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

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[Docket No. EERE–2008–BT–TP–0008] 

RIN 1904–AB71 

Energy Conservation Program: Test 

Procedures for Electric Motors and 

Small Electric Motors 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Supplemental notice of 

proposed rulemaking. 

SUMMARY: This supplemental notice of 

proposed rulemaking (SNOPR) proposes 

to clarify certain terms and language in 

our regulations for certain commercial 

and industrial equipment, as follows: 

revise the definitions of certain terms 

related to electric motors and small 

electric motors, clarify the scope of 

energy conservation standards for 

electric motors, update references to 

several industry and testing standards 

for electric motors, incorporate by 

reference and update alternative test 

methods for polyphase and single-phase 

small electric motors, and specify the 

determination of efficiency 

requirements for small electric motors. 

These actions are being proposed to 

clarify the scope of regulatory coverage 

for small electric motors and electric 

motors and ensure the accurate and 

consistent measurement of energy 

efficiency. This notice invites comments 

on U.S. Department of Energy (DOE) 

proposals and the issues presented 

herein, and requests comments, data, 

and other information that would enable 

DOE to promulgate a final rule. 

DATES: DOE will accept comments, data, 

and information regarding the SNOPR 

until February 4, 2011. See section IV, 

‘‘Public Participation,’’ of this 

supplemental proposed rule for details. 

ADDRESSES: Any comments submitted 

must identify the SNOPR on Test 

Procedures for Electric Motors and 

provide the docket number EERE–2008– 

BT–TP–0008 and/or Regulation 

Identifier Number (RIN) 1904–AB71. 

Comments may be submitted using any 

of the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• E-mail: small_electric_motors_

tp.rulemaking@ee.doe.gov. Include the 

docket number EERE–2008–BT–TP– 

0008 and/or RIN 1904–AB71 in the 

subject line of the message. 

• Postal Mail: Ms. Brenda Edwards, 

U.S. Department of Energy, Building 

Technologies Program, Mailstop EE–2J, 

1000 Independence Avenue, SW., 

Washington, DC 20585–0121. Please 

submit one signed paper original. Due to 

the potential delays in DOE’s receipt 

and processing of mail sent through the 

U.S. Postal Service, DOE encourages 

respondents to submit comments 

electronically to ensure timely receipt. 

• Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 6th 

Floor, 950 L’Enfant Plaza, SW., 

Washington, DC 20024. Telephone: 

(202) 586–2945. Please submit one 

signed paper original. 

For detailed instructions on 

submitting comments and additional 

information on the rulemaking process, 

see section IV, ‘‘Public Participation,’’ of 

this document. 

Docket: For access to the docket to 

read background documents or 

comments received, visit the U.S. 

Department of Energy, Sixth Floor, 950 

L’Enfant Plaza, SW., Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m., Monday through Friday, 

except Federal holidays. Please call Ms. 

Brenda Edwards at (202) 586–2945 for 

additional information about visiting 

the Resource Room. 

FOR FURTHER INFORMATION CONTACT: Mr. 

James Raba, U.S. Department of Energy, 

Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–8654. E-mail: 

Jim.Raba@ee.doe.gov. In the Office of 

the General Counsel, contact Ms. Ami 

Grace-Tardy, U.S. Department of 

Energy, Office of the General Counsel, 

GC–71, 1000 Independence Avenue, 

SW., Washington, DC 20585. Telephone: 

(202) 586–5709. E-mail: Ami.GraceTardy@hq.doe.gov. 

For information about how to submit 

or review public comments, contact Ms. 

Brenda Edwards, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–2945. E-mail: 

Brenda.Edwards@ee.doe.gov. 

SUPPLEMENTARY INFORMATION:

Table of Contents 

I. Introduction 

A. Authority 

B. Background 

1. Electric Motors 

2. Small Electric Motors 

II. Summary of Supplemental Notice of 

Proposed Rulemaking 

III. Discussion 

A. Definition of Electric Motor 

B. Definition of General Purpose Electric 

Motors, Subtypes I and II 

C. Definition of NEMA Design B Motor 

D. Fire Pump Motors Definition 

E. Fire Pump Motor Coverage 

F. Energy Conservation Standards for 

Electric Motors 

G. References to International 

Electrotechnical Commission, National 

Electrical Manufacturers Association, 

Institute of Electrical and Electronics 

Engineers, and Canadian Standards 

Association Standards for Electric 

Motors 

H. National Institute of Standards and 

Technology/National Voluntary 

Laboratory Accreditation Program 

Handbook 150–10 Update and Checklist 

I. Appendix A to Subpart B of Title 10 of 

the Code of Federal Regulations Part 431 

J. Definition of Small Electric Motor 

K. Canadian Standards Association Test 

Procedures for Small Electric Motors 

L. Small Electric Motor Represented 

Efficiency Value 

M. Validation of the Small Electric Motor 

Alternative Efficiency Determination 

Method 

N. Small Electric Motor Nationally 

Recognized Certification Program 

O. Issues Related to Compliance 

Certification and Enforcement of Electric 

Motors and Small Electric Motors. 

IV. Public Participation 

A. Submission of Comments 

B. Issues on Which the Department of 

Energy Seeks Comment 

1. Definition of Electric Motor 

2. Definition of General Purpose Electric 

Motors, Subtypes I and II 

3. Definition of NEMA Design B Motor 

4. Fire Pump Motors Definition 

5. Fire Pump Motor Coverage 

6. Energy Conservation Standards for 

Electric Motors 

7. References to International 

Electrotechnical Commission, National 

Electrical Manufacturers Association, 

Institute of Electrical and Electronics 

Engineers, and Canadian Standards 

Association Standards for Electric 

Motors 

8. National Institute of Standards and 

Technology/National Voluntary 

Laboratory Accreditation Program 

Handbook 150–10 Update and Checklist 

9. Appendix A to Subpart B of Title 10 of 

the Code of Federal Regulations Part 431 

10. Canadian Standards Association Test 

Procedure for Small Electric Motors 

11. Small Electric Motor Represented 

Efficiency Value 

12. Validation of the Small Electric Motor 

Alternative Efficiency Determination 

Method 

13. Small Electric Motor Nationally 

Recognized Certification Program 

14. Issues Related to Compliance 

Certification and Enforcement of Electric 

Motors and Small Electric Motors 

V. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act 


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1EPCA, as amended by EPAct 1992, had 

previously defined an ‘‘electric motor’’ as ‘‘any 

motor which is a general purpose T-frame, singlespeed, foot-mounting, polyphase squirrel-cage 

induction motor of the National Electrical 

Manufacturers Association, Design A and B, 

continuous rated, operating on 230/460 volts and 

constant 60 Hertz line power as defined in NEMA 

Standards Publication MG1–1987.’’ (42 U.S.C. 

6311(13)(A) (1992)) Through subsequent 

amendments to EPCA, Congress removed this 

definition and replaced it with language denoting 

two new subtypes of general purpose electric 

motors. (See 42 U.S.C. 6311(13)(A)–(B) (2010)) 

2EPCA, as amended by EPAct 1992, defines the 

term ‘‘small electric motor’’ to mean a ‘‘NEMA 

general purpose alternating current single-speed 

induction motor, built in a two-digit frame number 

series in accordance with NEMA Standards 

Publication MG1–1987.’’ (42 U.S.C. 6311(13)(G)) 

3A single-phase small electric motor is a rotating 

electrical machine that operates on single-phase 

electrical power, which refers to a single alternating 

voltage sinusoidal waveform. Similarly, a 

polyphase small electric motor is a rotating 

electrical machine that operates on three-phase 

electrical power, which refers to the sinusoidal 

waveforms of three supply conductors that are 

offset from one another by 120 degrees. Small 

electric motors are generally used as components to 

drive commercial and industrial pumps, fans, 

conveyors, and other equipment that require low 

power (i.e., approximately 3 horsepower and 

below). 73 FR 78220, 78221 n.2 (December 22, 

2008) 

4The IEEE Standards addressed in this notice are 

generally listed chronologically by their last date of 

revision and adoption rather than their sequential 

number. 

D. Review Under the National 

Environmental Policy Act 

E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under the Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

VI. Approval of the Office of the Secretary 

I. Introduction 

A. Authority 

Part A–1 of Title III of the Energy 

Policy and Conservation Act, as 

amended (EPCA), provides the 

Department of Energy (‘‘DOE’’ or, in 

context, ‘‘the Department’’) with the 

authority to promulgate energy 

conservation standards and related test 

procedures for certain commercial and 

industrial equipment. (42 U.S.C. 6311– 

6317) This supplemental notice of 

proposed rulemaking addresses issues 

raised in response to an earlier notice of 

proposed rulemaking, 73 FR 78220 

(December 22, 2008). 

B. Background 

In the Energy Policy Act of 1992, 

Public Law 102–486 (October 24, 1992) 

(EPAct 1992), Congress amended EPCA 

to establish energy conservation 

standards, test procedures, compliance 

certification, and labeling requirements 

for certain electric motors.1 In addition, 

EPAct 1992 directed the Secretary of 

Energy to determine whether energy 

conservation standards for small electric 

motors would be technologically 

feasible and economically justified, and 

would result in significant energy 

savings.2 On October 5, 1999, DOE 

published in the Federal Register, a 

final rule that set forth procedures to 

determine the energy efficiency of 

electric motors. 64 FR 54114. After 

determining that energy conservation 

standards for small electric motors 

would be technologically feasible and 

economically justified, see 71 FR 38799 

(July 10, 2006), DOE initiated a 

rulemaking to begin the development of 

standards for small electric motors.3

Related to these efforts was DOE’s 

publication of a July 7, 2009 final rule 

prescribing test procedures for small 

electric motors. 74 FR 32059. Today’s 

supplemental notice of proposed 

rulemaking (SNOPR) proposes 

revisions, as summarized below, to the 

test procedures and definitions related 

to electric motors and small electric 

motors that were not addressed in 

previous rulemakings. 

1. Electric Motors 

Section 343(a)(5)(A) of EPCA requires 

that test procedures for electric motor 

efficiency shall be the test procedures 

specified in the National Electrical 

Manufacturers Association (NEMA) 

Standards Publication MG1–1987 and 

IEEE Standard 112 Test Method B for 

electric motor efficiency, as in effect on 

the date of enactment of EPAct 1992. (42 

U.S.C. 6314(a)(5)(A)) Section 

343(a)(5)(B) of EPCA directs that if the 

NEMA and IEEE test procedures are 

amended, the Secretary of Energy shall 

amend the efficiency test procedures for 

electric motors to conform to the 

amended NEMA and IEEE test 

procedures, unless the Secretary 

determines, by rule, that amended 

procedures are not reasonably designed 

to produce results that reflect energy 

efficiency, energy use, and estimated 

operating costs, and would be unduly 

burdensome to conduct. (42 U.S.C. 

6314(a)(5)(B)) Subsequently, once newer 

versions of these industry test 

procedures became available, DOE 

amended its regulations to include more 

recent versions of these procedures. 

MG1–1993 and IEEE Standard 112–1996 

were codified at 10 CFR 431.22 (now 

codified at 10 CFR 431.16 and appendix 

B to subpart B). In addition, the 

equivalent CAN/CSA C390–93, ‘‘Energy 

Efficiency Test Methods for Three-Phase 

Induction Motors’’ was added in the 

final rule published on October 5, 1999. 

64 FR 54114. These changes were made 

to ensure that the latest industry 

practices were incorporated into DOE’s 

regulations and to incorporate related 

equivalent procedures. 

NEMA Standards Publication MG1 

was most recently revised and 

published on April 9, 2010, IEEE 

Standard 112 was most recently 

amended in November 2004, and CAN/ 

CSA C390 was most recently amended 

on March 22, 2010 (as the renamed 

‘‘Test methods, marking requirements, 

and energy efficiency levels for threephase induction motors.’’) As directed 

by section 343(a)(5)(B) of EPCA, DOE 

proposed in a December 22, 2008, test 

procedure notice of proposed 

rulemaking (NOPR) (December 2008 

NOPR) to update the test procedures in 

10 CFR part 431 by incorporating by 

reference the test methods from the 

most current versions (at that time) of 

those industry testing standards. 73 FR 

78220. DOE received several comments 

on its proposed updates as well as on 

other issues and is addressing them in 

today’s SNOPR for further public 

review. 

2. Small Electric Motors 

Section 346 of EPCA requires DOE to 

prescribe test procedures for those small 

electric motors for which the Secretary 

of Energy makes a positive 

determination that energy conservation 

standards would be technologically 

feasible and economically justified, and 

would result in significant energy 

savings. (42 U.S.C. 6317(b)(1)) 

Consistent with this requirement, DOE 

announced its intention in the 

determination notice to initiate the 

development of test procedures for 

certain small electric motors. 71 FR 

38807 (July 10, 2006). 

Pursuant to section 346(b)(1) of EPCA, 

in the December 2008 NOPR, DOE 

presented potential test methods for 

measuring the energy efficiency of small 

electric motors that DOE was 

considering incorporating into its 

regulations. 73 FR 78220. DOE proposed 

to base its test procedure on IEEE 

Standard 114–2001, ‘‘Test Procedure for 

Single-Phase Induction Motors,’’ IEEE 

Standard 112–2004, ‘‘Test Procedure for 

Polyphase Induction Motors and 

Generators,’’ and Canadian Standards 

Association (CAN/CSA) C747–94, 

‘‘Energy Efficiency Test Methods for 

Single- and Three-Phase Small 

Motors.’’ 4 All of these testing standards 

are industry-based test procedures that 


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are well-known and commonly used by 

small electric motor manufacturers. 

On July 7, 2009, DOE published a 

final rule adopting test procedures for 

measuring the energy efficiency of small 

electric motors. 74 FR 32059. However, 

there were certain subsidiary issues 

raised in the December 2008 NOPR that 

required additional consideration before 

a final decision could be made on how 

to address them in light of comments 

received from interested parties. These 

issues are addressed in today’s SNOPR. 

II. Summary of Supplemental Notice of 

Proposed Rulemaking 

Today’s SNOPR addresses and solicits 

comment on particular issues 

concerning definitions and test 

procedures for electric motors and small 

electric motors. DOE prepared this 

SNOPR to ensure clarity in the 

definitions and test procedures for 

electric motors and small electric 

motors and to address public comments 

received in response to the December 

NOPR. 

With respect to electric motors, DOE 

proposes to take four actions. First, DOE 

proposes to clarify definitions for the 

terms ‘‘electric motor,’’ ‘‘fire pump 

motor,’’ ‘‘general purpose electric motor 

(subtype I),’’ ‘‘general purpose electric 

motor (subtype II),’’ and ‘‘NEMA Design 

B.’’ In addition, DOE proposes to rename 

the term ‘‘general purpose motor’’ to be 

‘‘general purpose electric motor’’ 

consistent with terminology used in the 

regulations. DOE believes that the 

proposed revisions to these terms will 

make the applicable test procedures 

contained in 10 CFR part 431 

appropriate for this equipment while 

addressing comments from interested 

parties submitted in response to the 

December 2008 NOPR. Second, today’s 

notice proposes to clarify the scope of 

existing and pending energy 

conservation standards for electric 

motors in 10 CFR 431.25. Third, DOE 

proposes to update the references to 

NIST Handbook 150–10, ‘‘Efficiency of 

Electric Motors,’’ and the associated 

NIST Handbook 150–10 Checklist, IEC 

standards documents, CAN/CSA C390, 

and NEMA MG1 throughout subpart B 

of 10 CFR part 431. Fourth, DOE 

proposes revisions to appendix A to 

subpart B, of 10 CFR part 431, to 

maintain consistency with the Energy 

Independence and Security Act (EISA 

2007) amendments to the electric motor 

scope of coverage, and to address 

acceptable bounds for shaft dimensions 

for covered general purposes electric 

motors. 

With respect to small electric motors, 

on July 7, 2009, DOE published a final 

rule that prescribed test procedures to 

measure the energy efficiency of small 

electric motors (July 2009 final rule). 74 

FR 32059. Today’s SNOPR addresses 

three related matters that would clarify 

the scope of coverage and alleviate 

potential undue testing burdens. 

First, DOE proposes to define the 

represented efficiency value and average 

full load efficiency for small electric 

motors. 

Second, DOE proposes to include the 

following test procedures as alternative 

methodologies for measuring the energy 

efficiency of polyphase small electric 

motors: CAN/CSA C747 and CAN/CSA 

C390. DOE understands that both test 

methods are equivalent to IEEE 

Standard 112 Test Methods A and B, 

respectively, which were adopted in the 

July 2009 final rule. DOE is also 

updating existing references to CAN/ 

CSA C747 to the latest version of the 

standard. 

Finally, DOE proposes a method to 

validate an alternative efficiency 

determination method (AEDM) for small 

electric motors, including the statistical 

requirements to substantiate the AEDM. 

While the AEDM was addressed in the 

December 2008 NOPR, comments to that 

notice indicated that the agency needed 

to provide additional clarification 

regarding how manufacturers should 

use the sample of basic models tested 

when validating their AEDMs. Today’s 

notice clarifies that issue by proposing 

an approach based on the AEDM 

substantiation requirements for 1–200 

horsepower electric motors. 

The proposed revisions are 

summarized in the table below and 

addressed in detail in the following 

section. Note that all citations to various 

sections of 10 CFR part 431 throughout 

this SNOPR preamble refer to the 

current version of 10 CFR part 431. The 

proposed regulatory text follows the 

preamble to this notice. DOE seeks 

comments from interested parties on 

each of the proposed revisions. 

TABLE 1—SUMMARY OF CHANGES PROPOSED IN THIS SNOPR AND AFFECTED SECTIONS OF 10 CFR PART 431 

Existing Section in 10 CFR Part 431 Summary of Proposed Modifications 

Section 431.11 of Subpart B—Purpose and Scope ................................ • Clarifies that subpart B is applicable to ‘‘electric motors,’’ but not 

‘‘small electric motors.’’ 

Section 431.12 of Subpart B—Definitions ................................................ • Revises the definitions of ‘‘accreditation,’’ ‘‘definite purpose motor,’’ 

‘‘general purpose electric motor (subtype I),’’ ‘‘general purpose electric motor (subtype II),’’ and ‘‘nominal full load efficiency.’’ 

• Adds new definitions for ‘‘electric motor,’’ ‘‘fire pump motor,’’ ‘‘general 

purpose electric motor,’’ and ‘‘NEMA Design B motor.’’ 

• Removes definition of ‘‘general purpose motor.’’ 

Section 431.14 of Subpart B— Sources for information and guidance ... • Removes sources for information and guidance from Section 431.15 

and places it in new Section 431.14. 

Section 431.15 of Subpart B—Materials incorporated by reference ....... • Updates reference to CAN/CSA–C390. 

• Updates references to IEC standards. 

• Updates reference to IEEE 112. 

• Updates reference to NEMA MG1. 

Section 431.18 of Subpart B—Testing Laboratories ............................... • Updates reference to NIST Handbook 150–10. 

Section 431.19 of Subpart B—Department of Energy recognition of accreditation bodies.• Updates references to IEEE 112 and CAN/CSA C390. 

Section 431.20 of Subpart B—Department of Energy recognition of nationally recognized certification programs.• Updates references to IEEE 112 and CAN/CSA–C390 for electric 

motors. 

Section 431.25 of Subpart B—Energy conservation standards and effective dates.• Clarifies the scope of efficiency standards in 431.25(a) through (e). 

• Inserts kilowatt equivalent power ratings in the efficiency standard tables. 

Section 431.31 of Subpart B—Labeling Requirements ........................... • Updates reference to NEMA MG1. 

Appendix A to Subpart B—Policy Statement for Electric Motors Covered Under the Energy Policy and Conservation Act.• Revised for consistency with EISA 2007 amendments. 


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5Notations of this form appear throughout this 

document and identify statements made in written 

comments or at public hearings that DOE has 

received and has included in the docket for this 

rulemaking. For example, ‘‘NEMA, No. 12 at p. 7’’ 

refers to a comment: (1) From the National 

Electrical Manufacturers Association; (2) in 

document number 12 in the docket of this 

rulemaking; and (3) appearing on page 7 of the 

submission. 

TABLE 1—SUMMARY OF CHANGES PROPOSED IN THIS SNOPR AND AFFECTED SECTIONS OF 10 CFR PART 431— 

Continued 

Existing Section in 10 CFR Part 431 Summary of Proposed Modifications 

• Includes guidance regarding special shaft designs for motors. 

Appendix B to Subpart B—Uniform Test Method for Measuring Nominal 

Full Load Efficiency of Electric Motors.

• Updates references to NEMA MG1, IEEE 112, and CAN/CSA C390. 

Section 431.441 of Subpart X—Purpose and Scope .............................. • Clarifies that subpart X is applicable to ‘‘small electric motors,’’ but 

not ‘‘electric motors.’’ 

Section 431.443 of Subpart X—Materials incorporated by reference ..... • Updates reference to CAN/CSA–C747. 

• Adds reference to CSA–C390. 

• Updates references to IEEE 112 and 114. 

Section 431.444 of Subpart X—Test procedures for measurement of 

energy efficiency.

• Updates reference to CAN/CSA–C747. 

• Adds reference to CAN/CSA–C390. 

Section 431.445 of Subpart X—Determination of small electric motor 

efficiency.

• Adds additional guidelines on use of a certification program and references section 431.447 for small electric motors. 

• Defines the represented efficiency value. 

Section 431.447 of Subpart X—Department of Energy recognition of 

nationally recognized certification programs.

• Adds a section on nationally recognized certification programs for 

small electric motors similar to section 431.20 for electric motors. 

Section 431.448 of Subpart X—Procedures for recognition and withdrawal of recognition of certification programs.• Adds a section on procedures for recognition of certification programs for small electric motors similar to section 431.21 for electric 

motors. 

III. Discussion 

A. Definition of Electric Motor 

Before the enactment of EISA 2007, 

section 340(13)(A) of EPCA, as 

amended, defined the term ‘‘electric 

motor’’ as ‘‘any motor which is a general 

purpose T-frame, single-speed, footmounting, polyphase squirrel-cage 

induction motor of the National 

Electrical Manufacturers Association, 

Design A and B, continuous rated, 

operating on 230/460 volts and constant 

60 Hertz line power as defined in 

NEMA Standards Publication MG1– 

1987.’’ Section 313(a)(2) of EISA 2007 

struck that definition and established 

two subtypes: General purpose electric 

motor (subtype I) and general purpose 

electric motor (subtype II). (42 U.S.C. 

6311(13)) In addition, section 313(b)(2) 

of EISA 2007 established energy 

conservation standards for four types of 

motors: General purpose electric motor 

(subtype I) with a power rating of 1 to 

200 horsepower; fire pump motors; 

general purpose electric motor (subtype 

II) with a power rating of 1 to 200 

horsepower; and NEMA Design B, 

general purpose electric motors with a 

power rating of more than 200 

horsepower to 500 horsepower. (42 

U.S.C. 6313(b)(2)) All of these standards 

apply to covered motors that are 

manufactured alone or as a component 

of another piece of equipment. The term 

‘‘electric motor’’ (which frequently 

appears throughout EPCA, as amended 

by EISA, and various subparts of 10 CFR 

part 431) was left undefined. 

Consequently, DOE expressed concern 

that the absence of a definition may 

cause confusion about which electric 

motors are required to comply with 

mandatory test procedures and energy 

conservation standards. 73 FR 78225. 

In the December 2008 NOPR, DOE 

proposed to clarify the EISA definition 

of ‘‘electric motor’’ to mean any of the 

following four types of motors: A 

general purpose electric motor (subtype 

I), a fire pump motor, a general purpose 

electric motor (subtype II), or a NEMA 

Design B general purpose electric motor. 

73 FR 78225 and 78235. In DOE’s view, 

applying the term ‘‘electric motor’’ in 

this manner would clarify that the test 

procedures prescribed for electric 

motors would equally apply to each of 

the four types of motors. 73 FR 78225. 

Whereas DOE proposed to separate 

(and define) the covered electric motors 

into four distinct and separate types, 

NEMA asserted that section 313(a)(2) of 

EISA 2007 categorized covered electric 

motors into two types: General purpose 

electric motor (subtype I) and general 

purpose electric motor (subtype II). 

