```

[Federal Register Volume 78, Number 95 (Thursday, May 16, 2013)]
[Notices]
[Pages 28812-28820]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-11698]

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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

[Docket No. EERE-BT-2013-DET-0017]

Energy Efficiency Program for Industrial Equipment: Petition of 
UL Verification Services Inc. for Classification as a Nationally 
Recognized Certification Program for Small Electric Motors

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

ACTION: Notice of petition and request for public comments.

-----------------------------------------------------------------------

SUMMARY: This notice announces receipt of a petition from UL 
Verification Services (UL) for classification by the U.S. Department of 
Energy (DOE) as a nationally recognized certification program under 10 
CFR 431.447 and 431.448. In its petition, which appears at the end of 
this notice, UL provides documentation to help substantiate its 
position that its certification program for small electric motors 
satisfies the evaluation criteria for classification as a nationally 
recognized certification program that are specified in 10 CFR 
431.447(b). This notice summarizes the substantive aspects of these 
documents and requests public comments on the merits of UL's petition.

DATES: DOE will accept comments, data, and information with respect to 
the UL Petition until June 17, 2013.

ADDRESSES: You may submit comments, identified by docket number ``EERE-
BT-2013-DET-0017,'' by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: CertProgSmElecMotors2013DET0017@ee.doe.gov Include 
the docket number EERE-BT-2013-DET-0017 in the subject line of the 
message.
     Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J/1000 Independence Avenue 
SW., Washington, DC 20585-0121. Telephone: (202) 586-2945. Please 
submit one signed original paper copy.
     Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department 
of Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 
600, Washington, DC 20024. Please submit one signed original paper 
copy.
    Docket: For access to the docket to review the background documents 
relevant to this matter, you may visit the U.S. Department of Energy, 
950 L'Enfant Plaza SW., Washington, DC 20024; (202) 586-2945, between 
9:00 a.m. and 4:00 p.m., Monday through Friday, except Federal 
holidays. Please call Ms. Brenda Edwards at the above telephone number 
for additional information.

FOR FURTHER INFORMATION CONTACT: Mr. Lucas Adin, U.S. Department of 
Energy, Building Technologies Program, Mail Stop EE-2J, Forrestal 
Building, 1000 Independence Avenue SW., Washington, DC 20585-0121. 
Telephone: (202) 287-1317. Email: Lucas.Adin@ee.doe.gov.
    Mr. Michael Kido, U.S. Department of Energy, Office of the General 
Counsel, Mail Stop GC-71, Forrestal Building, 1000 Independence Avenue 
SW., Washington, DC 20585-0103. Telephone: (202) 586-8145. Email: 
Michael.Kido@hq.doe.gov.

SUPPLEMENTARY INFORMATION: 

I. Background and Authority

    Part C of Title III of the Energy Policy and Conservation Act 
contains energy conservation requirements for, among other things, 
electric motors and small electric motors, including test procedures, 
energy efficiency standards, and compliance certification requirements. 
42 U.S.C. 6311-6316.\1\ 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 [each electric motor subject to EPCA 
efficiency standards] meets the applicable standard.'' 42 U.S.C. 
6316(c).
---------------------------------------------------------------------------

    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part C was re-designated Part A-1.
---------------------------------------------------------------------------

    Regulations to implement this statutory directive are codified in 
Title 10 of the Code of Federal Regulations Part 431 (10 CFR part 431) 
at sections 431.36, Compliance Certification, 431.20, Department of 
Energy recognition of nationally recognized certification programs, and 
431.21, Procedures for recognition and withdrawal of recognition of 
accreditation bodies and certification programs. Sections 431.20 and 
431.21 set forth the criteria and procedures for national recognition 
of an energy efficiency certification program for electric motors by 
the DOE. With the support of a variety of interests, including industry 
and energy efficiency advocacy groups, DOE published a final rule on 
May 4, 2012, that established requirements for small electric motors 
that are essentially identical to the criteria and procedures for 
national recognition of an energy efficiency certification program for

[[Page 28813]]

electric motors. See 77 FR 26608, 26629 (codifying parallel provisions 
for small electric motors at 10 CFR 431.447 and 431.448).
    For a certification program to be classified by the DOE as being 
nationally recognized in the United States for the testing and 
certification of small electric motors, the organization operating the 
program must submit a petition to the Department requesting such 
classification, in accordance with sections 431.447 and 431.448. In 
sum, for the Department to grant such a petition, the certification 
program must: (1) Have satisfactory standards and procedures for 
conducting and administering a certification system, and for granting a 
certificate of conformity; (2) be independent of small electric motor 
manufacturers, importers, distributors, private labelers or vendors; 
(3) be qualified to operate a certification system in a highly 
competent manner; and (4) be expert in the test procedures and 
methodologies in IEEE Standard 112-2004 Test Methods A and B, IEEE 
Standard 114-2010, CSA Standard C390-10, and CSA C747 or similar 
procedures and methodologies for determining the energy efficiency of 
small electric motors, and have satisfactory criteria and procedures 
for selecting and sampling small electric motors for energy efficiency 
testing. 10 CFR 431.447(b).
    Each petition requesting classification as a nationally recognized 
certification program must contain a narrative statement as to why the 
organization meets the above criteria, be accompanied by documentation 
that supports the narrative statement, and signed by an authorized 
representative. 10 CFR 431.447(c).

II. Discussion

    Pursuant to sections 431.447 and 431.448, on February 20, 2013, UL 
submitted to the Department a Petition for ``Classification in 
Accordance with 10 CFR part 431.447 and 431.448'' (``Petition'' or ``UL 
Petition''). The Petition was accompanied by a cover letter from UL to 
the Department, containing five separate sections that included 
narrative statements for each--(1) Overview, (2) Standards and 
Procedures, (3) Independent Status, (4) Qualification of UL LCC and UL 
Verification Services, Inc. to Operate a Certification System, and (5) 
Expertise in Small Motor Test Procedures. The petition included 
supporting documentation on these subjects. Through its cover letter, 
UL initially asserted that certain portions of its petition were 
confidential--namely, the Overview, Appendices A, B, and C, and UL's 
discussion of its qualifications (Item (4) noted above). The Department 
is required to publish in the Federal Register such petitions for 
public notice and solicitation of comments, data and information as to 
whether the Petition should be granted. 10 CFR 431.448(b). After having 
reviewed UL's claim for confidential treatment and the materials at 
issue, DOE has rejected UL's claim and is making the entirety of its 
submission publicly available to enable the public to comment 
effectively on UL's petition. A copy of UL's petition and accompanying 
cover letter have been placed in the docket.
