59978 Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations

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.

2Section 342(b)(1) of EPCA recognizes that

EPCA’s efficiency standards cover ‘‘motors which

require listing or certification by a nationally

recognized safety testing laboratory.’’ This applies,

for example, to explosion-proof motors which are

otherwise general purpose motors.

3Terms followed by the parenthetical ‘‘IEC’’ are

referred to in the International Electrotechnical

Commission (IEC) Standard 34–1. Such terms are

included in DOE’s proposed definition of ‘‘electric

motor’’ because DOE believes EPCA’s efficiency

requirements apply to metric system motors that

conform to IEC Standard 34, and that are identical

or equivalent to motors constructed in accordance

with NEMA MG1 and covered by the statute.

DEPARTMENT OF ENERGY

Office of Energy Efficiency and

Renewable Energy

10 CFR Part 431

RIN 1904–AA82

Policies on Coverage and Enforcement

of Energy Efficiency Requirements for

Electric Motors

AGENCY: Office of Energy Efficiency and

Renewable Energy, Department of

Energy.

ACTION: Policy Statement.

SUMMARY: The Department of Energy is

publishing a statement of policy which

provides guidance concerning

compliance with provisions of the

Energy Policy and Conservation Act

(EPCA), as amended, which establishes

energy efficiency standards and test

procedures for certain commercial and

industrial electric motors.

DATES: Effective: September 17, 1997.

ADDRESSES: Any comments or

suggestions with respect to this policy

statement, as well as requests for further

information, should be addressed to the

Director, Office of Codes and Standards,

EE–43, U.S. Department of Energy, 1000

Independence Avenue, SW.,

Washington, DC 20585–0121.

FOR FURTHER INFORMATION CONTACT:

James Raba, U.S. Department of Energy,

Office of Energy Efficiency and

Renewable Energy, Mail Station EE–43,

1000 Independence Avenue, SW.,

Washington, DC 20585–0121, (202) 586-

8654.

SUPPLEMENTARY INFORMATION: The

following policy statement provides

guidance concerning compliance with

provisions of the Energy Policy and

Conservation Act (EPCA), as amended,

which establishes energy efficiency

standards and test procedures for

certain commercial and industrial

electric motors.

Section 340(13)(A) of EPCA defines

the term ‘‘electric motor,’’ and a rule

proposed by the Department of Energy

(Department) at 61 FR 60440, November

27, 1996, clarifies this definition.

Notwithstanding the definition in EPCA

and the proposed clarification, motor

manufacturers have expressed residual

uncertainty as to whether motors with

certain modifications are ‘‘electric

motors’’ covered under the statute.

Consequently, motor manufacturers

have requested that the Department

provide guidance as to which types of

motors are covered under EPCA. Motor

manufacturers have also expressed

concern about their ability to comply

with the statute by October 25, 1997, for

some such covered motors, and the

impact of compliance on manufacturers

of some equipment that incorporates

electric motors. Hence, they have

requested that the Department delay

enforcement of EPCA as to certain

motors.

The policy statement that follows

addresses these concerns. It is based

upon recommendations from motor

manufacturers, original equipment

manufacturers, energy efficiency

advocates, trade associations, testing

laboratories, and other government

officials, and provides such guidance.

Issued in Washington, DC, on September

17, 1997.

Joseph J. Romm,

Acting Assistant Secretary, Energy Efficiency

and Renewable Energy.

Policy Statement:

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.,

establishes energy efficiency standards

and test procedures for certain

commercial and industrial electric

motors manufactured (alone or as a

component of another piece of

equipment) after October 24, 1997, or, in

the case of an electric motor which

requires listing or certification by a

nationally recognized safety testing

laboratory, after October 24, 1999.1

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.

Section 340(13)(A) of EPCA defines

the term ‘‘electric motor’’ based

essentially on the construction and

rating system in the National Electrical

Manufacturers Association (NEMA)

Standards Publication MG1. Sections

340(13)(B) and (C) of EPCA define the

terms ‘‘definite purpose motor’’ and

‘‘special purpose motor,’’ respectively,

for which the statute prescribes no

efficiency standards.

