Natural Resources Defense
 Council.
Advanced Energy...............  Advanced Energy.......................  Independent Testing Laboratory.
Pacific Gas and Electric        CA IOUs...............................  Utilities.
 Company (PG&E), San Diego Gas
 and Electric (SDG&E), and
 Southern California Edison
 (SCE).
Northwest Energy Efficiency     NEEA and NWPCC........................  Efficiency Organizations.
 Alliance (NEEA) and Northwest
 Power and Conservation
 Council (NWPCC).
National Electrical             NEMA..................................  Industry Trade Association.
 Manufacturers Association.
----------------------------------------------------------------------------------------------------------------

    A parenthetical reference at the end of a comment quotation or 
paraphrase provides the location of the item in the public record.\6\
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    \6\ The parenthetical reference provides a reference for 
information located in the docket of DOE's rulemaking to develop 
test procedures for electric motors. (Docket No. EERE-2020-BT-TP-
0011, which is maintained at www.regulations.gov). The references 
are arranged as follows: (commenter name, comment docket ID number, 
page of that document).
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    On July 29, 2021, DOE published a final rule adopting a test 
procedure for dedicated purpose pool pump motors (``DPPP motors''). 86 
FR 40765. (``July 2021 Final Rule''). Specifically, the test procedure 
requires manufacturers to use CSA C747-09 (R2014), ``Energy Efficiency 
Test Methods for Small Motors'' for testing the full-load efficiency of 
DPPP motors and did not establish any certification, sampling plans, or 
Alternative Efficiency Determination Method (``AEDM'') requirements. 
The test procedure is currently located in subpart Z of 10 CFR part 
431.

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes the following updates to the test 
procedure for electric motors:
    (1) Update existing definitions for IEC Design N and H to reflect 
updates in industry standard; specify the existing scope to reflect 
updates in industry nomenclature, specifically for new industry motor 
design designations IEC Design NE, HE, NEY and HEY, and include 
corresponding definitions;
    (2) Amend the definition of ``basic model'' to rely on the term 
``equipment class'' and add a definition for ``equipment class'' to 
make the electric motor provisions consistent with other DOE-regulated 
products and equipment.
    (3) Add test procedures, full-load efficiency metric, and 
supporting

[[Page 71714]]

definitions for air-over electric motors, submersible electric motors, 
electric motors greater than 500 horsepower, electric motors considered 
small, inverter-only electric motors, and synchronous electric motor 
technologies;
    (4) Incorporate by reference the most recent versions of NEMA MG 1 
(i.e., NEMA MG 1-2016 with 2018 Supplements) and CSA C390 (i.e., CSA 
C390-10 (R2019)), as well as other referenced industry standards i.e., 
IEC 60034-12:2016, Edition 3.0 2016-11, ``Rotating Electrical Machines, 
Part 12: Starting Performance of Single-Speed Three-Phase Cage 
Induction Motors,'' (``IEC 60034-12:2016''); IEC 60079-7:2015, Edition 
5.0 2015-06, ``Explosive atmospheres--Part 7: Equipment protection by 
increased safety ``e'','' (``IEC 60079-7:2015''), which is referenced 
within IEC 60034-12:2016 and is necessary for the test procedure; and 
National Fire Protection Association (``NFPA'') 20-2019 ``Standard for 
the Installation of Stationary Pumps for Fire Protection '' (``NFPA 20-
2019'');
    (5) Incorporate by reference additional industry test standards and 
test instructions to support testing of the additional motors proposed 
for inclusion in the test procedure scope: CSA C747-09 (R2019), IEEE 
114-2010, and IEC 61800-9-2:2017;
    (6) Provide additional detail in the test instructions for electric 
motors by adding definitions for the terms ``breakdown torque,'' 
``rated frequency,'' ``rated output power,'' ``rated load,'' and 
``rated voltage;''
    (7) Update the testing instructions for vertical electric motors to 
reduce manufacturer test burden;
    (8) Explicitly provide that the current test procedure permits 
removal of contact seals for immersible electric motors only;
    (9) Require that testing be conducted in a nationally recognized 
testing program and add a definition of ``independent'' for 
certification of a new basic model pursuant to 10 CFR 431.36(e), 
required on or after 180 days following the publication of this final 
rule;
    (10) Permitting the certification of electric motors using one of 
three options: (i) A manufacturer can have the electric motor tested 
using a nationally recognized testing program and then certify on its 
own behalf or have a third party submit the manufacturer's 
certification report; (ii) a manufacturer can test the electric motor 
at a testing laboratory other than a nationally recognized testing 
program and then have a nationally recognized certification program 
certify the efficiency of the electric motor; or (iii) a manufacturer 
can use an alternative efficiency determination method and then have a 
third-party nationally recognized certification program certify the 
efficiency of the electric motor. DOE proposes to require that the use 
of these provisions be required for certification starting on the 
compliance date for any new or amended standards for electric motors 
published after January 1, 2021;
    (11) Revise the provisions pertaining to the determination of 
represented values and propose that these provisions be required on or 
after the effective date of the final rule adopting new or amended 
energy conservation standards for electric motors and apply these 
provisions to the additional electric motors proposed for inclusion in 
the scope of the test procedure;
    (12) Revise the provisions pertaining to alternative efficiency 
determination methods (``AEDMs'') as applied to electric motors and 
apply these provisions to the additional electric motors proposed for 
inclusion in the scope of the test procedure;
    (13) Revise the procedures for recognition and withdrawal of 
recognition of accreditation bodies and certification programs as 
applied to electric motors and apply these provisions to the additional 
electric motors proposed for inclusion in the scope of the test 
procedure;
    (14) Transition provisions pertaining to certification testing, 
AEDM, and determination of represented values from 10 CFR part 431 to 
10 CFR part 429; and
    (15) Add provisions pertaining to certification testing and 
determination of represented values for DPPP motors.
    DOE's proposed actions are summarized in Table II.1 compared to the 
current test procedure as well as the reason for the proposed change.

  Table II.1--Summary of Changes in Proposed Test Procedure Relative to
                         Current Test Procedure
------------------------------------------------------------------------
                                  Proposed test
 Current DOE test procedure         procedure            Attribution
------------------------------------------------------------------------
Applies to Design N and H     Specifies the         Update to industry
 motors defined at 10 CFR      existing scope to     testing standard
 431.12.                       reflect updates in    IEC 60034-12.
                               industry
                               nomenclature,
                               specifically, new
                               motor design
                               designations IEC
                               Design HE, HY, HEY,
                               NE, NY and NEY, and
                               includes
                               corresponding
                               definitions.
Exempts air-over electric     Proposes test         Update to industry
 motors.                       methods, full-load    testing standard
                               efficiency metric,    NEMA MG1 2016 with
                               and supporting        2018 Supplements
                               definitions for air-  include a test
                               over electric         method for air-over
                               motors.               electric motors.
Exempts submersible electric  Proposes test         Update to industry
 motors.                       methods, full-load    testing standard
                               efficiency metric,    NEMA MG1 2016 with
                               and supporting        2018 Supplements
                               definitions for       include a test
                               submersible           method for air-over
                               electric motors.      electric motors,
                                                     which is applicable
                                                     to submersible
                                                     motors.
Includes electric motors      Proposes test         DOE proposal to
 with a horsepower equal to    methods and full-     extend
 or less than 500 hp.          load efficiency       applicability of
                               metric for electric   the test procedure
                               motors with a         to these electric
                               horsepower greater    motors.
                               than 500 and equal
                               to or less than 750
                               hp.
Includes electric motors      Proposes test         DOE proposal to
 with a horsepower equal to    methods and full-     extend
 or greater than 1 hp.         load efficiency       applicability of
                               metric for electric   the test procedure
                               motors considered     to these electric
                               small (i.e., small    motors.
                               non-small-electric-
                               motor electric
                               motors, or SNEMs).
Exempts inverter-only         Proposes test         New industry testing
 electric motors.              methods, full-load    standard (IEC 61800-
                               efficiency metric,    9-2:2017).
                               and supporting
                               definitions for
                               inverter-only
                               electric motors.
Includes electric motors      Propose test          New developments in
 that are induction motors     methods, full-load    motor technologies
 only.                         efficiency metric,    and new industry
                               and supporting        testing standard
                               definitions for       (IEC 61800-9-
                               certain synchronous   2:2017).
                               electric motors.
Incorporates by reference     Incorporate by        Updates to industry
 NEMA MG 1-2009, CSA 390-10,   reference the most    testing standards
 IEC 60034-12 Edition 2.1      recent versions of    NEMA MG1, CSA 390,
 2007-09, and NFPA 20-2010.    NEMA MG 1 (i.e.,      IEC 60034-12 and
                               NEMA MG 1-2016 with   NFPA 20-209.
                               2018 Supplements),
                               CSA 390 (i.e., CSA
                               C390-10 (R2019)),
                               as well as other
                               referenced industry
                               standards (i.e.,
                               IEC 60034-12
                               Edition 3.0 2016
                               and NFPA 20-2019).
                               In addition,
                               incorporates by
                               reference IEC 60079-
                               7:2015, which is
                               referenced within
                               IEC 60034-12:2016
                               and is necessary
                               for the test
                               procedure.
                              Incorporate by
                               reference
                               additional industry
                               test standards and
                               testing
                               instructions to
                               support testing of
                               the additional
                               motors proposed in
                               scope: CSA C747-09
                               (R2019), IEEE 114-
                               2010, and IEC 61800-
                               9-2:2017.

[[Page 71715]]

 
Specifies testing at rated    Would provide         Harmonizes with
 frequency, rated load, and    additional detail     definitions from
 rated voltage but does not    in the test           NEMA MG1 and
 define these terms.           instructions for      improves the
                               electric motors by    repeatability of
                               adding definitions    the test procedure.
                               for the terms
                               ``rated
                               frequency,''
                               ``rated load,'' and
                               ``rated voltage''.
                               Would also define
                               ``breakdown
                               torque'' and
                               ``rated output
                               power'' to support
                               the definition of
                               rated load.
Specifies one method of       Update the vertical   Suggestion by
 connecting the dynamometer    electric motor        industry comments.
 to vertical electric motors.  testing
                               requirements to
                               allow alternative
                               methods for
                               connecting to the
                               dynamometer.
Specifies removal of contact  Would explicitly      Provide further
 seals for testing             require that shaft    direction to
 immersible electric motors.   seals of any          improve
                               variety remain        reproducibility.
                               installed during
                               testing unless the
                               motor is an
                               immersible electric
                               motor.
Requires that testing be      Would require that    Statutory
 conducted in an accredited    testing be            requirement at 42
 laboratory and includes       conducted in a        U.S.C. 6316(c).
 certification testing         nationally
 requirements in 10 CFR part   recognized testing
 431.                          program and add a
                               definition for
                               ``independent'' for
                               certification of a
                               new basic model
                               pursuant to 10 CFR
                               431.36(e), required
                               starting 180 days
                               following the
                               publication of this
                               final rule. Moves
                               these provisions to
                               10 CFR part 429.
Allows a manufacturer to      Would require         Statutory
 both test in its own          certification of      requirement at 42
 laboratories and directly     compliance using      U.S.C. 6316(c).
 submit the certification of   one of three
 compliance to DOE for its     options: (1) A
 own electric motors.          manufacturer can
                               have the electric
                               motor tested using
                               an nationally
                               recognized testing
                               program and then
                               certify on its own
                               behalf or have a
                               third party submit
                               the manufacturer's
                               certification
                               report; (2) a
                               manufacturer can
                               test the electric
                               motor at a testing
                               laboratory other
                               than an nationally
                               recognized testing
                               program and then
                               have a nationally
                               recognized
                               certification
                               program certify the
                               efficiency of the
                               electric motor; or
                               (3) a manufacturer
                               can use an
                               alternative
                               efficiency
                               determination
                               method and then
                               have a third-party
                               nationally
                               recognized
                               certification
                               program certify the
                               efficiency of the
                               electric motor. DOE
                               proposes that these
                               provisions be
                               required on or
                               after the
                               compliance date for
                               any amended
                               standards for
                               electric motors
                               published after
                               January 1, 2021.
Includes provisions           Revise the            Align the
 pertaining to the             provisions            determination of
 determination of the          pertaining to the     the average and
 represented value at 10 CFR   determination of      nominal full-load
 431.17.                       the represented       efficiency with the
                               values (i.e.,         definitions at 10
                               nominal full-load     CFR 431.12.
                               efficiency and
                               average full-load
                               efficiency) and
                               proposes that these
                               provisions be
                               required on or
                               after the effective
                               date of the final
                               rule adopting new
                               or amended energy
                               conservation
                               standards for
                               electric motors.
                               Moves the
                               provisions to 10
                               CFR 429.64.
                               Proposes to apply
                               these provisions to
                               the additional
                               electric motors
                               proposed for
                               inclusion in the
                               scope of the test
                               procedure.
Includes AEDM provisions at   Revise the            Harmonizes the AEDM
 10 CFR 431.17.                provisions            requirements with
                               pertaining to         other covered
                               alternative           equipment and
                               efficiency            covered products at
                               determination         10 CFR 429.70.
                               methods (``AEDMs'')
                               as applied to
                               electric motors.
                               Proposes to apply
                               these provisions to
                               the additional
                               electric motors
                               proposed for
                               inclusion in the
                               scope of the test
                               procedure.
Includes provisions           Revise the            Transfer provisions
 pertaining to nationally      procedures for        related to
 recognized accreditation      recognition and       certification at 10
 bodies and certification      withdrawal of         CFR part 429.
 programs at 10 CFR 431.19,    recognition of
 431.20, and 431.21.           accreditation
                               bodies and
                               certification
                               programs as applied
                               to electric motors.
                               Proposes to apply
                               these provisions to
                               the additional
                               electric motors
                               proposed for
                               inclusion in the
                               scope of the test
                               procedure.
Includes a definition of      Amend the definition  Align the definition
 basic model that relies on    of ``basic model''    of basic model with
 the term ``rating''.          to rely on the term   other DOE-regulated
                               ``equipment           products and
                               class''. Adds a       equipment and
                               definition for        eliminate the
                               ``equipment class''.  ambiguity of the
                                                     term ``rating''.
Does not include any          Adds certification,   Aligns DPPP motor
 certification, sampling       sampling plans, and   provisions with the
 plans, and AEDM provisions    AEDM provisions for   provisions for
 for DPPP Motors.              DPPP Motors.          electric motors
                                                     subject to the
                                                     requirements in
                                                     subpart B of 10 CFR
                                                     part 431.
------------------------------------------------------------------------

    DOE has tentatively determined that the proposed amendments 
described in section III of this NOPR would not alter the measured 
efficiency of electric motors currently within the scope of the test 
procedure until such time as amended energy conservation standards are 
established for such electric motors. DOE notes that manufacturers of 
electric motors for which DOE is proposing to include within the scope 
of the test procedure would not be required to use the test procedure, 
if made final, for Federal certification or labeling purposes, until 
such time as energy conservation standards are established for such 
electric motors. But, if manufacturers, distributors, retailers, and 
private labelers choose to make any representations respecting the 
energy consumption or cost of energy consumed by such motors, then such 
voluntary representations must be made in accordance with the test 
procedure and sampling requirements. Discussion of DOE's proposed 
actions are addressed in detail in section III of this NOPR.
    III. Discussion

A. Scope of Applicability

    The term ``electric motor'' is defined as ``a machine that converts 
electrical power into rotational mechanical power.'' 10 CFR 431.12. 
Manufacturers are required to test those electric motors subject to 
energy conservation standards according to the test procedure in 
appendix B.\7\ (See generally 42 U.S.C. 6314(a)(5)(A); see also the 
introductory paragraph to 10 CFR part 431, subpart B, appendix B) 
Currently, energy conservation standards apply to certain categories of 
electric motors provided

[[Page 71716]]

that they meet the criteria specified at 10 CFR 431.25(g). These 
categories of electric motors are NEMA Design A motors,\8\ NEMA Design 
B motors,\9\ NEMA Design C motors,\10\ IEC Design N motors,\11\ IEC 
Design H motors,\12\ and fire pump electric motors.\13\ See 10 CFR 
431.25(h)-(j). The energy conservation standards apply to electric 
motors within the identified categories only if they:
---------------------------------------------------------------------------

    \7\ The amendments proposed in this NOPR do not address small 
electric motors, which are covered separately under 10 CFR part 431, 
subpart X. A small electric motor is ``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, including IEC metric equivalent motors.'' 10 
CFR 431.442.
    \8\ ``NEMA Design A'' motor means a squirrel-cage motor that: 
(1) Is designed to withstand full-voltage starting and developing 
locked-rotor torque as shown in NEMA MG 1-2009, paragraph 12.38.1 
(incorporated by reference, see Sec.  431.15); (2) Has pull-up 
torque not less than the values shown in NEMA MG 1-2009, paragraph 
12.40.1; (3) Has breakdown torque not less than the values shown in 
NEMA MG 1-2009, paragraph 12.39.1; (4) Has a locked-rotor current 
higher than the values shown in NEMA MG 1-2009, paragraph 12.35.1 
for 60 hertz and NEMA MG 1-2009, paragraph 12.35.2 for 50 hertz; and 
(5) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles. 10 CFR 430.12.
    \9\ ``NEMA Design B motor'' means a squirrel-cage motor that is: 
(1) Designed to withstand full-voltage starting; (2) Develops 
locked-rotor, breakdown, and pull-up torques adequate for general 
application as specified in sections 12.38, 12.39 and 12.40 of NEMA 
MG1-2009 (incorporated by reference, see Sec.  431.15); (3) Draws 
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 MG1-2009; and 
(4) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles. Id.
    \10\ ``NEMA Design C'' motor means a squirrel-cage motor that: 
(1) Is Designed to withstand full-voltage starting and developing 
locked-rotor torque for high-torque applications up to the values 
shown in NEMA MG1-2009, paragraph 12.38.2 (incorporated by 
reference, see Sec.  431.15); (2) Has pull-up torque not less than 
the values shown in NEMA MG1-2009, paragraph 12.40.2; (3) Has 
breakdown torque not less than the values shown in NEMA MG1-2009, 
paragraph 12.39.2; (4) Has a locked-rotor current not to exceed the 
values shown in NEMA MG1-2009, paragraphs 12.35.1 for 60 hertz and 
12.35.2 for 50 hertz; and (5) Has a slip at rated load of less than 
5 percent. Id.
    \11\ IEC Design N motor means an electric motor that: (1) Is an 
induction motor designed for use with three-phase power; (2) 
Contains a cage rotor; (3) Is capable of direct-on-line starting; 
(4) Has 2, 4, 6, or 8 poles; (5) Is rated from 0.4 kW to 1600 kW at 
a frequency of 60 Hz; and (6) Conforms to sections 6.1, 6.2, and 6.3 
of the IEC 60034-12 edition 2.1 (incorporated by reference, see 
Sec.  431.15) requirements for torque characteristics, locked rotor 
apparent power, and starting. Id.
    \12\ IEC Design H motor means an electric motor that (1) Is an 
induction motor designed for use with three-phase power; (2) 
Contains a cage rotor; (3) Is capable of direct-on-line starting (4) 
Has 4, 6, or 8 poles; (5) Is rated from 0.4 kW to 1600 kW at a 
frequency of 60 Hz; and (6) Conforms to sections 8.1, 8.2, and 8.3 
of the IEC 60034-12 edition 2.1 (incorporated by reference, see 
Sec.  431.15) requirements for starting torque, locked rotor 
apparent power, and starting. Id.
    \13\ ``Fire pump electric motor'' means an electric motor, 
including any IEC-equivalent motor, that meets the requirements of 
section 9.5 of NFPA 20. Id.
---------------------------------------------------------------------------

    (1) Are single-speed, induction motors;
    (2) Are rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC)
    (3) Contain a squirrel-cage (MG 1) or cage (IEC) rotor;
    (4) Operate on polyphase alternating current 60-hertz (Hz) 
sinusoidal line power;
    (5) Are rated 600 volts or less;
    (6) Have a 2-, 4-, 6-, or 8-pole configuration;
    (7) Are built in a three-digit or four-digit NEMA frame size (or 
IEC metric equivalent), including those designs between two consecutive 
NEMA frame sizes (or IEC metric equivalent), or an enclosed 56 NEMA 
frame size (or IEC metric equivalent);
    (8) Produce at least one horsepower (hp) (0.746 kilowatt (kW)) but 
not greater than 500 hp (373 kW), and
    (9) Meet all of the performance requirements of one of the 
following motor types: A NEMA Design A, B, or C motor or an IEC Design 
N or H motor. 10 CFR 431.25(g).
    DOE identified certain categories of motors that meet the 
definition of ``electric motor'' but for which DOE determined the 
referenced industry test procedures do not provide a standardized test 
method for determining the energy efficiency. 78 FR 75962, 75975, 
75987-75989 (Dec. 13, 2013). Motors that fall into this grouping are 
not currently regulated by DOE and consist of the following categories:
     Air-over electric motors;
     Component sets of an electric motor;
     Liquid-cooled electric motors;
     Submersible electric motors; and
     Inverter-only electric motors. 10 CFR 431.25(l).
    In this NOPR, DOE is proposing to specify that certain equipment 
that are designated with IEC Design letters are within the scope of the 
current electric motors test procedure. Furthermore, DOE is proposing 
to establish test procedure requirements for certain categories of 
electric motors not currently subject to energy conservation standards. 
These categories are (1) air-over electric motors; (2) submersible 
electric motors; (3) certain electric motors greater than 500 hp; (4) 
electric motors considered small; and (5) inverter-only electric 
motors. Finally, DOE is also proposing to include within the scope of 
the test procedure synchronous electric motor technologies.
    As noted previously, manufacturers of electric motors for which DOE 
is proposing to include within the scope of the test procedure, but 
that are not currently subject to an energy conservation standard, 
would not be required to use the test procedure, if made final, for 
Federal certification or labeling purposes, until such time as energy 
conservation standards are established for such electric motors. 
However, if DOE were to establish test procedures for electric motors 
not currently subject to an energy conservation standard, any voluntary 
representations by manufacturers, distributors, retailers, or private 
labelers about the energy consumption or cost of energy for these 
motors must be based on the use of that test procedure beginning 180 
days following publication of a final rule. DOE's rule would not 
require manufacturers who do not currently make voluntary 
representations to then begin making public representations of 
efficiency. (42 U.S.C. 6314(d)(1)) Manufacturers not currently making 
representations would be required to test such motors in accordance 
with the test procedure at such time as compliance is required with a 
labeling or energy conservation standard requirement should such a 
requirement be established. (42 U.S.C. 6315(b); 42 U.S.C. 6316(a); 42 
U.S.C. 6295(s))
    Each category of electric motor proposed for inclusion in the scope 
of the test procedure is discussed in the following sections.
1. ``E'' and ``Y'' Designations of IEC Design N and H Motors
    Currently regulated electric motors include those motors designated 
as IEC Design N and IEC Design H motors. In the June 2020 RFI, DOE 
noted that IEC 60034-12:2016 provides further designation using ``E'' 
to indicate that a motor meets a ``premium efficiency'' attribute. 85 
FR 34111, 34114. For example, IEC Design N and IEC Design H motors that 
meet a ``premium efficiency'' attribute are designated ``NE'' and 
``HE''. DOE stated that the ``premium efficiency'' attribute generally 
aligns with the current DOE standards prescribed at 10 CFR 431.25. Id. 
As the ``E'' designation denotes premium efficiency performance of the 
Design N and Design H electric motors, ``NE'' and ``HE'' motors are 
equivalents to NEMA Design A and NEMA Design C motors, respectively, 
and are currently within the scope of the test procedure. See 10 CFR 
431.12 (defining the term ``NEMA Design A motor'' and ``NEMA Design C 
motor'') and 10 CFR 431.25(g)-(i) and (l) (establishing the efficiency 
standards related to NEMA Design A and NEMA Design C motors and their 
applicable scope). DOE requested comment as to whether its 
understanding of the new nomenclature is correct. Id.
    In an energy conservation standards RFI published on May 21, 2020 
(85 FR 30878; ``May 2020 RFI''), DOE discussed that the updated version 
of IEC standard 60034-12 added new starting

[[Page 71717]]

specifications to the existing IEC motor designs that are designated by 
the addition of ``Y'' (indicating a star-delta starter \14\). 85 FR 
30878, 30881. As a result of these industry nomenclature updates, the 
IEC Design N and IEC Design H motor designations are augmented with the 
designations IEC Design NE, HE, NY, NEY, HY, and HEY. DOE stated that 
all six additional categories are described as electric motors that are 
variants of IEC Design N and IEC Design H electric motors that DOE 
currently regulates, with the only differences being the premium 
efficiency attribute (indicated by the letter ``E''), and starting 
configuration (star-delta starter indicated by the letter ``Y''). For 
induction motors, the starting configuration refers to the manner in 
which the three-phase input terminals are connected to each other, and 
the star configuration results in a lower line-to-line voltage than the 
delta configuration. See sections 2.62 and 2.64 of NEMA MG 1-2016 with 
2018 Supplements for further detail. Accordingly, DOE requested comment 
as to whether these six IEC electric motor designs were equivalent to 
NEMA Designs A, B or C, and if so, information and data to support such 
a consideration.
---------------------------------------------------------------------------

    \14\ A ``star-delta starter'' refers to a reduced voltage 
starter system arranged by connecting the supply with the primary 
motor winding initially in star (wye) configuration, then 
reconnected in delta configuration for running operation.
---------------------------------------------------------------------------

    Advanced Energy stated that IEC Design NE and HE motors are higher 
efficiency motors than their standard counterparts (IEC Design N and 
IEC Design H), and should be added to the regulatory definitions at 10 
CFR 431.12 for clarity. (Advanced Energy, No. 4 at p. 2) NEMA stated 
that Design NE and Design HE motor designations do not warrant special 
treatment or the establishment of a separate product class or type. 
(NEMA, No. 2 at p. 4) Responding to the May 2020 RFI, NEMA commented 
that all six IEC designs are equivalent to NEMA Design A and C 
``Premium'' efficient electric motor designs, and referenced a letter 
it sent to DOE on March 26, 2018, which requested that DOE consider IEC 
Design ``E'' motors. (Docket No. EERE-2020-BT-STD-0007, NEMA, No. 4 at 
p. 2, 11)
    Accordingly, DOE proposes to revise 10 CFR 431.25 to reflect the 
inclusion of IEC Design NE, NEY, and NY motors as IEC Design N motors 
and to make a similar set of revisions to reflect the inclusion of IEC 
Design HE, HEY, and HY motors as IEC Design H motors. DOE clarifies 
that to the extent IEC Design N and IEC Design H motors are subject to 
the DOE regulations for electric motors, such coverage already includes 
IEC Design NE, NY, NEY, HE, HY and HEY motors. DOE also proposes to 
update the definitions for IEC Design N and H, and include new 
definitions for the IEC Design N and H ``E'' and ``Y'' designations; 
see section III.B.1for further discussion on proposed definitions.
    DOE seeks comments on its proposed clarification of IEC Design NE, 
NY, NEY, HE, HY and HEY motors as variants of IEC Design N and IEC 
Design H motors, as applicable.
2. Single-Speed AC Induction Motors
    CA IOUs commented that DOE should revisit the applicability of the 
test procedures for ``single-speed AC motors,'' as specified in 10 CFR 
431.25(g). (CA IOUs, No. 3 at p. 2) CA IOUs stated that IEC 60034-30-
1:2014 ``Rotating Electrical Machines--Part 30-1: Efficiency Classes Of 
Line Operated AC Motors (IE Code)'' (``IEC 60034-30-1:2014'') includes 
within its scope of ``single-speed AC motors'' electric motors that are 
capable of operation both by frequency converter and direct-on-line, in 
contrast to DOE's current scope of ``single-speed AC motors''. The CA 
IOUs suggested that DOE revisit the current interpretation to mirror 
that of the IEC standards. Id.
    The existing test procedures for electric motors apply to electric 
motors that, in part, operate on polyphase alternating current 60-hertz 
sinusoidal power. 10 CFR 431.25(g)(4) This criterion includes motors 
capable of operating directly connected to the power supply (i.e., 
``direct-on-line''). In addition, the definitions of IEC Design N and H 
motors (which are within scope as specified in 10 CFR 431.25(g)) in 10 
CFR 431.12 further specify that the electric motor is capable of 
direct-on-line starting. Therefore, motors that are capable of direct-
on-line starting are already included within the current scope of DOE 
regulations.
    Inverters (also called controls or converters, see section III.B.3) 
operate by changing the frequency and voltage of the power source to 
which an electric motor is connected. Inverter-only electric motors are 
currently exempt from the energy conservation standards.\15\ 10 CFR 
431.25(l)(5). However, DOE does not exempt inverter-capable electric 
motors that meet the scope criteria at 10 CFR 431.25(g); therefore, 
electric motors that are inverter-capable are already included within 
the current scope of DOE regulations. An ``inverter-capable electric 
motor'' is defined as an electric motor designed to be directly 
connected to polyphase, sinusoidal line power, but that is also capable 
of continuous operation on an inverter drive over a limited speed range 
and associated load. 10 CFR 431.12. An inverter-capable electric motor 
would be tested without the use of an inverter and would rely on the 
set-ups used when testing a general purpose electric motor. 78 FR 
75962, 75972.
---------------------------------------------------------------------------

    \15\ ``Inverter-only electric motor'' means an electric motor 
that is capable of rated operation solely with an inverter, and is 
not intended for operation when directly connected to polyphase, 
sinusoidal line power. 10 CFR 431.12.
---------------------------------------------------------------------------

    In this NOPR, DOE is proposing to establish test procedures for 
inverter-only electric motors, as described further in section III.A.7.
3. Air-Over Electric Motors
    DOE defines an ``air-over electric motor'' as an electric motor 
rated to operate in and be cooled by the airstream of a fan or blower 
that is not supplied with the motor and whose primary purpose is 
providing airflow to an application other than the motor driving it. 10 
CFR 431.12. These motors are currently exempt from the energy 
conservation standards. 10 CFR 431.25(l)(4). For air-over electric 
motors, DOE previously determined there was insufficient information at 
the time to support establishment of a test method. 78 FR 75962, 75974-
75975.
    In the July 2017 RFI, DOE noted that since the publication of the 
December 2013 Final Rule, NEMA had published a test standard for air-
over motors in Section IV, ``Performance Standards Applying to All 
Machines'', Part 34 ``Air-Over Motor Efficiency Test Method'' of NEMA 
MG1-2016 with 2018 Supplements (``NEMA Air-over Motor Efficiency Test 
Method'').\16\ 82 FR 35468, 35475. DOE also noted that section 8.2.1 of 
IEEE 114-2010 ``Test Procedure for Single-phase Motors'' (``IEEE 114-
2010'') (and section 5 of CSA C747-09 (R2019) \17\ ``Energy Efficiency 
Test Method for Small Motors'' (``CSA C747-09 (R2019)'') included 
provisions for testing air-over motors. Id.
---------------------------------------------------------------------------

    \16\ The air-over method was originally published as part of the 
2017 NEMA MG-1 Supplements and is also included in the latest 
version of NEMA MG1-2016 with 2018 Supplements.
    \17\ CSA C747-09 was re-affirmed in 2014 and in 2019 (i.e., no 
changes were adopted). The July 2017 RFI referenced CSA C747-09 
(R2014) which is equivalent to CSA C747-09 (R2019).
---------------------------------------------------------------------------

    In response to the July 2017 RFI, NEMA commented that DOE should 
not regulate air-over motors but instead regulate at the level of the 
finished product. NEMA also generally commented in support of 
maintaining all exemptions at 10 CFR 431.25(l) (Docket No. EERE-2017-
BT-TP-0047,

[[Page 71718]]

NEMA, No. 24 at pp. 6-7) Similarly, Lennox commented that it did not 
support regulating air-over motors. (Docket No. EERE-2017-BT-TP-0047, 
Lennox, No. 22 at p. 3) The Joint Advocates supported including air-
over motors in the scope of the test procedure. The Joint Advocates 
noted that some applications could use air-over or non-air-over motors 
interchangeably, and that consumers would benefit from being able to 
compare motor efficiency. (Docket No. EERE-2017-BT-TP-0047, Joint 
Advocates, No. 27 at p. 3)
    In response to the June 2020 RFI, Advanced Energy commented that 
NEMA MG1-2016 with 2018 Supplements incorporates a test procedure for 
air-over motors. (Advanced Energy, No. 4 at p. 2) The CA IOUs, NEEA, 
NWPCC, and Efficiency Advocates recommended that DOE expand the scope 
of the test procedure to include air-over electric motors. (CA IOUs, 
No. 3 at p. 8-10; NEEA and NWPCC, No. 6 at p. 4; Efficiency Advocates, 
No. 5 at p. 3) These interested parties commented that since the last 
rulemaking, NEMA has published a test procedure for air-over electric 
motors and that DOE should consider the NEMA test procedure as the 
basis for the DOE test procedure. Id.
    DOE reviewed NEMA MG1-2016, Part 34: Air-Over Motor Efficiency Test 
Method, as well as section 8.2.1 of IEEE 114-2010 and section 5 of CSA 
C747-09 (R2019), and has initially determined that sufficient 
information is now available to propose a test method for air-over 
electric motors. (See section III.D.1 for more details). Accordingly, 
DOE proposes to include air-over electric motors in the scope of the 
test procedure. See section III.B.4 for a discussion of the air-over 
electric motor definition and section III.D.1 for further details on 
the proposed test method. As noted, were DOE to include air-over 
electric motors within the scope of the test procedure, such electric 
motors would not be required to be tested using that test procedure 
until such time as DOE establishes energy conservation standards for 
air-over electric motors. If manufacturers voluntarily choose to make 
representations regarding the energy consumption or cost of energy of 
such electric motors, however, they would be required to test according 
to the DOE test procedure and sampling requirements.
    DOE requests comments on its proposal to add air-over electric 
motors to the scope of the test procedure. To the extent available, DOE 
requests that comments be accompanied by supporting information and 
data.
4. Submersible Electric Motors
    DOE defines a ``submersible electric motor'' as an electric motor 
that: (1) Is intended to operate continuously only while submerged in 
liquid; (2) is capable of operation while submerged in liquid for an 
indefinite period of time; and (3) has been sealed to prevent ingress 
of liquid from contacting the motor's internal parts. 10 CFR 431.12. 
These motors are currently exempt from the energy conservation 
standards. 10 CFR 431.25(l)(4). DOE previously did not adopt test 
procedures for submersible electric motors because no industry test 
procedures or potential modifications to the Federal test procedures 
could be used to consistently test (and reliably measure) a motor that 
relies on submersion in liquid for continuous duty operation. 78 FR 
75962, 75988.
    CA IOUs and Efficiency Advocates recommended that DOE expand the 
scope of the test procedures to include submersible electric motors, 
and develop a test procedure for such motors (CA IOUs, No. 3 at p. 8-
10; Efficiency Advocates, No. 5 at p. 3) The CA IOUs commented that a 
similar procedure as the industry air-over test procedure could be used 
to test submersible motors because for both motors, cooling is provided 
by the material surrounding the motor (e.g., air or water). (CA IOUs, 
No. 3 at p. 9) CA IOUs stated that submersible motors are a large 
portion of the motor market with significant energy savings potential 
\18\ and that many submersible pumps already offer NEMA Premium 
Efficiency motors with the pump. (CA IOUs, No. 3 at p. 10) The 
Efficiency Advocates stated that the marketing of NEMA Premium 
Efficiency motors for submersible applications suggests that these 
motors could be tested with current test procedures. (Efficiency 
Advocates, No. 5 at p. 3) In response to the July 2017 RFI, Advanced 
Energy commented that it does not support regulating motors that are 
typically manufactured for highly specialized applications, including 
submersible motors, to the extent that their exemption would not create 
inconsistency in the regulations. Advanced Energy also stated that 
submersible motors should be treated similarly to other categories of 
covered electric motors for which test procedures are available, such 
as totally-enclosed non-ventilated (``TENV'') electric motors \19\ and 
air-over electric motors, and that exempting submersible electric 
motors would not be justified if DOE were to propose establishing test 
procedures for air-over motors. (Docket No. EERE-2017-BT-TP-0047, 
Advanced Energy, No. 25 at p. 6)
---------------------------------------------------------------------------

    \18\ CA IOUs suggested that submersible electric motors are 
present in both residential and non-residential settings: In a 
residential scenario, well pumps (which account for 23 percent of 
residential pumping energy) include submersible pumps and motors; in 
non-residential scenarios, submersible pumps and motors are used in 
potable water supply, drain water runoff, and wastewater and sewage 
applications, among other applications. (CA IOUs, No. 3 at p. 9)
    \19\ TENV electric motors are ``built in a frame-surface cooled, 
totally enclosed configuration that is designed and equipped to be 
cooled only by free convection.'' 10 CFR 431.12.
---------------------------------------------------------------------------

    In the December 2013 Final Rule, DOE determined at the time that no 
industry test procedures or potential modifications to the procedures 
then currently under 10 CFR 431.16 could be used to consistently test 
(and reliably measure the efficiency of) a motor that relies on 
submersion in liquid for continuous duty operation. 78 FR 75962, 75988. 
In addition, DOE confirmed that there were no testing facilities that 
were capable of testing a motor submerged in water. Id.
    The primary concern in developing a test procedure for submersible 
electric motors is how to cool the motor to ensure it does not overheat 
during the load test. Since the December 2013 Final Rule, NEMA has 
published a test procedure for air-over motors (NEMA MG1-2016, Part 34: 
Air-Over Motor Efficiency Test Method). (See section III.D.1 for more 
details.) As discussed previously, air-over electric motors need to be 
cooled by the airstream of an external fan or blower to operate 
continuously at full load. Section 34.4 and Section 34.5 of NEMA MG1-
2016 with the 2018 Supplements provide specifications to test air-over 
electric motors with and without the use of an external blower to cool 
the motor. DOE has initially determined that these test methods could 
be adapted as a test method for submersible electric motors either by 
using an external blower to cool the motor or without the need to 
submerge the motor in a liquid during testing to cool the motor. (See 
section III.I for more details). Accordingly, DOE proposes to specify 
test procedure provisions for submersible electric motors. As noted, 
were DOE to include submersible electric motors within the scope of the 
test procedure, such electric motors would not be required to test 
according to the DOE test procedure until such time as DOE establishes 
energy conservation standards for submersible electric motors. If 
manufacturers voluntarily make representations regarding the energy 
consumption or cost of energy of such

[[Page 71719]]

electric motors, however, they would be required to test according to 
the DOE test procedure and sampling requirements.
    DOE requests comments on its proposal to add submersible electric 
motors to the scope of the test procedure.
5. AC Induction Electric Motors Greater Than 500 Horsepower
    DOE currently specifies that the conservation standards for 
electric motors, and therefore the test procedures, are not applicable 
to motors that produce greater than 500 horsepower (373 kW). 10 CFR 
431.25(g)(8); Appendix B, Note. Efficiency Advocates suggested that DOE 
extend its test procedure scope to motors with higher horsepower 
ratings (i.e., greater than 500 hp). (Efficiency Advocates, No. 5 at p. 
2)
    In an energy conservation standards final rule published May 29, 
2014 (``May 2014 Final Rule''), DOE stated that it may consider 
expanding the scope of its regulations to large motors in future 
updates to the rulemaking. 79 FR 30934, 30946. Based on a review of 
catalog offerings, DOE identified large induction motors rated up to 
750 hp currently being sold in the market, and the majority of the 
models identified listed full load efficiencies even though DOE 
currently does not regulate electric motors greater than 500 hp. Based 
on discussions with a subject matter expert, DOE understands that most 
of these large motors rely on the alternative efficiency determination 
method (``AEDM'') permitted under 10 CFR 431.17 to determine full load 
efficiencies for regulated electric motors at and under 500 hp.\20\ In 
addition, the current industry test procedures incorporated by 
reference in section 2 of appendix B do not apply an upper horsepower 
limit.
---------------------------------------------------------------------------

    \20\ An AEDM may be used to determine the average full load 
efficiency of one or more of a manufacturer's basic models if the 
average full load efficiency of at least five of its other basic 
models is determined through testing. 10 CFR 431.17(a)(1). An AEDM 
applied to a basic model must be: (i) Derived from a mathematical 
model that represents the mechanical and electrical characteristics 
of that basic model, and (ii) based on engineering or statistical 
analysis, computer simulation or modeling, or other analytic 
evaluation of performance data. 10 CFR 431.17(a)(2).
---------------------------------------------------------------------------

    Accordingly, DOE proposes to expand the scope of the test procedure 
to include induction electric motors with a horsepower rating greater 
than 500 hp and up to 750 hp that otherwise meet the criteria provided 
in 10 CFR 431.25(g) and are not currently listed at 10 CFR 
431.25(l)(2)-(4). As discussed previously, DOE's review of the market 
identified 750 hp as the upper limit for commercially available AC 
induction electric motors. Furthermore, as noted, were DOE to include 
the higher horsepower induction electric motors within the scope of the 
test procedure, such electric motors would not be required to be tested 
according to the DOE test procedure until such time as DOE establishes 
energy conservation standards for these electric motors. If 
manufacturers voluntarily make representations regarding the energy 
consumption or cost of energy of such electric motors, however, they 
would be required to test according to the DOE test procedure and 
sampling requirements.
    DOE is also proposing test procedure provisions for certain non-
induction motor topologies under a new category of ``synchronous 
electric motors,'' as discussed in section III.A.8 of this document.
    DOE requests comments on its proposal to add electric motors 
greater than 500 hp (and up to 750 hp) that meet the criteria provided 
in 10 CFR 431.25(g) (except (8)) and are not listed at 10 CFR 
431.25(l)(2)-(4) to the scope of the test procedure. DOE requests 
comment and supporting information on whether an upper limit of 750 hp 
is appropriate for the proposed expanded scope of motors greater than 
500 hp--and if not, why not.
6. AC Induction Electric Motors Considered ``Small''
    As discussed, this NOPR addresses motors that are defined as 
``electric motors'' at 10 CFR 431.12. Also as noted, DOE separately 
regulates ``small electric motors.'' See 10 CFR part 431 subpart X. A 
``small electric motor'' is a NEMA general purpose AC single-speed 
induction motor, built in a two-digit frame number series in accordance 
with NEMA Standards Publication MG1-1987, including IEC metric 
equivalent motors. 10 CFR 431.442. This section addresses electric 
motors that are not small electric motors as that term is defined in 10 
CFR part 431, subpart X, but that are generally considered small by 
industry (i.e., ``small, non-small-electric-motor electric motor, or 
SNEM''). In this section, DOE specifically discusses SNEMs that are 
induction motors. Non-induction motor topologies (specifically certain 
synchronous electric motors) are discussed in section III.A.8 of this 
document.
    In the July 2017 RFI, DOE requested comment on whether DOE should 
consider establishing test procedures for SNEMs, as they are not 
currently subject to either the small electric motor or electric motor 
test procedures. 82 FR 35468, 35470. SNEMs may have similarities to 
motors that are currently regulated as small electric motors (such as 
horsepower) and may be used in similar applications. Accordingly, 
establishing test procedures for these motors would allow for 
standardized representations of efficiency of all motors used for 
similar functions. Table III.1 lists the SNEM motor configurations that 
DOE requested comment on in the July 2017 RFI. Id

       Table III.1--SNEMs Under Consideration in the July 2017 RFI
------------------------------------------------------------------------
           Phase count                Horsepower          Frame size
------------------------------------------------------------------------
Single..........................  >=0.125 hp and      All.
                                   <=15 hp.
Polyphase.......................  >=0.125 hp and <=5  * 2-digit.
                                   hp.
Polyphase.......................  <1 hp.............  All.
------------------------------------------------------------------------
* Polyphase enclosed motors >= 1 hp of the 56-frame size are not under
  consideration for revised test procedures, as certain enclosed 56-
  frame size polyphase motors were considered in the May 2014 Final
  Rule, and are regulated at 10 CFR 431.25.

    DOE also presented a list of topologies that could be considered as 
part of this rulemaking: Permanent-split capacitor, polyphase 
induction, squirrel cage, capacitor-start, reluctance synchronous (also 
known as synchronous reluctance); shaded-pole; permanent magnet (or 
permanent magnet synchronous); line-start permanent magnet; switched 
reluctance; split-phase; and electronically commutated motors. 82 FR 
35468, 35471. As previously mentioned, this section discusses only 
induction electric motors (direct-on-line, inverter-capable, or 
inverter-only). Non-induction motor topologies--including synchronous 
reluctance, permanent magnet, line-start permanent

[[Page 71720]]

magnet, switched reluctance, and electronically commutated motor) are 
discussed in section III.A.8 of this document.
    In response to the July 2017 RFI, the CA IOUs supported 
establishing test procedures for additional categories of SNEMs. 
(Docket No. EERE-2017-BT-TP-0047, CA IOUs, No. 26 at p. 2). The Joint 
Advocates supported establishing test procedures for SNEMs as 
considered in the July 2017 RFI and with a focus on the topologies as 
identified in the July 2017 RFI (Docket No. EERE-2017-BT-TP-0047, Joint 
Advocates, No. 27 at pp. 2-3) Advanced Energy commented in support of 
including all topologies listed in the July 2017 RFI. (Docket No. EERE-
2017-BT-TP-0047, Advanced Energy, No. 25 at p. 4) NEMA commented that 
DOE should not consider test procedures for additional motor topologies 
for which DOE test procedures do not currently exist. (Docket No. EERE-
2017-BT-TP-0047, NEMA, No. 24 at p. 6)
    Although DOE did not discuss the potential of including additional 
categories of electric motors within the scope of regulated electric 
motors in the June 2020 RFI, several interested parties addressed the 
issue of scope in their responses to the June 2020 RFI. The Efficiency 
Advocates and NEEA and NWPCC commented that DOE should expand its scope 
of coverage and establish test procedures for SNEMs as identified in 
the July 2017 RFI. (Efficiency Advocates, No. 5 at p. 2; NEEA and 
NWPCC, No. 6 at p. 3) Efficiency Advocates suggested that DOE rely on 
its authority to regulate ``other motors'' and consider test procedures 
for SNEMs. (Efficiency Advocates, No. 5 at p. 2)
    NEEA and NWPCC commented that these ``small'' motors are installed 
in the same application as regulated motors and should be included in 
scope to allow for fair comparison across motor types and to provide 
consumers the information necessary to make an informed decision. (NEEA 
and NWPCC, No. 6 at p. 3) In addition, both the Efficiency Advocates 
and NEEA and NWPCC further commented that DOE should expand its test 
procedure scope to other small motor topologies presented in the July 
2017 RFI, including permanent-split capacitor, shaded pole and split 
phase. (Efficiency Advocates, No. 5 at p. 2; NEEA and NWPCC, No. 6 at 
p. 2)
    AHAM and AHRI opposed the development of test procedures, energy 
conservation standards, and/or certification requirements for any 
additional categories of small electric motors or electric motors that 
are component parts, and supported a finished-product approach to 
energy efficiency regulation. AHAM and AHRI commented that setting such 
standards could push finished product manufacturers to purchase more 
expensive motors and increase the cost of appliances and equipment, 
while not necessarily improving the energy performance of the finished 
product. AHAM and AHRI asserted that requiring finished product 
manufacturers to certify compliance with standards for component parts, 
including the testing, paperwork, and record-keeping requirements that 
accompany certification would significantly increase burden on 
manufacturers. AHAM and AHRI also asserted that more efficient motors 
within a particular topology are likely to be larger and heavier, that 
home appliances and HVACR equipment have space constraints preventing 
manufacturers from using larger motors, and that heavier or larger 
appliances would decrease consumer utility. (AHAM and AHRI, No. 21 at 
p. 2)
    DOE is proposing to include test procedures for additional electric 
motors not covered under the current electric motors test procedure and 
that do not meet the definition of small electric motors in 10 CFR part 
431, subpart X, but are nonetheless considered ``small'', i.e., SNEMs. 
EPCA provides that ``other motors'' may be classified as covered 
equipment by the Secretary of Energy if the Secretary determines that 
such classification is necessary to carry out the purpose of the Energy 
Conservation Program for Certain Industrial Equipment i.e., necessary 
to improve the efficiency of electric motors and pumps and certain 
other industrial equipment in order to conserve the energy resources of 
the Nation. (42 U.S.C. 6311(1)(L) and (2)(B)(xiii); 42 U.S.C. 6312(b)). 
However, in this NOPR, DOE is proposing to cover motors considered 
``small'' by the industry under its ``electric motors'' authority (42 
U.S.C. 6311(1)(A)).
    As discussed in the May 2012 Final Rule, DOE believes that EPCA, as 
amended through EISA 2007, provides sufficient statutory authority for 
the regulation of such motors. 77 FR 26608, 26612--26613. Before the 
enactment of EISA 2007, EPCA defined the term ``electric motor'' as any 
motor that 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. (See 42 U.S.C. 6311(13)(A) (2006)) 
Section 313(a)(2) of EISA 2007 removed that definition and the prior 
limits that narrowly defined what types of motors would be considered 
as electric motors, and instead inserted a new ``Electric motors'' 
heading, and created two new subtypes of electric motors: General 
purpose electric motor (subtype I) and general purpose electric motor 
(subtype II). (42 U.S.C. 6311(13)(A)-(B)(2011)) In addition, section 
313(b)(2) of EISA 2007 established energy conservation standards for 
four types of electric motors: General purpose electric motors (subtype 
I) (i.e., subtype I motors) with a power rating of 1 to 200 horsepower; 
fire pump motors; general purpose electric motor (subtype II) (i.e., 
subtype II motors) 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, but less than or equal to 500 horsepower. (42 
U.S.C. 6313(b)(2)) The term ``electric motor'' (which frequently 
appears throughout EPCA, as amended by EISA 2007, and various subparts 
of 10 CFR part 431) was left undefined.
    As described in the May 2012 Final Rule, DOE believed that a 
definition for ``electric motor'' was necessary, and therefore adopted 
the broad definition of ``electric motor'' currently found in 10 CFR 
431.12. At this time, while the definition covers a large set of 
motors, only those for which energy conservation standards have been 
set are currently within the scope of the test procedures--i.e., 
electric motors that meet the criteria specified at 10 CFR 431.25(g) 
and with the exemptions listed at 10 CFR 431.25(l). These categories of 
polyphase electric motors between 1 and 500 hp are NEMA Design A 
motors, NEMA Design B motors, NEMA Design C motors, IEC Design N 
motors, IEC Design H motors, and fire pump electric motors. In the May 
2012 Final Rule, DOE noted that this approach would allow DOE to fill 
the definitional gap created by the EISA 2007 amendments while 
providing DOE with the flexibility to set energy conservation standards 
for other types of electric motors without having to continuously 
update the definition of ``electric motors'' each time DOE sets energy 
conservation standards for a new subset of electric motors.
    In this NOPR, DOE proposes to establish test procedures for SNEMs. 
These motors have similarities to motors that are currently regulated 
as small electric motors at 10 CFR part 431 subpart X and electric 
motors at 10 CFR part 431 subpart B. However, DOE proposes to 
distinguish SNEMs by

[[Page 71721]]

specifying combinations of frame sizes, rated motor horsepower, 
enclosure construction, and additional performance criteria that are 
not currently included in the existing electric motors and small 
electric motors regulations at 10 CFR part 431 subpart B and subpart X 
(See Table III.4 and Table III-3)). DOE notes that SNEMs are highly 
prevalent in the market and are used in similar applications as small 
electric motors regulated under 10 CFR part 431, subpart X. 
Accordingly, should DOE establish energy conservation standards for 
SNEMs in the future, establishing test procedures for these motors 
would allow for standardized representations of efficiency of all 
motors used for similar functions. Further, DOE proposes that existing 
industry test standards can be applicable to these SNEMs (see section 
III.D.2). To the extent DOE were to establish test procedures for a 
SNEMs prior to the establishment of an energy conservation standard, 
SNEM manufacturers would not be required to use the test procedure for 
certification or labeling purposes, until such time as a standard is 
established. However, any voluntary representations by manufacturers, 
distributors, retailers, or private labelers about the energy 
consumption or cost of energy for these motors must be based on the use 
of that test procedure beginning 180 days following publication of a 
final rule. DOE's proposal would not require manufacturers who do not 
currently make voluntary representations to then begin making public 
representations of efficiency. (42 U.S.C. 6314(d)(1)) Manufacturers 
would be required to test such motors in accordance with the DOE test 
procedure at such time as compliance is required with a labeling or 
energy conservation standard requirement should such a requirement be 
established. (42 U.S.C. 6315(b); 42 U.S.C. 6316(a); 42 U.S.C. 6295(s))
    The following sections discuss each criteria DOE considered for 
describing the additional SNEMs that DOE proposes to include in the 
test procedures, as well as justifications. Additionally, exemptions 
for certain other motors are discussed in section III.A.9.