Further, NEMA commented that under 

the DOE-proposed definition of electric 

motor, a NEMA Design B general 

purpose electric motor and a fire pump 

motor would be viewed as separate and 

apart from general purpose electric 

motor (subtype I), when in reality they 

are considered subsets of general 

purpose electric motors (subtype I). 

(NEMA, No. 12 at p. 7) 5

In view of the above and with the 

term ‘‘electric motor’’ as yet unclear, 

today’s SNOPR proposes to clarify the 

term ‘‘electric motor’’ to mean ‘‘a 

machine which converts electrical 

power into rotational mechanical 

power.’’ Additionally, as discussed 

below, DOE is proposing to clarify what 

constitutes a ‘‘general purpose electric 

motor (subtype I)’’ by enumerating 

certain design and performance 

elements, and what constitutes a 

‘‘general purpose electric motor (subtype 

II)’’ by explicitly drawing the distinction 

between a subtype I and subtype II. 

B. Definition of General Purpose Electric 

Motors, Subtypes I and II 

EISA 2007 defines a general purpose 

electric motor (subtype I) as a motor that 

meets the definition of ‘‘general 

purpose’’ which was in effect at the time 

of enactment of EISA 2007. At that time, 

10 CFR part 431 did not contain a 

definition of ‘‘general purpose,’’ 

although the regulations did define 

‘‘general purpose motor’’ as a motor 

designed in standard ratings with either: 

(1) Standard operating characteristics and 

standard mechanical construction for use 

under usual service conditions, such as those 

specified in NEMA Standards Publication 

MG1–1993, paragraph 14.02, ‘‘Usual Service 

Conditions,’’ and without restriction to a 

particular application or type of application; 

or 

(2) Standard operating characteristics or 

standard mechanical construction for use 

under unusual service conditions, such as 

those specified in NEMA Standards 

Publication MG1–1993, paragraph 14.03, 

‘‘Unusual Service conditions,’’ or for a 

particular type of application, and which can 

be used in most general purpose 

applications. 


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64 FR 54142 (codified at 10 CFR 

431.12). 

DOE subsequently adopted this 

definition of ‘‘general purpose motor’’ as 

the definition of ‘‘general purpose 

electric motor (subtype I).’’ 74 FR 12058, 

12071 (March 23, 2009) (codified at 10 

CFR 431.12) In the December 2008 

NOPR, DOE did not propose any 

changes to the definition of ‘‘general 

purpose electric motor (subtype I).’’ 

DOE also did not propose any changes 

to the definition of ‘‘general purpose 

electric motor (subtype II)’’ in the 

December 2008 NOPR because this term 

was defined in section 313(a)(2) of EISA 

2007 and was incorporated without 

modification into 10 CFR 431.12. 74 FR 

12071. The statute defines a subtype II 

general purpose motor as any motor 

incorporating the design elements of a 

general purpose electric motor (subtype 

I) configured as one of the following: 

(i) A U-frame motor; 

(ii) A Design C motor; 

(iii) A close-coupled pump motor; 

(iv) A footless motor; 

(v) A vertical solid shaft normal thrust 

motor (as tested in a horizontal 

configuration); 

(vi) An 8-pole motor (900 rpm); or 

(vii) A polyphase motor with voltage 

of not more than 600 volts (other than 

230 or 460 volts). 

(42 U.S.C. 6311(13)(B)) 

In response to the December 2008 

NOPR, NEMA and Baldor commented 

that Congress created confusion when it 

struck the EPAct 1992 definition of 

electric motor from section 340(13)(A) 

of EPCA via section 313(a)(2) of EISA 

2007 and subsequently inserted the 

terms ‘‘general purpose electric motor 

(subtype I)’’ and ‘‘general purpose 

electric motor (subtype II)’’ under the 

umbrella heading ‘‘Electric motor’’ 

without further clarification. According 

to NEMA and Baldor, the DOE 

definition of general purpose electric 

motor (subtype I) does not provide the 

essential elements that would 

differentiate a general purpose electric 

motor (subtype II) from a general 

purpose electric motor (subtype I)—the 

subtype II characteristics described in 

the statute are also shared with subtype 

I motors. Consequently, NEMA 

requested that DOE clarify how it 

intends to distinguish between a general 

purpose electric motor (subtype I) and 

general purpose electric motor (subtype 

II), particularly because EISA 2007 

prescribes different efficiency levels for 

subtype I and subtype II motors. 

Further, Baldor suggested that DOE 

restore the original [EPAct 1992] 

definition of electric motor, which was 

struck by the EISA 2007 amendment to 

EPCA, and from that [EPAct 1992] 

definition derive clear definitions to 

differentiate general purpose electric 

motor (subtype I) and (subtype II). 

(NEMA, No. 12 at p. 11; Baldor, Public 

Meeting Transcript, No. 8 at 116–119) 

In addition, NEMA commented that 

section 313(a)(2) of EISA 2007 defines a 

general purpose electric motor (subtype 

II) as one that incorporates the design 

elements of a subtype I general purpose 

electric motor and that is ‘‘configured as 

1 of several distinct configurations, such 

as ‘‘Design C’’ or ‘‘U–Frame’’ 

construction. (codified at 42 U.S.C. 

6311(13)(A)–(B)). NEMA asked DOE to 

clarify how it would interpret the clause 

‘‘configured as 1 of’’ in EISA 2007’s 

definition of general purpose electric 

motor (subtype II). Otherwise, according 

to NEMA, it is possible that a general 

purpose motor could be configured in a 

manner that uses combinations of the 

various configurations specified by 

EISA 2007, that is, a Design C motor 

could be constructed in a U-frame. 

(NEMA, No. 12 at p. 11) 

In view of the above, DOE proposes 

first to clarify the definition of ‘‘electric 

motor’’ by describing what an electric 

motor is and what it does, rather than 

listing categories of covered electric 

motors. Second, DOE proposes to clarify 

the definition of ‘‘general purpose 

electric motor (subtype I)’’ by specifying 

certain design and performance 

elements. Third, DOE proposes to 

clarify the relationship between a 

general purpose electric motor subtype 

I and a general purpose electric motor 

subtype II. 

NEMA commented that the definition 

of ‘‘general purpose electric motor 

(subtype I)’’ in the December 2008 NOPR 

is confusing because the only 

identifying characteristic is that the 

motor is ‘‘constructed for use in general 

purpose applications or can be used in 

most general purpose applications.’’ 

Further, NEMA asserted that design 

characteristics (such as T-frame, single 

speed, foot-mounting, polyphase, 

squirrel-cage induction motor, Design A 

and B, continuous rated, operating on 

230/460 volts or constant 60 Hertz line 

power, etc.), which were essential 

elements under the EPAct 1992 

definition of ‘‘electric motor,’’ are not 

included in the EISA 2007 definition. In 

addition, NEMA commented that when 

[in 1999] DOE originally codified 

regulations for electric motors into 10 

CFR part 431, it determined that motors 

designed in accordance with IEC 

standards, and which could be used in 

the same general purpose applications 

as NEMA motors, be included as 

covered equipment. 61 FR 60442–43, 

60449–50 (November 27, 1996) and 64 

FR 54131. Whereas the definition for 

‘‘general purpose electric motor (subtype 

I),’’ proposed in the December 2008 

NOPR, failed to include IEC motors of 

similar design and use, NEMA 

requested that DOE explicitly include 

equivalent IEC motors as covered 

equipment. (NEMA, No. 12 at pp. 9 and 

11) 

In view of the above comments, DOE 

is proposing to clarify what constitutes 

a ‘‘general purpose electric motor 

(subtype I)’’ by referencing the 

enumerated design and performance 

elements under the definition of 

‘‘electric motor,’’ set forth in EPCA, as 

amended by EPAct 1992 and codified in 

10 CFR 431.2 (January 1, 2000). DOE 

would also include references to IEC 

standards to clarify that IEC-equivalent 

electric motors are subject to energy 

conservation standards. DOE requests 

comment on the following proposed 

definition for ‘‘general purpose electric 

motor (subtype I)’’: 

General purpose electric motor (subtype 

I) means a general purpose electric 

motor that: 

(1) Is a single-speed induction motor 

(MG1); 

(2) Is rated for continuous duty (MG1) 

operation or for duty type S1 (IEC); 

(3) Contains a squirrel-cage (MG1) or 

cage (IEC) rotor; 

(4) Has foot-mounting that may 

include foot-mounting with flanges or 

detachable feet; 

(5) Is built in accordance with NEMA 

T-frame dimensions (MG1) or their IEC 

metric equivalents (IEC); 

(6) Has performance in accordance 

with NEMA Design A (MG1) or B 

characteristics or equivalent designs 

such as IEC Design N (IEC); 

(7) Operates on polyphase alternating 

current 60-hertz sinusoidal power, and: 

(i) Is rated 230 or 460 volts (or both) 

including motors rated at multiple 

voltages that include 230 or 460 volts 

(or both), or 

(ii) Can be operated on 230 or 460 

volts (or both); and 

(8) Includes, but is not limited to, 

explosion-proof construction. 

Terms in this definition followed by 

the parenthetical ‘‘MG1’’ must be 

construed with reference to provisions 

in NEMA Standards Publication MG1– 

2009 and elements followed by the 

parenthetical ‘‘IEC’’ must be construed 

with reference to the IEC Standards. 10 

CFR part 431, subpart B applies to 

general purpose electric motors (subtype 

I) even if the NEMA or IEC-equivalent 

frame size or design element has been 

discontinued or is discontinued in the 

future. 

To be consistent with the proposed 

definition of ‘‘electric motor’’ and 

corresponding use of the term ‘‘general 


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6Section 340(13)(A) of EPCA, as amended, 

defined the term ‘‘electric motor’’ as ‘‘any motor 

which is a general purpose T-frame, single-speed, 

foot-mounting, polyphase squirrel-cage induction 

motor of the National Electrical Manufacturers 

Association, Design A and B, continuous rated, 

operating on 230/460 volts and constant 60 Hertz 

line power as defined in NEMA Standards 

Publication MG1–1987.’’ 

purpose electric motor’’ in the definition 

of ‘‘general purpose electric motor 

(subtype I),’’ DOE proposes to amend the 

definition of ‘‘general purpose motor’’ in 

10 CFR 431.12 by adding the word 

‘‘electric’’ in front of the word ‘‘motor’’ to 

clarify that a general purpose motor is 

a type of electric motor. Furthermore, 

DOE proposes to update references to 

NEMA MG1, from NEMA MG1–1993 to 

NEMA MG1–2009 in this definition. 

DOE distinguishes between a general 

purpose electric motor subtype I and 

subtype II based on whether the motor 

is configured to have one or more of the 

design or performance elements listed 

in the definition of general purpose 

electric motor (subtype II) at 42 U.S.C. 

6311(13)(B). For example, a subtype I 

motor could be built in accordance with 

NEMA T-frame dimensions and could 

have the performance characteristics of 

a NEMA Design A motor. In contrast, a 

motor built with all of the same design 

elements as the above mentioned motor 

but with the performance characteristics 

of a NEMA Design C motor would be a 

subtype II motor. To clarify this 

interpretation of the statutory definition 

of ‘‘general purpose electric motor 

(subtype I),’’ DOE proposes to modify 

the introductory text of the definition to 

read, ‘‘means any general purpose 

electric motor that incorporates design 

elements of a general purpose electric 

motor (subtype I) but, unlike a general 

purpose electric motor (subtype I), is 

configured in one or more of the 

following ways.’’ For clarification, DOE 

is also proposing to add references to 

MG1 and IEC standards in the definition 

of ‘‘general purpose electric motor 

(subtype II)’’ to clarify the terms ‘‘Uframe,’’ ‘‘NEMA Design C,’’ and ‘‘vertical 

solid shaft normal thrust motor.’’ 

Finally, DOE has received inquiries 

regarding whether motors designed in 

accordance with IEC standards are 

covered motors under EPCA, as 

amended by EISA, if there is no longer 

a NEMA MG1-equivalent design 

standard. Specifically, manufacturers 

are requesting guidance as to whether 

IEC 100 millimeter frame motors are 

covered motors under EPCA, as 

amended by EISA 2007, because the 

equivalent NEMA 160 frame size was 

discontinued as a standard NEMA 

frame. Before EISA 2007 was enacted, 

DOE addressed this question in the 1996 

electric motors test procedure NOPR. 61 

FR 60440, 60443 (November 27, 1996). 

At that time, DOE considered whether 

the proposed scenario was covered 

under the then-current definition of 

‘‘electric motor.’’ 6 The Department 

tentatively decided that the IEC 100 

millimeter frame motor was not covered 

by EPCA because the ‘‘electric motor’’ 

definition required the motor to be a Tframe motor as defined in NEMA MG1– 

1987, but the NEMA T-frame motor that 

was equivalent to an IEC 100 millimeter 

frame motor had been discontinued. 

DOE has reassessed this previous 

preliminary determination in light of 

the EISA 2007 amendment that struck 

the definition of ‘‘electric motor’’ relied 

upon in the above analysis, and today’s 

proposal to include references to IEC 

standards to clarify that IEC-equivalent 

electric motors are subject to energy 

conservation standards. Upon 

reconsideration of the issue, DOE 

proposes that IEC 100 millimeter frame 

motors, and other electric motors built 

to IEC standards, that otherwise meet 

the proposed definition of ‘‘general 

purpose electric motor (subtype I)’’ are 

covered motors under EPCA, even 

though the NEMA-equivalent frame size 

has been discontinued. 

C. Definition of NEMA Design B Motor 

In the December 2008 NOPR, DOE 

proposed to adopt a definition for the 

term ‘‘NEMA Design B, general purpose 

electric motor.’’ 73 FR 78235. This 

definition was based on the definition of 

general purpose electric motor in 

paragraph 1.19.1.2, ‘‘Design B,’’ of 

NEMA MG1–2006 Revision 1, with 

three changes. First the proposed 

definition removed the reference to 50 

hertz and corresponding performance 

characteristics because the EISA 2007- 

prescribed efficiency standards for 

‘‘NEMA Design B, general purpose 

electric motors’’ at 42 U.S.C. 

6313(b)(2)(D) cover only 60-hertz 

motors. (See NEMA MG–1 (2006) Table 

12–11) Second, it limited the maximum 

rated slip at rated load to less than 5 

percent for motors with fewer than 10 

poles, because the EISA 2007-prescribed 

energy conservation standards only 

cover 2-, 4-, 6-, and 8-pole motors and, 

according to the footnote to MG1–2006 

paragraph 1.19.1.2, motors with 10 or 

more poles are permitted to have slip 

slightly greater than 5 percent. Third, it 

corrected the referenced 60-hertz 

locked-rotor current paragraph from 

12.35.3 to 12.35.1, because there is no 

paragraph12.35.3 in MG1–2006 and the 

table under paragraph 12.35.1 contains 

the maximum currents associated with 

a locked rotor. 

Several interested parties expressed 

concern over DOE’s proposed definition 

for a NEMA Design B, general purpose 

electric motor. NEMA and Baldor urged 

DOE not to change the NEMA MG1 

definition of Design B where it refers to 

MG1–12.35.[2] for 50 hertz, stating that 

the industry definition has existed for 

many years and should be maintained, 

and that EISA 2007 does not explicitly 

limit coverage to 60 hertz. (Baldor, 

Public Meeting Transcript, No. 8 at p. 

159, NEMA, No. 12 at p. 10) NEMA also 

noted that Table 12–11 of NEMA MG1 

(the applicable efficiency standards for 

NEMA Design B, general purpose 

electric motors) applies both to 60-hertz 

and 50-hertz rated motors. In sum, 

NEMA requested that DOE incorporate 

the definition of NEMA Design B, 

general purpose electric motor from 

NEMA MG1–2006 in its entirety and 

refer to paragraph 1.19.1.2 of NEMA 

MG1–2006. Notwithstanding this 

request, NEMA asserts that it is not 

condoning the inclusion of efficiency 

standards for 50-hertz motors in 10 CFR 

part 431. NEMA also commented that 

even though NEMA Design B motors are 

a subset of general purpose electric 

motor (subtype I), if DOE deems it 

necessary, NEMA would support adding 

a separate definition for NEMA Design 

B general purpose electric motor in 

§ 431.12, as long as it was clearly 

classified as a general purpose electric 

motor (subtype I) with some specific 

characteristics. (NEMA, No. 12 at p. 10) 

In addition, the Northwest Energy 

Efficiency Alliance (NEEA) agreed that 

it could see no benefit to making 

changes to an industry-wide and wellaccepted definition for a NEMA Design 

B general purpose motor that includes 

50-hertz motors and energy efficiency 

levels for 8-pole motors. NEEA 

recommended that DOE adopt the 

NEMA MG1 1.19.1.2 definition without 

amending it. (NEEA, No. 10 at pp. 2–3) 

In response, due to the NEMA MG1 

technical error in referencing section 

12.35.3 for 60 Hz motors, DOE cannot 

simply adopt or reference the NEMA 

MG1 1.19.1.2 definition for Design B 

without any amendments, as suggested 

by NEMA and NEEA. Furthermore, it is 

common and within DOE’s authority to 

adopt a long-standing industry 

definition and adapt the definition to 

make it more precise for regulatory 

purposes. 

Therefore, DOE intends to adopt a 

definition of NEMA Design B motor that 

includes corrections to the reference to 

section 12.35.1 of MG1. In addition, for 

consistency with the footnote to the 

definition in NEMA MG1–2009, DOE 

intends to maintain the limitation that 

the maximum rated slip at rated load to 


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less than 5 percent for only motors with 

fewer than 10 poles. DOE agrees with 

commenters that there is limited benefit 

to constraining the definition of NEMA 

Design B to only 60-hertz motors. 

Though DOE’s proposed definitions of 

general purpose electric motor (subtype 

I) and (subtype II) limit those 

regulations to 60-hertz motors, DOE 

could consider expanding energy 

conservation standards to 50-hertz 

motors in the future. Including 

provisions for 50-hertz motors would 

maintain consistency with the industry 

definition and preserve DOE’s flexibility 

to regulate electric motors covered 

under EPCA. In addition, DOE believes 

that it is inaccurate and inconsistent 

with industry practice to narrowly 

categorize NEMA Design B motors as 

only a subset of general purpose electric 

motor (subtype I). It is DOE’s 

understanding that NEMA Design B 

motors can also fall under the category 

of general purpose electric motor 

(subtype II) (e.g., a footless NEMA 

Design B motor), or other type of electric 

motor. 

For all of these reasons, DOE proposes 

to adopt a broad definition of a NEMA 

Design B motor similar to that which 

was proposed for ‘‘NEMA Design B, 

general purpose electric motor’’ in the 

December 2008 NOPR with three 

revisions. First, DOE proposes to 

include provisions regarding 50 hertz 

motors. Second, DOE intends to modify 

the proposal to update the reference to 

‘‘NEMA MG1–2006’’ to ‘‘NEMA MG1– 

2009.’’ Third, DOE proposes to eliminate 

any reference to NEMA Design B motors 

necessarily being general purpose 

electric motors. 

D. Fire Pump Motors Definition 

EPCA section 342(b), as amended by 

section 313(b)(1)(B) of EISA 2007 (Pub. 

L. 110–140), prescribes energy 

efficiency standards for fire pump 

motors, which were subsequently 

codified at 10 CFR 431.25(d). 74 FR 

12072. However, section 340(13) of 

EPCA, as amended by EISA 2007, does 

not define the term ‘‘fire pump motor.’’ 

DOE proposed a definition for fire pump 

motors in its December 2008 NOPR to 

mean ‘‘a Design B polyphase motor, as 

defined in NEMA MG1–2006, rated 500 

horsepower (373 kW) or less, 600 volts 

or less, and that is intended for use in 

accordance with the National Fire 

Protection Association (NFPA) Standard 

20–2007, ‘Standard for the Installation 

of Stationary Pumps for Fire 

Protection.’ ’’ 73 FR 78235. In the NOPR, 

DOE based the definition primarily on 

the scope of the Underwriters 

Laboratories (UL) Standard 1004A– 

2001, ‘‘Fire Pump Motors,’’ and NFPA 

Standard 20–2007. Further, DOE 

proposed to make two modifications to 

the definition by inserting a publication 

date for the cited NFPA standard and 

correcting the title of NFPA Standard 

20. 

In response to the NOPR, NEMA 

raised concerns that fire pump motors 

should not be required to meet any 

efficiency standards because they are 

expected to operate on an emergency 

basis for a relatively short time with 

virtually no opportunity to save a 

significant amount of energy. Further, 

NEMA asserted that motors identified as 

‘‘fire pump motors’’ are recognized by 

the industry as both EPAct 1992 electric 

motors or EISA 2007 general purpose 

electric motors (subtype I) and, 

therefore, should not be listed as a 

separate motor type under the electric 

motor definition as proposed in the 

December 2008 NOPR. Notwithstanding 

this argument, NEMA supports DOE 

adding the definition of ‘‘fire pump 

motor’’ to 10 CFR 431.12, provided that 

it is characterized as being a ‘‘general 

purpose electric motor (subtype I)’’ with 

some specific characteristics. (NEMA, 

No. 12 at pp. 8–9) Additionally, NEMA 

noted that the UL Standard 1004A– 

2001, ‘‘Fire Pump Motors,’’ has been 

replaced by UL Standard 1004–5 (2008), 

and that DOE should reference the 

newest standard if it is necessary to 

define a fire pump motor. (NEMA, No. 

12 at pp. 8–9) 

Similarly, other attendees at the 

January 29, 2009, public meeting 

questioned the proposed definition and 

scope of coverage for fire pump motors. 

(Baldor, Public Meeting Transcript, No. 

8 at pp. 112–113, 116–119, 133–136) 

DOE examined UL Standard 1004–5 

(2008), including paragraph 1.2, which 

reads as follows: ‘‘Standard covers 

Design B polyphase motors, as defined 

in NEMA MG 1, Motors and Generators, 

rated 500 horsepower (373 kW) or less, 

600 volts or less, that are intended for 

use in accordance with NFPA 20, the 

Standard for the Installation of 

Centrifugal Fire Pumps.’’ DOE then 

compared UL Standard 1004–5 (2008) 

with the comparable text in UL 

Standard 1004A–2001, which contains 

virtually identical language and 

concludes that the documents share the 

same scope of coverage. In today’s 

SNOPR, DOE proposes to further clarify 

that a fire pump motor is an electric 

motor that is required to meet certain 

safety and performance requirements set 

forth by NFPA Standard 20–2010, 

section 9.5, and UL Standard 1004–5 

(2008). 

However, similar to DOE’s above 

proposal to adopt a broad definition for 

a NEMA Design B motor, DOE does not 

agree that fire pump motors are 

necessarily a subset of general purpose 

electric motors (subtype I) or general 

purpose electric motors (as defined in 

this SNOPR). It is DOE’s understanding 

that all fire pump motors, irrespective of 

whether they are considered general 

purpose or meet the design constraints 

of general purpose electric motor 

(subtype I), would be subject to energy 

conservation standards. For all of these 

reasons, in today’s SNOPR DOE 

proposes to define a fire pump motor as 

an electric motor that is required to 

meet the performance and construction 

requirements set forth by NFPA 

Standard 20–2010, section 9.5, and UL 

Standard 1004–5 (2008). 

E. Fire Pump Motor Coverage 

Section 313(b)(1)(B) of EISA 2007 

amends EPCA section 342(b), to 

prescribe energy conservation standards 

for fire pump motors by referring to 

NEMA MG 1–2006 Table 12–11. That 

provision reads as follows: 

(B) FIRE PUMP MOTORS—Each fire 

pump motor manufactured (alone or as 

a component of another piece of 

equipment) after the 3-year period 

beginning on the date of enactment of 

the Energy Independence and Security 

Act of 2007 shall have nominal full load 

efficiency that is not less than as 

defined in NEMA MG–1 (2006) Table 

12–11. 

