Federal Register / Vol. 86, No. 143 / Thursday, July 29, 2021 / Rules and Regulations 40765 

was limited interest in pursuing 

reprocessing activities in the near future 

(within 10 to 20 years). 

The NRC also engaged staff from the 

DOE’s Office of Nuclear Energy to 

exchange information regarding 

developments in reprocessing efforts 

and technologies, particularly in 

reprocessing of spent fuel for advanced 

reactors. The DOE efforts in the area of 

reprocessing are aimed at providing a 

limited near-term supply of high-assay 

low-enriched uranium (HALEU) for 

initial advanced reactor designs. These 

DOE reprocessing initiatives do not 

require NRC licensing. The NRC is not 

aware of any other DOE initiatives to 

reprocess light water reactor spent fuel 

or potential commercial efforts to 

reprocess spent HALEU fuel for reuse in 

advanced reactors. 

In the event that the NRC receives an 

application for a commercial 

reprocessing facility, the NRC could use 

its existing regulatory framework under 

part 50 of title 10 of the Code of Federal 

Regulations (10 CFR), ‘‘Domestic 

Licensing of Production and Utilization 

Facilities’’ for any near-term licensing 

needs, because a reprocessing facility is 

a type of production facility as defined 

in § 50.2, ‘‘Definitions.’’ Should an 

applicant submit such an application, 

there would likely be a need for 

exemptions from certain 10 CFR part 50 

requirements. In such cases, the NRC 

could leverage knowledge from the gap 

analysis in SECY–13–0093 in 

considering any exemptions. 

The NRC’s decision to discontinue 

this rulemaking is based on the 

estimated costs to conduct the 

rulemaking and the limited interest 

expressed or expected from industry to 

submit an application for any type of 

facility involving reprocessing 

technologies in the near-term. The staff 

estimates that $2.5 million would be 

needed to complete a regulatory basis, 

develop and issue guidance, and 

develop a proposed and final rule. 

Therefore, while a rule would provide 

additional clarity for potential 

applicants, the NRC concludes that it is 

not warranted at this time. 

III. Availability of Documents 

The documents identified in the 

following table are available to 

interested persons in the ADAMS Public 

Documents collection. 

Document ADAMS 

Accession No. 

SRM–SECY–13–0093, ‘‘Reprocessing Regulatory Framework—Status and Next Steps,’’ dated November 4, 2013 ..................... ML13308A403 

Summary of March 4, 2020 Public Meeting to Discuss Status of Spent Fuel Reprocessing Rulemaking, dated March 16, 2020 .. ML20077K146 

SRM–SECY–15–0129, ‘‘Commission Involvement in Early Stages of Rulemaking,’’ dated February 3, 2016 ................................. ML16034A441 

E-mail and Letter from R. McCullum: NEI Comments on Spent Fuel Reprocessing Rulemaking, dated May 28, 2020 .................. ML20154K554 

E-mail and Letter from J. Starkey: ANS Comments on Spent Fuel Reprocessing Rulemaking, dated May 28, 2020 ..................... ML20154K530 

SECY–21–0026, ‘‘Discontinuation of Rulemaking—Spent Fuel Reprocessing,’’ dated March 5, 2021 ............................................ ML20301A387 

IV. Conclusion 

The NRC is no longer pursuing 

rulemaking for spent fuel reprocessing 

facilities for the reasons discussed in 

this document. In the next edition of the 

Unified Agenda, the NRC will update 

the entry for this rulemaking activity 

and reference this document to indicate 

that the rulemaking activity is no longer 

being pursued. This rulemaking activity 

will appear in the completed actions 

section of that edition of the Unified 

Agenda but will not appear in future 

editions. If the NRC decides to pursue 

similar or related rulemaking activities 

in the future, it will inform the public 

through new rulemaking entries in the 

Unified Agenda. 

Dated July 26, 2021. 

For the Nuclear Regulatory Commission. 

Annette L. Vietti-Cook, 

Secretary of the Commission. 

[FR Doc. 2021–16173 Filed 7–28–21; 8:45 am] 

BILLING CODE 7590–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 431 

[EERE–2017–BT–STD–0048] 

RIN 1904–AE38 

Energy Conservation Program: Test 

Procedure for Dedicated-Purpose Pool 

Pump Motors 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Final rule. 

SUMMARY: On October 5, 2020, the U.S. 

Department of Energy (‘‘DOE’’) issued a 

notice of proposed rulemaking 

(‘‘NOPR’’) to establish a test procedure 

and an accompanying labeling 

requirement for dedicated purpose pool 

pump (‘‘DPPP’’) motors. This final rule 

establishes a test procedure for DPPP 

motors. Specifically, the final rule 

incorporates by reference an industry 

standard pertaining to DPPP definitions; 

and requires the use of an industry 

testing standard for testing the energy 

efficiency of DPPP motors. This final 

rule does not establish a labeling 

requirement and DOE intends to address 

any such labeling and/or energy 

conservation standards requirement in a 

separate notification. 