   Table III-2--Description of Single Phase Induction Motors Currently
      Subject to Energy Conservation Standards and Test Procedures
------------------------------------------------------------------------
                                              NEMA frame size
                                 ---------------------------------------
  Motor enclosure construction    2-digit NEMA frame  3-digit NEMA frame
                                         size            size or above
------------------------------------------------------------------------
Open............................  NEMA general        None.
                                   purpose capacitor-
                                   start induction
                                   run, capacitor-
                                   start capacitor
                                   run motors
                                   between 0.25 and
                                   3 hp.
Enclosed........................  None..............  None.
------------------------------------------------------------------------
Note: This table provides a high-level description. Full description of
  motors currently subject to energy conservation standards and test
  procedures available at 10 CFR part 431 subpart B and subpart X.


 Table III-3--Description of Polyphase Phase Induction Motors Currently
      Subject to Energy Conservation Standards and Test Procedures
------------------------------------------------------------------------
                                              NEMA frame size
                                 ---------------------------------------
  Motor enclosure construction    2-digit NEMA frame  3-digit NEMA frame
                                         size            size or above
------------------------------------------------------------------------
Open............................  None..............  Between 1-500 hp.
Enclosed........................  NEMA 56-frame size  Between 1-500 hp.
                                   only between 1--
                                   500 hp.
------------------------------------------------------------------------
Note: This table provides a high-level description. Full description of
  motors currently subject to energy conservation standards and test
  procedures in available at 10 CFR part 431 subpart B and subpart X.

    DOE addresses the regulation of electric motors that are component 
parts in section III.A.10. Furthermore, section III.D.2 provides 
description of applicable industry standards that provide for the 
testing of the electric motors that would be subject to the provisions 
proposed in this NOPR.
    DOE proposes to include test procedure provisions for SNEMs, which 
are described by the criteria listed in Table III.4. These criteria 
would be specified as a new definition in section 1.2 of appendix B, 
titled ``Definitions.'' As noted, were DOE to include SNEMs within the 
scope of the test procedure, such electric motors would not be required 
to be tested according to the DOE test procedure until such time as DOE 
establishes energy conservation standards for SNEMs. If manufacturers 
voluntarily make representations regarding the energy consumption or 
cost of energy of such electric motors, however, they would be required 
to test according to the DOE test procedure and sampling requirements.

                  Table III.4--SNEMs Proposed in Scope
------------------------------------------------------------------------
         Criteria number                        Description
------------------------------------------------------------------------
1................................  Are not small electric motors, as
                                    defined at 10 CFR 431.442 and are
                                    not dedicated pool pump motors as
                                    defined at 10 CFR 431.483.
2................................  Are single-speed induction motors.
3................................  Are rated for continuous duty (MG 1)
                                    operation or for duty type S1 (IEC).
4................................  Capable of operating on polyphase or
                                    single-phase alternating current 60-
                                    hertz (Hz) sinusoidal line power
                                    (with or without an inverter).
5................................  Are rated for 600 volts or less.

[[Page 71722]]

 
6................................  Are built in the following frame
                                    sizes:
                                   1. Any frame sizes if the motor
                                    operates on single-phase power;
                                   2. Any frame size if the motor
                                    operates on polyphase power, and has
                                    a rated motor horspower less than 1
                                    horsepower (0.75 kW)
                                   3. A two-digit NEMA frame size (or
                                    IEC metric equivalent), if the motor
                                    operates on polyphase power, has a
                                    rated motor horspower equal to or
                                    greater than 1 horsepower (0.75 kW),
                                    and is not an enclosed 56 NEMA frame
                                    size (or IEC metric equivalent).
7................................  Produce a rated motor horsepower
                                    greater than or equal to 0.25
                                    horsepower (0.18 kW).
------------------------------------------------------------------------

    DOE requests comments on the proposal to include SNEMs, as 
specified in Table III.4, within the scope of the test procedure. 
Specifically, DOE requests feedback on each individual criteria listed 
in Table III.4. To the extent that these criteria should be revised, 
DOE seeks supporting information and justification for those revisions.
a. Single Speed
    Motors can have different speed capabilities, including single, 
multi, or (continuously) variable speeds. Variable and multi-speed 
motors can be tested with existing industry standards at a variety of 
operating points, but no single metric currently exists to quantify the 
performance of a variable or multi-speed motor. Variable or multi-speed 
capability provides the ability to save energy by more closely matching 
motor output to a varying load. In the July 2017 RFI, DOE stated it was 
considering whether to consider all speed capabilities in setting any 
potential new test procedures. 82 FR 35468, 35472. As it relates to 
those ``SNEMs'' that DOE is proposing to cover under its test 
procedure, DOE is considering aligning its approach with the existing 
regulations for small electric motors and electric motors and include 
only single-speed ``SNEMs'' that are induction motors, and would not 
include AC induction multi-speed electric motors in the scope of the 
test procedure. Synchronous electric motors with variable-speed 
capability (at 0.25 hp and above) and comments received on this topic 
are discussed in section III.A.8 of this document. AC induction 
inverter-only electric motors that are variable speed are discussed in 
section III.A.7 of this document.
b. Duty Rating
    Motors can be described by their duty type, using either NEMA or 
IEC nomenclature. Duty type describes the operating profile the motor 
is designed to handle. For example, a continuous duty motor can operate 
for long periods of time at a steady load, whereas intermittent-duty 
motors are operated non-continuously for shorter periods of time (i.e., 
intermittently, or cyclically), and thus accumulate significantly fewer 
annual operating hours. In the July 2017 RFI, DOE stated that it was 
considered analyzing only continuous duty small motors for inclusion in 
the scope of the test procedure. 82 FR 35468, 35472.
    In response to the July 2017 RFI, the Joint Advocates supported a 
focus on continuous duty motors (Docket No. EERE-2017-BT-TP-0047, Joint 
Advocates, No. 27 at p. 2) Advanced Energy commented that intermittent 
duty motors could be considered for inclusion in the scope of the test 
procedure. (Docket No. EERE-2017-BT-TP-0047; Advanced Energy, No. 25 at 
p. 3)
    For continuous duty motors, NEMA MG 1-2016 defines a continuous 
rating as ``the load which can be carried for an indefinitely long 
period of time.'' See Paragraph 1.40.1. of NEMA MG 1-2016. Similarly, 
IEC 60034-1 describes an S1 duty rating in section 5.2.1 as ``A rating 
at which the machine may be operated for an unlimited period, while 
complying with the requirements of this standard.'' DOE considers these 
continuous duty ratings to be equivalent to each other. As described in 
the July 2017 RFI, DOE limited its consideration to continuous duty 
motors because they represent more operating hours and potential energy 
savings in comparison to non-continuous duty motors. 82 FR 35468, 
35472. Electric motors and small electric motors currently subject to 
the test procedures and energy conservation standards in 10 CFR part 
431 subpart B and subpart X are rated for continuous duty. Consistent 
with the electric motors currently within the scope of the DOE test 
procedure, DOE proposes to add only those ``SNEMs'' rated for 
continuous duty, as these motors may be used in similar applications to 
their electric motor counterparts. These criteria would be reflected in 
a new definition in section 1.2 by specifying motors that are rated for 
continuous duty (MG 1) operation or for duty type S1 (IEC).
c. Current Waveform
    A motor can be designed to operate with an alternating current (AC) 
or direct current (DC) waveform. In the July 2017 RFI, DOE stated it 
was considering whether to analyze motors that operate while connected 
directly to an external DC power supply. 82 FR 35468, 35473.
    Motors that connect directly to an external DC power source are 
primarily used in less common, specialty applications that are not 
served by AC motors (e.g., applications requiring precise motion 
control or reversibility).\21\ DOE research indicates that these motors 
have a low market share.\22\ Electric motors currently subject to test 
procedures and energy conservation standards at 10 CFR part 431 subpart 
B are supplied by AC sinusoidal line power. DOE proposes to limit the 
scope of applicability of this test procedure to SNEMs that operate on 
AC sinusoidal line power (with or without an inverter). DOE notes that 
these motors include direct-on-line, inverter-capable, and inverter-
only electric motors. The specification of AC sinusoidal line power 
would be reflected in a new definition in section 1.2 of appendix B. 
Motors that are inverter-only are further discussed in section III.A.7 
of this document.
---------------------------------------------------------------------------

    \21\ DOE notes that DC motors that operate while connected 
directly to an external DC power supply are different from more 
common motors that operate using a DC waveform that is supplied by a 
power converter placed between the motor and an external AC power 
source (e.g. as in an electronically commutated motor). Comments 
related to electronically communicated motors are discussed in 
section III.A.8.
    \22\ DOE reviewed information on the market share of DC motors 
for motors above 1 horsepower from the following market report: 
``Low Voltage Motors, World Market report 2019'' November 2019 IHS 
Markit. DOE notes that this report did not include information 
related to motors below 1 horsepower.
---------------------------------------------------------------------------

d. Input Frequency
    AC motors are designed to operate at a particular frequency. In the 
United States, AC power is delivered at 60 Hz. In the July 2017 RFI, 
DOE discussed analyzing motors designed to operate with a sinusoidal 
input frequency of 60

[[Page 71723]]

Hz, but that may also be designed to operate at different frequencies. 
For example, some motors are marketed as being capable of operating at 
either 50 or 60 Hz, and are therefore designed to work while connected 
to line power in different regions (e.g., Europe and North America). 82 
FR 35468, 35473.
    In response, Advanced Energy commented that 50 Hz motors could be 
connected to 60 Hz power supplies and therefore the scope of test 
procedures applicable to ``small motors'' should consider 50 Hz motors 
as well. Advanced Energy noted that NEMA MG1 included efficiency tables 
for 50 Hz motors. (Docket No. EERE-2017-BT-TP-0047; Advanced Energy, 
No. 25 at p. 3).
    EPCA authorizes DOE to establish test procedures and energy 
conservation standards for covered equipment distributed in commerce 
within the United States. (42 U.S.C. 6316(a); 42 U.S.C. 6302(a); see 
also 42 U.S.C. 6300; 42 U.S.C. 6301) Within the United States, 
electricity is supplied at 60 Hz. Therefore, DOE proposes to limit the 
scope of applicability of this test procedure to SNEMs capable of 
operating using 60 Hz input power, including motors marketed as being 
capable of operating at frequencies in addition to 60 Hz (e.g., motors 
designed to operate at either 60 or 50 Hz). In the January 2021 Final 
Rule, DOE also established the definition of rated frequency as ``60 
Hz'' for small electric motors in 10 CFR 431.442. 86 FR 4, 14. Further, 
DOE is proposing to define rated frequency for electric motors 
similarly, as discussed in section III.G.1 of this document. Finally, 
the specification of 60 Hz would be reflected as a new definition in 
section 1.2 of appendix B.
e. Frame Size
    Motors can be built in different frame sizes, which most commonly 
characterizes the distance between the centerline of the shaft and the 
bottom of the mounting feet, but can also describe a motor's axial 
length. Typically, as rated motor horsepower increases with a general 
motor design, so does frame size. NEMA frame sizes are described in 2-, 
3-, and 4-digit naming conventions. In the July 2017 RFI, DOE indicated 
that it was considering not using frame size to describe motors under 
consideration for standards, other than to avoid overlap with other 
existing electric motor regulations in 10 CFR part 431 subpart B. 82 FR 
35468, 35473.
    In this NOPR, DOE proposes to differentiate the additional SNEMs 
proposed for inclusion in the scope of the test procedures from 
electric motors currently subject to test procedures at 10 CFR part 431 
subpart B and from small electric motors currently subject to test 
procedures at 10 CFR part 431 subpart X by specifying combinations of 
frame sizes, rated motor horsepower, and enclosure construction that 
are not currently included in the existing electric motors and small 
electric motors regulations.
    Subpart B of 10 CFR part 431 subjects certain NEMA 56-frame 
polyphase electric motors of enclosed construction and certain 3-digit 
or 4-digit polyphase electric motors to the test procedures, and 
currently does not cover two groups of motors: (1) Those motors with a 
rated motor horsepower less than one and; (2) polyphase motors of a 2-
digit frame size (other than certain NEMA 56-frame size enclosed 
motors) with a rated motor horsepower greater than or equal to one.
    Subpart X of 10 CFR part 431 subjects certain 2-digit NEMA frame 
single-phase and polyphase motors with a rated motor horsepower greater 
than or equal to 0.25 hp and less than or equal to 3 hp to those test 
procedures, and does not cover any 3-digit frame size motors or certain 
2-digit NEMA frame single-phase motors that do not meet the definition 
of small electric motors.
    Accordingly, DOE is proposing to specify the following frame-size 
criteria to describe the electric motors proposed for inclusion in 
scope under 10 CFR part 431 subpart B as SNEMs: 2-Digit frame size for 
polyphase electric motors greater than or equal to one horsepower, 
which are not of an enclosed 56 frame size and which are not a small 
electric motor as defined at 10 CFR 431.442. For single-phase SNEMs and 
polyphase SNEMs less than one horsepower that are not small electric 
motors, DOE is not proposing any frame size requirements. (See Table 
III.5). These criteria would be reflected in a new definition in 
section 1.2 of appendix B.

  Table III.5--Proposed Frame Size Requirements for SNEMs Proposed for
           Inclusion in Scope Under 10 CFR Part 431 Subpart B
------------------------------------------------------------------------
              Phase                   Horsepower          Frame size
------------------------------------------------------------------------
Single-phase....................  >=0.25 hp.........  All.
Polyphase.......................  >=0.25 and <1 hp..  All.
Polyphase.......................  >=1 hp............  2-digit except 56
                                                       enclosed.
------------------------------------------------------------------------

f. Horsepower
    A motor horsepower indicates the output power that a motor can 
deliver at full-load. In the July 2017 RFI, DOE discussed the 
horsepower range for motors under consideration in this rulemaking. 82 
FR 35468, 35470. See Table III.1. DOE used the existing scope for small 
electric motors and electric motors as a starting point, and reviewed 
market data to determine whether to revise the limits. In the July 2017 
RFI, DOE identified 0.125 hp as the lowest rated motor horsepower, with 
multiple manufacturers offering a wide range of motors that meet the 
other scope of applicability criteria considered in Table III.1. Id. In 
the July 2017 RFI, DOE also identified an upper limit to rated motor 
horsepower corresponding to motors that meet the other scope of 
applicability criteria considered in Table III.1. (i.e., single-phase 
motors inclusive of all frame sizes with up to 15 hp and polyphase 2-
digit NEMA frame size motors, excluding those currently regulated at 10 
CFR 431.25, up to 5 hp). Id.
    In response to the July 2017 RFI, Advanced Energy commented that 
the 15 hp and 5 hp upper limits for single-phase and polyphase motors 
in two-digit frames were reasonable. Advanced Energy also commented 
that some of the sub-fractional horsepower motors may not have an 
opportunity for significant savings and commented that the cost of 
testing such motors exceeds their purchase price. Advanced Energy 
asserted that although the burden of testing can be avoided or 
minimized through the use of AEDMs, not all manufacturers use AEDMs. 
(Docket No. EERE-2017-BT-TP-0047; Advanced Energy, No. 25 at p. 1) The 
CA IOUs commented in support of DOE expanding the scope of the small 
electric motor test procedure to 0.125 hp through 15 hp from the 
current scope of 0.5 hp to 3 hp. The CA IOUs commented that having 
greater information about the small motor market has many benefits, 
such as

[[Page 71724]]

aiding in the development of new incentive programs. (Docket No. EERE-
2017-BT-TP-0047; CA IOUs, No. 26 at p. 2) NEMA opposed any changes to 
the current horsepower range of regulated motors. NEMA commented that 
special and definite purpose motors (specifically between 0.125--3 hp) 
are predominantly used as components of other regulated products and 
that regulating these motors would increase consumer costs, add burden 
on manufacturers, and would not lead to energy savings. (Docket No. 
EERE-2017-BT-TP-0047; NEMA, No. 24 at pp. 1, 6)
    NEEA and NWPCC commented that DOE should include in the electric 
motor test procedure all motors that directly compete against each 
other in the 1 to 15 hp range so that such motors can be fairly 
compared against other motor designs. NEEA and NWPCC commented that 
some of these motor types and designs are known for having low 
efficiencies but are commonly chosen by consumers and original 
equipment manufacturers because they are cheaper than other motors. 
NEEA and NWPCC commented that the lack of coverage by the electric 
motors test procedure and standard is giving competitive advantage to 
inefficient motor types and increasing operating costs for consumers. 
(NEEA and NWPCC, No. 6 at p. 3)
    DOE proposes a lower limit of 0.25 hp for SNEMs proposed for 
inclusion in scope, which would be reflected in a new definition of 
``SNEMs'' in section 1.2 of appendix B. The proposed lower horsepower 
limit corresponds to the scope of the small electric motor test 
procedure in subpart X and would ensure that the efficiency levels of 
competing motor topologies in the same horsepower range can be 
compared. DOE does not propose to specify an upper limit, as the 
criteria specified in the proposed definition of ``SNEMs'' inherently 
limits the range of horsepower sizes of equipment meeting this 
definition. Single-phase motors are inherently limited in horsepower 
due to the limitations of residential electrical power service.\23\ The 
proposed frame size specification for polyphase motors (two-digit NEMA 
frame size or IEC metric equivalent) inherently provides a limitation 
on the physical size and rated horsepower of the motor, as described in 
the July 2017 RFI. 82 FR 35468, 35470. Based on a review of 
manufacturer catalog data, DOE found that single-phase motors, 
inclusive of all frame sizes, exist up to 15 hp. DOE also found that 
polyphase 2-digit NEMA frame size motors exist up to 5 hp. Id. The 
discussion regarding the potential regulation of ``SNEMs'' that are 
components of other regulated products is discussed in section 
III.A.10.
---------------------------------------------------------------------------

    \23\ Residential electric power service is typically provided at 
100 to 200 amps total for the entire residence, with individual 
circuits typically sized at 15-30 amps, up to a maximum of around 60 
amps for special use cases. A 60-amp circuit at 240V could 
theoretically accommodate a maximum motor size of around 15 hp.
---------------------------------------------------------------------------

g. Enclosure Construction
    In the July 2017 RFI, DOE discussed motor enclosure construction, 
which includes open and enclosed construction and certain subcategories 
such as open drip proof, totally enclosed non-ventilated, and totally 
enclosed air-over motors. 82 FR 35468, 35472. Enclosure construction 
characterizes both the level of ingress protection (i.e., protection 
from dust or liquids) and the cooling method (such as active air 
cooling via an integral fan or passive cooling via natural convection). 
Id.
    Similar to 10 CFR 431.25, DOE proposes to include SNEMs with open 
and enclosed constructions under electric motors; i.e., without 
differentiating by enclosure type, except to exclude motors that are an 
enclosed 56 NEMA frame size (or IEC metric equivalent) to avoid 
overlapping with existing regulations at 10 CFR part 431 subpart B and 
subpart X. The exclusion of enclosed 56 NEMA frame size would be 
reflected in a new definition in section 1.2 of appendix B. In 
addition, liquid-cooled electric motors would be excluded from the 
scope of the test procedure, as described in section III.A.9. 
Furthermore, DOE proposes to include air-over electric motors as 
discussed in section III.A.3 of this document.
h. Topology
    Section 340(13)(G) of EPCA, as amended by the Energy Independence 
and Security Act of 2007 (Pub. L. 110-140; EISA 2007) defines ``small 
electric motor'' as ``a NEMA general purpose alternating-current 
single-speed induction motor, built in a two-digit frame number series 
in accordance with NEMA Standards Publication MG 1-1987.'' (42 U.S.C. 
6311(13)(G)) When DOE codified the EISA 2007 definition of ``small 
electric motor'' into the CFR, it added ``including IEC metric 
equivalent motors,'' clarifying and explicitly indicating that IEC 
equivalent motors meet the definition of small electric motor. 10 CFR 
431.442 In a final rule published on March 9, 2010 (``March 2010 Final 
Rule''), DOE interpreted the term ``NEMA general purpose alternating 
current single-speed induction motor'' as referring to elements within 
paragraph MG 1-1.05 of NEMA MG 1-1987, which provides a list of 
characteristics for determining whether a particular motor is a general 
purpose alternating current motor (see Table III.6). 75 FR 10874, 
10882-10886. On June 17, 2014, DOE issued a guidance document that 
clarifies DOE's interpretation of each of these characteristics.\24\
---------------------------------------------------------------------------

    \24\ In response to questions from NEMA and various motor 
manufacturers, DOE issued a guidance document that identifies some 
key design elements that manufacturers should consider when 
determining whether a given individual motor meets the small 
electric motor definition and is subject to the energy conservation 
standards promulgated for small electric motors. See 
www.regulations.gov/document?D=EERE-2017-BT-TP-0047-0082.

         Table III.6--Characteristics of General Purpose Motors
------------------------------------------------------------------------
 General Purpose Motor Performance Requirements  (paragraph MG 1-1.05 of
                             NEMA MG 1-1987)
-------------------------------------------------------------------------
(1) Built with an open construction;
(2) Rated for continuous duty;
(3) Incorporates the service factor in MG 1-12.47 of MG 1-1987;
(4) Uses insulation that satisfies at least the minimum Class A
 insulation system temperature rise specifications detailed in MG 1-
 12.42 of MG 1-1987;
(5) Designed in standard ratings;
(6) Has standard operating characteristics;
(7) Has standard mechanical construction;
(8) Designed for use under usual service conditions; and
(9) Is not restricted to a particular application.
------------------------------------------------------------------------


[[Page 71725]]

    In the March 2010 Final Rule, DOE identified six categories of AC 
single-speed induction motors: Split-phase, shaded-pole, capacitor-
start (both capacitor-start induction-run (``CSIR'') and capacitor-
start capacitor-run (``CSCR'')), permanent-split capacitor (``PSC''), 
and polyphase. 75 FR 10874, 10883. Table III.7 describes each of these 
motor types.

         Table III.7--Single-Speed AC Induction Motor Topologies
------------------------------------------------------------------------
             Topology                            Description
------------------------------------------------------------------------
PSC...............................  A capacitor motor * having the same
                                     value of capacitance for both
                                     starting and running conditions.
                                     (MG 1-2014, 1.20.3.3.2)
CSIR..............................  A capacitor motor * in which the
                                     capacitor phase is in the circuit
                                     only during the starting period.
                                     (MG 1-2014, 1.20.3.3.1)
CSCR..............................  A capacitor motor * using different
                                     values of effective capacitance for
                                     the starting and running
                                     conditions. (MG 1-2014, 1.20.3.3.3)
Shaded-Pole.......................  A single-phase induction motor
                                     provided with an auxiliary short-
                                     circuited winding or windings
                                     displaced in magnetic position from
                                     the main winding. (MG 1-2014,
                                     1.20.3.4)
Split-phase.......................  A single-phase induction motor
                                     equipped with an auxiliary winding,
                                     displaced in magnetic position
                                     from, and connected in parallel
                                     with the main winding. (MG 1-2014,
                                     1.20.3.1)
Polyphase induction, squirrel cage  A polyphase induction motor in which
                                     the secondary circuit (squirrel-
                                     cage winding) consists of a number
                                     of conducting bars having their
                                     extremities connected by metal
                                     rings or plates at each end. (MG 1-
                                     2014, 1.18.1.1)
------------------------------------------------------------------------
* A capacitor motor is a single-phase induction motor with a main
  winding arranged for direct connection to a source of power and an
  auxiliary winding connected in series with a capacitor. (MG 1-2014
  1.20.3.3)

    Of these six motor types, DOE established that split-phase, shaded-
pole, and PSC motors did not meet the definition of small electric 
motor (based on the performance requirements of general purpose motors 
as listed in Table III.6) and therefore were not addressed by the test 
procedure at 10 CFR 431.444. Id.
    EPCA does not define ``electric motor,'' and DOE's authority to 
regulate this equipment, unlike that for small electric motors, is not 
restricted to general purpose motors as defined in NEMA MG-1 1987. (See 
42 U.S.C. 6311(13)) DOE proposes to expand the applicability of the 
test procedure to include electric motors that are generally considered 
SNEMs but that do not meet the general purpose requirements of NEMA 
MG1-1987 specified in the definition of ``small electric motor.'' DOE 
is proposing that all six induction motor topologies described in Table 
III.7 would be included as SNEMs if they meet all other criteria (e.g., 
duty, single-speed, etc.) as listed in Table III.4 (i.e., DOE is not 
proposing to specifically specify these SNEM topologies in the 
``Scope'' section of appendix B, but rather to specify coverage through 
other motor features and characteristics as listed in Table III.4). DOE 
notes that all motors in Table III.7 were presented in the July 2017 
RFI as primary motor topologies for which DOE was considering standards 
and test procedures. 82 FR 35468, 35471.
    In addition, by covering these six-topologies, the proposed test 
procedure would apply to general-purpose, definite-purpose, and 
special-purpose motors, as defined in NEMA MG 1-2016, paragraphs 1.11 
and 1.15. (See also 42 U.S.C. 6311(13)(C)-(D) (defining the terms 
``definite-purpose motor'' and ``special-purpose motor,'' 
respectively)) Definite- and special-purpose motors are designed for a 
particular application (e.g., washdown duty motors) and incorporate 
features that are not included in general purpose motors (e.g., contact 
seals). DOE notes that certain definite- and special-purpose motors 
would require additional testing instructions beyond what industry 
standards specify. Section III.L discusses these definite- and special-
purpose motors and potential additional testing instructions.\25\
---------------------------------------------------------------------------

    \25\ Both definite purpose electric motor and special purpose 
electric motors cannot be used in most general purpose applications. 
The main difference between definite purpose electric motor and 
special purpose electric motors is that definite purpose electric 
motor are designed to standard ratings with standard operating 
characteristics or standard mechanical construction (as specified in 
NEMA MG1-2016) while special purpose electric motor are designed 
with special operating characteristics or special mechanical 
construction. Section III.L discusses additional testing 
instructions for the following categories of electric motors: (1) 
Brake electric motors; (2) close-coupled pump electric motors and 
electric motors with single or double shaft extensions of non-
standard dimensions or design; (3) electric motors with non-standard 
endshields or flanges; (4) electric motors with non-standard bases, 
feet or mounting configurations; (5) electric motors with a 
separately-powered blower; (6) immersible electric motors; (7) 
partial electric motors; and (8) vertical electric motors and 
electric motors with bearings incapable of horizontal operation.
---------------------------------------------------------------------------

7. AC Induction Inverter-Only Electric Motors
    The current electric motor test procedures apply to AC induction 
motors except for those AC induction motors that are ``inverter-only 
electric motors.'' \26\ These motors are an exempted category of 
electric motors listed at 10 CFR 431.25(l)(5).\27\ This section 
discusses inverter-only electric motors that are AC induction motors. 
Section III.A.8 discusses inverter-only electric motors that are not AC 
induction motors.
---------------------------------------------------------------------------

    \26\ NEMA MG-1 2016, paragraph 30.2.1.5 defines the term 
``control'' for motors receiving AC power, as ``devices that are 
also called inverters and converters. They are electronic devices 
that convert an input AC or DC power into a controlled output AC 
voltage or current''. Converters can also be found in motors that 
receive DC power and also include electronic devices that convert an 
input AC or DC power into a controlled output DC voltage or current. 
See section III.B.3 of this NOPR.
    \27\ DOE defines an ``inverter-only electric motor'' as an 
electric motor that is capable of rated operation solely with an 
inverter, and is not intended for operation when directly connected 
to polyphase, sinusoidal line power.'' 10 CFR 431.12 DOE notes that 
more generally, the requirement to operate with an inverter also 
means that that inverter-only motors are not intended for operation 
when directly connected to single-phase, sinusoidal line power or to 
DC power. See section III.B.3 of this NOPR.
---------------------------------------------------------------------------

    In the December 2013 Final Rule, DOE found that testing an 
inverter-only motor presented multiple difficulties. 78 FR 75962, 
75988. Inverter-only motors can be operated at a continuum of speeds, 
with no established speed testing profile; and the motors may be 
optimized for different waveforms, which have no established testing 
standards. Further, without extensive study it would be difficult to 
generate meaningful test results for products that may be designed for 
a wide variety of operating inputs. Additionally, at the time, DOE 
established that the high frequency power signals may be difficult to 
measure accurately without specialized equipment that testing

[[Page 71726]]

laboratories may not possess. Id. Consequently, DOE provided an 
exemption for inverter-only electric motors from the energy 
conservation standards at 10 CFR 431.25 due to the absence of a 
reliable and repeatable method to test them for efficiency. 79 FR 
30934, 30945.
    Since the publication of the December 2013 Final Rule, the industry 
has developed several methods to test inverter-only motors, as 
discussed further in section III.D.3. Therefore, DOE proposes to 
include within the scope of the test procedure AC induction inverter-
only electric motors that meet the criteria listed at 10 CFR 431.25(g) 
and in Table III.4 of this NOPR. As noted, were DOE to include 
induction inverter-only electric motors within the scope of the test 
procedure, such electric motors would not be required to be tested 
according to the DOE test procedure until such time as DOE establishes 
energy conservation standards for induction inverter-only electric 
motors. If manufacturers voluntarily make representations regarding the 
energy consumption or cost of energy of such electric motors, however, 
they would be required to test according to the DOE test procedure and 
sampling requirements.
    DOE requests comments on its proposal to add test procedure 
provisions for AC induction inverter-only electric motors. DOE seeks 
supporting information and justification for including or excluding AC 
induction inverter-only electric motors in the scope of the test 
procedure.
8. Synchronous Electric Motors
    The current electric motors test procedures apply only to induction 
electric motors. 10 CFR 431.25(g)(1), appendix B, Note.
    The ``induction motor'' criteria exclude synchronous electric 
motors from the scope. A ``synchronous electric motor'' is an electric 
motor in which the average speed of the normal operation is exactly 
proportional to the frequency of power supply to which it is connected, 
regardless of load. \28\ In contrast, in an induction electric motor, 
the average speed of the normal operation is not proportional to the 
frequency of the power supply to which it is connected.\29\ For 
example, a 4-pole synchronous electric motor will rotate at 1800 rpm 
when connected to 60 Hz power even when the load varies; whereas a 4-
pole induction electric motor in the same setup will slow down as load 
increases.
---------------------------------------------------------------------------

    \28\ NEMA MG 1-2016 paragraph 1.17.3.4 defines a ``synchronous 
machine'', as an ``alternating-current machine in which the average 
speed of the normal operation is exactly proportional to the 
frequency of the system to which it is connected.''
    \29\ NEMA MG 1-2016 paragraph 1.17.3.3 defines an ``induction 
machine'', as an ``an asynchronous machine that comprises a magnetic 
circuit interlinked with two electric circuits or sets of circuits, 
rotating with respect to each other and in which power is 
transferred from one circuit to another by electromagnetic 
induction.''
---------------------------------------------------------------------------

    Synchronous electric motors can operate either direct-on-line 
(connected directly to the power supply) or as inverter-fed (connected 
to an inverter). Some inverter-fed electric motors require being 
connected to an inverter to operate (i.e., inverter-only electric 
motors) while others are capable of operating both direct-on-line or 
connected to an inverter (i.e., inverter-capable electric motors).
    In the July 2017 RFI, DOE presented a list of motor topologies for 
which it was considering test procedures. Specifically, DOE identified 
the following inverter-fed synchronous electric motor topologies that 
are not included in the current test procedures for electric motors or 
small electric motors: Line start permanent magnet (``LSPM''); \30\ 
permanent magnet AC (``PMAC,'' also known as permanent magnet 
synchronous motor (``PMSM'') or brushless AC); switched reluctance 
(``SR''); synchronous reluctance motors (``SynRMs''); and 
electronically commutated motor (``ECMs'').\31\ 82 FR 35468, 35471 
Typically, these motor technologies are used as higher efficiency 
replacements for single-speed induction motors.
---------------------------------------------------------------------------

    \30\ Advanced Energy noted that LSPM motors are synchronous 
motors. Though these motors have a squirrel cage, they do not 
operate on the principle of induction as is attributed to regular 
induction motors. The cage is simply for starting the motor and 
these motors are essentially synchronous motors. (Docket No. EERE-
2017-BT-TP-0047; Advanced Energy, No. 25 at p. 2) This technology is 
described further in Chapter 3 of the technical support document 
accompanying the May 2014 Final Rule: During the motor transient 
start up, the squirrel cage in the rotor contributes to the 
production of enough torque to start the rotation of the rotor, 
albeit at an asynchronous speed. When the speed of the rotor 
approaches synchronous speed, the constant magnetic field of the 
permanent magnet locks to the rotating stator field, thereby pulling 
the rotor into synchronous operation. (Docket No. EERE-2010-BT-STD-
0027-0108)
    \31\ All 5 topologies are referred to as ``advanced motor 
technologies'' and represent motor technologies that have been more 
recently introduced on the market and have variable speed 
capabilities.
---------------------------------------------------------------------------

    LSPM motors can be connected directly to 60 Hz line power and 
started with a squirrel cage rotor (similar to an induction electric 
motor) but can also be paired with an inverter to start the motor or 
have variable-speed capability enabled by integrated electronic 
controls. SynRMs, SR motors, and PMAC motors are designed for variable-
speed operation, and must be controlled by an inverter to be able to 
start the motor.
    ECMs, also known as a brushless DC electric motor, are synchronous 
motors that operate on DC power via an inverter connected to an AC 
power supply. ECMs typically consist of an integrated permanent magnet 
DC motor and an integrated variable frequency drive (``VFD''), which 
provides speed control capability.
    In response to the July 2017 RFI, the Joint Advocates recommended 
that the test procedures should be (1) applied to a broad range of 
motor technologies and categories to enable consumers to make fair 
comparisons; (2) be based on existing test methods where possible; and 
(3) reflect the relative power consumption over a range of points. The 
Joint Advocates commented that DOE should prioritize establishing test 
procedures for primary topologies based on sales, specifically DC 
motors. (Docket No. EERE-2017-BT-TP-0047, Joint Advocates, No. 27 at 
pp. 2-3)
    The CA IOUs commented that DOE should establish test procedures for 
the additional motor categories considered in the July 2017 RFI. (CA 
IOUs, No. 3 at p. 3-5) Specifically, regarding advanced motor 
technologies, the CA IOUs commented in support of including motors 
using frequency converters that can be tested in accordance with IEC 
60034-2-3:2020 ``Rotating electrical machines--Part 2-3: Specific test 
methods for determining losses and efficiency of converter-fed AC 
motors'' (``IEC 60034-2-3:2020''); IEC 61800-9-2:2017 ``Adjustable 
speed electrical power drive systems--Part 9-2: Ecodesign for power 
drive systems, motor starters, power electronics and their driven 
applications--Energy efficiency indicators for power drive systems and 
motor starters'' (IEC 61800-9-2:2017); and other industry test 
standards applicable to DC motors such as IEC 60034-2-1:2014. The CA 
IOUs commented that DOE should establish test procedures for advanced 
motor technologies that are interchangeable with electric motors 
currently subject to DOE test procedures. The CA IOUs commented that 
this would reduce market confusion by providing comparable ratings for 
substitutable motors and motor systems. The CA IOUs stated that 
including advanced motor technologies in the scope of the test 
procedure would ensure that end users are provided with ratings from a 
uniform test method that can be used to compare and select between 
electric motors of competing technologies that would ultimately be used 
in the same end-use applications. Specifically, the

[[Page 71727]]

CA IOUs commented that DOE should expand the scope of existing test 
procedure to include SR, SynRM, PMAC, PMSMs, and motors with an 
integrated VFD. The CA IOUs provided additional information to 
demonstrate the technical feasibility and market availability of these 
advanced motor technologies. (CA IOUs, No. 3 at p. 3-5)
    The Efficiency Advocates and NEEA and NWPCC similarly commented 
that DOE should establish test procedures for the additional motor 
categories considered in the July 2017 RFI. In addition, the Efficiency 
Advocates and NEEA and NWPCC similarly urged DOE to consider test 
procedure modifications to account for electric motors with advanced 
motor technologies. NEEA and NWPCC commented that including a broad a 
range of motor technologies, designs, and categories in the test 
procedure enables consumers to make fair comparisons. The Efficiency 
Advocates added that the scope of the test procedure should enable any 
new motor technology to be rated on a fair basis with existing motor 
technologies. (Efficiency Advocates, No. 5 at pp. 2-3; NEEA and NWPCC, 
No. 6 at pp. 2-4)
    DOE has identified new industry standards since its December 2013 
Final Rule that apply to synchronous electric motors (see section 
III.D.3). Accordingly, DOE proposes to include within the scope of the 
test procedure synchronous electric motors with the characteristics 
listed in Table III.8. These criteria would be specified in a new 
definition in section 1.2 of appendix B, titled ``Definitions.''

Table III.8--Synchronous Electric Motors Proposed for Inclusion in Scope
------------------------------------------------------------------------
         Criteria number                        Description
------------------------------------------------------------------------
1................................  Are not dedicated purpose pool pump
                                    motors as defined at 10 CFR 431.483.
2................................  Are synchronous electric motors;.
3................................  Are rated for continuous duty (MG 1)
                                    operation or for duty type S1
                                    (IEC);.
4................................  Capable of operating on polyphase or
                                    single-phase alternating current 60-
                                    hertz (Hz); sinusoidal line power
                                    (with or without an inverter);.
5................................  Are rated 600 volts or less;.
6................................  Have a 2-, 4-, 6-, 8-, 10-, or 12-
                                    pole configuration.
7................................  Produce at least 0.25 horsepower (hp)
                                    (0.18 kilowatt (kW)) but not greater
                                    than 750 hp (373 kW).
------------------------------------------------------------------------

    Section III.D.3 discusses industry standards that DOE proposes to 
incorporate by reference and use to test synchronous electric motors.
    DOE requests comments on its proposal to add synchronous electric 
motors to the scope of the test procedure. Specifically, DOE request 
comments on whether the criteria listed in Table III.8 accurately 
reflect DOE's intent to propose to include LSPM motors; PMAC motors; SR 
motors; SynRMs; and ECMs in the scope of the proposed test procedure. 
To the extent that the criteria listed in Table III.8 should be 
revised, DOE seeks supporting information and justification for the 
suggested revision.
9. Exemptions
    DOE proposes to include within the scope of the test procedure 
previously exempted air-over electric motors, submersible electric 
motors and inverter-only electric motors at 10 CFR 431.25(l), as 
discussed in sections III.A.3, III.A.4 and III.A.7, respectively. 
However, in this NOPR, DOE proposes to continue to exempt (1) component 
sets of an electric motor; and (2) liquid-cooled electric motors. 10 
CFR 431.25(l)(2) and (3).
a. Component Sets
    Electric motors within the scope of the DOE test procedure 
typically incorporate a number of components that may include: A rotor, 
stator, stator windings, stator frame, endshields, bearings, and a 
shaft. Any combination of these parts that does not form an operable 
electric motor is considered a component set of an electric motor. An 
operable motor is engineered for performing in accordance with 
nameplate ratings. Motor component sets may be sold to third parties 
with the intention of mounting motor components inside equipment that 
would provide the necessary elements to allow the component set to 
operate similarly to a standalone electric motor. For example, a motor 
component set consisting of a rotor, stator, and stator windings may be 
purchased and installed inside equipment that provides the structural 
support and interfacing components necessary to allow performance 
consistent with that of a complete, operable motor. Third parties may 
also purchase component sets with the intention of assembling complete, 
operable motors, in which case the third party would be responsible for 
certifying that the assembled motor meets any applicable standards.
    In the December 2013 Final Rule, DOE determined that the additional 
parts required to construct an operable motor from a component set may 
be costly, complex, and are often only provided by a motor 
manufacturer. 78 FR 75962, 75987. Subsequently, DOE determined that a 
single testing laboratory would have insurmountable difficulty 
machining motor parts, assembling the parts into an operable machine, 
and testing the motor in a way that would be manageable, consistent, 
and repeatable by other testing laboratories. Id. At this time, DOE is 
unaware of an industry test procedure or instructions that could 
facilitate the consistent testing of component sets. Therefore, DOE 
proposes to maintain the existing exemption for component sets of an 
electric motor at 10 CFR 431.25(l)(2).
    DOE requests comment on maintaining the existing exemption of 
component sets of an electric motor from the scope of the test 
procedure.
b. Liquid-Cooled Electric Motors
    Liquid-cooled motors use liquid (or liquid-filled components) to 
facilitate heat dissipation but are not submerged in liquid during 
operation. In the December 2013 Final Rule, DOE described a liquid-
cooled electric motor as a motor that circulates one or a combination 
of several liquids into and around the motor and frame to dissipate 
heat. 78 FR 75962, 75987. This circulation of liquid for cooling could 
impact the operating temperature of the motor and, by extension, its 
efficiency. Further, DOE did not identify any standardized methodology 
for testing the energy efficiency of a liquid-cooled motor. Id. 
Consequently, in the May 2014 Final Rule, DOE exempted liquid-cooled 
electric motors from the energy conservation standards at 10 CFR 
431.25(l)(3) due to the absence of a reliable and repeatable method to 
test them for efficiency. 79 FR 30933, 30945. DOE defines a ``liquid-
cooled electric motor'' as a motor that is cooled by liquid circulated 
using a designated

[[Page 71728]]

cooling apparatus such that the liquid or liquid-filled conductors come 
into direct contact with the parts of the motor. 10 CFR 431.12.
    In response to the July 2017 RFI, Advanced Energy commented that it 
did not support regulating motors that are manufactured for highly 
specialized applications, such as liquid-cooled motors. (Advanced 
Energy, EERE-2017-BT-TP-0047, No. 25 at p. 6) DOE has preliminarily 
determined that the testing difficulties previously described for 
liquid-cooled motors, including lack of a repeatable and reliable test 
method, still exist. Therefore, DOE continues to propose to exempt 
liquid-cooled motors from the scope of applicability of this test 
procedure. However, to more clearly distinguish the exempted liquid-
cooled electric motors from submersible electric motors (which DOE is 
proposing to include within scope, as discussed in section III.A.4), 
DOE proposes to update the definition for ``liquid-cooled electric 
motors,'' as described in section III.B.5.
    DOE requests comment on maintaining the existing exemption of 
liquid-cooled electric motors from the scope of the test procedure.
10. Motor Used as a Component of a Covered Product or Equipment
    EPCA provides that no standard prescribed for small electric motors 
(those regulated in 10 CFR part 431, subpart X) shall apply to any such 
motor that is a component of a covered product under EPCA or of covered 
equipment under EPCA. (42 U.S.C. 6317(b)(3)) EPCA does not establish 
any such prohibition for electric motors and suggests the opposite. See 
42 U.S.C. 6313(b)(1) (providing that standards for electric motors be 
applied to electric motors manufactured ``alone or as a component of 
another piece of equipment'').
    NEMA, McMillan Electric Company, Detech, and Lennox International 
indicated that they do not support regulating motors that are 
components of covered products or equipment, but instead support a 
finished-product approach to energy efficiency regulations.\32\ (Docket 
No. EERE-2017-BT-TP-0047, NEMA, No. 24 at p. 1; McMillian Electric 
Company, No. 16 at p. 1; Detech, no. 18 at p. 1; Lennox, No. 22 at p. 
1-2) In addition, AHAM and AHRI commented that they oppose DOE 
requiring testing of motors that only enter commerce as components of 
another product, including special and definite purpose motors. AHAM 
and AHRI commented that is too difficult to uniformly test such motors 
that are designed and destined for specific applications and that are 
vastly different from one-another. AHAM and AHRI asserted that 
developing such test procedures would be difficult, if not impossible, 
and that complying with them would be difficult and costly to manage. 
(Docket No. EERE-2017-BT-TP-0047, AHAM and AHRI, No. 21 at p. 5)
---------------------------------------------------------------------------

    \32\ A finished-product approach would consider establishing 
energy conservation standards at the larger equipment level (e.g., 
HVAC equipment) rather than at the component level (e.g., the 
motor).
---------------------------------------------------------------------------

    At this time, DOE is not proposing to exclude from its test 
procedure's scope those motors used as a component of a covered product 
or covered equipment. DOE notes that the current electric motors test 
procedure applies to definite purpose and special purpose electric 
motors, and DOE is not aware of any technical issues with testing such 
motors using the current DOE test procedure. Furthermore, DOE is 
proposing additional test instructions for the additional electric 
motors proposed in scope, including testing instructions for special 
and definite purpose motors. (See section III.L for further 
discussion).
    DOE requests comment on whether any electric motors, when used as 
components of covered products or covered equipment, are unable to be 
tested under the DOE test procedure absent modification to the test 
procedure. If so, DOE requests information on what such modifications 
should be and why.