    The Department hereby solicits comments, data and information on 
whether it should grant the UL Petition. 10 CFR 431.448(b). Any person 
submitting written comments to DOE with respect to the UL Petition must 
also, at the same time, send a copy of such comments to UL. As provided 
under section 431.448(c), UL may submit to the Department a written 
response to any such comments. After receiving any such comments and 
responses, the Department will issue an interim and then a final 
determination on the UL Petition, in accordance with sections 
431.448(d) and (e) of 10 CFR part 431.
    In particular, the Department is interested in obtaining comments, 
data, and information respecting the following evaluation criteria:
    (1) Whether UL has 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.
    DOE is also interested in obtaining comments as to how rigorously 
UL operates its certification system under the guidelines contained in 
ISO/IEC Guide 65, General requirements for bodies operating product 
certification systems.
    (2) Whether UL is independent of small electric motor 
manufacturers, importers, distributors, private labelers or vendors. To 
meet this requirement it cannot be affiliated with, have financial ties 
with, be controlled by, or be under common control with any such 
entity.
    (3) Whether UL is expert in the content and application of the test 
procedures and methodologies in IEEE Std 112-2004 Test Methods A and B, 
IEEE Std 114-2010, CSA C390-10, and CSA C747 (incorporated by 
reference, see Sec.  431.443) or similar procedures and methodologies 
for determining the energy efficiency of small electric motors. DOE is 
also interested in receiving comments on whether UL's criteria and 
procedures for the selection and sampling of electric motors tested for 
energy efficiency are technically appropriate and statistically 
rigorous.

    Issued in Washington, DC, on May 10, 2013.
Kathleen B. Hogan,
 Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency 
and Renewable Energy.

Petition for Recognition

Energy Efficiency Evaluation of Electric Motors to United States 
Department of Energy

Requirements as Documented in 10 CFR Part 431--Subpart B and Subpart X

State of TEXAS

SS: County of COLLIN

    Before me, the undersigned notary public, this day, personally, 
appeared Michael Shows to me known, who being duly sworn according 
to law, deposes the following:

On Behalf of UL Verification Services

/s/Michael ShowsMichael Shows,

Director--Global Technical Research, UL Verification Services.

    Subscribed and sworn to before me this 20 day of February, 2013.

/s/Terri T. Thomas, Notary PublicMy Commission Expires: 2-10-2014

[To view the signed copy of this document, see Docket No. EERE-2013-
BT-DET-0017, UL Petition, No. 01, p. 1]

Table of Contents

Overview
    Application Process
    Initial Product Evaluation Criteria
    Test Facility Evaluation
    Sample Selection
    Product Construction Evaluation
    Ongoing Production Testing
    Follow Up Visits and Testing
    Non-Conformance
    Certification
    Follow Up Service Agreement
Standards and Procedures (431.447(c)(1))
    Foreword
    Purpose
    Scope
    Definitions
    Basic Operating Principles of Electric Motors
    Internal Factors Affecting Motor Efficiency
    External Factors Affecting Motor Efficiency
    Energy Efficiency and Motor Size
    Testing Procedure
    Assessment of Client Facility
    Project Completion
Appendix A--Data Sheets: Electric Motor (Subtype I, Subtype II, Fire 
Pump Motor, NEMA Design B
Appendix B--Data Sheets: Small Electric Motor
Independent Status (431.447(c)(2))

[[Page 28814]]

Appendix C--Statement of Independence
    February 1, 2013 Electric Motor Energy Efficiency Page 3
Qualification of UL LLC and UL Verification Services Inc. To Operate 
a Certification System (431.447(c)(3))
Appendix D--OSHA NRTL Recognition Certificate
Appendix E--ANSI Accreditations
Appendix F--Certificates of Laboratory Accreditations
Expertise in Small Motor Test Procedures (431.447(c)(4))
    General
    Personnel

Overview

    UL is a global independent safety science company with more than a 
century of expertise innovating safety solutions from the public 
adoption of electricity to new breakthroughs in sustainability, 
renewable energy and nanotechnology. Dedicated to promoting safe living 
and working environments, UL helps safeguard people, products and 
places in important ways, facilitating trade and providing peace of 
mind.
    UL certifies, validates, tests, inspects, audits, and advises and 
trains. We provide the knowledge and expertise to help customers 
navigate growing complexities across the supply chain from compliance 
and regulatory issues to trade challenges and market access. In this 
way, we facilitate global trade and deliver peace of mind.
    In 2011:
     22.4 Billion UL Marks appeared on products
     19,909 Different types of products were evaluated by UL
     563,862 Follow Up inspections were conducted by UL
     67,798 Manufacturers produced UL certified products
     104 Countries were home to UL customers
     3.1 Billion consumers in Europe, Asia and North America 
were reached with safety messages
     6,461 Products were certified for Energy Star
     86.972 Product evaluations were conducted by UL
     95 Laboratory, testing and certification facilities in the 
countries within which we operate
     1,464 Currently published UL Safety Standards
     46 Countries with UL employees
    Today, globally UL is made up of over 11,800 staff of which 
approximately 2,700 are engineers. UL today is comprised of five 
businesses, Product Safety, Verification Services, Life & Health, 
Knowledge Services and Environment.
    Energy efficiency testing is a portion of what UL provides as part 
of its Verification Services business. UL's verification services 
provides testing and evaluation such as a full range of photometric 
testing, illuminating engineering research and development, and 
lighting test equipment, meeting key mandates for ENERGY STAR[supreg], 
Natural Resources Canada(NRCan), Zhaga, U.S. Department of Energy (DOE) 
and DesignLightsTM Consortium (DLC) criteria.