In its proposed rule to implement the

EPCA provisions that apply to motors

(61 FR 60440, November 27, 1996), DOE

has proposed to clarify the statutory

definition of ‘‘electric motor,’’ to mean

a machine which converts electrical

power into rotational mechanical power

and which: (1) is a general purpose

motor, including motors with explosionproof construction;2 (2) is a single speed,

induction motor; (3) is rated for

continuous duty operation, or is rated

duty type S–1 (IEC),3 (4) contains a

squirrel-cage or cage (IEC) rotor; (5) has

foot-mounting, including foot-mounting

with flanges or detachable feet; (6) is

built in accordance with NEMA T-frame

dimensions, or IEC metric equivalents

(IEC); (7) has performance in accordance

with NEMA Design A or B

characteristics, or equivalent designs

such as IEC Design N (IEC); and (8)

operates on polyphase alternating

current 60-Hertz sinusoidal power, and

is (i) rated 230 volts or 460 volts, or

both, including any motor that is rated

at multi-voltages that include 230 volts

or 460 volts, or (ii) can be operated on

230 volts or 460 volts, or both.

Notwithstanding the clarification

provided in the proposed rule, there

still appears to be uncertainty as to

which motors EPCA covers. It is widely

understood that the statute covers

‘‘general purpose’’ motors that are

manufactured for a variety of

applications, and that meet EPCA’s

definition of ‘‘electric motor.’’ Many

modifications, however, can be made to

such generic motors. Motor

manufacturers have expressed concern

as to precisely which motors with such

modifications are covered under the

statute, and as to whether manufacturers

will be able to comply with the statute

by October 25, 1997 with respect to all

of these covered motors. Consequently,

motor manufacturers have requested

that the Department provide additional

guidance as to which types of motors

are ‘‘electric motors,’’ ‘‘definite purpose

motors,’’ and ‘‘special purpose motors’’

under EPCA. The policy statement that

follows is based upon input from motor

manufacturers and energy efficiency

advocates, and provides such guidance.
Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations 59979

4For 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.

5The 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, under the

test procedures prescribed by EPCA, motors are to

be tested at their rated values. 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 efficiency

requirements at its rated voltage(s) and frequency.

DOE also notes that when a motor is rated to

include a wider voltage range that includes 230/460

volts, the motor should meet the energy efficiency

requirements at 230 volts or 460 volts.

II. Guidelines for Determining Whether

a Motor is Covered by EPCA

A. General

EPCA specifies minimum nominal

full-load energy efficiency standards for

1 to 200 horsepower electric motors,

and, to measure compliance with those

standards, prescribes use of the test

procedures in NEMA Standard MG1 and

Institute of Electrical and Electronics

Engineers (IEEE) Standard 112. In DOE’s

view, as stated in Assistant Secretary

Ervin’s letter of May 9, 1996, to NEMA’s

Malcolm O’Hagan, until DOE’s

regulations become effective,

manufacturers can establish compliance

with these EPCA requirements through

use of competent and reliable

procedures or methods that give

reasonable assurance of such

compliance. So long as these criteria are

met, manufacturers may conduct

required testing in their own

laboratories or in independent

laboratories, and may employ

alternative correlation methods (in lieu

of actual testing) for some motors.

Manufacturers may also establish their

compliance with EPCA standards and

test procedures through use of third

party certification or verification

programs such as those recognized by

Natural Resources Canada. Labeling and

certification requirements will become

effective only after DOE has

promulgated a final rule prescribing

such requirements.

Motors with features or characteristics

that do not meet the statutory definition

of ‘‘electric motor’’ are not covered, and

therefore are not required to meet EPCA

requirements. Examples include motors

without feet and without provisions for

feet, and 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 use at

variable speeds. However, NEMA

Design A or B motors that are single

speed, meet all other criteria under the

definitions in EPCA for covered

equipment, 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

EPCA requirements.

Section 340(13)(F) of EPCA, defines a

‘‘small electric motor’’ as ‘‘a NEMA

general purpose alternating current

single-speed induction motor, built in a

two-digit frame number series in

accordance with NEMA Standards

Publication MG 1–1987.’’ Section 346 of

EPCA requires DOE to prescribe testing

requirements and efficiency standards

only for those small electric motors for

which the Secretary determines that

standards are warranted. The

Department has not yet made such a

determination.

B. Electrical Features

As noted above, the Department’s

proposed definition of ‘‘electric motor’’

provides in part that it is a motor that

‘‘operates on polyphase alternating

current 60-Hertz sinusoidal power, and

. . . can be operated on 230 volts or 460

volts, or both.’’ In DOE’s view, ‘‘can be

operated’’ implicitly means that the

motor can be operated successfully.