B. Definitions

    DOE is proposing to modify 10 CFR 431.12 by either modifying or 
adding certain definitions applicable to electric motors.
1. Updating IEC Design N and H Motors Definitions and Including New 
Definitions for IEC Design N and H ``E'' and ``Y'' Designations
    As discussed in section III.A.1, DOE proposes to clarify that IEC 
Design HE, HY, HEY, NE, NY, and NEY are already covered equipment. 
Accordingly, DOE proposes to add definitions for these designs in 10 
CFR 431.12 based on the definitions of IEC Design H and N provided in 
10 CFR 431.12, and the definitions for IEC Design HE, HY, HEY, NE, NY, 
and NEY provided in IEC 60034-12:2016. DOE proposes to include these 
``E'' and/or ``Y'' variants in each instance where IEC Design N and H 
are currently referenced in 10 CFR 431.25. In addition, DOE proposes to 
amend the current definitions for IEC Design H and N (which currently 
reference and are based on IEC 60034-12 Edition 2.1 2007-09) to be 
consistent with the latest version of that industry standard--IEC 
60034-12:2016.
    In reviewing IEC 60034-12:2016, DOE identified the following 
updates as it relates to the definitions: (1) For IEC Design N and 
Design H motors, the lower end of the rated output power range was 
reduced from 0.4 kW (0.5 hp) to 0.12 kW (\1/6\ hp), and corresponding 
new limits for minimum values of torque and external moment of inertia 
were added to these power ratings; and (2) the limits for locked rotor 
apparent power for motors with protection type ``e'' were replaced by a 
reference to IEC 60079-7:2015 ``Explosive atmospheres--Part 7: 
Equipment protection by increased safety ``e'' '' (``IEC 60079-
7:2015''). IEC protection type ``e'' denotes motors to be used in 
hazardous environments and minimizes air-gap sparking; see section 
III.C.1 for further description. DOE notes that the update to the lower 
end of the rated output power range would not affect the applicability 
of the energy conservation standards, as discussed in section III.C.1.
    DOE proposes updating the definitions for IEC Design H and N, 
consistent with the updates in IEC 60034-12:2016, as follows:
    IEC Design H motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to sections 9.1, 9.2, and 9.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15) specifications for 
starting torque, locked rotor apparent power, and starting 
requirements, respectively.
    IEC Design N motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to sections 6.1, 6.2, and 6.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15) specifications for torque 
characteristics, locked rotor apparent power, and starting 
requirements, respectively. If a motor has an increased safety 
designation of type `e', the locked rotor apparent power shall be in 
accordance with the appropriate values specified in IEC 60079-7:2015. 
(incorporated by reference, see Sec.  431.15)

[[Page 71729]]

    Furthermore, DOE proposes to add the following definitions to 10 
CFR 431.12:
    IEC Design HE means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 9.1, Table 3, and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HY means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.7, section 9.2 and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HEY means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.7, Table 3 and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NE means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 6.1, Table 3 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NY means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.4, section 6.2 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NEY means an electric motor that
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.4, Table 3 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    DOE seeks comments on the proposed updates to the definitions for 
IEC Design H, and IEC Design N, and the proposed additional definitions 
for IEC Design HE, HY, HEY, NE, NY and NEY.
2. Updating Definitions to Reference NEMA MG1-2016 With 2018 
Supplements
    A number of definitions in 10 CFR 431.12 incorporate references to 
specific sections of NEMA MG 1-2009 to characterize the construction 
and operation of different categories of electric motors. DOE is 
proposing to revise these definitions to update the current NEMA MG 1 
references to the most recent edition of that industry standard, NEMA 
MG 1-2016 with 2018 Supplements. These reference updates would align 
DOE's regulatory definitions with the current industry standard.
    Among the definitions at 10 CFR 431.12 that reference NEMA MG 1-
2009, the following definitions include references to sections of NEMA 
MG 1-2009 that have not changed between the 2009 and 2016 publications 
of the standard: ``electric motor with encapsulated windings,'' 
``electric motor with moisture resistant windings,'' ``electric motor 
with sealed windings,'' ``general purpose electric motor (subtype I),'' 
and ``general purpose electric motor (subtype II).''
    The following definitions reference provisions of NEMA MG 1-2009 
that have changed between the 2009 and 2016 versions: ``definite 
purpose motor,'' ``definite purpose electric motor,'' ``general purpose 
electric motor,'' ``NEMA Design A Motor,'' ``NEMA Design B Motor,'' 
``NEMA Design C motor,'' and ``nominal full-load efficiency.'' DOE has 
initially determined that the changes in NEMA MG 1-2016 with 2018 
Supplements do not substantively change these definitions. DOE 
initially concludes that the updates to ``definite purpose motor'', 
``definite purpose electric motor'', and ``general purpose electric 
motor'' would not affect the DOE test procedures or energy conservation 
standards for electric motors manufactured on or after June 1, 2016, 
because as of that date the energy conservation standards no longer 
differentiate between ``general purpose'' motors and ``definite 
purpose'' motors. 10 CFR 431.25(h) and (i).
    The definitions for ``NEMA Design A motor,'' ``NEMA Design B 
motor,'' and ``NEMA Design C motor'' at 10 CFR 431.12 reference tables 
of locked-rotor current in sections 12.35.1 and 12.35.2 of NEMA MG 1-
2009. NEMA MG 1-2016 with 2018 Supplements revise these tables by 
adding a column for ``Locked-Rotor kVA Code'' and a footnote regarding 
a tolerance that may be applied to the locked-rotor current values 
based on the associated Locked-Rotor kVA Code.\33\ Section 10.37 of 
NEMA MG 1-2016 with 2018 Supplements provides the applicable range of 
kVA per horsepower for each locked-rotor kVA code that would be used to 
calculate the locked-rotor current tolerances required by the footnote. 
These definitions also reference other sections in NEMA MG 1-2009, each 
of which remains unchanged in NEMA MG 1-2016 with 2018 Supplements. The 
addition of the column for ``Locked-Rotor kVA Code'' is not expected to 
impact the applicability of test procedures or energy conservation 
standards for electric motors. DOE notes that the existing tolerance 
presented in section 10.37 of NEMA MG1-2009 remains unchanged in NEMA 
MG1-2016 with 2018 Supplements and its adoption by DOE would also not 
impact the scope of electric motors that are subject to energy

[[Page 71730]]

conservation standards and test procedures. See 85 FR 34111, 34114.
---------------------------------------------------------------------------

    \33\ The ``Locked-Rotor kVA Code'' is a letter that appears on 
the nameplate of an alternating-current motor to show its range of 
locked-rotor kilo-volt-ampere (kVA) per horsepower. The letter 
designations for locked rotor kVA per horsepower are given in 
Section 10.37 of NEMA MG 1-2016. For example, the letter ``N'' 
corresponds to a range of locked rotor kVA per horsepower between 
11.2 and 12.5.
---------------------------------------------------------------------------

    The definition for ``nominal full-load efficiency'' at 10 CFR 
431.12 references Table 12-10 of NEMA MG 1-2009, which provides a list 
of nominal efficiencies and associated minimum motor efficiencies based 
on a 20 percent loss difference. Table 12-10 in NEMA MG 1-2009 lists 
nominal efficiency ratings ranging from 50.5 to 99.0, whereas Table 12-
10 in NEMA MG 1-2016 with 2018 Supplements lists nominal efficiency 
ratings ranging from 34.5 to 99.0. The nominal efficiency ratings (and 
associated minimum efficiencies) in the range of 50.5 to 99.0 did not 
change between the two versions of the standard. The nominal full-load 
efficiency requirements specified by the energy conservation standards 
for electric motors at 10 CFR 431.25 are efficiency values ranging from 
74.0 to 96.2; therefore, the addition of nominal efficiency ratings 
ranging from 34.5 to 50.5 in NEMA MG 1-2016 with 2018 Supplements does 
not impact the applicability of test procedures or energy conservation 
standards for electric motors. Id.
    In response to the June 2020 RFI, NEMA commented in support of 
updating these definitions to NEMA MG1 2016 with 2018 Supplements and 
agreed that it would not cause an impact to testing burden or test 
results. (NEMA, No. 2 at p. 2) CA IOUs supported DOE's proposal to 
update the definitions. (CA IOUs, No. 3 at p. 1)
    DOE tentatively concludes that updating the NEMA MG 1 references to 
NEMA MG 1-2016 with 2018 Supplements would not alter the measured 
efficiency of electric motors, and would not result in additional test 
burden. Therefore, DOE proposes to revise the definitions to update its 
NEMA MG 1 references to NEMA MG 1-2016 with 2018 Supplements.
    DOE seeks comments on its assessment that updating the NEMA MG 1 
references in the DOE definitions to NEMA MG 1-2016 with 2018 
Supplements would not substantially change the definitions currently 
prescribed in 10 CFR 431.12. DOE also seeks comment on whether the 
proposed updates would alter the measured efficiency of electric 
motors.
3. Inverter, Inverter-Only, and Inverter-Capable
    DOE defines an ``inverter-only electric motor'' as an electric 
motor that is capable of rated operation solely with an inverter, and 
is not intended for operation when directly connected to polyphase, 
sinusoidal line power.'' DOE also defines an ``inverter-capable 
electric motor'' as an ``electric motor designed to be directly 
connected to polyphase, sinusoidal line power, but that is also capable 
of continuous operation on an inverter drive over a limited speed range 
and associated load''. 10 CFR 431.12 Inverter-only and inverter-capable 
electric motors can be sold with or without an inverter.
    In addition to not being designed for operation when directly 
connected to polyphase, sinusoidal power, inverter-only motors are also 
not designed for operation when directly connected to single-phase, 
sinusoidal line power or to DC power. To provide a more complete 
definition, DOE proposes to revise the definition of inverter-only 
electric motor as follows: ``as an electric motor that is capable of 
continuous operation solely with an inverter, and is not designed for 
operation when directly connected to AC sinusoidal or DC power 
supply.'' Similarly, DOE proposes to revise the definition of an 
inverter-capable electric motor as follows: ``an electric motor 
designed to be directly connected to AC sinusoidal or DC power, but 
that is also capable of continuous operation on an inverter drive over 
a limited speed range and associated load.''
    As previously discussed, paragraph 30.2.1.5 of NEMA MG-1 2016 with 
2018 Supplements defines the term ``control'' for motors receiving AC 
power, as ``devices that are also called inverters and converters. They 
are electronic devices that convert an input AC or DC power into a 
controlled output AC voltage or current''. Converters can also be found 
in motors that receive DC power and also include electronic devices 
that convert an input AC or DC power into a controlled output DC 
voltage or current. To support the definition of ``inverter-only 
motor,'' DOE proposes to define an inverter as ``an electronic device 
that converts an input AC or DC power into a controlled output AC or DC 
voltage or current. An inverter may also be called a converter.''
    DOE seeks comments on the proposed definitions of ``inverter-only 
electric motor'' ``inverter-capable electric motor'' and ``inverter''. 
If these definitions should be revised, DOE requests supporting 
information and justification for these revisions.
4. Air-Over Electric Motors
    As discussed in section III.A.3, DOE is proposing to include within 
the scope of the test procedure air-over electric motors. DOE defines 
the term ``air-over electric motor'' as: ``an electric motor rated to 
operate in and be cooled by the airstream of a fan or blower that is 
not supplied with the motor and whose primary purpose is providing 
airflow to an application other than the motor driving it.'' 10 CFR 
431.12. In other words, air-over electric motors do not have a factory-
attached fan and require a separate means of forcing air over the frame 
of the motor. The external cooling maintains internal motor winding 
temperatures within the permissible temperature rise for the motor's 
insulation class or to a maximum temperature value specified by the 
manufacturer.\34\ Without an external means of cooling, an air-over 
electric motor would overheat during continuous operation. Air-over 
motors can be found in direct-drive axial fans, blowers, and several 
other applications; for example, single-phase air-over motors are 
widely used in residential and commercial HVAC systems, appliances, and 
equipment as well as in agricultural applications.
---------------------------------------------------------------------------

    \34\ Sections 12.42 and 12.43 of NEMA MG1-2016 with 2018 
Supplements specifies the maximum temperature rises corresponding to 
four insulation classes (A, B, F, and H). Each class represents the 
maximum allowable operating temperature rise at which the motor can 
operate without failure, or risk of reducing its lifetime.
---------------------------------------------------------------------------

    In the July 2017 RFI, DOE noted that the absence of a fan is not a 
differentiating feature specific to air-over electric motors and that a 
revised definition may be needed to distinguish such motors from 
similarly constructed electric motors that are subject to the DOE test 
procedure. 82 FR 35468, 35472-35473. For example, there is little 
difference between a totally enclosed fan-cooled electric motor 
(``TEFC'') and a totally enclosed air-over electric motor (``TEAO''). A 
user could remove the fan on a TEFC electric motor, and then place the 
motor in an airstream of the application to obtain an air-over electric 
motor configuration. Further, other motors categories such as TENV 
electric motors do not have internal fans or blowers and are similar in 
construction to TEAO electric motors.\35\
---------------------------------------------------------------------------

    \35\ TENV electric motors are ``built in a frame-surface cooled, 
totally enclosed configuration that is designed and equipped to be 
cooled only by free convection'' 10 CFR 431.12.
---------------------------------------------------------------------------

    In the July 2017 RFI, DOE identified that what differentiates air-
over motors from non-air-over motors is that they require external 
cooling by a free flow of air to prevent overheating during continuous 
operation.\36\ Id. The risk of overheating can be verified by observing 
whether the motor's temperature continuously rises during a rated load 
temperature test instead of stabilizing at

[[Page 71731]]

the permissible temperature rise of the motor's insulation class or to 
a maximum temperature value specified by the manufacturer. During a 
rated load temperature test, the motor is loaded at the rated full load 
using a dynamometer until it is thermally stable.\37\ A rated load 
temperature test is a test during which the motor is loaded at rated 
full-load by means of a dynamometer until it is thermally stable. Its 
purpose is to determine the temperature rise of certain parts of the 
machine above the ambient temperature when running at rated load. The 
current industry standards referenced by the existing DOE electric 
motors test procedure each contain provisions for a rated load 
temperature test.\38\
---------------------------------------------------------------------------

    \36\ Without the application of free flowing air, the internal 
winding temperatures of an air-over electric motor would exceed the 
maximum permissible temperature (i.e., the motor's insulation class' 
permissible temperature rise or a maximum temperature value 
specified by the manufacturer).
    \37\ Thermal stability (or thermal equilibrium) is defined as 
the condition in which the motor temperature does not change by more 
than 1 [deg]C over 30 minutes or 15 minutes depending on the motor 
category. See Section 5.9.45 of IEEE 112-2017, Section 3.1. of CSA 
C390-10; Section 10.3.1.3 of IEEE 114-2010; Section 3 of CSA C747-09 
(R2019); and Section 6.1.3.2.1 of IEC 60034-2-1.
    \38\ See Section 7.1.3 of CSA 390-10; Section 6.4 of CSA C747-09 
(R2019); 7.1.3.2.1 of IEC 60034-2-3:2014; Section 5.9 of IEEE 112-
2017; and Section 10 of IEEE 114-2010.
---------------------------------------------------------------------------

    DOE further provided in the July 2017 RFI that specifying that the 
external cooling is obtained by a free flow of air is needed to 
differentiate air-over motors from totally-enclosed pipe-ventilated 
(``TEPV'') motors. TEPV motors are a category of electric motor that 
requires external cooling to operate, and the external cooling is 
directed on the motor via a duct or a pipe rather than a free flow of 
air.\39\ Id. Accordingly, in the July 2017 RFI, DOE stated it was 
considering defining an air-over motor based on its inability to 
thermally stabilize without the application of external cooling by a 
free flow of air during a rated load temperature test. Id
---------------------------------------------------------------------------

    \39\ DOE did not find any pipe-ventilated motors in the proposed 
scope of applicability of this test procedure but is aware that some 
motors may exist in such configurations. TEPV motors are cooled by 
supply air which is piped into the motor and ducted out of the 
motor. They are typically used to overcome heat dissipation 
difficulties and when air surrounding the motor is not clean (e.g., 
dust).
---------------------------------------------------------------------------

    In response to the 2017 RFI, Lennox commented that the definition 
of air-over motors at 10 CFR 431.12 was appropriate. (Docket No. EERE-
2017-BT-TP-0047, Lennox, No. 22 at p. 4) NEMA commented that air-over 
motors could not be identified by physical and technical features alone 
but did not provide alternative means to identify them. (Docket No. 
EERE-2017-BT-TP-0047, NEMA, No. 24 at p. 6)
    Advanced Energy commented that it would be difficult to 
differentiate air-over motors from TENV motors in terms of physical 
and/or external features. Advanced Energy commented that air-over 
motors can be defined by their inability to achieve a stable 
temperature under standard test conditions. Advanced Energy stated that 
thermal equilibrium is defined in the referenced test standards, but 
that DOE could add a definition as part of the air-over motor 
definition. Advanced Energy commented that the term ``rated temperature 
test'' should be replaced with ``rated load temperature test.'' (Docket 
No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 at pp. 4-5)
    Advanced Energy asserted that that the term ``external cooling by a 
free flow of air'' used in the July 2017 RFI was ambiguous and that DOE 
should specify by a ``device or equipment not mechanically attached to 
the motor'' or ``forced cooling from a fan or blower not connected to 
the motor.'' Advanced Energy explained that some TEFC motors have 
external fans and therefore, such distinction is necessary. Advanced 
Energy recommended the following definition for air-over motors: A 
motor that does not reach thermal equilibrium (also known as ``thermal 
stability'') during a rated load temperature test according to test 
standards incorporated by reference, without the application of forced 
cooling by a free flow of air from an external device not mechanically 
connected to the motor. Advanced Energy commented that thermal 
equilibrium is already defined in the referenced industry test 
standards, but that DOE could add a definition as part of the air-over 
electric motor definition (Docket No. EERE-2017-BT-TP-0047, Advanced 
Energy, No. 25 at pp. 4-5).
    Based on the preceding discussion, to differentiate air-over 
electric motors from TEFC electric motors with external fans connected 
to the motor, DOE proposes to define the air-over electric motor 
definition as an electric motor that does not reach thermal equilibrium 
during a rated load temperature test without the application of forced 
cooling by a free flow of air from an external device not mechanically 
connected to the motor. In addition, DOE does not propose to define 
thermal equilibrium, as this term is defined in the industry test 
procedure incorporated by reference.\40\ The referenced definition 
specifies that thermal equilibrium is characterized by a load 
temperature test according to section 2 of appendix B.
---------------------------------------------------------------------------

    \40\ A ``rated load temperature test'' is a test during which 
the motor is loaded at rated full-load by means of a dynamometer 
until it is thermally stable. See Section 7.1.3 of CSA 390-10; 
Section 6.4 of CSA C747-09 (R2019); 7.1.3.2.1 of IEC 60034-2-3:2014; 
Section 5.9 of IEEE 112-2017; and Section 10 of IEEE 114-2010. The 
term ``thermal equilibrium'' (i.e., thermal stability) is defined as 
the condition where the motor temperature does not change by more 
than 1 [deg]C over 30 min (See Section 5.9.45 of IEEE 112-2017, 
Section 3.1. of CSA C390-10; Section 10.3.1.3 of IEEE 114-2010; 
Section 3 of CSA C747-09 (R2019); and Section 6.1.3.2.1 of IEC 
60034-2-1).
---------------------------------------------------------------------------

    In summary, DOE proposes to define an air-over electric motor as: 
``an electric motor that does not reach thermal equilibrium (i.e., 
thermal stability) during a rated load temperature test according to 
section 2 of appendix B, without the application of forced cooling by a 
free flow of air from an external device not mechanically connected to 
the motor''.
    DOE requests comments (i.e., supporting information and technical 
justification) on the proposed definition for an air-over electric 
motor--including technical information and support on whether and why 
the definition should be modified.
5. Liquid-Cooled Electric Motors
    DOE defines a ``liquid-cooled electric motor'' as a motor that is 
cooled by liquid circulated using a designated cooling apparatus such 
that the liquid or liquid-filled conductors come into direct contact 
with the parts of the motor. 10 CFR 431.12.
    DOE proposes to include submersible electric motors within scope of 
the test procedure while continuing to exclude liquid-cooled electric 
motors. Accordingly, DOE reviewed the existing definitions to ensure 
that the definitions provide an appropriate distinction between liquid-
cooled electric motors and submersible electric motors, because both 
type of motors use liquid for cooling purposes. DOE notes that the 
definition for submersible electric motors, as described in section 
III.A.4 of this document is based on the premise of the electric motor 
intended to operate only when submerged in a liquid. The current 
definition for ``liquid-cooled electric motor,'' however, does not 
specify whether the electric motor must be submerged in a liquid to 
operate.
    The December 2013 Final Rule discussed the general differences 
between these categories of electric motors. Specifically, the December 
2013 Final Rule described ``liquid-cooled motors'' as electric motors 
that use liquid (or liquid-filled components) to facilitate heat 
dissipation, but are not submerged in liquid during operation. 78 FR 
75962, 75975. In order to appropriately distinguish ``liquid-cooled 
electric motors'' from ``submersible electric motors,'' DOE proposes to 
define ``liquid-cooled electric motors'' as follows: As a motor that is 
cooled by liquid circulated using a designated

[[Page 71732]]

cooling apparatus such that the liquid or liquid-filled conductors come 
into direct contact with the parts of the motor, but is not submerged 
in a liquid during operation.
    DOE requests comments (i.e., supporting information and technical 
justification) on the proposed definition for a liquid-cooled electric 
motor--including technical information and support on whether and why 
the definition should be modified.
6. Basic Model and Equipment Class
    DOE proposes to amend the definition of ``basic model'' in 10 CFR 
431.12 to make it similar to the definitions used for other DOE-
regulated products and equipment, and to eliminate an ambiguity found 
in the current definition. The definition currently specifies that 
basic models of electric motors are all units of a given type 
manufactured by the same manufacturer, which have the same rating, and 
have electrical characteristics that are essentially identical, and do 
not have any differing physical or functional characteristics that 
affect energy consumption or efficiency. (10 CFR 431.12) For the 
purposes of this definition, the term ``rating'' is specified to mean 
one of 113 combinations of horsepower, poles, and open or enclosed 
construction. (See id.) The reference to 113 combinations dates from 
the Department's implementation of the Energy Policy Act of 1992 
(``EPACT 1992'') (Pub. L. 102-486), which set initial standards for 
motors based on that categorization. Since then, EISA 2007 and DOE's 
regulations have established standards for additional motor categories. 
See 10 CFR 431.25. To clarify that the concept of a ``basic model'' 
reflects the categorization in effect under the prevailing standard, as 
it stands today and as it may evolve in future rulemakings, DOE 
proposes to refer only to the combinations of horsepower (or standard 
kilowatt equivalent), number of poles, and open or enclosed 
construction for which 10 CFR 431.25 prescribes standards; and to drop 
the current reference to 113 such combinations.
    As such, DOE proposes to replace the term ``rating'' with the term 
``equipment class'' in the basic model definition. In addition, DOE 
proposes to define ``equipment class'' as one of the combinations of an 
electric motor's horsepower (or standard kilowatt equivalent), number 
of poles, and open or enclosed construction, with respect to a category 
of electric motor for which Sec.  431.25 prescribes nominal full-load 
efficiency standards. This proposal would also limit confusion between 
the use of the term ``rating''
    in this specific case and the use of the term as it applies to 
represented values of other individual characteristics of an electric 
motor, such as its rated horsepower, voltage, torque, or energy 
efficiency.
    With the aforementioned change, DOE proposes that basic model 
means, with respect to an electric motor, all units of electric motors 
manufactured by a single manufacturer, that are within the same 
equipment class, have electrical characteristics that are essentially 
identical, and do not have any differing physical or functional 
characteristics that affect energy consumption or efficiency.
    The proposed update to the basic model definition does not alter 
current representations or efficiencies.

C. Updates to Industry Standards Currently Incorporated by Reference

    DOE has reviewed each of the industry standards that are currently 
incorporated by reference as test methods for determining the energy 
efficiency of electric motors, and identified updates for the following 
existing references: IEC 60034-12 Edition 2.1 2007-09 ``Rotating 
Electrical Machines, Part 12: Starting Performance of Single-Speed 
Three-Phase Cage Induction Motors'' (``IEC 60034-12:2007''); NFPA 20-
2010 ``Standard for the Installation of Stationary Pumps for Fire 
Protection'' (``NFPA 20-2010''); and NEMA MG 1-2009. DOE also notes 
that CSA C390-10 has been reaffirmed. The revised and reaffirmed 
industry standards are listed in Table III.9.

    Table III.9--Updated Industry Standards Currently Incorporated by
                                Reference
------------------------------------------------------------------------
      Existing reference         Updated version       Type of update
------------------------------------------------------------------------
IEC 60034-12 Edition 2.1        IEC 60034-12       Revision.
 200709.                         Edition 3.0 2016.
NFPA 20-2010..................  NFPA 20-2019.....  Revision.
CSA C390-10...................  CSA C390-10        Reaffirmed.
                                 (R2019).
NEMA MG 1-2009................  NEMA MG 1-2016     Revision.
                                 with 2018
                                 Supplements.
------------------------------------------------------------------------

    As discussed in section I.B, DOE incorporated by reference IEEE 
112-2017 for both small electric motors and electric motors in the 
January 2021 Final Rule. 86 FR 4. Specifically, for electric motors, 
reference to IEEE 112-2017 Test Method B in the DOE test procedure 
replaces the prior reference to IEEE 112-2004 Test Method B. 86 FR 4, 
10. DOE determined that reference to IEEE 112-2017 harmonizes the 
permitted test methods under subpart B of 10 CFR part 431 and aligns 
measurement and instrumentation requirements with recent industry 
practice. 86 FR 4, 10. DOE also incorporates by reference IEC 60034-2-
1:2014 as an additional alternative test procedure for both small 
electric motors and electric motors. 86 FR 4, 10-13. Specifically for 
electric motors, DOE references IEC 60034-2-1:2014 Test Method 2-1-1B 
as an alternative to IEEE 112-2017 Test Method B and CSA C390-10. 86 FR 
4, 12-13. DOE determined that reference to IEC 60034-2-1:2014 Test 
Method 2-1-1B further harmonizes DOE's test procedures with current 
industry practice and reduces manufacturer test burden while ensuring 
that the test procedure reflects the energy efficiency of the relevant 
motors during a representative average use cycle. 86 FR 4, 11-12. In 
response to the June 2020 RFI, the CA IOUs recommended that DOE update 
its test procedure to reference the latest version of key industry test 
procedures, citing the updates to IEEE 112-2004, CSA C390-10 and NEMA 
MG 1-2009. (CA IOUs, No. 3 at p. 12) NEMA suggested that DOE 
incorporate by reference the latest versions of IEEE 112-2017, CSA 
C390-2010 (R2019), and IEC 60034-2-1:2014. (NEMA, No. 2 at p. 5) DOE 
has updated its test procedures to reference IEEE 112-2017 and IEC 
60034-2-1:2014, as previously discussed. The following sections provide 
a review of the proposed revisions related to industry test procedures.
1. IEC 60034-12
    DOE references clauses 5.2, 5.4, 6, and 8, and Tables 1, 2, 3, 4, 
5, 6, and 7 of IEC 60034-12:2007. 10 CFR 431.15(c)(4). The specified 
sections of IEC 60034-12 are referenced in the definitions for IEC 
Design H motor and IEC Design N motor in 10 CFR 431.12.
    On November 23, 2016, IEC 60034-12:2007 was updated with the 
publication of IEC 60034-12:2016. As

[[Page 71733]]

discussed, of the IEC 60034-12:2007 sections that are currently 
incorporated in the DOE test procedure, DOE identified the following 
updates in IEC 60034-12:2016: (1) For IEC Design N and Design H motors, 
the lower end of the rated output power range was reduced from 0.4 kW 
(0.5 hp) to 0.12 kW (\1/6\ hp), and corresponding new limits for 
minimum values of torque and external moment of inertia were added at 
these power ratings; (2) the limits for locked rotor apparent power for 
motors with type of protection ``e'' were replaced by a reference to 
IEC 60079-7:2015 ``Explosive atmospheres--Part 7: Equipment protection 
by increased safety ``e'' (``IEC 60079-7:2015''); and (3) an equation 
was added to clarify how to calculate the locked rotor current from the 
locked rotor apparent power.\41\
---------------------------------------------------------------------------

    \41\ In addition, IEC 60034-12:2016 also includes new 
definitions for Design NE, NEY, HE and HEY and their corresponding 
starting requirements, as discussed further in section III.A.1.
---------------------------------------------------------------------------

    DOE notes that the horsepower range provided at 10 CFR 431.25(g)(8) 
\42\ is controlling in regard to the scope of the energy conservation 
standards and therefore tentatively concludes that the update to 
horsepower range for IEC Design N and IEC Design H motors in IEC 60034-
12:2016 would not impact the scope of the test procedure. In the 
December 2013 Final Rule, DOE discussed that the objective of defining 
IEC Design N and IEC Design H motors was only to define what 
characteristics and features comprise these type of motors, so that 
manufacturers designing to the IEC standards can determine whether 
their motor is subject to DOE's regulatory requirements. 78 FR 75962, 
75970. At the time, DOE had concluded that although the specified range 
in terms of rated output power for IEC Design N and Design H in IEC 
60034-12:2007 was broader than the DOE scope, there was no need to 
limit the definitions to the power ranges covered by DOE regulatory 
requirements. Id. DOE maintains the same conclusions for the update to 
horsepower range in IEC 60034-12:2016.
---------------------------------------------------------------------------

    \42\ Produce at least one horsepower (0.746 kW) but not greater 
than 500 horsepower (373 kW).
---------------------------------------------------------------------------

    Regarding the reference to IEC 60079-7:2015, sections 5.2.7.3 and 
5.2.8.2 of this industry standard describe the additional starting 
requirements of increased safety ``eb'' and ``ec'' motors. The ``eb'' 
and ``ec'' designations are the two levels of protection offered by the 
increased safety ``e'' designation, intended for use in explosive gas 
atmospheres, according to section 1 of IEC 60079-7:2015. Section 
5.2.7.3 specifies the application of protective measures to prevent 
airgap sparking. Section 5.2.8.2 specifies the application of starting 
current requirements, and when a current-dependent safety device is 
required. Section 1 of IEC 60034-12:2007 stated that the standard 
applied to motors that ``are constructed to any degree of protection'', 
indicating that safety ``e'' motors are not excluded from IEC Design N 
or Design H motors. Similarly, Section 1 of IEC 60034-12:2016 states 
that the standard applies to motors that ``are constructed to any 
degree of protection and explosion protection.'' DOE tentatively 
concludes that the requirements specified in sections 5.2.7.3 and 
5.2.8.2 of IEC 60079-7 would not impact the scope of the current DOE 
test procedure because motors with the ``increased safety ``e'' 
designation'' were previously eligible to be considered IEC Design N or 
H motors, and this remains unchanged with this update.
    Regarding the addition of the new locked rotor current equation, 
DOE notes that the definitions for IEC Design H and IEC Design N in 10 
CFR 431.12 do not specify conformance to any locked rotor current 
specification, but rather specify the starting torque, locked rotor 
apparent power and starting requirement. The new equation specifies how 
to calculate the locked rotor current from the locked rotor apparent 
power. IEC 60034-12:2016 does not provide any minimum or maximum values 
for locked rotor current. DOE tentatively concludes that the new locked 
rotor current equation does not change the scope of IEC Design H and 
Design N definitions, as defined in 10 CFR 431.12.
    Based on DOE's review of the updates to IEC 60034-12:2016, DOE 
tentatively concludes updating the IEC 60034-12 reference in the CFR to 
the 2016 version would not alter the measured efficiency of electric 
motors, and would not be unduly burdensome to conduct. Therefore, DOE 
proposes to incorporate by reference the 2016 version of IEC 60034-12 
and reference the most current test standards in use by industry. In 
addition, because IEC 60079-7:2015 is referenced within IEC 60034-
12:2016 and is necessary for the test procedure, DOE also proposes 
incorporating by reference IEC 60079-7:2015.
    DOE seeks comments on whether its assessment of the updates to IEC 
60034-12:2016 is accurate and on its proposal to incorporate by 
reference the 2016 version of IEC 60034-12, including reference to IEC 
60079-7:2015.
2. NFPA 20
    DOE incorporates by reference section 9.5 of NFPA 20-2010 in the 
definition of ``fire pump electric motor.'' DOE defines fire pump 
electric motor as an electric motor, including any IEC-equivalent, that 
meets the requirements of section 9.5 of NFPA 20. 10 CFR 431.12.
    On May 24, 2018, NFPA approved a 2019 edition of NFPA 20 (i.e., 
NFPA 20-2019), which is the most recent version. Based on a review of 
NFPA 20-2019, DOE identified the following updates: (1) Addition of 
horsepower and locked rotor motor designations for three-phase NEMA 
Design B, 1-3 hp, 60 Hz, motors (Table 9.5.1.1(a)); (2) addition of 
horsepower and locked rotor current motor designations for single-phase 
NEMA Design N and L motors (Table 9.5.1.1(b)); (3) addition of 
horsepower and locked rotor current motor designations for three-phase 
NEMA Design B 50 Hz motors (Table 9.5.1.1(c)); (4) inclusion of a 
specification that single-phase motors are used only in across-the-line 
starting applications (section 9.5.1.1.1); (5) addition of a clause 
that IEC motors, where used, are to be listed for fire service (section 
9.5.1.1.2); (6) further specifications for motors used with variable 
speed controllers (section 9.5.1.4); and (7) specification that the 
service factor used is to be marked on the motor but in no case is the 
factor to exceed 1.15 where the motor is used with a variable speed 
pressure limiting controller (section 9.5.2.2(2)).
    The current energy conservation standard requirements for fire pump 
electric motors in Table 7 of Appendix B are for motors with horsepower 
ranging from 1 to 500 hp. NFPA 20-2010 accounted for NEMA Design B 
motors at rated horsepower between 5-500 hp. DOE notes that the 
addition of 1-3 hp motors in NFPA 20-2019 further aligns the NFPA 20 
scope with the existing DOE fire pump electric motors scope.
    As discussed in section III.A, DOE is proposing to expand scope of 
the DOE test procedure to include additional categories of motors, 
including SNEMs (i.e., certain single-phase motors) and electric motors 
with synchronous technologies (i.e., inverter-fed motor topologies). 
NFPA 20-2019 requirements regarding single-phase motors and motors used 
with variable speed controllers (as identified in Table 9.5.1.1(b); 
sections 9.5.1.1.1, 9.5.1.4 and 9.5.2.2(2) of NFPA 20-2019) could be 
applicable to the scope of the DOE test procedure proposed in this 
NOPR. In the May 2012 Final Rule, DOE referenced all of section 9.5 of 
NFPA 20-2010 in its definition of fire pump electric motor, including 
those sections that apply to motors that were not

[[Page 71734]]

subject to energy conservation standards. 77 FR 26608, 26618. 
Accordingly, DOE proposes to continue to reference all of section 9.5 
of NFPA 20-2019 to align with the proposed expansion of scope.
    As noted, the definition for fire pump electric motors in 10 CFR 
431.12 includes any IEC-equivalent electric motors that meet the 
requirements of section 9.5 of NFPA 20. In the May 2012 Final Rule, DOE 
included IEC-equivalent electric motors within the definition because 
NFPA 20 did not explicitly recognize the use of IEC motors with fire 
pumps. 77 FR 26608, 26618. DOE notes that the addition of the IEC 
clause in NFPA 20-2019 aligns with the DOE definition for fire pump 
electric motors. In this NOPR, DOE proposes to maintain the 
specification within the fire pump electric motor definition that IEC-
equivalent electric motors are included within the definition of fire 
pump electric motor.
    Finally, the updated provisions regarding 50 Hz motors would not be 
applicable in the context of the test procedure as proposed, as DOE is 
proposing to limit the scope of the test procedure to electric motors 
with a rated frequency of 60 Hz (see section III.G.1 for further 
discussion on the definition for rated frequency).
    Based on DOE's review of the updates to NFPA 20-2019, DOE proposes 
to incorporate by reference the 2019 version of NFPA 20 in order to 
reference the most current version of the industry standard. DOE has 
tentatively determined that referencing the most current version would 
not change the applicability of the definition of fire pump electric 
motor.
    DOE seeks comments on whether its assessment of the updates to NFPA 
20-2019 is accurate. In addition, DOE seeks comment on its proposal to 
reference section 9.5 of NFPA 20-2019, the most current test standard.
    DOE seeks comment on whether the clause ``including any IEC-
equivalent'' should be maintained in the fire pump electric motor 
definition, considering that section 9.5 of NFPA 20-2019 now includes 
this specification.
3. CSA C390
    DOE incorporates by reference CSA C390-10 in 10 CFR 431.12; 431.19; 
and 431.20. 10 CFR 431.15(b)(1). CSA C390-10 was reaffirmed in 2019 
(i.e., no changes were adopted). Accordingly, DOE tentatively concludes 
that the proposed update to reference the reaffirmed version of CSA 
C390-10 would not impact the scope or substance of the DOE test 
procedure. Therefore, DOE proposes to incorporate by reference the 2019 
reaffirmed version of CSA C390-10 (CSA C390-10 (R2019)) in order to 
reference the most current version of the industry standard.
4. NEMA MG1
    DOE references certain sections of NEMA MG1-2009 in 10 CFR 431.12, 
431.31, and appendix B. See 10 CFR 431.15(e)(1). DOE also references 
NEMA MG1-1967, Motors and Generators, (NEMA MG1-1967) in the definition 
of ``general purpose electric motor (subtype II).'' 10 CFR 431.12. This 
section of the NOPR provides a discussion of the updates to NEMA MG1 as 
applicable to appendix B only. See section III.D of the NOPR for 
discussion of the updates to NEMA MG1 as applicable to definitions in 
10 CFR 431.12.
    Efficiency and losses of electric motors are determined, in part, 
in accordance with NEMA MG1-2009, paragraph 12.58.1, ``Determination of 
Motor Efficiency and Losses.'' (Section 2 of Appendix B) Paragraph 
12.58.1 of NEMA MG1-2009 specifies the use of IEEE 112-2004 and CSA 
C390-98 when measuring and determining the efficiency of an electric 
motor.\43\
---------------------------------------------------------------------------

    \43\ The version of CSA C390 (1998) was the most current at the 
time of publication of NEMA MG1-2009. This version is now obsolete 
and has been replaced by CSA C390-10 (R2019).
---------------------------------------------------------------------------

    Since publication of the January 2021 Final Rule, NEMA MG 1-2009 
was updated to NEMA MG 1-2016 with 2018 Supplements.\44\ NEMA MG 1-2016 
with 2018 Supplements updates paragraph 12.58.1 to reference the most 
current versions IEEE 112 and CSA C390. NEMA MG1-2016 with 2018 
Supplements does not specify a publication year when referencing 
industry test standards. Instead, it specifies that the latest revision 
or edition of the applicable publication should be referenced, which 
currently is IEEE 112-2017 and CSA C390-10 (R2019). The revised 
paragraph 12.58.1 also specifies IEC 60034-2-1 as an additional 
industry test standard for use when measuring and determining the 
efficiency of an electric motor. The latest revision of IEC 60034-2-1 
is the 2014 version (i.e., IEC 60034-2-1:2014).
---------------------------------------------------------------------------

    \44\ NEMA MG1-2016 also includes 2018 updates published on March 
22, 2019.These 2018 updates modified Part 7, paragraphs 12.35, 
12.50, 12.59 and 12.60 of Part 12, Part 30, and Part 31 of NEMA MG1-
2016 and did not include any edits to paragraph 12.58.1 of NEMA MG1-
2016. See https://www.nema.org/standards/view/motors-and-generators.
---------------------------------------------------------------------------

    DOE previously performed a side-by-side comparison of CSA C390-93 
and CSA C390-98 and concluded that there were no substantive changes 
between these two versions that would affect the measurement and 
determination of efficiency of an electric motor. 73 FR 78220, 78229 
(December 22, 2008). DOE also performed a comparison of CSA C390-93 and 
CSA C390-10 and similarly concluded that there were no substantive 
changes. 77 FR 26608, 26621 Therefore, DOE concludes that there are no 
substantive changes between CSA C390-98 and CSA C390-10 (R2019) that 
would affect the measurements and determination of the efficiency of an 
electric motor. Regarding the inclusion of the IEC 60034-2-1 in the 
revised paragraph 12.58.1 of NEMA MG1-2016 with 2018 Supplements, this 
modification aligns with the January 2021 Final Rule (see section 
III.B.2). Therefore, DOE proposes to incorporate by reference the 2016 
version of NEMA MG1 to reference the most current test standards in use 
by industry. DOE has initially determined that this proposal would not 
affect the measurements and determination of the efficiency of an 
electric motor.
    In addition, to ensure consistency in the versions of the 
referenced standards used when testing, DOE proposes to specify the 
publication year for each of the industry standards referenced by 
paragraph 12.58.1 of NEMA MG1-2016 with 2018 Supplements, as follows: 
IEEE 112-2017, CSA C390-10 (R2019), and IEC 60034-2-1:2014.
    DOE seeks comments on whether its assessment of the updated 
paragraph 12.58.1 of NEMA MG1-2016 with 2018 Supplements is accurate. 
DOE also seeks comment on its proposal to incorporate IEEE 112-2017, 
CSA C390-10 (R2019), and IEC 60034-2-1:2014, and on its preliminary 
determination that updating these references to the latest version of 
each standard would not affect the measured efficiency of an electric 
motor currently subject to energy conservation standards at 10 CFR 
431.25.

D. Industry Standards To Incorporate By Reference

    This section discusses industry test standards that DOE proposes to 
incorporate by reference for testing the additional electric motors 
proposed for inclusion in the scope of the DOE test procedure.
    As discussed in section I.A, EPCA provides for the establishment of 
a test procedure for covered equipment. (42 U.S.C. 6314(a)) The test 
procedure must be reasonably designed to produce results reflecting the 
energy efficiency, energy use, and estimated operating costs of the 
covered equipment during a representative average use cycle, and not be 
unduly burdensome to conduct. (42 U.S.C. 6314(a)(2)) Also as discussed,

[[Page 71735]]

EPCA provides that at least once every seven years DOE must conduct an 
evaluation of each class of covered equipment and determine whether 
amended test procedures would more accurately or fully comply with the 
requirements regarding representativeness and burden. (42 U.S.C. 
6314(a)(1)(A)) In the following paragraphs, DOE evaluates certain 
industry test procedures for incorporation into the DOE test procedure 
for electric motors to provide for the testing of certain categories of 
electric motors not currently subject to the DOE test procedure.
    In addition, EPCA includes specific test procedure-related 
requirements for electric motors subject to energy conservation 
standards under 42 U.S.C. 6313. The provisions in EPCA require that 
electric motors be tested in accordance with the test procedures 
specified in NEMA Standards Publication MG1-1987 and IEEE Standard 112 
Test Method B for motor efficiency, as in effect on October 24, 1992 
(See 42 U.S.C. 6314(a)(5)) As discussed in section III.C and III.C.4. 
both publications have been replaced with the more recent version IEEE 
112-2017 and NEMA MG1-2016 with 2018 Supplements. The additional 
electric motors DOE proposes to add in the scope of the DOE test 
procedure are not included in the electric motors to which standards 
are currently applicable under section 6313. DOE notes that the 
industry test procedures proposed for air-over electric motors and for 
SNEMs are included in NEMA MG1-2016 with 2018 Supplements. See Section 
IV, Part 34: Air-Over Motor Efficiency Test Method and Section 12.30. 
Section 12.30 of NEMA MG1-2016 with 2018 Supplements specifies the use 
of IEEE 112 and IEEE 114 for all single-phase and polyphase motors.\45\ 
As further discussed in section III.D.2, DOE is proposing to require 
testing of SNEMs other than inverter-only electric motors according to 
IEEE 112-2017 (or CSA C390-10 (R2019) or IEC 60034-2-1:2014, which are 
equivalent to IEEE 112-2017) and IEEE 114-2010 (or CSA C747-09 (R2019) 
or IEC 60034-2-1:2014, which are equivalent to IEEE 114-2010). This 
proposal would satisfy the test procedure requirements under 42 U.S.C. 
6314(a)(5).
---------------------------------------------------------------------------

    \45\ As previously mentioned, NEMA MG1-2016 with 2018 
Supplements does not specify the publication year of the referenced 
test standards and instead specifies that the most recent version 
should be used.
---------------------------------------------------------------------------

    The methods listed in section 12.30 of NEMA MG-1 2016 with 2018 
Supplements for testing AC motors are applicable only to AC induction 
motors that can be operated directly connected to the power supply 
(direct-on-line) and do not apply to electric motors that are inverter-
only or to synchronous electric motors that are not AC induction 
motors. Therefore, for these additional electric motor types, DOE 
proposes to specify the use of different industry test procedures, as 
further discussed in section III.D.3.
1. Test Procedures for Air-Over Electric Motors
    DOE proposes to include within the scope of the test procedure 
electric motors that are air-over electric motors (see section III.A.3) 
and establish test procedures for such motors. In support of the 
December 2013 Final Rule, DOE investigated possible methods to test 
air-over electric motors. 78 FR 75962, 75975. At the time, DOE 
determined that it did not have sufficient information to address the 
practical challenges associated with testing air-over electric motors, 
such as providing the tested unit with a standardized flow of cooling 
air at a specified constant velocity, defined ambient temperature, and 
barometric conditions. Id. Accordingly, DOE did not establish test 
methods for air-over electric motors. Id.
    As described, the NEMA Air-over Motor Efficiency Test Method was 
published after publication of the December 2013 Final Rule, and was 
ANSI approved on June 1, 2018. The NEMA Air-over Motor Efficiency Test 
Method provides three alternative testing protocols for measuring the 
efficiency of single-phase and polyphase air-over electric motors and 
describes these three testing methods as equivalent. Each alternative 
test protocol specifies a rated load temperature test (i.e., ``load 
test'') to be conducted before performing the efficiency test according 
to the applicable industry test standard (i.e., IEEE 114, IEEE 112, CSA 
C390, CSA C747, or IEC 60034-2-1, depending on the motor phase and 
rated motor horsepower).\46\ The specified load test is performed in 
place of the rated load temperature test portion of the industry test 
standard for non-air-over motors.
---------------------------------------------------------------------------

    \46\ As previously mentioned, NEMA MG1-2016 with 2018 
Supplements does not specify the publication year of the referenced 
test standards and instead specifies that the most recent version 
should be used.
---------------------------------------------------------------------------

    For electric motors generally, because of the effects of 
temperature on measured efficiency, the efficiency measurements are 
performed once the tested motor's windings are thermally stable.\47\ 
This requires an initial rated load temperature test (``heat-run test'' 
or ``temperature test'') to be conducted in order for the motor winding 
to reach thermal stability.\48\ For air-over electric motors, which 
require the use of an external fan for cooling, a modified temperature 
test as described in the NEMA Air-over Motor Efficiency Test Method 
(e.g., the use of an external fan or other means of controlling the 
motor's winding temperature) is needed because air-over electric motors 
could otherwise overheat during the rated load temperature test, and 
the winding temperature would not achieve thermal stability.
---------------------------------------------------------------------------

    \47\ Temperature correlates inversely with efficiency; i.e., a 
motor will demonstrate more efficient performance at a lower 
temperature compared to a higher temperature.
    \48\ A rated load temperature test is a test during which the 
motor is loaded at rated full load by means of a dynamometer until 
it is thermally stable. Thermal stability is defined as the 
condition where the motor temperature does not change by more than 1 
[ordm]C over 30 min (See Section 5.9.45 of IEEE 112-2017, Section 
3.1. of CSA C390-10; Section 10.3.1.3 of IEEE 114-2010; Section 3 of 
CSA C747-09 (R2019); and Section 6.1.3.2.1 of IEC 60034-2-1).
---------------------------------------------------------------------------

    The first alternative test method (see Section 34.3 of NEMA MG1-
2016 with 2018 Supplements) specifies that the temperature test must be 
conducted by thermally stabilizing the motor at the rated full-load 
conditions using an external airflow according to the end user 
specifications in terms of air-velocity ratings in feet per minute. 
Once the motor winding temperature is stable (i.e., the motor 
temperature does not change by more than 1 [deg]C over 30 min), the 
efficiency test is conducted according to the applicable test method 
(i.e., IEEE 114, IEEE 112, CSA C390, CSA C747, or IEC 600034-2-1, 
depending on the motor phase and horsepower) while maintaining the same 
airflow.
    In the second alternative test method (see Section 34.4 of NEMA 
MG1-2016 with 2018 Supplements), the temperature test is also conducted 
with the use of an external blower. However, the amount of air flow is 
not specified. Instead, the amount of ventilation required during the 
temperature test must be such that the motor winding temperature 
reaches a target temperature, therefore removing the need to measure 
the airflow. Because the motor winding temperature is inversely 
correlated to efficiency, a target winding temperature range is 
specified to enable relative comparability of efficiency for air-over 
motors and to reflect the field operating conditions for air-over 
motor. The target temperature is established based on the motor's 
insulation class for polyphase motors (i.e., between 75 [deg]C and 130 
[deg]C, depending on the motor's insulation

[[Page 71736]]

class),\49\ and equal to 75 [deg]C for single-phase motors. The second 
alternative method specifies iterative steps to adjust the airflow and 
achieve a stable motor winding temperature within 10 [deg]C of the 
target temperature. Once the target temperature is reached at the rated 
load, a load test according to the applicable test method is conducted 
to measure the motor's efficiency (i.e., IEEE 114, IEEE 112, CSA C390, 
CSA C747, or IEC 600034-2-1, depending on the motor phase and 
horsepower) while applying the same amount of airflow as in the 
temperature test. At the start of the load test, the average winding 
temperature must be within 10 [deg]C of the target temperature. During 
the load test, there are no requirements to maintain the winding 
temperature within 10 [deg]C of the target temperature; however, the 
same amount of airflow must be applied as in the temperature test.
---------------------------------------------------------------------------

    \49\ Insulation class is a letter designation (i.e., A, B, F, 
and H), which has an associated temperature rise indicating the 
temperature range that the motor can withstand without failure 
(i.e., 75, 95, 115, and 130 [deg]C. respectively), and is commonly 
displayed in manufacturer literature and on motor nameplates.
---------------------------------------------------------------------------

    In the third alternative test method (see Section 34.5 of NEMA MG1-
2016 with 2018 Supplements), the temperature test is performed without 
the use of an external blower, and without loading the motor at its 
rated load. Instead, the motor is gradually loaded until the motor 
winding temperature reaches the required target temperature. As in the 
previous method, for polyphase motors, the target temperature is 
determined based on the motor's insulation class, while the target 
temperature of single-phase motors is set at 75 [deg]C. The third 
alternative test method specifies iterative steps to achieve a stable 
motor winding temperature within 10 [deg]C of the target temperature. 
Once the motor winding temperature is stable, the motor efficiency is 
measured according to the applicable test method (i.e., IEEE 114, IEEE 
112, CSA C390, CSA C747, or IEC 600034-2-1, depending on the motor 
phase and horsepower). During the load test, there are no requirements 
to maintain the winding temperature within 10 [deg]C of the target 
temperature; and as the test is conducted without a blower, there are 
no specifications regarding airflow.
    In the July 2017 RFI, DOE discussed its review of section 8.2.1 of 
IEEE 114-2010 (applicable to single-phase motors) and section 5 of CSA 
C747-09 (applicable to single-phase motors and polyphase motors below 1 
hp), which include provisions for testing air-over motors. 82 FR 35468, 
35475. Similar to the NEMA Air-over Motor Efficiency Test Method, both 
test standards require test measurements to be performed with 
sufficient ventilation to maintain a motor winding temperature within 
70 [deg]C-80 [deg]C, therefore removing the need to measure airflow by 
specifying a temperature range for the motor's winding instead.
    In the July 2017 RFI, DOE requested feedback on the various methods 
for testing air-over motors. Id. Specifically, DOE requested comment on 
whether a single target temperature should be used for polyphase motors 
in order to allow relative comparability of polyphase air-over motor 
efficiency across insulation classes. Id.
    In response to the July 2017 RFI, the CA IOUs, NEEA, NWPCC, and 
Efficiency Advocates recommended that DOE consider the NEMA Air-over 
Motor Efficiency Test method as the basis for the DOE test procedure. 
(CA IOUs, No. 3 at p. 8-10; NEEA and NWPCC, No. 6 at p. 4; Efficiency 
Advocates, No. 5 at p. 3)
    Advanced Energy commented that based on its testing experience, the 
use of external blower with a specified target temperature (as 
specified in CSA 747-09, IEEE 114-2010, and in Section 34.4 of NEMA 
MG1-2016 with 2018 Supplements) was a reasonable approach to test air-
over motors. Advanced Energy further recommended that a single target 
temperature or temperature range be applied for both polyphase and 
single-phase air-over motors, as specified in CSA 747-09 and IEEE 114-
2010. For single-phase motors, Advanced Energy noted that this was 
consistent with the target temperature of 75 [deg]C in Section 34.4 of 
NEMA MG1-2016 with 2018 Supplements. For polyphase motors, Advanced 
Energy commented that temperature specifications in CSA 747-09 and IEEE 
114-2010 deviate from the provisions in Sections 34.4 and 34.5 of NEMA 
MG1-2016 with 2018 Supplements, which specify different target 
temperatures for polyphase motors depending on the motor's insulation 
class. Advanced Energy stated that the fact that a particular motor was 
designed with a higher temperature insulation class (e.g., insulation 
class C, 115 [deg]C) than a second motor (e.g., insulation class A, 75 
[deg]C) does not necessarily mean that the first motor would operate or 
is designed to operate at a higher temperature than the second motor. 
Advanced Energy asserted that instead, it means that the first motor is 
capable of running at the higher temperature associated with its 
insulation class (e.g., 115 [deg]C). Advanced Energy cited previous 
research work \50\ showing that the temperature rise of motors across 
all speeds and insulation classes and across manufacturers varied 
without regard to the motor insulation class. Advanced Energy asserted 
that specifying different temperatures based on insulation class is 
unnecessary. (Docket No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 
at pp. 10-11) With regards to the provisions in Section 34.3 of NEMA 
MG1-2016 with 2018 Supplements, Advanced Energy commented that testing 
air-over motors per customer air velocity specification should only be 
used by a manufacturer to provide information to a specific customer. 
(Docket No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 at p. 11)
---------------------------------------------------------------------------

    \50\ E.B. Agamloh ``A guide for the ranking and selection of 
induction motors,'' IEEE Pulp and Paper Conference, Atlanta, GA June 
22-26, 2014.
---------------------------------------------------------------------------

    DOE is not proposing to adopt the first alternative test method in 
Section 34.3 of NEMA MG1-2016 with 2018 Supplements. Not all customers 
use the same air velocity specifications, and customer requirements 
could vary for the same air-over motor. Testing with an external 
airflow according to the customer, as specified in the first 
alternative test method, could result in testing the same motor at 
different winding temperature during the test, which would impact the 
measurement of efficiency. Therefore, results from applying the first 
test method according to Section 34.3 of NEMA MG1-2016 with 2018 
Supplements would not ensure relative comparability of efficiency for 
air-over electric motors.
    DOE conducted a series of efficiency tests to compare the second 
and third alternate test methods (i.e., Section 34.4 and 34.5 of NEMA 
MG1-2016 with 2018 Supplements). The NEMA Air-over Motor Efficiency 
Test method states that these two test procedures are equivalent and 
can be used interchangeably. DOE conducted testing to evaluate 
specifically whether these two methods provide equivalent results for 
air-over electric motors. DOE also investigated the repeatability of 
both test methods. DOE focused its review on the NEMA Air-over Motor 
Efficiency Test method, as it reflects the latest industry practice and 
because it provides methods applicable to all air-over motors proposed 
in scope.\51\ DOE's test sample

[[Page 71737]]

included seven air-over motor models, which spanned a range of 0.25 to 
20 hp and represented both single-phase and polyphase motors.
---------------------------------------------------------------------------

    \51\ DOE also reviewed section 8.2.1 of IEEE 114-2010 
(applicable to single-phase motors) and section 5 of CSA C747-09 
(R2019) (applicable to single-phase motors and polyphase motors 
below 1 hp), which include provisions for testing air-over motors. 
Similar to the NEMA Air-over Motor Efficiency Test Method, both test 
standards require test measurements to be performed with sufficient 
ventilation to maintain a motor winding temperature within 70 
[deg]C-80 [deg]C, therefore removing the need to measure airflow by 
specifying a temperature range for the motor's winding instead.
---------------------------------------------------------------------------

    Table III.10 shows the difference in measured losses between the 
Section 34.4 and 34.5 of NEMA MG1-2016 with 2018 Supplements test 
methods (``Section 34.4 and 34.5''). Table III.11 shows the 
corresponding efficiency values resulting from the measured losses 
presented in Table III.10. DOE observed the percent difference in 
losses between Section 34.5 and 34.4 range from-0.4 (on the lower end) 
to +10.9 (on the higher end). For the units at the higher end of the 
percent difference (units 1, 4 and 6), DOE notes that these three units 
spanned a wide range of hp ratings, and included both single-phase and 
polyphase motor types, indicating no clear or consistent trend that 
could be used to define criteria by which the two methods would produce 
equivalent results. DOE tentatively concludes that these two test 
methods do not produce equivalent test results in all cases.

             Table III.10--Difference in Measured Losses Between Section 34.4 and 34.5 Test Methods
----------------------------------------------------------------------------------------------------------------
                                                                                                      Percent
                                                                   Section 34.4    Section 34.5     difference
            Unit No.                    HP             Phase         measured        measured      section 34.5
                                                                    losses  (W)     losses  (W)      vs. 34.4
----------------------------------------------------------------------------------------------------------------
1...............................             .25               1           412.8           385.7            +6.6
2...............................              .5               1           250.6           253.3            -1.1
3...............................             .75               3           180.7           180.0            +0.4
4...............................               1               1           252.6           244.5            +3.2
5...............................              10               3           984.1           988.0            -0.4
6...............................              14               3         1,479.6         1,318.5           +10.9
7...............................              20               3         1,283.5         1,293.0            -0.7
----------------------------------------------------------------------------------------------------------------


           Table III.11--Difference in Measured Efficiency Between Section 34.4 and 34.5 Test Methods
----------------------------------------------------------------------------------------------------------------
                                                                                   Section 34.4    Section 34.5
                                                                                      tested          tested
                    Unit No.                            HP             Phase        efficiency      efficiency
                                                                                        (%)             (%)
----------------------------------------------------------------------------------------------------------------
1...............................................             .25               1            31.1            32.6
2...............................................              .5               1            59.8            59.5
3...............................................             .75               3            75.6            75.7
4...............................................               1               1            74.7            75.3
5...............................................              10               3            88.3            88.3
6...............................................              14               3            87.6            88.8
7...............................................              20               3            92.1            92.0
----------------------------------------------------------------------------------------------------------------

    Therefore, to determine which of the two test methods (Section 34.4 
or 34.5) to propose for air-over electric motors, DOE tested a subset 
of the motors to evaluate the repeatability of each test methods. For 
this evaluation, DOE tested four models from its test sample that 
represented a range of motor output and phases. For each model, DOE 
performed a second replication of each test and compared the results to 
the first test (i.e., the results presented in Table III.10 and Table 
III.11). Table III.12 shows the measured losses for both replications 
of the Sections 34.4 and 34.5 test methods. Table III.13 shows the 
corresponding efficiency values resulting from the measured losses 
presented in Table III.12.
    The test results indicate that for three units (Units 1, 3, and 6), 
the Section 34.5 test method showed greater variation between 
subsequent tests compared to the Section 34.4 test method. However, for 
one unit, the Section 34.4 test method showed greater variation than 
the Section 34.5 test method. Based on these results, DOE tentatively 
concludes that Section 34.4 may provide more repeatability than Section 
34.5 for air-over motors.