(42 U.S.C. 6313(b)(2)(B)) 

On March 23, 2009, DOE published a 

technical amendment to 10 CFR part 

431 to adopt the energy conservation 

standards for fire pump motors 

prescribed by EISA 2007. 74 FR 12058, 

12072. The technical amendment 

codified the energy conservation 

standards for fire pump motors, 

contained in Table 12–11 of NEMA 

Standards Publication MG1–2006 (and 

Revision 1 to MG1–2006) which 

contains energy efficiency values from 1 

through 500 horsepower and covers 2- 

pole, 4-pole, 6-pole, and 8-pole, open 

and enclosed fire pump motors. 74 FR 

12061, 12072. 

During the January 29, 2009, public 

meeting there appeared to be some 

confusion over whether the covered 

range of horsepowers for fire pump 

motors is 1–200 horsepower or 1–500 

horsepower. (GE, Public Meeting 

Transcript, No. 8 at p. 147; Navigant 

Consulting, Public Meeting Transcript, 

No. 8 at pp. 147–148; WEG, Public 

Meeting Transcript, No. 8 at pp. 148– 

149; NEMA, No. 12 at pp. 8–9; NEEA, 

No. 10 at p. 2). Further, Baldor alluded 

to an excerpt of the language under 

EPCA section 342(b), as amended by 

section 313(b)(1)(B) of EISA 2007, 

which provides ‘‘GENERAL PURPOSE 


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ELECTRIC MOTORS (SUBTYPE I).— 

Except as provided in subparagraph (B), 

each general purpose electric motor 

(subtype I) with a power rating of 1 

horsepower or greater, but not greater 

than 200 horsepower.’’ (42 U.S.C. 

6313(b)(2)(A)) Baldor opined that 

whether a fire pump motor covered 

under 42 U.S.C. 6313(b)(2)(B) was 

limited to the same 1–200 horsepower 

range as a general purpose electric 

motor (subtype I) was a matter of 

statutory interpretation. (Baldor, Public 

Meeting Transcript, No. 8 at pp. 112– 

113,145, 149–50). 

DOE understands that EISA 2007 

section 313(b)(1)(A) sets energy 

conservation standards for general 

purpose electric motors (subtype I) with 

a rating of 1 through 200 horsepower 

and clearly excepts fire pump motors 

from this subsection. (42 U.S.C. 

6313(b)(2)(A)) EISA 2007 section 

313(b)(1)(B), which prescribes energy 

conservation standards for fire pump 

motors, does not, however, explicitly 

limit the standard based on a motor’s 

horsepower rating. (42 U.S.C. 

6313(b)(2)(B)) Instead, fire pump motor 

manufacturers are required to meet the 

requirements of NEMA Standard MG1– 

2006 Table 12–11, which covers 1 

through 500 horsepower motors. (42 

U.S.C. 6313(b)(2)(B)) Consequently, 

DOE continues to believe that energy 

conservation standards DOE 

promulgated in its March 23, 2009, 

technical amendment are the logical 

result of provisions set forth in EISA 

section 313(b)(1)(B) and cannot be 

construed as being a subset of 

subsection EISA section 313(b)(1)(A) or 

subject to any constraints contained in 

subparagraph (A), including horsepower 

rating constraints. DOE, therefore, 

proposes in today’s SNOPR that fire 

pump motor energy conservation 

standards apply to fire pump motors 

rated 1 through 500 horsepower. 

F. Energy Conservation Standards for 

Electric Motors 

In addition to the above comments 

submitted about the definitions for 

‘‘electric motor,’’ ‘‘general purpose 

electric motor (subtype I),’’ ‘‘general 

purpose electric motor (subtype II),’’ 

‘‘NEMA Design B motor,’’ and ‘‘fire 

pump motor,’’ commenters also 

submitted comments (shown below) 

requesting clarification of the tables of 

electric motor efficiency standards in 10 

CFR 431.25. 

DOE’s current regulations require 

manufacturers of ‘‘electric motors’’ to 

comply with the energy efficiency levels 

in 10 CFR 431.25(a), which were 

prescribed by EPAct in 1992, but do not 

specify a sunset date. Section 313(b) of 

EISA 2007 amended EPCA to prescribe 

energy conservation standards for 

general purpose electric motors (subtype 

I and subtype II), with a compliance 

date of December 19, 2010. (42 U.S.C. 

6313(b)(2)) These standards, and the 

compliance date, were subsequently 

codified at 10 CFR 431.25(c) and (e) 

respectively. Because EPAct does not 

specify an apparent terminus for the 

1992 efficiency levels, NEMA argued 

that this was potentially confusing for 

manufacturers to decide which 

provisions apply—the EPAct 1992 

levels or the EISA 2007 levels. 

Consequently, NEMA requested 

guidance on the proper energy 

conservation standards for general 

purpose electric motors (subtype I). 

(NEMA, No. 12 at p. 9) To address this 

issue, DOE proposes to delete 10 CFR 

431.25(a) to clarify that the standards in 

this section no longer apply. 

In view of the above statutory history 

and relationship of EPCA to EPAct 1992 

and to EISA 2007, DOE believes that the 

electric motor standards prescribed by 

EPAct 1992 apply only to general 

purpose electric motors (subtype I). DOE 

proposes that electric motors covered 

under EPAct 1992 (general purpose 

electric motor (subtype I)), which are 

manufactured or imported prior to 

December 19, 2010, were subject to the 

EPAct 1992 energy conservation 

standards codified at 10 CFR 431.25(a). 

Further, DOE proposes that a general 

purpose electric motor (subtype I) that 

is manufactured or imported on or after 

December 19, 2010, is subject to the 

EISA 2007 energy conservation 

standards that are codified at 10 CFR 

431.25(c). 

In addition, in the December 2008 

NOPR, DOE did not explicitly state that 

a NEMA Design B general purpose 

electric motors that otherwise meets the 

definition of a general purpose electric 

motors (subtype I) is subject to the EISA 

2007 energy conservation standards that 

are codified at 10 CFR 431.25(c) NEMA 

expressed concern in responding to the 

December 2008 NOPR that given the 

proposed definitions and structure of 10 

CFR 431.25, NEMA Design B general 

purpose electric motors rated 1 

horsepower or greater, but not greater 

than 200 horsepower, would appear to 

remain at the levels established by 

EPAct 1992 (codified at 10 CFR 

431.25(a)). 

To clarify the scope of energy 

conservation standards for NEMA 

Design B motors from 1 through 200 

horsepower, DOE proposes two 

modifications of 10 CFR 431.25. First, 

because general purpose electric motors 

(subtype I) include certain NEMA 

Design B motors, DOE proposes to 

specify that NEMA Design B motors, 

rated 1 through 200 horsepower, that are 

also general purpose electric motors 

(subtype I), are subject to energy 

conservations standards in 10 CFR 

431.25(c). Second, and similarly, as 

general purpose electric motors (subtype 

II) include certain NEMA Design B 

motors (e.g., footless motors), DOE 

proposes to specify that NEMA Design 

B motors, rated 1 through 200 

horsepower, that are also general 

purpose electric motors (subtype II), are 

subject to energy conservation standards 

in 10 CFR 431.25(e). 

EISA 2007 also established energy 

conservations standards for ‘‘NEMA 

Design B, general purpose electric 

motors’’ rated greater than 200 

horsepower but less than or equal to 500 

horsepower, which were later codified 

into the current version of 10 CFR 

431.25(f). NEMA asserts that the motor 

industry recognizes a ‘‘NEMA Design B, 

general purpose electric motor’’ as a 

specific group of motors that fit the 

definition of either ‘‘electric motor’’ from 

EPAct 1992 or ‘‘general purpose electric 

motor (subtype I)’’ from EISA 2007. 

DOE notes that EISA 2007 did not 

define ‘‘NEMA Design B, general 

purpose electric motor,’’ ‘‘NEMA Design 

B motor,’’ or ‘‘general purpose electric 

motor.’’ In the absence of any statutory 

definition, DOE views the regulatory 

definition of ‘‘general purpose motor’’ 

that was in place on EISA2007’s 

enactment date as the proper definition 

for ‘‘general purpose electric motor’’ as 

used in the term ‘‘NEMA Design B, 

general purpose electric motor.’’ The 

‘‘general purpose motor’’ definition in 

place at the time of EISA’s enactment is 

the same as the ‘‘general purpose electric 

motor’’ definition proposed today, with 

minor differences for standards updates. 

DOE proposes that this definition, read 

in conjunction with the definition of 

‘‘NEMA Design B’’ proposed in today’s 

SNOPR, delineates the motors regulated 

under 10 CFR 431.25(f). DOE realizes 

that this interpretation could potentially 

include NEMA Design B motors that are 

general purpose electric motors that do 

not meet the proposed definition of 

‘‘general purpose electric motor (subtype 

I)’’ or ‘‘general purpose electric motor 

(subtype II).’’ It is DOE’s understanding, 

however, that there are few, if any, 

NEMA Design B motors that would be 

neither a subtype I or subtype II general 

purpose electric motor. DOE requests 

comment on this specific issue. Based 

on these comments and any additional 

information collected, DOE may revise 

this proposed approach. 

NEMA also noted that the energy 

efficiency standards tables contained in 

10 CFR 431.25(c)–(f) list motor ratings 


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7The written comments cited in this paragraph 

were submitted to the docket of the energy 

conservation standards rulemaking for electric 

motors (refer to http://www.regulations.gov, Docket 

No. EERE–2010–BT–STD–0027; RIN number 1904– 

AC28). 

in horsepower but not equivalent 

kilowatts. NEMA requested that DOE 

include kilowatt power ratings in the 

newly codified tables that promulgate 

the EISA 2007 efficiency standards. 

(NEMA, No. 12 at p. 9) Without this 

change, NEMA raised concerns that 

metric-rated motors would not be 

covered. To ensure that the tables under 

10 CFR 431.25(c)–(f) apply to metricrated, kilowatt-equivalent motors, DOE 

proposes to amend the tables to provide 

an equivalent kilowatt rating for each 

horsepower. Although the EISA 2007 

definition for general purpose electric 

motor (subtype I and subtype II) does 

not specifically mention motors rated in 

kilowatts, as motors are rated under 

(IEC) standards, DOE believes that the 

statute covers IEC motors that are 

identical or equivalent to motors 

included in the statutory definition. 

DOE understands that IEC motors 

generally can perform the identical 

functions of EISA-covered electric 

motors. Comparable motors of both 

types provide virtually identical 

amounts of rotational mechanical 

power, and generally can operate or 

provide power for the same pieces of 

machinery or equipment. A given 

industrial central air conditioner, for 

example, could operate with either an 

IEC or NEMA motor with little or no 

effect on performance. Providing 

equivalent kilowatt/horsepower ratings 

would be consistent with the EPAct 

1992 levels that are codified at 10 CFR 

431.25(a), and would clarify the 

applicability of these standards levels. 

Finally, DOE proposes to clarify in 10 

CFR 431.11 that the electric motors 

covered under subpart B are not small 

electric motors. DOE believes that this 

clarification is necessary because 

electric motors (covered under 10 CFR 

part 431, subpart B) and small electric 

motors (covered under 10 CFR part 431, 

subpart X) are separate and unique 

covered equipment with particular 

regulatory requirements. 

G. References to International 

Electrotechnical Commission, National 

Electrical Manufacturers Association, 

Institute of Electrical and Electronics 

Engineers, and Canadian Standards 

Association Standards for Electric 

Motors 

After EISA 2007 struck and replaced 

the definition of electric motor under 42 

U.S.C. 6311(13), DOE subsequently 

proposed in the December 2008 NOPR 

to remove the corresponding test 

standards incorporated by reference 

under 10 CFR 431.15. These test 

standards helped clarify critical 

elements in the definition of electric 

motor under 10 CFR 431.12. 73 FR 

78227. The standards incorporated by 

reference included IEC Standards 

60034–1 (1996), 60050–411 (1996), 

60072–1 (1991), and 60034–12 (1980). 

NEMA commented that when DOE 

adopted the content of EPAct 1992 into 

10 CFR part 431, it recognized the 

necessity of including equivalent motors 

designed in accordance with IEC 

standards that could be used in the 

same applications as motors designed in 

accordance with NEMA MG1 standards. 

Although the IEC standards do not 

particularly identify ‘‘general purpose 

motors,’’ motors built according to IEC 

specifications can be used 

interchangeably with NEMA motors in 

most general purpose applications. 

Because of this fact, NEMA argued that 

the applicable IEC standards should be 

retained in 10 CFR part 431, and that 

motors constructed in accordance with 

those standards in metric-equivalent 

ratings should be considered as covered 

equipment under 10 CFR part 431. 

(NEMA, No. 10 at p. 10) 

DOE previously took such an 

approach when addressing IEC metric 

motors in the final test procedure rule 

for electric motors at 64 FR 54142 

(October 5, 1999). The inclusion of 

parenthetical references to the IEC 

standards in the codified definition of 

‘‘electric motor’’ under 10 CFR 431.2 

(2000) clarified the applicability and 

coverage of IEC (i.e. metric-equivalent) 

electric motors. For example, under the 

EPAct 1992 definition of ‘‘electric 

motor,’’ a motor had to be ‘‘continuous 

rated.’’ DOE later clarified ‘‘continuous 

rated’’ in 10 CFR 431.2 (2000) to mean 

‘‘is rated for continuous duty (MG1) 

operation, or is rated duty type S1 

(IEC).’’ Although the then-statutory 

definition did not explicitly mention 

IEC motors, DOE proposed that the term 

‘‘continuous rated’’ apply to those 

electric motors that are equivalent to the 

‘‘continuous duty operation’’ rating 

denoted by the parenthetical ‘‘MG1’’ or 

the equivalent IEC duty type ‘‘S1.’’ (See 

61 FR 60440, 60442 (November 27, 

1996) where it states that ‘‘[A]lthough 

the statutory definition of ‘electric 

motor’ does not specifically mention 

IEC motors, the Department believes 

that the Act covers IEC motors that are 

identical or equivalent to motors 

included in the statutory definition.’’) 

DOE later codified this approach at 10 

CFR 431.2. 64 FR 54143 (October 5, 

1999). 

DOE believes that EISA 2007 provides 

the same breadth of coverage over IEC 

motors that are identical or equivalent 

to electric motors built in accordance 

with MG1. As discussed earlier in this 

SNOPR, DOE is proposing a revised 

definition of ‘‘general purpose electric 

motor (subtype I)’’ and ‘‘general purpose 

electric motor (subtype II)’’ which would 

incorporate IEC-equivalent motors. 

Thus, DOE proposes to maintain IEC 

standards incorporated by reference in 

10 CFR 431.15. In addition, DOE 

proposes to adopt the updated versions 

of two of the IEC standards, IEC 

Standards 60034–1 and 60034–12, to the 

2004 and 2007 versions, respectively. 

NEMA also notes that a source to 

obtain IEC standards does not appear in 

10 CFR 431.15(d). (NEMA, No. 10 at p. 

10) In response to NEMA’s comment, 

DOE proposes to reorganize and update 

10 CFR 431.15 to include each standard 

incorporated by reference with 

corresponding updated information 

about how to obtain copies of these 

documents. 

In addition, DOE notes that several 

electric motor definitions and sections 

of 10 CFR part 431 reference outdated 

standards, such as NEMA MG1–1993, 

IEEE 112–1996 Test Method B, CAN/ 

CSA C390–93 (Test Method 1). In this 

SNOPR, DOE proposes to update the 

following references throughout 10 CFR 

part 431 to be consistent with current 

industry standards: NEMA MG1–2009, 

IEEE 112–2004 Test Method B, and 

CAN/CSA C390–10. DOE believes that 

the exceptions to IEEE 112–1996 Test 

Method B contained in paragraph (2) of 

appendix B to subpart B, 2. Test 

Procedures, are contained in the 

updated version of IEEE 112–2004 Test 

Method B, although DOE accepts 

comments on this assessment. DOE does 

not believe that the updated standards 

and test procedures will adversely affect 

the measured losses and determined 

efficiency of an electric motor, nor 

significantly change the meaning of a 

definition. Finally, NEMA recently 

provided comments on the electric 

motors framework document indicating 

that while the test data collection 

methods for the updated versions of 

IEEE 112–2004 Test Method B and 

CAN/CSA 390–10 are the same, there 

are differences in the methods in which 

the efficiency is determined from the 

data.7 (NEMA, No. 0013 at p. 2) DOE 

requests comment on this issue. 

H. National Institute of Standards and 

Technology/National Voluntary 

Laboratory Accreditation Program 

Handbook 150–10 Update and Checklist 

In the December 2008 NOPR, DOE 

proposed updating the current reference 

to the 1995 edition of the NIST 


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Handbook 150–10 to the 2007 edition. 

73 FR 78228. Although following the 

NIST/NVLAP Handbook is not a 

required part of the electric motors test 

procedure, the Handbook provides 

important guidance for assuring testing 

laboratory competency and is used by 

test facilities seeking accreditation 

under 10 CFR 431.18, 431.19, and 

431.36(a)(2). 

At the January 30, 2009, public 

meeting, Baldor Electric expressed 

concern that an update to NIST/NVLAP 

Handbook 150–10 could be problematic 

because it refers to test methods that are 

different from the updated test methods 

proposed by DOE. For example, the 

NIST/NVLAP Handbook 150–10 refers 

to proficiency in IEEE 112–1996 Test 

Method B and CSA C390–93 Test 

Method 1 to become an accredited 

laboratory. (Baldor, Public Meeting 

Transcript, No. 8 at p. 178) Because 

these industry test methods have been 

revised, DOE proposed to update 10 

CFR 431.16, appendix A to subpart B, 

and 10 CFR 431.15 to be consistent with 

current industry practice. 73 FR 78228. 

Also, DOE proposed that NIST review 

this matter and consider updating the 

industry test methods referenced in its 

NIST/NVLAP Handbook 150–10. 

Subsequently, NIST reviewed its 

Handbook 150–10 and issued a formal 

Laboratory Bulletin on March 19, 2009 

(Lab Bulletin LB–42–2009) about the 

Efficiency of Electric Motors Program. 

The Lab Bulletin made a series of 

updates and corrections. Although NIST 

did not update its references to CSA 

C390–93 Test Method 1, DOE and NIST 

have evaluated the differences between 

the 1993 version and the updated 

version of the Canadian standard and 

have initially determined that there is 

no substantive difference between the 

two standards that would result in a 

significant change in measured 

efficiency. Therefore, DOE is proposing 

to adopt NIST/NVLAP Handbook 150– 

10 that references IEEE 112–2004 

(November 2001), CSA C390–10 (March 

2010), and NEMA MG1–2009 (April 

2009). 

A second issue relating to NIST/ 

NVLAP Handbook 150–10 was raised 

both at the January 30, 2009 public 

meeting and in subsequent written 

comments. Baldor commented that 

while the NIST/NVLAP 150–10 

Handbook is available online, Baldor 

has had difficulty locating the current 

checklist, formerly in the 1995 version 

of the handbook, which systematically 

lists the laboratory testing requirements 

and the applicable test procedures. 

Further, the 2007 edition of the 

handbook does not address the test 

procedure used for accrediting a 

laboratory. (Baldor, Public Meeting 

Transcript, No. 8 at pp. 166–167) NEMA 

commented that it found a ‘‘significant 

difference’’ between the 1995 and 2007 

editions of the NIST/NVLAP Handbook 

150–10. NEMA noted that the 1995 

edition provides (1) information on the 

required accuracy of the test equipment, 

(2) details of the test procedure to be 

used for testing induction motors, and 

(3) a checklist for the purpose of 

evaluating the test facility. NEMA 

expressed concern that the 2007 edition 

does not contain that technical 

information. NEMA noted that 

according to clause 1.6.2 of NIST/ 

NVLAP Handbook 150–10 (2007), all 

NVLAP programs use a NIST Handbook 

150 Checklist, but the document is not 

easily found on the NIST Web site at 

http://www.nist.gov/index.html. NEMA 

commented that DOE should not 

reference the 2007 edition of NIST/ 

NVLAP Handbook 150–10 until the 

NIST/NVLAP Handbook 150–10 

Checklist is available to the public and 

DOE has examined it to be certain it 

contains the same information about the 

accuracy of test equipment and the 

procedure for testing that is in the 1995 

edition. NEMA requests that if DOE 

finds the checklist to be a proper 

substitute for the provisions in the 1995 

edition, then DOE should update 10 

CFR 431.15(e)(2)(i) to refer to the 2007 

edition of NIST/NVLAP Handbook 150– 

10 and add the 2007 Checklist 150–10 

to the list of documents incorporated by 

reference. (NEMA, No. 12 at pp. 11–12) 

DOE consulted with NIST on this 

matter and learned that the NIST/ 

NVLAP Handbook 150–10 (2007) 

Checklist is available on the NIST Web 

site at: http://ts.nist.gov/Standards/ 

Accreditation/upload/NIST_HB_150_

10_Checklist.pdf. Although there are 

minor differences between the 1995 and 

2007 Checklists, DOE is satisfied with 

the rigor and requirements presented in 

the 2007 Checklist, which NIST has 

established as the requirements for 

accreditation of a laboratory under 

NIST/NVLAP Handbook 150–10. 

However, DOE does not agree with 

NEMA’s recommendation to incorporate 

by reference the NIST/NVLAP 

Handbook 150–10 (2007) checklist into 

10 CFR 431.15(e). The checklist is not 

a requirement of the test procedure 

itself, but rather a document used to 

accredit a testing facility as being 

capable of conducting the necessary 

tests for evaluating the energy efficiency 

of an electric motor. Finally, while DOE 

is aware that the 2007 version of the 

checklist references IEEE 112–1996 and 

MG1–1993, DOE considers these 

referenced documents to be updated by 

NIST Lab Bulletin LB–42–2009, issued 

on March 19, 2009. DOE has also asked 

NIST to further update the referenced 

standards to include IEEE 112–2004, 

CSA C390–10, and NEMA MG1–2009. 

I. Appendix A to Subpart B of Title 10 

of the Code of Federal Regulations Part 

431 

Section 313(a)(2) of EISA 2007 

amended EPCA section 340(13)(A) to set 

forth a new definition of ‘‘electric 

motor,’’ which included motors not 

previously covered under EPCA, such as 

a footless motor, close-coupled pump 

motor, and a vertical solid shaft normal 

thrust motor. Prior to EISA 2007, the 

Policy Statement, under appendix A to 

subpart B of 10 CFR part 431, provided 

interpretive guidance as to which types 

of motors DOE viewed as covered under 

EPCA and how DOE would apply 

energy conservation standards to 

electric motors that are components of 

certain equipment. To accommodate the 

changes to section 340(13)(A) of EPCA 

that EISA 2007 introduced, which 

removed much of the basis for DOE’s 

previous interpretive guidance, in the 

December 2008 NOPR, DOE proposed to 

delete the contents of appendix A to 

subpart B, and replace the existing 

policy statement with the term 

‘‘[Reserved].’’ DOE also proposed to 

maintain the outline structure of this 

subpart should DOE decide in the future 

to clarify the scope of covered electric 

motors in its regulations. 73 FR 78228 

and 78237. 

During the January 29, 2009, public 

meeting, Baldor commented that 

removing the guidelines from appendix 

A to subpart B of 10 CFR part 431 would 

result in no guidance at present and 

leave open the possibility to greatly 

expanded guidance in the future. 

(Baldor, Public Meeting Transcript No. 

8, p. 118) 

To address this possibility, DOE is 

proposing, as an alternative, to revise 

the contents of appendix A to provide 

guidance that corresponds with EISA 

2007 regarding general purpose electric 

motors. As guidance, appendix A 

represents DOE’s interpretation of 

existing statutes and regulations but 

does not, and is not intended to, have 

the force and effect of law. 

Specifically, DOE proposes to 

eliminate references to enactment dates 

that are no longer applicable and update 

the scope of coverage to include general 

purpose electric motors (subtype I) and 

general purpose electric motors (subtype 

II). DOE is not proposing to provide 

guidance in-line with EISA 2007 for fire 

pump or NEMA Design B motors 

because DOE does not think such 

guidance is necessary at this time, 


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although DOE may add such guidance at 

a future date. 