According to NEMA Standards

Publication MG1–1993, section 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; 4 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 meets

EPCA’s definition of ‘‘electric motor,’’

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.5

NEMA Standards Publication MG1

categorizes electrical modifications to

motors according to performance

characteristics that include locked rotor

torque, breakdown torque, pull-up

torque, locked rotor current, and slip at

rated load, and assigns design letters,

such as Design A, B, C, D, or E, to

identify various combinations of such

electrical performance characteristics.

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

electric motors subject to EPCA

efficiency requirements include only

motors that fall within NEMA ‘‘Design

A and B . . . as defined in [NEMA]

Standards Publication MG1–1987.’’ As

to locked rotor torque, for example,

MG1 specifies a minimum performance

value for a Design A or B motor of a

given speed and horsepower, and

somewhat higher minimum values for

Design C and D motors of the same

speed and horsepower. The Department

understands that, under MG1, the

industry classifies a motor as Design A

or B if it has a locked rotor torque at or

above the minimum for A and B but

below the minimum for Design C, so

long as it otherwise meets the criteria

for Design A or B. Therefore, in the

Department’s view, such a motor is

covered by EPCA’s requirements for

electric motors. By contrast a motor that

meets or exceeds the minimum locked

rotor torque for Design C or D is not

covered by EPCA. In sum, if a motor has

electrical modifications that meet

Design A or B performance

requirements it is covered by EPCA, and

if its characteristics meet Design C, D or

E it is not covered.

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 by sections 1.2 and 1.3 of

NEMA Standards Publication MG 13–

1984 (R1990), ‘‘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 as the first two

digits of the frame size designation. 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

is not covered by EPCA. A physically

larger motor within the same frame

series would be covered, however,

because it would be usable in most

general purpose applications.

Motors built in a T-frame series or a

T-frame size smaller than that assigned

by MG 13–1984 (R1990) 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 MG
59980 Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations

13. 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 ‘‘general purpose’’ and covered

by EPCA’s efficiency requirements, then

the motor with seals will also be

covered because it can still be used in

most general purpose applications. DOE

understands, however, that

manufacturers previously believed

motors with seals were not covered

under EPCA, in part because IEEE

Standard 112, ‘‘Test Procedure for

Polyphase Induction Motors and

Generators,’’ prescribed by EPCA, does

not address how to test a motor with

seals installed.

The efficiency rating of such a motor,

if determined with seals installed and

when the motor is new, apparently

would significantly understate the

efficiency of the motor as operated. New

seals are stiff, and provide friction that

is absent after their initial break-in

period. DOE understands that, after this

initial period, the efficiency ratings

determined for the same motor with and

without seals would be virtually

identical. To construe EPCA, therefore,

as requiring such separate efficiency

determinations would impose an

unnecessary burden on manufacturers.

In light of the foregoing, the

Department believes that EPCA

generally permits the efficiency of a

motor with seals to be determined

without the seals installed.

Furthermore, notwithstanding the prior

belief that such motors are not covered

by EPCA, use of this approach to

determining efficiency will enable

manufacturers to meet EPCA’s standards

with respect to covered motors with

seals by the date the standards go into

effect on October 25, 1997.

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. 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. By extension of

these examples, most motors currently

in production, or to be designed in the

future, could probably be classified. The

matrix classifies motors into five

categories, which are discussed in the

following passages.

Category I—For ‘‘electric motors’’

(manufactured alone or as a component of

another piece of equipment) in Category I,

DOE will enforce EPCA efficiency standards

and test procedures beginning on October 25,

1997.

The Department understands that

some motors essentially are relatively

simple modifications of generic general

purpose motors. 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 the modifications

have little or no effect on motor

performance. Nor do the modifications

affect energy efficiency.

Category II—For certain motors that are

‘‘definite purpose’’ according to present

industry practice, but that can be used in

most general purpose applications, DOE will

generally enforce EPCA efficiency standards

and test procedures beginning no later than

October 25, 1999.

General Statement

EPCA does not prescribe standards

and test procedures for ‘‘definite

purpose motors.’’ Section 340(13)(B) of

EPCA 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.’’ [Emphasis

added.] Except, significantly, for

exclusion of the italicized language, the

industry definition of ‘‘definite purpose

motor,’’ set forth in NEMA MG1, is

identical to the foregoing.