DATES: The effective date of this rule is 

September 27, 2021. The incorporation 

by reference of certain publications 

listed in this rule is approved by the 

Director of the Federal Register as of 

September 27, 2021. 

ADDRESSES: The docket, which includes 

Federal Register notices, public meeting 

attendee lists and transcripts, 

comments, and other supporting 

documents/materials, is available for 

review at www.regulations.gov. All 

documents in the docket are listed in 

the www.regulations.gov index. 

However, some documents listed in the 

index, such as those containing 

information that is exempt from public 

disclosure, may not be publicly 

available. 

A link to the docket web page can be 

found at www.regulations.gov/ 

docket?D=EERE-2017-BT-STD-0048. 

The docket web page contains 

instructions on how to access all 

documents, including public comments, 

in the docket. 

For further information on how to 

review the docket contact the Appliance 

and Equipment Standards Program staff 

at (202) 287–1445 or by email: 

ApplianceStandardsQuestions@

ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Jeremy Dommu, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Office, EE–2J, 1000 

Independence Avenue SW, Washington, 


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1An electric motor is defined as ‘‘a machine that 

converts electrical power into rotational mechanical 

power.’’ 10 CFR 431.12. 

2All references to EPCA in this document refer 

to the statute as amended through the Energy Act 

of 2020, Public Law 116–260 (Dec. 27, 2020). 

3For editorial reasons, upon codification in the 

U.S. Code, Part C was redesignated Part A–1. 

DC 20585–0121. Telephone: (202) 586– 

9870. Email 

ApplianceStandardsQuestions@

ee.doe.gov. 

Ms. Amelia Whiting, U.S. Department 

of Energy, Office of the General Counsel, 

GC–33, 1000 Independence Avenue SW, 

Washington, DC 20585–0121. 

Telephone: (202) 586–2588. Email: 

amelia.whiting@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: DOE 

incorporates by reference the following 

industry standards into 10 CFR part 431: 

CSA C747–09 (Reaffirmed 2014), 

‘‘Energy Efficiency Test Methods for 

Small Motors,’’ as revised through 

August 2016, including Update No. 1. 

Copies of CSA C747–09, can be 

obtained from the Canadian Standards 

Association (‘‘CSA’’), Sales Department, 

5060 Spectrum Way, Suite 100, 

Mississauga, Ontario, L4W 5N6, Canada, 

1–800–463–6727, or https://

www.csagroup.org/store. 

UL 1004–10:2020, ‘‘Standard for 

Safety for Pool Pump Motors’’, First 

Edition, Dated February 28, 2020. 

Copies of UL 1004–10:2020, Edition 1, 

can be obtained from Underwriters 

Laboratories (‘‘UL’’), 333 Pfingsten 

Road, Northbrook, Illinois, 60062, (841) 

272–8800 or https://www.ul.com. 

For a further discussion of these 

standards, see section IV.N. 

Table of Contents 

I. Authority and Background 

A. Authority 

B. Background 

II. Synopsis of the Final Rule 

III. Discussion 

A. Scope of Applicability 

B. Definitions 

C. Test Procedures 

D. Metric 

E. Harmonization With Industry Standards 

F. Effective Date 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under the Paperwork Reduction 

Act of 1995 

D. Review Under the National 

Environmental Policy Act of 1969 

E. Review Under Executive Order 13132, 

‘‘Federalism’’ 

F. Review Under Executive Order 12988, 

‘‘Civil Justice Reform’’ 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under the Treasury and General 

Government Appropriations Act, 1999 

I. Review Under Executive Order 12630 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

K. Review Under Executive Order 13211 

L. Review Under Section 32 of the Federal 

Energy Administration Act of 1974 

M. Congressional Notification 

N. Description of Materials Incorporated by 

Reference 

V. Approval of the Office of the Secretary 

I. Authority and Background 

Electric motors are included in the list 

of ‘‘covered equipment’’ for which DOE 

is authorized to establish and amend 

energy conservation standards, test 

procedures, and labeling requirements. 

(42 U.S.C. 6311)(1)(A)). Electric motors 

include dedicated-purpose pool pump 

motors (‘‘DPPP motors’’ or ‘‘pool pump 

motors’’), the subject of this 

rulemaking.1 The following sections 

discuss DOE’s authority to establish a 

test procedure for DPPP motors, and 

relevant background information 

regarding DOE’s consideration of a test 

procedure for this equipment. 