                                  Table III.12--Repeatability of Measured Losses for Section 34.4 and 34.5 Test Methods
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                Section 34.4--Measured Losses  (W)              Section 34.5--Measured Losses  (W)
                        Unit No.                         -----------------------------------------------------------------------------------------------
                                                              Test 1          Test 2       % Difference       Test 1          Test 2       % Difference
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................................           412.8           410.3           -0.62           385.7           379.0           -1.75
3.......................................................           180.7           184.3           +2.02           180.0           192.7           +7.04
4.......................................................           252.6           238.4           -5.64           244.5           239.5           -1.75
6.......................................................         1,479.6         1,519.5           +2.70          1318.5         1,399.4           +6.14
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 71738]]


            Table III.13--Repeatability of Measured Efficiency for Section 34.4 and 34.5 Test Methods
----------------------------------------------------------------------------------------------------------------
                                                      Section 34.4--Measured          Section 34.5--Measured
                                                          Efficiency  (%)                 Efficiency  (%)
                    Unit No.                     ---------------------------------------------------------------
                                                      Test 1          Test 2          Test 1          Test 2
----------------------------------------------------------------------------------------------------------------
1...............................................            31.1            31.2            32.6            33.0
3...............................................            75.6            75.2            75.7            74.4
4...............................................            74.7            75.8            75.3            75.7
6...............................................            87.6            87.3            88.8            88.2
----------------------------------------------------------------------------------------------------------------

    Based on these test results, and without further information to 
support considering these methods as equivalent, DOE is not proposing 
use of the methods in Sections 34.4 and 34.5 as equivalent alternatives 
for testing air-over electric motors. Instead, DOE proposes to apply 
the testing instructions as established in Section 34.4 to the air-over 
electric motors proposed for inclusion in scope of applicability of the 
proposed test procedure, with the modification of target temperature as 
discussed in the following paragraph. DOE notes that the use of an 
external fan to cool the motor during the load test is consistent with 
CSA C747-09 (R2019) Section 5.5 that states ``Air-over motors shall be 
supplied with sufficient ventilation during the test to maintain a 
winding temperature at full load below the rated temperature of the 
winding insulation.''
    Section 34.4 specifies that polyphase air-over electric motors use 
a target temperature that depends on the motor's insulation class. This 
temperature target is then used as the temperature that the load test 
is conducted at. In contrast, for all single-phase motors, the target 
temperature is specified at 75 [deg]C, regardless of insulation class. 
Measured efficiency is inversely correlated to temperature, so 
conducting testing at different temperatures may result in measured 
efficiency values that are not comparable across insulation classes. 
DOE conducted testing to understand how much the temperature target 
could affect measured efficiency for both Sections 34.4 and 34.5. The 
first test was conducted with the insulation-based target temperature 
as prescribed in Sections 34.4 and 34.5; and the second test was 
conducted with a 75 [deg]C target temperature, regardless of insulation 
class.
    Table III.14 shows the measured losses and the percent change in 
measured losses due to the different temperature targets. Table III.15 
shows the corresponding efficiencies measured by these tests.

                            Table III.14--Measured Losses of Different Target Temperatures for Section 34.4 and Section 34.5
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Section 34.4                                    Section 34.5
                                                         -----------------------------------------------------------------------------------------------
                                            Insulation-      Measured                                        Measured
                Unit No.                   based target      losses at       Measured         Percent        losses at       Measured         Percent
                                          temp. ([deg]C)    insulation-    losses at  75   difference in    insulation-    losses at  75  difference  in
                                                            based temp.     [deg]C  (W)      measured       based temp.     [deg]C  (W)      measured
                                                                (W)                         losses  (%)         (W)                         losses  (%)
--------------------------------------------------------------------------------------------------------------------------------------------------------
3.......................................              95           184.3           184.2           -0.07           192.7           187.8           -2.56
6.......................................             115         1,519.5         1,389.1           -8.58          1399.4          1342.5           -4.07
--------------------------------------------------------------------------------------------------------------------------------------------------------


      Table III.15--Measured Efficiency at Different Target Temperatures for Section 34.4 and Section 34.5
----------------------------------------------------------------------------------------------------------------
                                                           Section 34.4                    Section 34.5
                                                 ---------------------------------------------------------------
                                    Insulation-                      Measured        Measured
            Unit No.               based target      Measured      efficiency at   efficiency at     Measured
                                       temp.       efficiency at    insulation-     insulation-    efficiency at
                                     ([deg]C)     75 [deg]C  (%)    based temp.     based temp.   75 [deg]C  (%)
                                                                        (%)             (%)
----------------------------------------------------------------------------------------------------------------
3...............................       95 [deg]C            75.2            75.2            74.4            74.9
6...............................      115 [deg]C            87.3            88.3            88.2            88.6
----------------------------------------------------------------------------------------------------------------

    In the Section 34.4 test, Unit 3 demonstrated results that could be 
considered equivalent at both temperatures, whereas Unit 6 showed a 
significant difference in measured losses between the two temperatures. 
These test results demonstrate that for some units, both Sections 34.4 
and 34.5 test methods produce different measurements of efficiency at 
different test temperatures. As such, DOE tentatively concludes that 
defining a single test temperature, rather than using a target 
temperature that depends on the motor's insulation class, would produce 
measured efficiency values that are more comparable across insulation 
classes.
    DOE is proposing to specify a single target temperature of 75 
[deg]C for all air-over electric motors (i.e., polyphase and single-
phase electric motors). The value of 75 [deg]C was chosen for polyphase 
electric motors to be consistent with the temperature defined for 
single-phase electric motor, and because 75 [deg]C corresponds to the 
target temperature defined for the lowest insulation class (i.e., class 
A) of polyphase motors and can be safely achieved by all motor 
insulation classes without risk of damaging the motor.
    DOE requests comment on its proposal to specify using Section 34.4, 
with modification, for measuring the efficiency of air-over electric 
motors.

[[Page 71739]]

DOE requests feedback on the proposal to specify a single target 
temperature 75 [deg]C for polyphase motors.
    DOE requests comment on its conclusion that Section 34.4 is less 
repeatable than Section 34.5.
    DOE requests comment on its conclusion that measured efficiency 
correlates inversely with the temperature the motor is tested at.
    DOE requests feedback and supporting data on the repeatability and 
level of accuracy of the methods included Section 34.4 and 34.5, and on 
whether these or other methods would lead to equivalent results when 
applied to the same motor.
    DOE requests comment on whether some air-over electric motors could 
thermally stabilize at a temperature that is lower than the proposed 
target temperature of 75 [deg]C. If yes, DOE requests comment on how 
these should be tested.
    DOE requests comment on whether the proposed test procedure is 
applicable to all air-over electric motors in scope. If not, DOE is 
requesting information and feedback on which air-over electric motors 
cannot be tested in accordance with the proposed test procedure and on 
any revisions needed.
2. Test Procedures for SNEMs
    As previously discussed, DOE proposes to include within the scope 
of DOE's test procedure for electric motors additional electric motors 
considered small by the industry (i.e., SNEMs, see Section III.A.6). 
This section discusses proposed test procedures for additional SNEMs 
proposed in scope that are induction motors and that are not inverter-
only electric motors, air-over motors, or submersible motors. Proposed 
test procedures for non-induction motor topologies (i.e., synchronous 
electric motors) are discussed in section III.D.3 of this document. 
Proposed test procedures for SNEMs proposed to be included in scope 
that are inverter-only electric motors are discussed in section III.D.3 
of this document. Proposed test procedures for SNEMs proposed to be 
included in scope that are air-over electric motors and submersible 
motors are discussed in section III.D.1 and section III.I respectively.
    In the July 2017 RFI, DOE identified several industry test 
procedures applicable to small motors. 82 FR 35468, 35475-35476. The CA 
IOUs, NEEA and NWPCC commented that DOE should consider the test 
procedures identified by DOE in the July 2017 RFI. (CA IOUs, No. 3 at 
p. 6; NEEA and NWPCC, No. 6 at p. 5-6)
    DOE is proposing to require testing of SNEMs (other than inverter-
only, air-over, and submersible electric motors) according to the 
industry test methods identified in the July 2017 RFI. DOE has 
initially determined that polyphase motors at or above 1 hp can be 
tested with the same methods as would be applicable under this proposal 
to electric motors currently subject to the DOE test procedure (i.e., 
IEEE 112-2017, CSA C390-10 (R2019), and IEC 60034-2-1:2014). See 
section 2 of appendix B. The referenced industry standards applicable 
to electric motors, IEEE 112-2017, CSA C390-10, and IEC 60034-2-1:2014, 
are also consistent with those referenced for small electric motors 
that are for polyphase motors greater than 1 hp. 10 CFR 431.444(b). For 
SNEMs that are polyphase motors with a horsepower less than 1 hp and 
for SNEMs that are single-phase motors, DOE has initially determined 
that, consistent with the DOE test method established for regulated 
small electric motors (which also include polyphase motors with rated 
motor horsepower less than 1 hp and single-phase motors), IEEE 114-
2010, CSA C747-09 (R2019) and IEC 60034-2-1:2014 are appropriate test 
procedures. Additionally, DOE notes that Paragraph 12.58.1 of NEMA MG1-
2016 with 2018 Supplements also lists IEEE 114 or CSA C747 as the 
selected industry standards for measuring and determining the 
efficiency of polyphase motors below with a horsepower less than 1 hp 
and single-phase motors.
    DOE has initially determined that applying the proposed industry 
test procedures would result in representative results because the 
SNEMs proposed in scope are identical in design as currently regulated 
electric motors and small electric motors and can be used in the same 
applications. In addition, the proposed industry test methods reflect 
current industry practice, and DOE has tentatively determined that 
applying these test methods would not results in undue manufacturer 
burden.
    DOE proposes to test these additional polyphase electric motors 
with a horsepower greater than or equal to 1 hp, that are not inverter-
only electric motors, using the same methods as the ones proposed for 
currently regulated electric motors. For polyphase motors with a 
horsepower less than 1 hp and for single-phase motors, that are not 
inverter-only electric motors, consistent with the DOE test method 
established for regulated small electric motors, DOE proposes to 
incorporate by reference the same industry test methods as used when 
testing small electric motors of the same topologies and horsepower: 
IEEE 114-2010 and CSA C747-09 (R2019) (IEC 60034-2-1:2014 and IEEE 112-
2017 are already incorporated by reference, see section III.C of this 
document). See Table III.16.

      Table III.16--Additional Industry Test Standards Proposed for
                  Incorporation by Reference for SNEMs
------------------------------------------------------------------------
                                              Industry test standard
                Topology                    incorporated by reference
------------------------------------------------------------------------
Single-phase...........................  IEEE 114-2010, CSA C747-09
                                          (R2019), IEC 60034-2-1:2014.
Polyphase with rated horsepower less     IEEE 112-2017, CSA C747-09
 than 1 horsepower.                       (R2019), IEC 60034-2-1:2014.
Polyphase with rated horsepower equal    IEEE 112-2017, CSA C390-10
 to or greater than 1 horsepower.         (R2019), IEC 60034-2-1:2014.
------------------------------------------------------------------------

    DOE requests comment on the proposed test method for measuring the 
efficiency of additional SNEMs (not including inverter-only electric 
motors, air-over electric motors, or submersible electric motors).
3. Test Procedures for AC Induction Inverter-Only Electric Motors and 
Synchronous Electric Motors
    This section discusses industry test methods applicable to AC 
inverter-only induction motors and to synchronous electric motors as 
described in Table III.8.
    In the July 2017 RFI, DOE identified several industry test 
standards that may be applicable to synchronous electric motors. 82 FR 
35468, 35476. These standards were IEC 60034-2-1:2014; CSA C747-09 
(R2019); \52\ IEEE 115-2009 ``IEEE Guide for Test Procedures for 
Synchronous Machines Part I--Acceptance and Performance Testing

[[Page 71740]]

Part II--Test Procedures and Parameter Determination for Dynamic 
Analysis'' (``IEEE 115-2009''); and IEEE 1812-2014 ``IEEE Trial-Use 
Guide for Testing Permanent Magnet Machines'' (``IEEE 1812-2014''). Id. 
DOE requested comment on the applicability of these test procedures to 
synchronous motors, and specifically, on the applicability of IEEE 115-
2009 to PMAC motors and SynRMs. Id.
---------------------------------------------------------------------------

    \52\ The July 2017 RFI referenced CSA C747-09 (R2014) which is 
equivalent to CSA C747-09 (R2019).
---------------------------------------------------------------------------

    Advanced Energy recommended using the input-output test method from 
CSA C747-09 to test synchronous electric motors. Advanced Energy 
commented that IEEE 115-2009 was applicable to larger size wound-field 
(i.e., DC-excited) synchronous motors and not to permanent magnet 
motors, which are non-excited synchronous motors. Advanced Energy 
commented that IEEE 1812-2004 included provision for permanent magnet 
motors. (Docket No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 at p. 
12) Advanced Energy commented that for electric motors with integrated 
controls,\53\ testing should be performed without any recourse to, or 
manipulation of, the embedded control circuitry (i.e., inclusive of the 
motor and inverter). Advanced Energy stated that if DOE is considering 
an efficiency metric that captures the efficiency of the motor only, 
the test procedure for electric motors that are intended to operate 
with controls that are not integrated with the motor \54\ should allow 
manufacturers to certify the efficiency of the motors with their 
designated inverters as recommended in the catalogs. Advanced Energy 
stated that although most off-the-shelf inverters are capable of 
operating these motors, the best performance may not be achieved if a 
one-size-fits-all inverter is used across all motors. Advanced Energy 
also stated that the impact of the choice of the inverter could be 
minimized. Advanced Energy commented that computing the motor 
efficiency separately from the inverter is fairly straightforward, for 
the case where these are supplied as two separate components. Advanced 
Energy stated that the direct input-output method could be used in this 
case, as would be expected with these categories of motors. Advanced 
Energy commented that if DOE is considering an efficiency metric 
inclusive of the inverter (i.e., combined motor and inverter 
efficiency), then the issue of the drive that is applied becomes more 
important. (Docket No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 at 
pp. 6-7)
---------------------------------------------------------------------------

    \53\ Integrated means that the drive and the motor are 
physically contained in a single unit.
    \54\ These would include inverter-capable electric motors with 
or without an inverter, and inverter-only electric motors with or 
without an inverter.
---------------------------------------------------------------------------

    NEMA recommended adding the CSA C838-2013 (R2018) ``Energy 
efficiency test methods for three-phase variable frequency drive 
systems'' (``CSA C838-2013'') industry test standard to the DOE test 
procedure for testing ``power drive systems'' (i.e., the combination of 
a motor and inverter). (Docket No. EERE-2017-BT-TP-0047, NEMA, No. 24 
at p. 2) NEMA also commented that electric motors with advanced motor 
technologies that are power drive systems should be tested per IEC 
61800-9-2:2017 and commented in support of incorporating IEC 61800-9-
2:2017 by reference. (Docket No. EERE-2017-BT-TP-0047, NEMA, No. 24 at 
pp. 1, 3, 8, 11) NEMA described IEC 61800-9-2:2017 as the only 
repeatable industry test standard for power drive systems. (Docket No. 
EERE-2017-BT-TP-0047, NEMA, No. 24 at pp. 13) Specifically, NEMA 
commented that while IEEE 115-2009 and IEEE 1812-2014 were acceptable 
design specification standards for synchronous electric motors, testing 
of PMAC motors and SynRMs should be performed based on IEC 61800-9-
2:2017. NEMA further commented that the IEEE 1812-2014 standard was not 
finalized yet and was released for trial use. (Docket No. EERE-2017-BT-
TP-0047, NEMA, No. 24 at p. 10) NEMA further commented that control and 
power conversion components are captured when conducting an energy 
efficiency test for power drive systems. (Docket No. EERE-2017-BT-TP-
0047, NEMA, No. 24 at p. 7)
    The CA IOUs recommended that DOE consider adopting appropriate test 
standards for motors using frequency converters, such as IEC 60034-2-
3:2020, IEC 61800-9-2:2017, and other industry test standards 
applicable to AC and DC motors, such as IEC 60034-2-1:2014. (CA IOUs, 
No. 3 at pp. 2, 7-8)
    Since the publication of the July 2017 RFI, DOE performed a review 
of the most recent standards available to test synchronous electric 
motors proposed for inclusion in scope of the DOE test procedure. 
Different industry test standards are applicable depending on whether 
the considered motor can operate directly connected to the power supply 
(i.e., line-fed or direct-on-line such as LSPMs) or is operated 
connected to an inverter (e.g., PMAC motor). DOE notes that the 
industry test standards for motors that operate connected to an 
inverter (i.e., inverter-fed motors) are also applicable to inverter-
only AC induction motors. Existing industry test standards for electric 
motors that operate with an inverter can be classified in two 
categories depending on the equipment tested: (1) Inverter-fed motors 
test standards, which consider the motor only (i.e., the motor is 
tested while operating connected to an inverter, however the measured 
efficiency is the efficiency of the motor only and does not include the 
efficiency of the inverter); and (2) power drive systems (``PDS'' or 
``PDSs'') test standards, which consider the motor and inverter 
combination (i.e., motor is tested while operating connected to an 
inverter and the measured efficiency includes the motor and inverter 
efficiency). DOE notes that test procedures also exist for inverters 
only; specifically, ANSI ASHRAE 222-2018. However, DOE did not further 
investigate these standards, as the definition of electric motor does 
not cover an inverter as a single component.
    DOE reviewed the industry test standards identified in the July 
2017 RFI (i.e., IEEE 115-2009, IEEE 1812-2014, CSA C747-09 (R2019), and 
IEC 60034-2-1:2014) as well as three additional industry test standards 
for electric motors that require an inverter to operate: IEC 60034-2-
3:2020; IEC 61800-9-2:2017; and CSA C838-2013. DOE notes that some of 
these test standards are also applicable to AC induction inverter-only 
motors.
    IEEE 115-2009 applies to wound-field (i.e., DC-excited) synchronous 
motors and is not applicable to permanent magnet and reluctance 
synchronous motors, which are non-excited synchronous motors.\55\ As 
commented by Advanced Energy, IEEE 115-2009 does not provide adequate 
instruction for all the synchronous electric motors discussed in 
section III.A.8, and therefore DOE did not further review IEEE 115-
2009.
---------------------------------------------------------------------------

    \55\ Specifically, Section 4.1.1 of IEEE 115-2009 discusses the 
determination of field I\2\R losses from field current and 
resistance, which is only applicable to wound-field synchronous 
motors. In wound-field synchronous motors, field poles are 
magnetized by direct current from an exciter, resulting in I\2\R 
losses in the field windings. Additionally, section 1.3 of IEEE 1812 
explains that it references IEEE 115-2009 for instructions that 
would be identical to wound-field synchronous motors, implying that 
IEEE 115-2009 is specifically for wound-field (i.e., DC-excited) 
synchronous motors.
---------------------------------------------------------------------------

    IEEE 1812-2014 applies to permanent magnet synchronous motors. 
However, as commented by NEMA, this standard is a trial-use standard 
and was effective only until December 2016. DOE did not further 
consider this standard for this test procedure.
    CSA C747-09 (R2019) is equivalent to the 2009 version which is 
incorporated by reference as part of the small electric

[[Page 71741]]

motors test procedure at 10 CFR 431.443 as a test method that may be 
used for testing single-phase small electric motors and polyphase small 
electric motors of less than or equal to 1 horsepower. Section 6 of CSA 
C747-09 (R2019) determines efficiency by measuring input power and 
output power, a method known as ``the direct measurement method'' or 
``input-output'' method. CSA C747-09 (R2019) also specifies that this 
method is also applicable to certain inverter-fed motors and to certain 
synchronous electric motors proposed for inclusion in scope: section 1 
specifies that the scope of CSA C747-09 (R2019) also applies to 
inverter-driven motors (also known as inverter-fed), ECMs, and to 
certain synchronous motors, namely reluctance (i.e., SynRM and SR) and 
permanent magnet motors (PMAC, LSPM).\56\ However, the scope of CSA 
C747-09 (R2019) is focused on motors of smaller size: section 1.2 
states that the test standard is applicable to DC and polyphase AC 
motors with rated motor horsepower greater than or equal to 0.25 and 
less than 1 hp, and to single-phase motors with a rated motor 
horsepower greater than or equal to 0.25 hp. In addition, CSA C747-09 
(R2019) does not provide test instructions regarding the selection of 
the inverter used for testing inverter-only motors that do not include 
an inverter (i.e., electric motors that do not include an inverter and 
are unable to operate without an inverter), as are provided in IEC 
60034-2-3:2020 (see description in the remainder of this section).
---------------------------------------------------------------------------

    \56\ Section 4 of CSA C747-09 (R2019) includes additional 
instructions for motors that include an inverter and specifies that 
when a motor requires an inverter to operate on alternating current, 
the motor and inverter shall be tested together.
---------------------------------------------------------------------------

    IEC 60034-2-1:2014 is incorporated by reference as part of the 
small electric motors test procedure at 10 CFR 431.443 and the electric 
motors test procedure at 10 CFR 431.15. IEC 60034-2-1:2014 includes 
methods for testing the efficiency of direct-on-line motors, including 
AC synchronous electric motors. The test methods \57\ for AC 
synchronous electric motors are specified in Section 7, Tables 4 and 5 
of IEC 60034-2-1:2014 and depend on the frame size and/or the rating of 
the motor under test. Methods also depend on whether the synchronous 
motors use electrical excitation or permanent magnets. For permanent 
magnet synchronous motors, the direct measurement input-output method 
is used. This is the same method specified in CSA C747-09 (R2019) for 
permanent magnet motors; however, IEC 60034-2-1 does not specify a 
limit on horsepower rating. For synchronous motors with electrical 
excitation, the test method depends on frame size and/or output power. 
For motors with a shaft height (distance from the center line of the 
shaft to the bottom of the feet) less than or equal to 180 mm 
(corresponding to NEMA frame sizes 284T and 286T), the input-output 
method is used, with additional test instructions to account for the 
exciter. For motors with a shaft height greater than 180 mm and with an 
output power less than or equal to 2 megawatts (equivalent to 2,682 
hp), the loss segregation method is used, with additional test 
instructions to account for the exciter.\58\ The third test method 
specified is for motors that are not in the proposed scope of 
applicability of this test procedure (e.g., motors with an output power 
greater than 2 megawatts) and are therefore not relevant to this 
rulemaking.
---------------------------------------------------------------------------

    \57\ In addition, IEC 60034-2-1:2014 includes other methods that 
may be used for customer-specific acceptance tests, field tests or 
routine tests which were not considered by DOE.
    \58\ In the loss segregation method, the input power of the 
motor is not directly measured. Instead, it is calculated as the sum 
of the motor output power and the losses of the motor. Under this 
approach, the losses of the motor are measured separately by 
category (i.e., constant losses, stator losses, excitation losses, 
and load losses). The efficiency is calculated as the output power 
of the motor divided by the input power of the motor. See Section 
7.1.3. of IEC 600034-2-1:2014.
---------------------------------------------------------------------------

    IEC 60034-2-3:2020 specifies test methods for determining losses 
and efficiencies of inverter-fed motors. While the motor is operated 
with an inverter during the test, the measured efficiency is the 
efficiency of the motor only and does not include the efficiency of the 
inverter. Section 6.1 of IEC 60034-2-3:2020 describes four applicable 
methods for the determination of the efficiency of inverter-fed motors. 
In the first method, the motor can be tested with a specific inverter 
(e.g., an inverter that is sold with the motor) or using an inverter as 
specified by the test procedure (i.e., using a ``comparable 
converter'').\59\ The motor is tested using the input-output method 
(i.e., direct measurement of electrical input power to the motor and 
mechanical output power, in the form of torque and speed, from the 
motor) and calculates the efficiency as the ratio of these two values 
at different load points. In its introduction, IEC 60034-2-3:2020 
states that the test method with the ``comparable converter'' is a 
standardized method intended to give comparable motor efficiency 
figures (excluding the inverter) at standardized test conditions, and 
that this method is not intended to determine the actual motor 
efficiency for operation with a specific inverter used in the final 
application. The second method relies on the indirect method (i.e., 
summation of losses) \60\ to determine the efficiency of the inverter-
fed motor and is applicable only in combination with a specific 
inverter selected for the test. The other two methods include the 
description of an AEDM and of a calculation method for very large 
motors (above 2 megawatts). The AEDM provisions in section 6.1 of IEC 
60034-2-3:2020 were not considered in this test procedure, as DOE 
establishes its own AEDM requirements; additionally, the calculation 
method for larger inverter-fed motors was not considered for this test 
procedure, as motors above 2 megawatts are not in the proposed scope of 
this test procedure. IEC 60034-2-3:2020 also specifies procedures to 
determine motor losses at any load point based on the determination of 
efficiency at seven standardized load points.\61\ Although the 
measurements are made at seven points, the motor's performance is 
evaluated at a single point (90 percent rated speed and 100 percent 
rated torque) \62\ for the purposes of comparing its performance with 
other motors and determining its ``IE efficiency class''.\63\
---------------------------------------------------------------------------

    \59\ The comparable converter (inverter) represents a typical 
set-up. The purpose of the comparable inverter set-up is to 
establish comparable test conditions for motors that operate with 
inverters. The requirements of the comparable inverter are described 
in section 5.2.2. of IEC 60034-2-3:2020.
    \60\ Also known as ``segregation of losses'' method. In this 
method, the different components of the motor losses are determined 
separately and added to calculate the total motor losses and 
efficiency. The different loss components are iron loss (core 
losses); windage and friction losses; the stator and rotor copper 
losses; and additional load losses (stray losses).
    \61\ Seven speed/torque points at (90/100), (50/100), (25/100), 
(90/50), (50/50), (50/25), and (25/25) percent of motor rated speed/
torque.
    \62\ Rated torque and rated speeds are the torque and speed 
values corresponding to the motor's rated load. See III.F.2.
    \63\ IEC TS 60034-30-2:2016 ``Rotating electrical machines--Part 
30-2: Efficiency classes of variable speed AC motors (IE-code)'' 
establishes efficiency classes for converter-fed motors (IE classes 
from IE1 to IE5).
---------------------------------------------------------------------------

    IEC 61800-9-2:2017 specifies test methods for determining losses of 
inverters (or complete drive module, ``CDM'') \64\ and of motor and 
inverter combinations, (i.e., PDSs).\65\ The motor

[[Page 71742]]

is tested with its inverter (either integrated or non-integrated), and 
the measured losses includes the losses of the motor and of the 
inverter. Section 7.3 of IEC 61800-9-2:2017 describes two options for 
determining the losses of a PDS: the input-output method (direct 
measurement method) and the loss calculation method. In the loss 
calculation method, the losses of the PDS are established by adding the 
losses of the inverter, the motor, and the auxiliary equipment \66\ 
included in the PDS (which are determined by calculation, input-output 
measurement, or by calorimetric measurement depending on the component 
considered). Section 7.2 of IEC 61800-9-2:2017 prescribes that the 
losses of the CDM can be determined using either calculations,\67\ 
input-output measurement, or by calorimetric measurement.\68\ IEC 
61800-9-2:2017 does not provide standardized methods to determine the 
losses of the auxiliary equipment. Instead, Annex B (informative) 
provides a description of the possible sources of losses. IEC 61800-9-
2:2017 also specifies procedures to determine PDS losses at any load 
point based on determination of losses at eight standardized load 
points.\69\ Although the loss measurements are made at eight points, 
the PDS performance is evaluated at a single point (100 percent rated 
frequency and 100 percent rated torque) for the purposes of comparing 
its performance with other PDSs and determining its ``IE efficiency 
class''.\70\
---------------------------------------------------------------------------

    \64\ IEC 61800-9-2:2017 defines a CDM, or drive, or drive 
controller as a '' drive module consisting of the electronic power 
converter connected between the electric supply and a motor as well 
as extension such as protection devices, transformers and 
auxiliaries.''
    \65\ IEC 60034-9-2:2017 also provides a mathematical model to 
determine the losses of a reference CDM, reference motor and 
reference PDS which are then used as the basis for comparing other 
CDMs, motors, and PDSs and establishing efficiency classes (IES 
classes). PDS shall be classified as ``IES 0'' if its losses are 
more than 20% higher than the value specified for a reference PDS. 
See section 6.4 of IEC 61800-9-2:2017.
    \66\ For example: output filters and motor cables.
    \67\ The CDM loss calculation method relies on a mathematical 
model and does not require testing. (Section 7.5).
    \68\ The calorimetric determination method of the power losses 
is based on the calorimetric measurement of the dissipated power 
losses (i.e., heat). Measurements must be made at thermal 
equilibrium, and the component to be measured must be thermally 
isolated to guarantee conduction of the dissipated power losses by 
the cooling medium (air or water).
    \69\ Eight frequency/torque producing current points for CDM 
defined as follows: (0/25), (0/50), (0/100), (50/25), (50/50), (50/
100), (90/50), and (90/100); and eight speed/torque points for PDS 
defined as follows: (0/25), (0/50), (0/100), (50/25), (50/50), (50/
100), (100/50), and (100/100) percent motor rated frequency and 
rated torque.
    \70\ IEC 61800-9-2:2017 establishes efficiency classes for PDSs 
(IES classes).
---------------------------------------------------------------------------

    CSA C838-13 (R2018) provides energy efficiency test methods for 
motors with three-phase variable frequency drive (i.e., variable 
frequency drives that output polyphase power). CSA C838-13 (R2018) 
applies to certain inverters for AC squirrel cage induction motors and 
other inverters commonly used with PMAC motors and reluctance motors 
(SR motors and SynRM). The test method relies on the input-output 
method with options to determine the efficiency of the inverter, motor, 
or combination of both. The measurements are performed at twenty load 
points defined by a percentage of rated frequency and torque. \71\
---------------------------------------------------------------------------

    \71\ Twenty frequency/torque points as follows: (100/100), (100/
75), (100/50), (100/25), (100/10), (75/100), (75/75), (75/50), (75/
25), (75/10), (50/100), (50/75), (50/50), (50/25), (50/10), (25/
100), (25/75), (25/50), (25/25), and (25/10) percent motor rated 
frequency and rated torque.
---------------------------------------------------------------------------

    After reviewing these industry testing standards and stakeholder 
comments, DOE proposes to require testing through reference to industry 
test standards as detailed in the remainder of this section. DOE 
proposes to require testing synchronous electric motors that are 
direct-on-line, or inverter-capable using the methods in section 7.1 of 
IEC 60034-2-1:2014 and requirements in section 5 of IEC 60034-2-1:2014. 
As noted previously, inverter-capable electric motors subject to 
current test procedures are currently required to be tested without the 
use of an inverter, and rely on the set-ups used when testing a general 
purpose electric motor. See 78 FR 75962, 75972. Similarly, DOE proposes 
to require inverter-capable synchronous electric motors to be tested 
without the use of an inverter. DOE notes that it identified LSPMs as 
the only synchronous electric motor that is inverter-capable. All other 
synchronous electric motors proposed for inclusion in scope require an 
inverter to operate (i.e., inverter-only). DOE notes that the proposal 
to not include the inverter when testing inverter-capable motors is 
consistent with how the efficiency classification of inverter-capable 
motors is established in accordance with IEC 60034-30-1:2014.\72\ DOE 
believes such a proposal provides representative measurements without 
imposing undue test burden on manufacturers.
---------------------------------------------------------------------------

    \72\ Although not noted in IEC 60034-30-1:2014, Section 4.1 of 
IEC TS 60034-30-2:2016 specifies that motors that are capable of 
both direct-on-line operation and can also be inverter-fed (such as 
LSPMs) must be rated in accordance with IEC 60034-30-1:2014, which 
specifies testing in accordance with IEC 60034-2-1:2014 (which 
excludes the inverter).
---------------------------------------------------------------------------

    DOE proposes to require testing inverter-only synchronous electric 
motors that include an inverter, and inverter-only AC induction motors 
that include an inverter, in accordance with section 7.7.2 of IEC 
61800-9-2:2017, and using the test provisions specified in section 
7.7.3.5 and testing conditions specified in section 7.10. DOE notes 
that this category includes electric motors with integrated inverters 
such as ECMs which cannot be physically separated from the inverter and 
cannot be tested without the inverter. Inverter-only electric motors 
sold with an inverter require the inverter to operate in the field. DOE 
has initially determined that the proposal to measure the combined 
motor and inverter efficiency provides representative measurements 
without imposing undue test burden on manufacturers, specifically in 
the case of a motor with an integrated inverter.
    DOE proposes to test inverter-only synchronous electric motors that 
do not include an inverter, and AC induction inverter-only motors that 
do not include an inverter, in accordance with IEC 61800-9-2:2017 \73\ 
and to specify that testing must be performed using an inverter as 
recommended in the manufacturer's catalogs or offered for sale with the 
electric motor. If more than one inverter is available in 
manufacturer's catalogs or offered for sale with the electric motor, 
DOE is considering requiring to test using the least efficient 
inverter. Requiring the measurement of the combined motor and inverter 
efficiency would provide representative measurements without imposing 
undue test burden on manufacturers, in that the proposed method would 
not require an inverter-only motor to be tested both with and without 
the inverter.
---------------------------------------------------------------------------

    \73\ Specifically, in accordance with section 7.7.2 of IEC 
61800-9-2:2017, and using the test provisions specified in section 
7.7.3.5 and testing conditions specified in section 7.10.
---------------------------------------------------------------------------

    Table III.17 summarizes the additional industry test standards 
proposed for incorporation by reference for electric motors with 
advanced motor technologies and AC induction inverter-only motors.

[[Page 71743]]



   Table III.17--Industry Test Standards Proposed for Incorporation by
Reference for Synchronous Electric Motors and AC Induction Inverter-Only
                                 Motors
------------------------------------------------------------------------
                                                         Industry test
                                                           standard
       Motor configuration         Equipment tested     incorporated by
                                                           reference
------------------------------------------------------------------------
Direct-on-line or inverter-       Motor.............  IEC 60034-2-
 capable.                                              1:2014.
Inverter-only...................  Motor + Inverter..  IEC 61800-9-
                                                       2:2017.
------------------------------------------------------------------------

    For inverter-only synchronous electric motors that do not include 
an inverter and AC induction inverter-only motors that do not include 
an inverter, DOE is also considering in the alternate whether such 
electric motors should be tested using the method in section 6.2 of IEC 
60034-2-3:2020, with a ``comparable inverter'' in accordance with 
section 5 of IEC 60034-2-3:2020. However, with this approach, an 
inverter-only motor would be subject to different test procedures 
depending on whether it was sold with or without an inverter. Inverter-
only electric motor sold with an inverter would be tested with the 
accompanying inverter in accordance with IEC 61800-9-2:2017 as a motor 
and inverter combination (i.e., the measured efficiency would include 
the efficiency of the motor and inverter); whereas inverter-only 
electric motors sold without an inverter would be tested using a 
``comparable inverter,'' and the efficiency of only the motor would be 
determined under IEC 60034-2-3:2020. As inverter only motors require an 
inverter to operate, measurement of the motor efficiency independent of 
the inverter would not be as representative of performance in the field 
as measurement of the combined motor and inverter efficiency. As 
indicated by Advanced Energy, inverter-only electric motors that do not 
include an inverter could be tested with a ``representative'' inverter, 
with the measured energy efficiency representing the efficiency of the 
electric motor combined with an inverter specified for use in testing. 
Such an approach would require adding provisions specifying which 
inverter characteristics to use for the test. As proposed inverter-only 
motors that do not include an inverter would be tested with an inverter 
as recommended in the manufacturer's catalogs or offered for sale with 
the electric motor. DOE notes that CSA C838-13 and CSA C747-09 (R2019) 
also provide methods that could be used to test inverter-fed motors 
that include an inverter and for direct-on-line synchronous electric 
motors. DOE is proposing to specify the IEC methods instead, which are 
used internationally. DOE also notes that, as mentioned previously, CSA 
C747-09 (R2019) does not cover DC and polyphase motors with a 
horsepower greater than 1hp.
    DOE requests feedback on the proposed test methods for synchronous 
electric motors and AC induction inverter-only electric motors. 
Specifically, DOE requests feedback on the proposal to test direct-on-
line synchronous motors and inverter-capable electric motors in 
accordance with IEC 60034-2-1:2014. In addition, DOE requests feedback 
on the proposal to test inverter-only electric motors in accordance 
with IEC 61800-9-2:2017 and specifying, for inverter-only motors that 
do not include an inverter, that testing must be conducted using an 
inverter as recommended in the manufacturer's catalogs or offered for 
sale with the electric motor.
    DOE requests feedback how inverter-only electric motors sold with 
or without an inverter are typically tested (i.e., inclusive of the 
inverter or not, and on whether the test measurements include the 
inverter). DOE requests feedback and supporting information on whether 
there would be any benefits to considering a test method that measures 
the combined efficiency of the motor and inverter for inverter-capable 
electric motors (with and without inverters).
    For inverter-only electric motors without inverters, DOE requests 
comment on the proposal to conduct the test using an inverter as 
recommended in the manufacturer's catalogs or offered for sale with the 
electric motor to determine a combined motor and inverter efficiency. 
DOE also requests feedback on which inverter should be selected for 
testing in the case where more than one inverter is recommended in the 
manufacturer's catalogs or offered for sale with the electric motor. To 
the extent other approaches should be considered, DOE requests feedback 
and supporting information.
    For inverter-only electric motors sold without inverters, DOE 
requests comment on whether these motors should be tested using the 
method in section 6.2 of IEC 60034-2-3:2020, with a ``comparable 
inverter'' in accordance with section 5 of IEC 60034-2-3:2020.

E. Metric

    The represented value of nominal full-load efficiency is used to 
make representations of efficiency for electric motors currently 
subject to standards in subpart B of part 431 and are based on the 
full-load efficiency metric as measured in accordance with the 
provisions at 10 CFR 431.17.
    The CA IOUs, the Efficiency Advocates, and NEEA and NWPCC commented 
that the electric motors test procedure should be modified to include 
efficiency or input power at multiple load points in order to be more 
representative of typical motor operation and capture the energy-saving 
benefits of speed control. (CA IOUs, No. 3 at p. 8; Efficiency 
Advocates, No. 5 at p. 4; NEEA and NWPCC, No. 6 at pp. 4-5)
    Specifically, the Efficiency Advocates suggested using the average 
of the efficiency at 25 percent, 50 percent, 75 percent, and 100 
percent of full load as the metric for electric motors. (Efficiency 
Advocates, No. 5 at p. 4) The CA IOUs referenced the European 
Commission Regulation (``EU'') 2019/1781 of October 1, 2019 specifying 
requirements for electric motors and variable speed drives \74\ and 
stated that the EU standard relied on rated efficiency measured at the 
50, 75 and 100 percent of full load. (CA IOUs, No. 3 at p. 8)
---------------------------------------------------------------------------

    \74\ See https://eur-lex.europa.eu/eli/reg/2019/1781/oj.
---------------------------------------------------------------------------

    NEEA and NWPCC recommended a metric based on input power at a 
variety of load points and incorporating information on representative 
load profiles for motors (i.e., load point and percentage of time spent 
at that load point). NEEA and NWPCC further stated that the IEC 60034-
2-3:2020 ``Specific test methods for determining losses and efficiency 
of converter-fed AC induction motors'' test standard applies to 
converter-fed motors and accounts for 7 standardized test points. (NEEA 
and NWPCC, No. 6 at p. 4-5)
    The CA IOUs commented that DOE should consider motors that are 
single speed and motors that are variable speed separately, similar to 
the approach taken by the IEC test standards (i.e., IEC 60034-2-1:2014, 
IEC 60034-2-3:2020, IEC 61800-9-2:2017) and associated efficiency 
classification standards (IEC 60034-30-1:2014; IEC

[[Page 71744]]

TS 60034-30-2:2016 ; and IEC 61800-9-2:2017) The CA IOUs stated that 
this approach is similar to how the pump energy conservation standards 
sets separate requirements for constant load pumps and variable-load 
pumps at 10 CFR part 431, subpart Y. (CA IOUs, No. 3 at p. 7-8)
    The Joint Advocates commented that the test procedures should 
account for efficiency at multiple load points and the benefits of 
variable speed control. (Docket No. EERE-2017-BT-TP-0047; Joint 
Advocates, No. 27 at p. 3)
    As discussed, EPCA requires the test procedures for electric motors 
that are subject to standards be the test procedures specified in NEMA 
Standards Publication MG1-1987 and IEEE Standard 112 Test Method B for 
motor efficiency, or the successor standards, unless DOE determined by 
rule, published in the Federal Register and supported by clear and 
convincing evidence, that to do so would not meet the statutory 
requirements for test procedures to produce results that are 
representative of an average use cycle and not be unduly burdensome to 
conduct. (42 U.S.C. 6314(a)(5)(A) and (B)).
    Regarding the IEC test standards and efficiency classification, DOE 
notes that although the IEC test standards include testing at 
standardized part-load points, the IEC efficiency classification 
standards are based on the performance at full load (or close to full 
load, as noted in the remainder of this section). Specifically, for 
direct-on-line and inverter-capable motors, although the IEC 60034-2-
1:2014 test standards for direct-on-line motors includes testing at 
part load (see discussion in section 6.1.3.2.3), IEC 60034-30-1:2014 
establishes efficiency classes (e.g., IE3) for direct-on-line motors 
based on the motor full load efficiency. For inverter-only motors 
(motor only), although the IEC 60034-2-3:2020 test standard includes 
seven standardized test points, the IEC efficiency classification is 
based on the performance at a unique point close to full load (i.e., 90 
percent rated speed and 100 percent rated torque).\75\ See section 4.2 
of IEC 60034-30-2:2016. For motor and inverter combination, although 
the IEC 61800-9-2:2017 test standard includes eight standardized test 
points, the IEC efficiency classification is based on the performance 
at a unique point at full load (100 percent rated speed and 100 percent 
rated torque). See section 6 of IEC 61800-9-2.
---------------------------------------------------------------------------

    \75\ The IEC TS 60034-30-2:2016 notes that the requirement to 
test at 90 percent of rated speed (instead of 100 percent) ensures 
that the motor is operated at full magnetic flux (full voltage) 
regardless of the voltage drop in the internal electronic switches 
of the frequency converter.
---------------------------------------------------------------------------

    DOE reviewed the European Commission Regulation (EU) 2019/1781, 
which sets efficiency requirements expressed in terms of International 
Energy efficiency class (``IE'').\76\ Section 2 of Annex I of EU 2019/
1781 describes the energy efficiency and product information 
requirements for electric motors subject to this regulation. Although 
section 2 of Annex I (``Product Information Requirements for Motors'') 
specifies that the efficiency of the motor at the full, 75 percent and 
50 percent rated load must be displayed, the efficiency requirements 
are defined based on the full load efficiency of the motor. Section 1 
of Annex I (``Energy Efficiency Requirement for Motors'') specifies 
that the IE class of a motor is determined at rated output power (i.e., 
at full load).
---------------------------------------------------------------------------

    \76\ An IE class is a table of full load efficiency ratings 
provided at different motor rated power and poles. For example, the 
IE class ``IE3'' is considered largely equivalent to the current 
energy conservation standards in Table 5 at 10 CFR 431.25.
---------------------------------------------------------------------------

    Motor efficiency varies depending on the motor's operating load, 
however for three-phase, single-speed, AC induction motors included in 
the scope of the proposed test procedure, this efficiency curve is 
relatively flat within the range of operation (typically between 50 and 
75 percent).\77\ Therefore, an electric motor with a tested full-load 
efficiency will typically perform better than another electric motor 
with a lower tested full-load efficiency within its typical range of 
operation in the field. Accordingly, the tested efficiency at full-load 
is representative of motor performance at the typical range of 
operation. In addition, although manufacturers are currently only 
required to certify the nominal full-load efficiency of the least 
efficient basic model, the DOE test procedure requires performing a 
load test at 6 load points,\78\ and this information is typically 
provided in online catalogs. Given the relationship between efficiency 
at part load and full load, and the difficulty in identifying a 
representative motor load profile,\79\ DOE does not propose to change 
the load point at which the efficiency metric is measured for electric 
motors that are currently regulated at 10 CFR 431.25. DOE intends to 
maintain use of the nominal full-load efficiency for electric motors 
currently subject to standards at 10 CFR 431.25.
---------------------------------------------------------------------------

    \77\ See U.S. Department of Energy Motor Challenge Fact Sheet, 
``Determining Electric Motor Load and Efficiency.'' Available at 
https://www.energy.gov/sites/prod/files/2014/04/f15/10097517.pdf. 
Last accessed September 14, 2020.
    \78\ The load test portion of the test procedure include 
measurements at four load points approximately equally spaced 
between not less than 25 percent and up to and including 100 percent 
load, and two load points suitably chosen above 100 percent load, 
but not exceeding 150 percent load. See section 5.7.1 of IEEE 112-
2017, Section 7.1.4 of CSA C390-10, Section 6.1.3.2.3 of IEC 60034-
2-1:2014.
    \79\ Electric motors serve a variety of applications (e.g., 
pumps, fans, material handling, material processing, air 
compressors, refrigeration compressors) in different sectors (e.g., 
residential, commercial, industrial), which makes identifying a 
single representative load profile challenging.
---------------------------------------------------------------------------

    For the expanded scope being proposed in this NOPR, different test 
procedure instructions are proposed depending on the motor's 
configuration: (1) Direct-on-line (motor only) or (2) inverter-fed. All 
test procedures rely on the efficiency metric to determine the motor's 
performance, which is the ratio of the input power (to the motor, or to 
the motor and inverter combination) divided by the output power (of the 
motor). In all cases, the efficiency is measured at different load 
points.
    DOE proposes to use the full-load efficiency as the metric for 
measuring the performance of the additional electric motors proposed 
for inclusion within the scope of these test procedures, as described 
in the following discussion. DOE proposes to evaluate the efficiency of 
the motor with or without the inclusion of the inverter depending on 
the motor configuration. For each motor configuration, DOE proposes to 
evaluate the efficiency at full load as follows:
     For additional electric motors proposed for inclusion 
within the scope of these test procedures that do not require an 
inverter to operate (i.e., are direct-on-line or inverter-capable), DOE 
proposes to determine the efficiency of the motor at full-load (i.e., 
measure the full-load efficiency), consistent with how electric motors 
currently subject to standards at 10 CFR 431.25 are evaluated and 
consistent with the efficiency classification of these motors in IEC 
60034-30-1:2014.
     For additional electric motors proposed for inclusion 
within the scope of these test procedures that are inverter-only, DOE 
proposes to evaluate the efficiency of the motor and inverter 
combination at 100 percent rated speed and rated torque (i.e., measure 
the full load efficiency). DOE notes that for inverter-only electric 
motors that include an inverter, this approach is consistent with the 
specifications in IEC 61800-9-2:2017.
    DOE proposes to use a single load point at full-load for the 
efficiency metric. Currently regulated electric motors and the 
additional electric motors proposed for inclusion in scope

[[Page 71745]]

are not restricted to a single application and can be used in a variety 
of applications and sectors with different load profiles (i.e., 
collection of load points weighted based on the duration of operation 
at a given load point). Given the large number of possible electric 
motor end-use applications, DOE does not find it practical to establish 
a unique load profile that would be representative of all applications. 
Instead, for all motors in the proposed for inclusion in scope 
(including electric motors currently subject to standards at 10 CFR 
431.25), DOE proposes that the represented values of nominal full-load 
efficiency or of average full-load efficiency be used to make 
representations. As stated, for the electric motors proposed for 
inclusion in the scope of the test procedure, such motors would not be 
required to be tested according the proposed test procedure, if 
finalized, until such time as DOE were to establish corresponding 
energy conservation standards. If manufacturers voluntarily make 
representations regarding the energy consumption or cost of energy of 
such electric motors, however, they would be required to test according 
to the DOE test procedure and sampling requirements. DOE may consider 
requiring manufacturers to disclose the part load performance 
efficiency of the additional motors proposed for inclusion within the 
scope of this test procedure as part of any future energy conservation 
standard related to these electric motors.
    In addition, similar to currently regulated electric motors, for 
the additional electric motors proposed for inclusion within the scope 
of these test procedures, DOE proposes sampling requirements to 
calculate the average full-load efficiency of a basic model and 
provisions to determine a nominal full-load efficiency. (See section 
III.O)
    The test procedure as proposed does not account for the impacts of 
variable speed controls. However, the proposal to determine efficiency 
at a single load point would allow consumers to compare motors of the 
same configuration against each other (see Table III.18 for the 
description of the motor configurations). In addition, the proposed 
test procedures also require the part-load efficiency to be measured, 
and consumers typically have access to part-load motor performance 
information to assess the benefits of applying controls in their 
specific application and load profile.

 Table III.18--Proposed Load Points and Industry Test Standards for Additional Electric Motors Proposed in Scope
----------------------------------------------------------------------------------------------------------------
                                                                                          Industry test standard
         Motor configuration               Equipment tested            Load point            incorporated by
                                                                                                reference
----------------------------------------------------------------------------------------------------------------
Direct-on-line or inverter-capable...  Motor..................  100 percent of rated     IEEE 114-2010, CSA C747-
                                                                 load, 100 percent of     09 (R2019), IEEE 112-
                                                                 rated torque.            2017, CSA C390-10
                                                                                          (R2019), IEC 60034-2-
                                                                                          1:2014.*
Inverter-only........................  Motor + Inverter.......  100 percent of rated     IEC 61800-9-2:2017.
                                                                 speed, 100 percent
                                                                 rated torque.
----------------------------------------------------------------------------------------------------------------
* The choice of the industry test standards depends on the motor topology and horsepower. See section III.B.3
  and III.D.3 of this NOPR.

    DOE requests comments on its proposal to use full-load efficiency 
as the metric for measuring the performance of the additional electric 
motors proposed in scope. Specifically, DOE requests comment on the 
proposed load points associated with each electric motor category. If 
any different load points or metric should be considered, DOE requests 
information and data to support those load points and any alternate 
metric.
    DOE requests comments whether it should consider an efficiency 
metric inclusive of the inverter efficiency for inverter-capable 
electric motors and inverter-only electric motors sold with or without 
inverters.