In addition, the Policy Statement 

addresses the bounds of standard shaft 

dimensions applicable to general 

purpose electric motors (subtype I) and 

general purpose electric motors (subtype 

II). It is DOE’s understanding that 

NEMA Standard MG1–2009 and IEC 

Standard 60072–1 (1991) specify 

tolerances for the shaft extension 

diameter and keyset that relate to the fit 

between the shaft and the device 

mounted on the shaft. DOE is aware that 

shafts of special diameter, length, or 

design are often provided at a 

customer’s request for use in particular 

applications. However, there are electric 

motors with non-standard shafts which 

could be used in most general purpose 

applications and would then be 

considered ‘‘general purpose electric 

motors (subtype I)’’ and ‘‘general 

purpose electric motors (subtype II).’’ 

DOE has received inquiries regarding 

whether motors with shaft designs that 

are not necessarily in conformance with 

the standard shaft types and dimensions 

in NEMA MG1 or IEC 60072–1 are 

covered under EPCA. (Baldor, No. 16; 

WEG, No. 17) In response to such 

inquiries and in view of possible 

confusion in the marketplace, DOE is 

proposing to add guidance on shaft 

diameter, length, shoulder location, and 

special designs under section III of 

appendix A to subpart B of 10 CFR part 

431. 

DOE’s guidance specifies the range of 

variation in motor characteristics 

beyond which DOE interprets a motor to 

no longer be general purpose for some 

specific technical design features. DOE 

provides this guidance to help avoid 

market conditions where motor 

manufacturers and manufacturers of 

equipment using motors avoid increases 

in motor efficiency by making technical 

changes in motor characteristics that do 

not make substantial changes in motor 

application or use. DOE considers an 

empirical test of whether a particular 

motor design variant can be used in 

many general purpose applications to be 

whether many users of general purpose 

motors might be willing to switch such 

motor design variants given a relatively 

modest price differential between a 

general purpose motor and the motor 

design variant. 

Four general purpose motor design 

features that may technically be 

changed while maintaining the general 

purpose application of a motor include: 

(1) Shaft diameter, (2) shaft length, 

(3) shoulder location, and (4) special 

shaft design features. In the proposed 

regulatory text, DOE provides the 

following guidance on the amount of 

variation from standard characteristics 

that maintains the general purpose 

classification of a motor. 

For shaft diameter, DOE provides 

guidance that any variation in the shaft 

diameter between the standard shaft 

diameter of the next lower and higher 

frame numbers series maintains the 

general purpose classification of a 

motor. 

For shaft length, DOE provides 

guidance that any shaft length between 

and inclusive of 0.5 to 1.25 times the 

standard shaft length of the motor 

maintains the general purpose 

classification of the motor. 

For shoulder location, DOE provides 

guidance that an increase less than or 

equal to 25% in either the ‘‘BA’’ (MG1) 

or ‘‘C’’ (IEC) dimensions of the standard 

motor frame dimensions maintains the 

general purpose classification of the 

motor. 

For special shaft designs, DOE 

provides guidance that the special shaft 

designs of a flat section in shaft (for 

pulley mounting), and shafts with a 

threaded hole maintain the general 

purpose classification of the motor. 

Alternatively, DOE is proposing 

guidance that shafts with threads on the 

outside of the shaft or a stepped shaft do 

not currently maintain their general 

purpose classification. If DOE receives 

information that manufacturers are 

switching to motors with outside thread 

and stepped shaft design variants to 

avoid efficiency improvements, then 

DOE may change the guidance to 

classify motors with outside threads and 

stepped shafts as general purpose 

electric motors. 

J. Definition of Small Electric Motor 

Subsequent to the publication of the 

July 7, 2009, small electric motor test 

procedures final rule (74 FR 32059), 

Baldor expressed concern over the 

clarity of certain key terms contained 

within the statutory definition of a small 

electric motor, asking DOE to clarify the 

statutory definition of ‘‘small electric 

motor’’ by interpreting key phrases in 

the definition, specifically: ‘‘General 

purpose,’’ ‘‘induction motor,’’ ‘‘two-digit 

frame number series,’’ and ‘‘IEC metric 

equivalent motors.’’ (Baldor, No. 15 at p. 

2) Baldor suggested that DOE consider 

clarifying the definition by adding 

parenthetical identifiers ‘‘(MG1)’’ and 

‘‘(IEC)’’ to the definition after each of 

these four key phrases to indicate the 

industry reference from which DOE 

interprets the meaning of that phrase. 

(Baldor, No. 15 at p. 2) These citations 

would then be expanded upon in the 

second paragraph of the definition by 

providing explicit references to the 

relevant sections of these industry 

documents. (Baldor, No. 15 at pp. 2–3) 

DOE is currently involved in litigation 

regarding the final rule on energy 

conservation standards for small electric 

motors. 75 FR 10874 (March 9, 2010). 

Because the definition of ‘‘small electric 

motor’’ is at issue in the litigation, it is 

inappropriate for DOE to respond to 

Baldor’s concerns at this time. 

K. Canadian Standards Association Test 

Procedures for Small Electric Motors 

In the December 2008 NOPR, DOE 

proposed three test methods from which 

a manufacturer could select to measure 

the energy efficiency of its covered 

small electric motors: IEEE Standard 

114, IEEE Standard 112, or CAN/CSA 

Standard C747–94. 73 FR 78223, 78238. 

The choice of test procedures was 

consistent with the choice of test 

methods for electric motors listed in 10 

CFR 431.16, where a manufacturer 

could select either an IEEE or CSA test 

method for determining the efficiency of 

covered 1–200 horsepower electric 

motors. DOE adopted IEEE Standard 

114–2001 for single-phase small electric 

motors and both IEEE Standard 112– 

2004 Test Method A and Test Method 

B in its final rule for small electric 

motors test procedures. 74 FR 32065– 

32066, 32073–74. Since IEEE Standard 

112 Test Method A applies to polyphase 

small electric motors below 1 kilowatt 

(1.34 horsepower), DOE determined that 

Test Method A would apply to 

polyphase small electric motors rated at 

or below 1 horsepower, which is the 

first common horsepower rating below 1 

kilowatt (1.34 horsepower). Similarly, 

IEEE Standard 112 Test Method B 

would be applicable to polyphase small 

electric motors rated greater than 1 

horsepower. DOE also adopted CAN/ 

CSA–C747–94 as an alternative test 

method for single-phase motors. In the 

small electric motors test procedure 

final rule, DOE stated that it was not 

adopting any alternative test methods 

for polyphase small electric motors 

based on CAN/CSA–747–94 or CAN/ 

CSA–C390–10 Test Method 1 because 

there may be an inconsistency in the 

measured efficiency associated with 

units tested under IEEE Standard 112– 

2004 Test Method B and CAN/CSA– 

C747–94. 74 FR 32066. 

In today’s SNOPR, DOE proposes that 

a manufacturer may test according to: 

(1) CAN/CSA C747–09 as an alternative 

to IEEE Standard 112 Test Method A for 

polyphase small electric motors rated 

less than or equal to 1 horsepower 

(0.746 kilowatt); and (2) CAN/CSA– 

C390–10, as an alternative to IEEE 

Standard 112 Test Method B for 

polyphase small electric motors that 


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8The written comments cited in this paragraph 

were submitted to the docket of the small electric 

motors energy conservation standards rulemaking 

(Docket No. EERE–2007–BT–STD–0007; RIN 

number 1904–AB70). 

have a rating greater than 1 horsepower 

(0.746 kilowatt). DOE believes that 

using the CAN/CSA Standard C747–09 

or CAN/CSA Standard C390–10 in this 

manner will result in consistent 

measurements of energy efficiency 

compared to the applicable IEEE 

Standard 112 and IEEE Standard 114 

test methods adopted in the small 

electric motors final rule and helps 

promote harmonization of test methods 

internationally. 

L. Small Electric Motor Represented 

Efficiency Value 

In DOE’s notice proposing energy 

conservation standards for small electric 

motors, the term ‘‘nominal full load 

efficiency’’ was defined as the arithmetic 

mean of the full load efficiency of a 

population of motors. DOE received 

numerous comments on this definition, 

all of which are summarized in its final 

rule on energy conservation standards 

for small electric motors. 75 FR 10874 

(March 9, 2010). Ultimately, DOE agreed 

with comments made by NEMA and 

Baldor and concluded in its final rule 

that it was not bound to establish energy 

conservation standards in terms of 

nominal efficiency. Instead, DOE 

established energy conservation 

standards for small electric motors in 

terms of ‘‘average full load efficiency.’’ 

75 FR 10914. 

At the NOPR public meeting for small 

electric motor energy conservation 

standards, held December 17, 2009, 

Baldor made several comments 

regarding DOE’s proposed definition for 

‘‘nominal full load efficiency’’ pertaining 

to small electric motors. 74 FR 61500 

(November 24, 2009). First, Baldor 

commented that the proposed definition 

was too similar to the existing definition 

for ‘‘average full load efficiency’’ and 

that it differed from the definition in 

NEMA MG–1, which would confuse 

users of that voluntary industry 

guidance. (Baldor, Public Meeting 

Transcript, No. 20.4 at pp. 112, 126–27). 

75 FR 10914 (March 9, 2010). Next, 

Baldor commented that the proposed 

definition provided no guidance for 

what constitutes a population of motors, 

and suggested that the term be clarified. 

(Baldor, Public Meeting Transcript, No. 

20.4 at pp. 112–13) These two 

comments were echoed by NEMA in its 

written comments. (NEMA, No. 24 at 

pp. 10–16) Finally, Baldor commented 

that the proposed definition infers that 

the arithmetic mean of the full-load 

efficiencies of the population of motors 

is known and that the nominal full load 

efficiency must be specified to be equal 

to the arithmetic mean, which would 

provide no limit to the number of 

different values of efficiency that might 

be marked on nameplates. In other 

words, there are many populations or 

production runs of motors of identical 

design, wherein each motor could have 

a slightly different efficiency because of 

variations in materials, the 

manufacturing process, and testing 

equipment. Consequently, there could 

be no limit to the different arithmetic 

averages marked on small motor 

nameplates. As such, Baldor requested 

further clarification on the 

determination of any relationship 

between nominal full load efficiency 

and calculated efficiency. (Baldor, 

Public Meeting Transcript, No. 20.4 at 

pp. 114, 125) 8

In response to the December 2008 

NOPR about test procedures for small 

electric motors, NEMA also sought 

clarity on the use of the term ‘‘nominal 

full load efficiency.’’ NEMA noted that 

DOE had not provided information on 

the value of efficiency for which test 

results are to be compared for the 

purpose of determining compliance. 

NEMA asked how DOE would require 

the full load efficiency to be represented 

on small electric motors, noting that 

motors are not marked with the average 

full load efficiency. (NEMA, No. 12 at p. 

3). 

In developing today’s SNOPR, DOE 

considered the relevant comments 

submitted to the energy conservation 

standards and test procedures 

rulemakings. DOE recognizes that its 

standards for electric motors and small 

electric motors use different metrics— 

i.e. nominal full load efficiency (electric 

motors) and average full load efficiency 

(small electric motors). The nominal 

efficiency values for electric motors are 

based on a logical sequence of standard 

values in NEMA Standard MG1 Table 

12–10 and is familiar to motor users. 

However, there is no comparable set of 

standardized values adopted by NEMA 

for small electric motors and there is no 

statutory requirement that efficiency 

standards for these motors be set in 

terms of their nominal full load 

efficiency. 74 FR 61431–32 (November 

24, 2009). 

As mentioned earlier, DOE 

established energy conservation 

standards in terms of ‘‘average full-load 

efficiency’’ in the final rule. 75 FR 

10914, 10947 (March 9, 2010). The 

analyses and results supporting the final 

energy conservation standards levels for 

small electric motors were calculated 

using a metric of average efficiency and 

DOE in this SNOPR proposes 

procedures for reporting the average full 

load efficiency of motors, consistent 

with the conservations standards for 

small electric motors. With respect to 

the term ‘‘nominal full load efficiency,’’ 

since this term is not used in the small 

electric motors standard, DOE proposes 

leaving the term undefined. If DOE 

amends this test procedure to measure 

the nominal full load efficiency of small 

electric motors, this change will alter 

the applicable metric and will require a 

change in the standard levels for small 

electric motors to reflect the change in 

the efficiency metric. (42 U.S.C. 

6293(e)). However, DOE understands 

Baldor’s concern to be primarily related 

to the ambiguity of the definitions 

proposed in the energy conservations 

standards NOPR and recognizes that the 

represented efficiency value has yet to 

be defined. Therefore, in this SNOPR, 

DOE proposes procedures for 

determining the represented efficiency 

for small electric motors where the 

represented efficiency is that efficiency 

that corresponds to a 5 percent increase 

in losses, compared to the tested 

efficiency of a random sample of five or 

more units of a basic model. A very 

specific technical issue on which DOE 

invites comment is whether the 5 

percent margin between the losses of the 

represented efficiency and the losses 

corresponding to the sample average 

efficiency is large enough to assure that 

the population of motor basic models is 

at least as efficient as the represented 

efficiency. 

M. Validation of the Small Electric 

Motor Alternative Efficiency 

Determination Method 

Section 343(a)(2) of EPCA requires 

that test procedures prescribed for 

electric motors be ‘‘reasonably designed 

to produce test results which reflect 

energy efficiency,’’ yet not be ‘‘unduly 

burdensome’’ to conduct. (42 U.S.C. 

6314(a)(2)) As discussed in the 

December 2008 NOPR, DOE recognizes 

that manufacturers produce large 

numbers of basic models of small 

electric motors, numbering in the 

thousands. These large numbers are due 

in part to the frequency with which 

units are modified because of material 

price fluctuations which, in turn, often 

necessitate the development of new 

basic models. 

In view of the substantial number of 

small electric motors that could be 

subject to an individual testing 

requirement for each basic model, in the 

final small electric motors test 

procedure rule, DOE adopted a 

certification program that consisted of 

an alternative efficiency determination 

method (AEDM). 74 FR 32067, 32073. 


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9Further, 10 CFR 431.17(a)(5) provides for a 

manufacturer to establish compliance either 

through (1) a certification program that DOE has 

classified as nationally recognized, such as CAN/ 

CSA or Underwriters Laboratories, Inc., or (2) 

testing in any laboratory that is accredited by the 

National Institute of Standards and Technology/ 

National Voluntary Laboratory Accreditation 

Program (NIST/NVLAP). 

An AEDM is a predictive mathematical 

model developed from engineering 

analyses of design data and 

substantiated by actual testing. It 

represents the energy consumption 

characteristics of one or more basic 

models. Before using an AEDM, a 

manufacturer must determine its 

accuracy and reliability through actual 

testing of a statistically valid sample of 

at least five basic models. (10 CFR 

431.445) For each basic model, the 

manufacturer must test a sample size of 

at least five units selected at random 

according to the criteria adopted in 

section 10 CFR 431.445, ‘‘Determination 

of Small Electric Motor Efficiency.’’ 

After validating an AEDM’s accuracy, 

the manufacturer may use that AEDM to 

determine the efficiencies of other basic 

models of small electric motors without 

further testing. 

In the December 2008 NOPR, DOE 

proposed guidance about the 

certification program for testing small 

electric motors, selecting units from a 

basic model, and applying the results of 

the actual testing to substantiate an 

AEDM. 73 FR 78223–24, 78238–39. 

Today, DOE proposes additional 

requirements that are consistent with 

the AEDM approach adopted for 1–200 

horsepower electric motors. These 

proposals help clarify portions of the 

AEDM procedure adopted in the final 

rule for small electric motors. DOE 

invites comments from interested 

parties on these requirements for a 

manufacturer to substantiate the 

accuracy of its AEDM. 

N. Small Electric Motor Nationally 

Recognized Certification Program 

EPCA provides different requirements 

for determining the energy efficiency of 

regulated small electric motors (twodigit NEMA frame) and electric motors 

(three-digit NEMA frame). In particular, 

section 345(c) of EPCA directs the 

Secretary of Energy to require 

manufacturers of ‘‘electric motors’’ to 

‘‘certify, through an independent testing 

or certification program nationally 

recognized in the United States, that 

[any electric motor subject to EPCA 

efficiency standards] meets the 

applicable standard.’’ 9 (42 U.S.C. 

6316(c)) No such requirement for 

independent testing or certification 

applies to small electric motors. 

In the December 2008 NOPR, DOE 

proposed to allow a manufacturer to 

self-certify its small electric motors (i.e., 

not require ‘‘independent testing’’), 

which DOE believes is consistent with 

the compliance certification 

requirements for other commercial 

products such as high-intensity 

discharge lamps and distribution 

transformers covered under section 346 

of EPCA. 

In its comments to the NOPR, NEMA 

observed that many small electric 

motors sold in the U.S. are also sold in 

Canada, and that Canadian regulatory 

entities are considering following DOE’s 

lead in developing energy efficiency 

standards for small electric motors. 

(NEMA, No. 12 at p. 4) NEMA noted 

that because the only means to certify 

compliance for electric motors in 

Canada is through the CAN/CSA Energy 

Efficiency Verification Program, it is 

likely that the Canadian government 

will require small electric motors to be 

certified through the same CAN/CSA 

Energy Efficiency Verification Program. 

NEMA requested that DOE recognize 

independent third party efficiency 

certification programs for small electric 

motors, but not mandate use of 

independent third party certification 

programs or accreditation programs for 

testing facilities. Rather, it stressed that 

DOE recognition of such programs 

would encourage voluntary use of 

certification through third parties, such 

as NIST/NVLAP. In addition, NEMA 

recommended that DOE allow sufficient 

time for the approval of such programs 

and manufacturer participation in such 

programs because no accreditation 

programs for testing in accordance with 

IEEE Standard 112 Method A, IEEE 

Standard 114, or CAN/CSA–C747 

currently exist. 

NEEA expressed its support for a 

nationally recognized certification 

program or accredited laboratory, 

according to the requirements that 

currently apply to electric motors. (See 

10 CFR 431.17(a)(5)) It recommended 

that DOE apply the same requirements 

to the small electric motors covered in 

this rulemaking. (NEEA, No. 10 at p. 2) 

In view of the above comments, in 

this SNOPR, DOE is proposing to add 

the same provisions regarding 

nationally recognized certification 

programs to the small electric motors 

regulations as are currently found in the 

electric motors regulations at 10 CFR 

431.17(a)(5), 431.20, and 431.21. DOE is 

proposing to allow the use of such 

approved programs although, in the 

future, DOE may require manufacturers 

to test small electric motors through a 

nationally recognized certification 

program or an independent testing 

program. 

O. Issues Related to Compliance 

Certification and Enforcement of 

Electric Motors and Small Electric 

Motors 

In response to the December 2008 test 

procedure NOPR and the March 2010 

small electric motor energy conservation 

standards NOPR, DOE received 

comments on several topics pertaining 

to the compliance certification and 

enforcement of electric motors and 

small electric motors. These issues 

included: Definitions of ‘‘basic model’’ 

for electric motors and small electric 

motors, enforcement of energy 

conservation standards for electric 

motors and small electric motors, 

compliance certification and submission 

of data requirements for electric motors 

and small electric motors, and labeling 

requirements for small electric motors. 

DOE plans to address these issues and 

others in the second phase of its 

Compliance Certification and 

Enforcement rulemaking. In this 

SNOPR, however, DOE requests further 

comment and specific suggestions on 

how DOE should amend the provisions 

listed above. 

IV. Public Participation 

A. Submission of Comments 

DOE will accept comments, data, and 

information regarding this notice or any 

aspect of this rulemaking no later than 

February 4, 2011. Comments, data, and 

information submitted to DOE’s e-mail 

address for this rulemaking should be 

provided in WordPerfect, Microsoft 

Word, portable data format (PDF), or 

text (ASCII) file format. Interested 

parties should avoid the use of special 

characters or any form of encryption, 

and wherever possible, comments 

should include the electronic signature 

of the author, if possible. Comments, 

data, and information submitted to DOE 

by mail or hand delivery/courier should 

include one signed original paper copy. 

No telefacsimiles (faxes) will be 

accepted. 

According to 10 CFR 1004.11, any 

person submitting information that he 

or she believes to be confidential and 

exempt by law from public disclosure 

should submit two copies of the 

information: One copy of the document 

including all the information believed to 

be confidential, and one copy of the 

document with the information believed 

to be confidential deleted. Although 

DOE will consider the submitter’s 

views, DOE will make its own 

determination as to the confidential 

status of the information, and treat the 


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information according to its 

determination. 

Factors of interest to DOE when 

evaluating requests to treat submitted 

information as confidential include (1) a 

description of the items, (2) whether 

and why such items are customarily 

treated as confidential within the 

industry, (3) whether the information is 

generally known or available from 

public sources, (4) whether the 

information has previously been made 

available to others without obligation 

concerning its confidentiality, (5) an 

explanation of the competitive injury to 

the submitting person which would 

result from public disclosure, (6) a date 

after which such information might no 

longer be considered confidential, and 

(7) why disclosure of the information 

would be contrary to the public interest. 

(10 CFR 1004.11(f)) 

After the close of the comment period, 

DOE will review the comments received 

and conduct further analyses as needed. 

B. Issues on Which the Department of 

Energy Seeks Comment 

Comments are welcome on all the 

issues raised in this SNOPR. However, 

DOE is particularly interested in 

receiving comments concerning the 

following issues: 

1. Definition of Electric Motor 

DOE invites comment on its proposed 

definition for ‘‘electric motor.’’ DOE’s 

proposed definition is intended to 

clarify the term ‘‘electric motor’’ in the 

context of EPCA, and to ensure that all 

four motor types covered under EISA 

2007 are covered under the broad 

definition of electric motor. See section 

III.A for details. 

2. Definition of General Purpose Electric 

Motors, Subtypes I and II 

DOE invites comment on its proposed 

definitions for ‘‘general purpose electric 

motor (subtype I),’’ ‘‘general purpose 

electric motor (subtype II),’’ and ‘‘general 

purpose electric motor.’’ See section 

III.B for details. 

3. Definition of NEMA Design B Motor 

DOE invites comment on its revised 

definition for ‘‘NEMA Design B Motor,’’ 

which adopts a broad definition of a 

NEMA Design B motor similar to that 

which was proposed in the December 

2008, NOPR, but maintains the 

provisions regarding 50 hertz, updates 

the NEMA MG1 reference, and 

eliminates any reference to NEMA 

Design B motors necessarily being 

general purpose electric motors. See 

section III.C for details. 

4. Fire Pump Motors Definition 

DOE invites comment on its proposed 

definition for ‘‘fire pump motors.’’ See 

section III.D for details. 

5. Fire Pump Motor Coverage 

DOE invites comment on its 

interpretation of the scope of coverage 

for fire pump motors. See section III.E 

for details. 

6. Energy Conservation Standards for 

Electric Motors 

DOE invites comment on its 

clarification of the applicability of the 

energy conservation standards tables 

contained in 10 CFR 431.25. See section 

III.F for details. 

7. References to International 

Electrotechnical Commission, National 

Electrical Manufacturers Association, 

Institute of Electrical and Electronics 

Engineers, and Canadian Standards 

Association Standards for Electric 

Motors 

DOE invites comment on its proposal 

to incorporate updated versions of the 

IEC, NEMA, IEEE, and CSA standards 

into 10 CFR part 431 to facilitate and 

clarify coverage of electric motors, 

including metric-equivalent motors. 

DOE also invites comments on whether 

the updates to the test methods will 

change the efficiency of motors tested. 

See section III.G for details. 

8. National Institute of Standards and 

Technology/National Voluntary 

Laboratory Accreditation Program 

Handbook 150–10 Update and Checklist 

DOE invites comment on its proposal 

to reference NIST Handbook 150–10, 

which has been updated by NIST to 

incorporate references to the same test 

procedures proposed by DOE in the 

December 2008 NOPR. See section III.H 

for details. 

9. Appendix A to Subpart B of Title 10 

of the Code of Federal Regulations Part 

431 

DOE invites comment on its revision 

of the contents of appendix A to provide 

guidance in line with the changes 

promulgated by EISA 2007, including 

its proposed guidance concerning shaft 

dimensions, length, shoulder location, 

and special designs. See section III.I for 

details. 