    Our appliance testing capabilities apply to a wide variety of 
standards, including ENERGY STAR[supreg], NRCan, Zhaga, DOE and 
Consumer Electronics Control (CEC) requirements to help manufacturers 
validate performance claims and compliance with government regulations. 
Specifically, with regard to electric motors, UL provides testing to:

 US Department of Energy (USDOE) requirements
 Natural Resources Canada (NRCan) requirements
 International Electrotechnical Commission (IEC) requirements
 Certification of motor energy efficiency at a manufacturer's 
request

This work is conducted in the same facilities, using the same equipment 
and staff as is UL's product safety work.
    UL's product safety certification program is an ISO Guide 65 
compliant program as corroborated by ANSI accreditation. An ANSI letter 
of confirmation/accreditation is provided as part of Attachment 3.
    The certification of motors under UL's Energy Verification Service 
is based upon the satisfactory evaluation and testing to the 
requirements of the applicable standard. Continued certification is 
judged through continued surveillance of products at the manufacturing 
location. The following is a description of the major elements of UL's 
Energy Verification Service used for qualifying manufacturers' motors.

Application Process

    The customer requests energy verification certification of their 
motors. UL will collect information and provide applications to the 
customer. Upon receipt of applications UL will assign a qualified UL 
staff member to be responsible for handling the investigation.

Initial Product Evaluation Criteria

    General--The following information is obtained prior to and during 
the initial visit to the manufacturer's facilities:
    (a) Identification of the products being submitted by type, brand 
name, model designations and, if available, rated yearly energy 
consumption (kWh/yr.) and any other pertinent information specific to 
these products.
    (b) A summary of test data and information on energy consumption, 
and product capacity for the products being submitted, obtained in 
accordance with the applicable Standard.
    (c) Information on the test facilities used in obtaining the test 
data and to be used in verifying the test data--a list of instruments 
used in making the necessary measurements such as temperature, 
electrical, time and power supply, information on calibration and other 
applicable information on the test room such as the location, source of 
supply and environmental controls.
    (d) Information on the products' design and construction, including 
the critical product features which would affect the product 
performance with respect to energy efficiency which must be controlled 
by the manufacturer in order to maintain a consistent product 
performance with respect to energy efficiency.

    Note: All motors accepted for evaluation for energy efficiency 
must also be evaluated and tested for compliance to UL's applicable 
Motor Safety Standard(s). This is to ensure not only safety but to 
ensure the integrity of the efficiency performance.

Test Facility Evaluation

    Due to the volume of testing, and the need to demonstrate that 
products manufactured after the initial evaluation remain in compliance 
with requirements, UL's Energy Verification Service is designed to make 
use of manufacturers' test facilities whenever possible. A client may 
utilize the UL Client Test Data Program or the UL Witness Test Data 
program as detailed in the UL Client Interactive Manual.
    The Witness Test data program includes a review of the test 
facilities, equipment and competence of personnel conducting the 
testing. All tests are witnessed by UL staff to confirm the results of 
the tests.
    The UL Client Test Data programs require initial and annual 
assessments of the clients testing capabilities which includes: the 
laboratory quality system, physical resources, test equipment, 
personnel, procedures and documentation of data.

Sample Selection

    Representative samples from the manufacturer's production are 
selected by UL's engineering staff. Representative samples are those 
that, when reviewed as a group, can adequately represent a line of 
similar models that use the same major energy

[[Page 28815]]

consuming components. The objective in selecting representative samples 
is to obtain sufficient confidence that the series of motors verified 
meet the applicable energy efficiency standard and regulation while at 
the same time minimizing the number of tests the manufacturer is 
required to perform. For a series of motors, samples are selected to 
represent the entire range of motors. The data collected in the 
representative samples is reviewed to verify the samples can completely 
represent the model line. Additional sampling may be necessary to 
completely represent the model line.

Product Construction Evaluation

    The manufacturer's product construction is evaluated to identify 
the critical construction features that would affect the product 
capacity and performance with respect to energy efficiency. In 
addition, the manufacturer's existing quality assurance procedures for 
controlling critical construction features, as well as the 
manufacturer's procedures for ongoing production testing, are evaluated 
to determine that adequate controls are in place to provide consistent 
energy efficiency.

On-Going Production Testing

    Manufacturers test samples of their products as part of their 
ongoing production procedures to determine continued compliance with 
the energy efficiency requirements. The number of samples to be tested 
and the frequency of testing varies for each product type and is 
dependent on the applicable standard, government regulation, industry 
practices and number of units manufactured. The manufacturer is 
required to document the test results, which UL audits as part of each 
followup visit.

Follow-Up Visits and Testing

    UL representatives conduct unannounced inspections at each 
authorized manufacturing location. Typically, two visits to each 
manufacturing facility are carried out each year to examine samples of 
the product and monitor the manufacturers' production and control 
measures and use of the Energy Verification marking. Whenever possible, 
the follow-up visits are combined with ongoing safety certification 
Follow-Up visits. During each visit, samples are selected by the UL 
representative and tested by the manufacturer at its own or other 
qualified facility. The test results are compared to the documented 
test results for the selected products to verify continuing compliance. 
The number of samples to be tested varies for each product and is 
dependent on variables similar to those used to determine the number of 
tests to be performed.

Non-Conformance

    For non-conforming test results found during follow-up testing at 
the manufacturer's own or other qualified test facilities, the 
manufacturer is required to either remove the UL Energy Verification 
markings from non-conforming products or determine the cause of non-
conformance and implement one of the following:
    (a) Cull the lot to segregate non-conforming products;
    (b) Rework the lot to correct the nonconformance; or
    (c) Determine that no other sample will exhibit non-conformance.

Certification

    After determination that the motors meet the applicable standard 
and regulation, the applicant is formally notified that they are 
authorized to apply the UL Energy Verification Mark. A Follow-Up 
Procedure report is issued that contains identification of the motors 
found in compliance, electrical and efficiency ratings, critical 
construction features, test results and Follow-Up testing requirements. 
A directory listing all the products verified for energy efficiency is 
published and available to the general public.