F. Rated Output Power and Breakdown Torque of Electric Motors

    The current regulations for electric motors specify that the metric 
for energy conservation standards, nominal full-load efficiency, is 
defined as a representative value of efficiency selected from the 
``nominal efficiency'' column of Table 12-10 of NEMA MG1-2009, that is 
not greater than the average full-load efficiency of a population of 
motors of the same design. See 10 CFR 431.12. The ``average full-load 
efficiency'' is defined as ``. . . the ratio (expressed as a 
percentage) of the motor's useful power output to its total power input 
when the motor is operated at its full rated load, rated voltage, and 
rated frequency.'' Id. The industry testing standards referenced in the 
DOE electric motor test procedure do not provide a method for 
determining the full rated load of the tested unit; rather they rely on 
the manufacturer-specified output power listed on a motor's nameplate 
(i.e., the rated motor horsepower). The industry standards do not 
define rated output power; rather, the output power is a manufacturer 
declaration.
    As explained in the June 2020 RFI, rated motor output power (which 
is synonymous to rated motor horsepower) is generally not an intrinsic, 
observable property, and motors are usually capable of operating both 
above and below the rated motor output power. 85 FR 34111, 34116. NEMA 
MG1-2016 with 2018 Supplements directs that the rated motor output 
power be established by identifying the horsepower that corresponds to 
the appropriate value of breakdown torque, established in section 12.37 
and section 12.39 of NEMA MG1-2016 with 2018 Supplements, for general-
purpose polyphase 2-digit frame (e.g., 56-frame) size electric motors 
and Design A, B, and C polyphase 3- and 4-digit frame size electric 
motors, respectively (e.g., 215-frame). In the June 2020 RFI, DOE 
stated that it was considering applying the definition in section 12.37 
of NEMA MG1-2016 to all 2-digit frame size electric motors within DOE 
scope, such that DOE could define rated motor output power based on 
breakdown torque, as defined in NEMA MG 1-2016. 85 FR 34111, 34116.
    In concept, the breakdown torque describes the maximum torque the 
motor can develop without slowing down and stalling. Breakdown torque 
corresponds to a local maximum torque (on a plot of torque versus 
speed) that is nearest to the rated torque and does not represent the 
maximum torque over the entire speed range. The breakdown torque for a 
specific horsepower rating is specified as a range, as a function of 
input frequency and synchronous speed of the motor in section 12.39 of 
NEMA MG1-2016 with 2018 Supplements for single-speed polyphase 
squirrel-cage NEMA Design A, B and C medium motors.\80\ Section 12.37 
of NEMA MG1-

[[Page 71746]]

2016 with 2018 Supplements specifies that the breakdown torque of a 
general-purpose polyphase squirrel-cage small motor,\81\ with rated 
voltage and frequency applied, shall not be less than 140 percent of 
the breakdown torque of a single-phase general purpose motor of the 
same horsepower and speed rating.
---------------------------------------------------------------------------

    \80\ NEMA MG1-2016 with 2018 Supplements, section 1.4.1 states 
that a medium electric machine is a machine built in a 3- or 4-digit 
frame size, and has a continuous rating up to and including 500 HP.
    \81\ NEMA MG1-2016 with 2018 Supplements, section 1.3 states 
that small machines are machines built in a 2-digit frame size.
---------------------------------------------------------------------------

    DOE requested comment in the June 2020 RFI as to how industry 
currently determines rated motor output power and the feasibility of 
establishing a definition based on breakdown torque. DOE also requested 
comment on how to determine the rated motor output power for motors not 
expressly characterized by Table 10-5 of NEMA MG 1-2016. 85 FR 34111, 
34116.
    The Efficiency Advocates stated that DOE must define ``rated 
horsepower'' to ensure motors are tested and rated in a fair and 
consistent manner. They supported the use of breakdown torque on the 
basis that it aligns with the proposed small electric motor test 
procedure. (Efficiency Advocates, No. 5 at p. 4) NEMA commented that 
defining rated motor horsepower based on breakdown torque is 
unnecessary, stating that sections 12.37 and 12.39 in NEMA MG1-2016 
provide sufficient guidance for determining rated motor horsepower, and 
that these methods are commonly used by industry. (NEMA, No. 2 at p. 4-
5).
    CA IOUs submitted comments prepared by Dr. Emmanuel Agamloh of 
Baylor University. (CA IOUs, No. 3 at p. 11) Dr. Agamloh stated that it 
is not necessary to establish the rated motor horsepower in order to 
determine motor efficiency. (Id.) Further, Dr. Agamloh stated that a 
breakdown torque measurement is less reliable than an efficiency 
measurement, and that measuring breakdown torque requires operating the 
motor at the upper end of equipment capacity and testing facilities and 
is therefore unrealistic for larger motors (>250 hp) within DOE's 
scope. Id. Dr. Agamloh cited a 2017 paper that he stated illustrates 
his concern that the current methods for determining breakdown torque 
may be inaccurate.\82\ Id. The cited paper states that as motors get 
larger in size and approach the size limitations of testing equipment, 
manufacturers tend to test electric motors at lower voltages and use 
parabolic fitting to estimate the breakdown torque of motors. Id. Dr. 
Agamloh asserted that the process for determining a motor horsepower 
for a motor that has no declared rating is a series of lengthy and 
burdensome heat run tests to produce a stable temperature that does not 
exceed the rated temperature of the insulation. (CA IOUs, No. 3 at p. 
11-12).
---------------------------------------------------------------------------

    \82\ E.B. Agamloh, A. Cavagnino, S. Vaschetto ``Accurate 
determination of induction machine torque and current speed 
characteristics'', IEEE Transactions on Industry Applications, vol 
53, no. 4, July/Aug 2017.
---------------------------------------------------------------------------

    In the January 2021 Final Rule, DOE established definitions for 
``rated output power'' and ``breakdown torque'' as they relate to small 
electric motors. 86 FR 4, 13-14; see 10 CFR 431.442. DOE discussed that 
defining rated output power and breakdown torque based on NEMA MG 1-
2016 provides additional detail that allows for the accurate comparison 
of small electric motors. Id. In this NOPR, DOE is proposing a 
definition for ``breakdown torque,'' and proposing to further specify 
``rated output power'' for air-over electric motors, electric motors 
subject to energy conservation standards at 431.25, electric motors 
above 500 horsepower, and SNEMs.
    DOE's review of NEMA MG1-2016 with 2018 Supplements indicates some 
of the difficulties identified by CA IOUs in specifying rated output 
power for electric motors using the same definition of ``breakdown 
torque'' as it relates to small electric motors, as defined by the 
January 2021 Final Rule. 86 FR 4, 13-14. Namely, the rated output power 
of small electric motors is defined based on breakdown torque in NEMA 
MG1-2016 with 2018 Supplements, Table 10-5. Table 10-5 specifies a 
range of breakdown torques for each motor horsepower, such that given a 
motor synchronous speed and frequency, the breakdown torque will 
uniquely identify the rated output power.
    This is different from the electric motors covered under 10 CFR 
431.25. The motor requirements for a NEMA Design A, B or C motor at 
NEMA MG1-2016 with 2018 Supplements, section 12.39 specify the minimum 
breakdown torque as a percentage of full load torque. Therefore, the 
breakdown torque can describe the largest possible rated output power 
but cannot uniquely identify a rated output power.
    Manufacturers typically determine the rated output power of an 
electric motor through assessment of a combination of motor performance 
characteristics (pull-up torque, breakdown torque, and locked-rotor 
current described in NEMA MG1-2016 with 2018 Supplements sections 
12.40, 12.39, and 12.35, respectively), along with the temperature rise 
limits of the motor's rated insulation class. These limits determine 
the maximum rated output power, but do not inherently prevent a 
manufacturer from rating a motor with a lower output power than the 
maximum; i.e., ``down-rating''. Based on discussion with a subject 
matter expert, DOE understands that rating a motor at a lower 
horsepower than the maximum would result in a motor with excess active 
and inactive material. The added cost of excess material in the 
oversized motor would result in a motor that is not cost-competitive 
with motors at the lower horsepower. DOE understands that the economics 
of motor manufacturing prevent manufacturers from down-rating the 
output power of motors; however, NEMA MG1-2016 with 2018 Supplements 
does not inherently eliminate that possibility. If a manufacturer 
intentionally ``down-rated'' a motor, a less stringent energy 
conservation standard could apply, since lower efficiency standards 
generally apply to lower horsepower ratings. See 10 CFR 431.25 Table 7. 
However, as discussed, manufacturers are disincentivized to down-rate 
motors because of the implications of cost-competitiveness.
    In this NOPR, DOE proposes to specify in proposed section 2.1 of 
appendix B (applicable to electric motors subject to energy 
conservation standards at 431.25 and electric motors above 500 
horsepower) that for the purposes of this section and electric motors 
at or below 500 horsepower, rated output power means ``the mechanical 
output power that corresponds to the electric motor's breakdown torque 
as specified in section 12.37 and 12.39 of NEMA MG 1-2016 with 2018 
Supplements.''
    DOE also proposes to specify in proposed sections 2.2 (applicable 
to air-over electric motors) and 2.4 of Appendix B (applicable to 
SNEMs) that for the purposes of those sections, rated output power 
means (1) for 2-digit frame sizes, the mechanical output power that 
corresponds to the electric motor's breakdown torque as specified in 
Table 10-5 of NEMA MG 1-2016 with 2018 Supplements for single-phase 
motors, or 140 percent of the breakdown torque values specified in 
Table 10-5 of NEMA MG 1-2016 with 2018 Supplements for polyphase 
motors; (2) For 3-digit frame sizes, the mechanical output power that 
corresponds to the electric motor's breakdown torque specified in 
section 12.37 and 12.39 of NEMA MG 1-2016 with 2018 Supplements.
    DOE is proposing to define ``breakdown torque'' as ``the maximum 
torque that an induction motor will develop with rated voltage and 
frequency applied without an abrupt

[[Page 71747]]

drop in speed. The breakdown torque is the local maximum of the torque-
speed plot of the motor, closest to the synchronous speed of the 
motor.'' \83\ The phrase ``abrupt drop in speed'' references the 
intrinsic behaviour of motors, in which a motor will slow down or stall 
if the load applied to the motor exceed the breakdown torque, and 
indicates that minor reductions in speed observed due to measurement 
sensitivities are not considered. DOE is not proposing to require 
manufacturers to test or report the value of breakdown torque used to 
establish a rated motor horsepower. Rather, DOE is proposing to define 
``breakdown torque,'' through reference to the industry standard NEMA 
MG1-2016, in order to specify the ``rated output power'' in sections 
2.1, 2.2, and 2.4 of 10 CFR 431 Appendix B.
---------------------------------------------------------------------------

    \83\ The synchronous speed of a motor is calculated as follows: 
120 x f / p Where f is the frequency at which the motor is operating 
and p is the number of poles of the motor.
---------------------------------------------------------------------------

    DOE requests comment on its proposal to specify rated output power 
for induction motors based on frame size requirements in NEMA MG-2016 
with 2018 Supplements. Specifically, DOE requests comment on whether 
the proposed specification of rated output power for sections 2.1, 2.2, 
and 2.4 of appendix B accurately describe how manufacturers are 
currently determining the rated output power for electric motors.
    DOE seeks comment on how rated output power and breakdown torque 
are determined for the additional motors proposed to be added to scope 
(specifically synchronous electric motors); whether breakdown torque 
needs to be defined; and if so, how.

G. Rated Values Specified for Testing

1. Rated Frequency
    Electricity is supplied at sinusoidal frequency of 60 Hz in the 
United States, whereas in other regions of the world (e.g., Europe), 
electricity is provided at a frequency of 50 Hz. The frequency supplied 
to a motor inherently affects its performance. ``Rated frequency'' is a 
term commonly used by industry standards for testing electric motors 
(e.g., section 6.1 in IEEE 112-2004, and section 6.1 in CSA C390-10 
(R2019)), and refers to the frequency at which the motor is designed to 
operate. These motor's rated frequency is typically provided by 
manufacturers on the electric motor nameplate. Multiple rated 
frequencies are sometimes provided if a manufacturer intends to sell a 
particular model in all parts of the world. In the case where an 
electric motor is designated to operate at either 60 or 50 Hz, the 
current test procedure does not explicitly specify the value at which 
an electric motor is tested.
    In the June 2020 RFI, DOE stated that because the test procedures 
and energy conservation standards established under EPCA apply to 
motors distributed in commerce within the United Stated, DOE was 
considering defining the term ``rated frequency'' as 60 Hz to expressly 
specify the test requirement. DOE requested comment on specifying the 
``rated frequency'' as 60 Hz. 85 FR 34111, 34116.
    The CA IOUs commented that defining rated voltage as 60 Hz was good 
but not necessary since there was no clear advantage to testing at a 
different frequency. (CA IOUs, No. 3 at p. 12) The Efficiency Advocates 
commented that such a definition would remove ambiguity and reflect the 
true operating frequency. (Efficiency Advocates, No. 5 at p.4-5) NEMA 
commented that the definition presented in the June 2020 RFI was 
adequate, and if adopted, would not impact current test procedure 
results. (NEMA, No. 2 at p. 5) NEMA also suggested that rated frequency 
should be required to appear on the nameplates for electric motors. Id.
    DOE did not receive any comments opposing the definition. For the 
reasons discussed above and in the June 2020 RFI, DOE is proposing to 
amend 10 CFR 431.12 to add the term ``rated frequency,'' which would be 
defined as ``60 hertz.''
2. Rated Load
    ``Rated load'' \84\ is a term used in industry standards to specify 
a loading point at which to test a motor (e.g., sections 5.7 and 
6.4.2.4 in IEEE 112-2017, and section 6.1 in CSA C390-10 (R2019)). 
Typically, a rated load represents a power output expected from the 
motor (e.g., a horsepower value on the nameplate). The rated load has a 
corresponding rated speed and rated torque. In the June 2020 RFI, DOE 
stated that it was considering defining the term ``rated load'' as 
``the rated motor horsepower of an electric motor''. 85 FR 34111, 
34116-34117.
---------------------------------------------------------------------------

    \84\ Also referred to as ``rated full-load,'' ``full rated 
load,'' or ``full-load'' interchangeably.
---------------------------------------------------------------------------

    The Efficiency Advocates and NEEA supported this definition, 
stating that the definition is necessary to ensure the test procedures 
are applied consistently. (Efficiency Advocates, No. 5 at p. 5) (NEEA, 
No. 6 at p. 4) NEMA commented that the definition presented in the June 
2020 RFI was adequate, and if adopted, would not impact current test 
procedure results. (NEMA, No. 2 at p. 5) NEMA also suggested that rated 
load should be required to appear on the nameplates for electric 
motors. Id. DOE did not receive any comments opposing the definition.
    In the January 2021 Final Rule, DOE defined rated load as the ``the 
rated output power of a small electric motor.'' 86 FR 4, 13-14; see 10 
CFR 431.442. DOE notes that rated output power is synonymous to the 
term rated horsepower. To keep consistent with the January 2021 Final 
Rule, DOE is proposing to establish the definition of ``rated load'' as 
``the rated output power of an electric motor.'' DOE also proposes 
qualifying that the rated output power is equivalent to rated load, 
rated full-load, full rated load, or full-load in an industry standard 
used for testing electric motors.
3. Rated Voltage
    The term ``rated voltage'' is used in industry standards to specify 
the voltage supplied to the motor under test (e.g., section 6.1 in IEEE 
112-2004, and section 6.1 in CSA C390-10 (R2019)). The industry 
standards referenced in appendix B direct motors to be tested at the 
rated voltage, without specifying how to test when multiple voltages 
are provided on the nameplate and marketing material. DOE has found 
that some motor nameplates are labeled with a voltage rating including 
a range of values, such as ``208-230/460 volts,'' or other qualifiers, 
such as ``230/460V, usable at 208V.'' Currently under the DOE test 
procedure, manufacturers select the input voltage for testing.
    In the June 2020 RFI, DOE stated that it was considering specifying 
the input voltages required for testing motors rated for use at 
multiple voltages. 85 FR 34111, 34117. DOE identified several options, 
including specifying testing only at the lowest rated voltage, testing 
at only the highest rated voltage, testing at all rated voltages, or 
aligning with the small electric motor test procedure by allowing 
manufacturers to test and certify motors at any rated voltage, provided 
that the tested input voltage setting is listed on the certification 
report. Id.
    NEMA commented that the input voltage settings are defined in IEEE 
112 and should be applied as appropriate per that industry standard. 
(NEMA, No. 2 at p. 5) Advanced Energy hypothesized that testing a motor 
at 208V would have a slightly lower efficiency that testing a motor at 
230V. Advanced Energy supported this hypothesis with test data from two 
motors that showed an average 0.45% decrease in efficiency when 
operating 208V as compared to 230V. (Advanced

[[Page 71748]]

Energy, No. 4 at p. 5-6) Regarding comparison of other voltages, while 
Advanced Energy did provide results that indicate a slight decrease in 
efficiency when operating at 208V as compared to 230V; there is no 
indication that the values currently selected by manufacturers are not 
representative of average use.
    The Efficiency Advocates commented that electric motors should be 
tested at all nameplate voltages and should meet efficiency standards 
across all nameplate voltages. (Efficiency Advocates, No. 5 at p. 5) 
They expressed concern that allowing manufacturers to test at different 
voltages would allow manufacturers to test at a more favorable voltage 
even if that voltage was not a likely operating voltage. Further, 
efficiency ratings would not be comparable across manufacturers because 
one manufacturer might test at the least efficient voltage, while 
another might test at the most efficient voltage. Id
    CA IOU's comments prepared by Dr. Emmanuel Agamloh stated that for 
dual rated motors such as ``230 V/460 V,'' there is generally no 
difference in efficiency; for motors specified as ``208-230 V/460 V,'' 
the motor should meet efficiency at the specified voltages; and for 
motors specified as ``230 V/460 V, usable at 208 V,'' the motors are 
not rated at 208 V and it would be unfair to test them as such. 
Accordingly, CA IOUs commented that specifying a test voltage is not 
necessary and would create undue burden; but, if one is specified, it 
should be the lowest rated voltage. (CA IOUs, No. 3 at p. 12) DOE 
understands that the lowest rated voltage for motors specified as ``230 
V/460 V, usable at 208 V'' would be 230V, not 208V.
    Advanced Energy commented that a test procedure for ECMs may need 
to specify an input voltage range for testing, as these motors 
sometimes provide an input voltage range instead of a single nominal 
voltage. Advanced Energy stated that in such a case, there may be 
sensitivity to applied voltage that may result in variations in 
efficiency across the range. In addition, Advanced Energy commented 
that these motors may be variable speed with different efficiency at 
various speeds. (Advanced Energy, No. 25 at p. 12) DOE did not receive 
data concerning the sensitivity of efficiency to applied voltage as it 
relates to ECMs.
    DOE tested two electric motor models at the two rated voltages of 
230V and 460V to determine how voltage affects efficiency. In both 
cases, the tests at the higher voltage rating (460V) resulted in fewer 
losses than at 230V. The difference in losses between the two voltage 
test cases were minimal, approximately 0.5 percent and 1.2 percent. 
These results are shown in Table III.19and Table III.20.

                  Table III.19--Measured Losses of Polyphase Motors at Different Input Voltages
----------------------------------------------------------------------------------------------------------------
                                                                        Measured losses (W)
                                                                 --------------------------------     Percent
                       HP                           Pole count      230V input      460V input      difference
                                                                      voltage         voltage
----------------------------------------------------------------------------------------------------------------
5...............................................               2           507.3           505.0            -0.5
5...............................................               4           411.7           406.8            -1.2
----------------------------------------------------------------------------------------------------------------


                Table III.20--Measured Efficiency of Polyphase Motors at Different Input Voltages
----------------------------------------------------------------------------------------------------------------
                                                                                      Measured Efficiency (%)
                                                                                 -------------------------------
                               HP                                   Pole count      230V input      460V input
                                                                                      voltage         voltage
----------------------------------------------------------------------------------------------------------------
5...............................................................               2            88.0            88.1
5...............................................................               4            90.1            90.2
----------------------------------------------------------------------------------------------------------------

    In addition, for polyphase electric motors, DOE notes that section 
12.50 of NEMA MG1-2016 with 2018 Supplements states that ``When a small 
or medium polyphase motor is marked with a single (e.g., 230 V), dual 
(e.g., 230/460) or broad range (e.g., 208-230/460) voltage in the Rated 
Voltage field, the motor shall meet all performance requirements of 
NEMA MG 1-2016 with 2018 Supplements at the rated voltage(s). When a 
voltage is shown in a field other than the Rated Voltage field (e.g., 
`Usable at 208 Volts' or `Usable at 200 Volts', per 14.35.2) this is 
for reference only and the motor is not required to meet all 
performance requirements of this standard (e.g., torques and nameplate 
nominal efficiency) at this reference voltage.'' Therefore, current 
practice is that a manufacturer can select the voltage for testing; 
however, the electric motor must meet all performance requirements of 
NEMA MG1-2016 with 2018 Supplements at all rated voltages.
    Therefore, after considering the comments and testing regarding how 
efficiency varies with input voltage, and the specifications provided 
in NEMA MG 1-2016 with 2018 Supplements, DOE proposes to allow testing 
electric motors at any nameplate voltage. This includes electric motors 
currently in scope, and expanded scope being considered in this NOPR. 
However, to address issues regarding comparability, consistent with the 
requirements in NEMA MG1-2016 with 2018 Supplements, DOE further 
clarifies that this proposed definition for ``rated voltage'' would 
also require that a motor would have to meet all performance 
requirements at any voltage listed on its nameplate. Therefore, a 
manufacturer would not be permitted to make representations regarding 
other voltages at which an electric motor could operate but at which 
the electric motor did not meet the performance standards. Accordingly, 
DOE proposes to define ``rated voltage'' as ``any of the nameplate 
input voltages of an electric motor or inverter, including the voltage 
selected by the motor's manufacturer to be used for testing the motor's 
efficiency.''
    DOE clarifies that this definition would apply to all motors within 
the proposed scope of this test procedure. Alternatively, DOE could 
consider separate definitions or test instructions for ``rated 
voltage'' for motors currently within the scope of the test procedure 
and newly covered motors under the proposed expanded scope, if needed. 
DOE requests comment on this topic.

[[Page 71749]]

    The proposed definition diverges from the rated voltage definition 
finalized in the January 2021 Final Rule for small electric motors. See 
10 CFR 431.442. DOE notes that the definition is consistent with what 
NEMA and CA IOUs commented is the current practice in industry (i.e., 
electric motors are tested at one of the voltages at which manufacturer 
representations are made). DOE seeks comments on its proposed 
definitions for ``rated frequency'' and ``rated load.''
    DOE seeks comment on the proposed definition for ``rated voltage'' 
for electric motors currently in scope and expanded scope motors.
    DOE seeks comment on its proposal to allow `Usable at' voltages on 
the nameplate to be selected for testing, and how these `Usable at' 
voltages differ from a ``rated voltage'' as currently labeled on 
certain electric motor nameplates.
    DOE seeks comment on if ``rated voltage'' should be defined 
differently for currently in scope motors and newly included motors in 
the proposed expanded scope.

H. Temperature Rise Measurement Location

    In the June 2020 RFI, DOE requested comment on whether the test 
instructions in IEEE 112-2004 Test Method B and IEEE 112-2017 Test 
Method B provided sufficient detail regarding placement of temperature 
measurement devices for establishing thermal equilibrium in the heat-
run test. 85 FR 34111, 34115. Specifically, DOE requested comment 
regarding potential locations for measurement to establish thermal 
equilibrium. Id.
    In response, NEMA and the CA IOUs commented that the current 
provisions in IEEE 112-2004 Test Method B and IEEE 112-2017 Test Method 
B were adequate and did not require further clarification. The CA IOUs 
comments prepared by Dr. Agamloh stated that the absolute value of the 
temperature captured was not important to establish thermal 
equilibrium. The CA IOUs' comments stated that instead, capturing the 
variations in temperature (regardless of where the temperature 
measurement devices are placed) is the critical information needed to 
establish thermal equilibrium. The CA IOUs stated that the placement of 
the temperature device to indicate the thermal condition of the machine 
is not critical and that additional instructions were not needed in the 
DOE test procedure. (NEMA, No. 2 at p. 4; CA IOUs, No. 3 at p. 13)
    Advanced Energy provided a description of the typical locations for 
measurement to establish thermal equilibrium, and stated that some 
represent a higher test burden than others. (Advanced Energy, No. 4 at 
p. 4-5) Advanced Energy did not make any recommendations on whether 
additional instructions were needed in the DOE test procedure.
    DOE agrees that the critical information to establish thermal 
equilibrium does not depend on the placement of temperature measurement 
devices, but rather on the variations in temperature, regardless of 
where the temperature measurement devices are placed. Therefore, DOE 
does not propose any modifications to the current instructions 
regarding the placement of temperature measurement devices for 
establishing thermal equilibrium in the heat-run test.

I. Submersible Electric Motors Testing

    DOE proposes to include within the scope of the test procedure 
electric motors that are submersible electric motors and establish test 
procedures for such motors. In response to the June 2020 RFI, the 
Efficiency Advocates stated that the marketing of NEMA Premium 
Efficiency motors for submersible applications suggests that these 
motors could be tested with current test procedures. (Efficiency 
Advocates, No. 5 at p. 3) Further, CA IOUs commented that a similar 
procedure as the industry air-over test procedure could be used to test 
submersible motors because for both motors, cooling is provided by the 
material surrounding the motor (e.g., air or water). (CA IOUs, No. 3 at 
p. 9)
    Accordingly, DOE conducted investigative testing on four 
submersible electric motors to evaluate the feasibility of adapting 
Section 34.4 and Section 34.5 of NEMA MG1-2016 with its 2018 
Supplements (the NEMA Air-over test method) to measure the efficiency 
of a submersible electric motor. DOE tested two single-phase 
submersible motors and two polyphase submersible motors ranging from 
0.5 hp to 5 hp. For more details on Section 34.4 and Section 34.5, see 
section III.D.1. of this document.
    As part of the investigative testing for submersible electric 
motors, DOE did not consider any liquid medium for cooling the motor 
because of the added test burden associated with testing using a liquid 
medium. Both air-over and submersible electric motors rely on an 
external cooling medium to not overheat during operation, and they 
differ in what that cooling medium is. For a typical self-cooled 
electric motor with an internal fan, the initial temperature test has 
the motor run at full load until its temperature rise above ambient 
does not change by 1 [deg]C over a thirty-minute period according to 
Section 5.9.4.5 of IEEE 112-2017. In contrast, temperature 
stabilization is not required for Section 34.4 and Section 34.5 of NEMA 
MG1-2016 with its 2018 Supplements; instead, the motor is required to 
remain within a 10 [deg]C range of a 75 [deg]C target 
temperature during the load test. For polyphase motors, this 
temperature target increases based on the insulation class of the 
motor. Since temperature stabilization is not required, a cooling 
medium of air (which is less conducive to heat transfer than most 
liquids) can be used to test submersible motors even if the motor is 
not intended to operate continuously in air.
    Accordingly, to adapt Sections 34.4 and 34.5 to test submersible 
electric motors, DOE considered updates to the following test 
specifications: (1) Thermocouple placement, and (2) target temperature. 
Regarding thermocouple placement, according to Sections 34.4 and 34.5, 
the thermocouple should be placed on either the stator windings or if 
the windings are inaccessible, the stator iron. Since submersible 
motors are hermetically sealed and often have an oil inside the case to 
cool the windings, placing the thermocouple in either of these 
locations is possible without significant modification to the motor. 
Without any instruction from the industry standard on thermocouple 
placement in this case, DOE proposes to add instructions to the test 
procedure to place thermocouples on the case of the motor during 
testing.
    Regarding target temperature, Sections 34.4 and 34.5 do not require 
the motor to be thermally stable during the load test, but instead, 
require the motor to be within a 20 [deg]C range of the target 
temperature (if the thermocouple is on the stator iron, this tolerance 
is -10 [deg]C to -40 [deg]C). For all single-phase motors, this target 
temperature is 75 [deg]C, and for polyphase motors this target 
temperature varies with insulation class of the motor. For the same 
reasons discussed in section III.D.1, DOE proposes the target 
temperature to be 75 [deg]C for all motors, regardless of insulation 
class.
    DOE found that tests according to Section 34.5 would heat the motor 
beyond the allowable temperature range multiple times during the load 
test, forcing the motor to be shutoff to cool down before measuring 
remaining load points. These repeated shutdowns are not desirable as 
they increase variability and reduce the amount of time the test lab 
has to take accurate measurements. Section 34.4 did not have this issue 
of rapid overheating because of the blower forcing air over the motor 
during the tests. As such, DOE tentatively

[[Page 71750]]

concludes that Section 34.5 is not a feasible test procedure to measure 
the efficiency of submersible electric motors.
    After ruling out Section 34.5 as a potential test procedure, DOE 
conducted testing to evaluate the repeatability of Section 34.4 as a 
submersible test procedure. For this testing, DOE tested two motors and 
observed a maximum change in measured losses of 1.2% between repeated 
tests. Table III.21, Section 34.4, Measured Losses shows the results of 
this testing.

                                    Table III.2--Section 34.4 Measured Losses
----------------------------------------------------------------------------------------------------------------
                                                                         Section 34.4--Measured Losses (W)
                       HP                              Phase     -----------------------------------------------
                                                                      Test 1          Test 2        Difference
----------------------------------------------------------------------------------------------------------------
1...............................................               1           630.9           631.9           -0.16
5...............................................               3          1039.4          1051.6           -1.16
----------------------------------------------------------------------------------------------------------------

    DOE notes that as motor rated horsepower increased, the blower had 
to increase in power to keep the motor from heating beyond the 
permissible temperature range too quickly. Based on the testing 
results, DOE initially determines that Section 34.4 is a repeatable 
test method and proposes to use Section 34.4, with modifications 
discussed above, as the test procedure for submersible motors.
    DOE seeks comment on the proposed test procedure for submersible 
electric motors based on Section 34.4 of NEMA MG1-2016 with its 2018 
Supplements.
    DOE also seeks comment on the proposed modifications to Section 
34.4 of NEMA MG1-2016 with its 2018 Supplements, and if further 
modifications are warranted for use with submersible electric motors.
    DOE seeks comment and supporting data on if the submersible test 
procedure should only apply to a certain range of horsepower rating, or 
if it should apply to all submersible electric motors, regardless of 
rated horsepower.

J. Vertical Electric Motors Testing

    Current testing requirements for vertical electric motors, located 
in section 3.8 of appendix B require testing in the vertical or 
horizontal configuration depending on several factors. Those factors 
include IEEE 112 Method B instructions, test facility capabilities, and 
construction of the motor. Section 3.8 of appendix B. In its June 2020 
RFI, DOE did not seek comment specifically regarding testing of 
vertical motors.
    In response to the June 2020 RFI, NEMA commented regarding testing 
of vertical motors. NEMA's comment applied specifically to provisions 
of the current vertical motor test instructions that apply only to 
vertical motors with hollow shafts, which state ``Finally, if the unit 
under test contains a hollow shaft, a solid shaft shall be inserted, 
bolted to the non-drive end of the motor and welded on the drive end. 
Enough clearance shall be maintained such that attachment to a 
dynamometer is possible.'' Section 3.8 of appendix B. (NEMA, No. 6 at 
p. 3) NEMA argued that the requirements of the cited provisions should 
be revised because they both (1) do not improve test procedure accuracy 
or consistency and (2) may increase testing burden. (NEMA, No. 6 at p. 
3) NEMA commented that, although current requirements direct welding of 
a solid shaft to the motor's drive end, it is common practice within 
industry to use a disconnectable coupling or adapter to connect hollow 
motor shafts to dynamometers. NEMA commented that using an adaptor or 
coupling causes no loss of testing accuracy, but carries the advantage 
of easy reversibility; whereas welding may permanently alter the motor. 
Id
    In addition, NEMA stated that the CFR's reference to the drive end 
of the motor was confusing because depending on motor design, the 
dynamometer-connected end may vary. Accordingly, NEMA offered potential 
replacement language as follows: ``If necessary, a coupling or other 
adaptor can be utilized for connection of the unit under test to the 
dynamometer.'' (NEMA, No. 6 at p. 3)
    NEMA's proposed language effectively would provide additional 
flexibility in the permitted methods of connecting a motor under test 
to a dynamometer. Provided the coupling is sufficiently rigid, it would 
be unlikely to significantly alter dynamometer measurements. As such, 
it would be unlikely that use of a coupling would reduce test procedure 
repeatability. Permitted use of a coupling could reduce burden, as 
removal of such a connector may be less laborious than reversing a 
welding process.
    As a result, DOE is proposing to adopt NEMA's suggestion with two 
modifications: (1) The addition of a lower bound on coupling's 
torsional rigidity, and (2) consolidation of ``coupling or other 
adaptor'' to simply ``coupling''. DOE is not proposing to require 
measurement of torsional rigidity, but rather to require that it exceed 
that of the motor shaft so that the coupling is unlikely to 
significantly deform or oscillate in response to applied torque. 
Deformations or oscillations in the mechanical connection between the 
motor and the dynamometer, if significant, could introduce measurement 
error. Also, DOE expects than any adaptor used could be described as a 
``coupling'' and, thus, for clarity proposes to use only the latter 
term. Accordingly, DOE's proposed language is as follows:
    ``If necessary, the unit under test may be connected to the 
dynamometer using a coupling of torsional rigidity greater than or 
equal to that of the motor shaft.''
    DOE requests comment on the proposed changes to the testing 
requirement for certain vertical electric motors.
    DOE requests comment on whether it should be specified in the test 
method that the coupling torsional rigidity exceed the rigidity of the 
motor shaft it is connected to.

K. Contact Seals Requirement

    Current testing requirements for immersible electric motors, 
located in Section 3.6 of Appendix B, specify testing with all contact 
seals removed but with no other modifications to the motor. No such 
provision currently exists for other varieties of electric motors. For 
other motors, unless otherwise provided for, motors are to be tested 
unmodified. In the June 2020 RFI, DOE did not seek comment specifically 
regarding testing of motors with contact seals.
    In response to the June 2020 RFI, Advanced Energy stated that DOE 
had previously permitted removal of dust seals prior to testing, but 
not permitted removal of oil seals. (Advanced Energy, No. 4 at p. 7) 
Advanced Energy commented that oil seals can greatly

[[Page 71751]]

affect efficiency and typically require motor disassembly to remove. 
Advanced Energy requested clarification regarding which seals may be 
removed prior to testing. Id
    The current regulations at section 3.6 of appendix B do not 
distinguish between seals designed to prevent ingress of dust, oil, or 
any other contaminant. Seal removal is determined solely based on 
whether the seal in question is a contact seal. If a motor under test 
both (1) has contact seals and (2) is an immersible electric motor, 
then the contact seal is removed during testing. If a motor under test 
has contact seals but is not an immersible electric motor, the seals 
remain installed during testing.
    Advanced Energy's comment suggests that some confusion exists 
within the electric motor industry regarding which seals may be removed 
and under what conditions. To provide more explicit instruction, DOE 
proposes to add the following additional specification to section 3.9 
of appendix B:
    ``Electric motor shaft seals of any variety shall remain installed 
during testing unless the motor under test is an immersible electric 
motor, in which case the seals shall be removed for testing only if 
they are contact seals.''
    DOE requests comment on the proposed language clarifying testing of 
electric motors with shaft seals.

L. Additional Testing Instructions for Additional Electric Motors 
Proposed for Inclusion in the Scope of the Test Procedure

    For the NOPR, DOE conducted research and reviewed feedback from 
testing laboratories and subject matter experts as well as information 
from the December 2013 Final Rule to determine whether instruction in 
addition to the proposed referenced industry test procedures would be 
needed for testing the additional electric motors proposed for 
inclusion within the scope of these test procedures. In the July 2017 
RFI, DOE indicated that it was considering reviewing the test 
instructions in section 3 of appendix B to subpart B of part 431. 82 FR 
35468, 35475.
    Advanced Energy commented that testing instructions similar to 
those found in appendix B to subpart B of part 431 may be needed in 
some cases for the expanded scope that was considered in the July 2017 
RFI. (Docket No. EERE-2017-BT-TP-0047, Advanced Energy, No. 25 at p. 
10)
    Sections 3.1 through 3.8 of appendix B provide additional testing 
instructions for electric motors that are (1) brake electric motors; 
(2) close-coupled pump electric motors and electric motors with single 
or double shaft extensions of non-standard dimensions or design; (3) 
electric motors with non-standard endshields or flanges; (4) electric 
motors with non-standard bases, feet or mounting configurations; (5) 
electric motors with a separately-powered blower; (6) immersible 
electric motors; (7) partial electric motors; and (8) vertical electric 
motors and electric motors with bearings incapable of horizontal 
operation. DOE reviewed the testing instructions and found that these 
would also be applicable to the additional motors proposed for 
inclusion in scope, to the extent that the additional motors are also 
covered by one of these eight certain types of electric motors listed 
in sections 3.1-3.8 of appendix B.
    For partial electric motors and vertical motors, the existing 
testing instructions reference the specification of a ``standard 
bearing'' described as ``a 6000 series, either open or grease-
lubricated double-shielded, single row, deep groove, radial ball 
bearings.'' (See section 3 of appendix B to subpart B of part 431) DOE 
proposes to retain similar testing instructions. However, because the 
categories of bearings contained in motors within the proposed scope of 
applicability of this test procedure could have smaller shafts compared 
to those discussed in the December 2013 Final Rule, DOE proposes to 
define standard bearings as follows: a 600 or 6000 series, either open 
or grease-lubricated double-shielded, single-row, deep groove, radial 
ball bearing. 600 series bearings have smaller bore diameters than 6000 
series bearings and can accommodate the motors with smaller shafts 
considered in this rulemaking. 600 series bearings also may have 
different load and speed ratings, but DOE understands that they are 
suitable to use as standard bearings as specified in these testing 
instructions.
    DOE requests comments on the proposed application of the additional 
testing instructions in sections 3.1 through 3.8 of appendix B to the 
additional electric motors proposed for inclusion in scope of the test 
procedure. To the extent that revisions to the additional instructions 
other than those discussed are needed, DOE requests supporting 
information and justification for these revisions.

M. Transition to 10 CFR Part 429

    DOE proposes to amend and move the portions of the existing 
electric motor regulations that pertain to certification testing and to 
the determination of represented values from 10 CFR part 431 to 10 CFR 
part 429. In addition, DOE proposes to amend other sections of 10 CFR 
part 431, subpart B, to ensure the regulatory structure comprising 10 
CFR part 431, subpart B, and 10 CFR part 429 remains coherent. DOE also 
proposes to make changes to the general provisions in 10 CFR part 429 
to reflect the proposed addition of electric motor provisions related 
to certification testing and to the determination of represented 
values.
    In this rule, DOE proposes to largely retain the procedures for 
recognition and withdrawal of recognition of accreditation bodies and 
certification programs as it exists at 10 CFR 431.21 with one proposed 
change to the current provisions at 10 CFR 431.21(g) to clarify the 
timeline and process of withdrawal of recognition by DOE. DOE proposes 
that if the certification program is failing to meet the criteria of 
paragraph (b) of Sec.  429.73 or 429.74, DOE will issue a Notice of 
Withdrawal (``Notice'') stating which criteria the entity has failed to 
meet. The Notice will request that the entity take appropriate 
corrective action(s) specified in the Notice. The entity must take 
corrective action within 180 days from the date of the Notice of 
Withdrawal or dispute DOE's allegations within 30 days from the 
issuance of the Notice. If after 180 days DOE finds that satisfactory 
corrective action has not been made, DOE will withdraw its recognition 
from the entity. DOE proposes to add these requirements to the 
procedures for recognition and withdrawal of recognition because it 
believes this timeframe is an important clarification.

Table III.22--Electric Motors Certification, Compliance, and Enforcement
                             CFR Transitions
------------------------------------------------------------------------
    Subpart B--electric motors \85\             Proposed location
------------------------------------------------------------------------
10 CFR 431.14 Sources for information    Moved to 10 CFR 429.3.
 and guidance.
10 CFR 431.17 Determination of           Moved to 10 CFR 429.64 and 10
 efficiency.                              CFR 429.70 as relevant, edits
                                          to general provisions in 10
                                          CFR part 429 as needed.
10 CFR 431.18 Testing laboratories.....  Retained and added additional
                                          provisions at 10 CFR 429.64.

[[Page 71752]]

 
10 CFR 431.19 Department of Energy       Moved to 10 CFR 429.74.
 recognition of accreditation bodies.
10 CFR 431.20 Department of Energy       Moved to 10 CFR 429.73.
 recognition of nationally recognized
 certification programs.
10 CFR 431.21 Procedures for             Moved to 10 CFR 429.75.
 recognition and withdrawal of
 recognition of accreditation bodies
 and certification programs.
------------------------------------------------------------------------

N. Certification of Electric Motors 
---------------------------------------------------------------------------

    \85\ As it appeared at 10 CFR part 431, subpart B, in the 10 CFR 
parts 200 to 499 edition revised as of January 1, 2020.
---------------------------------------------------------------------------

    In addition to physical testing of electric motors, DOE allows 
manufacturers to certify basic models using an alternative efficiency 
determination method (AEDM). AEDMs must be derived from a mathematical 
model that represents the mechanical and electrical characteristics of 
that basic model, and is based on analytic evaluation of performance 
data and has been substantiated according to DOE's requirements. See 10 
CFR 431.17. NEMA commented that the use of AEDMs is gaining support and 
that DOE should continue to allow their use. (NEMA, No. 2 at p. 2) NEMA 
stated that AEDMs reduce the test burden on manufacturers. (NEMA, No. 2 
at p. 6) DOE does not propose any significant changes to the AEDM 
provisions in the test procedure (See section III.O.4) and continues to 
provide for its use as a method for reducing the testing burden on 
manufacturers. As noted in section III.O, DOE is proposing to continue 
to allow the use of an AEDM for electric motors currently included in 
the scope of the DOE test procedure. DOE also proposes to allow use of 
an AEDM for the additional motors proposed for inclusion under the 
scope of the test procedure. See section III.O.
    For electric motors currently subject to standards at Sec.  431.25, 
DOE also provides the option for manufacturers to use a nationally 
recognized certification program to certify the nominal full load 
efficiency of a basic model and issue a certificate of conformity for 
the motor. 10 CFR 431.17(a)(5). NEMA requested that the IEC System of 
Conformity Assessment Schemes for Electrotechnical Equipment and 
Components Global Motor Energy Efficiency program be recognized as a 
nationally certified program. (NEMA, No. 2 at p. 2) DOE notes that for 
any entity seeking recognition, the procedures for recognition of 
certification programs are currently provided at 10 CFR 431.21.
    Manufacturers must certify electric motors as compliant with the 
applicable standard through the use of an ``independent testing or 
certification program nationally recognized in the United States.'' (42 
U.S.C. 6316(c)) DOE proposes changes to the provisions related to 
certification testing to ensure consistency with the statutory language 
found in 42 U.S.C. 6316(c). These proposals are described in section 
III.N.1 and section III.N.2.
1. Independent Testing
    DOE codified at 10 CFR 431.17(a)(5) the statutory requirement 
prescribing that manufacturers must certify electric motors as 
compliant with the applicable standard through the use of an 
``independent testing or certification program nationally recognized in 
the United States.'' (42 U.S.C. 6316(c)) In its October 1999 final rule 
establishing certification, labeling and test procedures for electric 
motors, DOE explained that testing conducted in a laboratory accredited 
by a body such as National Institute of Standards and Technology 
(NIST)/National Voluntary Laboratory Accreditation Program (NVLAP) 
would satisfy the ``independent testing'' requirement under the 
statute. 64 FR 54124.\86\ The accreditation requirements applicable to 
testing laboratories for electric motors are at 10 CFR 431.18, and the 
specific provisions for DOE recognition of accreditation bodies are at 
10 CFR 431.19. An organization can petition DOE to be classified as a 
nationally recognized certification program. The petition process, 
criteria for evaluation, and withdrawal are described at 10 CFR 431.20-
21.
---------------------------------------------------------------------------

    \86\ Laboratories accredited by NIST/NVLAP are governed by the 
NVLAP ``Procedures and General Requirements'' NIST Handbook 150-10 
(February 2007) and Lab Bulletin LB-42-009. (See 10 CFR 431.18(b).) 
NIST Handbook 150-10 (via incorporation by reference of ``Procedures 
and General Requirements'' NIST Handbook 150 (February 2006)) 
describes the level of independence that a laboratory must have in 
relation to the organization for which it is conducting testing. The 
requirements include organizational arrangements that are necessary 
for in-house laboratories and additional levels of independence that 
must be demonstrated for third-party laboratories.
---------------------------------------------------------------------------

    In the existing regulations, DOE addresses the requirement to use 
an independent testing program nationally recognized in the United 
States by requiring that testing laboratories be accredited by NIST/
NVLAP, a laboratory accreditation program having a mutual recognition 
program with NIST/NVLAP, or an organization classified by DOE as an 
accreditation body. 10 CFR 431.18. The term ``accredited laboratory'' 
is used to designate a testing laboratory to which accreditation has 
been granted. (10 CFR 431.12).
    When a certification program is not used, DOE proposes that for 
certification of a new basic model pursuant to 10 CFR 431.36(e), 
required prior to 180 days following the publication of this final 
rule, testing must continue to be conducted in an accredited laboratory 
that meets the requirements of Sec.  431.18. However, for certification 
of a new basic model pursuant to 10 CFR 431.36(e), required on or after 
180 days following the publication of this final rule, DOE proposes 
that testing must be conducted by a nationally recognized testing 
program as further described in the remainder of this section. DOE 
proposes to replace the use of the term ``accredited laboratory'' 
(currently defined at 10 CFR 431.12) by the term ``nationally 
recognized testing program'' to better reflect the requirements to use 
a testing program nationally recognized in the United States. (42 
U.S.C. 6316(c))
    In addition, DOE proposes to add a definition of ``independent'' at 
10 CFR 429.2 as a more appropriate interpretation of the statutory 
language found in 42 U.S.C. 6316(c) than the agency's prior application 
of this provision. The October 1999 Final rule assumed that a 
laboratory could be meaningfully independent, in a way that would 
satisfy the statutory criterion, while being owned by a manufacturer, 
so long as the laboratory was NIST/NVLAP certified. In light of 
experience since that time, DOE is concerned that this premise is not 
justified. NIST/NVLAP accreditation ensures the proficiency of test

[[Page 71753]]

laboratories in the accurate determination of the efficiency of motors, 
however, DOE does not consider laboratory accreditation a sufficient 
assurance of ``independence''. Testing at a manufacturer's own 
laboratory allows the opportunity for a manufacturer to gain a 
competitive advantage by administering the testing in such a manner 
that could yield better results. It also further exacerbates the 
differential treatment between those businesses that are financially 
able to own their own test facilities and small businesses that may not 
have the capital to afford such large investments.. Therefore, DOE 
proposes a definition for ``independent'' that would pertain to the 
nationally recognized testing program, the certification program 
evaluation criteria, and the accreditation body evaluation. The term, 
``independent,'' would refer to an entity that is not controlled by, or 
under common control with, electric motor manufacturers, importers, 
private labelers, or vendors. ``Independent'' would also mean that the 
testing laboratory has no affiliation or financial ties or contractual 
agreements (other than contractual agreements for testing pursuant to 
DOE test procedures), apparently or otherwise, with such entities that 
would: (1) Hinder the ability of the laboratory to evaluate fully or 
report the measured or calculated energy efficiency of any electric 
motor, or (2) create any potential or actual conflict of interest that 
would undermine the validity of said evaluation. This definition was 
largely based on the descriptions of independence currently in 10 CFR 
431.19(b)(2), 431.19(c)(2), 431.20(b)(2) and 431.20(c)(2) and replace 
these descriptions.
    DOE notes that the proposed definition of ``independence'' excludes 
any contractual agreements that would create a conflict of interest. 
Therefore, an independent laboratory providing certification testing 
services to a manufacturer would not be allowed to perform design and 
engineering consulting services to the same client for that same 
product.
    In addition, DOE notes that its proposal would still allow for the 
option of testing in a manufacturer's own laboratory if the 
manufacturer uses a third-party certification program, as described in 
section III.N.2. DOE believes this combination of the three options 
explained in section III.N.2 to certify electric motors provides 
manufacturers with the most flexibility while satisfying the statute. 
DOE recognizes that the concerns expressed in the rulemaking that 
culminated in the October 1999 final rule may still apply. See, e.g., 
61 FR 60455-60456 (November 27, 1996). At that time, DOE noted that 
there were few test facilities that could meet this level of 
independence and noted the concerns of commenters that test facilities 
could not handle the necessary volume of testing given the potential 
for ``thousands'' of basic models. Nonetheless, DOE believes that the 
proposed change should have little practical impact on manufacturers' 
current practices due to the volume of motors rated using AEDMs and/or 
through participation in certification programs. DOE understands that 
most models are rated based on modeling and thus will be subject to the 
AEDM provisions, which are largely unchanged by this proposal. In 
addition, as noted previously, DOE proposes that the requirement to 
test in an independent testing program would only apply when certifying 
a new basic model on or after 180 days following the publication of 
this final rule. As such, previously certified basic models would not 
need to be re-tested.
    DOE requests comments in the proposed definition of independent as 
it pertains to nationally recognized testing programs, certification 
programs, and accreditation bodies.
2. Certification Process for Electric Motors
    As mentioned previously, DOE codified at 10 CFR 431.17(a)(5) the 
statutory requirement prescribing that manufacturers must certify 
electric motors as compliant with the applicable standard through the 
use of an ``independent testing or certification program nationally 
recognized in the United States.'' (42 U.S.C. 6316(c)) Consistent with 
the requirements of 42 U.S.C. 6316(c), DOE proposes to continue to 
offer the option of using independent testing (via an independent 
nationally recognized testing program as discussed in section III.N.1) 
or a nationally recognized certification program and to further specify 
which parties can test electric motors and certify compliance with the 
applicable energy conservation standards to DOE. DOE proposes that 
these provisions be required on and after the compliance date for any 
amended standards for electric motors published after January 1, 2021, 
as this is the date of the most recent print edition of the Code of 
Federal Regulations.
    DOE proposes three options in this regard: (1) A manufacturer can 
have the electric motor tested using a nationally recognized testing 
program that is (as described in the proposed Sec.  429.64(d)) and then 
certify on its own behalf or have a third party submit the 
manufacturer's certification report; (2) a manufacturer can test the 
electric motor at a testing laboratory other than a nationally 
recognized testing program (as described in the proposed Sec.  
429.64(d)) and then have a nationally recognized certification program 
(as described in the proposed Sec.  429.73) certify the efficiency of 
the electric motor; or (3) a manufacturer can use an alternative 
efficiency determination method (``AEDM,'' as described in the proposed 
Sec.  429.70) and then have a third-party nationally recognized 
certification program certify the efficiency of the electric motor. 
Under the proposed regulatory structure, a manufacturer cannot both 
test in its own laboratories and directly submit the certification of 
compliance to DOE for its own electric motors. See Sec.  429.64(d) as 
proposed.
    As explained previously, DOE does not consider a laboratory 
accreditation to be an assurance of ``independence''. Therefore, DOE 
believes that when testing in a facility that is not performed using an 
independent nationally recognized testing program, the results of the 
test must be certified by a third party nationally recognized 
certification program under Sec.  429.73 of this proposal.
    Further, DOE does not consider that the requirements of an AEDM 
would satisfy the statutory requirement of ``independence''. Therefore, 
DOE believes that when using an AEDM, the results of the AEDM must be 
certified by a third party certification program that is nationally 
recognized in the United States under the proposed Sec.  429.73.
    DOE requests comments on the three proposed options through which 
manufacturers must certify electric motors as compliant.

O. Determination of Represented Value

    For electric motors subject to standards, DOE has established 
sampling requirements applicable to the determination of the nominal 
full-load efficiency. 10 CFR 431.17. The purpose of these sampling 
plans is to provide uniform statistical methods for determining 
compliance with any prescribed energy conservation standards and for 
making representations of energy consumption and energy efficiency on 
labels and in other locations such as marketing materials. The current 
regulations require that each basic model must either be tested or 
rated using an AEDM. 10 CFR 431.17(a). Section 431.17 specifies the 
requirements for use of an AEDM, including requirements for 
substantiation (i.e., the initial validation) and verification of an 
AEDM. 10 CFR 431.17(a)(2)-(4).