10. Canadian Standards Association 

Test Procedure for Small Electric Motors 

DOE invites comment on its proposal 

to allow a manufacturer to use CAN/ 

CSA Standard C747–09 as an alternative 

to the IEEE Standard 112 Test Method 

A and IEEE Standard 114; and CAN/ 

CSA Standard C390–10 as an alternative 

to the IEEE Standard 112 Test Method 

B for small electric motors. DOE may or 

may not promulgate these two 

alternative standards in the final rule of 

this test procedure based on comments 

from interested parties. See section III.K 

for details. 

11. Small Electric Motor Represented 

Efficiency Value 

DOE invites comment on its proposed 

definition of the represented efficiency 

value. See section III.L for details. 

12. Validation of the Small Electric 

Motor Alternative Efficiency 

Determination Method 

DOE invites comment on its proposed 

approach for using actual testing to 

validate an AEDM model. The proposed 

method is consistent with the approach 

followed by electric motor 

manufacturers for 1–200 horsepower 

motors currently in place. See section 

III.M for details. 

13. Small Electric Motor Nationally 

Recognized Certification Program 

DOE invites comment on its proposed 

approach to allow manufacturers to 

certify compliance using a nationally 

recognized certification program, 

similar to the program used for electric 

motors. DOE specifically would like to 

know if independent third party 

compliance certification or laboratory 

accredited programs for small electric 

motors (1) currently exist for the 

appropriate small electric motors test 

procedures, (2) if not should they be 

established, and (3) should they be 

made mandatory or voluntary. See 

section III.N for details. 

14. Issues Related to Compliance 

Certification and Enforcement of 

Electric Motors and Small Electric 

Motors 

DOE invites comment and specific 

suggestions on how DOE should amend 

the provisions related to compliance 

certification and enforcement, including 

the definition of ‘‘basic model,’’ 

enforcement of energy conservation 

standards, and compliance certification 

and submission of data requirements for 

electric motors and small electric 

motors, as well as labeling requirements 

for small electric motors. See section 

III.O for details. 

V. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(OMB) has determined that test 

procedure rulemakings do not constitute 

‘‘significant regulatory actions’’ under 

Executive Order 12866, ‘‘Regulatory 


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Planning and Review.’’ 58 FR 51735 

(October 4, 1993). Accordingly, this 

proposed action is not subject to review 

under that Executive Order by the Office 

of Information and Regulatory Affairs of 

OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq., as amended by the 

Small Business Regulatory Enforcement 

Fairness Act of 1996) requires 

preparation of an initial regulatory 

flexibility analysis for any rule that by 

law must be proposed for public 

comment, unless the agency certifies 

that the rule, if promulgated, will have 

no significant economic impact on a 

substantial number of small entities. 

Also, as required by Executive Order 

13272, ‘‘Proper Consideration of Small 

Entities in Agency Rulemaking,’’ 67 FR 

53461 (August 16, 2002), DOE 

published procedures and policies on 

February 19, 2003, to ensure that the 

potential impacts of its rules on small 

entities are properly considered during 

the DOE rulemaking process. 68 FR 

7990. DOE has made its procedures and 

policies available on the Office of the 

General Counsel’s Web site at http:// 

www.gc.doe.gov. DOE reviewed today’s 

SNOPR under the provisions of the 

Regulatory Flexibility Act and the 

policies and procedures published on 

February 19, 2003. 

To estimate the number of small 

businesses impacted by the rule, DOE 

considered the size standards for a small 

business listed by the North American 

Industry Classification System (NAICS) 

code and description, under 13 CFR 

121.201. To be considered a small 

business, a manufacturer of electric 

motors or small electric motors and its 

affiliates may employ a maximum of 

1,000 employees. DOE estimates that 

there are approximately 20 domestic 

motor manufacturers that manufacture 

electric motors or small electric motors 

covered by EPCA, and no more than six 

of these manufacturers are small 

businesses employing a maximum of 

1,000 employees. These estimates are 

based on analyses DOE conducted in the 

final rule establishing energy 

conservation standards for small electric 

motors at 75 FR 10874 (March 9, 2010) 

and the final rule that set forth test 

procedures for electric motors at 64 FR 

54114 (October 5, 1999). In these 

previous rules, DOE calculated the 

number of motor manufacturers, 

including which of those manufacturers 

are small businesses, based on 

interviews with motor manufacturers 

and publicly available data. 

The SNOPR proposes additional test 

procedures that are consistent with 

current industry practice, clarifies 

definitions for certain key terms, 

clarifies the scope of energy 

conservation standards for electric 

motors, and updates references to 

standards publications and test 

procedures otherwise incorporated by 

reference. DOE believes that the cost of 

complying with the test procedures 

proposed in this SNOPR would not 

impose significant economic costs on 

motor manufacturers that are small 

businesses because many, if not most, 

motor manufacturers are already 

manufacturing their electric motors or 

small electric motors to the latest 

industry-developed energy efficiency 

performance standards that are the basis 

for the standards in EPCA and in Title 

10 of the Code of Federal Regulations, 

Part 431 (10 CFR part 431). In addition, 

the SNOPR promotes consistency with 

current industry test procedures and 

methodologies because the SNOPR is 

not proposing any additional testing 

requirements or higher accuracy 

tolerances beyond what is already 

contained in the industry standards 

documents incorporated by reference for 

this equipment (i.e., IEEE Std 114, IEEE 

Std 112; CSA C390, and CAN/CSA 

C747.) DOE elaborated on these analyses 

in the December 22, 2008, test 

procedure notice of proposed 

rulemaking (NOPR), which today’s 

SNOPR supplements. 73 FR 78220. DOE 

believes that the costs imposed on 

manufacturers of electric motors and 

small electric motors as a result of 

today’s SNOPR are not greater than the 

costs that would have been imposed on 

these manufacturers under the 

December 22, 2008 NOPR. 

Moreover, DOE previously considered 

the one comment it received regarding 

impacts on small businesses in the 

small motors test procedure rulemaking 

at 64 FR 54114 (October 5, 1999). The 

commenter recommended that DOE 

provide more than one agency to certify 

and/or accredit labs and provide a 

simple procedure to verify electric 

motor compliance with EPCA efficiency 

levels. DOE addressed these concerns by 

finalizing a rule that provided multiple 

ways to certify compliance and adopted 

simple, repeatable, and statistically 

valid sampling procedures. 

Based on the above, DOE believes that 

the test procedure amendments 

proposed in today’s SNOPR will not 

have a significant impact on a 

substantial number of small entities and 

that a Regulatory Flexibility Act 

analysis is therefore not required. 

Accordingly, DOE has not prepared a 

regulatory flexibility analysis for this 

rulemaking. DOE provided the Chief 

Counsel for Advocacy of the Small 

Business Administration a certification 

and supporting statement of factual 

basis pursuant to 5 U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act 

Manufacturers of covered electric 

motors must certify to DOE that their 

electric motors comply with any 

applicable energy conservation 

standard. In certifying compliance, 

manufacturers must test their electric 

motors according to the DOE test 

procedure for electric motors, including 

any amendments adopted for that test 

procedure. DOE has proposed 

regulations for the certification and 

recordkeeping requirements for all 

covered consumer products and 

commercial equipment, including 

electric motors. 75 FR 56796 (September 

16, 2010). The collection-of-information 

requirement for the certification and 

recordkeeping is subject to review and 

approval by OMB under the Paperwork 

Reduction Act (PRA). This requirement 

has been submitted to OMB for 

approval. Public reporting burden for 

the certification is estimated to average 

20 hours per response, including the 

time for reviewing instructions, 

searching existing data sources, 

gathering and maintaining the data 

needed, and completing and reviewing 

the collection of information. 

Public comment is sought regarding: 

whether this proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

the accuracy of the burden estimate; 

ways to enhance the quality, utility, and 

clarity of the information to be 

collected; and ways to minimize the 

burden of the collection of information, 

including through the use of automated 

collection techniques or other forms of 

information technology. Send comments 

on these or any other aspects of the 

collection of information to Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 

Mailstop EE–2J, 1000 Independence 

Avenue, SW., Washington, DC 20585– 

0121 and e-mail to 

Christine_J._Kymn@omb.eop.gov. 

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. 


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D. Review Under the National 

Environmental Policy Act 

In this notice, DOE proposes limited 

revisions to new and amended test 

procedures that are used to measure and 

determine the energy efficiency of 

certain types of electric motors. This 

proposed rule falls into a class of 

actions that are categorically excluded 

from review under the National 

Environmental Policy Act of 1969, 

(NEPA) 42 U.S.C. 4321 et seq., and 

DOE’s implementing regulations at 10 

CFR part 1021. In particular, today’s 

proposed rule is covered by Categorical 

Exclusion A5, for rulemakings that 

interpret or amend an existing rule 

without changing the environmental 

effect, as set forth in DOE’s NEPA 

regulations in appendix A to subpart D 

of 10 CFR part 1021. Today’s proposed 

rule will not affect the amount, quality, 

or distribution of energy usage, and 

therefore will not result in any 

environmental impacts. Accordingly, 

neither an environmental assessment 

nor an environmental impact statement 

is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 10, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. The 

executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountability process to 

ensure meaningful and timely input by 

State and local officials in developing 

regulatory policies that have Federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 

describing the intergovernmental 

consultation process it will follow in 

developing such regulations. 65 FR 

13735. DOE examined this proposed 

rule and determined that it does not 

have a substantial direct effect on the 

States, on the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. Accordingly, no 

action is required under Executive 

Order 13132. 

F. Review Under Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (February 7, 1996), 

imposes on Federal agencies the duty to 

adhere to the following requirements: 

(1) Eliminate drafting errors and 

ambiguity, (2) write regulations to 

minimize litigation, and (3) provide a 

clear legal standard for affected conduct 

rather than a general standard and 

promote simplification and burden 

reduction. Section 3(b) of Executive 

Order 12988 specifically requires, 

among other things, that Executive 

agencies make every reasonable effort to 

ensure that the regulation (1) clearly 

specifies the preemptive effect, if any; 

(2) clearly specifies any effect on 

existing Federal law or regulation; (3) 

provides a clear legal standard for 

affected; (4) specifies the retroactive 

effect, if any; (5) adequately defines key 

terms; and (6) addresses other important 

issues affecting clarity and general 

draftsmanship under any guidelines 

issued by the Attorney General. Section 

3(c) of Executive Order 12988 requires 

Executive agencies to review regulations 

in light of applicable standards in 

sections 3(a) and 3(b) to determine 

whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, this 

rulemaking meets the relevant standards 

of Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) (Pub. L. 

104–4, 2 U.S.C. 1501 et seq.) generally 

requires Federal agencies to examine 

closely the impacts of regulatory actions 

on State, local, or Tribal governments. 

Subsection 101(5) of title I of that law 

defines a Federal intergovernmental 

mandate to include a regulation that 

would impose upon State, local, or 

Tribal governments an enforceable duty, 

except a condition of Federal assistance 

or a duty arising from participating in a 

voluntary Federal program. Title II of 

that law requires each Federal agency to 

assess the effects of Federal regulatory 

actions on State, local, and Tribal 

governments, in the aggregate, or the 

private sector, other than to the extent 

such actions merely incorporate 

requirements specifically set forth in a 

statute. Section 202 of the title requires 

a Federal agency to perform a detailed 

assessment of the anticipated costs and 

benefits of any rule that includes a 

Federal mandate that may result in costs 

State, local, or Tribal governments or 

the private sector of $100 million or 

more in any one year (adjusted annually 

for inflation). (2 U.S.C. 1532(a) and (b)) 

Section 204 of that title requires each 

agency that proposed a rule containing 

a significant Federal intergovernmental 

mandate to develop an effective process 

for obtaining meaningful and timely 

input by elected officers of State, local, 

and Tribal governments. (2 U.S.C. 1534) 

On March 18, 1997, DOE published a 

statement of policy on its process for 

intergovernmental consultation under 

UMRA. 62 FR 12820 (also available at 

http://www.gc.doe.gov). Today’s 

supplemental proposed rule does not 

establish any new or amended test 

procedures that would be used in 

measuring the energy efficiency of 

electric motors or small electric 

motors—it merely clarifies existing 

definitions and test procedures. This 

supplemental proposed rule would, 

therefore, not result in the expenditure 

of $100 million or more in any year. 

Accordingly, no assessment or analysis 

is required under the UMRA. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. 

Today’s supplemental proposed rule to 

amend DOE test procedures would not 

have any impact on the autonomy or 

integrity of the family as an institution. 

Accordingly, DOE has concluded that it 

is unnecessary to prepare a Family 

Policymaking Assessment. 

I. Review Under Executive Order 12630 

Pursuant to Executive Order 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 18, 1988), 

DOE has determined that this 

supplemental proposed rule would not 

result in any takings that might require 

compensation under the Fifth 

Amendment to the U.S. Constitution. 

J. Review Under the Treasury and 

General Government Appropriations 

Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (Pub. L. 106–554, 44 U.S.C. 

3516) provides for agencies to review 

most disseminations of information to 

the public under information quality 

guidelines established by each agency 

under general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (February 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (October 7, 2002). DOE has 

reviewed today’s supplemental 

proposed rule under the OMB and DOE 


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guidelines and has concluded that it is 

consistent with applicable policies in 

those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB a Statement 

of Energy Effects for any proposed 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated a final 

rule or is expected to lead to 

promulgation of a final rule, and that (1) 

is a significant regulatory action under 

Executive Order 12866, or any successor 

order; and (2) is likely to have a 

significant adverse effect on the supply, 

distribution, or use of energy; or (3) is 

designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and reasonable alternatives to the action 

and their expected benefits on energy 

supply, distribution, and use. Because 

this rulemaking is not expected to be a 

significant regulatory action under 

Executive Order 12866; it would not 

have a significant adverse effect on the 

supply, distribution, or use of energy; 

and has not been designated a 

significant energy action by the 

Administrator of OIRA, DOE has 

determined that this rule is not a 

significant energy action. Accordingly, 

DOE has not prepared a Statement of 

Energy Effects for this rulemaking. 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91), DOE must comply with section 32 

of the Federal Energy Administration 

Act of 1974 (Pub. L. 93–275), as 

amended by the Federal Energy 

Administration Authorization Act of 

1977 (Pub. L. 95–70). (15 U.S.C. 788) 

Section 32 provides that where a 

proposed rule authorizes or requires use 

of commercial standards, the NOPR 

must inform the public of the use and 

background of such standards. In 

addition, section 32(c) requires DOE to 

consult with the Department of Justice 

(DOJ) and the Federal Trade 

Commission (FTC) concerning the 

impact of the commercial or industry 

standards on competition. 

The rule proposed in this notice 

incorporates testing methods contained 

in the following commercial standards: 

(1) CAN/CSA C390–10, Test methods, 

marking requirements, and energy 

efficiency levels for three-phase 

induction motors, March 22, 2010; (2) 

CAN/CSA C747–09, Energy efficiency 

test methods for small motors, October 

1, 2009; (3) IEC Standard 60034–1 

(2010), Rotating Electrical Machines, 

Part 1: Rating and Performance, Section 

4: Duty, clause 4.2.1 and Figure 1; (4) 

Standard 60034–12 (2007), Rotating 

Electrical Machines, Part 12: Starting 

Performance of Single-Speed ThreePhase Cage Induction Motors, clauses 

5.2, 5.4, 6, and 8, and Tables 1, 2, 3, 4, 

5, 6, and 7; and (5) NEMA Standards 

Publication MG1–2009 Section I (Part 

1), Section I (Part 4), Section II (Part 12), 

and Section II (Part 14). 

DOE has evaluated these revised 

standards and is unable to conclude 

whether they fully comply with the 

requirements of section 32(b) of the 

Federal Energy Administration Act (i.e., 

that they were developed in a manner 

that fully provides for public 

participation, comment, and review). 

DOE will consult with the Attorney 

General and the Chairman of the FTC 

about the impact of these test 

procedures on competition. 

VI. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this proposed rule. 

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Energy conservation, 

Incorporation by reference, Reporting 

and recordkeeping requirements. 

Issued in Washington, DC, on December 

15, 2010. 

Cathy Zoi, 

Assistant Secretary, Energy Efficiency and 

Renewable Energy. 

For the reasons stated in the 

preamble, DOE proposes to amend part 

431 of chapter II of title 10, Code of 

Federal Regulations, as set forth below. 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

1. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317. 

2. Section 431.11 is revised to read as 

follows: 

§ 431.11 Purpose and scope. 

This subpart contains energy 

conservation requirements for electric 

motors. It contains test procedures that 

EPCA requires DOE to prescribe, related 

requirements, energy conservation 

standards prescribed by EPCA, labeling 

rules, and compliance procedures. It 

also identifies materials incorporated by 

reference in this part. This subpart does 

not cover ‘‘small electric motors,’’ which 

are addressed in subpart X of this part. 

3. Section 431.12 is amended by 

revising the introductory text, revising 

the definitions of ‘‘accreditation,’’ 

‘‘definite purpose motor,’’ ‘‘general 

purpose electric motor (subtype I),’’ 

‘‘general purpose electric motor (subtype 

II),’’ and ‘‘nominal full load efficiency,’’ 

by removing the definition of ‘‘general 

purpose motor’’ and by adding in 

alphabetical order, new definitions for 

‘‘electric motor,’’ ‘‘fire pump motor,’’ 

‘‘general purpose electric motor,’’ and 

‘‘NEMA Design B motor’’ to read as 

follows: 

§ 431.12 Definitions. 

The following definitions apply for 

purposes of this subpart, and of subparts 

U and V of this part. Any words or 

terms not defined in this section or 

elsewhere in this part shall be defined 

as provided in Section 340 of the Act. 

Accreditation means recognition by 

an accreditation body that a laboratory 

is competent to test the efficiency of 

electric motors according to the scope 

and procedures given in Test Method B 

of IEEE Standard 112–2004 and CAN/ 

CSA Standard C390–10 (incorporated by 

reference, see § 431.15). 

* * * * * 

Definite purpose motor means any 

motor designed in standard ratings with 

standard operating characteristics or 

standard mechanical construction for 

use under service conditions other than 

usual, such as those specified in NEMA 

Standards Publication MG1–2009, 

paragraph 14.3, ‘‘Unusual Service 

Conditions,’’ (incorporated by reference, 

see § 431.15) or for use on a particular 

type of application, and which cannot 

be used in most general purpose 

applications. 

* * * * * 

Electric motor means a machine that 

converts electrical power into rotational 

mechanical power. 

* * * * * 

Fire pump motor means an electric 

motor that meets the performance and 

construction requirements of section 9.5 

of National Fire Protection Association 

(NFPA) Standard 20–2010, ‘‘Standard 

for the Installation of Stationary Pumps 

for Fire Protection,’’ and Underwriters 

Laboratories (UL) 1004–5, ‘‘Standard for 

Fire Pump Motors,’’ dated September 15, 

2008. 

* * * * * 


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General purpose electric motor means 

any electric motor that is designed in 

standard ratings with either: 

(1) Standard operating characteristics 

and mechanical construction for use 

under usual service conditions, such as 

those specified in NEMA Standards 

Publication MG1–2009, paragraph 14.2, 

‘‘Usual Service Conditions,’’ 

(incorporated by reference, see § 431.15) 

and without restriction to a particular 

application or type of application; or 

(2) Standard operating characteristics 

or standard mechanical construction for 

use under unusual service conditions, 

such as those specified in NEMA 

Standards Publication MG1–2009, 

paragraph 14.3, ‘‘Unusual Service 

Conditions,’’ (incorporated by reference, 

see § 431.15) or for a particular type of 

application, and which can be used in 

most general purpose applications. 

These cited examples of standard 

operating characteristics and 

mechanical construction are for 

illustrative purposes only. 

General purpose electric motor 

(subtype I) means a general purpose 

electric motor that: 

(1) Is a single-speed induction motor 

(MG1); 

(2) Is rated for continuous duty (MG1) 

operation or for duty type S1 (IEC); 

(3) Contains a squirrel-cage (MG1) or 

cage (IEC) rotor; 

(4) Has foot-mounting that may 

include foot-mounting with flanges or 

detachable feet; 

(5) Is built in accordance with NEMA 

T-frame dimensions (MG1) or their IEC 

metric equivalents (IEC); 

(6) Has performance in accordance 

with NEMA Design A (MG1) or B 

characteristics or equivalent designs 

such as IEC Design N (IEC); 

(7) Operates on polyphase alternating 

current 60-hertz sinusoidal power, and: 

(i) Is rated 230 or 460 volts (or both) 

including motors rated at multiple 

voltages that include 230 or 460 volts 

(or both), or 

(ii) Can be operated on 230 or 460 

volts (or both); and 

(8) Includes, but is not limited to, 

explosion-proof construction. 

Note to Definition of General purpose 

electric motor (subtype I): Terms in this 

definition followed by the parenthetical 

‘‘MG1’’ must be construed with reference to 

provisions in NEMA Standards Publication 

MG1–2009 (incorporated by reference in 

§ 431.15), and elements followed by the 

parenthetical ‘‘IEC’’ must be construed with 

reference to the IEC Standards (incorporated 

by reference in § 431.15). 10 CFR part 431, 

subpart B applies to general purpose electric 

motors (subtype I) even if the NEMA or IECequivalent frame size or design element has 

been discontinued or is discontinued in the 

future. 

General purpose electric motor 

(subtype II) means any general purpose 

electric motor that incorporates design 

elements of a general purpose electric 

motor (subtype I) but, unlike a general 

purpose electric motor (subtype I), is 

configured in one or more of the 

following ways: 

(1) Is built in accordance with NEMA 

U-frame dimensions (MG1) or their IEC 

metric equivalents (IEC); 

(2) Has performance in accordance 

with NEMA Design C characteristics 

(MG1) or equivalent designs such as IEC 

Design H (IEC); 

(3) Is a close-coupled pump motor; 

(4) Is a footless motor; 

(5) Is a vertical solid shaft normal 

thrust motor (as tested in a horizontal 

configuration) (MG1); 

(6) Is an eight-pole motor (900 rpm); 

or 

(7) Is a polyphase motor with voltage 

of not more than 600 volts (other than 

230 or 460 volts). 

Note to Definition of General purpose 

electric motor (subtype II): Terms in this 

definition followed by the parenthetical 

‘‘MG1’’ must be construed with reference to 

provisions in NEMA Standards Publication 

MG1–2009 (incorporated by reference in 

§ 431.15), and elements followed by the 

parenthetical ‘‘IEC’’ must be construed with 

reference to the IEC Standards (incorporated 

by reference in § 431.15). 10 CFR part 431, 

subpart B applies to general purpose electric 

motors (subtype I) even if the NEMA or IECequivalent frame size or design element has 

been discontinued or is discontinued in the 

future. 

* * * * * 

NEMA Design B motor means a 

squirrel-cage motor designed to 

withstand full-voltage starting, 

developing locked-rotor, breakdown, 

and pull-up torques adequate for general 

application as specified in sections 

12.38, 12.39 and 12.40 of NEMA 

Standards Publication MG1–2009 

(incorporated by reference, see 

§ 431.15), drawing locked-rotor current 

not to exceed the values shown in 

section 12.35.1 for 60 hertz and 12.35.2 

for 50 hertz of NEMA Standards 

Publication MG1–2009, and having a 

slip at rated load of less than 5 percent 

for motors with fewer than 10 poles. 

* * * * * 

Nominal full load efficiency means, 

with respect to an electric motor, a 

representative value of efficiency 

selected from the ‘‘nominal efficiency’’ 

column of Table 12–10, NEMA 

Standards Publication MG1–2009, 

(incorporated by reference, see 

§ 431.15), that is not greater than the 

average full load efficiency of a 

population of motors of the same 

design. 

* * * * * 

4. A new § 431.14 is added to read as 

follows: 

§ 431.14 Sources for information and 

guidance. 

(a) General. The standards listed in 

this paragraph are referred to in the DOE 

procedures for testing laboratories, and 

recognition of accreditation bodies and 

certification programs but are not 

incorporated by reference. These 

sources are given here for information 

and guidance. 

(b) NVLAP. National Voluntary 

Laboratory Accreditation Program, 

National Institute of Standards and 

Technology, 100 Bureau Drive, M/S 

2140, Gaithersburg, MD 20899. 