Follow-Up Service (FUS) Agreement

    In compliance with ISO Guide 65 Clause 13.2 and as a means of 
control of UL's Energy Verification Mark, the applicant and 
manufacturer must enter into contract ``FUS Agreement'' with UL Inc. 
This FUS Agreement defines the conditions for maintaining certification 
such as access to manufacturing sites, records, follow-up inspections 
and product re-testing. A client may only apply UL's mark to products 
that comply with the UL Follow-Up Procedure, described above.

Standards and Procedures

Forward

General

    All staff involved in the evaluation and determination of 
compliance for electric motor energy efficiency shall be qualified and 
authorized by the Primary Designated Engineer for Motor Efficiency.

Purpose

    This guide outlines the criteria used to evaluate electric motor 
energy efficiency in accordance with the energy efficiency regulations 
in effect in the United States. This guide is to be used in combination 
with the EVS Manual for conducting evaluations in accordance with UL's 
energy verification service and the Federal Register 10 CFR part 431, 
subparts B and X.

Links

Link to eCFR Web site: http://www.ecfr.gov
Link to 10 CFR page: http://www.ecfr.gov/cgi-bin/textidx?SID=d4b2930b9ca4e669ea7425942886a1b4&tpl=/ecfrbrowse/Title10/
10tab_02.tpl
Link to 10 CFR part 431 page: http://www.ecfr.gov/cgi-bin/textidx?c=ecfr&SID=d4b2930b9ca4e669ea7425942886a1b4&rgn=div5&view=text&n
ode=10:3.0.1.4.19&idno=10

SCOPE

Subtype I

    General purpose electric motor that is:
    1. Is a single-speed, induction motor;
    2. is rated for continuous duty (MG1) operation or for duty type S1 
(IEC);
    3. contains a squirrel-cage (MG1) or cage (IEC) rotor;
    4. has foot-mounting that may include foot-mounting with flanges or 
detachable feet;
    5. is built in accordance with NEMA T-frame dimensions or their IEC 
metric equivalents, including a frame size that is between two 
consecutive NEMA frame sizes or their IEC metric equivalents;
    6. has performance in accordance with NEMA Design A (MG1) or B 
(MG1) characteristics or equivalent designs such as IEC Design N (IEC);
    7. operates on polyphase alternating current 60-hertz sinusoidal 
power, and:
    a. Is rated at 230 or 460 volts (or both) including motors rated at 
multiple voltages that include 230 or 460 volts (or both), or
    b. Can be operated on 230 or 460 volts (or both); and
    8. includes, but is not limited to, explosion-proof construction.

Subtype II

    General purpose electric motor that incorporates design elements of 
a general purpose electric motor (subtype I) but, has one or more of 
the following characteristics:
    1. Is built in accordance with NEMA U-frame dimensions as described 
in NEMA MG1-1967 (incorporated by reference, see Sec.  431.15) or in 
accordance with the IEC metric equivalents, including a frame size that 
is between two consecutive NEMA frame sizes or their IEC metric 
equivalents;

[[Page 28816]]

    2. has performance in accordance with NEMA Design C characteristics 
as described in MG1 or an equivalent IEC design(s) such as IEC Design 
H;
    3. is a close-coupled pump motor;
    4. is a footless motor;
    5. is a vertical solid shaft normal thrust motor (as tested in a 
horizontal configuration) built and designed in a manner consistent 
with MG1;
    6. is an eight-pole motor (900 rpm); or
    7. is a polyphase motor with a voltage rating of not more than 600 
volts, is not rated at 230 or 460 volts (or both), and cannot be 
operated on 230 or 460 volts (or both).

NEMA Design B

    A squirrel-cage motor that is:
    1. Designed to withstand full-voltage starting;
    2. develops locked-rotor, breakdown, and pull-up torques adequate 
for general application as specified in sections 12.38, 12.39 and 12.40 
of NEMA MG1-2009 (incorporated by reference, see Sec.  431.15);
    3. draws locked-rotor current not to exceed the values shown in 
section 12.35.1 for 60 hertz and 12.35.2 for 50 hertz of NEMA MG1-2009; 
and
    4. has a slip at rated load of less than 5 percent for motors with 
fewer than 10 poles.

Fire Pump Electric Motor

    An electric motor, including any IEC-equivalent, that meets the 
requirements of section 9.5 of NFPA 20.

Small Electric Motor

    A NEMA general purpose alternating current single-speed induction 
motor, built in a two-digit frame number series in accordance with NEMA 
Standards Publication MG1-1987, including IEC metric equivalent motors.

    Note: Terms used are as defined in 10 CFR 431.12 and 10 CFR 
431.442 in the case of any inadvertent discrepancy, the language of 
the CFR shall prevail.

Definitions

    For a complete list of definitions see http://www.ecfr.gov, 10 CFR 
431, Subpart B, Sec. 431.12, and Subpart X, Sec. 431.442.
    In addition, the following additional terms may be useful:
Core and Iron Losses--The hysteresis and eddy current losses in the 
iron
Hysteresis--When a core is subjected to a magnetic field, there is a 
small residual magnetization that remains on the laminations. When the 
field reverses, energy is required to overcome this residual magnetic 
alignment, which then leaves the core charged in the opposite polarity. 
The energy required to overcome the previous field change is the 
hysteresis losses. Silicon is typically added to the laminations alloy 
to reduce this effect.
Stator Losses--The losses in the stator winding
Rotor losses--The losses in the rotor winding
Friction and windage losses--The mechanical losses due to bearing 
friction and windage
Stray load losses--The additional fundamental and high frequency losses 
in the iron, strand and circulating-current losses in the stator 
winding, and harmonic losses in the rotor conductors under load. These 
losses are assumed to be proportional to the rotor current squared.