Category II consists of electric motors

with horsepower ratings that fall

between the horsepower ratings in

section 342(b)(1) of EPCA, thermally

protected motors, and motors with roller

bearings. As with motors in Category I,

these motors are essentially

modifications of generic general

purpose motors. Generally, however, the

modifications contained in these motors

are more extensive and complex than

the modifications in Category I motors.

These Category II motors have been

considered ‘‘definite purpose’’ in

common industry parlance, but are

covered equipment under EPCA because

they can be used in most general

purpose applications.

According to statements provided

during the January 15, 1997, Public

Hearing, Tr. pgs. 238–239, Category II

motors were, until recently, viewed by

most manufacturers as definite purpose

motors, consistent with the industry

definition that did not contain the

clause ‘‘which cannot be used in most

general purpose applications.’’ Hence,

DOE understands that many

manufacturers assumed these motors

were not subject to EPCA’s efficiency

standards. During the period prior and

subsequent to the hearing, discussions

among manufacturers resulted in a new

understanding that such motors are

general purpose under EPCA, since they

can be used in most general purpose

applications. Thus, the industry only

recently recognized that such motors are

covered under EPCA. Although the

statutory definition adopted in 1992

contained the above-quoted definition

of ‘‘definite purpose,’’ the delay in

issuing regulations which embody this

definition may have contributed to

industry’s delay in recognizing that

these motors are covered.

The Department understands that

redesign and testing these motors in

order to meet the efficiency standards in

the statute may require a substantial

amount of time. Given the recent

recognition that they are covered, it is

not realistic to expect these motors will

be able to comply by October 25, 1997.

A substantial period beyond that will be

required. Moreover, the Department

believes different manufacturers will

need to take different approaches to

achieving compliance with respect to

these motors, and that, for a particular

type of motor, some manufacturers will

be able to comply sooner than others.

Thus, the Department intends to refrain

from taking enforcement action for two

years, until October 25, 1999, with

respect to motors with horsepower

ratings that fall between the horsepower

ratings in section 342(b)(1) of EPCA,

thermally protected motors, and motors

with roller bearings. Manufacturers are

encouraged, however, to manufacture

these motors in compliance with EPCA

at the earliest possible date.

The following sets forth in greater

detail, for each of these types of motors,

the basis for the Department’s policy to

refrain from enforcement for two years.

Also set forth is additional explanation

of the Department’s understanding as to

why manufacturers previously believed

intermediate horsepower motors were

not covered by EPCA.
Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations 59981

Intermediate Horsepower Ratings

Section 342(b)(1) of EPCA specifies

efficiency standards for electric motors

with 19 specific horsepower ratings,

ranging from one through 200

horsepower. Each is a preferred or

standardized horsepower rating as

reflected in the table in NEMA

Standards Publication MG1–1993,

paragraph 10.32.4, Polyphase Medium

Induction Motors. However, an ‘‘electric

motor,’’ as defined by EPCA, can be

built at other horsepower ratings, such

as 6 horsepower, 65 horsepower, or 175

horsepower. Such motors, rated at

horsepower levels between any two

adjacent horsepower ratings identified

in section 342(b)(1) of EPCA will be

referred to as ‘‘intermediate horsepower

motors.’’ In the Department’s view,

efficiency standards apply to every

motor that has a rating from one through

200 horsepower (or kilowatt

equivalents), and that otherwise meets

the criteria for an ‘‘electric motor’’

under EPCA, including an electric

motor with an intermediate horsepower

(or kw) rating.

To date, these motors have typically

been designed in conjunction with and

supplied to a specific customer to fulfill

certain performance and design

requirements of a particular application,

as for example to run a certain type of

equipment. See the discussion in

Section IV below on ‘‘original

equipment’’ and ‘‘original equipment

manufacturers.’’ In large part for these

reasons, manufacturers believed

intermediate horsepower motors to be

‘‘definite purpose motors’’ that were not

covered by EPCA. Despite their specific

uses, however, these motors are electric

motors under EPCA when they are

capable of being used in most general

purpose applications.