(1) NVLAP Handbook 150, Procedures 

and General Requirements, March 1994. 

(2) NVLAP Handbook 150–10, 

Efficiency of Electric Motors, August 

1995. 

(c) ISO/IEC. International 

Organization for Standardization (ISO), 

1, ch. de la Voie-Creuse, CP 56, CH– 

1211 Geneva 20, Switzerland/ 

International Electrotechnical 

Commission, 3, rue de Varembe ́, P.O. 

Box 131, CH–1211 Geneva 20, 

Switzerland. 

(1) ISO/IEC Guide 25, General 

requirements for the competence of 

calibration and testing laboratories, 

1990. 

(2) ISO Guide 27, Guidelines for 

corrective action to be taken by a 

certification body in the event of either 

misapplication of its mark of conformity 

to a product, or products which bear the 

mark of the certification body being 

found to subject persons or property to 

risk, 1983. 

(3) ISO/IEC Guide 28, General rules 

for a model third-party certification 

system for products, 2004. 

(4) ISO/IEC Guide 58, Calibration and 

testing laboratory accreditation 

systems—General requirements for 

operation and recognition, 1993. 

(5) ISO/IEC Guide 65, General 

requirements for bodies operating 

product certification systems, 1996. 

5. Section 431.15 is revised to read as 

follows: 

§ 431.15 Materials incorporated by 

reference. 

(a) General. The Department of Energy 

incorporates by reference the following 

standards and test procedures into 

subpart B of part 431. The Director of 

the Federal Register has approved the 

material listed for incorporation by 

reference in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51. Any 


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subsequent amendment to a standard by 

the standard-setting organization will 

not affect DOE regulations unless and 

until DOE amends its test procedures. 

Material is incorporated as it exists on 

the date of the approval, and a notice of 

any change in the material will be 

published in the Federal Register. All 

approved material is available for 

inspection at the National Archives and 

Records Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/

federal_register/code_of_federal_

regulations/ibr_locations.html. Also, 

this material is available for inspection 

at U.S. Department of Energy, Office of 

Energy Efficiency and Renewable 

Energy, Building Technologies Program, 

Sixth Floor, 950 L’Enfant Plaza, SW., 

Washington, DC 20024, (202) 586–2945, 

or go to http://www1.eere.energy.gov/ 

buildings/appliance_standards/. 

(b) CAN/CSA. Canadian Standards 

Association, Sales Department, 5060 

Spectrum Way, Suite 100, Mississauga, 

Ontario, L4W 5N6, Canada, 1–800–463– 

6727, or go to http://www.shopcsa.ca/ 

onlinestore/welcome.asp. 

(1) CSA C390–10, Test methods, 

marking requirements, and energy 

efficiency levels for three-phase 

induction motors, March 22, 2010, IBR 

approved for §§ 431.12; 431.16; 431.19; 

431.20; appendix B to subpart B of part 

431. 

(2) [Reserved] 

(c) IEC. International Electrotechnical 

Commission Central Office, 3, rue de 

Varembe ́, P.O. Box 131, CH–1211 

Geneva 20, Switzerland, +41 22 919 02 

11, or go to http://webstore.iec.ch. 

(1) International Electrotechnical 

Commission Standard 60034–1 (2010), 

Rotating Electrical Machines, Part 1: 

Rating and Performance, Section 4: 

Duty, clause 4.2.1 and Figure 1, IBR 

approved for § 431.12. 

(2) International Electrotechnical 

Commission Standard 60050–411 

(1996), International Electrotechnical 

Vocabulary Chapter 411: Rotating 

machines, sections 411–33–07 and 411– 

37–26, IBR approved for § 431.12. 

(3) International Electrotechnical 

Commission Standard 60072–1 (1991), 

Dimensions and Output Series for 

Rotating Electrical Machines—Part 1: 

Frame numbers 56 to 400 and flange 

numbers 55 to 1080, clauses 2, 3, 4.1, 

6.1, 7, and 10, and Tables 1, 2, and 4, 

IBR approved for § 431.12. 

(4) International Electrotechnical 

Commission Standard 60034–12 (2007), 

Rotating Electrical Machines, Part 12: 

Starting Performance of Single-Speed 

Three-Phase Cage Induction Motors, 

clauses 5.2, 5.4, 6, and 8, and Tables 1, 

2, 3, 4, 5, 6, and 7, IBR approved for 

§ 431.12. 

(d) IEEE. Institute of Electrical and 

Electronics Engineers Standard 112 can 

be obtained from the Institute of 

Electrical and Electronics Engineers, 

Inc., 445 Hoes Lane, P.O. Box 1331, 

Piscataway, NJ 08855–1331, 1–800– 

678–IEEE (4333), or http://www.ieee.

org/web/publications/home/index.html. 

(1) Institute of Electrical and 

Electronics Engineers, Inc., Standard 

112–2004, Test Procedure for Polyphase 

Induction Motors and Generators, Test 

Method B, Input-Output with Loss 

Segregation, 4 November 2004, IBR 

approved for §§ 431.12; 431.16; 431.19; 

431.20; appendix B to subpart B of part 

431. 

(2) [Reserved] 

(e) NEMA. National Electrical 

Manufacturers Association, 1300 North 

17th Street, Suite 1752, Rosslyn, 

Virginia 22209, 703–841–3200, or go to 

http://www.nema.org/. 

(1) The following provisions of NEMA 

Standards Publication MG1–2009, 

Motors and Generators, IBR approved 

for §§ 431.12; 431.31; appendix A to 

subpart B; and appendix B to subpart B 

of part 431: 

(i) Section I, General Standards 

Applying to All Machines, Part 1, 

Referenced Standards and Definitions, 

paragraphs 1.18.1, 1.18.1.1, 1.19.1.1, 

1.19.1.2, 1.19.1.3, and 1.40.1, IBR 

approved for § 431.12; 

(ii) Section I, General Standards 

Applying to All Machines, Part 4, 

Dimensions, Tolerances, and Mounting, 

paragraphs 4.1, 4.2.1, 4.2.2, 4.4.1, 4.4.2, 

4.4.4, 4.4.5, and 4.4.6, Figures 4–1, 4–2, 

4–3, 4–4, and 4–5, and Table 4–2, IBR 

approved for § 431.12; 

(iii) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 12, 

Tests and Performance—AC and DC 

Motors, paragraphs 12.35.1, 12.38.1, 

12.38.2, 12.39.1, 12.39.2, and 12.40.1, 

12.40.2, 12.58.1, and Tables 12–2 and 

12–10, IBR approved for § 431.12, and 

paragraph 12.58.2, IBR approved for 

§ 431.31; and 

(iv) Section II, Small (Fractional) and 

Medium (Integral) Machines, Part 14, 

Application Data—AC and DC Small 

and Medium Machines, paragraphs 14.2 

and 14.3, IBR approved for § 431.12. 

(2) [Reserved] 

6. Section 431.18, paragraph (b) is 

revised to read as follows: 

§ 431.18 Testing laboratories. 

* * * * * 

(b) NIST/NVLAP is under the 

auspices of the National Institute of 

Standards and Technology (NIST)/ 

National Voluntary Laboratory 

Accreditation Program (NVLAP), which 

is part of the U.S. Department of 

Commerce. NIST/NVLAP accreditation 

is granted on the basis of conformance 

with criteria published in 15 CFR part 

285. The National Voluntary Laboratory 

Accreditation Program, ‘‘Procedures and 

General Requirements,’’ NIST Handbook 

150–10, February 2007, and Lab 

Bulletin LB–42–2009, Efficiency of 

Electric Motors Program, (see 

§ 431.15(f)(2)(i)), present the technical 

requirements of NVLAP for the 

Efficiency of Electric Motors field of 

accreditation. This handbook 

supplements NIST Handbook 150, 

National Voluntary Laboratory 

Accreditation Program ‘‘Procedures and 

General Requirements,’’ which contains 

15 CFR part 285 plus all general NIST/ 

NVLAP procedures, criteria, and 

policies. Changes in NIST/NVLAP’s 

criteria, procedures, policies, standards, 

or other bases for granting accreditation 

occurring after the initial effective date 

of 10 CFR part 431 shall not apply to 

accreditation under this part unless 

approved in writing by the Department 

of Energy. Information regarding NIST/ 

NVLAP and its Efficiency of Electric 

Motors Program (EEM) can be obtained 

from NIST/NVLAP, 100 Bureau Drive, 

Mail Stop 2140, Gaithersburg, MD 

20899–2140, (301) 975–4016 

(telephone), or (301) 926–2884 (fax). 

7. Section 431.19, paragraphs (b)(4) 

and (c)(4), are revised to read as follows: 

§ 431.19 Department of Energy recognition 

of accreditation bodies. 

* * * * * 

(b) * * * 

(4) It must be expert in the content 

and application of the test procedures 

and methodologies in IEEE Standard 

112–2004 Test Method B and CSA 

Standard C390–10 (incorporated by 

reference, see § 431.15) or similar 

procedures and methodologies for 

determining the energy efficiency of 

electric motors. 

(c) * * * 

(4) Expertise in electric motor test 

procedures. The petition should set 

forth the organization’s experience with 

the test procedures and methodologies 

in IEEE Standard 112–2004 Test Method 

B and CSA Standard C390–10 

(incorporated by reference, see § 431.15) 

and with similar procedures and 

methodologies. This part of the petition 

should include description of prior 

projects, qualifications of staff members, 

and the like. Of particular relevance 

would be documentary evidence that 

establishes experience in applying the 

guidelines contained in the ISO/IEC 

Guide 25, General Requirements for the 

Competence of Calibration and Testing 

Laboratories, (see § 431.15(f)(2)(ii)) to 


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energy efficiency testing for electric 

motors. 

* * * * * 

8. Section 431.20 is amended by 

revising paragraphs (b)(4) and (c)(4) to 

read as follows: 

§ 431.20 Department of Energy recognition 

of nationally recognized certification 

programs. 

* * * * * 

(b) * * * 

(4) It must be expert in the content 

and application of the test procedures 

and methodologies in IEEE Standard 

112–2004 Test Method B and CAN/CSA 

Standard C390–10 (incorporated by 

reference, see § 431.15) or similar 

procedures and methodologies for 

determining the energy efficiency of 

electric motors. It must have satisfactory 

criteria and procedures for the selection 

and sampling of electric motors tested 

for energy efficiency. 

(c) * * * 

(4) Expertise in electric motor test 

procedures. The petition should set 

forth the program’s experience with the 

test procedures and methodologies in 

IEEE Standard 112–2004 Test Method B 

and CSA Standard C390–10 

(incorporated by reference, see § 431.15) 

and with similar procedures and 

methodologies for electric. This part of 

the petition should include a 

description of prior projects, 

qualifications of staff members, and the 

like. Of particular relevance would be 

documentary evidence that establishes 

experience in applying guidelines 

contained in the ISO/IEC Guide 25, 

General requirements for the 

competence of calibration and testing 

laboratories, to energy efficiency testing 

for electric motors. 

* * * * * 

9. Section 431.25 is revised to read as 

follows: 

§ 431.25 Energy conservation standards. 

(a) Except as provided in paragraph 

(b) of this section, each general purpose 

electric motor (subtype I) with a power 

rating of 1 horsepower or greater, but 

not greater than 200 horsepower, 

including a NEMA Design B motor that 

is a general purpose electric motor 

(subtype I), manufactured (alone or as a 

component of another piece of 

equipment) shall have a nominal full 

load efficiency no less than the 

following: 

NOMINAL FULL-LOAD EFFICIENCIES OF GENERAL PURPOSE ELECTRIC MOTORS

[Subtype I] 

Motor horsepower/ 

standard kilowatt equivalent 

Nominal full-load efficiency 

Open motors 

(number of poles) 

Enclosed motors 

(number of poles) 

6 4 2 6 4 2 

1/.75 ......................................................................................................... 82.5 85.5 77.0 82.5 85.5 77.0 

1.5/1.1 ...................................................................................................... 86.5 86.5 84.0 87.5 86.5 84.0 

2/1.5 ......................................................................................................... 87.5 86.5 85.5 88.5 86.5 85.5 

3/2.2 ......................................................................................................... 88.5 89.5 85.5 89.5 89.5 86.5 

5/3.7 ......................................................................................................... 89.5 89.5 86.5 89.5 89.5 88.5 

7.5/5.5 ...................................................................................................... 90.2 91.0 88.5 91.0 91.7 89.5 

10/7.5 ....................................................................................................... 91.7 91.7 89.5 91.0 91.7 90.2 

15/11 ........................................................................................................ 91.7 93.0 90.2 91.7 92.4 91.0 

20/15 ........................................................................................................ 92.4 93.0 91.0 91.7 93.0 91.0 

25/18.5 ..................................................................................................... 93.0 93.6 91.7 93.0 93.6 91.7 

30/22 ........................................................................................................ 93.6 94.1 91.7 93.0 93.6 91.7 

40/30 ........................................................................................................ 94.1 94.1 92.4 94.1 94.1 92.4 

50/37 ........................................................................................................ 94.1 94.5 93.0 94.1 94.5 93.0 

60/45 ........................................................................................................ 94.5 95.0 93.6 94.5 95.0 93.6 

75/55 ........................................................................................................ 94.5 95.0 93.6 94.5 95.4 93.6 

100/75 ...................................................................................................... 95.0 95.4 93.6 95.0 95.4 94.1 

125/90 ...................................................................................................... 95.0 95.4 94.1 95.0 95.4 95.0 

150/110 .................................................................................................... 95.4 95.8 94.1 95.8 95.8 95.0 

200/150 .................................................................................................... 95.4 95.8 95.0 95.8 96.2 95.4 

(b) Each fire pump motor 

manufactured (alone or as a component 

of another piece of equipment) shall 

have a nominal full load efficiency no 

less than the following: 

NOMINAL FULL-LOAD EFFICIENCIES OF FIRE PUMP MOTORS

Motor horsepower/ 

standard kilowatt equivalent 

Nominal full-load efficiency 

Open motors 

(number of poles) 

Enclosed motors 

(number of poles) 

8 6 4 2 8 6 4 2 

1/.75 ................................................................. 74.0 80.0 82.5 ¥ 74.0 80.0 82.5 75.5 

1.5/1.1 .............................................................. 75.5 84.0 84.0 82.5 77.0 85.5 84.0 82.5 

2/1.5 ................................................................. 85.5 85.5 84.0 84.0 82.5 86.5 84.0 84.0 

3/2.2 ................................................................. 86.5 86.5 86.5 84.0 84.0 87.5 87.5 85.5 

5/3.7 ................................................................. 87.5 87.5 87.5 85.5 85.5 87.5 87.5 87.5 

7.5/5.5 .............................................................. 88.5 88.5 88.5 87.5 85.5 89.5 89.5 88.5 

10/7.5 ............................................................... 89.5 90.2 89.5 88.5 88.5 89.5 89.5 89.5 


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NOMINAL FULL-LOAD EFFICIENCIES OF FIRE PUMP MOTORS—Continued 

Motor horsepower/ 

standard kilowatt equivalent 

Nominal full-load efficiency 

Open motors 

(number of poles) 

Enclosed motors 

(number of poles) 

8 6 4 2 8 6 4 2 

15/11 ................................................................ 89.5 90.2 91.0 89.5 88.5 90.2 91.0 90.2 

20/15 ................................................................ 90.2 91.0 91.0 90.2 89.5 90.2 91.0 90.2 

25/18.5 ............................................................. 90.2 91.7 91.7 91.0 89.5 91.7 92.4 91.0 

30/22 ................................................................ 91.0 92.4 92.4 91.0 91.0 91.7 92.4 91.0 

40/30 ................................................................ 91.0 93.0 93.0 91.7 91.0 93.0 93.0 91.7 

50/37 ................................................................ 91.7 93.0 93.0 92.4 91.7 93.0 93.0 92.4 

60/45 ................................................................ 92.4 93.6 93.6 93.0 91.7 93.6 93.6 93.0 

75/55 ................................................................ 93.6 93.6 94.1 93.0 93.0 93.6 94.1 93.0 

100/75 .............................................................. 93.6 94.1 94.1 93.0 93.0 94.1 94.5 93.6 

125/90 .............................................................. 93.6 94.1 94.5 93.6 93.6 94.1 94.5 94.5 

150/110 ............................................................ 93.6 94.5 95.0 93.6 93.6 95.0 95.0 94.5 

200/150 ............................................................ 93.6 94.5 95.0 94.5 94.1 95.0 95.0 95.0 

250/186 ............................................................ 94.5 95.4 95.4 94.5 94.5 95.0 95.0 95.4 

300/224 ............................................................ ................ 95.4 95.4 95.0 ................ 95.0 95.4 95.4 

350/261 ............................................................ ................ 95.4 95.4 95.0 ................ 95.0 95.4 95.4 

400/298 ............................................................ ................ ................ 95.4 95.4 ................ ................ 95.4 95.4 

450/336 ............................................................ ................ ................ 95.8 95.8 ................ ................ 95.4 95.4 

500/373 ............................................................ ................ ................ 95.8 95.8 ................ ................ 95.8 95.4 

(c) Each general purpose electric 

motor (subtype II) with a power rating 

of 1 horsepower or greater, but not 

greater than 200 horsepower, including 

a NEMA Design B motor that is a 

general purpose electric motor (subtype 

II), manufactured (alone or as a 

component of another piece of 

equipment) shall have a nominal full 

load efficiency no less than the 

following: 

NOMINAL FULL-LOAD EFFICIENCIES OF GENERAL PURPOSE ELECTRIC MOTORS

[Subtype II] 

Motor horsepower/ 

standard kilowatt equivalent 

Nominal full-load efficiency 

Open motors 

(number of poles) 

Enclosed motors 

(number of poles) 

8 6 4 2 8 6 4 2 

1/.75 ................................................................. 74.0 80.0 82.5 ................ 74.0 80.0 82.5 75.5 

1.5/1.1 .............................................................. 75.5 84.0 84.0 82.5 77.0 85.5 84.0 82.5 

2/1.5 ................................................................. 85.5 85.5 84.0 84.0 82.5 86.5 84.0 84.0 

3/2.2 ................................................................. 86.5 86.5 86.5 84.0 84.0 87.5 87.5 85.5 

5/3.7 ................................................................. 87.5 87.5 87.5 85.5 85.5 87.5 87.5 87.5 

7.5/5.5 .............................................................. 88.5 88.5 88.5 87.5 85.5 89.5 89.5 88.5 

10/7.5 ............................................................... 89.5 90.2 89.5 88.5 88.5 89.5 89.5 89.5 

15/11 ................................................................ 89.5 90.2 91.0 89.5 88.5 90.2 91.0 90.2 

20/15 ................................................................ 90.2 91.0 91.0 90.2 89.5 90.2 91.0 90.2 

25/18.5 ............................................................. 90.2 91.7 91.7 91.0 89.5 91.7 92.4 91.0 

30/22 ................................................................ 91.0 92.4 92.4 91.0 91.0 91.7 92.4 91.0 

40/30 ................................................................ 91.0 93.0 93.0 91.7 91.0 93.0 93.0 91.7 

50/37 ................................................................ 91.7 93.0 93.0 92.4 91.7 93.0 93.0 92.4 

60/45 ................................................................ 92.4 93.6 93.6 93.0 91.7 93.6 93.6 93.0 

75/55 ................................................................ 93.6 93.6 94.1 93.0 93.0 93.6 94.1 93.0 

100/75 .............................................................. 93.6 94.1 94.1 93.0 93.0 94.1 94.5 93.6 

125/90 .............................................................. 93.6 94.1 94.5 93.6 93.6 94.1 94.5 94.5 

150/110 ............................................................ 93.6 94.5 95.0 93.6 93.6 95.0 95.0 94.5 

200/150 ............................................................ 93.6 94.5 95.0 94.5 94.1 95.0 95.0 95.0 

(d) Each NEMA Design B motor that 

is a general purpose electric motor with 

a power rating of more than 200 

horsepower, but not greater than 500 

horsepower, manufactured (alone or as 

a component of another piece of 

equipment) shall have a nominal full 

load efficiency no less than the 

following: 


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1The term ‘‘manufacture’’ means ‘‘to manufacture, 

produce, assemble or import.’’ EPCA § 321(10). 

Thus, the standards apply to motors produced, 

assembled, imported or manufactured after these 

statutory deadlines. 

NOMINAL FULL-LOAD EFFICIENCIES OF NEMA DESIGN B GENERAL PURPOSE ELECTRIC MOTORS

Motor horsepower/ 

standard kilowatt equivalent 

Nominal full-load efficiency 

Open motors 

(number of poles) 

Enclosed motors 

(number of poles) 

8 6 4 2 8 6 4 2 

250/186 ............................................................ 94.5 95.4 95.4 94.5 94.5 95.0 95.0 95.4 

300/224 ............................................................ ................ 95.4 95.4 95.0 ................ 95.0 95.4 95.4 

350/261 ............................................................ ................ 95.4 95.4 95.0 ................ 95.0 95.4 95.4 

400/298 ............................................................ ................ ................ 95.4 95.4 ................ ................ 95.4 95.4 

450/336 ............................................................ ................ ................ 95.8 95.8 ................ ................ 95.4 95.4 

500/373 ............................................................ ................ ................ 95.8 95.8 ................ ................ 95.8 95.4 

(e) For purposes of determining the 

required minimum nominal full load 

efficiency of an electric motor that has 

a horsepower or kilowatt rating between 

two horsepower or two kilowatt ratings 

listed in any table of energy 

conservation standards in paragraphs (a) 

through (d) of this section, each such 

motor shall be deemed to have a listed 

horsepower or kilowatt rating, 

determined as follows: 

(1) A horsepower at or above the 

midpoint between the two consecutive 

horsepowers shall be rounded up to the 

higher of the two horsepowers; 

(2) A horsepower below the midpoint 

between the two consecutive 

horsepowers shall be rounded down to 

the lower of the two horsepowers; or 

(3) A kilowatt rating shall be directly 

converted from kilowatts to horsepower 

using the formula 1 kilowatt = (1/0.746) 

horsepower. The conversion should be 

calculated to three significant decimal 

places, and the resulting horsepower 

shall be rounded in accordance with 

paragraphs (e)(1) or (e)(2) of this section, 

whichever applies. 

(f) This section does not apply to 

definite purpose motors, special 

purpose motors, or those motors 

exempted by the Secretary. 

10. In § 431.31, paragraph (a)(2) is 

revised to read as follows: 

§ 431.31 Labeling requirements. 

(a) * * * 

(2) Display of required information. 

All orientation, spacing, type sizes, type 

faces, and line widths to display this 

required information shall be the same 

as or similar to the display of the other 

performance data on the motor’s 

permanent nameplate. The nominal full 

load efficiency shall be identified either 

by the term ‘‘Nominal Efficiency’’ or 

‘‘Nom. Eff.’’ or by the terms specified in 

paragraph 12.58.2 of NEMA MG1–2009, 

(incorporated by reference, see § 431.15) 

as for example ‘‘NEMA Nom. Eff. __.’’ 

The DOE number shall be in the form 

‘‘CC__. 

* * * * * 

11. Appendix A to subpart B of part 

431 is revised to read as follows: 

Appendix A to Subpart B of Part 431— 

Policy Statement for Electric Motors 

Covered Under the Energy Policy and 

Conservation Act 

This is in part an update to a reprint of a 

policy statement that was originally 

published on November 5, 1997 at 62 FR 

59978 and is herein modified according to 

the Energy Policy and Conservation Act, as 

amended by the Energy Independency and 

Security Act of 2007. 