Total losses--The difference between the input and output
Input--The electrical power measured at the terminals of the motor
Output--The mechanical power measured at the shaft of the motor

Basic Motor Characteristics

    Synchronous Speed by number of Poles:

------------------------------------------------------------------------
                                                             50 Hz (for
                    Poles                         60 Hz      reference)
------------------------------------------------------------------------
2...........................................         3,600         3,000
4...........................................         1,800         1,500
6...........................................         1,200         1,000
8 (subtype II only).........................           900           750
------------------------------------------------------------------------

                                                            [GRAPHIC] [TIFF OMITTED] TN16MY13.009
                                                            
Basic Operating Principles of Electric Motors

    Electric motors function on the principle of magnetism. In an 
induction motor, the magnetic field (created in the windings of the 
stator) induces a current in the rotor. This rotor current causes a 
secondary magnetic field to be generated in the rotor and the 
interaction of those two fields cause the rotor to turn.
    The rotor is constructed of layers of sheet steel, stacked upon one 
another. Metal bars are placed within the end rings in a cylindrical 
pattern. The end rings connect the metal bars, forming a complete 
circuit within the rotor.
    In a standard AC induction motor, alternating current flows into 
the stator, causing the polarity to alternate between positive and 
negative. If the rotor is spinning, the bars break the stator lines of 
force. This creates current flow within the rotor bars, which, in turn, 
creates magnetic forces operating in circular motion around the rotor 
bars. These forces move in the same direction as the stator forces, 
which add to the magnetic field and cause the rotor to continue 
turning.

Three Phase Motors

    Three phase motors create the rotating field in a manner slightly 
different than when only a single phase is present. Instead of having 
one voltage which oscillates, the AC power is comprised of three 
independent voltages. Each voltage is 120 degrees out of phase from the 
others (i.e., when the first voltage (V1) is at zero, the second (V2) 
is near the maximum (in the positive direction) and the third source 
(V3) is near the maximum (in the negative direction).
    The phases change from positive to negative and back again as the 
AC power cycles. If each phase is connected to an electrically isolated 
winding of a motor, a rotating magnetic field is generated.
    In the United States, AC power oscillates at 60 cycles per second 
(Hz) between positive and negative (60 Hz). This causes a change in the 
stator magnetic field, followed by a change in the rotor magnetic 
field. The change in the rotor lags the change in the stator by 60 
degrees. This lag creates a pull on the rotor to move in the direction 
of the shift, causing rotation.

Internal Factors Affecting Motor Efficiency

    Motor efficiency is defined as the ratio between the total usable 
output power and the total input power, where the input power consists 
of output power, plus losses.
    Heat and friction cause much of the losses in a motor. Motor losses 
are typically divided into five categories:
    1. Core or Iron losses,
    2. Stator losses,
    3. Rotor losses,
    4. Friction and Windage losses, and

[[Page 28817]]

    5. Stray Load losses (see Fig 1 at UL Petition, No. 01, p. 14).
    When all the losses from these five effects are combined, the total 
power loss of a motor can be calculated.
    Power losses are usually observed as heat, which is dissipated from 
the motor frame. By cooling the motor, a reduction in losses is seen. 
Motor design modifications that reduce any of the loss in one of the 
five categories results in a more efficient motor. In other words, 
minimizing losses equals maximizing efficiency.

Core (or Iron) Losses

    Core or iron losses consist of two components: the energy required 
to magnetize the steel lamination of the core, and the current losses 
(I2R) from the (magnetically induced) eddy currents within the core. 
Core losses account for approximately 25% of all losses.
    Core losses can be minimized by using higher grades of steel with 
lower core loss characteristics or using thinner laminations. 
Reductions in losses will result from minimizing eddy current losses. 
Designing motors with longer cores reduces the operating flux density, 
similarly resulting in greater efficiency.

Stator Losses

    Stator losses are caused by the heating of the motor from current 
flow through the windings (I2R). Stator losses vary directly with the 
square of the current multiplied by the winding resistance in ohms. 
Thus, the higher the current flow in the stator, the higher the 
corresponding power losses. Stator losses are the primary source of 
inefficiency for motors, typically making up over 33% of all losses 
generated.

Rotor Losses

    Rotor losses are caused by the heating of the motor from current 
flow through rotor bars and end rings (I2R). Rotor losses, like stator 
losses vary directly with the square of the current multiplied by the 
winding resistance in ohms.
    Rotor losses can be reduced by minimizing the resistance of the 
rotor bars and end rings. Using copper conductor bars and end rings can 
significantly increase motor efficiency (10-20% reduction in losses). 
This is a relatively unused option since it usually requires 
manufacturing parts by hand and special dies to cast the parts.

Friction and Windage Losses

    Friction and windage losses are comprised of bearing friction, wind 
friction within the motor, load created from the motor's cooling fan 
load (if provided) and any other sources of friction or wind in the 
motor. These losses typically account for less than 5% of all losses 
measured.
    Friction and windage losses are not a primary source of loss within 
a motor. However, use of high quality bearings and long lasting 
lubricants can help ensure losses from friction are kept to a minimum. 
Efficient fan designs also reduce loading, thereby reducing losses.

Stray Load Losses

    Stray load losses consist of all other losses within a motor. They 
include leakage created by load currents, manufacturing variations, 
harmonics, and imperfections in the design of the motor. Stray load 
losses account for approximately 10% of the total losses generated. 
Strict quality control (to maintain consistent and reliable 
construction) and optimized motor design (use of updated motor design 
software) can minimize the amount of stray load loss.

External Factors Affecting Motor Efficiency

    The first sections related to motor and motor design. There are 
four additional major factors which influence the motor efficiency once 
the motor is selected: loading and proper sizing, voltage balance, 
maintenance and electronic variable speed (variable frequency) drives 
(VSDs).

Loading and Proper Sizing

    Motors are usually most efficient at or near their designed rating. 
By selecting the proper sized motor for the application (75-100% of 
motor load rating), efficiency can be maximized. You can see in Figure 
2 that the efficiency drops off significantly below 50% of rated load 
and that maximum efficiency does not always occur exactly at 100% of 
full load. (See FIG. 2 in UL Petition, No. 01, p. 16)
    In addition to proper sizing, choosing the proper type of motor can 
reduce motor losses. The National Associate of Electrical Manufacturers 
(NEMA) has guides to help users select design types which maximize 
efficiency.