Features of a motor that are directly

related to its horsepower rating include

its physical size, and the ratings of its

controller and protective devices. These

aspects of a 175 horsepower motor, for

example, which is an intermediate

horsepower motor, must be appropriate

to that horsepower, and would generally

differ from the same aspects of 150 and

200 horsepower motors, the two

standard horsepower ratings closest to

175. To re-design an existing

intermediate horsepower electric motor

so that it complies with EPCA could

involve all of these elements of a

motor’s design. For example, the

addition of material necessary to

achieve EPCA’s prescribed level of

efficiency could cause the size of the

motor to increase. The addition of

magnetic material would invite higher

inrush current that could cause an

incorrectly sized motor controller to

malfunction, or the circuit breaker with

a standard rating to trip unnecessarily,

or both. The Department believes motor

manufacturers will require a substantial

amount of time to redesign and retest

each intermediate horsepower electric

motor they manufacture.

To the extent such intermediate

horsepower electric motors become

unavailable because motor

manufacturers have recognized only

recently that they are covered by EPCA,

equipment in which they are

incorporated would temporarily become

unavailable also. Moreover, re-design of

such a motor to comply with EPCA

could cause changes in the motor that

require re-design of the equipment in

which the motor is used. For example,

if an intermediate horsepower electric

motor becomes larger, it might no longer

fit in the equipment for which it was

designed. In such instances, the

equipment would have to be redesigned. Because these motors were

previously thought not to be covered,

equipment manufacturers may not have

had sufficient lead time to make the

necessary changes to the equipment

without interrupting its production.

With respect to intermediate

horsepower motors, the Department

intends to refrain from enforcing EPCA

for a period of 24 months only as to

such motor designs that were being

manufactured prior to the date this

Policy Statement was issued. The

Department is concerned that small

adjustments could be made to the

horsepower rating of an existing electric

motor, in an effort to delay compliance

with EPCA, if it delayed enforcement as

to all intermediate horsepower motors

produced during the 24 month period.

For example, a 50 horsepower motor

that has a service factor of 1.15 could be

renameplated as a 57′′ horsepower

motor that has a 1.0 service factor. By

making this delay in enforcement

applicable only to pre-existing designs

of intermediate horsepower motors, the

Department believes it has made

adequate provision for the manufacture

of bona fide intermediate horsepower

motor designs that cannot be changed to

be in compliance with EPCA by October

25, 1997.

Thermally Protected Motors

The Department understands that in

order to redesign a thermally protected

motor to improve its efficiency so that

it complies with EPCA, various changes

in the windings must be made which

will require the thermal protector to be

re-selected. Such devices sense the

inrush and running current of the

motor, as well as the operating

temperature. Any changes to a motor

that affect these characteristics will

prevent the protector from operating

correctly. When a new protector is

selected, the motor must be tested to

verify proper operation of the device in

the motor. The motor manufacturer

would test the locked rotor and overload

conditions, which could take several

days, and the results may dictate that a

second selection is needed with

additional testing. When the

manufacturer has finished testing,

typically the manufacturer will have a

third party conduct additional testing.

This testing may include cycling the

motor in a locked-rotor condition to

verify that the protector functions

properly. This testing may take days or

even weeks to perform for a particular

model of motor.

Since it was only recently recognized

by industry that these motors are

covered by EPCA, in the Department’s

view the total testing program makes it

impossible for manufacturers to comply

with the EPCA efficiency levels in

thermally protected motors by October

25, 1997, especially since each different

motor winding must be tested and

motor winding/thermal protector

combinations number in the thousands.

Motors With Roller Bearings

Motors with roller bearings fit within

the definition of electric motor under

the statute. However, because the IEEE

Standard 112 Test Method B does not

provide measures to test motors with

roller bearings installed, manufacturers

mistakenly believed such motors were

not covered. Under IEEE 112, a motor

with roller bearings could only be tested

for efficiency with the roller bearings

removed and standard ball bearings

installed as temporary substitutes. Then

on the basis of the energy efficiency

information gained from that test, the

manufacturer may need to redesign the

motor in order to comply with the

statute. In this situation, the Department

understands that testing, redesigning,

and retesting lines of motors with roller

bearings, to establish compliance,

would be difficult and time consuming.

Categories III, IV and V—Motors not within

EPCA’s definition of ‘‘electric motor,’’ and

not covered by EPCA.