[[Page 71754]]

    AHAM and AHRI commented that any test procedures DOE develops 
should not be mandatory (including for representations) until or unless 
energy conservation standards are required. AHAM and AHRI opposed 
developing test procedures for products that DOE has not yet 
determined, through notice and comment rulemaking, that it will 
regulate. (Docket No. EERE-201 -BT-TP-0047, AHAM and AHRI, No. 21 at p. 
3) Additional motors proposed for inclusion under the scope of the test 
procedure would not be required to be tested according to the test 
procedure as proposed, if made final, until such time as DOE were to 
establish energy conservation standards for such electric motor. If the 
proposed scope of applicability and test procedure were finalized, a 
manufacturer would only be required to use the DOE test procedure if 
that manufacturer voluntarily makes representations regarding the 
energy consumption or cost of energy of an electric motor. (42 U.S.C. 
6314(d)(1))
    The current sampling requirements for electric motors were 
established through the October 1999 final rule. 64 FR 54129 (October 
1999). The current regulations require that each basic model must 
either be tested or rated using an AEDM. 10 CFR 431.17(a) For basic 
models that are not rated with an AEDM, the current regulations allow a 
manufacturer to choose between either testing in a non-accredited 
laboratory and having a nationally recognized certification program 
certify a basic model's nominal full-load efficiency or conducting 
testing in an accredited laboratory.\87\ 10 CFR 431.17(a)(5)
---------------------------------------------------------------------------

    \87\ As noted above, DOE proposes to replace the use of the term 
``accredited laboratory'' with ``nationally recognized testing 
program''. See III.N.1.
---------------------------------------------------------------------------

    As discussed in the remainder of the section, DOE proposes several 
edits to the current regulatory language to revise the existing 
requirements that manufacturers will be required to follow when 
determining the represented value of nominal full-load efficiency of a 
basic model. The revised provisions regarding the determination of the 
represented value of nominal full-load efficiency, enforcement 
provisions, and the validation and verification of an AEDM, consistent 
with DOE's overall approach for consolidating the locations of its 
certification and compliance provisions, would be placed in 10 CFR 
429.64, and 429.70. In addition, DOE proposes that these revised 
provisions regarding the determination of the represented value of 
nominal full-load efficiency, enforcement provisions, and the 
validation and verification of an AEDM would apply to the additional 
electric motors proposed for inclusion in the scope of the test 
procedure, when a manufacturer of such motors would be required to use 
the DOE test procedure. These proposals are discussed in more detail in 
sections III.O.1 through III.O.4.
1. Nominal Full-Load Efficiency
    DOE defines nominal full-load efficiency as a representative value 
of efficiency selected from the ``nominal efficiency'' column of Table 
12-10, NEMA MG1-2009, that is not greater than the average full-load 
efficiency of a population of motors of the same design. (10 CFR 
431.12) DOE is not proposing changes to this definition other than 
updating the reference to the latest version of NEMA MG1 as discussed 
in section III.C.4. Starting on and after the compliance date for any 
new or amended standards for electric motors published after January 1, 
2021, DOE proposes to specify how manufacturers must apply this 
definition by adding revised language to the sampling provisions. 
Specifically, the nominal full-load efficiency of a basic model must be 
less than or equal to the average full-load efficiency of that basic 
model determined through testing. DOE discusses how to determine the 
average full-load efficiency of a basic model in the following 
sections. See 429.64(e) as proposed.
    In addition, DOE proposes to clarify that the nominal full-load 
efficiency of a basic model must be less than or equal to the simulated 
full-load efficiency of that basic model determined through the 
application of an AEDM.
    DOE seeks comments on its proposal to specify how to determine the 
nominal full load efficiency of a basic model of electric motors when 
the average full-load efficiency of that basic model is known.
    Manufacturers currently rely on the nominal full-load efficiency to 
represent the performance of electric motor basic models. Starting on 
and after the compliance date for any new or amended standards for 
electric motors published after January 1, 2021, DOE proposes to allow 
manufacturers to alternatively use the average full-load efficiency of 
a basic model of electric motor as the represented efficiency (instead 
of the nominal full-load efficiency) provided that the manufacturer 
uses the average full-load efficiency consistently on all marketing 
materials, and as the value on the nameplate. Note that the energy 
conservation standard would remain based on the nominal full-load 
efficiency; DOE's proposal is only to permit representations in terms 
of average full-load efficiency as described in more detail in the 
following section. See 429.64(e) as proposed.
    DOE requests comment on its proposal to allow using average full-
load efficiency values as alternative represented values for electric 
motors.
2. Testing: Use of a Nationally Recognized Testing Program
    Manufacturers who test basic models in an accredited laboratory 
must follow the criteria for selecting units for testing, including a 
minimum sample size of 5 units in most cases, as specified at 10 CFR 
431.17(b)(2).\88\
---------------------------------------------------------------------------

    \88\ DOE proposes to replace the use of the term ``accredited 
laboratory'' with ``nationally recognized testing program''. See 
III.N.1.
---------------------------------------------------------------------------

    The sample of units must be large enough to account for reasonable 
manufacturing variability among individual units of the basic model or 
variability in the test methodology such that the test results for the 
overall sample will be reasonably representative of the average full-
load efficiency of the whole population of production units of that 
basic model. DOE notes that the current regulations do not limit the 
sample size and manufacturers can increase their sample size to narrow 
the margin of error. Prior to the compliance date for any new or 
amended standards for electric motors published after January 1, 2021, 
DOE proposes that manufacturers continue to follow the current 
provisions in 10 CFR 431.17 related to the determination of the 
represented value. However, DOE proposes to move these provisions in 
the newly proposed Sec. Sec.  429.64(b) and 429.64(c).
    On or after the compliance date for any new or amended standards 
for electric motors published after January 1, 2021, DOE proposes to 
require that manufacturers determine the represented values of a basic 
model in accordance with the provisions in the newly proposed Sec.  
429.64(e) and discussed in the remainder of this section.
    DOE proposes to specify that the average full-load efficiency of a 
basic model is the arithmetic mean of tested efficiencies. That is, the 
average full-load efficiency of a basic model is determined using the 
definition of ``average full-load efficiency'' i.e., the arithmetic 
mean of the full-load efficiencies of a population of electric motors 
of duplicate design. 10 CFR 431.12.
    The terms ``population'' and ``sample'' are standard statistical 
concepts. A population of objects consists of all the objects that are

[[Page 71755]]

relevant in a particular study.\89\ A sample refers to a subset of the 
population containing the characteristics of the larger population. 
Samples are used in statistical analyses when population sizes are too 
large for the analysis to include all objects in the population, so 
that one can make inferences from the sample to the population. ``A 
population of electric motors of duplicate design'' consists of all the 
electric motors produced for a basic model. Testing all the units of a 
basic model to determine the arithmetic mean of the full-load 
efficiency of the total population is not practical. DOE only requires 
manufacturers to test a representative sample of the population in 
order to make inferences about the basic model's population. DOE 
proposes to add regulatory text to implement the definition such that, 
when conducting testing at a nationally recognized testing program, the 
average full-load efficiency of a basic model is calculated as the 
arithmetic mean of the full-load efficiencies of a sample of electric 
motors selected in accordance with the sampling requirements at 10 CFR 
431.17(b)(2). In addition, DOE proposes to remove the equations at 10 
CFR 431.17(b)(2)(i)-(ii).
---------------------------------------------------------------------------

    \89\ Wilcox, Rand R. Basic Statistics: Understanding 
Conventional Methods and Modern Insights. New York: Oxford UP, 2009: 
4. Print.
---------------------------------------------------------------------------

    Further, to improve clarity, DOE proposes to replace the current 
requirement that ``the sample size shall be not fewer than five units, 
except that when fewer than five units of a basic model would be 
produced over a reasonable period of time (approximately 180 days)'' by 
the following: ``the minimum sample size is five units. If fewer units 
than the minimum sample size are produced, each unit produced must be 
tested and the test results must demonstrate that the basic model 
performs at or better than the applicable standard(s). If one or more 
units of the basic model are manufactured subsequently, compliance with 
the default sampling and representations provisions is required''.
    Finally, to ensure a high level of quality control and consistency 
of performance within the basic model, DOE proposes to add a 
requirement to verify that no motor tested has losses exceeding 15 
percent of those permitted by the applicable energy conservation 
standard, similar to the prescribed margin applied when conducting 
verifications as proposed in Sec.  429.134.
    DOE requests comment on its proposal to require that, on or after 
the compliance date for any new or amended standards for electric 
motors published after January 1, 2021, manufacturers must calculate 
the average full-load efficiency of a basic model as the arithmetic 
mean of the full-load efficiencies of a sample of electric motors and 
on the proposal to add a requirement that no electric motor tested in 
the sample has losses exceeding 15 percent of those permitted by the 
applicable energy conservation standard.
3. Testing: Use of a Nationally Recognized Certification Program
    For manufacturers using a nationally recognized certification 
program as described in Sec.  431.17(a)(5), the selection and sampling 
requirements are typically specified in the certification program's 
operational documents, however these are not always described in 
detail. DOE proposes to impose additional requirements to ensure that 
the certification program follow the provisions proposed in Sec.  
429.64, as well as the AEDM validation procedures, and periodic AEDM 
verification procedures proposed in Sec.  429.70(i). DOE believes these 
proposals would ensure consistency between basic model ratings obtained 
with and without the use of a certification program and would have no 
impact on how nationally certification programs operate.
    In addition, after any updates to DOE's electric motors 
regulations, DOE proposes that, within one year of publication of the 
final rule, all certification programs must either submit a letter to 
DOE certifying that no change to their program is needed, or submit a 
letter describing the measures implemented to ensure the criteria in 
the proposed Sec.  429.73(b) are met. If a certification program 
submits a letter describing updates to their program, DOE proposes that 
the current certification program would still be recognized until DOE 
evaluates any newly implemented measures and decides otherwise.
    DOE requests comment on the proposal to add a requirement to 
specify that nationally recognized certification programs for electric 
motors must follow provisions as proposed in Sec. Sec.  429.64 and 
429.70(i).
    DOE requests comment on its proposal to require that within one 
year of publication of a test procedures or certification, compliance 
and enforcement final rule pertaining to electric motors, all 
certification programs must either submit a letter to DOE certifying 
that no change to their program is needed or submit a letter describing 
the measures implemented to ensure the criteria in the proposed Sec.  
429.73(b) are still met. If a certification program submits a letter 
describing updates, DOE requests comment on its proposal to maintain 
the program's recognition until DOE reviews the measures implemented.
4. Use of an AEDM
    Section 431.17 also specifies the requirements for use of an AEDM 
(10 CFR 431.17(a)(2)), including requirements for substantiation (i.e., 
the initial validation) (10 CFR 431.17(a)(3), 10 CFR 431.17(b)(3)) and 
subsequent verification of an AEDM (10 CFR 431.17(a)(4)). Those 
requirements ensure the accuracy and reliability of the AEDM both prior 
to use and then through ongoing verification checks on the estimated 
efficiency.
    DOE proposes to replace the term ``substantiation'' with the term 
``validation'' to better align the relevant terminology with the AEDM 
provisions in 10 CFR 429.70. DOE also proposes to modify one of the 
requirements for AEDM validation. Currently, the provisions in 10 CFR 
431.17(a)(3)(ii) require that the simulated full-load losses for each 
basic model selected for AEDM validation testing, must be within plus 
or minus ten percent of the average full-load losses determined from 
the testing of that basic model.\90\ DOE proposes to change that 
language to a one-sided 10 percent tolerance to allow flexibility for 
manufacturers to choose to rely on a more conservative AEDM (i.e., the 
simulated full-load losses for each basic model selected for AEDM 
validation testing, calculated by applying the AEDM, must be greater or 
equal to 90 percent of the average full-load losses determined from the 
testing of that basic model). This proposal would not require 
manufacturers to update their AEDMs and basic model ratings.
---------------------------------------------------------------------------

    \90\ The output of the AEDM is the average full-load efficiency 
of the basic model. The represented value of nominal full-load 
efficiency is obtained by applying the provisions discussed in 
section I.A.1. The average full load losses predicted by the AEDM 
can be calculated as hp x (1/Eff-1) where hp is the motor horsepower 
and Eff is the average full-load efficiency predicted by the AEDM.
---------------------------------------------------------------------------

    In addition, as previously discussed in III.O.1, DOE proposes to 
specify how to obtain the nominal full-load efficiency of a basic model 
using the simulated full-load efficiency of that basic model determined 
through the application of an AEDM: The nominal full-load efficiency of 
a basic model must be less than or equal to the simulated full-load 
efficiency of that basic model determined through the application of an 
AEDM.
    Paragraph (b) of 10 CFR 431.17 provides further clarity regarding 
testing

[[Page 71756]]

if a certification program is not used. Basic models used to validate 
an AEDM must be selected for testing in accordance with paragraph 
(b)(1), and units of each such basic model must be tested in accordance 
with paragraph (b)(2). 10 CFR 431.17(b)(3) Paragraph (b)(1) explains 
the criteria for selecting a minimum of 5 basic models for 
certification testing (in an accredited laboratory) in order to 
validate an AEDM. Paragraph (b)(2) provides the criteria for selecting 
units for testing including a minimum sample size of 5 units in most 
cases.\91\ For manufacturers using AEDMs, paragraph (b)(2) applies to 
those basic models selected for validating the AEDM. Paragraph (b)(3) 
also explains that the motors tested to validate an AEDM must either be 
in a certification program or must have been tested in an accredited 
laboratory. 10 CFR 431.17(b)(2)-(3)
---------------------------------------------------------------------------

    \91\ As discussed previously and in the remainder of this 
section, the provisions for selecting units within a basic model and 
minimum sample size described in paragraph (b)(2) apply to three 
different situations: when (1) testing at an accredited laboratory; 
(2) using an AEDM and selecting units for substantiating the AEDM; 
and (3) using a AEDM and selecting units for periodic verification 
testing.
---------------------------------------------------------------------------

    DOE proposes to revise the current regulatory language to specify 
that, when manufacturers use an accredited laboratory or a nationally 
recognized testing program for testing the basic models used to 
validate the AEDM, the selection criteria and sampling requirements as 
described in paragraph (b)(2) apply, including the requirement to 
select a minimum of 5 basic models that must be compliant with the 
energy conservation standards at 10 CFR 431.25 (if any exist) . In 
addition, when using an accredited laboratory or nationally recognized 
testing program for testing, DOE proposes that the average full-load 
efficiency of each basic model selected to validate the AEDM must be 
determined based on the provisions discussed in section III.O.1. 
Further, in order to reduce testing burden, DOE proposes to replace the 
requirement in paragraph (b)(1) that two of the basic models must be 
among the five basic models with the highest unit volumes of production 
by the manufacturer in the prior year by in the prior 5 years. The 
extension from 1 to 5 year would reduce testing burden in the case of a 
year to year variation in the basic models with the highest unit 
volumes of production and would not impact basic model ratings.
    Currently, the periodic verification of an AEDM can be achieved in 
one of three ways: through participation in a certification program; by 
additional, periodic testing in an accredited lab; or by verification 
by a professional engineer. When using periodic testing in an 
accredited lab, a sample of units must be tested in accordance with the 
DOE test procedure and Sec.  431.17(b)(2). 10 CFR 431.17(a)(4)(A)
    The regulatory text does not specify how often the periodic testing 
must be conducted. DOE proposes to add that manufacturers must perform 
a sufficient number of periodic verification tests to ensure the AEDM 
maintains its accuracy and reliability. Paragraph (b)(2) provides the 
criteria for selecting units for testing (in a nationally recognized 
testing program) when conducting periodic AEDM verification, including 
a minimum sample size of 5 units in most cases. DOE proposes to revise 
the 5 unit minimum requirement on the sample size and to replace it by 
requiring that manufacturers test at least one unit of each basic 
model. DOE believes that at least one unit is a sufficient criteria on 
the sample size when conducting an AEDM verification and would reduce 
testing burden. Paragraphs (b)(2) also includes the equations to use 
when conducting periodic AEDM verification. 10 CFR 431.17(b)(2)(i)-(ii) 
The equations in paragraph (b)(2) are used after the represented value 
of the basic model has already been determined (e.g., by AEDM) \92\ 
``in a test of compliance with a represented average or nominal 
efficiency''. The equations are applied to verify that the average 
full-load efficiency of the sample and the minimum full-load efficiency 
of the sample of the basic model, are within a prescribed margin of the 
represented value as provided by applying the AEDM (i.e., a test of 
compliance with a represented average or nominal efficiency). In 
addition, the equations in paragraph (b)(2) also imply that the 
represented value of the basic model has already been determined (e.g., 
by AEDM). As previously noted, DOE proposes to revise the current 
regulatory test to remove the equations currently located in Sec.  
431.17(b)(2)(i)-(ii). Instead, for manufacturers conducting periodic 
AEDM verification using testing, DOE proposes that manufacturers rely 
on the same criteria used for the AEDM validation at 10 CFR 
429.70(i)(2)(iv) and compare the average of the measured full-load 
losses of the basic model \93\ to the simulated full-load losses of the 
basic model as predicted by the AEDM.
---------------------------------------------------------------------------

    \92\ The AEDM output is the simulated full-load efficiency. The 
represented value of nominal full-load efficiency as predicted by 
the AEDM is obtained by applying the provisions discussed in section 
I.A.1.
    \93\ The sample could include a single unit, in which case the 
average measured full-load losses of the basic model are the 
measured full-load losses of the unit.
---------------------------------------------------------------------------

    If using a certification program to conduct the AEDM verification, 
the provisions at 10 CFR 431.17(a)(4)(i)(B) specify that a manufacturer 
must periodically select basic models to which it has applied the AEDM 
and have a nationally recognized certification program certify its 
nominal full-load efficiency. The provision does not specify what 
criteria to use when comparing the output of the AEDM of the tested and 
certified values of nominal full-load efficiency. DOE is considering 
three options to further specify how the manufacturer must conduct the 
AEDM verification when using a certification program. DOE is 
considering proposing: (1) That manufacturers rely on the same 10 
percent tolerance used for the AEDM validation at 10 CFR 
429.70(i)(2)(iv) and compare the losses corresponding to the tested and 
certified nominal full-load efficiency of the basic model to the 
nominal full-load efficiency of the basic model as predicted by the 
AEDM; \94\ (2) that manufacturers rely on a higher tolerance (e.g., a 
15 percent tolerance rather than 10 percent) than used for the AEDM 
validation at 10 CFR 429.70(i)(2)(iv) and compare the losses 
corresponding to the tested and certified nominal full-load efficiency 
of the basic model to the nominal full-load efficiency of the basic 
model as predicted by the AEDM; or (3) to continue to not specify any 
requirements but require that certification programs provide a detailed 
description of the method used to verify the AEDM.
---------------------------------------------------------------------------

    \94\ The AEDM output is the average full-load efficiency. The 
represented value of nominal full-load efficiency as predicted by 
the AEDM is obtained by applying the provisions discussed in section 
I.A.1.
---------------------------------------------------------------------------

    DOE further proposes to remove the options to rely on a 
professional engineer to conduct AEDM verification because this is not 
an option that is used by manufacturers.
    Finally, DOE proposes that the AEDM provisions as proposed would 
also apply to the additional electric motors proposed for inclusion in 
the scope of the test procedure, when a manufacturer of such motors 
would be required to use the DOE test procedure.
    DOE requests comments on the proposed requirements for validation 
and subsequent verification of an AEDM.

[[Page 71757]]

P. Certification, Sampling Plans, and AEDM Provisions for Dedicated-
Purpose Pool Pump Motors

    As discussed, on July 29, 2021, DOE published a final rule to 
establish test procedures for dedicated purpose pool pump motors, a 
type of electric motor. 86 FR 40765 (``July 2021 Final Rule''). 
Specifically, the test procedure requires manufacturers to use CSA 
C747-09 (R2014), ``Energy Efficiency Test Methods for Small Motors'' 
for testing the full-load efficiency of DPPP motors and did not 
establish any certification, sampling plans, or AEDM requirements. Id. 
The new test procedure is currently located in subpart Z. DOE did not 
establish certification, sampling, or AEDM provisions in the July 2021 
Final Rule.
    In this NOPR, DOE is proposing to include certification, sampling 
plan, and AEDM provisions for DPPP motors subject to the requirements 
in subpart Z of 10 CFR part 431. Manufacturers would be required to 
test such motors at such time as compliance is required with a labeling 
or energy conservation standard requirement should such a requirement 
be established. (42 U.S.C. 6315(b); 42 U.S.C. 6316(a); 42 U.S.C. 
6295(s)) To the extent DOE were to establish certification, sampling 
plan, and AEDM provisions for DPPP motors, any voluntary 
representations by manufacturers, distributors, retailers, or private 
labelers about the energy consumption or cost of energy for these 
motors must be based on the use of that test procedure beginning 180 
days following publication of a final rule. DOE's proposal would not 
require manufacturers who do not currently make voluntary 
representations to then begin making public representations of 
efficiency. (42 U.S.C. 6314(d)(1))
    The proposed certification, sampling plan, and AEDM provisions 
would apply to representations of energy efficiency made by 
manufacturers, including representations for certification of 
compliance. Because DPPP motors are a subset of electric motors, DOE 
proposes to apply the same certification, sampling provisions and AEDM 
provisions for consistency. Accordingly, DOE proposes to allow the use 
of ``nominal full-load efficiency'' as an alternative represented value 
for DPPP motors. DOE proposes to add these provisions in a new section 
10 CFR 429.66 and 429.70(j), and to specifically reference DPPP motors 
in 10 CFR 429.73 and 429.74 as proposed.

Q. Reporting

    Manufacturers, including importers, must use product-specific 
certification templates to certify compliance to DOE. For electric 
motors, the certification template reflects the general certification 
requirements specified at 10 CFR 429.12 and the product-specific 
requirements specified at 10 CFR 431.35.\95\ One of the reporting 
requirements for the compliance certification is the nominal full load 
efficiency, determined pursuant to 10 CFR 431.16 and 431.17, of the 
least efficient basic model within that rating. 10 CFR 431.35(a)(2)(i).
---------------------------------------------------------------------------

    \95\ https://www.regulations.doe.gov/ccms/templates.
---------------------------------------------------------------------------

R. Test Procedure Costs and Harmonization

1. Test Procedure Costs and Impact
    In this NOPR, DOE proposes to revise the current scope of the test 
procedures to add additional electric motors and subsequent updates 
needed for supporting definitions and metric requirements as a result 
of this expanded scope; incorporate by reference the most recent 
versions of the referenced industry standards; incorporate by reference 
additional industry standards used to test additional electric motors 
proposed in scope; clarify the scope and test instructions by adding 
definitions for specific terms; revise the current vertical motor 
testing instructions to reduce manufacturer test burden; clarify that 
the current test procedure permits removal of contact seals for 
immersible electric motors only; revise the provisions pertaining to 
certification testing and determination of represented values; and add 
provisions pertaining to certification testing and determination of 
represented values for DPPP motors.
    Regarding the proposals to amend the provisions pertaining to 
certification testing and determination of represented values: (1) The 
proposed updates that are effective 180 days after the publication of 
the final rule, include moving and largely retaining the provisions 
related to AEDMs (see section III.O.4), as well as moving and largely 
retaining the procedures for recognition and withdrawal of recognition 
of accreditation bodies and certification programs (see section III.O.2 
and III.O.3) from 10 CFR part 431 to 10 CFR part 429 and therefore, DOE 
does not anticipate any added test burden; (2) other proposed updates 
requiring that testing be conducted in an independent nationally 
recognized testing program (see section III.N.1) would only be required 
for certification of a new basic model pursuant to 10 CFR 431.36(e), 
required on or after 180 days following the publication of this final 
rule; previously certified basic models would not need to be re-tested 
and DOE anticipates that there would be no added costs associated with 
this proposed update as it would apply to certification of new basic 
models only, which does not add any new test burden to manufacturers 
compared to the current requirements; (3) finally, for the other 
proposed provisions (i.e., requiring to certify using three options as 
discussed in section III.N.2, revising the provisions pertaining to the 
determination of the represented value as discussed in section III.O.1 
and III.O.2) whose proposed compliance date would be on or after the 
effective date of the final rule adopting new or amended energy 
conservation standards for electric motors, DOE will be discussing the 
associated costs in the energy conservation standards rulemaking 
instead.
    Of the remaining proposed amendments, DOE has tentatively 
determined that the following proposals would impact testing costs: (1) 
The proposal to expand scope to include other motor categories and the 
proposal to include certification, sampling plan, and AEDM provisions 
for DPPP motors; and (2) the proposal to update vertical motor testing. 
These proposals are discussed in the following paragraph.
a. Voluntary Representations
    DOE proposes to add certain categories of electric motors to the 
scope of the test procedure. Specifically (1) air-over electric motors; 
(2) submersible electric motors; (3) certain electric motors greater 
than 500 hp; (4) electric motors considered small; (5) inverter-only 
electric motors; and (5) certain synchronous motor technologies. In 
addition, DOE proposes to incorporate by reference additional test 
methods. Finally, DOE proposes to add provisions pertaining to 
certification testing and determination of represented values for DPPP 
motors.
    As stated, were DOE to include additional electric motors within 
the scope of the DOE test procedure, such motors would not be required 
to test to the DOE test procedure until such time as energy efficiency 
standards were established. If manufacturers voluntarily make 
representations regarding the energy consumption or cost of energy of 
such electric motors, they would be required to test according to the 
DOE test procedure. (42 U.S.C. 6314(d)(1)) DOE has initially determined 
that the proposed inclusion of additional motors within the scope of 
the test procedure and the proposal pertaining to certification testing 
and determination

[[Page 71758]]

of represented values for DPPP motors, if finalized, would result in 
added costs to motor manufacturers if manufacturers choose to make 
efficiency representations.
    Based on a market review, DOE notes that approximately 50 percent 
of the basic models that would be covered under the proposed test 
procedure currently make voluntary representations. Consistent with the 
conclusions from the January 2021 Final Rule that only a fraction of 
basic models are physically tested (the remainder have efficiency 
determined through an alternative efficiency determination method 
(``AEDM'')), DOE estimates that 10 percent of these motors would be 
physically tested. 86 FR 4, 17. This proposal, if finalized, would 
require at least five units be tested per basic model. 10 CFR 
431.17(b)(2) However, considering DOE is harmonizing with current 
industry standards, DOE assumes that manufacturers have already tested 
at least one unit for all the expanded scope electric motor basic 
models. Therefore, DOE estimates that manufacturers could have to 
conduct up to four additional tests per expanded scope electric motor 
basic models.
    DOE identified that the testing requirements can be summarized 
broadly with the following three groups: (1) Motors tested according to 
CSA C747-09 (R2019), (2) motors tested according to IEC 61800-9-2:2017, 
and (3) motors tested according to Section 34.4 of the NEMA Air-over 
Motor Efficiency Test Method. Consistent with the conclusions from the 
January 2021 Final Rule that only a fraction of electric motor basic 
models that are physically tested are tested at a third-party test 
facility (the remainder are physically tested at in-house testing 
facilities), DOE estimated that 90 percent of the physical tests for 
these electric motors would be conducted at in-house test facilities, 
and the remaining 10 percent of the physical tests would be conducted 
at third-party test facilities. DOE assumed that the per-unit test 
costs differs between conducting testing at in-house test facilities 
versus testing at third-party test facilities. Table III.23 lists the 
estimated in-house and third-party single unit test cost incurred by 
the manufacturer for each industry standard.

        Table III.23--Electric Motor per Unit Test Cost Estimates
------------------------------------------------------------------------
                                           Tested at in-     Tested at
                                          house facility    third-party
                                         ----------------    facility
            Industry standard                            ---------------
                                           Per unit test   Per unit test
                                               cost            cost
------------------------------------------------------------------------
CSA C747-09 (R2019).....................            $571          $2,000
IEC 61800-9-2:2017......................             728           3,000
Section 34.4 of NEMA Air-over Motor                  612           2,000
 Efficiency Test Method.................
------------------------------------------------------------------------

    To estimate in-house testing cost, DOE assumed testing a single 
electric motor unit to CSA C747-09 (R2019) requires approximately nine 
hours of a mechanical engineer technician time and three hours from a 
mechanical engineer. DOE assumed testing a single electric motor-drive 
combination unit to IEC 61800-9-2:2017 requires approximately twelve 
hours of a mechanical engineer technician time and three and a half 
hours of time from a mechanical engineer. DOE assumed testing a single 
electric motor unit to Section 34.4 of NEMA Air-over Motor Efficiency 
Test Method requires ten hours of mechanical engineer technician time 
and three hours of time from a mechanical engineer. Based on data from 
the Bureau of Labor Statistics' (``BLS's'') Occupational Employment and 
Wage Statistics, the mean hourly wage for a mechanical engineer 
technician is $29.27 and the mean hourly wage for a mechanical engineer 
is $45.94.\96\ Additionally, DOE used data from BLS's Employer Costs 
for Employee Compensation to estimate the percent that wages comprise 
the total compensation for an employee. DOE estimates that wages make 
up 70.3 percent of the total compensation for an employee.\97\ 
Therefore, DOE estimated that the total hourly compensation (including 
all fringe benefits) of an employee is $41.64 for a mechanical 
engineering technician and $65.35 for a mechanical engineer.\98\
---------------------------------------------------------------------------

    \96\ DOE used the May 2020 Occupation Profiles of ``17-3027 
Mechanical Engineering Technologists and Technicians'' to estimate 
the hourly wage rate of a mechanical technician (See www.bls.gov/oes/current/oes173027.htm) and ``17-2141 Mechanical Engineers'' to 
estimate the hourly wage rate of a mechanical engineer (See 
www.bls.gov/oes/current/oes172141.htm).
    \97\ DOE used the December 2020 ``Employer Costs for Employee 
Compensation'' to estimate that for ``Private Industry'' ``Wages and 
Salaries'' are 70.3 percent of total employee compensation (See 
www.bls.gov/news.release/archives/ecec_03182021.pdf).
    \98\ Mechanical Engineering Technician: $29.27/0.703 = $41.64. 
Mechanical Engineer: $45.94/0.703 = $65.35.
---------------------------------------------------------------------------

    Using these labor rates and time estimates, DOE estimates that it 
would cost electric motor manufacturers approximately $571 to conduct a 
single test for motors tested according to CSA C747-09 (R2019); 
approximately $728 to conduct a single test for motors tested according 
to IEC 61800-9-2:2017; and approximately $612 to conduct a single test 
for motors tested according to Section 34.4 of the NEMA Air-over Motor 
Efficiency Test Method, if these test were conducted by the electric 
motor manufacturers in-house.
    To estimate third-party lab costs, DOE received quotes from test 
labs on the price of conducting each industry standard. DOE then 
averaged these prices to arrive at an estimate of what the 
manufacturers would have to spend to test their product using a third-
party test lab. Using these quotes, DOE estimates that it would cost 
electric motor manufacturers approximately $2,000 to conduct a single 
test for motors tested according to CSA C747-09 (R2019); approximately 
$3,000 to conduct a single test for motors tested according to IEC 
61800-9-2:2017; and approximately $2,000 to conduct a single test for 
motors tested according to Section 34.4 of the NEMA Air-over Motor 
Efficiency Test Method, if these tests were conducted by a third-party 
test facility.
    DOE requests comment on its estimate that 50 percent of the current 
market of the proposed expanded scope electric motors and DPPP motors 
make voluntary representations.
    DOE requests comment on the in-house and third-party single unit 
test costs.
b. Updating Vertical Motor Testing Requirements
    DOE proposes to update the testing requirements for vertical motors 
with hollow shafts to not require welding of

[[Page 71759]]

a solid shaft to the drive end, and instead permit connection of 
electric motors to a dynamometer without restriction on the motor end 
and using a coupling of torsional rigidity greater than or equal to 
that of the motor shaft.
    DOE has initially determined that the proposed amendment would not 
require changes to the designs of electric motors, and that the 
proposed amendments would not impact the utility of such electric 
motors or impact the availability of available electric motor options. 
DOE has also initially determined that the proposed amendments would 
not impact the representations of electric motor energy efficiency/
energy use based on the initial determination that manufacturers would 
be able to rely on data generated under the current test procedure 
should the proposed amendments be finalized. As such, retesting of 
electric motors would not be required solely as a result of DOE's 
adoption of this proposed amendment to the test procedure.
    Although the proposed amendments are initially determined not to 
add cost, under specific circumstances they may reduce testing cost. 
NEMA commented that the existing requirement to weld may prevent a 
motor from being used in its intended application (NEMA, No. 6 at p. 
3). In such instances, testing cost could include the cost of scrapping 
an otherwise useable motor. This scrap cost may be avoided if welding 
is not required by Appendix B, in which case the test cost savings 
could equal the value of the motor.
    To estimate these cost savings DOE determined approximately how 
many tests of these motors are conducted per year. To do this, DOE 
reviewed product catalogs from 2006 and compared these to catalogs from 
2018 to determine how many new vertical hollow shaft models have been 
produced in that time. DOE annualized this count to estimate how many 
new vertical hollow shaft motors are listed per year and would need to 
be certified as compliant with 10 CFR 431.25. Using the 2018 catalog, 
DOE found the average price of a vertical hollow shaft motor and 
assumed a markup of 100 percent to estimate the manufacturer's 
production cost. Next, DOE requires at least five units to be tested 
per basic model. 10 CFR 431.17(b)(2) Finally, DOE estimated that 10 
percent of these new vertical hollow shaft motors are certified via 
physical testing, based on the observation that most manufacturers use 
an AEDM to certify an electric motor as required under 10 CFR 431.36. 
Using this methodology, DOE estimates that annual cost savings to 
industry due to the proposed amendments may approach $9,410 per year.
    DOE requests comment on its estimation of reduction in testing cost 
due to the proposed requirements for testing of vertical electric 
motors.
2. Harmonization With Industry Standards
    DOE's established practice is to adopt relevant industry standards 
as DOE test procedures unless such methodology would be unduly 
burdensome to conduct or would not produce test results that reflect 
the energy efficiency, energy use, water use (as specified in EPCA) or 
estimated operating costs of that product during a representative 
average use cycle. 10 CFR 431.4; Section 8(c) of appendix A of 10 CFR 
part 430 subpart C. In cases where the industry standard does not meet 
EPCA statutory criteria for test procedures, DOE will make 
modifications through the rulemaking process to these standards as the 
DOE test procedure. With regard to electric motors subject to 
standards, EPCA requires the test procedures to be the test procedures 
specified in NEMA Standards Publication MG1-1987 and IEEE Standard 112 
Test Method B for motor efficiency, or the successor standards, unless 
DOE determined by rule, published in the Federal Register and supported 
by clear and convincing evidence, that to do so would not meet the 
statutory requirements for test procedures to produce results that are 
representative of an average use cycle and not be unduly burdensome to 
conduct. (42 U.S.C. 6314(a)(5)(A) and (B)). DOE established the current 
test procedures for electric motors at appendix B based on the 
provisions of NEMA MG1-2009, CSA C390-10, IEC 60034-2-1:2014, IEEE 112-
2017, which are incorporated by reference and all of which contain 
methods for measuring the energy efficiency and losses of electric 
motors. These referenced standards specify test methods for polyphase 
induction electric motors above 1 horsepower which can operate directly 
connected to a power supply. DOE reviewed each of the industry 
standards and proposes to update its incorporation by reference to IEC 
60034-12:2016, CSA C390-10 (R2019), and NEMA MG 1-2016 with 2018 
Supplements to align with the latest revised and reaffirmed versions of 
these standards.
    In addition, certain additional motors proposed for incorporation 
in scope of the test procedure cannot be tested using the industry 
standards incorporated by reference for currently regulated electric 
motors because they require modifications to the test procedure to 
account for: Requiring to be connected to an inverter to be able to 
operate (i.e., inverter-only motors); and differences in electrical 
design (i.e., single-phase induction electric motors included as SNEMs, 
and synchronous electric motors). For these additional motors proposed 
for inclusion in scope, DOE proposes to incorporate by reference the 
following additional industry standards: IEEE 114-2010, CSA C747-09 
(R2019), IEC 60034-2-1:2014, and IEC 61800-9-2:2017. IEEE 114-2010, CSA 
C747-09 (R2019), and IEC 60034-2-1:2014 specify methods for measuring 
the efficiency and losses of single-phase induction electric motors. 
IEC 61800-9-2:2017 specifies methods for measuring the efficiency and 
losses of induction and synchronous inverter-only electric motors.
    The test procedures proposed for air-over electric motors and for 
SNEMs are included in NEMA MG1-2016 with 2018 Supplements. See Section 
IV, Part 34: Air-Over Motor Efficiency Test Method and Section 12.30. 
Section 12.30 specifies the use of IEEE 112 and IEEE 114 for all 
single-phase and polyphase motors.\99\ As further discussed in section 
III.D.2, DOE is proposing to require testing of SNEMs other than 
inverter-only electric motors according to IEEE 112-2017, (or CSA C390-
10 (R2019) or IEC 60034-2-1:2014, which are equivalent to IEEE 112-
2017; see discussion in section III.D.2) and IEEE 114-2010 (or CSA 
C747-09 (R2019) or IEC 60034-2-1:2014, which are equivalent to IEEE 
114-2010; see discussion in III.D.2). This proposal would satisfy the 
test procedure requirements under 42 U.S.C. 6314(a)(5).
---------------------------------------------------------------------------

    \99\ As previously mentioned, NEMA MG1-2016 with 2018 
Supplements does not specify the publication year of the referenced 
test standards and instead specifies that the most recent version 
should be used.
---------------------------------------------------------------------------

    The methods listed in section 12.30 of NEMA MG-1 2016 with 2018 
Supplements for testing AC motors are applicable only to AC induction 
motors that can be operated directly connected to the power supply 
(direct-on-line) and do not apply to electric motors that are inverter-
only or to synchronous electric motors that are not AC induction 
motors. Therefore, for these additional electric motors, DOE proposes 
to specify the use of different industry test procedures, as previously 
noted.
    DOE requests comments on the benefits and burdens of the proposed 
updates and additions to industry standards referenced in the test 
procedure for electric motors.
    DOE notes that with regard to the industry standards currently

[[Page 71760]]

incorporated into the DOE test procedure, DOE is only proposing to 
update the versions referenced to the latest version of the industry 
standards.

S. Compliance Date

    EPCA prescribes that, if DOE amends a test procedure, all 
representations of energy efficiency and energy use of an electric 
motor subject to the test procedure, including those made on marketing 
materials and product labels, must be made in accordance with that 
amended test procedure, beginning 180 days after publication of such a 
test procedure final rule in the Federal Register. (42 U.S.C. 
6314(d)(1)) To the extent DOE were to establish test procedures for 
electric motors not currently subject to an energy conservation 
standard, manufacturers would only need to use the testing set-up 
instructions, testing procedures, and rating procedures if a 
manufacturer elected to make voluntary representations of energy-
efficiency or energy costs of his or her basic models beginning 180 
days following publication of a final rule. DOE's proposal would not 
require manufacturers who do not currently make voluntary 
representations to then begin making public representations of 
efficiency. (42 U.S.C. 6314(d)(1)) Manufacturers would be required to 
test such motors at such time as compliance is required with a labeling 
or energy conservation standard requirement should such a requirement 
be established. (42 U.S.C. 6315(b); 42 U.S.C. 6316(a); 42 U.S.C. 
6295(s))
    If DOE were to publish an amended test procedure EPCA provides an 
allowance for individual manufacturers to petition DOE for an extension 
of the 180-day period if the manufacturer may experience undue hardship 
in meeting the deadline. (42 U.S.C. 6314(d)(2) To receive such an 
extension, petitions must be filed with DOE no later than 60 days 
before the end of the 180-day period and must detail how the 
manufacturer will experience undue hardship. (Id.)

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (``OMB'') has determined that 
this test procedure rulemaking does not constitute a ``significant 
regulatory action'' under section 3(f) of Executive Order (``E.O.'') 
12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). 
Accordingly, this action was not subject to review under the Executive 
order by the Office of Information and Regulatory Affairs (``OIRA'') in 
OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment, unless 
the agency certifies that the rule, if promulgated, will not have a 
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 DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's website: http://energy.gov/gc/office-general-counsel.
1. Description of Reasons Why Action Is Being Considered
    DOE is proposing to amend the existing DOE test procedures for 
electric motors. EPCA, pursuant to amendments made by the Energy Policy 
Act of 1992, Public Law 102-486 (Oct. 24, 1992), specifies that the 
test procedures for electric motors subject to standards are those 
specified in National Electrical Manufacturers Association (``NEMA'') 
Standards Publication MG1-1987 and Institute of Electrical and 
Electronics Engineers (``IEEE'') Standard 112 Test Method B, as in 
effect on October 24, 1992. (42 U.S.C. 6314(a)(5)(A)). If these test 
procedures are amended, DOE must amend its test procedures to conform 
to such amended test procedure requirements, unless DOE determines by 
rule, published in the Federal Register and supported by clear and 
convincing evidence, that to do so would not meet the statutory 
requirements related to the test procedure representativeness and 
burden. (42 U.S.C. 6314(a)(5)(B))
    EPCA also requires that, at least once every 7 years, DOE evaluate 
test procedures for each type of covered equipment, including electric 
motors, to determine whether amended test procedures would more 
accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle. (42 U.S.C. 6314(a)(1)) In addition, if the Secretary determines 
that a test procedure amendment is warranted, the Secretary must 
publish proposed test procedures in the Federal Register, and afford 
interested persons an opportunity (of not less than 45 days' duration) 
to present oral and written data, views, and arguments on the proposed 
test procedures. (42 U.S.C. 6314(b)) If DOE determines that test 
procedure revisions are not appropriate, DOE must publish its 
determination not to amend the test procedures.
    DOE is publishing this NOPR in satisfaction of the requirements 
specified in EPCA.
2. Objective of, and Legal Basis for, Rule
    As noted above, DOE is publishing this NOPR in satisfaction of the 
requirements specified in EPCA that DOE amend the test procedure for 
electric motors whenever the relevant industry standards are amended, 
but at minimum every 7 years, to ensure that the DOE test procedure 
produces test results which reflect energy efficiency, energy use, and 
estimated operating costs of a type of industrial equipment (or class 
thereof) during a representative average use cycle. 42 U.S.C. 6314(a).
3. Description and Estimate of Small Entities Regulated
    For manufacturers of electric motors, the Small Business 
Administration (``SBA'') has set a size threshold, which defines those 
entities classified as ``small businesses'' for the purposes of the 
statute. DOE used the SBA's small business size standards to determine 
whether any small entities would be subject to the requirements of the 
rule. See 13 CFR part 121. The size standards are listed by North 
American Industry Classification System (``NAICS'') code and industry 
description available at: www.sba.gov/document/support--table-size-standards. Electric motor manufacturing is classified under NAICS code 
335312, ``motor and generator manufacturing.'' The SBA sets a threshold 
of 1,250 employees or less for an entity to be considered as a small 
business for this category.
    In this NOPR, DOE proposes to revise the current scope of the test 
procedures to add additional electric motors and subsequent updates 
needed for supporting definitions and metric requirements as a result 
of this expanded scope; incorporate by reference the most recent 
versions of the referenced industry standards; incorporate by reference 
additional industry standards used to test additional electric motors 
proposed in scope; clarify the scope and test instructions by adding 
definitions for

[[Page 71761]]

specific terms; revise the current vertical motor testing instructions 
to reduce manufacturer test burden; clarify that the current test 
procedure permits removal of contact seals for immersible electric 
motors only; revise the provisions pertaining to certification testing 
and determination of represented values; and add provisions pertaining 
to certification testing and determination of represented values for 
DPPP motors.
    As previously stated in section III.R.1, DOE estimates that some 
electric motor manufacturers would experience a cost savings from the 
proposed test procedure amendment, if finalized, regarding the proposal 
to update the testing requirements for vertical motors with hollow 
shafts. Additionally, this test procedure proposes to expand the scope 
of electric motors and proposes certification, sampling plan, and AEDM 
provisions for DPPP motors.
    While manufacturers making these expanded scope electric motors and 
DPPP motors would not be required to test according to the DOE test 
procedure until energy efficiency standards were established, 
manufacturers voluntarily make representations regarding the energy 
consumption or cost of energy of such electric motors, they would be 
required to test according to the DOE test procedure, if finalized. DOE 
identified up to 12 potential small businesses manufacturing these 
expanded scope electric motors or DPPP motors.
    DOE estimates that all other proposed test procedure amendments 
would not results in any electric motor manufacturer, large or small, 
to incur any additional costs due to the proposed test procedure 
amendments in this NOPR, if finalized.
4. Description and Estimate of Compliance Requirements
    DOE estimated the per unit testing cost for these expanded scope 
electric motors and DPPP motors in section III.R.1. These estimated per 
unit testing costs are presented in Table IV.1.

         Table IV.1--Electric Motor per Unit Test Cost Estimates
------------------------------------------------------------------------
                                           Tested at in-     Tested at
                                          house facility    third-party
                                         ----------------    facility
            Industry standard                            ---------------
                                           Per unit test   Per unit test
                                               cost            cost
------------------------------------------------------------------------
CSA C747-09 (R2019).....................            $571          $2,000
IEC 61800-9-2:2017......................             728           3,000
Section 34.4 of NEMA Air-over Motor                  612           2,000
 Efficiency Test Method.................
------------------------------------------------------------------------

    As previously discussed, these expanded scope electric motors and 
DPPP motors would not be required to test according to the DOE test 
procedure until energy efficiency standards were established. However, 
if manufacturers voluntarily make representations regarding the energy 
consumption or cost of energy of such electric motors, they would be 
required to test according to the DOE test procedure, if finalized. DOE 
is unable to estimate the number of electric motor models that small 
business manufacturers would decide to make voluntary representations 
about the efficiency of their electric motors. Therefore, DOE is unable 
to estimate the total cost each small business would incur to test 
their electric motors in accordance with the proposed DOE test 
procedure.
    Due to the uncertainty of the potential costs to small businesses, 
DOE is not able to conclude that the impacts of the test procedure 
amendments proposed in this NOPR would not have a ``significant 
economic impact on a substantial number of small entities.''
    DOE requests comment on the number of small businesses DOE 
identified and the number of potential electric motor models that small 
business manufacturers would make voluntary representations regarding 
the energy consumption or cost of energy of such electric motors. DOE 
also requests comment on any other potential costs small businesses may 
incur due to the proposed amended test procedures, if finalized.
5. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the rule being considered today.
6. Significant Alternatives to the Rule
    As previously stated in this section, DOE is required to review 
existing DOE test procedures for all covered equipment every 7 years. 
Additionally, DOE shall amend test procedures with respect to any 
covered equipment, if the Secretary determines that amended test 
procedures would more accurately produce test results which measure 
energy efficiency, energy use, or estimated annual operating cost of a 
covered equipment during a representative average use cycle or period 
of use. (42 U.S.C. 6314(a)(1)) DOE has initially determined that the 
proposed test procedure would more accurately produce test results to 
measure the energy efficiency of electric motors.
    DOE has tentatively determined that there are no better 
alternatives than the proposed amended test procedures in terms of 
meeting the agency's objectives to more accurately measure energy 
efficiency and reducing burden on manufacturers. Therefore, DOE is 
proposing in this NOPR to amend the existing DOE test procedure for 
electric motors.
    Additional compliance flexibilities may be available through other 
means. EPCA provides that a manufacturer whose annual gross revenue 
from all of its operations does not exceed $8 million may apply for an 
exemption from all or part of an energy conservation standard for a 
period not longer than 24 months after the effective date of a final 
rule establishing the standard. (42 U.S.C. 6295(t)) Additionally, 
section 504 of the Department of Energy Organization Act, 42 U.S.C. 
7194, provides authority for the Secretary to adjust a rule issued 
under EPCA in order to prevent ``special hardship, inequity, or unfair 
distribution of burdens'' that may be imposed on that manufacturer as a 
result of such rule. Manufacturers should refer to 10 CFR part 430, 
subpart E, and part 1003 for additional details.

C. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of electric motors must certify to DOE that their 
products comply with any applicable energy conservation standards. To 
certify compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for

[[Page 71762]]

those test procedures. DOE has established regulations for the 
certification and recordkeeping requirements for all covered consumer 
products and commercial equipment, including electric motors. (See 
generally 10 CFR part 429.) The collection-of-information requirement 
for the certification and recordkeeping is subject to review and 
approval by OMB under the Paperwork Reduction Act (``PRA''). DOE's 
current reporting requirements have been approved by OMB under OMB 
control number 1910-1400. Public reporting burden for the certification 
is estimated to average 35 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, certifying compliance, 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.
1. Description of the Requirements
    In this NOPR, DOE is proposing to require that within one year of 
publication of any final rule updating or amending DOE's electric 
motors regulations, all nationally recognized certification programs 
must reassess the evaluation criteria necessary for a certification 
program to be classified by DOE as nationally recognized and either 
submit a letter to DOE certifying that no change to their program is 
needed, or submit a letter describing the measures implemented to 
ensure the evaluation criteria in the proposed paragraph 10 CFR 
429.73(b) are met. DOE is proposing to revise the collection of 
information approval under OMB Control Number 1910-1400 to account for 
the paperwork burden associated with submitting this letter, including 
the time for reviewing instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing and reviewing 
the collection of information.
2. Method of Collection
    DOE is proposing nationally recognized certification programs must 
submit a letter within one year after any final rule is published 
updating or amending DOE's electric motor regulations.
3. Data
    There are three nationally recognized certification programs for 
electric motors. DOE estimated that drafting and submitting a letter to 
DOE certifying that no change to their program is needed or drafting 
and submitting a letter describing the measures implemented to ensure 
the criteria in the proposed paragraph 429.73(b) are met would require 
approximately 10 hours for each nationally recognized certification 
program. Therefore, DOE estimated that the three nationally recognized 
certification programs would spend approximately 30 hours to draft and 
submit these letters to DOE. DOE's February 2021 ``Supporting Statement 
for Certification Reports, Compliance Statements, Application for a 
Test Procedure Waiver, and Recording keeping for Consumer Products and 
Commercial Equipment Subject to Energy or Water Conservation 
Standards'' estimated a fully loaded (burdened) average wage rate of 
$67 per hour for manufacturer reporting and recordkeeping.\100\ (86 FR 
9916) DOE used this wage rate to estimate the burden on the 
certification programs. Therefore, DOE estimates that the total burden 
to the industry is approximately $2,010.\101\ DOE requests comment on 
the number of respondents and burden requirements for collecting 
information for submission of a letter by nationally-recognized 
certification programs.
---------------------------------------------------------------------------

    \100\ www.reginfo.gov/public/do/PRAViewDocument?ref_nbr=202102-1910-002.
    \101\ 3 certification programs x 10 hours x $67 = $2,010.
---------------------------------------------------------------------------

    OMB Control Number: 1910-1400.
    Form Number: DOE F 220.7.
    Type of Review: Regular submission.
    Affected Public: Nationally recognized certification programs.
    Estimated Number of Respondents: 3.
    Estimated Time per Response: 10 hours.
    Estimated Total Annual Burden Hours: 30 hours.
    Estimated Total Annual Cost to the Manufacturers: $2,010 in 
recordkeeping/reporting costs.
4. Conclusion
    DOE has tentatively determined that the cost of these proposed 
amendments would not impose a material burden on nationally recognized 
certification programs. It is the responsibility of nationally 
recognized certification programs to have a complete understanding of 
applicable regulations for electric motors given their role as a 
certification body, and accordingly, DOE has tentatively concluded that 
the anticipated cost of $670 per program to submit a letter upon 
finalization of any updated or amended electric motors regulations is a 
reasonable burden for such a program. Public comment is sought on the 
number of respondents and burden requirements for collecting 
information for nationally recognized certification programs within a 
year after electric motor regulations are updated or amended. Send 
comments on these or any other aspects of the collection of information 
to the email address listed in the ADDRESSES section and to the OMB 
Desk Officer by email to [email protected].

D. Review Under the National Environmental Policy Act of 1969

    In this proposed rule, DOE proposes test procedure amendments that 
it expects will be used to develop and implement future energy 
conservation standards for electric motors. DOE has determined that 
this rule falls into a class of actions that are categorically excluded 
from review under the National Environmental Policy Act of 1969 (42 
U.S.C. et seq.) and DOE's implementing regulations at 10 CFR part 1021. 
Specifically, DOE has determined that adopting test procedures for 
measuring energy efficiency of consumer products and industrial 
equipment is consistent with activities identified in 10 CFR part 1021, 
appendix A to subpart D, A5 and A6. 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 (Aug. 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. The Executive order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of 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 the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would 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. EPCA governs and prescribes Federal 
preemption of State

[[Page 71763]]

regulations as to energy conservation for the products that are the 
subject of this proposed rule. States can petition DOE for exemption 
from such preemption to the extent, and based on criteria, set forth in 
EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive 
Order 13132.

F. Review Under Executive Order 12988

    Regarding the review of existing regulations and the promulgation 
of new regulations, section 3(a) of Executive Order 12988, ``Civil 
Justice Reform,'' 61 FR 4729 (Feb. 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. 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, 
the proposed rule 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'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a proposed regulatory action likely to result in a rule that may 
cause the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates 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,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. 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://energy.gov/gc/office-general-counsel. DOE examined this 
proposed rule according to UMRA and its statement of policy and 
determined that the 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.

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. 
This proposed rule would not have any impact on the autonomy or 
integrity of the family as an institution. Accordingly, DOE has 
concluded that it is not necessary to prepare a Family Policymaking 
Assessment.