Policy Statement for Electric Motors Covered 

Under the Energy Policy and Conservation 

Act 

I. Introduction 

The Energy Policy and Conservation Act 

(EPCA), 42 U.S.C. 6311, et seq., as amended 

by the Energy Policy Act of 1992 (EPAct 

1992), established energy efficiency 

standards and test procedures for certain 

commercial and industrial electric motors 

manufactured (alone or as a component of 

another piece of equipment).1 EPCA also 

directs the Department of Energy (DOE or 

Department) to implement the statutory test 

procedures prescribed for motors, and to 

require efficiency labeling of motors and 

certification that covered motors comply 

with the standards. (42 U.S.C. 6314–6315) 

On December 19, 2007, the Energy 

Independence and Security Act of 2007 

(EISA 2007) struck EPCA section 340(13)(A) 

and all that followed through the end of 

subpart (A), including the definition of 

‘‘electric motor,’’ and inserted in its place two 

new subsections under the heading ‘‘electric 

motor’’ that defined two subtypes of general 

purpose electric motors: General purpose 

electric motor (subtype I) and general 

purpose electric motor (subtype II). (42 

U.S.C. 6311(13)(A) and (B)) Section 313(b)(1) 

of EISA 2007 updated the energy 

conservation standards for those electric 

motors already covered by EPCA (general 

purpose electric motor (subtype I)) and 

established energy conservation standards for 

specific motor types not previously covered, 

including: General purpose electric motor 

(subtype II), fire pump motors, and NEMA 

Design B, general purpose electric motors 

rated at 200 to 500 horsepower. (42 U.S.C. 

6313(b)(2)) The EISA 2007 energy 

conservation standards apply to covered 

motors manufactured or imported on or after 

December 19, 2010. The EISA 2007 

definitions and efficiency standards were 

subsequently codified under §§ 431.12 and 

431.25 respectively, of Title 10 of the Code 

of Federal Regulations, Part 431 (10 CFR part 

431). 

On October 5, 1999, the Department 

published a Final Rule on Test Procedures 

for Electric Motors that clarified the several 

definitions including ‘‘electric motor,’’ 

‘‘general purpose electric motor,’’ ‘‘general 

purpose electric motor (subtype I),’’ and 

‘‘general purpose electric motor (subtype II).’’ 

Notwithstanding the above referenced 

provisions, in the past there has been 

uncertainty as to which motors EPCA covers. 

Consequently, motor manufacturers 

requested that the Department provide 

additional guidance as to which types of 

motors are ‘‘general purpose electric motors 

(subtype I),’’ ‘‘general purpose electric motors 

(subtype II),’’ ‘‘definite purpose motors,’’ and 

‘‘special purpose motors’’ under EPCA. The 

policy statement that follows represents the 

Department’s interpretation of existing 

statutes and regulations, informed by input 

from motor manufacturers and energy 

efficiency advocates. It is not intended to 

create or remove any rights or duties, nor is 

it intended to affect any other aspect of 

EPCA, EISA or DOE regulations. It does not, 

and is not intended to, have the force and 

effect of law. 

II. Guidelines for Determining Whether a 

Motor Is Covered as a General Purpose 

Electric Motor (Subtype I) or (Subtype II) 

A. General 

EPCA, as amended by EISA 2007, specifies 

minimum nominal full-load energy efficiency 

standards for several types of electric motors, 

including general purpose electric motors 

(subtype I) and general purpose electric 

motors (subtype II). Motors with features or 

characteristics that do not meet the 

definitions of the above terms are not 

required to meet the corresponding EPCA 

requirements. An example includes variable 

speed motors operated on a variable 

frequency power supply. Similarly, multispeed motors and variable-speed motors, 

such as inverter-duty motors, are not covered 

equipment, based on their intrinsic design for 


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2For example, a motor that is rated at 220 volts 

should operate successfully on 230 volts, since 220 

+ .10(220) = 242 volts. A 208 volt motor, however, 

would not be expected to operate successfully on 

230 volts, since 208 + .10(208) = 228.8 volts. 

3The Department understands that a motor that 

can operate at such voltage and frequency, based on 

variations defined for successful operation, will not 

necessarily perform in accordance with the industry 

standards established for operation at the motor’s 

rated voltage and frequency. In addition, motors are 

to be tested at their rated values under the test 

procedures prescribed by EPCA. Therefore, in 

DOE’s view, a motor that is not rated for 230 or 460 

volts, or 60 Hertz, but that can be successfully 

operated at these levels, must meet the energy 

conservation standards at its rated voltage(s) and 

frequency. When a motor is rated to include a wider 

voltage range that includes 230/460 volts, the motor 

should meet the energy conservation standards at 

230 volts or 460 volts. 

use at variable speeds. However, NEMA 

Design A, B, or C motors that are single 

speed, meet all other criteria under the 

definitions in EPCA for general purpose 

electric motors (subtype I) or general purpose 

electric motors (subtype II), and can be used 

with an inverter in variable speed 

applications as an additional feature, are 

covered equipment under EPCA. In other 

words, being suitable for use on an inverter 

by itself does not exempt a motor from 

general purpose electric motors (subtype I) 

and general purpose electric motors (subtype 

II) EPCA requirements. 

B. Electrical Features 

EPCA, as amended by EISA, establishes 

two categories of electric motors: General 

purpose electric motor (subtype I) or a 

general purpose electric motor (subtype II). In 

DOE’s view, a general purpose electric motor 

(subtype I) or (subtype II) operates on 

polyphase alternating current 60-Hertz 

sinusoidal power, and can be operated on 

either 230 volts or 460 volts, or both; or can 

be operated with voltage of not more than 

600 volts (other than 230 or 460 volts). 

Furthermore, ‘‘can be operated’’ implicitly 

means that the motor can be operated 

successfully. According to National Electrical 

Manufacturers Association (NEMA) 

Standards Publication MG1–2009, paragraph 

12.44, ‘‘Variations from Rated Voltage and 

Rated Frequency,’’ alternating-current motors 

must operate successfully under running 

conditions at rated load with a variation in 

the voltage or the frequency up to the 

following: plus or minus 10 percent of rated 

voltage, with rated frequency for induction 

motors; 2 plus or minus 5 percent of rated 

frequency, with rated voltage; and a 

combined variation in voltage and frequency 

of 10 percent (sum of absolute values) of the 

rated values, provided the frequency 

variation does not exceed plus or minus 5 

percent of rated frequency. DOE believes 

that, for purposes of determining whether a 

motor is a general purpose electric motor 

(subtype I) or (subtype II), these criteria 

should be used to determine when a motor 

that is not rated at 230 or 460 volts or 60 

Hertz can be operated at such voltage and 

frequency; or when it is operated at a rated 

voltage of not more than 600 volts (other than 

230 or 460 volts).3

Under sections 340(13)(A) and 342(b)(3) of 

EPCA, as amended by EISA 2007, general 

purpose electric motors (subtype I) include 

motors that meet the electrical performance 

characteristics of NEMA Design A or B; and 

general purpose electric motors (subtype II) 

include motors that meet the electrical 

performance characteristics NEMA Design A, 

B, or C. NEMA Standards Publication MG1 

assigns design letters, such as Design A, B, 

C, D, or E, to identify various combinations 

of electrical performance characteristics, 

including: locked rotor torque, breakdown 

torque, pull-up torque, locked rotor current, 

and slip at rated load. In the Department’s 

view, a motor must meet the electrical 

performance characteristics of a NEMA 

Design A, B, or C motor to be covered as a 

general purpose electric motor (subtype I) or 

general purpose electric motor (subtype II). 

For example, as to locked rotor torque, MG1 

specifies performance values for Design A, B, 

or C motors of a given speed and horsepower. 

A motor that does not meet the locked rotor 

torque requirements for Design A, B, or C is 

not a general purpose electric motor (subtype 

I) or general purpose electric motor (subtype 

II) covered under EPCA. 

C. Size 

Motors designed for use on a particular 

type of application which are in a frame size 

that is one or more frame series larger than 

the frame size assigned to that rating in 

NEMA Standards Publication MG1–2009 Part 

13, ‘‘Frame Assignments for Alternating 

Current Integral Horsepower Induction 

Motors,’’ are not, in the Department’s view, 

usable in most general purpose applications. 

This is due to the physical size increase 

associated with a frame series change. A 

frame series is defined by the first two digits 

of the frame size designation, and is a 

measure of the distance between the 

centerline of the shaft and the bottom of the 

mounting feet. For example, 324T and 326T 

are both in the same frame series, while 364T 

is in the next larger frame series. Hence, in 

the Department’s view, a motor that is of a 

larger frame series than normally assigned to 

that standard rating of motor would not be 

usable in most general purpose applications, 

and therefore is not covered by EPCA’s 

definitions of general purpose electric motors 

(Subtype I) and general purpose electric 

motors (Subtype II). A physically larger 

motor within the same frame series would be 

covered, however, because it would be usable 

in most general purpose applications. 

Motors built in a T-frame series or a Tframe size smaller than that assigned by 

MG1–2009, or motors built in a U-frame 

series or a U-frame size smaller than that 

assigned by MG1–2009, are also considered 

usable in most general purpose applications. 

This is because simple modifications can 

generally be made to fit a smaller motor in 

place of a motor with a larger frame size 

assigned in conformity with NEMA MG1. 

Therefore, DOE believes that such smaller 

motors are covered by EPCA. 

D. Motors With Seals 

Some electric motors have seals to prevent 

ingress of water, dust, oil, and other foreign 

materials into the motor. DOE understands 

that, typically, a manufacturer will add seals 

to a motor that it manufactures, so that it will 

sell two motors that are identical except that 

one has seals and the other does not. In such 

a situation, if the motor without seals is 

covered by EPCA’s energy conservation 

standards, then the motor with seals will also 

be covered because it can still be used in 

most general purpose applications. DOE 

understands, however, that manufacturers 

previously believed motors with seals were 

not covered under EPCA, in part because 

IEEE Standard 112, ‘‘Test Procedure for 

Polyphase Induction Motors and Generators,’’ 

prescribed by EPCA, does not address how to 

test a motor with seals installed. 

The efficiency rating of such a motor, if 

determined with seals installed and when the 

motor is new, apparently would significantly 

understate the efficiency of the motor as 

operated. New seals are stiff, and provide 

friction that is absent after their initial breakin period. DOE understands that, after this 

initial period, the efficiency ratings 

determined for the same motor with and 

without seals would be virtually identical. To 

construe EPCA, therefore, as requiring such 

separate efficiency determinations would 

impose an unnecessary burden on 

manufacturers. 

In light of the foregoing, the Department 

believes that EPCA generally permits the 

efficiency of a motor with seals to be 

determined without the seals installed. 

Furthermore, notwithstanding the prior belief 

that such motors are not covered by EPCA, 

use of this approach to determining 

efficiency will enable manufacturers to meet 

EPCA’s standards with respect to covered 

motors with seals. 

III. Discussion of How DOE Would Apply 

EPCA Definitions, Using the Foregoing 

Guidelines 

Using the foregoing guidelines, the 

attached matrix provides DOE’s view as to 

which motors with common features are 

covered by EPCA’s definitions of ‘‘general 

purpose electric motor (subtype I)’’ and 

‘‘general purpose electric motor (subtype II).’’ 

Because manufacturers produce many basic 

models that have many modifications of 

generic general purpose motors, the 

Department does not represent that the 

matrix is all-inclusive. Rather it is a set of 

examples demonstrating how DOE would 

apply EPCA definitions, as construed by the 

above guidelines, to various motor types. The 

matrix classifies motors into five categories, 

which are discussed in the following 

passages. 

Category I—General Purpose Electric Motors 

(Subtype I) and (Subtype II) 

Category I consists of general purpose 

electric motors (subtype I) and general 

purpose electric motors (subtype II). 

The Department understands that some 

motors essentially are relatively simple 

modifications of generic general purpose 

electric motors (subtype I) or (subtype II). 

Modifications could consist, for example, of 

minor changes such as the addition of 

temperature sensors or a heater, the addition 

of a shaft extension and a brake disk from a 

kit, or changes in exterior features such as the 

motor housing. Such motors can still be used 

for most general purpose applications, and 


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4 IP refers to the IEC Standard 34–5: Classification 

of degrees of protection provided by enclosures for 

rotating machines. IC refers to the IEC Standard 34– 

6: Methods of cooling rotating machinery. The IP 

and IC codes are referenced in the NEMA 

designations for TENV and TEAO motors in MG1– 

2009 Part 1, ‘‘Classification According to 

Environmental Protection and Methods of Cooling,’’ 

as a Suggested Standard for Future Design, since the 

TENV and TEAO motors conform to IEC Standards. 

Details of protection (IP) and methods of cooling 

(IC) are defined in MG1 Part 5 and Part 6, 

respectively. 

the modifications have little or no effect on 

motor performance. Nor do the modifications 

affect energy efficiency. 

Category II—Specific Purpose Electric Motors 

That Can Be Used in Most General Purpose 

Applications 

Category II motors are essentially 

modifications of generic general purpose 

motors for use on a particular type of 

application. These specific purpose Category 

II motors have been considered ‘‘definitepurpose’’ motors in common industry 

parlance, but are covered as general purpose 

electric motors (subtype I or II) under EPCA 

because they can be used in most general 

purpose applications. Category II motors are 

often electric motors with horsepower ratings 

that fall between the horsepower ratings in 

Section 342(b) of EPCA, thermally protected 

motors, and motors with roller bearings. 

Categories III, IV and V—Definite Purpose 

Motors, Special Purpose Motors, and Motors 

Outside the Scope of ‘‘General Purpose 

Electric Motor (Subtype I)’’ and ‘‘General 

Purpose Electric Motor (Subtype II)’’ 

Category III consists of ‘‘definite purpose 

motors’’ as defined in EPCA and 10 CFR 

431.12. Section 6311(13)(C) of EPCA, as 

amended by EISA 2007, defines the term 

‘‘definite purpose motor’’ as ‘‘any motor 

designed in standard ratings with standard 

operating characteristics or standard 

mechanical construction for use under 

service conditions other than usual or for use 

on a particular type of application and which 

cannot be used in most general purpose 

applications.’’ EPCA does not prescribe 

standards and test procedures for ‘‘definite 

purpose motors.’’ 

Category IV consists of ‘‘special purpose 

motors’’ as defined in EPCA and 10 CFR 

431.12. Section 6311(13)(D) of EPCA, as 

amended by EISA 2007, defines the term 

‘‘special purpose motor’’ as ‘‘any motor, other 

than a general purpose motor or definite 

purpose motor, which has special operating 

characteristics or special mechanical 

construction, or both, designed for a 

particular application.’’ EPCA does not 

prescribe standards and test procedures for 

‘‘special purpose motors.’’ 

Category V consists of electric motors 

outside the scope of ‘‘general purpose electric 

motor (subtype I)’’ and ‘‘general purpose 

electric motor (subtype II)’’ as defined in 

EPCA and 10 CFR 431.12. 

Totally Enclosed Nonventilated (TENV) and 

Totally Enclosed Air-Over (TEAO) Motors 

A motor designated in NEMA MG1–2009, 

paragraph MG1–1.26.1, as ‘‘totally enclosed 

non-ventilated (IC410)’’ 4 is ‘‘a frame-surface 

cooled totally enclosed machine which is 

only equipped for cooling by free 

convection.’’ This means that the motor, 

when properly applied, does not require the 

use of any additional means of cooling 

installed external to the motor enclosure. The 

TENV motor is cooled by natural conduction 

and natural convection of the motor heat into 

the surrounding environment. The general 

requirement for the installation of the TENV 

motor is that it not be placed in a restricted 

space that would inhibit this natural 

dissipation of the motor heat. Most general 

purpose applications use motors which 

include a means for forcing air flow through 

or around the motor and usually through the 

enclosed space and, therefore, can be used in 

spaces that are more restrictive than those 

required for TENV motors. Placing a TENV 

motor in such common restricted areas is 

likely to cause the motor to overheat. The 

TENV motor may also be larger than the 

motors used in most general purpose 

applications, and would take up more of the 

available space, thus reducing the size of the 

open area surrounding the motor. Installation 

of a TENV motor might require, therefore, an 

additional means of ventilation to 

continually exchange the ambient around the 

motor. 

A motor designated in NEMA MG1–2009, 

paragraph 1.26.9, as ‘‘totally-enclosed airover (IP54, IC417)’’ is a totally enclosed 

frame-surface cooled machine intended for 

exterior cooling by a ventilating means 

external to the machine.’’ That is, a TEAO 

motor has a cooling mechanism that is 

separate and independent from the motor, 

such as a fan. The motor must be provided 

with the additional ventilation to prevent it 

from overheating. 

Consequently, neither the TENV motor nor 

the TEAO motor would be suitable for most 

general purpose applications, and, the 

Department considers these motors as 

‘‘definite purpose motors.’’ 

Integral Gearmotors 

An ‘‘integral gearmotor’’ is an assembly of 

a motor and a specific gear drive or assembly 

of gears, such as a gear reducer, as a unified 

package. The motor portion of an integral 

gearmotor is not necessarily a complete 

motor, since the end bracket or mounting 

flange of the motor portion is also part of the 

gear assembly and cannot be operated when 

separated from the complete gear assembly. 

Typically, an integral gearmotor is not 

manufactured to standard T-frame 

dimensions specified in NEMA MG1, or 

standard U-frame dimensions. Moreover, 

neither the motor portion nor the entire 

integral gearmotor, are capable of being used 

in most general purpose applications without 

significant modifications. An integral 

gearmotor is also designed for a specific 

purpose and can have unique performance 

characteristics, physical dimensions, and 

casing, flange and shafting configurations. 

Consequently, DOE considers integral 

gearmotors to be outside the scope of ‘‘general 

purpose electric motor (subtype I)’’ or 

‘‘general purpose electric motor (subtype II).’’ 

However, an electric motor which is 

connected to a stand-alone mechanical gear 

drive or an assembly of gears, such as a gear 

reducer connected by direct coupling, belts, 

bolts, a kit, or other means, is covered 

equipment under the definitions of ‘‘general 

purpose electric motor (subtype I)’’ or 

‘‘general purpose electric motor (subtype II).’’ 

Shafts 

1. Shaft diameter—The shaft diameter is 

designated in NEMA MG1 by the identifier 

‘‘U’’ and in IEC 60072–1 by the identifier ‘‘H.’’ 

The strength of a shaft is dependent on the 

diameter of the shaft. If the diameter of a 

shaft is smaller than the standard diameter, 

the shaft may not be of sufficient strength 

required for general purpose belted and 

overhung loads. If the diameter of a shaft is 

bigger than the standard diameter, it may not 

be possible to install a coupling or pulley 

with an inside diameter of sufficient size to 

accommodate the oversized shaft and 

provide sufficient remaining material of 

sufficient strength required for general 

purpose applications. 

The Department believes that couplings 

and pulleys appropriate for a given 

horsepower rating in the standard (NEMA or 

IEC) frame number series should be available 

to fit shaft diameters which are as large as the 

standard diameter for the next higher frame 

number series or as small as the standard 

diameter for the next lower frame number 

series. A motor otherwise considered to be a 

‘‘general purpose electric motor (subtype I)’’ 

or ‘‘general purpose electric motor (subtype 

II),’’ but with a shaft diameter within the 

range bounded by the standard diameters for 

the next lower and next higher frame number 

series, is considered to be a ‘‘general purpose 

electric motor (subtype I)’’ or ‘‘general 

purpose electric motor (subtype II).’’ For the 

purpose of providing the requested guidance, 

the Department does not consider a motor 

with a shaft diameter smaller than that of the 

next lower frame number series or larger than 

that of the next higher frame number series 

to be a ‘‘general purpose electric motor 

(subtype I)’’ or ‘‘general purpose electric 

motor (subtype II).’’ 

2. Shaft length—The useable shaft length is 

designated in NEMA MG1 by the identifier 

‘‘N–W’’ and in IEC 60072–1 by the identifier 

‘‘E.’’ A shaft length different from the 

standard dimensions would require a change 

in the overall space required for the motor 

and a change in the position in which the 

motor could be mounted compared to a 

motor having a shaft of standard length. A 

motor with a shaft of shorter length should 

fit within the space of a motor having a shaft 

of standard length, although the mounting 

base may have to be modified to 

accommodate the change in the position of 

the mounting holes in the base of the motor. 

However, it is possible that the shaft may be 

too short to accommodate the size of a 

coupling or pulley required for the load in 

many general purpose applications. The 

Department believes that appropriate 

couplings or pulleys are available for shafts 

with a length not shorter than 50 percent of 

the standard length. A motor with a shaft of 

longer length would not fit within the space 

of a motor having a shaft of standard length 

and the location of some of the mounting 

holes in the base of the motor may be beyond 

the mounting base for the motor. The end of 


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the motor with a longer shaft length may also 

extend beyond the equipment where it could 

possibly present some concerns should 

persons or other equipment unintentionally 

come in contact with the motor. Objects in 

closer proximity of the non-drive end of the 

motor with the longer shaft length may 

interfere with the cooling of the motor. The 

Department believes that there is some 

additional space available in most general 

purpose applications to accommodate a shaft 

somewhat longer than standard length, but 

that accommodating for increased length may 

be more difficult than accommodating for 

shorter length. The Department believes that 

an increase of 25 percent in standard shaft is 

acceptable in most general purpose 

applications. For the purpose of providing 

the requested guidance, a motor with shaft 

length between 0.5 to 1.25 times the standard 

length for the appropriate NEMA MG1 or IEC 

standard does not preclude the motor from 

being considered ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ A motor with a 

shaft length outside of that range is not 

considered to be a ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ 

3. Shoulder location—The distance from 

the centerline of the mounting hole in the 

nearest foot to the shoulder on the drive end 

shaft is designated in NEMA MG1 by the 

identifier ‘‘BA’’ and in IEC 60072–1 by the 

identifier ‘‘C.’’ The location of the shoulder 

limits the position at which the coupling, 

pulley, or load can be installed. The ‘‘BA’’ or 

‘‘C’’ dimension is separate from that of the 

useable shaft length ‘‘N–W’’ or ‘‘E.’’ The two 

values combined define the distance from the 

centerline of the mounting hole in the nearest 

foot to the end of the shaft. A change in the 

‘‘BA’’ or ‘‘C’’ dimension can then result in 

introducing installation problems similar to 

those resulting from a change in the ‘‘N–W’’ 

or ‘‘E’’ dimension. A decrease in the ‘‘BA’’ or 

‘‘C’’ dimension may require modifying the 

mounting base to accommodate the shorter 

distance between the mounting holes and the 

end of the shaft, but there should be no 

problem installing the appropriate coupling 

or pulley for most general purpose 

applications. As in the case of the ‘‘N–W’’ or 

‘‘E’’ dimension, a significant increase in the 

‘‘BA’’ or ‘‘C’’ dimension could make it difficult 

to install the motor in most general purpose 

applications or could introduce concerns of 

safety. For the purpose of providing the 

requested guidance, an increase in the ‘‘BA’’ 

or ‘‘C’’ dimension up to 0.25 times the 

standard useable shaft length dimension ‘‘N– 

W’’ or ‘‘E’’ does not preclude the motor from 

being considered a ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ The Department 

does not consider a motor with an increase 

in the ‘‘BA’’ or ‘‘C’’ dimension greater than 

0.25 times that of the ‘‘N–W’’ or ‘‘E’’ 

dimension to be a ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ 

4. Special design—The standard 

dimensions in NEMA MG–1 are for smooth 

shafts with or without keyways. Such shafts 

are used with pulleys and couplings 

commonly found in most general purpose 

applications. The shaft may be straight or 

tapered. Other shaft designs are provided for 

particular applications. The Department has 

examined the issue of special shafts with 

respect to whether or not both a pulley and 

a coupling could be separately installed on 

the special shaft. An example of one common 

modification of the shaft design is to include 

a flat section in place of the keyway for the 

purpose of securing a coupling, pulley, or 

driven equipment on the shaft. It is the 

Department’s belief that such a modification 

would not make it difficult to use the motor 

in most general purpose applications and 

would not remove the motor from being 

considered a ‘‘general purpose electric 

motor.’’ Some special purpose or definite 

purpose applications require that the shaft 

have a threaded section, for securing the 

connection to the driven equipment in place. 

A threaded section on the outside of the shaft 

surface inhibits the proper installation of a 

pulley or coupling. DOE considers motors 

with such threaded shafts to be ‘‘definite 

purpose’’ or ‘‘special purpose’’ motors. 

However, a threaded hole in the shaft should 

not interfere with the installation of a pulley 

or coupling and DOE does not consider this 

to be a design which exempts the motor from 

being classified as a ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ As another 

example, motors with stepped shafts, 

consisting of lengths of differing diameter 

over the useable length of the shaft, make it 

difficult to properly install a pulley or 

coupling for general purpose applications. 