Close-Coupled Pump Motors

NEMA Standards Publication MG1–

1993, with revisions one through three,

Part 18, ‘‘Definite-Purpose Machines,’’

defines ‘‘a face-mounting close-coupled

pump motor’’ as ‘‘a medium alternatingcurrent squirrel-cage induction open or

totally enclosed motor, with or without

feet, having a shaft suitable for

mounting an impeller and sealing
59982 Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations

6 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 rotating machinery. The IP and IC

codes are referenced in the NEMA designations for

TENV and TEAO motors in MG1–1993 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.

device.’’ Paragraphs MG1–18.601–

18.614 specify its performance, face and

shaft mounting dimensions, and frame

assignments that replace the suffix

letters T and TS with the suffix letters

JM and JP.

The Department understands that

such motors are designed in standard

ratings with standard operating

characteristics for use in certain closecoupled pumps and pumping

applications, but cannot be used in nonpumping applications, such as, for

example, conveyors. Consequently, the

Department believes close-coupled

pump motors are definite-purpose

motors not covered by EPCA. However,

a motor that meets EPCA’s definition of

‘‘electric motor,’’ and which can be

coupled to a pump, for example by

means of a C-face or D-flange endshield,

as depicted in NEMA Standards

Publication MG1, Part 4, ‘‘Dimensions,

Tolerances, and Mounting,’’ is covered.

Totally-Enclosed Non-Ventilated

(TENV) and Totally-Enclosed Air-Over

(TEAO) Motors

A motor designated in NEMA MG1–

1993, paragraph MG1–1.26.1, as

‘‘totally-enclosed non-ventilated (IP54,

IC410)’’ 6 is ‘‘not equipped for cooling

by means external to the enclosing

parts.’’ 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. As stated in

NEMA MG1–1993, Suggested Standard

for Future Design, paragraph MG1–

1.26.1a, a TENV motor ‘‘is only

equipped for cooling by free

convection.’’ 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–

1993 as ‘‘totally-enclosed air-over (IP54,

IC417)’’ is intended to be cooled by

ventilation means external to (i.e.,

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, DOE believes they are

definite-purpose motors not covered by

EPCA.

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. 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, integral

gearmotors are outside the scope of the

EPCA definition of ‘‘electric motor’’ and

are not covered under EPCA.

However, an ‘‘electric motor,’’ as

defined by EPCA, 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 EPCA.

IV. Electric Motors That Are

Components in Certain Equipment

The primary function of an electric

motor is to convert electrical energy to

mechanical energy which then directly

drives machinery such as pumps, fans,

or compressors. Thus, an electric motor

is always connected to a driven machine

or apparatus. Typically the motor is

incorporated into a finished product

such as an air conditioner, a refrigerator,

a machine tool, food processing

equipment, or other commercial or

industrial machinery. These products

are commonly known as ‘‘original

equipment’’ or ‘‘end-use equipment,’’

and are manufactured by firms known

as ‘‘original equipment manufacturers’’

(OEMs).

Many types of motors used in original

equipment are covered under EPCA. As

noted above, EPCA prescribes efficiency

standards to be met by all covered

electric motors manufactured after

October 24, 1997, except that covered

motors which require listing or

certification by a nationally recognized

safety testing laboratory need not meet

the standards until after October 24,

1999. Thus, for motors that must

comply after October 24, 1997, once

inventories of motors manufactured

before the deadline have been

exhausted, only complying motors

would be available for purchase and use

by OEMs in manufacturing original

equipment. Any non-complying motors

previously included in such equipment

would no longer be available.

The physical, and sometimes

operational, characteristics of motors

that meet EPCA efficiency standards

normally differ from the characteristics

of comparable existing motors that do

not meet those standards. In part

because of such differences, the

Department is aware of two types of

situations where strict application of the

October 24, 1997 deadline could

temporarily prevent the manufacture of,

and remove from the marketplace,

currently available original equipment.

One such situation is where an

original equipment manufacturer uses

an electric motor as a component in

end-use equipment that requires listing

or certification by a nationally

recognized safety testing laboratory,

even though the motor itself does not

require listing or certification. In some

of these instances, the file for listing or

certification specifies the particular

motor to be used. No substitution could

be made for the motor without review

and approval of the new motor and the

entire system by the safety testing

laboratory. Consequently, a specified

motor that does not meet EPCA

standards could not be replaced by a

complying motor without such review

and approval.