I. Review Under Executive Order 12630

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

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

    Section 515 of 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 (Feb. 22, 2002), and 
DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). Pursuant 
to OMB Memorandum M-19-15, Improving Implementation of the Information 
Quality Act (April 24, 2019), DOE published updated guidelines which 
are available at https://www.energy.gov/sites/prod/files/2019/12/f70/DOE%20Final%20Updated%20IQA%20Guidelines%20Dec%202019.pdf. DOE has 
reviewed this proposed rule under the OMB and DOE 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 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.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of electric motors is not a significant 
regulatory action under Executive Order 12866. Moreover, it would not 
have a significant adverse effect on the supply, distribution, or use 
of energy, nor has it been designated as a significant energy action by 
the Administrator of OIRA. Therefore, it is not a significant energy 
action, and, accordingly, DOE has not prepared a Statement of Energy 
Effects.

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; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use

[[Page 71764]]

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 Attorney General and the 
Chairman of the Federal Trade Commission (``FTC'') concerning the 
impact of the commercial or industry standards on competition.
    The proposed modifications to the test procedure for electric 
motors would reference testing methods contained in certain sections of 
the following commercial standards, which DOE is proposing to 
incorporate by reference: CSA C390-10 (R2019), IEC 60034-12:2016, IEC 
60079-7:2015, IEC 61800-9-2:2017, NEMA MG 1-2016 with 2018 Supplements 
and NFPA 20-2019. DOE has evaluated these standards and is unable to 
conclude whether it fully complies with the requirements of section 
32(b) of the FEAA (i.e., whether it was developed in a manner that 
fully provides for public participation, comment, and review.) DOE will 
consult with both the Attorney General and the Chairman of the FTC 
concerning the impact of these test procedures on competition, prior to 
prescribing a final rule.

M. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference the test 
standards published by CSA, IEC, IEEE, NEMA and NFPA.
    CSA C390-10 (R2019) specifies test methods, marking requirements, 
and energy efficiency levels for three-phase induction motors.
    CSA C747-09 (R2019) specifies test methods for single-phase 
electric motors and polyphase electric motors below 1 hp.
    IEC 60034-1:2010 provides standardized performance and ratings, 
including test methods for electric motors.
    IEC 60034-2-1:2014 specifies test methods for single phase and 
polyphase induction motors and synchronous motors.
    IEC 60034-12:2016 specifies the parameters for eight designs (IEC 
Design N, Design NE, Design NY, Design NEY, IEC Design H, Design HE, 
Design HY, Design HEY) of starting performance of single-speed three-
phase 50 Hz or 60 Hz cage induction motors.
    IEC 60050-411 provides definitions related to electric motors.
    IEC 60051-1:2016 specifies definitions and general requirements for 
electrical measuring instruments.
    IEC 60072-1 specifies fixing dimensions, shaft extension dimensions 
and output powers, as well as permissible torques for continuous duty 
electric motors.
    IEC 60079-7:2015 is referenced within IEC 60034-12:2016 and 
specifies the requirements for the design, construction, testing and 
marking of electrical equipment and Ex Components with type of 
protection increased safety ``e'' intended for use in explosive gas 
atmospheres.
    IEC 61800-9-2:2017 specifies test methods for inverter-fed electric 
motors that include an inverter.
    IEEE 112-2017 specifies test methods for polyphase electric motors.
    IEEE 114-2010 specifies test methods for single-phase electric 
motors.
    NEMA MG1-2016 with 2018 Supplements provides test methods to 
determine motor efficiency and losses, including for air-over electric 
motors, and establishes several industry definitions.
    NFPA 20-2019 provides specifications for fire-pump motors.
    Copies of these standards can be obtained from the organizations 
directly at the following addresses:
     Canadian Standards Association, Sales Department, 5060 
Spectrum Way, Suite 100, Mississauga, Ontario, L4W 5N6, Canada, 1-800-
463-6727, or by visiting http://www.shopcsa.ca/onlinestore/welcome.asp.
     International Electrotechnical Commission, 3 rue de 
Varemb[eacute], 1st floor, P.O. Box 131, CH-1211 Geneva 20-Switzerland, 
+41 22 919 02 11, or by visiting https://webstore.iec.ch/home.
     Institute of Electrical and Electronics Engineers, 445 
Hoes Lane, P.O. Box 1331, Piscataway, NJ 08855-1331, (732) 981-0060, or 
by visiting http://www.ieee.org.
     NEMA, 1300 North 17th Street, Suite 900, Arlington, 
Virginia 22209, +1 (703) 841 3200, or by visiting https://www.nema.org.
     National Fire Protection Association, 1 Batterymarch Park, 
Quincy, MA 02169, +1 800 344 3555, or by visiting https://www.nfpa.org.

V. Public Participation

A. Participation in the Webinar

    The time and date of the public meeting held via webinar are listed 
in the DATES section at the beginning of this document. If no 
participants register for the webinar, it will be cancelled. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's website: www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=6&action=viewlive. 
Participants are responsible for ensuring their systems are compatible 
with the webinar software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the webinar. Such persons may submit requests, along with an advance 
electronic copy of their statement in PDF (preferred), Microsoft Word 
or Excel, WordPerfect, or text (ASCII) file format, to the appropriate 
address shown in the ADDRESSES section at the beginning of this NOPR. 
The request and advance copy of statements must be received at least 
one week before the public meeting and must be emailed. Please include 
a telephone number to enable DOE staff to make a follow-up contact, if 
needed.

C. Conduct of the Webinar

    DOE will designate a DOE official to preside at the webinar and may 
also use a professional facilitator to aid discussion. The webinar will 
not be a judicial or evidentiary-type public hearing, but DOE will 
conduct it in accordance with section 336 of EPCA (42 U.S.C. 6306). A 
court reporter will be present to record the proceedings and prepare a 
transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the webinar. After the public meeting and until the end of the comment 
period, interested parties may submit further comments on the 
proceedings and any aspect of the rulemaking.
    A transcript of the webinar will be included in the docket, which 
can be viewed as described in the Docket section at the beginning of 
this NOPR. In addition, any person may buy a copy of the transcript 
from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via www.regulations.gov. The 
www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE

[[Page 71765]]

Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization names, correspondence containing comments, and any 
documents submitted with the comments.
    Do not submit to www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through www.regulations.gov cannot be claimed as CBI. Comments received 
through the website will waive any CBI claims for the information 
submitted. For information on submitting CBI, see the Confidential 
Business Information section.
    DOE processes submissions made through www.regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.
    Submitting comments via email. Comments and documents submitted via 
email also will be posted to www.regulations.gov. If you do not want 
your personal contact information to be publicly viewable, do not 
include it in your comment or any accompanying documents. Instead, 
provide your contact information on a cover letter. Include your first 
and last names, email address, telephone number, and optional mailing 
address. The cover letter will not be publicly viewable as long as it 
does not include any comments
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. No faxes will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant 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 via 
email, postal mail, or hand delivery/courier two well-marked copies: 
One copy of the document marked confidential including all the 
information believed to be confidential, and one copy of the document 
marked non-confidential with the information believed to be 
confidential deleted. Submit these documents via email. DOE will make 
its own determination about the confidential status of the information 
and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE seeks comments on its proposed clarification of IEC Design 
NE, NY, NEY, HE, HY and HEY motors as variants of IEC Design N and IEC 
Design H motors, as applicable.
    (2) DOE requests comments on its proposal to add air-over electric 
motors to the scope of the test procedure. To the extent available, DOE 
requests that comments be accompanied by supporting information and 
data.
    (3) DOE requests comments on its proposal to add submersible 
electric motors to the scope of the test procedure.
    (4) DOE requests comments on its proposal to add electric motors 
greater than 500 hp (and up to 750 hp) that meet the criteria provided 
in 10 CFR 431.25(g) (except (8)) and are not listed at 10 CFR 
431.25(l)(2)-(4) to the scope of the test procedure. DOE requests 
comment and supporting information on whether an upper limit of 750 hp 
is appropriate for the proposed expanded scope of motors greater than 
500 hp--and if not, why not.
    (5) DOE requests comments on the proposal to include SNEMs, as 
specified in Table III.4, within the scope of the test procedure. 
Specifically, DOE requests feedback on each individual criteria listed 
in Table III.4. To the extent that these criteria should be revised, 
DOE seeks supporting information and justification for those revisions.
    (6) DOE requests comments on its proposal to add test procedure 
provisions for AC induction inverter-only electric motors. DOE seeks 
supporting information and justification for including or excluding AC 
induction inverter-only electric motors in the scope of the test 
procedure.
    (7) DOE requests comments on its proposal to add synchronous 
electric motors to the scope of the test procedure. Specifically, DOE 
request comments on whether the criteria listed in Table III.8 
accurately reflect DOE's intent to propose to include LSPM motors; PMAC 
motors; SR motors; SynRMs; and ECMs in the scope of the proposed test 
procedure. To the extent that the criteria listed in Table III.8 should 
be revised, DOE seeks supporting information and justification for the 
suggested revision.
    (8) DOE requests comment on maintaining the existing exemption of 
component sets of an electric motor from the scope of the test 
procedure.
    (9) DOE requests comment on maintaining the existing exemption of 
liquid-cooled electric motors from the scope of the test procedure.
    (10) DOE requests comment on whether any electric motors, when used 
as components of covered products or covered equipment, are unable to 
be tested under the DOE test procedure absent modification to the test 
procedure. If so, DOE requests information on what such modifications 
should be and why.
    (11) DOE seeks comments on the proposed updates to the definitions 
for IEC Design H, and IEC Design N, and the proposed additional 
definitions for IEC Design HE, HY, HEY, NE, NY and NEY.
    (12) DOE seeks comments on its assessment that updating the NEMA MG 
1 references in the DOE definitions to

[[Page 71766]]

NEMA MG 1-2016 with 2018 Supplements would not substantially change the 
definitions currently prescribed in 10 CFR 431.12. DOE also seeks 
comment on whether the proposed updates would alter the measured 
efficiency of electric motors.
    (13) DOE seeks comments on the proposed definitions of ``inverter-
only electric motor'' ``inverter-capable electric motor'' and 
``inverter''. If these definitions should be revised, DOE requests 
supporting information and justification for these revisions.
    (14) DOE requests comments (i.e., supporting information and 
technical justification) on the proposed definition for an air-over 
electric motor--including technical information and support on whether 
and why the definition should be modified.
    (15) DOE requests comments (i.e., supporting information and 
technical justification) on the proposed definition for a liquid-cooled 
electric motor--including technical information and support on whether 
and why the definition should be modified.
    (16) DOE seeks comments on whether its assessment of the updates to 
IEC 60034-12:2016 is accurate and on its proposal to incorporate by 
reference the 2016 version of IEC 60034-12, including reference to IEC 
60079-7:2015.
    (17) DOE seeks comments on whether its assessment of the updates to 
NFPA 20-2019 is accurate. In addition, DOE seeks comment on its 
proposal to reference section 9.5 of NFPA 20-2019, the most current 
test standard.
    (18) DOE seeks comment on whether the clause ``including any IEC-
equivalent'' should be maintained in the fire pump electric motor 
definition, considering that section 9.5 of NFPA 20-2019 now includes 
this specification.
    (19) DOE seeks comments on whether its assessment of the updated 
paragraph 12.58.1 of NEMA MG1-2016 with 2018 Supplements is accurate. 
DOE also seeks comment on its proposal to incorporate IEEE 112-2017, 
CSA C390-10 (R2019), and IEC 60034-2-1:2014, and on its preliminary 
determination that updating these references to the latest version of 
each standard would not affect the measured efficiency of an electric 
motor currently subject to energy conservation standards at 10 CFR 
431.25.
    (20) DOE requests comment on its proposal to specify using Section 
34.4, with modification, for measuring the efficiency of air-over 
electric motors. DOE requests feedback on the proposal to specify a 
single target temperature 75 [deg]C for polyphase motors.
    (21) DOE requests comment on its conclusion that Section 34.4 is 
less repeatable than Section 34.5.
    (22) DOE requests comment on its conclusion that measured 
efficiency correlates inversely with the temperature the motor is 
tested at.
    (23) DOE requests feedback and supporting data on the repeatability 
and level of accuracy of the methods included Section 34.4 and 34.5, 
and on whether these or other methods would lead to equivalent results 
when applied to the same motor.
    (24) DOE requests comment on whether some air-over electric motors 
could thermally stabilize at a temperature that is lower than the 
proposed target temperature of 75 [deg]C. If yes, DOE requests comment 
on how these should be tested.
    (25) DOE requests comment on whether the proposed test procedure is 
applicable to all air-over electric motors in scope. If not, DOE is 
requesting information and feedback on which air-over electric motors 
cannot be tested in accordance with the proposed test procedure and on 
any revisions needed.
    (26) DOE requests comment on the proposed test method for measuring 
the efficiency of additional SNEMs (not including inverter-only 
electric motors, air-over electric motors, or submersible electric 
motors).
    (27) DOE requests feedback on the proposed test methods for 
synchronous electric motors and AC induction inverter-only electric 
motors. Specifically, DOE requests feedback on the proposal to test 
direct-on-line synchronous motors and inverter-capable electric motors 
in accordance with IEC 60034-2-1:2014. In addition, DOE requests 
feedback on the proposal to test inverter-only electric motors in 
accordance with IEC 61800-9-2:2017 and specifying, for inverter-only 
motors that do not include an inverter, that testing must be conducted 
using an inverter as recommended in the manufacturer's catalogs or 
offered for sale with the electric motor.
    (28) DOE requests feedback how inverter-only electric motors sold 
with or without an inverter are typically tested (i.e., inclusive of 
the inverter or not, and on whether the test measurements include the 
inverter). DOE requests feedback and supporting information on whether 
there would be any benefits to considering a test method that measures 
the combined efficiency of the motor and inverter for inverter-capable 
electric motors (with and without inverters).
    (29) For inverter-only electric motors without inverters, DOE 
requests comment on the proposal to conduct the test using an inverter 
as recommended in the manufacturer's catalogs or offered for sale with 
the electric motor to determine a combined motor and inverter 
efficiency. DOE also requests feedback on which inverter should be 
selected for testing in the case where more than one inverter is 
recommended in the manufacturer's catalogs or offered for sale with the 
electric motor. To the extent other approaches should be considered, 
DOE requests feedback and supporting information.
    (30) For inverter-only electric motors sold without inverters, DOE 
requests comment on whether these motors should be tested using the 
method in section 6.2 of IEC 60034-2-3:2020, with a ``comparable 
inverter'' in accordance with section 5 of IEC 60034-2-3:2020.
    (31) DOE requests comments on its proposal to use full-load 
efficiency as the metric for measuring the performance of the 
additional electric motors proposed in scope. Specifically, DOE 
requests comment on the proposed load points associated with each 
electric motor category. If any different load points or metric should 
be considered, DOE requests information and data to support those load 
points and any alternate metric.
    (32) DOE requests comments whether it should consider an efficiency 
metric inclusive of the inverter efficiency for inverter-capable 
electric motors and inverter-only electric motors sold with or without 
inverters.
    (33) DOE requests comment on its proposal to specify rated output 
power for induction motors based on frame size requirements in NEMA MG-
2016 with 2018 Supplements. Specifically, DOE requests comment on 
whether the proposed specification of rated output power for sections 
2.1, 2.2, and 2.4 of Appendix B accurately describe how manufacturers 
are currently determining the rated output power for electric motors.
    (34) DOE seeks comment on how rated output power and breakdown 
torque are determined for the additional motors proposed to be added to 
scope (specifically synchronous electric motors); whether breakdown 
torque needs to be defined; and if so, how.
    (35) DOE seeks comment on the proposed definition for ``rated 
voltage'' for electric motors currently in scope and expanded scope 
motors.
    (36) DOE seeks comment on its proposal to allow `Usable at' 
voltages on the nameplate to be selected for testing, and how these 
`Usable at' voltages differ from a ``rated voltage'' as currently 
labeled on certain electric motor nameplates.

[[Page 71767]]

    (37) DOE seeks comment on if ``rated voltage'' should be defined 
differently for currently in scope motors and newly included motors in 
the proposed expanded scope.
    (38) DOE seeks comment on the proposed test procedure for 
submersible electric motors based on Section 34.4 of NEMA MG1-2016 with 
its 2018 Supplements.
    (39) DOE also seeks comment on the proposed modifications to 
Section 34.4 of NEMA MG1-2016 with its 2018 Supplements, and if further 
modifications are warranted for use with submersible electric motors.
    (40) DOE seeks comment and supporting data on if the submersible 
test procedure should only apply to a certain range of horsepower 
rating, or if it should apply to all submersible electric motors, 
regardless of rated horsepower.
    (41) DOE requests comment on the proposed changes to the testing 
requirement for certain vertical electric motors.
    (42) DOE requests comment on whether it should be specified in the 
test method that the coupling torsional rigidity exceed the rigidity of 
the motor shaft it is connected to.
    (43) DOE requests comment on the proposed language clarifying 
testing of electric motors with shaft seals.
    (44) DOE requests comments on the proposed application of the 
additional testing instructions in Sections 3.1 through 3.8 of appendix 
B to the additional electric motors proposed for inclusion in scope of 
the test procedure. To the extent that revisions to the additional 
instructions other than those discussed are needed, DOE requests 
supporting information and justification for these revisions.
    (45) DOE requests comments in the proposed definition of 
independent as it pertains to nationally recognized testing programs, 
certification programs, and accreditation bodies.
    (46) DOE requests comments on the three proposed options through 
which manufacturers must certify electric motors as compliant.
    (47) DOE seeks comments on its proposal to specify how to determine 
the nominal full load efficiency of a basic model of electric motors 
when the average full-load efficiency of that basic model is known.
    (48) DOE requests comment on its proposal to allow using average 
full-load efficiency values as alternative represented values for 
electric motors.
    (49) DOE requests comment on its proposal to require that, on or 
after the compliance date for any new or amended standards for electric 
motors published after January 1, 2021, manufacturers must calculate 
the average full-load efficiency of a basic model as the arithmetic 
mean of the full-load efficiencies of a sample of electric motors and 
on the proposal to add a requirement that no electric motor tested in 
the sample has losses exceeding 15 percent of those permitted by the 
applicable energy conservation standard.
    (50) DOE requests comment on the proposal to add a requirement to 
specify that nationally recognized certification programs for electric 
motors must follow provisions as proposed in Sec. Sec.  429.64 and 
429.70(i).
    (51) DOE requests comment on its proposal to require that within 
one year of publication of a test procedures or certification, 
compliance and enforcement final rule pertaining to electric motors, 
all certification programs must either submit a letter to DOE 
certifying that no change to their program is needed or submit a letter 
describing the measures implemented to ensure the criteria in the 
proposed Sec.  429.73(b) are still met. If a certification program 
submits a letter describing updates, DOE requests comment on its 
proposal to maintain the program's recognition until DOE reviews the 
measures implemented.
    (52) DOE requests comments on the proposed requirements for 
validation and subsequent verification of an AEDM.
    (53) DOE requests comment on its estimate that 50 percent of the 
current market of the proposed expanded scope electric motors and DPPP 
motors make voluntary representations.
    (54) DOE requests comment on the in-house and third-party single 
unit test costs.
    (55) DOE requests comment on its estimation of reduction in testing 
cost due to the proposed requirements for testing of vertical electric 
motors.
    (56) DOE requests comments on the benefits and burdens of the 
proposed updates and additions to industry standards referenced in the 
test procedure for electric motors.
    (57) DOE requests comment on the number of small businesses DOE 
identified and the number of potential electric motor models that small 
business manufacturers would make voluntary representations regarding 
the energy consumption or cost of energy of such electric motors. DOE 
also requests comment on any other potential costs small businesses may 
incur due to the proposed amended test procedures, if finalized.

VI. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Incorporation 
by reference, Reporting and recordkeeping requirements.

10 CFR Part 431

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

Signing Authority

    This document of the Department of Energy was signed on November 
17, 2021, by Kelly Speakes-Backman, Principal Deputy Assistant 
Secretary for Energy Efficiency and Renewable Energy, pursuant to 
delegated authority from the Secretary of Energy. That document with 
the original signature and date is maintained by DOE. For 
administrative purposes only, and in compliance with requirements of 
the Office of the Federal Register, the undersigned DOE Federal 
Register Liaison Officer has been authorized to sign and submit the 
document in electronic format for publication, as an official document 
of the Department of Energy. This administrative process in no way 
alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on November 19, 2021.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 431 of Chapter II of Title 10, Code of Federal 
Regulations as set forth below:

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER 
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

0
1. The authority citation for part 429 continues to read as follows:

    Authority:  42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
2. Revise Sec.  429.1 to read as follows:

[[Page 71768]]

Sec.  429.1  Purpose and scope.

    This part sets forth the procedures for certification, 
determination and enforcement of compliance of covered products and 
covered equipment with the applicable energy conservation standards set 
forth in parts 430 and 431 of this subchapter.
0
3. Amend Sec.  429.2 by:
0
a. Revising paragraph (a); and
0
b. Adding in alphabetical order, the definition for ``independent''.
    The revision and addition read as follows:


Sec.  429.2  Definitions.

    (a) The definitions found in 10 CFR parts 430 and 431 apply for 
purposes of this part.
* * * * *
    Independent means, in the context of a nationally recognized 
testing program, certification program, or accreditation program for 
electric motors, an entity that is not controlled by, or under common 
control with, electric motor manufacturers, importers, private 
labelers, or vendors, and that has no affiliation, financial ties, or 
contractual agreements, apparently or otherwise, with such entities 
that would:
    (1) Hinder the ability of the program to evaluate fully or report 
the measured or calculated energy efficiency of any electric motor, or
    (2) Create any potential or actual conflict of interest that would 
undermine the validity of said evaluation. For purposes of this 
definition, financial ties or contractual agreements between an 
electric motor manufacturer, importer, private labeler or vendor and a 
nationally recognized testing program, certification program, or 
accreditation program exclusively for testing, certification, or 
accreditation services does not negate an otherwise independent 
relationship.
* * * * *
0
4. Add Sec.  429.3 to read as follows:


Sec.  429.3  Sources for information and guidance.

    (a) General. The standards listed in this paragraph are referred to 
in Sec. Sec.  429.73 and 429.74 and are not incorporated by reference. 
These sources are provided here for information and guidance only.
    (b) 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) International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), (``ISO/IEC'') Guide 
25, ``General requirements for the competence of calibration and 
testing laboratories'', December 1, 1990.
    (2) International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), (``ISO/IEC'') Guide 
27, ``Guidelines for corrective action to be taken by a certification 
body in the event of misuse of its mark of conformity'', March 1, 1983.
    (3) International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), (``ISO/IEC'') Guide 
28, ``Conformity assessment--Guidance on a third-party certification 
system for products,'' October 1, 2004.
    (4) International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), (``ISO/IEC '') Guide 
58, ``Calibration and testing laboratory accreditation systems--General 
requirements for operation and recognition,'' February 11, 1993.
    (5) International Organization for Standardization (ISO)/
International Electrotechnical Commission (IEC), (``ISO/IEC '') Guide 
65, ``General requirements for bodies operating product certification 
systems,'' June 27, 1996.
    (c) NVLAP. National Voluntary Laboratory Accreditation Program, 
National Institute of Standards and Technology, 100 Bureau Drive, M/S 
2140, Gaithersburg, MD 20899-2140, 301-975-4016, or go to www.nist.gov/
nvlap/. Also see http://www.nist.gov/nvlap/nvlap-handbooks.cfm.
    (1) National Institute of Standards and Technology (NIST) Handbook 
150, ``NVLAP Procedures and General Requirements,'' 2006 edition, 
February 2006.
    (2) National Institute of Standards and Technology (NIST) Handbook 
150-10, ``Efficiency of Electric Motors,'' 2007 edition, February 2007.
0
5. Revise Sec.  429.11 to read as follows:


Sec.  429.11   General sampling requirements for selecting units to be 
tested.

    (a) When testing of covered products or covered equipment is 
required to comply with section 323(c) of the Act, or to comply with 
rules prescribed under sections 324, 325, 342, 344, 345 or 346 of the 
Act, a sample comprised of production units (or units representative of 
production units) of the basic model being tested must be selected at 
random and tested and must meet the criteria found in Sec. Sec.  429.14 
through 429.66. Any represented values of measures of energy 
efficiency, water efficiency, energy consumption, or water consumption 
for all individual models represented by a given basic model must be 
the same; and
    (b) The minimum number of units tested must be no less than two, 
unless otherwise specified. A different minimum number of units may be 
specified for certain products in Sec. Sec.  429.14 through 429.66. If 
fewer than the number of units required for testing is manufactured, 
each unit must be tested.
0
6. Add Sec.  429.64 to read as follows:


Sec.  429.64  Electric motors.

    (a) Applicability. When a party determines the energy efficiency of 
an electric motor in order to comply with an obligation imposed on it 
by or pursuant to Part C of Title III of EPCA, 42 U.S.C. 6311-6316, 
this section applies. This section does not apply to enforcement 
testing conducted pursuant to Sec.  431.192 of this chapter. This 
section applies to electric motors that are subject to requirements in 
subpart B of part 431 of this chapter and does not apply to dedicated-
purpose pool pump motors subject to requirements in subpart Z of part 
431.
    (1) Prior to the date described in paragraph (a)(2) of this 
section, manufacturers of electric motors subject to energy 
conservation standards in subpart B of part 431 must make 
representations of energy efficiency, including representations for 
certification of compliance, in accordance with paragraphs (b) and (c) 
of this section.
    (2) On and after the compliance date for any new or amended 
standards for electric motors published after January 1, 2021, 
manufacturers of electric motors subject to energy conservation 
standards in subpart B of part 431 of this chapter must make 
representations of energy efficiency, including representations for 
certification of compliance, in accordance with paragraphs (d) through 
(f) this section.
    (b)(1) General requirements. The represented value of nominal full-
load efficiency of each basic model of electric motor must be 
determined either by testing in accordance with Sec.  431.16 of this 
chapter, or by application of an alternative efficiency determination 
method (AEDM) that meets the requirements of paragraph (b)(2) of this 
section.
    (2) Alternative efficiency determination method. In lieu of 
testing, the represented value of nominal full-load efficiency for a 
basic model of electric motor must be determined through the 
application of an AEDM pursuant to the requirements of

[[Page 71769]]

Sec.  429.70(i) of this part and the provisions of paragraphs (b) and 
(c) of this section, where:
    (i) The average full-load efficiency of any basic model used to 
validate an AEDM must be calculated under paragraph (c) of this 
section.
    (ii) The represented value is the nominal full-load efficiency of a 
basic model of electric motor and is to be used in marketing materials 
and all public representations, as the certified value of efficiency, 
and on the nameplate. (See Sec.  431.31(a) of this chapter.) Determine 
the nominal full-load efficiency by selecting a value from the 
``Nominal Full-Load Efficiency'' Table in appendix B to subpart B of 
this part that is no greater than the simulated full-load efficiency 
predicted by the AEDM for the basic model.
    (3) Use of a certification program or accredited laboratory. (i) A 
manufacturer may have a certification program, that DOE has classified 
as nationally recognized under Sec.  429.73, certify the nominal full-
load efficiency of a basic model of electric motor, and issue a 
certificate of conformity for the motor.
    (ii) For each basic model for which a certification program is not 
used as described in paragraph (b)(3)(i) of this section, any testing 
of the motor pursuant to paragraphs (b)(1) or (2) of this section to 
determine its energy efficiency must be carried out:
    (A) For certification of a new basic model pursuant to Sec.  
431.36(e) of this chapter required prior to [DATE 180 DAYS FOLLOWING 
PUBLICATION OF FINAL RULE], in accordance with paragraph (c) of this 
section in an accredited laboratory that meets the requirements of 
Sec.  431.18 of this chapter;
    (B) For certification of a new basic model pursuant to Sec.  
431.36(e) of this chapter required on or after [DATE 180 DAYS FOLLOWING 
PUBLICATION OF FINAL RULE], in a nationally recognized testing program 
that meets the requirements of paragraph (f) of this section.
    (c) Additional testing requirements applicable when a certification 
program is not used--(1) Selection of units for testing. For each basic 
model selected for testing, a sample of units shall be selected at 
random and tested. Components of similar design may be substituted 
without requiring additional testing if the represented measures of 
energy consumption continue to satisfy the applicable sampling 
provision.
    (2) Sampling requirements. 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 not fewer than five 
units, except that 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. In a test of compliance with a 
represented average or nominal efficiency:
    (i) The average full-load efficiency of the sample x , which is 
defined by:
[GRAPHIC] [TIFF OMITTED] TP17DE21.000


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] TP17DE21.001


where RE is the represented nominal full-load efficiency, and
    (ii) The lowest full-load efficiency in the sample xmin , which is 
defined by:

xmin = min (xi =)


shall satisfy the condition:
[GRAPHIC] [TIFF OMITTED] TP17DE21.002

    (d) Compliance certification. A manufacturer may not certify the 
compliance of an electric motor pursuant to Sec.  429.12 unless:
    (1) Testing of the electric motor basic model was conducted using a 
nationally recognized testing program that meets the requirements of 
paragraph (f) of this section;
    (2) Testing was conducted using a laboratory other than a 
nationally recognized testing program that meets the requirements of 
paragraph (f) of this section, or the nominal full-load efficiency of 
the electric motor basic model was determined through the application 
of an AEDM pursuant to the requirements of Sec.  429.70(i), and a 
third-party certification organization that is nationally recognized in 
the United States under Sec.  429.73 has certified the nominal full-
load efficiency of the electric motor basic model through issuance of a 
certificate of conformity for the basic model.
    (e) Determination of represented value. A manufacturer must 
determine the represented value of nominal full-load efficiency 
(inclusive of the inverter for inverter-only electric motors) for each 
basic model of electric motor either by testing in conjunction with the 
applicable sampling provisions or by applying an AEDM as set forth in 
this section and in Sec.  429.70(i).
    (1) Testing--(i) Units to be tested. If the represented value for a 
given basic model is determined through testing, the requirements of 
Sec.  429.11 apply except that, for electric motors, the minimum sample 
size is five units. If fewer units than the minimum sample size are 
produced, each unit produced must be tested and the test results must 
demonstrate that the basic model performs at or better than the 
applicable standard(s). If one or more units of the basic model are 
manufactured subsequently, compliance with the default sampling and 
representations provisions is required.
    (ii) Average Full-load Efficiency: Determine the average full-load 
efficiency for the basic model x, for the units in the sample as 
follows:
[GRAPHIC] [TIFF OMITTED] TP17DE21.003


Where xi is the measured full-load efficiency of unit i and 
n is the number of units tested.
    (iii) Represented value. The represented value is the nominal full-
load efficiency of a basic model of electric motor and is to be used in 
marketing materials and all public representations, as the certified 
value of efficiency, and on the nameplate. (See Sec.  431.31(a) of this 
chapter.) Determine the nominal full-load efficiency by selecting an 
efficiency from the ``Nominal Full-load Efficiency'' Table in Appendix 
B that is no greater than the average full-load efficiency of the basic 
model as calculated in Sec.  429.64(e)(1)(ii). Alternatively, a 
manufacturer may make representations of the represented value of the 
average full-load efficiency of a basic model of electric motor 
provided that the manufacturer uses the average full-load efficiency 
consistently on all marketing materials, public representations and as 
the value on the nameplate (See Sec.  431.31(a) of this chapter). The 
represented value must be clearly identified as either Avg Eff. (if 
using average full-load efficiency) or as specified in Sec.  
431.31(a)(2) of this chapter (if using nominal full-load efficiency).
    (iv) Minimum full-load efficiency: To ensure a high level of 
quality control and consistency of performance within the basic model, 
the lowest full-load efficiency in the sample xmin, must satisfy the 
condition:

[[Page 71770]]

[GRAPHIC] [TIFF OMITTED] TP17DE21.004


where Std is the value of the applicable energy conservation standard.

If the lowest measured full-load efficiency of a motor in the tested 
sample does not satisfy the condition in this section, then the basic 
model cannot be certified as compliant with the applicable standard.
    (2) Alternative efficiency determination methods. In lieu of 
testing, the represented value of nominal full-load efficiency for a 
basic model of electric motor must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70(i) 
and the provisions of this section, where:
    (i) The average full-load efficiency of any basic model used to 
validate an AEDM must be calculated under paragraph (e)(1)(ii) of this 
section; and
    (ii) The represented value is the nominal full-load efficiency of a 
basic model of electric motor and is to be used in marketing materials 
and all public representations, as the certified value of efficiency, 
and on the nameplate. (See Sec.  431.31(a) of this chapter) Determine 
the nominal full-load efficiency by selecting a value from the 
``Nominal Full-Load Efficiency'' Table in appendix B to subpart B of 
this part, that is no greater than the simulated full-load efficiency 
predicted by the AEDM for the basic model.
    (f) Nationally recognized testing program. (1) Testing pursuant to 
paragraphs (b)(3)(ii)(B) and (d)(1) of this section must be conducted 
in an independent (as defined at 10 CFR 431.12) nationally recognized 
testing program for which the accreditation body was:
    (i) The National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program (NIST/NVLAP); or
    (ii) A laboratory accreditation body having a mutual recognition 
arrangement with NIST/NVLAP; or
    (iii) An organization classified by the Department, pursuant to 
Sec.  429.74, as an accreditation body.
    (2) 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, (referenced for 
guidance only, see Sec.  429.3) 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. 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).
0
7. Add Sec.  429.65 to read as follows:


Sec.  429.65  Dedicated-purpose pool pump motors.

    (a) Applicability. This section applies to dedicated purpose motors 
that are subject to requirements in subpart Z of part 431 of this 
chapter. Starting on the compliance date for any standards for 
dedicated-purpose pool pump motors published after January 1, 2021, 
manufacturers of dedicated-purpose pool pump motors subject to such 
standards must make representations of energy efficiency, including 
representations for certification of compliance, in accordance with 
this section.
    (b) Compliance certification. A manufacturer may not certify the 
compliance of a dedicated-purpose pool pump motor pursuant to 10 CFR 
429.12 unless:
    (1) Testing of the dedicated-purpose pool pump motor basic model 
was conducted using a nationally recognized testing program that meets 
the requirements of paragraph (d) of this section;
    (2) Testing was conducted using a laboratory other than a 
nationally recognized testing program that meets the requirements of 
paragraph (d) of this section, or the full-load efficiency of the 
dedicated-purpose pool pump motor basic model was determined through 
the application of an AEDM pursuant to the requirements of Sec.  
429.70(j), and a third-party certification organization that is 
nationally recognized in the United States under Sec.  429.73 has 
certified the full-load efficiency of the dedicated-purpose pool pump 
motor basic model through issuance of a certificate of conformity for 
the basic model.
    (c) Determination of represented value. A manufacturer must 
determine the represented value of full-load efficiency (inclusive of 
the drive, if the dedicated-purpose pool pump motor basic model is 
placed into commerce with a drive, or is unable to operate without the 
presence of a drive) for each basic model of dedicated-purpose pool 
pump motor either by testing in conjunction with the applicable 
sampling provisions or by applying an AEDM as set forth in this section 
and in Sec.  429.70(j).
    (1) Testing--(i) Units to be tested. If the represented value for a 
given basic model is determined through testing, the requirements of 
Sec.  429.11 apply except that, for dedicated-purpose pool pump motors, 
the minimum sample size is five units. If fewer units than the minimum 
sample size are produced, each unit produced must be tested and the 
test results must demonstrate that the basic model performs at or 
better than the applicable standard(s). If one or more units of the 
basic model are manufactured subsequently, compliance with the default 
sampling and representations provisions is required.
    (ii) Full-load efficiency. Any value of full-load efficiency must 
be lower than or equal to the average of the sample Xmin, 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TP17DE21.005


Where xi is the measured full-load efficiency of unit i and 
n is the number of units tested in the sample.
    (iii) Represented value. The represented value is the full-load 
efficiency of a basic model of dedicated-purpose pool pump motor and is 
to be used in marketing materials and all public representations, as 
the certified value of efficiency, and on the nameplate. (See Sec.  
431.486 of this chapter). Alternatively, a manufacturer may make 
representations using the nominal full-load efficiency of a basic model 
of dedicated-purpose pool pump motor provided that the manufacturer 
uses the nominal full-load efficiency consistently on all marketing 
materials, and as the value on the nameplate. Determine the nominal 
full-load efficiency by selecting an efficiency from the ``Nominal 
Full-load Efficiency'' Table in appendix B to subpart B of this part, 
that is no greater than the full-load efficiency of the basic model as 
calculated in Sec.  429.65(c)(1)(ii).
    (iv) Minimum full-load efficiency: To ensure quality control and 
consistency of performance within the basic model, the lowest full-load 
efficiency in the sample , must satisfy the condition:

[[Page 71771]]

[GRAPHIC] [TIFF OMITTED] TP17DE21.006


where Std is the value of any applicable energy conservation standard.
    If the lowest measured full-load efficiency of a motor in the 
tested sample does not satisfy the condition in this section, then the 
basic model cannot be certified as compliant with the applicable 
standard.
    (v) Dedicated-purpose pool pump motor total horsepower. The 
represented value of the total horsepower of a basic model of 
dedicated-purpose pool pump motor must be the mean of the dedicated-
purpose pool pump motor total horsepower for each tested unit in the 
sample.
    (2) Alternative efficiency determination methods. In lieu of 
testing, the represented value of full-load efficiency for a basic 
model of dedicated-purpose pool pump motor must be determined through 
the application of an AEDM pursuant to the requirements of Sec.  
429.70(j) and the provisions of this section, where:
    (i) The full-load efficiency of any basic model used to validate an 
AEDM must be calculated under paragraph (c)(1)(ii) of this section; and
    (ii) The represented value is the full-load efficiency of a basic 
model of dedicated-purpose pool pump motor and is to be used in 
marketing materials and all public representations, as the certified 
value of efficiency, and on the nameplate. (See Sec.  431.485 of this 
chapter). Alternatively, a manufacturer may make representations using 
the nominal full-load efficiency of a basic model of dedicated-purpose 
pool pump motor provided that the manufacturer uses the nominal full-
load efficiency consistently on all marketing materials, and as the 
value on the nameplate. Determine the nominal full-load efficiency by 
selecting an efficiency from the ``Nominal Full-load Efficiency'' Table 
in appendix B to subpart B of this part, that is no greater than the 
full-load efficiency of the basic model as calculated in Sec.  
429.65(c)(1)(ii).
    (d) Nationally recognized testing program. (1) Testing pursuant to 
paragraph (b) of this section must be conducted in an independent (as 
defined at 10 CFR 431.12 of this chapter) nationally recognized testing 
program for which the accreditation body was:
    (i) The National Institute of Standards and Technology/National 
Voluntary Laboratory Accreditation Program (NIST/NVLAP); or
    (ii) A laboratory accreditation body having a mutual recognition 
arrangement with NIST/NVLAP; or
    (iii) An organization classified by the Department, pursuant to 
Sec.  429.74, as an accreditation body.
    (2) 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, (referenced for 
guidance only, see Sec.  429.3) 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. 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).
0
8. Amend Sec.  429.70 by:
0
a. Revising paragraph (a); and
0
b. Adding paragraphs (i) and (j).
    The revision and additions read as follows:


Sec.  429.70  Alternative methods for determining energy efficiency and 
energy use.

    (a) General. A manufacturer of covered products or covered 
equipment explicitly authorized to use an AEDM in Sec. Sec.  429.14 
through 429.65 may not distribute any basic model of such product or 
equipment in commerce unless the manufacturer has determined the energy 
consumption or energy efficiency of the basic model, either from 
testing the basic model in conjunction with DOE's certification 
sampling plans and statistics or from applying an alternative method 
for determining energy efficiency or energy use (i.e., AEDM) to the 
basic model, in accordance with the requirements of this section. In 
instances where a manufacturer has tested a basic model to validate the 
AEDM, the represented value of energy consumption or efficiency of that 
basic model must be determined and certified according to results from 
actual testing in conjunction with 10 CFR part 429, subpart B 
certification sampling plans and statistics. In addition, a 
manufacturer may not knowingly use an AEDM to overrate the efficiency 
of a basic model.
* * * * *
    (i) Alternative efficiency determination method (AEDM) for electric 
motors subject to requirements in subpart B of part 431 of this 
chapter--(1) Criteria an AEDM must satisfy. A manufacturer is not 
permitted to apply an AEDM to a basic model of electric motor to 
determine its efficiency pursuant to this section unless:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency characteristics and losses of the basic model as 
measured by the applicable DOE test procedure and accurately represents 
the mechanical and electrical characteristics of that basic model, and
    (ii) The AEDM is based on engineering or statistical analysis, 
computer simulation or modeling, or other analytic evaluation of actual 
performance data.
    (iii) The manufacturer has validated the AEDM in accordance with 
paragraph (i)(2) of this section with basic models that meet the 
current Federal energy conservation standards (if any).
    (2) Validation of an AEDM. Before using an AEDM, the manufacturer 
must validate the AEDM's accuracy and reliability by comparing the 
simulated full-load losses to tested average full-load losses as 
follows.
    (i) Select basic models. A manufacturer must select at least five 
basic models compliant with the energy conservation standards at Sec.  
431.25 of this chapter (if any), in accordance with the following 
criteria:
    (A) Two of the basic models must be among the five basic models 
with the highest unit volumes of production by the manufacturer in the 
prior 5 years.
    (B) No two basic models may have the same horsepower rating;
    (C) No two basic models may have the same frame number series; and
    (D) Each basic model must have the lowest average full-load 
efficiency among the basic models within the same equipment class.
    (E) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, prioritize the criteria in the order in which they are 
listed. Within the limits imposed by the criteria, select basic models 
randomly.

[[Page 71772]]

    (F) A basic model with a sample size of fewer than five units may 
not be selected to validate an AEDM.
    (ii) Apply the AEDM to the selected basic models. Using the AEDM, 
calculate the simulated full-load losses for each of the selected basic 
models as follows: Hp x (1/simulated full-load efficiency-1), where hp 
is the horsepower of the basic model.
    (iii) Test at least five units of each of the selected basic models 
in accordance with Sec.  431.16 of this chapter. Use the measured full-
load losses for each of the tested units to determine the average of 
the measured full-load losses for each of the selected basic models.
    (iv) Compare. The simulated full-load losses for each basic model 
(paragraph (i)(2)(ii) of this section) must be greater than or equal to 
90 percent of the average of the measured full-load losses (paragraph 
(i)(2)(iii) of this section) (i.e., 0.90x average of the measured full-
load losses <= simulated full-load losses).
    (3) Verification of an AEDM. (i) Each manufacturer must 
periodically select basic models representative of those to which it 
has applied an AEDM. The manufacturer must select a sufficient number 
of basic models to ensure the AEDM maintains its accuracy and 
reliability. For each basic model selected for verification:
    (A) Subject at least one unit to testing in accordance with Sec.  
431.16 of this chapter by a nationally recognized testing program that 
meets the requirements of Sec.  429.74. The simulated full-load losses 
for each unit must be greater than or equal to 90 percent of the 
measured full-load losses (i.e., 0.90x average of the measured full-
load losses <= simulated full-load losses); or
    (B) Have a certification body recognized under Sec.  429.73 certify 
the results of the AEDM accurately represent the basic model's average 
full-load efficiency.
    (ii) Each manufacturer that has used an AEDM under this section 
must have available for inspection by the Department of Energy records 
showing:
    (A) The method or methods used to develop the AEDM;
    (B) The mathematical model, the engineering or statistical 
analysis, computer simulation or modeling, and other analytic 
evaluation of performance data on which the AEDM is based;
    (C) Complete test data, product information, and related 
information that the manufacturer has generated or acquired pursuant to 
paragraphs (i)(2) and (3) of this section; and
    (D) The calculations used to determine the simulated full-load 
efficiency of each basic model to which the AEDM was applied.
    (iii) If requested by the Department, the manufacturer must:
    (A) Conduct simulations to predict the performance of particular 
basic models of electric motors specified by the Department;
    (B) Provide analyses of previous simulations conducted by the 
manufacturer; and/or
    (C) Conduct testing of basic models selected by the Department.
    (j) Alternative efficiency determination method (AEDM) for 
dedicated-purpose pool pump motors subject to requirements in subpart Z 
of part 431 of this chapter.
    (1) Criteria an AEDM must satisfy. A manufacturer is not permitted 
to apply an AEDM to a basic model of dedicated-purpose pool pump 
motors, to determine its efficiency pursuant to this section unless:
    (i) The AEDM is derived from a mathematical model that estimates 
the energy efficiency characteristics and losses of the basic model as 
measured by the applicable DOE test procedure and accurately represents 
the mechanical and electrical characteristics of that basic model, and
    (ii) The AEDM is based on engineering or statistical analysis, 
computer simulation or modeling, or other analytic evaluation of actual 
performance data.
    (iii) The manufacturer has validated the AEDM in accordance with 
paragraph (i)(2) of this section with basic models that meet the 
current Federal energy conservation standards (if any).
    (2) Validation of an AEDM. Before using an AEDM, the manufacturer 
must validate the AEDM's accuracy and reliability by comparing the 
simulated full-load losses to tested full-load losses as follows.
    (i) Select basic models. A manufacturer must select at least five 
basic models compliant with any energy conservation standards at Sec.  
431.485 of this chapter (if any), in accordance with the following 
criteria:
    (A) Two of the basic models must be among the five basic models 
with the highest unit volumes of production by the manufacturer in the 
prior 5 years.
    (B) No two basic models may have the same total horsepower rating;
    (C) No two basic models may have the same speed configuration; and
    (D) Each basic model must have the lowest full-load efficiency 
among the basic models within the same equipment class.
    (E) In any instance where it is impossible for a manufacturer to 
select basic models for testing in accordance with all of these 
criteria, prioritize the criteria in the order in which they are 
listed. Within the limits imposed by the criteria, select basic models 
randomly.
    (F) A basic model with a sample size of fewer than five units may 
not be selected to validate an AEDM.
    (ii) Apply the AEDM to the selected basic models. Using the AEDM, 
calculate the simulated full-load losses for each of the selected basic 
models as follows: THP x (1/simulated full-load efficiency-1), where 
THP is the total horsepower of the basic model.
    (iii) Test at least five units of each of the selected basic models 
in accordance with Sec.  431.483 of this chapter. Use the measured 
full-load losses for each of the tested units to determine the average 
of the measured full-load losses for each of the selected basic models.
    (iv) Compare. The simulated full-load losses for each basic model 
(paragraph (i)(2)(ii) of this section) must be greater than or equal to 
90 percent of the average of the measured full-load losses (paragraph 
(i)(2)(iii) of this section) (i.e., 0.90x average of the measured full-
load losses <= simulated full-load losses).
    (3) Verification of an AEDM. (i) Each manufacturer must 
periodically select basic models representative of those to which it 
has applied an AEDM. The manufacturer must select a sufficient number 
of basic models to ensure the AEDM maintains its accuracy and 
reliability. For each basic model selected for verification:
    (A) Subject at least one unit to testing in accordance with Sec.  
431.483 of this chapter by a nationally recognized testing program that 
meets the requirements of Sec.  429.74. The simulated full-load losses 
for each unit must be greater than or equal to 90 percent of the 
measured full-load losses (i.e., 0.90x average of the measured full-
load losses <= simulated full-load losses); or
    (B) Have a certification body recognized under Sec.  429.73 certify 
the results of the AEDM accurately represent the basic model's full-
load efficiency.
    (ii) Each manufacturer that has used an AEDM under this section 
must have available for inspection by the Department of Energy records 
showing:
    (A) The method or methods used to develop the AEDM;
    (B) The mathematical model, the engineering or statistical 
analysis, computer simulation or modeling, and other analytic 
evaluation of performance data on which the AEDM is based;
    (C) Complete test data, product information, and related 
information that the manufacturer has generated or acquired pursuant to 
paragraphs (i)(2) and (3) of this section; and

[[Page 71773]]

    (D) The calculations used to determine the simulated full-load 
efficiency of each basic model to which the AEDM was applied.
    (iii) If requested by the Department, the manufacturer must:
    (A) Conduct simulations to predict the performance of particular 
basic models of dedicated-purpose pool pump motors specified by the 
Department;
    (B) Provide analyses of previous simulations conducted by the 
manufacturer; and/or
    (C) Conduct testing of basic models selected by the Department.
0
9. Add Sec.  429.73 to subpart B to read as follows:


Sec.  429.73  Department of Energy recognition of nationally recognized 
certification programs for electric motors, including dedicated purpose 
pool pump motors.

    (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.  429.75. 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 electric motors 
continue to conform to the efficiency levels for which they were 
certified, and for granting a certificate of conformity.
    (2) For certification of electric motors including dedicated-
purpose pool pump motors, it must be independent (as defined at Sec.  
429.2) of electric motor, including dedicated-purpose pool pump motor, 
manufacturers, importers, distributors, private labelers or vendors for 
which it is providing certification.
    (3) It must be qualified to operate a certification system in a 
highly competent manner.
    (4) Electric motors subject to requirements in subpart B of part 
431 of this chapter. The certification program has expertise in the 
content and application of the test procedures at Sec.  431.16 of this 
chapter and must apply the provisions at Sec. Sec.  429.64 and 
429.70(i).
    (5) Dedicated-purpose pool pump motors subject to requirements in 
subpart Z of part 431 of this chapter. The certification program has 
expertise in the content and application of the test procedures at 
Sec.  431.484 of this chapter and must apply the provisions at 
Sec. Sec.  429.65 and 429.70(j).
    (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 must describe 
how it is independent (as defined at Sec.  429.2) from electric motor, 
including dedicated-purpose pool pump motor manufacturers, importers, 
distributors, private labelers, vendors, and trade associations.
    (3) Qualifications to operate a certification system. Experience in 
operating a certification system should be described and substantiated 
by supporting documents within the petition. 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'' 
(referenced for guidance only, see Sec.  429.3), 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'' (referenced for 
guidance only, see Sec.  429.3), and ISO/IEC Guide 28, ``General rules 
for a model third-party certification system for products'' (referenced 
for guidance only, see Sec.  429.3), 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'' (referenced for guidance only, see Sec.  429.3).
    (4) Expertise in test procedures--(i) General. This part of the 
petition should include items such as, but not limited to, a 
description of prior projects and qualifications of staff members. 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'' (referenced for guidance only, see Sec.  429.3), and 
with energy efficiency testing of the equipment to be certified.
    (ii) Electric motors subject to requirements in Subpart B of part 
431 of this chapter. The petition should set forth the program's 
experience with the test procedures detailed in Sec.  431.16 of this 
chapter and the provisions in Sec. Sec.  429.64 and 429.70(i).
    (iii) Dedicated-purpose pool pump motors subject to requirements in 
Subpart Z of part 431 of this chapter. The petition should set forth 
the program's experience with the test procedures detailed in Sec.  
431.484 of this chapter and the provisions in Sec. Sec.  429.65 and 
429.70(j).
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  429.75, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as a nationally recognized certification program.
    (e) Periodic evaluation. Within one year after publication of any 
final rule regarding electric motors, a nationally recognized 
certification program must evaluate whether they meet the criteria in 
paragraph (b) of this section and must either submit a letter to DOE 
certifying that no change to its program is needed to continue to meet 
the criteria in paragraph (b) of this section or submit letter 
describing the measures implemented to ensure the criteria in paragraph 
(b) of this section are met. A certification program will continue to 
be classified by the Department of Energy as being nationally 
recognized in the United States until DOE concludes otherwise.
0
10. Add Sec.  429.74 to subpart B to read as follows:


Sec.  429.74  Department of Energy recognition of accreditation bodies 
for electric motors, including dedicated-purpose pool pump motors.

    (a) Petition. To be classified by the Department of Energy as an 
accreditation body, an organization must submit a petition to the 
Department requesting such classification, in accordance with paragraph 
(c) of this section and Sec.  429.75. The petition must demonstrate 
that the organization meets the criteria in paragraph (b) of this 
section.