DOE considers motors with a stepped shaft 

are considered to be ‘‘definite purpose’’ or 

‘‘special purpose’’ motors. The Department 

recognizes that the aforementioned designs 

are just a few examples of special shaft 

designs and that it is not possible to cover 

all possible variations of shaft design in this 

guidance. Rather, the Department offers the 

guidance that if both a properly sized pulley 

and properly sized coupling can be installed 

on a non-standard shaft at minimal cost, then 

the motor is not precluded from being 

considered to be a ‘‘general purpose electric 

motor (subtype I)’’ or ‘‘general purpose 

electric motor (subtype II).’’ 

IV. Further Information 

The Department has incorporated this 

Policy Statement into appendix A to subpart 

B of Title 10 of the Code of Federal 

Regulations, Part 431, to provide guidance as 

to the Department’s interpretation of EPCA, 

as amended. Any comments or suggestions 

with respect to this Policy Statement, as well 

as requests for further information, should be 

addressed to the Program Manager, Building 

Technologies, EE–2J, U.S. Department of 

Energy, Forrestal Building, 1000 

Independence Avenue, SW., Washington, DC 

20585–0121. 

EXAMPLES OF MANY COMMON FEATURES OR MOTOR MODIFICATIONS TO ILLUSTRATE HOW THE EPCA DEFINITIONS AND

DOE GUIDELINES WOULD BE APPLIED TO EPCA MOTOR CATEGORIES: GENERAL PURPOSE ELECTRIC MOTOR

SUBTYPE I) AND GENERAL PURPOSE ELECTRIC MOTOR (SUBTYPE II); DEFINITE PURPOSE; AND SPECIAL PURPOSE

Motor modification 

Category 1

Explanation 

I II III IV V 

A. Electrical Modifications: 

1. Altitude ................................................. X ........ ........ ........ ........ General purpose up to a frame series change larger. 

2. Ambient ............................................... X ........ ........ ........ ........ General purpose up to a frame series change larger. 

3. Multispeed ........................................... ........ ........ ........ ........ X General Purpose Electric Motors (Subtype I) and (Subtype 

II) apply to single speed only. 

4. Special Leads ...................................... X 

5. Special Insulation ................................ X 

6. Encapsulation ...................................... ........ ........ ........ X ........ Due to special construction. 

7. High Service Factor ............................. X ........ ........ ........ ........ General purpose up to a frame series change larger. 

8. Space Heaters ..................................... X 

9. Wye Delta Start ................................... X 

10. Part Winding Start ............................. X 

11. Temperature Rise .............................. X ........ ........ ........ ........ General purpose up to a frame series change larger. 

12. Thermally Protected .......................... ........ X ........ ........ ........ Requires retesting and third party agency approval. 

13. Thermostat/Thermistor ...................... X 

14. Special Voltages ................................ X ........ ........ ........ ........ EPCA applies to motors operating on voltages less than 

600 volts at 60 Hertz. 

15. Intermediate Horsepowers ................ ........ X ........ ........ ........ Round horsepower according to 10 CFR 431.42 for efficiency. 


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EXAMPLES OF MANY COMMON FEATURES OR MOTOR MODIFICATIONS TO ILLUSTRATE HOW THE EPCA DEFINITIONS AND

DOE GUIDELINES WOULD BE APPLIED TO EPCA MOTOR CATEGORIES: GENERAL PURPOSE ELECTRIC MOTOR

SUBTYPE I) AND GENERAL PURPOSE ELECTRIC MOTOR (SUBTYPE II); DEFINITE PURPOSE; AND SPECIAL PURPOSE— 

Continued 

Motor modification 

Category 1

Explanation 

I II III IV V 

16. Frequency .......................................... ........ ........ ........ ........ X EPCA applies to motors operating on voltages less than 

600 volts at 60 Hertz. 

17. Fungus/Trop Insulation ...................... X 

B. Mechanical Modifications: 

18. Special Balance ................................. X 

19. Bearing Temp. Detector .................... X 

20. Special Base/Feet ............................. ........ ........ ........ ........ X Does not meet definition of T-frame or U-frame. 

21. Special Conduit Box .......................... X 

22. Auxiliary Conduit Box ........................ X 

23. Special Paint/Coating ........................ X 

24. Drains ................................................ X 

25. Drip Cover ......................................... X 

26. Ground. Lug/Hole .............................. X 

27. Screens on ODP Enclosure .............. X 

28. Mounting F1, F2; W1–4; C1, 2 ......... X ........ ........ ........ ........ Foot-mounting, rigid base, and resilient base. 

C. Bearings: 

29. Bearing Caps ..................................... X 

30. Roller Bearings .................................. ........ X ........ ........ ........ Test with a standard bearing. 

31. Shielded Bearings ............................. X 

32. Sealed Bearings ................................ X ........ ........ ........ ........ Test with a standard bearing. 

33. Thrust Bearings ................................. ........ ........ ........ X ........ Special mechanical construction. 

34. Clamped Bearings ............................. X 

35. Sleeve Bearings ................................ ........ ........ ........ X ........ Special mechanical construction. 

D. Special Endshields: 

36. C Face ............................................... X ........ ........ ........ ........ As defined in NEMA MG1. 

37. D Flange ............................................ X ........ ........ ........ ........ As defined in NEMA MG1. 

38. Customer Defined ............................. ........ ........ ........ X ........ Special design for a particular application.

E. Seals: 

39. Contact Seals .................................... X ........ ........ ........ ........ Includes lip seals and taconite seals—test with seals removed. 

40. Non-Contact Seal .............................. X ........ ........ ........ ........ Includes labyrinth and slinger seals—test with seals installed. 

F. Shafts: 

41. Standard Shafts/NEMA MG1 ............ X ........ ........ ........ ........ Includes single and double, cylindrical, tapered, and short 

shafts. 

42. Non-Standard Shafts or Special 

Shafts.

X ........ ........ ........ ........ Shaft diameter bound by the standard diameters for the 

next lower and next higher frame number series. 

........ ........ ........ ........ X Shaft diameter smaller than that of the next lower frame 

number series or larger than that of the next higher frame 

number. 

X ........ ........ ........ ........ Shaft length from 0.5 to 1.25 times the standard length for 

the appropriate NEMA MG1 or IEC standard. 

........ ........ ........ ........ X Shaft length outside the range from 0.5 to 1.25 times the 

standard length for the appropriate NEMA MG1 or IEC 

standard. 

X ........ ........ ........ ........ Shaft shoulder location with an increase in the ‘‘BA’’ or ‘‘C’’ 

dimension up to 0.25 times that standard useable shaft 

length dimension ‘‘N–W’’ or ‘‘E’’. 

........ ........ ........ ........ X A motor with an increase in the ‘‘BA’’ or ‘‘C’’ dimension 

greater than 0.25 times that of the ‘‘N–W’’ or ‘‘E’’ dimension. 

X ........ ........ ........ ........ If both a properly sized pulley and properly sized coupling 

can be separately installed on a non-standard shaft without significantly changing the shaft extension or mounting 

configuration of the driven equipment. 

43. Non-Standard Material ...................... X 

G. Fans: 

44. Special Material ................................. X 

45. Quiet Design ...................................... X 

H. Other Motors: 

46. Washdown ......................................... X ........ ........ ........ ........ Test with seals removed. 

47. Close-coupled pump ......................... X ........ ........ ........ ........ JM and JP frame assignments. 

48. Integral Gear Motor ........................... ........ ........ ........ ........ X Typically special mechanical design, and not a T-frame or 

U-frame; motor and gearbox inseparable and operate as 

one system. 

49. Vertical solid shaft normal thrust ....... X 

50. Saw Arbor .......................................... ........ ........ ........ X ........ Special electrical/mechanical design. 


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EXAMPLES OF MANY COMMON FEATURES OR MOTOR MODIFICATIONS TO ILLUSTRATE HOW THE EPCA DEFINITIONS AND

DOE GUIDELINES WOULD BE APPLIED TO EPCA MOTOR CATEGORIES: GENERAL PURPOSE ELECTRIC MOTOR

SUBTYPE I) AND GENERAL PURPOSE ELECTRIC MOTOR (SUBTYPE II); DEFINITE PURPOSE; AND SPECIAL PURPOSE— 

Continued 

Motor modification 

Category 1

Explanation 

I II III IV V 

51. TENV ................................................. ........ ........ X ........ ........ Totally-enclosed non-ventilated; not equipped for cooling 

(IP54, IC410). 

52. TEAO ................................................. ........ ........ X ........ ........ Totally-enclosed air-over; requires airflow from external 

source (IP54, IC417). 

53. Fire Pump .......................................... X ........ ........ ........ ........ When safety certification is not required. See also EPCA 

§ 342(b)(1). 

54. Non-continuous ................................. ........ ........ ........ ........ X EPCA covers only continuous ratings as general purpose 

electric motor (subtype I) and (subtype II). 

55. Integral Brake Motor .......................... ........ ........ ........ X ........ Integral brake design factory built within the motor. 

1 Category I—General purpose electric motors (subtype I) or (subtype II) as defined in EPCA. 

Category II—Specific purpose electric motors that can be used in most general purpose applications. 

Category III—Definite purpose motors as defined in EPCA. 

Category IV—Special purpose motors as defined in EPCA. 

Category V—Outside the scope of General purpose electric motors (subtype I) or (subtype II) as defined in EPCA. 

12. Appendix B to subpart B of part 

431 is revised to read as follows: 

Appendix B to Subpart B of Part 431— 

Uniform Test Method for Measuring 

Nominal Full Load Efficiency of 

Electric Motors 

1. Definitions 

Definitions contained in §§ 431.2 and 

431.12 are applicable to this appendix. 

2. Test Procedures 

Efficiency and losses shall be determined 

in accordance with NEMA MG1–2009, 

paragraph 12.58.1, ‘‘Determination of Motor 

Efficiency and Losses,’’ (incorporated by 

reference, see § 431.15) and either: 

(1) CSA Standard C390–10 (incorporated 

by reference, see § 431.15), or 

(2) IEEE Standard 112–2004 Test Method 

B, Input-Output With Loss Segregation, 

(incorporated by reference, see § 431.15). 

3. Amendments to Test Procedures 

Any revision to IEEE Standard 112–2004 

Test Method B, to NEMA Standards 

Publication MG1–2009, or to CSA Standard 

C390–10 (incorporated by reference, see 

§ 431.15) subsequent to promulgation of this 

appendix B, shall not be effective for 

purposes of test procedures required under 

Part 431 and this appendix B, unless and 

until Part 431 and this appendix B are 

amended. 

13. Section 431.441 is revised to read 

as follows: 

§ 431.441 Purpose and scope. 

This subpart contains definitions, test 

procedures, and energy conservation 

requirements for small electric motors, 

pursuant to Part A–1 of Title III of the 

Energy Policy and Conservation Act, as 

amended, 42 U.S.C. 6311–6317. This 

subpart does not cover ‘‘electric motors,’’ 

which are addressed in subpart B of this 

part. 

14. In § 431.443, revise paragraphs 

(b)(1), (c)(1), and (c)(2), and add a new 

paragraph (b)(2) to read as follows: 

§ 431.443 Materials incorporated by 

reference. 

* * * * * 

(b) * * * 

(1) CAN/CSA–C747–09 (‘‘CAN/CSA– 

C747’’), Energy efficiency test methods 

for small motors, October 1, 2009, IBR 

approved for §§ 431.444; 431.447. 

(2) CSA C390–10, Test methods, 

marking requirements, and energy 

efficiency levels for three-phase 

induction motors, March 22, 2010, IBR 

approved for §§ 431.444; 431.447. 

(c) * * * 

(1) IEEE Standard 112–2004, (‘‘IEEE 

Std 112’’), Test Procedure for Polyphase 

Induction Motors and Generators, Test 

Method A, Input-Output, and Test 

Method B, Input-Output with Loss 

Segregation, 4 November 2004, IBR 

approved for §§ 431.444; 431.447. 

(2) IEEE Standard 114–2001, (‘‘IEEE 

Std 114’’), Test Procedure for SinglePhase Induction Motors, 6 December 

2001, IBR approved for §§ 431.444; 

431.447. 

15. In § 431.444, paragraph (b) is 

revised to read as follows: 

§ 431.444 Test procedures for the 

measurement of energy efficiency. 

* * * * * 

(b) Testing and Calculations. 

Determine the energy efficiency and 

losses by using one of the following test 

methods: 

(1) Single-phase small electric motors: 

Either IEEE 114–2001, (incorporated by 

reference, see § 431.443), or CAN/CSA 

C747, (incorporated by reference, see 

§ 431.443); 

(2) Polyphase small electric motors 

less than or equal to 1 horsepower (0.75 

kW): Either IEEE 112–2004 Test Method 

A, (incorporated by reference, see 

§ 431.443), or CAN/CSA C747, 

(incorporated by reference, see 

§ 431.443); or 

(3) Polyphase small electric motors 

greater than 1 horsepower (0.75 kW): 

Either IEEE 112–2004 Test Method, 

(incorporated by reference, see 

§ 431.443), or CSA C390–10 

(incorporated by reference, see 

§ 431.443). 

16. In § 431.445, paragraph (b)(5) is 

added and paragraph (c) is revised to 

read as follows: 

§ 431.445 Determination of small electric 

motor efficiency. 

* * * * * 

(b) * * * 

(5) Use of a certification program. (i) 

A manufacturer may have a certification 

program, that DOE has classified as 

nationally recognized under § 431.447, 

certify the average full load efficiency of 

a basic model of small electric motor, 

and issue a certificate of conformity for 

the small motor. 

(ii) For each basic model for which a 

certification program is not used as 

described in paragraph (b)(5)(i) of this 

section, any testing of a motor to 

determine its energy efficiency must be 

carried out in accordance with 

paragraphs (b) and (c) of this section. 

(This includes testing of the basic 

model, pursuant to paragraph (b)(3)(i) of 

this section, to substantiate an AEDM.) 

(c) Additional testing requirements 

applicable when a certification program 

is not used—(1) Selection of basic 

models for testing. (i) Basic models must 

be selected for testing in accordance 

with the following criteria: 


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(A) Two of the basic models must be 

among the five basic models that 

comply with § 431.446 and have the 

highest unit volumes of production by 

the manufacturer in the prior year, or 

during the prior 12 calendar month 

period beginning in 2015, whichever is 

later; 

(B) The basic models should be of 

different horsepowers without 

duplication; 

(C) The basic models should be of 

different frame number series without 

duplication; and 

(D) Each basic model should be 

expected to have the lowest average full 

load efficiency among the basic models 

with the same rating (‘‘rating’’ as used 

here has the same meaning as it has in 

the definition of ‘‘basic model’’). 

(ii) In any instance where it is 

impossible for a manufacturer to select 

basic models for testing in accordance 

with all of these criteria, the criteria 

shall be given priority in the order in 

which they are listed. Within the limits 

imposed by the criteria, basic models 

shall be selected randomly. 

(2) Selection of units for testing within 

a basic model. For each basic model 

selected for testing, a sample of units 

shall be selected at random and tested. 

The sample shall be comprised of 

production units of the basic model, or 

units that are representative of such 

production units. The sample size shall 

be no fewer than five units, except when 

fewer than five units of a basic model 

would be produced over a reasonable 

period of time (approximately 180 

days), then each unit shall be tested. 

When selecting a basic model for 

testing, components of similar design 

may be substituted without requiring 

additional testing if the represented 

measures of energy consumption satisfy 

the applicable sampling provision. 

(3) Applying results of testing. In a test 

of compliance with a represented 

average efficiency: 

The average full load efficiency of the 

sample X, which is defined by 

where Xi is the measured full load efficiency 

of unit i and n is the number of units 

tested, shall satisfy the condition: 

where RE is the represented average full load 

efficiency. 

17. A new § 431.447 is added to read 

as follows: 

§ 431.447 Department of Energy 

recognition of nationally recognized 

certification programs. 

(a) Petition. For a certification 

program to be classified by the 

Department of Energy as being 

nationally recognized in the United 

States for the purposes of Section 345(c) 

of EPCA (‘‘nationally recognized’’), the 

organization operating the program 

must submit a petition to the 

Department requesting such 

classification, in accordance with 

paragraph (c) of this section and 

§ 431.448. The petition must 

demonstrate that the program meets the 

criteria in paragraph (b) of this section. 

(b) Evaluation criteria. For a 

certification program to be classified by 

the Department as nationally 

recognized, it must meet the following 

criteria: 

(1) It must have satisfactory standards 

and procedures for conducting and 

administering a certification system, 

including periodic follow up activities 

to assure that basic models of small 

electric motors continue to conform to 

the efficiency levels for which they were 

certified, and for granting a certificate of 

conformity. 

(2) It must be independent of small 

electric motor manufacturers, importers, 

distributors, private labelers or vendors. 

It cannot be affiliated with, have 

financial ties with, be controlled by, or 

be under common control with any such 

entity. 

(3) It must be qualified to operate a 

certification system in a highly 

competent manner. 

(4) It must be expert in the content 

and application of the test procedures 

and methodologies in IEEE Standard 

112–2004 Test Methods A and B, IEEE 

Standard 114–2001, CSA Standard 

C390–10, and CAN/CSA Standard 

C747–09 (incorporated by reference, see 

§ 431.443) or similar procedures and 

methodologies for determining the 

energy efficiency of small electric 

motors. It must have satisfactory criteria 

and procedures for the selection and 

sampling of electric motors tested for 

energy efficiency. 

(c) Petition format. Each petition 

requesting classification as a nationally 

recognized certification program must 

contain a narrative statement as to why 

the program meets the criteria listed in 

paragraph (b) of this section, must be 

signed on behalf of the organization 

operating the program by an authorized 

representative, and must be 

accompanied by documentation that 

supports the narrative statement. The 

following provides additional guidance 

as to the specific criteria: 

(1) Standards and procedures. A copy 

of the standards and procedures for 

operating a certification system and for 

granting a certificate of conformity 

should accompany the petition. 

(2) Independent status. The 

petitioning organization should identify 

and describe any relationship, direct or 

indirect, that it or the certification 

program has with an electric motor 

manufacturer, importer, distributor, 

private labeler, vendor, trade association 

or other such entity, as well as any other 

relationship it believes might appear to 

create a conflict of interest for the 

certification program in operating a 

certification system for compliance by 

small electric motors with energy 

efficiency standards. It should explain 

why it believes such relationship would 

not compromise its independence in 

operating a certification program. 

(3) Qualifications to operate a 

certification system. Experience in 

operating a certification system should 

be discussed and substantiated by 

supporting documents. Of particular 

relevance would be documentary 

evidence that establishes experience in 

the application of guidelines contained 

in the ISO/IEC Guide 65, General 

requirements for bodies operating 

product certification systems, ISO/IEC 

Guide 27, Guidelines for corrective 

action to be taken by a certification 

body in the event of either 

misapplication of its mark of conformity 

to a product, or products which bear the 

mark of the certification body being 

found to subject persons or property to 

risk, and ISO/IEC Guide 28, General 

rules for a model third-party 

certification system for products, as well 

as experience in overseeing compliance 

with the guidelines contained in the 

ISO/IEC Guide 25, General requirements 

for the competence of calibration and 

testing laboratories. 

(4) Expertise in small electric motor 

test procedures. The petition should set 

forth the program’s experience with the 

test procedures and methodologies in 

IEEE Standard 112–2004 Test Methods 

A and B, IEEE Standard 114–2001, CSA 

Standard C390–10, and CAN/CSA 

Standard C747–2009 (incorporated by 

reference, see § 431.443) and with 

similar procedures and methodologies. 

This part of the petition should include 

description of prior projects, 

qualifications of staff members, and the 

like. Of particular relevance would be 

documentary evidence that establishes 

experience in applying guidelines 

contained in the ISO/IEC Guide 25, 

General requirements for the 

competence of calibration and testing 

laboratories, to energy efficiency testing 

for small electric motors. 


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(d) Disposition. The Department will 

evaluate the petition in accordance with 

§ 431.448, and will determine whether 

the applicant meets the criteria in 

paragraph (b) of this section for 

classification as a nationally recognized 

certification program. 

18. A new § 431.448 is added to read 

as follows: 

§ 431.448 Procedures for recognition and 

withdrawal of recognition of certification 

programs. 

(a) Filing of petition. Any petition 

submitted to the Department pursuant 

to § 431.447(a), shall be entitled 

‘‘Petition for Recognition’’ (‘‘Petition’’) 

and must be submitted, in triplicate to 

the Assistant Secretary for Energy 

Efficiency and Renewable Energy, U.S. 

Department of Energy, Forrestal 

Building, 1000 Independence Avenue, 

SW., Washington, DC 20585–0121. In 

accordance with the provisions set forth 

in 10 CFR 1004.11, any request for 

confidential treatment of any 

information contained in such a Petition 

or in supporting documentation must be 

accompanied by a copy of the Petition 

or supporting documentation from 

which the information claimed to be 

confidential has been deleted. 

(b) Public notice and solicitation of 

comments. DOE shall publish in the 

Federal Register the Petition from 

which confidential information, as 

determined by DOE, has been deleted in 

accordance with 10 CFR 1004.11 and 

shall solicit comments, data and 

information on whether the Petition 

should be granted. The Department 

shall also make available for inspection 

and copying the Petition’s supporting 

documentation from which confidential 

information, as determined by DOE, has 

been deleted in accordance with 10 CFR 

1004.11. Any person submitting written 

comments to DOE with respect to a 

Petition shall also send a copy of such 

comments to the petitioner. 

(c) Responsive statement by the 

petitioner. A petitioner may, within 10 

working days of receipt of a copy of any 

comments submitted in accordance with 

paragraph (b) of this section, respond to 

such comments in a written statement 

submitted to the Assistant Secretary for 

Energy Efficiency and Renewable 

Energy. A petitioner may address more 

than one set of comments in a single 

responsive statement. 

(d) Public announcement of interim 

determination and solicitation of 

comments. The Assistant Secretary for 

Energy Efficiency and Renewable 

Energy shall issue an interim 

determination on the Petition as soon as 

is practicable following receipt and 

review of the Petition and other 

applicable documents, including, but 

not limited to, comments and responses 

to comments. The petitioner shall be 

notified in writing of the interim 

determination. DOE shall also publish 

in the Federal Register the interim 

determination and shall solicit 

comments, data and information with 

respect to that interim determination. 

Written comments and responsive 

statements may be submitted as 

provided in paragraphs (b) and (c) of 

this section. 

(e) Public announcement of final 

determination. The Assistant Secretary 

for Energy Efficiency and Renewable 

Energy shall as soon as practicable, 

following receipt and review of 

comments and responsive statements on 

the interim determination publish in the 

Federal Register a notice of final 

determination on the Petition. 

(f) Additional information. The 

Department may, at any time during the 

recognition process, request additional 

relevant information or conduct an 

investigation concerning the Petition. 

The Department’s determination on a 

Petition may be based solely on the 

Petition and supporting documents, or 

may also be based on such additional 

information as the Department deems 

appropriate. 

(g) Withdrawal of recognition—(1) 

Withdrawal by the Department. If the 

Department believes that a certification 

program that has been recognized under 

§ 431.447 is failing to meet the criteria 

of paragraph (b) of the section under 

which it is recognized, the Department 

will so advise such entity and request 

that it take appropriate corrective 

action. The Department will give the 

entity an opportunity to respond. If after 

receiving such response, or no response, 

the Department believes satisfactory 

correction has not been made, the 

Department will withdraw its 

recognition from that entity. 

(2) Voluntary withdrawal. A 

certification program may withdraw 

itself from recognition by the 

Department by advising the Department 

in writing of such withdrawal. It must 

also advise those that use it (for a 

certification organization, the 

manufacturers) of such withdrawal. 

(3) Notice of withdrawal of 

recognition. The Department will 

publish in the Federal Register a notice 

of any withdrawal of recognition that 

occurs pursuant to this paragraph (g). 

[FR Doc. 2010–33069 Filed 1–4–11; 8:45 am] 

BILLING CODE 6450–01–P 


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