This re-listing or re-certification

process is subject to substantial

variation from one piece of original

equipment to the next. For some

equipment, it could be a simple

paperwork transaction between the
Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations 59983

safety listing or certification

organization and the OEM, taking

approximately four to eight weeks to

complete. But the process could raise

more complex system issues involving

redesign of the motor or piece of

equipment, or both, and actual testing to

assure that safety and performance

criteria are met, and could take several

months to complete. The completion

time could also vary depending on the

response time of the particular safety

approval agency. Moreover, in the

period immediately after October 24, the

Department believes wholesale changes

could occur in equipment lines when

OEMs must begin using motors that

comply with EPCA. These changes are

likely to be concentrated in the period

immediately after EPCA goes into effect

on October 24, and if many OEMs seek

to re-list or re-certify equipment at the

same time, substantial delays in the

review and approval process at the

safety approval agencies could occur.

For these reasons, the Department is

concerned that certain end-user

equipment that requires safety listing or

certification could become unavailable

in the marketplace, because an electric

motor specifically identified in a listing

or certification is covered by EPCA and

will become unavailable, and the steps

have not been completed to obtain

safety approval of the equipment when

manufactured with a complying motor.

Second, a situation could exist where

an electric motor covered by EPCA is

constructed in a T-frame series or Tframe size that is smaller (but still

standard) than that assigned by NEMA

Standards Publication MG 13–1984

(R1990), sections 1.2 and 1.3, in order

to fit into a restricted mounting space

that is within certain end-use

equipment. (Motors in IEC metric frame

sizes and kilowatt ratings could also be

involved in this type of situation.) In

such cases, the manufacturer of the enduse equipment might need to redesign

the equipment containing the mounting

space to accommodate a larger motor

that complies with EPCA. These

circumstances as well could result in

certain currently available equipment

becoming temporarily unavailable in the

market, since the smaller size motor

would become unavailable before the

original equipment had been redesigned to accommodate the larger,

complying motor.

The Department understands that

many motor manufacturers and OEMs

became aware only recently that the

electric motors addressed in the

preceding paragraphs were covered by

EPCA. This is largely for the same

reasons, discussed above, that EPCA

coverage of Category II motors was only

recently recognized. In addition, the

Department understands that some

motor manufacturers and original

equipment manufacturers confused

motors that themselves require safety

listing or certification, which need not

comply until October 25, 1999, with

motors that, while not subject to such

requirements, are included in original

equipment that requires safety listing or

certification. Consequently, motor

manufacturers and original equipment

manufacturers took insufficient action

to assure that appropriate complying

motors would be available for the

original equipment involved, and that

the equipment could accommodate such

motors. OEMs involved in such

situations may often be unable to switch

to motors that meet EPCA standards in

the period immediately following

October 24. To mitigate any hardship to

purchasers of the original equipment,

the Department intends to refrain from

enforcing EPCA in certain limited

circumstances, under the conditions

described below.

Where a particular electric motor is

specified in an approved safety listing

or certification for a piece of original

equipment, and the motor does not meet

the applicable efficiency standard in

EPCA, the Department’s policy will be

as follows: For the period of time

necessary for the OEM to obtain a

revised safety listing or certification for

that piece of equipment, with a motor

specified that complies with EPCA, but

in no event beyond October 24, 1999,

the Department would refrain from

taking enforcement action under EPCA

with respect to manufacture of the

motor for installation in such original

equipment. This policy would apply

only where the motor has been

manufactured and specified in the

approved safety listing or certification

prior to October 25, 1997.

Where a particular electric motor is

used in a piece of original equipment

and manufactured in a smaller than

assigned frame size or series, and the

motor does not meet the applicable

efficiency standard in EPCA, the

Department’s policy will be as follows:

For the period of time necessary for the

OEM to re-design the piece of

equipment to accommodate a motor that

complies with EPCA, but in no event

beyond October 24, 1999, the

Department would refrain from

enforcing the standard with respect to

manufacture of the motor for

installation in such original equipment.

This policy would apply only to a

model of motor that has been

manufactured and included in the

original equipment prior to October 25,

1997.

To allow the Department to monitor

application of the policy set forth in the

prior two paragraphs, the Department

needs to be informed as to the motors

being manufactured under the policy.