Voltage Balance

    Voltage balance is another consideration when trying to reduce 
losses. If the voltage supply is unbalanced, all aspects of motor 
performance are affected (i.e. current, speed, temperature, etc.). By 
ensuring that voltages are balanced, the effectiveness and thus 
efficiency of the motor will be maximized.

Maintenance

    Performing regular maintenance on the motor can help reduce losses 
from friction (direct bearings, insufficient lubrication, etc.) and 
windage (broken or dirty fans).

Variable Speed Drives (VSDs)

    Lastly, the use of VSDs can offer significant energy savings over 
using traditional methods of motor/load coupling/matching such as 
belts, pulleys, clutches and the like. Since the motor is controlled 
electronically, no moving parts are required. This all but eliminates 
any losses caused by friction, which can be significant, especially 
when using pulleys or belts.
    In addition, VSDs can control several motors simultaneously, 
thereby ensuring each motor is operating at an optimized speed or 
output.

Energy Efficiency and Motor Size

    Typically larger horsepower motors are inherently more efficient; 
however, it is important to note that the total energy loss can still 
be significant. In Fig. 3, you see that the total losses for a 300 Hp 
motor (which is more than 96% efficient) are roughly equal to the total 
energy input for an 8kW (~10 Hp motor). (See Fig. 3 in UL Petition, No. 
01, p. 18)

Testing Procedure

    Data obtained shall be entered into the most current datasheets. 
For integral horsepower motors, when using the CSA C390 test method, 
the most current datasheets are: C390--calculation--sheet 
(UL)V1.1.1.XLSM
    If using the IEEE 112 test method, use the datasheet included as 
part of the standard. For fractional horsepower motors, when using the 
CSA C747 test method, use: C747--calculation--sheet (UL)V1.2.0.XLSM
    If using the IEEE 114 test method, use the datasheet included as 
part of the standard.
    Copies of C390--calculation--sheet (UL)V1.1.1.XLSM and C747--
calculation--sheet (UL)V1.2.0.XLSM can be obtained from ePublisher or 
by downloading directly from the UL global documents library. Copies of 
the datasheets are also included in Appendix A of this document.
    If you obtain a correlation factor below 0.90, the test shall 
repeated. Prior to reconducting the test, the source of error(s) shall 
be investigated.

Sample Selection

    The motor manufacturer shall provide test data that is developed 
using the

[[Page 28818]]

sample requirements contained in 10 CFR part 431, Section 431.17(a)(b).
    Based upon the data provided, samples will be randomly selected by 
UL staff consisting of production units. These samples shall represent 
the range of motors submitted to verify the initial and ongoing 
compliance. As part of the data analysis, the following factors shall 
be utilized in determining the number and range of samples to be 
selected for the verification testing. A minimum of 20% of the 
manufacturer's initial product submittal shall be audited at the 
manufacturer's facility, or, if the manufacturer is employing an AEDM, 
5 samples of 5 motors (25 motors total) shall be tested and compared 
with the AEDM predicted results.
    Factors to be considered in the selection of samples include (in 
order of general importance), but are not limited to:

(1) Volume of production*
(2) Margin of compliance (any data that shows nominal efficiency 
results close to the minimum should be considered)
(3) Electrical Ratings (number of poles, voltage, horsepower,--a cross 
section of samples, but not necessarily the maximum and minimum, shall 
be considered)
(4) Variations in construction (when both open and enclosed motors are 
submitted, obtaining samples of both are recommended, especially when 
employing AEDMs)

    *If more than two general types are submitted, a minimum of two of 
the samples audited shall be the highest unit volumes of production 
(from the basic types being submitted for review) by the manufacturer 
in the prior year.
    Additional samples for testing may be required if the verification 
testing shows variations from the manufacturer generated data.

    Note: 3 samples of each motor type selected shall be used for 
verification testing.

Assessment of Client Facility

    During the investigation of a client facility, the following 
aspects of the manufacturer's testing lab will be reviewed:
    Quality System--ISO 9001 or 9002 registered or similar quality 
assurance program in place.
    Qualified Personnel--Each technician conducting tests shall be 
assessed for competency and tests reviewed by an authorized signatory.
    Lab Environment--Stable, draft free environment between 10-40[deg] 
C.
    Equipment--Proper equipment  0.2% full scale accuracy 
for voltage, current, power and output torque meters,  3% 
for instrument transformers. Instruments for measuring speed shall be 
accurate within  1 rpm.
    Calibration--All equipment must be annually calibrated by a body 
that can provide traceability to a national standard of measurement.
    Standards--In strict accordance with DOE test procedure 10 CFR Part 
431, Section 431.16.

Project Completion

    Following the testing of the motors, review of test data and 
assessment of the client facility, the project handler shall complete 
the additional steps outlined in the Energy Verification Services (EVS) 
manual, Chapter 3, Project Completion.
    In addition, following the completion of the project, a certificate 
of compliance shall be sent to the manufacturer indicating compliance 
with the appropriate standards (i.e., IEEE 112 or CSA C390-10).

Appendix A

[Appendix A contains example data recording sheets for UL's 
Laboratory Data Package for electric motors. See UL Petition, No. 
XX, pp. 24-37]

Appendix B

[Appendix B contains example data recording sheets for UL's 
Laboratory Data Package for small electric motors. See UL Petition, 
No. XX, pp. 38-52]

Independent Status

    UL does not have or maintain any relationship, direct or indirect, 
with an electric motor manufacturer, importer, distributor, private 
labeler, vendor, trade association or other such entity, that it 
believes might appear to create a conflict of interest for the 
certification program in operating a certification system for 
determining the compliance of small electric motors with the applicable 
energy efficiency standards of the US Department of Energy.
    See Appendix C--Signed and notarized, Statement of Independence.

Appendix C

Statement of Independence

    UL's (defined for the purposes of this document as the UL family 
of companies inclusive) work to test and evaluate electric motors to 
the requirements of the United States Department of Energy 
requirements as described in 10 CFR Part 431 is handled by UL 
Verification Services Inc.