[[Page 71774]]

    (b) Evaluation criteria. To be classified as an accreditation body 
by the Department, the organization must meet the following criteria:
    (1) It must have satisfactory standards and procedures for 
conducting and administering an accreditation system and for granting 
accreditation. This must include provisions for periodic audits to 
verify that the laboratories receiving its accreditation continue to 
conform to the criteria by which they were initially accredited, and 
for withdrawal of accreditation where such conformance does not occur, 
including failure to provide accurate test results.
    (2) It must be independent (as defined at Sec.  429.2) of electric 
motor manufacturers, importers, distributors, private labelers or 
vendors for which it is providing accreditation.
    (3) It must be qualified to perform the accrediting function in a 
highly competent manner.
    (4)(i) Electric Motors subject to requirements in subpart B of part 
431 of this chapter. It must be an expert in the content and 
application of the test procedures and methodologies at Sec.  431.16 of 
this chapter and Sec.  429.64.
    (ii) Dedicated-purpose pool pump motors subject to requirements in 
subpart Z of part 431 of this chapter. It must be an expert in the 
content and application of the test procedures and methodologies at 
Sec.  431.484 of this chapter and Sec.  429.65.
    (c) Petition format. Each petition requesting classification as an 
accreditation body must contain a narrative statement as to why the 
program meets the criteria set forth 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:
    (1) Standards and procedures. A copy of the organization's 
standards and procedures for operating an accreditation system and for 
granting accreditation should accompany the petition.
    (2) Independent status. The petitioning organization must describe 
how it is independent (as defined at Sec.  429.2) from electric motor 
manufacturers, importers, distributors, private labelers, vendors, and 
trade associations.
    (3) Qualifications to operate a testing program. Experience in 
accrediting 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 58, ``Calibration and testing laboratory 
accreditation systems--General requirements for operation and 
recognition'' (referenced for guidance only, see Sec.  429.3), 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'' (referenced for guidance only, 
see Sec.  429.3).
    (4) Expertise in test procedures. The petition should set forth the 
organization's experience with the test procedures and methodologies 
test procedures and methodologies at Sec.  431.16 of this chapter and 
Sec.  429.64. This part of the petition should include items such as, 
but not limited to, a description of prior projects and qualifications 
of staff members. 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,'' (referenced for guidance only, 
see Sec.  429.3) to energy efficiency testing for electric motors.
    (d) Disposition. The Department will evaluate the petition in 
accordance with Sec.  429.75, and will determine whether the applicant 
meets the criteria in paragraph (b) of this section for classification 
as an accrediting body.
0
11. Add Sec.  429.75 to read as follows:


Sec.  429.75  Procedures for recognition and withdrawal of recognition 
of accreditation bodies or certification programs.

    (a) Filing of petition. Any petition submitted to the Department 
pursuant to Sec.  429.73(a) or 429.74(a), shall be entitled ``Petition 
for Recognition'' (``Petition'') and must be submitted to the 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Office, Appliance and Equipment Standards 
Program, EE-5B, 1000 Independence Avenue SW, Washington, DC, 20585-
0121, or via email (preferred submittal method) to 
[email protected]. 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 
DOE believes that an accreditation body or certification program that 
has been

[[Page 71775]]

recognized under Sec.  429.73 or 429.74, respectively, is failing to 
meet the criteria of paragraph (b) of the section under which it is 
recognized, or if the certification program fails to meet the 
provisions at Sec.  429.73(e), the Department will issue a Notice of 
Withdrawal (``Notice'') to inform such entity and request that it take 
appropriate corrective action(s) specified in the Notice. The 
Department will give the entity an opportunity to respond. In no case 
shall the time allowed for corrective action exceed 180 days from the 
date of the notice (inclusive of the 30 days allowed for disputing the 
bases for DOE's notification of withdrawal). If the entity wishes to 
dispute any bases identified in the Notice, the entity must respond to 
DOE within 30 days of receipt of the Notice. 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. An accreditation body or 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 an accreditation body, the testing 
laboratories, and 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.
0
12. Add appendix B to subpart B of part 429 to read as follows:

Appendix B to Subpart B of Part 429--Nominal Full-Load Efficiency Table 
for Electric Motors

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
99.0............................................            96.5            88.5              68            36.5
98.9............................................            96.2            87.5              66            34.5
98.8............................................            95.8            86.5              64  ..............
98.7............................................            95.4            85.5              62  ..............
98.6............................................              95              84            59.5  ..............
98.5............................................            94.5            82.5            57.5  ..............
98.4............................................            94.1            81.5              55  ..............
98.2............................................            93.6              80            52.5  ..............
98..............................................              93            78.5            50.5  ..............
97.8............................................            92.4              77              48  ..............
97.6............................................            91.7            75.5              46  ..............
97.4............................................              91              74            43.5  ..............
97.1............................................            90.2              72              41  ..............
96.8............................................            89.5              70            38.5  ..............
----------------------------------------------------------------------------------------------------------------

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

0
13. The authority citation for part 431 continues to read as follows:

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
14. Section 431.12 is amended by:
0
a. Revising the definitions of: ``Air-over electric motor'', ``Basic 
model'', ``Definite purpose motor'', ``Definite purpose electric 
motor'', ``Electric motor with encapsulated windings'', ``Electric 
motor with moisture resistant windings'', ``Electric motor with sealed 
windings'', ``General purpose electric motor'', ``General purpose 
electric motor (subtype I)'', ``General purpose electric motor (subtype 
II)'', ``IEC Design H motor'', ``IEC Design N motor'', ``Inverter-
capable electric motor'', ``Inverter-only electric motor'', ``Liquid-
cooled electric motor'', ``NEMA Design A motor'', ``NEMA Design B 
motor'', ``NEMA Design C motor'', and ``Nominal full-load efficiency'';
0
b. Adding in alphabetical order definitions for: ``Breakdown torque'', 
``Equipment class'', ``IEC Design HE'', ``IEC Design HEY'', ``IEC 
Design HY'', ``IEC Design NE'', ``IEC Design NEY'', ``IEC Design NY'', 
``Inverter'', ``Rated frequency'', ``Rated load'', and ``Rated 
voltage''.
    The revisions and additions read as follows:


Sec.  431.12  Definitions.

* * * * *
    Air-over electric motor means an electric motor that does not reach 
thermal equilibrium (or thermal stability) during a rated load 
temperature test according to section 2 of appendix B, without the 
application of forced cooling by a free flow of air from an external 
device not mechanically connected to the motor.
* * * * *
    Basic model means all units of electric motors manufactured by a 
single manufacturer, that are within the same equipment class, have 
electrical characteristics that are essentially identical, and do not 
have any differing physical or functional characteristics that affect 
energy consumption or efficiency.
* * * * *
    Breakdown torque means the maximum torque that an electric motor 
will develop with rated voltage and frequency applied without an abrupt 
drop in speed. The breakdown torque is the local maximum of the torque-
speed plot of the motor, closest to the synchronous speed of the motor.
* * * * *
    Definite purpose motor means any electric motor that cannot be used 
in most general purpose applications and is designed either:
    (1) To standard ratings with standard operating characteristics or 
standard mechanical construction for use under service conditions other 
than usual, such as those specified in NEMA MG1-2016 with 2018 
Supplements, paragraph 14.3, ``Unusual Service Conditions,'' 
(incorporated by reference, see Sec.  431.15); or
    (2) For use on a particular type of application.
    Definite purpose electric motor means any electric motor that 
cannot be used in most general purpose applications and is designed 
either:
    (1) To standard ratings with standard operating characteristics or 
standard mechanical construction for use under service conditions other 
than usual, such as those specified in NEMA MG1-2016 with 2018 
Supplements, paragraph 14.3, ``Unusual Service Conditions,'' 
(incorporated by reference, see Sec.  431.15); or
    (2) For use on a particular type of application.
* * * * *
    Electric motor with encapsulated windings means an electric motor 
capable of passing the conformance test for water resistance described 
in NEMA MG 1-2016 with 2018 Supplements, paragraph 12.62 (incorporated 
by reference, see Sec.  431.15).

[[Page 71776]]

    Electric motor with moisture resistant windings means an electric 
motor that is capable of passing the conformance test for moisture 
resistance generally described in NEMA MG 1-2016 with 2018 Supplements, 
paragraph 12.63 (incorporated by reference, see Sec.  431.15).
    Electric motor with sealed windings means an electric motor capable 
of passing the conformance test for water resistance described in NEMA 
MG 1-2016 with 2018 Supplements, paragraph 12.62 (incorporated by 
reference, see Sec.  431.15).
* * * * *
    Equipment class means one of the combinations of an electric 
motor's horsepower (or standard kilowatt equivalent), number of poles, 
and open or enclosed construction, with respect to a category of 
electric motor for which Sec.  431.25 prescribes nominal full-load 
efficiency standards.
* * * * *
    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 
MG1-2016 with 2018 Supplements, 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 MG1-2016 with 2018 Supplements, 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.
    General purpose electric motor (subtype I) means a general purpose 
electric motor that:
    (1) Is a single-speed, induction motor;
    (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 or their 
IEC metric equivalents, including a frame size that is between two 
consecutive NEMA frame sizes or their IEC metric equivalents;
    (6) Has performance in accordance with NEMA Design A (MG1) or B 
(MG1) characteristics or equivalent designs such as IEC Design N (IEC);
    (7) Operates on polyphase alternating current 60-hertz sinusoidal 
power, and:
    (i) Is rated at 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): 
References to ``MG1'' above refer to NEMA Standards Publication MG1-
2016 with 2018 Supplements (incorporated by reference in Sec.  431.15). 
References to ``IEC'' above refer to IEC 60034-1, 60034-12:2016, 60050-
411, and 60072-1 (incorporated by reference in Sec.  431.15), as 
applicable.
    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 as 
described in NEMA MG1-1967 (incorporated by reference, see Sec.  
431.15) or in accordance with the IEC metric equivalents, including a 
frame size that is between two consecutive NEMA frame sizes or their 
IEC metric equivalents;
    (2) Has performance in accordance with NEMA Design C 
characteristics as described in MG1 or an equivalent IEC design(s) such 
as IEC Design H;
    (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) built and designed in a manner consistent 
with MG1;
    (6) Is an eight-pole motor (900 rpm); or
    (7) Is a polyphase motor with a voltage rating of not more than 600 
volts, is not rated at 230 or 460 volts (or both), and cannot be 
operated on 230 or 460 volts (or both).
    Note to definition of General purpose electric motor (subtype II): 
With the exception of the NEMA Motor Standards MG1-1967 (incorporated 
by reference in Sec.  431.15), references to ``MG1'' above refer to 
NEMA MG1-2016 with 2018 Supplements (incorporated by reference in Sec.  
431.15). References to ``IEC'' above refer to IEC 60034-1, 60034-12, 
60050-411, and 60072-1 (incorporated by reference in Sec.  431.15), as 
applicable.
* * * * *
    IEC Design H motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to sections 9.1, 9.2, and 9.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15) specifications for 
starting torque, locked rotor apparent power, and starting 
requirements, respectively.
    IEC Design HE means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 9.1, Table 3, and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HEY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.7, Table 3 and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design HY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.7, section 9.2 and section 9.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design N motor means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting;
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to sections 6.1, 6.2, and 6.3 of the IEC 60034-12:2016 
(incorporated by reference, see Sec.  431.15)

[[Page 71777]]

specifications for torque characteristics, locked rotor apparent power, 
and starting requirements, respectively. If a motor has an increased 
safety designation of type `e', the locked rotor apparent power shall 
be in accordance with the appropriate values specified in IEC 60079-
7:2015 (incorporated by reference, see Sec.  431.15).
    IEC Design NE means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 6.1, Table 3 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NEY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.4, Table 3 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
    IEC Design NY means an electric motor that:
    (1) Is an induction motor designed for use with three-phase power;
    (2) Contains a cage rotor;
    (3) Is capable of direct-on-line starting
    (4) Has 2, 4, 6, or 8 poles;
    (5) Is rated from 0.12 kW to 1,600 kW at a frequency of 60 Hz; and
    (6) Conforms to section 5.4, section 6.2 and section 6.3 of the IEC 
60034-12:2016 (incorporated by reference, see Sec.  431.15) 
specifications for starting torque, locked rotor apparent power, and 
starting requirements, respectively.
* * * * *
    Inverter means an electronic device that converts an input AC or DC 
power into a controlled output AC or DC voltage or current. An inverter 
may also be called a converter.
    Inverter-capable electric motor means an electric motor designed to 
be directly connected to AC sinusoidal or DC power, but that is also 
capable of continuous operation on an inverter drive over a limited 
speed range and associated load.
    Inverter-only electric motor means an electric motor that is 
capable of continuous operation solely with an inverter, and is not 
designed for operation when directly connected to AC sinusoidal or DC 
power supply.
* * * * *
    Liquid-cooled electric motor means a motor that is cooled by liquid 
circulated using a designated cooling apparatus such that the liquid or 
liquid-filled conductors come into direct contact with the parts of the 
motor, but is not submerged in a liquid during operation.
* * * * *
    NEMA Design A motor means a squirrel-cage motor that:
    (1) Is designed to withstand full-voltage starting and developing 
locked-rotor torque as shown in NEMA MG 1-2016 with 2018 Supplements, 
paragraph 12.38.1 (incorporated by reference, see Sec.  431.15);
    (2) Has pull-up torque not less than the values shown in NEMA MG 1-
2016 with 2018 Supplements, paragraph 12.40.1;
    (3) Has breakdown torque not less than the values shown in NEMA MG 
1-2016 with 2018 Supplements, paragraph 12.39.1;
    (4) Has a locked-rotor current higher than the values shown in NEMA 
MG 1-2016 with 2018 Supplements, paragraph 12.35.1 for 60 hertz and 
NEMA MG 1-2016 with 2018 Supplements, paragraph 12.35.2 for 50 hertz; 
and
    (5) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.
    NEMA Design B motor means a squirrel-cage motor that is:
    (1) Designed to withstand full-voltage starting;
    (2) Develops locked-rotor, breakdown, and pull-up torques adequate 
for general application as specified in sections 12.38, 12.39 and 12.40 
of NEMA MG 1-2016 with 2018 Supplements (incorporated by reference, see 
Sec.  431.15);
    (3) Draws 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 MG 1-2016 
with 2018 Supplements; and
    (4) Has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.
    NEMA Design C motor means a squirrel-cage motor that:
    (1) Is Designed to withstand full-voltage starting and developing 
locked-rotor torque for high-torque applications up to the values shown 
in NEMA MG 1-2016 with 2018 Supplements, paragraph 12.38.2 
(incorporated by reference, see Sec.  431.15);
    (2) Has pull-up torque not less than the values shown in NEMA MG 1-
2016 with 2018 Supplements, paragraph 12.40.2;
    (3) Has breakdown torque not less than the values shown in NEMA MG 
1-2016 with 2018 Supplements, paragraph 12.39.2;
    (4) Has a locked-rotor current not to exceed the values shown in 
NEMA MG 1-2016 with 2018 Supplements, paragraphs 12.35.1 for 60 hertz 
and 12.35.2 for 50 hertz; and
    (5) Has a slip at rated load of less than 5 percent.
    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 MG 1-2016 with 2018 
Supplements, (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.
* * * * *
    Rated frequency means 60 Hz.
    Rated load (or full load, full rated load, or rated full load) 
means the rated output power of an electric motor.
    Rated voltage means the input voltage of a motor or inverter used 
when making representations of the performance characteristics of a 
given electric motor and selected by the motor's manufacturer to be 
used for testing the motor's efficiency.
* * * * *
0
15. Section 431.15 is amended by:
0
a. In paragraph (a), removing the text ``[email protected]'' and 
adding, in its place, the text ``[email protected]'';
0
b. Revising paragraph (b)(1) and adding paragraph (b)(2);
0
c. Revising paragraphs (c)(3) and (4) and adding paragraphs (c)(8) and 
(9);
0
d. Revising paragraph (d)(1) and adding paragraph (d)(2);
    e. Revising paragraph (e)(1); and
0
f. Revising paragraph (f)(1);
    The revisions and additions read as follows:


Sec.  431.15  Materials incorporated by reference.

* * * * *
    (b) * * *
    (1) CSA C390-10 (R2019), (``CSA C390-10''), ``Test methods, marking 
requirements, and energy efficiency levels for three-phase induction 
motors'', March 2010, IBR approved for appendix B to this subpart.
    (2) CSA C747-09 (R2019), (``CSA C747-09''), ``Energy efficiency 
test methods for small motors'', October 2009, IBR approved for 
appendix B to this subpart.
    (c) * * *

[[Page 71778]]

    (3) IEC 60034-2-1:2014, Rotating electrical machines--Part 2-1: 
Standard methods for determining losses and efficiency from tests 
(excluding machines for traction vehicles), Edition 2.0 2014-06, IBR 
approved for Sec.  431.12 and appendix B to this subpart.
    (4) IEC 60034-12:2016, Rotating Electrical Machines, Part 12: 
Starting Performance of Single-Speed Three-Phase Cage Induction Motors, 
Edition 3.0 2016-11, IBR approved for Sec.  431.12.
* * * * *
    (8) IEC 60079-7:2015, Explosive atmospheres--Part 7: Equipment 
protection by increased safety ``e'', Edition 5.0 2015-06, IBR approved 
for Sec.  431.12.
    (9) IEC 61800-9-2:2017, ``Adjustable speed electrical power drive 
systems--Part 9-2: Ecodesign for power drive systems, motor starters, 
power electronics and their driven applications--Energy efficiency 
indicators for power drive systems and motor starters'', Edition 1.0, 
March 2017, IBR approved for appendix B to this subpart.
    (d) * * *
    (1) IEEE 112-2017, IEEE Standard Test Procedure for Polyphase 
Induction Motors and Generators, approved December 6, 2017, IBR 
approved for Sec.  431.12 and appendix B to this subpart.
    (2) IEEE 114-2010, ``Test Procedure for Single-Phase Induction 
Motors'' approved September 30, 2010, IBR approved for appendix B to 
this subpart.
    (e) * * *
    (1) NEMA Standards Publication MG 1-2016, (``NEMA MG 1-2016 with 
2018 Supplements'') American National Standard for Motors and 
Generators, ANSI approved June 1, 2018. IBR approved for Sec.  431.12 
and appendix B to this subpart.
* * * * *
    (f) * * *
    (1) NFPA 20, Standard for the Installation of Stationary Pumps for 
Fire Protection, 2019 Edition, ANSI-approved May 24, 2018. IBR approved 
for Sec.  431.12.
* * * * *


Sec. Sec.  431.14 and 431.17  [Removed and Reserved]

0
16. Remove and reserve Sec. Sec.  431.14 and 431.17.


Sec. Sec.  431.19--431.21  [Removed]

0
17. Remove Sec. Sec.  431.19 through 431.21.
0
18. Section 431.25 is amended by:
0
a. Revising the introductory text for paragraphs (a), (c), and (d);
0
b. Revising paragraph (g)(9);
0
c. Revising the introductory text for paragraph (h) and Table 5 
heading; and
0
d. Revising the introductory text for paragraph (i) and Table 6 
heading.
    The revisions read as follows:


Sec.  431.25  Energy conservation standards and effective dates.

    (a) Except as provided for fire pump electric motors 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 or an equivalent IEC Design 
N, NE, NEY, or NY motor that is a general purpose electric motor 
(subtype I), manufactured (alone or as a component of another piece of 
equipment) on or after December 19, 2010, but before June 1, 2016, 
shall have a nominal full-load efficiency that is not less than the 
following:
* * * * *
    (c) Except as provided for fire pump electric motors in paragraph 
(b) of this section, 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 or an equivalent IEC Design 
N, NE, NEY, or NY motor that is a general purpose electric motor 
(subtype II), manufactured (alone or as a component of another piece of 
equipment) on or after December 19, 2010, but before June 1, 2016, 
shall have a nominal full-load efficiency that is not less than the 
following:
* * * * *
    (d) Each NEMA Design B or an equivalent IEC Design N, NE, NEY, or 
NY motor that is a general purpose electric motor (subtype I) or 
general purpose electric motor (subtype II), excluding fire pump 
electric motors, 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) on or after December 19, 2010, but 
before June 1, 2016 shall have a nominal full-load efficiency that is 
not less than the following:
* * * * *
    (g) * * *
    (9) Meet all of the performance requirements of one of the 
following motor types: A NEMA Design A, B, or C motor or an IEC Design 
N, NE, NEY, NY or H, HE, HEY, HY motor.
* * * * *
    (h) Starting on June 1, 2016, each NEMA Design A motor, NEMA Design 
B motor, and IEC Design N, NE, NEY, or NY motor that is an electric 
motor meeting the criteria in paragraph (g) of this section and with a 
power rating from 1 horsepower through 500 horsepower, but excluding 
fire pump electric motors, manufactured (alone or as a component of 
another piece of equipment) shall have a nominal full-load efficiency 
of not less than the following:

Table 5--Nominal Full-Load Efficiencies of NEMA Design A, NEMA Design B 
and IEC Design N, NE, NEY or NY Motors (Excluding Fire Pump Electric 
Motors) at 60 Hz

* * * * *
    (i) Starting on June 1, 2016, each NEMA Design C motor and IEC 
Design H, HE, HEY, or HY motor that is an electric motor meeting the 
criteria in paragraph (g) of this section and with a power rating from 
1 horsepower through 200 horsepower manufactured (alone or as a 
component of another piece of equipment) shall have a nominal full-load 
efficiency that is not less than the following:

Table 6--Nominal Full-Load Efficiencies of NEMA Design C and IEC Design 
H, HE, HEY or HY Motors at 60 Hz

* * * * *
0
19. Amend Sec.  431.31 by revising paragraph (a)(1)(i) to read as 
follows:


Sec.  431.31   Labeling requirements.

    (a) * * *
    (1) * * *
    (i) The motor's nominal full-load efficiency (as of the date of 
manufacture), derived from the motor's average full-load efficiency as 
determined pursuant to this subpart or the motor's average full-load 
efficiency; and
* * * * *
0
20. 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 
the Efficiency of Electric Motors

    Note: For manufacturers conducting tests of motors for which energy 
conservation standards are provided at 10 CFR 431.25, manufacturers 
must conduct such test in accordance with this appendix.
    For any other electric motor type that is not currently covered by 
the energy conservation standards at 10 CFR 431.25, manufacturers of 
this equipment will need to test in accordance with this appendix 180 
days after the effective date of the final rule adopting energy 
conservation standards for such motor.

0. Incorporation by Reference

    In Sec.  431.15, DOE incorporated by reference the entire standard 
for CSA C390-10, CSA C747-09, IEC 60034-2-1:2014, IEC 60034-1:2010, IEC 
60051-1:2016, IEC 61800-9-2:2017, IEEE 112-2017, IEE 114-2010, and NEMA 
MG 1-

[[Page 71779]]

2016 with 2018 Supplements; however, only enumerated provisions of 
those documents are applicable as follows:
0.1. CSA C390-10
0.1.1. Section 1.3 ``Scope,'' as specified in section 2.1.1 and 2.4.3.2 
of this appendix;
0.1.2. Section 3.1 ``Definitions,'' as specified in section 2.1.1 and 
2.4.3.2 of this appendix;
0.1.3. Section 5 ``General test requirements--Measurements,'' as 
specified in section 2(1) of this appendix;
0.1.4. Section 7 ``Test method,'' as specified in section 2.1.1 and 
2.4.3.2 of this appendix;
0.1.5. Table 1 ``Resistance measurement time delay,'' as specified in 
section 2.1.1 and 2.4.3.2 of this appendix;
0.1.6. Annex B ``Linear regression analysis,'' as specified in section 
2.1.1 and 2.4.3.2 of this appendix; and
0.1.7. Annex C ``Procedure for correction of dynamometer torque 
readings'' as specified in section 2.1.1 and 2.4.3.2 of this appendix.
0.2. CSA C747-09
0.2.1 Section 1.6 ``Scope'' as specified in section 2.4.1.2 and 2.4.2.2 
of this appendix;
0.2.2. Section 3 ``Definitions'' as specified in section 2.4.1.2 and 
2.4.2.2 of this appendix;
0.2.3. Section 5 ``General test requirements'' as specified in section 
2.4.1.2 and 2.4.2.2 of this appendix; and
0.2.4. Section 6 ``Test method'' as specified in section 2.4.1.2 and 
2.4.2.2 of this appendix.
0.3. IEC 60034-2-1:2014
0.3.1. Method 2-1-1A as specified in section 2.4.1.3 and 2.4.2.3 of 
this appendix;
0.3.2. Method 2-1-1B as specified in section 2.1.2 and 2.4.3.3 of this 
appendix;
0.3.3. Section 3 ``Terms and definitions'' as specified in sections 
2.1.2, 2.4.1.3, 2.4.2.3, 2.4.3.3, and 2.5.1 of this appendix;
0.3.4. Section 4 ``Symbols and abbreviations'' as specified in sections 
2.1.2, 2.4.1.3, 2.4.2.3, 2.4.3.3 and 2.5.1 of this appendix;
0.3.5. Section 5 ``Basic requirements'' as specified in sections 2.1.2, 
2.4.1.3, 2.4.2.3, 2.4.3.3, and 2.5.1 of this appendix;
0.3.6. Section 6.1.2 ``Method 2-1-1A--Direct measurement of input and 
output'' (except Section 6.1.2.2, ``Test Procedure'') as specified in 
section 2.4.1.3 and 2.4.2.3 of this appendix;
0.3.7. Section 6.1.3 ``Method 2-1-1B--Summations of losses, additional 
load losses according to the method of residual losses'' as specified 
in section 2.1.2 and 2.4.3.3 of this appendix; and
0.3.8. Section 7.1. ``Preferred Testing Methods'' as specified in 
section 2.5.1 of this appendix;
0.3.9. Annex D, ``Test report template for 2-1-1B'' as specified in 
section 2.1.2 and 2.4.3.3 of this appendix.
0.4. IEC 61800-9-2:2017
0.4.1. Section 3 ``Terms, definitions, symbols, and abbreviated terms'' 
as specified in section 2.5.3 of this appendix;
0.4.2. Section 7.7.2, ``Input-output measurement of PDS losses'' as 
specified in section 2.5.3 of this appendix;
0.4.3. Section 7.7.3.1, ``General'' as specified in section 2.5.3 of 
this appendix;
0.4.4. Section 7.7.3.2. ``Power analyser and transducers'' as specified 
in section 2.5.3 of this appendix;
0.4.5. Section 7.7.3.3, ``Mechanical Output of the motor'' as specified 
in section 2.5.3 of this appendix;
0.4.6. Section 7.7.3.5, ``PDS loss determination according to input-
output method'' as specified in section 2.5.3 of this appendix;
0.4.7. Section 7.10 ``Testing Conditions for PDS testing'' as specified 
in section 2.5.3 of this appendix.
0.5. IEC 60034-1:2010
0.5.1. Section 7.2 as specified in section 2.1.2, 2.4.1.3, 2.4.2.3, and 
2.4.3.3 of this appendix;
0.5.2. Section 8.6.2.3.3 as specified in section 2.1.2, 2.4.1.3, 
2.4.2.3, and 2.4.3.3 of this appendix; and
0.5.3. Table 5 as specified in section 2.1.2, 2.4.1.3, 2.4.2.3, and 
2.4.3.3 of this appendix.
0.6. IEC 60051-1:2016
0.6.1. Section 5.2 as specified in sections 2.1.2, 2.4.1.3, 2.4.2.3, 
and 2.4.3.3 of this appendix; and
0.6.2. [Reserved].
0.7. IEEE 112-2017
0.7.1. Test Method A as specified in section 2.4.2.1 of this appendix;
0.7.2. Test Method B as specified in section 2.1.3, 2.4.3.1, and 
section 3.8 of this appendix;
0.7.3. Section 3, ``General'' as specified in section 2.1.3, 2.4.2.1, 
and 2.4.3.1 of this appendix;
0.7.4. Section 4, ``Measurements'' as specified in section 2.1.3, 
2.4.2.1, and 2.4.3.1 of this appendix;
0.7.5. Section 5, ``Machine losses and tests for losses'' as specified 
in section 2.1.3, 2.4.2.1, and 2.4.3.1 of this appendix;
0.7.6. Section 6.1, ``General'' as specified in section 2.1.3 2.4.2.1, 
and 2.4.3.1 of this appendix;
0.7.7. Section 6.3, ``Efficiency test method A--Input-output'' as 
specified in section 2.4.2.1 of this appendix;
0.7.8. Section 6.4, ``Efficiency test method B--Input-output'' as 
specified in section 2.1.3 and 2.4.3.1 of this appendix;
0.7.9. Section 9.2, ``Form A--Method A'' as specified in section 
2.4.2.1 of this appendix;
0.7.10. Section 9.3, ``Form A2--Method A calculations'' as specified in 
section 2.4.2.1 of this appendix;
0.7.11. Section 9.4, ``Form B--Method B'' as specified in section 
2.1.3, and 2.4.3.1 of this appendix; and
0.7.12. Section 9.5, ``Form B2--Method B calculations'' as specified in 
section 2.1.3 and 2.4.3.1 of this appendix.
0.8. IEEE 114-2010
0.8.1 Section 3.2, ``Test with load'' as specified in section 2.4.1.1 
of this appendix;
0.8.2. Section 4, ``Testing Facilities as specified in section 2.4.1.1 
of this appendix;
0.8.3. Section 5, ``Measurements'' as specified in section 2.4.1.1 of 
this appendix;
0.8.4. Section 6, ``General'' as specified in section 2.4.1.1 of this 
appendix;
0.8.5. Section 7, ``Type of loss'' as specified in section 2.4.1.1 of 
this appendix;
0.8.6. Section 8, ``Efficiency and Power Factor'' as specified in 
section 2.4.1.1 of this appendix;
0.8.7. Section 10 ``Temperature Tests'' as specified in section 2.4.1.1 
of this appendix;
0.8.8. Annex A, Section A.3 ``Determination of Motor Efficiency'' as 
specified in section 2.4.1.1 of this appendix; and
0.8.9. Annex A, Section A.4 ``Explanatory notes for form 3, test data'' 
as specified in section 2.4.1.1 of this appendix.
0.9. NEMA MG 1-2016 With 2018 Supplements
0.9.1. Paragraph 12.58.1, ``Determination of Motor Efficiency and 
Losses'' as specified in the introductory paragraph to section 2.1 of 
this appendix, and
0.9.2. Paragraph 34.1, ``Applicable Motor Efficiency Test Methods'' as 
specified in section 2.2 of this appendix;
0.9.3. Paragraph 34.2.2 ``AO Temperature Test Procedure 2--Target 
Temperature with Air Flow'' as specified in section 2.2 of this 
appendix;

[[Page 71780]]

0.9.4. Paragraph 34.4, ``AO Temperature Test Procedure 2--Target 
Temperature with Air Flow'' as specified in section 2.2 of this 
appendix.
    In cases where there is a conflict, the language of this appendix 
takes precedence over those documents. Any subsequent amendment to a 
referenced document by the standard-setting organization will not 
affect the test procedure in this appendix, unless and until the test 
procedure is amended by DOE. 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.

1. Scope and Definitions

    1.1 Scope. The test procedure applies to the following categories 
of electric motors:
    Electric motors that meet the criteria listed at Sec.  431.25(g) 
and are not listed at Sec.  431.25(l)(2)-(3).; Electric motors above 
500 horsepower; Small non-small-electric-motor electric motor; and 
Electric motors that are synchronous motors.
    1.2 Definitions. Definitions contained in Sec. Sec.  431.2 and 
431.12 are applicable to this appendix, in addition to the following 
terms:
    Electric motor above 500 horsepower is defined as an electric motor 
having a rated horsepower above 500 and up to 750 hp that meets the 
criteria listed at Sec.  431.25(g), with the exception of criteria 
Sec.  431.25(g)(8), and are not listed at Sec.  431.25(l)(2)-(3).
    Small non-small-electric-motor electric motor (``SNEMs'') means an 
electric motor that:
    (a) Is not a small electric motor, as defined Sec.  431.442 and is 
not dedicated pool pump motors as defined at Sec.  431.483;
    (b) Is rated for continuous duty (MG 1) operation or for duty type 
S1 (IEC);
    (c) Is capable of Operating on polyphase or single-phase 
alternating current 60-hertz (Hz) sinusoidal line power (with or 
without an inverter);
    (d) Is rated for 600 volts or less;
    (e) Is a single-speed induction motor;
    (f) Produces a rated motor horsepower greater than or equal to 0.25 
horsepower (0.18 kW); and
    (g) Is built in the following frame sizes: Any frame sizes if the 
motor operates on single-phase power; any frame size if the motor 
operates on polyphase power, and has a rated motor horsepower less than 
1 horsepower (0.75 kW); or a two-digit NEMA frame size (or IEC metric 
equivalent), if the motor operates on polyphase power, has a rated 
motor horsepower equal to or greater than 1 horsepower (0.75 kW), and 
is not an enclosed 56 NEMA frame size (or IEC metric equivalent).
    Electric Motors that are Synchronous Motors:
    (a) Is not dedicated pool pump motors as defined at Sec.  431.483;
    (b) Is a synchronous electric motors;
    (c) Is capable of operating on polyphase or single-phase 
alternating current 60-hertz (Hz); sinusoidal line power (with or 
without an inverter);
    (d) Is rated 600 volts or less;
    (e) Has a 2-, 4-, 6-, 8-, 10-, or 12-pole configuration;
    (f) Produces at least 0.25 hp (0.18 kW) but not greater than 750 hp 
(559 kW).

2. Test Procedures

    2.1. Test Procedures for Electric Motors that meet the criteria 
listed at Sec.  431.25(g) and are not listed at Sec.  431.25(l)(2)-(3), 
and electric motors above 500 horsepower.
    For the purposes of this section and electric motors at or below 
500 horsepower, rated output power means the mechanical output power 
that corresponds to the electric motor's breakdown torque, as specified 
in Section 12.37 and 12.39 of NEMA MG 1-2016 with 2018 Supplements. 
Air-over electric motors must be tested in accordance with Section 2.2. 
Submersible electric motors must be tested in accordance with Section 
2.3. Inverter-only electric motors must be tested in accordance with 
2.5.
    Efficiency and losses must be determined in accordance with NEMA MG 
1-2016, paragraph 12.58.1, ``Determination of Motor Efficiency and 
Losses,'' or one of the following testing methods:
    2.1.1. CSA C390-10, Section 1.3 ``Scope'', Section 3.1 
``Definitions'', Section 5 ``General test requirements--Measurements'', 
Section 7 ``Test method'', Table 1 ``Resistance measurement time 
delay'', Annex B ``Linear regression analysis'' and Annex C ``Procedure 
for correction of dynamometer torque readings.''
    2.1.2. IEC 60034-2-1:2014, Method 2-1-1B, Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', Section 6.1.3 ``Method 2-1-1B--Summation of 
losses, additional load losses according to the method of residual 
losses'', and Annex D, ``Test report template for 2-1-1B''. The supply 
voltage shall be in accordance with Section 7.2 of IEC 60034-1:2010. 
The measured resistance at the end of the thermal test shall be 
determined in a similar way to the extrapolation procedure described in 
Section 8.6.2.3.3 of IEC 60034-1:2010, using the shortest possible time 
instead of the time interval specified in Table 5 therein, and 
extrapolating to zero. The measuring instruments for electrical 
quantities shall have the equivalent of an accuracy class of 0,2 in 
case of a direct test and 0,5 in case of an indirect test in accordance 
with Section 5.2 of IEC 60051-1:2016, or
    2.1.3. IEEE 112-2017, Test Method B, Input-Output With Loss 
Segregation, Section 3 ``General'', Section 4 ``Measurements'', Section 
5 ``Machine losses and tests for losses'', Section 6.1 ``General'', 
Section 6.4 ``Efficiency test method B--Input-output with loss 
segregation'', Section 9.4 ``Form B--Method B'', and Section 9.5 ``Form 
B2--Method B calculations.''
2.2. Test Procedures for Air-Over Electric Motors
    For the purposes of this section, rated output power means, for 2-
digit frame sizes, the mechanical output power that corresponds to the 
electric motor's breakdown torque as specified in Table 10-5 of NEMA MG 
1-2016 with 2018 Supplements for single-phase motors, or 140 percent of 
the breakdown torque values specified in Table 10-5 of NEMA MG 1-2016 
with 2018 Supplements for polyphase motors. For 3-digit frame sizes, 
rated output power means the mechanical output power that corresponds 
to the electric motor's breakdown torque specified in Section 12.37 and 
12.39 of NEMA MG 1-2016 with 2018 Supplements. Except noted otherwise 
in section 2.2.1 and 2.2.2 of this appendix, efficiency and losses of 
air-over electric motors must be determined in accordance with NEMA MG 
1-2016 with 2018 Supplements, paragraph 34.1, ``Applicable Motor 
Efficiency Test Methods'', paragraph 34.2.2 ``AO Temperature Test 
Procedure 2--Target Temperature with Air Flow'', paragraph 34.4, ``AO 
Temperature Test Procedure 2--Target Temperature with Air Flow''.
    2.2.1 The provisions in paragraph 34.4.1.a.1 NEMA MG 1-2016 with 
2018 Supplements related to the determination of the target temperature 
for polyphase motors must be replaced by a single target temperature of 
75 [deg]C for all insulation classes.
    2.2.2 The industry standards listed in paragraph 34.1, ``Applicable 
Motor Efficiency Test Methods'' must correspond to the versions 
incorporated by reference at Sec.  431.15: IEEE 112-2017, IEEE 114-
2010, CSA C390-10, CSA C747-09, and IEC 60034-2-1:2014. In addition, 
when testing in accordance with IEC 60034-2-1:2014, the additional 
testing instructions in section 2.1.2 of this appendix apply.

[[Page 71781]]

2.3. Test Procedures for Submersible Electric Motors
    Except noted otherwise in sections 2.3.1, 2.3.2, and 2.3.3 of this 
appendix, efficiency and losses of submersible electric motors must be 
determined in accordance with NEMA MG 1-2016 with 2018 Supplements, 
paragraph 34.1, ``Applicable Motor Efficiency Test Methods'', paragraph 
34.2.2 ``AO Temperature Test Procedure 2--Target Temperature with Air 
Flow'', paragraph 34.4, ``AO Temperature Test Procedure 2--Target 
Temperature with Air Flow''.
    2.3.1 The provisions in paragraph 34.4.1.a.1 NEMA MG 1-2016 with 
2018 Supplements related to the determination of the target temperature 
for polyphase motors must be replaced by a single target temperature of 
75 [deg]C for all insulation classes.
    2.3.2 The provisions in paragraph 34.4.2 NEMA MG 1-2016 with 2018 
Supplements related to temperature detector placement must add ``If 
both the windings and the stator iron are inaccessible, then install 
temperature detector(s) on the case of the motor.''
    2.3.3 The industry standards listed in paragraph 34.1, ``Applicable 
Motor Efficiency Test Methods'' must correspond to the versions 
incorporated by reference at Sec.  431.15: IEEE 112-2017, IEEE 114-
2010, CSA C390-10, CSA C747-09, and IEC 60034-2-1:2014. In addition, 
when testing in accordance with IEC 60034-2-1:2014, the additional 
testing instructions in section 2.1.2 of this appendix apply.
2.4. Test Procedures for SNEMs
    For the purposes of this section, rated output power means, for 2-
digit frame sizes, the mechanical output power that corresponds to the 
electric motor's breakdown torque as specified in NEMA MG 1-2016 Table 
10-5 for single-phase motors or 140 percent of the breakdown torque 
values specified in NEMA MG 1-2016 Table 10-5 for polyphase motors. For 
3-digit frame sizes, rated output power means the mechanical output 
power that corresponds to the electric motor's breakdown torque 
specified in Section 12.37 and 12.39 of NEMA MG 1-2016. Air-over 
electric motors must be tested in accordance with section 2.2. 
Submersible electric motors must be tested in accordance with section 
2.3. Inverter-only electric motors must be tested in accordance with 
section 2.5.
    2.4.1 The efficiencies and losses of single-phase SNEMs that are 
not air-over electric motors, submersible electric motors, or inverter-
only electric motors, are determined using one of the following 
methods:
    2.4.1.1. IEEE 114-2010, Section 3.2, ``Test with load'', Section 4, 
``Testing Facilities, Section 5, ``Measurements'', Section 6, 
``General'', Section 7, ``Type of loss'', Section 8, ``Efficiency and 
Power Factor''; Section 10 ``Temperature Tests'', Annex A, Section A.3 
``Determination of Motor Efficiency'', Annex A, Section A.4 
``Explanatory notes for form 3, test data'';
    2.4.1.2. CSA C747-09, Section 1.6 ``Scope'', Section 3 
``Definitions'', Section 5, ``General test requirements'', and Section 
6 ``Test method'';
    2.4.1.3. IEC 60034-2-1:2014 Method 2-1-1A, Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', and Section 6.1.2 ``Method 2-1-1A--Direct 
measurement of input and output'' (except Section 6.1.2.2, ``Test 
Procedure''). The supply voltage shall be in accordance with Section 
7.2 of IEC 60034-1:2010. The measured resistance at the end of the 
thermal test shall be determined in a similar way to the extrapolation 
procedure described in Section 8.6.2.3.3 of IEC 60034-1:2010, using the 
shortest possible time instead of the time interval specified in Table 
5 therein, and extrapolating to zero. The measuring instruments for 
electrical quantities shall have the equivalent of an accuracy class of 
0,2 in case of a direct test and 0,5 in case of an indirect test in 
accordance with Section 5.2 of IEC 60051-1:2016.
    2.4.1.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque 
Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to 
measure motor performance, follow the instructions in paragraph 
(b)(2)(iii)(B) of this section, instead of Section 6.1.2.2 of IEC 
60034-2-1:2014;
    2.4.1.3.2. Couple the machine under test to a load machine. Measure 
torque using an in-line, shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine 
under test at the rated load until thermal equilibrium is achieved 
(rate of change 1 K or less per half hour). Record U, I, Pel, n, T, 
[thgr]c.
    2.4.2 The efficiencies and losses of polyphase electric motors 
considered with rated horsepower less than 1 that are not air-over 
electric motors, submersible electric motors, or inverter-only electric 
motors are determined using one of the following methods:
    2.4.2.1. IEEE 112-2017 Test Method A, Section 3, ``General'', 
Section 4, ``Measurements'', Section 5, ``Machine losses and tests for 
losses'', Section 6.1, ``General'', Section 6.3, ``Efficiency test 
method A--Input-output'', Section 9.2, ``Form A--Method A'', and 
Section 9.3, ``Form A2--Method A calculations'';
    2.4.2.2. CSA C747-09, Section 1.6 ``Scope'', Section 3 
``Definitions'', Section 5, ``General test requirements'', and Section 
6 ``Test method'';
    2.4.2.3. IEC 60034-2-1:2014 Method 2-1-1A, Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', and Section 6.1.2 ``Method 2-1-1A--Direct 
measurement of input and output'' (except Section 6.1.2.2, ``Test 
Procedure''). The supply voltage shall be in accordance with section 
7.2 of IEC 60034-1:2010. The measured resistance at the end of the 
thermal test shall be determined in a similar way to the extrapolation 
procedure described in section 8.6.2.3.3 of IEC 60034-1:2010 using the 
shortest possible time instead of the time interval specified in Table 
5 therein, and extrapolating to zero. The measuring instruments for 
electrical quantities shall have the equivalent of an accuracy class of 
0,2 in case of a direct test and 0,5 in case of an indirect test in 
accordance with section 5.2 of IEC 60051-1:2016.
    2.4.2.3.1. Additional IEC 60034-2-1:2014 Method 2-1-1A Torque 
Measurement Instructions. If using IEC 60034-2-1:2014 Method 2-1-1A to 
measure motor performance, follow the instructions in paragraph 
(b)(3)(iii)(B) of this section, instead of section 6.1.2.2 of IEC 
60034-2-1:2014;
    2.4.2.3.2. Couple the machine under test to load machine. Measure 
torque using an in-line shaft-coupled, rotating torque transducer or 
stationary, stator reaction torque transducer. Operate the machine 
under test at the rated load until thermal equilibrium is achieved 
(rate of change 1 K or less per half hour). Record U, I, Pel, n, T, 
[thgr]c.
    2.4.3. The efficiencies and losses of polyphase SNEMs with rated 
horsepower equal to or greater than 1 that are not air-over electric 
motors, submersible electric motors, or inverter-only electric motors 
are determined using one of the following methods:
    2.4.3.1. IEEE 112-2017 Test Method B, Section 3, ``General''; 
Section 4, ``Measurements''; Section 5, ``Machine losses and tests for 
losses'', Section 6.1, ``General'', Section 6.4, ``Efficiency test 
method B--Input-output with loss segregation'', Section 9.4, ``Form B--
Method B'', and Section 9.5, ``Form B2--Method B calculations''; or
    2.4.3.2. CSA C390-10, Section 1.3, ``Scope'', Section 3.1, 
``Definitions'', Section 5, ``General test requirements--
Measurements'', Section 7, ``Test method'', Table 1, ``Resistance 
measurement time delay, Annex B, ``Linear regression analysis'', and 
Annex

[[Page 71782]]

C, ``Procedure for correction of dynamometer torque readings''; or
    2.4.3.3. IEC 60034-2-1:2014 Method 2-1-1B Section 3 ``Terms and 
definitions'', Section 4 ``Symbols and abbreviations'', Section 5 
``Basic requirements'', Section 6.1.3 ``Method 2-1-1B--Summation of 
losses, additional load losses according to the method of residual 
losses.'', and Annex D, ``Test report template for 2-1-1B. The supply 
voltage shall be in accordance with section 7.2 of IEC 60034-1:2010. 
The measured resistance at the end of the thermal test shall be 
determined in a similar way to the extrapolation procedure described in 
section 8.6.2.3.3 of IEC 60034-1:2010 using the shortest possible time 
instead of the time interval specified in Table 5 therein, and 
extrapolating to zero. The measuring instruments for electrical 
quantities shall have the equivalent of an accuracy class of 0,2 in 
case of a direct test and 0,5 in case of an indirect test in accordance 
with section 5.2 of IEC 60051-1:2016.
2.5. Test Procedures for Electric Motors That Are Synchronous Motors 
and Inverter-Only Electric Motors
    These methods apply to electric motors that are synchronous motors 
as specified in section 1.2. of this appendix. These methods also apply 
to electric motors as specified in section 1.1 of this appendix that 
are inverter-only electric motor and do not include an inverter.
    2.5.1. The efficiencies and losses of electric motors that are 
synchronous motors that do not require an inverter to operate, are 
determined in accordance with section IEC 60034-2-1:2014, Section 3 
``Terms and definitions'', Section 4 ``Symbols and abbreviations'', 
Section 5 ``Basic requirements'', and Section 7.1. ``Preferred Testing 
Methods''.
    2.5.2. The efficiencies and losses of electric motors (inclusive of 
the inverter) that are that are inverter-only and do not include an 
inverter, are determined in accordance with IEC 61800-9-2:2017, Section 
3 ``Terms, definitions, symbols, and abbreviated terms'', Section 
7.7.2, ``Input-output measurement of PDS losses'', Section 7.7.3.1, 
``General'', Section 7.7.3.2. ``Power analyser and transducers'', 
Section 7.7.3.3, ``Mechanical Output of the motor'', Section 7.7.3.5, 
``PDS loss determination according to input-output method'', and 
Section 7.10 ``Testing Conditions for PDS testing''. Test must be 
conducted using an inverter as specified in the manufacturer catalogs 
or offered for sale with the electric motor.
    2.5.3. The efficiencies and losses of electric motors (inclusive of 
the inverter) that are inverter-only and include an inverter are 
determined in accordance with IEC 61800-9-2:2017, Section 3 ``Terms, 
definitions, symbols, and abbreviated terms'', Section 7.7.2, ``Input-
output measurement of PDS losses'', Section 7.7.3.1, ``General'', 
Section 7.7.3.2. ``Power analyser and transducers'', Section 7.7.3.3, 
``Mechanical Output of the motor'', Section 7.7.3.5, ``PDS loss 
determination according to input-output method'', and Section 7.10 
``Testing Conditions for PDS testing''.

3. Procedures for the Testing of Certain Electric Motor Categories

    Prior to testing according to section 2 of this appendix, each 
basic model of the electric motor categories listed below must be set 
up in accordance with the instructions of this section to ensure 
consistent test results. These steps are designed to enable a motor to 
be attached to a dynamometer and run continuously for testing purposes. 
For the purposes of this appendix, a ``standard bearing'' is a 600 or 
6000 series, either open or grease-lubricated double-shielded, single-
row, deep groove, radial ball bearing.
3.1 Brake Electric Motors
    Brake electric motors shall be tested with the brake component 
powered separately from the motor such that it does not activate during 
testing. Additionally, for any 10-minute period during the test and 
while the brake is being powered such that it remains disengaged from 
the motor shaft, record the power consumed (i.e., watts). Only power 
used to drive the motor is to be included in the efficiency 
calculation; power supplied to prevent the brake from engaging is not 
included in this calculation. In lieu of powering the brake separately, 
the brake may be disengaged mechanically, if such a mechanism exists 
and if the use of this mechanism does not yield a different efficiency 
value than separately powering the brake electrically.
3.2 Close-Coupled Pump Electric Motors and Electric Motors With Single 
or Double Shaft Extensions of Non-Standard Dimensions or Design
    To attach the unit under test to a dynamometer, close-coupled pump 
electric motors and electric motors with single or double shaft 
extensions of non-standard dimensions or design must be tested using a 
special coupling adapter.
3.3 Electric Motors With Non-Standard Endshields or Flanges
    If it is not possible to connect the electric motor to a 
dynamometer with the non-standard endshield or flange in place, the 
testing laboratory shall replace the non-standard endshield or flange 
with an endshield or flange meeting NEMA or IEC specifications. The 
replacement component should be obtained from the manufacturer or, if 
the manufacturer chooses, machined by the testing laboratory after 
consulting with the manufacturer regarding the critical characteristics 
of the endshield.
3.4 Electric Motors With Non-Standard Bases, Feet or Mounting 
Configurations
    An electric motor with a non-standard base, feet, or mounting 
configuration may be mounted on the test equipment using adaptive 
fixtures for testing as long as the mounting or use of adaptive 
mounting fixtures does not have an adverse impact on the performance of 
the electric motor, particularly on the cooling of the motor.
3.5 Electric Motors With a Separately-Powered Blower
    For electric motors furnished with a separately-powered blower, the 
losses from the blower's motor should not be included in any efficiency 
calculation. This can be done either by powering the blower's motor by 
a source separate from the source powering the electric motor under 
test or by connecting leads such that they only measure the power of 
the motor under test.
3.6 Immersible Electric Motors
    Immersible electric motors shall be tested with all contact seals 
removed but be otherwise unmodified.
3.7 Partial Electric Motors
    Partial electric motors shall be disconnected from their mated 
piece of equipment. After disconnection from the equipment, standard 
bearings and/or endshields shall be added to the motor, such that it is 
capable of operation. If an endshield is necessary, an endshield 
meeting NEMA or IEC specifications should be obtained from the 
manufacturer or, if the manufacturer chooses, machined by the testing 
laboratory after consulting with the manufacturer regarding the 
critical characteristics of the endshield.
3.8 Vertical Electric Motors and Electric Motors With Bearings 
Incapable of Horizontal Operation
    Vertical electric motors and electric motors with thrust bearings 
shall be tested in a horizontal or vertical configuration in accordance 
with the

[[Page 71783]]

applicable test procedure under section 2 through section 2.5.3 of this 
appendix, depending on the testing facility's capabilities and 
construction of the motor, except if the motor is a vertical solid 
shaft normal thrust general purpose electric motor (subtype II), in 
which case it shall be tested in a horizontal configuration in 
accordance with the applicable test procedure under section 2 through 
section 2.5.3 of this appendix. Preference shall be given to testing a 
motor in its native orientation. If the unit under test cannot be 
reoriented horizontally due to its bearing construction, the electric 
motor's bearing(s) shall be removed and replaced with standard 
bearings. If the unit under test contains oil-lubricated bearings, its 
bearings shall be removed and replaced with standard bearings. If 
necessary, the unit under test may be connected to the dynamometer 
using a coupling of torsional rigidity greater than or equal to that of 
the motor shaft.
3.9 Electric Motors With Shaft Seals
    Electric motor shaft seals of any variety shall remain installed 
during testing unless the motor under test is an immersible electric 
motor, in which case the seals shall be removed for testing only if 
they are contact seals (see section 3.6 of this appendix).

[FR Doc. 2021-25667 Filed 12-16-21; 8:45 am]
BILLING CODE 6450-01-P