Therefore, each motor manufacturer and

OEM should jointly notify the

Department as to each motor they will

be manufacturing and using,

respectively, after October 24, 1997, in

the belief that it is covered by the

policy. The notification should set forth:

(1) The name of the motor manufacturer,

and a description of the motor by type,

model number, and date of design or

production; (2) the name of the original

equipment manufacturer, and a

description of the application where the

motor is to be used; (3) the safety listing

or safety certification organization and

the existing listing or certification file or

document number for which re-listing

or re-certification will be requested, if

applicable; (4) the reason and amount of

time required for continued production

of the motor, with a statement that a

substitute electric motor that complies

with EPCA could not be obtained by an

earlier date; and (5) the name, address,

and telephone number of the person to

contact for further information. The

joint request should be signed by a

responsible official of each requesting

company, and sent to: U.S. Department

of Energy, Assistant Secretary for Energy

Efficiency and Renewable Energy, Office

of Codes and Standards, EE–43,

Forrestal Building, 1000 Independence

Avenue, SW, Room 1J–018, Washington,

DC 20585–0121. The Department does

not intend to apply this policy to any

motor for which it does not receive such

a notification. Moreover, the

Department may use the notification,

and make further inquiries, to be sure

motors listed in the notification meet

the criteria for application of the policy.

This part of the Policy Statement will

not apply to a motor in Category II,

discussed above in section III. Because

up to 24 months is contemplated for

compliance by Category II motors, the

Department believes any issues that

might warrant a delay of enforcement

for such motors can be addressed during

that time period.

V. Further Information

The Department intends to

incorporate this Policy Statement into

an appendix to its final rule to

implement the EPCA provisions that

apply to motors. Any comments or

suggestions with respect to this Policy

Statement, as well as requests for further

information, should be addressed to the

Director, Office of Codes and Standards,

EE–43, U.S. Department of Energy, 1000
59984 Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations

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 MOTOR CATEGORIES: GENERAL PURPOSE; DEFINITE PURPOSE; AND SPECIAL PURPOSE

Motor modification

Category 7

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 EPCA applies 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 230/460

voltages at 60 Hertz.

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

for efficiency.

16 Frequency ............................. ................ ................ ................ ................ X EPCA applies to motors operating on 230/460

voltages 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.

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 MG–1.

37 D Flange ............................... X ................ ................ ................ ................ As defined in NEMA MG–1.

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 MG–

1.

X ................ ................ ................ ................ Includes single and double, cylindrical, tapered,

and short shafts.

42 Non Standard Material .......... X
Federal Register / Vol. 62, No. 214 / Wednesday, November 5, 1997 / Rules and Regulations 59985

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

DOE GUIDELINES WOULD BE APPLIED TO MOTOR CATEGORIES: GENERAL PURPOSE; DEFINITE PURPOSE; AND SPECIAL PURPOSE—Continued

Motor modification

Category 7

Explanation

I II III IV V

G. Fans

43 Special Material .................... X

44 Quiet Design ......................... X

H. Other Motors

45 Washdown ............................ X ................ ................ ................ ................ Test with seals removed.

46 Close-Coupled Pump ............ ................ ................ X ................ ................ JM and JP frame assignments.

47 Integral Gear Motor .............. ................ ................ ................ ................ X Typically special mechanical design, and not a

T-frame; motor and gearbox inseparable and

operate as one system.

48 Vertical—Normal Thrust ....... ................ ................ ................ ................ X EPCA covers foot-mounting.

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

50 TENV .................................... ................ ................ X ................ ................ Totally-enclosed non-ventilated not equipped for

cooling (IP54, IC410).

51 TEAO .................................... ................ ................ X ................ ................ Totally-enclosed air-over requires airflow from

external source (IP54, IC417).

52 Fire Pump ............................. X ................ ................ ................ ................ When safety certification is not required. See

also EPCA § 342(b)(1).

53 Non-Continuous .................... ................ ................ ................ ................ X EPCA covers continuous ratings.

54 Integral Brake Motor ............. ................ ................ ................ X ................ Integral brake design factory built within the

motor.

7 Category I—General purpose electric motors as defined in EPCA.

Category II—Definite purpose electric motors that can be used in most general purpose applications as defined in EPCA.

Category III—Definite purpose motors as defined in EPCA.

Category IV—Special purpose motors as defined in EPCA.

Category V—Outside the scope of ‘‘electric motor’’ as defined in EPCA.

[FR Doc. 97–28911 Filed 11–4–97; 8:45 am]

BILLING CODE 6450–01–P