    To put that in context:
    Prior to 1 January 2012, conformity assessment services in the 
UL family of companies were the responsibility of and used assets 
and staff of Underwriters Laboratories Inc. This legal entity was 
founded in 1894 by William Henry Merrill and has operated for over 
118 years as an independent testing and certification laboratory for 
all types of electrical and mechanical equipment. On 1 January 2012 
Underwriters Laboratories Inc. transferred the bulk of its assets, 
staff and intellectual property related to US conformity assessment 
services to a newly formed, wholly owned subsidiary, UL LLC. Some 
staff were also transferred to UL Verification Services Inc., in 
turn, a wholly owned subsidiary of UL LLC. The employees of UL 
Verification Services Inc. are responsible for US conformity 
assessment services related to energy efficiency in general and of 
energy efficiency services for electric motors specifically and of 
energy efficiency services for compliance to US DOE requirements 
most specifically. UL Verification Services utilizes technical staff 
and laboratories of its own and of its parent (UL LLC) in the 
delivery of these energy efficiency services.
    In the interest of full and complete transparency and 
disclosure, entities within the UL family of companies and indeed 
divisions of UL Verification Services do engage in advisory and/or 
consulting services. However, UL has a very strict and documented 
policy which governs these engagements and that governance is 
administered at the highest levels of the UL organization. That 
policy, SOP 00-TC-S0026, Consulting Project Approval SOP, is 
attached for reference.
    UL operates its motor energy efficiency business in strict 
compliance with the provisions of ISO/IEC Guide 65, which states, in 
part:
    The Certification Body shall ensure that activities of related 
bodies do not affect the confidentiality, objectivity and 
impartiality of its certifications and it shall not:
    1. Supply or design products of the type it certifies,
    2. Give advice or provide consultancy services to the applicant 
as to methods of dealing with matters which are barriers to the 
certification requested,
    3. Provide any other products or services, which could 
compromise the confidentiality, objectivity or impartiality of its 
certification process and decision.
    In addition, though, in the conduct of its business, UL is 
frequently called upon to write and present technical papers and 
other presentations to industry and/or trade organizations of the 
electric motor industry, neither UL nor any of its staff engaged in 
the work of energy efficiency testing to US Department of Energy 
requirements is a member of any such organization, receives 
compensation from any such organization except for that compensation 
directly related to the test, evaluation and certification of 
electric motors nor does UL or any of its staff engaged in the work 
of energy efficiency testing to US Department of Energy requirements 
have or maintain any relationship, direct or indirect, with an 
electric motor manufacturer, importer, distributor, private labeler, 
vendor, trade association or other such entity, or have or maintain 
any other relationship that it believes might appear to create a 
conflict of interest for the certification program in operating a 
certification system for determining the compliance of small 
electric

[[Page 28819]]

motors with the applicable energy efficiency standards.

State of TEXAS

SS: County of COLLIN

    Before me, the undersigned notary public, this day, personally, 
appeared Michael Shows to me known, who being duly sworn according 
to law, deposes the following:
(Affiant's Statement)
/s/ Michael Shows------------------------------------------------------

Michael Shows

Director--Global Technical Research, UL Verification Services

    Subscribed and sworn to before me this 20th day of February, 
2013.

/s/ Terri T. Thomas, Notary Public-------------------------------------

My Commission Expires: 2-10-2014
[To view the signed copy of this document, see UL Petition, No. 01, 
pp. 54-55]

Qualification of UL LLC and UL Verification Services Inc. To Operate a 
Certification System

    1. Prior to 1 January 2012, conformity assessment services in the 
UL family of companies were the responsibility of and used assets and 
staff of Underwriters Laboratories Inc. This legal entity was founded 
in 1894 by William Henry Merrill and has operated for over 119 years as 
an independent testing and certification laboratory for all types of 
electrical and mechanical equipment. On 1 January 2012 Underwriters 
Laboratories Inc. transferred the bulk of its assets, staff and 
intellectual property related to US conformity assessment services to a 
newly formed, wholly owned subsidiary UL LLC. Some staff were also 
transferred to UL Verification Services Inc., a wholly owned subsidiary 
of UL LLC. The employees of UL Verification Services Inc. are 
responsible for US conformity assessment services related to energy 
efficiency in general and of energy efficiency service for electric 
motors specifically.
    UL Verification Services utilizes technical staff and laboratories 
of its own and of its parent (UL LLC) in the delivery of energy 
efficiency services.
    2. The UL family of companies maintain over 100 different 
accreditations as a product certification body (ISO/IEC Guide 65) or 
testing laboratory (ISO/IEC 17025) in a wide range of technical and 
service areas. The following accreditations and other recognitions 
demonstrate the qualification of UL Verification Services Inc. (along 
with its parent company UL LLC) to operate a certification system in a 
highly competent manner, particularly in the field of energy 
efficiency.
    3. Underwriters Laboratories Inc. has been a Recognized product 
safety certification organization by the U.S. Occupational Safety and 
Health Administration (OSHA) under the Nationally Recognized Testing 
Laboratory program (29 CFR 1910.7) since 1988. (Efforts are underway to 
transfer this Recognition to UL LLC). The current Certificate of 
Recognition from OSHA is included as Appendix D. Underwriters 
Laboratories Inc.'s scope of OSHA NRTL Recognition includes standards 
for the electrical safety of small electric motors (UL 1004-1--Rotating 
Electrical Machines--General Requirements, UL 1004-2--Impedance 
Protected Motors, UL 1004-3--Thermally Protected Motors, UL 1004-4--
Electric Generators, UL 1004-5--Fire Pump Motors, UL 1004-6--Servo and 
Stepper Motors, UL 1004-7--Electronically Protected Motors, UL 1004-8--
Inverter Duty Motors).
    4. UL LLC and UL Verification Services Inc. are both accredited 
product certification organizations to ISO/IEC Guide 65, ``General 
requirements for bodies operating product certification systems,'' by 
the American National Standards Institute (ANSI). Both these 
accreditations are based on previous ANSI accreditation of Underwriters 
Laboratories Inc. which has been in place for 15 years. The scope of 
ANSI accreditation of UL Verification Services includes energy 
efficiency certification services including the EPA EnergyStar program. 
Based on this ANSI accreditation UL Verification Services Inc. is an 
EPARecognized Certification Body for EnergyStar as shown at http://corporate.ul.com/depts/accreditation/index.htm. The scope of ANSI 
accreditation of UL LLC includes the UL product safety certification of 
small electric motors (same coverage as OSHA NRTL Recognition). The 
current ANSI accreditation certificates for UL LLC and for UL 
Verification Services Inc. are included as Appendix E--ANSI 
Accreditations.
    5. The U.S. Department of Energy recognized the Energy Verification 
Services Program of Underwriters Laboratories Inc. as a Nationally 
Recognized Certification Program in a Federal Register Notice dated 27 
December 2002 (67 FR 79490). This Energy Verification Services Program 
has also been under the scope of the above ANSI accreditation for more 
than 10 years and today is the responsibility of UL Verification 
Services Inc. While improvements in the program have been made on an 
ongoing basis the general principles of the program remain the same and 
this program is the basis for this new petition for U.S. DOE 
Recognition as a Nationally Recognized Certification Program for small 
electric motors. UL Verification Services Inc. is responsible for the 
Energy Verification Services Program and also offers the Energy 
Efficiency Certification Program. The Energy Efficiency Certification 
Program utilizes the EPA Energy Star certification process for products 
not within the scope of the EPA EnergyStar program.
    6. ISO/IEC Guide 65 requires all testing laboratories utilized in 
the certification process to meet applicable requirements in ISO/IEC 
17025:2005. As a result, assessment to ISO/IEC Guide 65 for the above 
accreditations includes assessment of the process used to meet ISO/IEC 
17025 by the involved testing laboratories. UL LLC and UL Verification 
Services Inc. utilize primarily internal resources (including internal 
audit and management review) to demonstrate fulfillment of ISO/IEC 
17025 by internal testing laboratories. Those internal resources and 
processes are assessed by ANSI and OSHA as part of their ISO/IEC Guide 
65 assessments.
    7. In addition to internal mechanisms to fulfill ISO/IEC 17025, the 
internal laboratories involved in UL LLC and UL Verification Service 
Inc. product certification are accredited to ISO/IEC 17025. Numerous 
laboratory accreditations are in place for many laboratories. Included 
with this petition are Certificates of Laboratory Accreditation for the 
laboratories at Northbrook IL (from the Standards Council of Canada and 
International Accreditation Service) and Plano TX (from the 
International Accreditation Service). These are included as Appendix 
F--Certificates of Laboratory Accreditations. Many other laboratory 
accreditation certificates can be provided to show the extensive 
experience with fulfillment of ISO/IEC 17025.

Appendix D

OSHA NRTL Certificate of Recognition

[To view the Certificates of Recognition issued to UL by OSHA, see 
UL Petition, No. 01, pp. 58-59]

Appendix E

ANSI Accreditations

[To view the Certificates of Accreditation issued to UL by ANSI, see 
UL Petition, No. 01, pp. 60-68]

Appendix F

Standards Counsel of Canada and IAS Accreditations

[To view the Certificates of Laboratory Accreditation issued to UL 
by the Standards Council of Canada and the International 
Accreditation Service, see UL Petition, No. 01, pp. 69-73]

[[Page 28820]]

Expertise in Motor Test Procedures

General

    UL has been in the business of certifying electric motors since 
just a few years after the first alternating current electric motor was 
patented in August of 1890. At present, we maintain well over 10,000 
motor certification reports with, on average, 15 models in each report.
    UL has been providing Energy Verification certification services 
since 1995. UL has evaluated motors in sizes ranging from \1/4\ Hp to 
500 Hp using the standards IEEE 112 Test Methods A and B, CSA C390, CSA 
C747 and IEEE 114 and was one of the first certification organizations 
to be classified by the U.S. Department of Energy as a nationally 
recognized certification program for electric motor efficiency (see 
Federal Register Vol. 67, No. 249 Friday, December 27, 2002 Notices). 
As of the date of this Petition, UL has certified 518 motors to U.S. 
DOE requirements and an approximately equal number to NRCan 
requirements.
    Review of the attached Products Verified to Energy Efficient 
Standards will reveal the number of manufacturers and models that UL 
currently maintains Listings for in each category. UL Energy 
Verification Certifications can also be accessed on-line by using the 
following address: http://www.ul.com/database/index.htm.

Personnel

    UL's technical organizational structure is characterized by a 
hierarchical and robust system of checks and balances.
    L1--Laboratory technicians are assessed and certified to conduct 
testing and are bound by Laboratory Procedural Guides (LPGs). The guide 
for energy efficiency work for electric motors is included in pages 8-
22 of this document. The guide serves as an adjunct or practical 
application guide to the actual technical requirements which are 
contained in the Standard. The work of L1's is reviewed by L2's.
    L2--Project Handlers are assessed and certified to conduct 
engineering evaluations to specific product categories and to review 
the lab results and work of the L1's. In turn, the work of L2's is 
reviewed by L3's.
    L3--Reviewers are each assessed by The Principal Engineer (PDE) for 
the product category, in this case, electric motor energy efficiency. 
Reviewers provide the final review of the evaluation and test and make 
the final certification decision.
    Regional Lead Reviewer (RLR or L4)--UL has one senior engineer in 
each of its 3 Regions (Europe/Latin America, Asia, North America). It 
is the responsibility of the RLR to oversee the quality and consistency 
of work within their Region and to serve as the focus of technical 
questions or issues arising within the Region. These individuals, from 
a technical standpoint, report up to the PDE or Principal Engineer for 
the product category.
    Principal Engineer or Primary Designated Engineer (PDE--The PDE for 
the product category has global responsibility for Standards, 
guidelines, datasheets, technical training, etc. and serves as the 
final word on technical questions/decisions arising in the product 
category. PDEs are further responsible for writing/presenting technical 
white papers and representing UL in industry organizations and 
international standards making committees. PDEs are selected by UL's 
Global Chief Engineer for technical knowledge and experience in their 
respective product categories. Out of an organization of almost 12,000 
staff, UL has 82 PDEs.

[FR Doc. 2013-11698 Filed 5-15-13; 8:45 am]
BILLING CODE 6450-01-P
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