A. Authority 

The Energy Policy and Conservation 

Act, as amended (‘‘EPCA’’),2 among 

other things, authorizes DOE to regulate 

the energy efficiency of a number of 

consumer products and certain 

industrial equipment. (42 U.S.C. 6291– 

6317) Title III, Part C 3 of EPCA, added 

by Public Law 95–619, Title IV, section 

441(a), established the Energy 

Conservation Program for Certain 

Industrial Equipment, which sets forth a 

variety of provisions designed to 

improve energy efficiency. This 

equipment includes those electric 

motors that are DPPP motors, the subject 

of this document. (42 U.S.C. 6311(1)(A)) 

The energy conservation program 

under EPCA consists essentially of four 

parts: (1) Testing, (2) labeling, (3) 

Federal energy conservation standards, 

and (4) certification and enforcement 

procedures. Relevant provisions of 

EPCA specifically include definitions 

(42 U.S.C. 6311), energy conservation 

standards (42 U.S.C. 6313), test 

procedures (42 U.S.C. 6314), labeling 

provisions (42 U.S.C. 6315), and the 

authority to require information and 

reports from manufacturers (42 U.S.C. 

6316). 

The Federal testing requirements 

consist of test procedures that 

manufacturers of covered equipment 

must use as the basis for: (1) Certifying 

to DOE that their equipment complies 

with the applicable energy conservation 

standards adopted pursuant to EPCA (42 

U.S.C. 6316(a); 42 U.S.C. 6295(s)), and 

(2) making representations about the 

efficiency of that equipment (42 U.S.C. 

6314(d)). Similarly, DOE must use these 

test procedures to determine whether 

the equipment complies with relevant 

standards promulgated under EPCA. (42 

U.S.C. 6316(a); 42 U.S.C. 6295(s)) 

Federal energy efficiency 

requirements for covered equipment 

established under EPCA generally 

supersede State laws and regulations 

concerning energy conservation testing, 

labeling, and standards. (42 U.S.C. 

6316(a) and (b); 42 U.S.C. 6297) 

Under 42 U.S.C. 6314, EPCA outlines 

the criteria and procedures DOE must 

follow in prescribing test procedures for 

covered equipment. EPCA requires that 

any test procedure prescribed or 

amended under this section must be 

reasonably designed to produce test 

results which reflect energy efficiency, 

energy use, and estimated operating 

costs of a type of industrial equipment 

(or class thereof) during a representative 

average use cycle (as determined by the 

Secretary), and shall not be unduly 

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

6314(a)(2)) Before issuing a final test 

procedure, the Secretary shall publish 

the proposed test procedure in the 

Federal Register and afford interested 

persons an opportunity (of not less than 

45 days’ duration) to present oral and 

written data, views, and arguments on 

the proposed test procedures. (42 U.S.C. 

6314(b)) 

When the Secretary has issued a test 

procedure under section 6314 of EPCA 

for a specific class of industrial 

equipment, the Secretary shall also 

prescribe a labeling rule for that 

equipment, subject to certain statutory 

criteria. (42 U.S.C. 6315(a)) EPCA 

establishes specific requirements for the 

labeling of classes of equipment, 

including electric motors, for which test 

procedures have been established. (42 

U.S.C. 6315(a), (b) and (d)) The labeling 

rule shall provide that the labeling of 

any electric motor manufactured after 

the 12-month period beginning on the 

date the Secretary prescribes such 

labeling rules, shall: (1) Indicate the 

energy efficiency of the motor on the 

permanent nameplate attached to such 

motor; (2) prominently display the 

energy efficiency of the motor in 

equipment catalogs and other material 

used to market the equipment; and (3) 

include such other markings as the 

Secretary determines necessary solely to 

facilitate enforcement of the standards 

established for electric motors under 

section 6313 of this title. (42 U.S.C. 

6315(d)) DOE is publishing this final 

rule to establish a test procedure for 

DPPP motors pursuant to its authority 

under EPCA. As stated, DOE intends to 

address labeling in a separate 

notification. 


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4The current energy conservation standards at 10 

CFR 431.425 apply to electric motors that satisfy 

nine criteria listed at 10 CFR 431.425(g), subject to 

the exemptions listed at 10 CFR 431.25(l). The nine 

criteria are as follows: (1) Are single-speed, 

induction motors; (2) are rated for continuous duty 

(MG1) operation or for duty type S1 (IEC); (3) 

contain a squirrel-cage (MG1) or cage (IEC) rotor; (4) 

operate on polyphase alternating current 60-hertz 

sinusoidal line power; (5) are rated 600 volts or less; 

(6) have a 2-, 4-, 6-, or 8-pole configuration; (7) are 

built in a three digit or four-digit NEMA frame size 

(or IEC metric equivalent), including those designs 

between two consecutive NEMA frame sizes (or IEC 

metric equivalent), or an enclosed 56 NEMA frame 

size (or IEC metric equivalent); (8) produce at least 

one horsepower (0.746 kW) but not greater than 500 

horsepower (373 kW), and; (9) meet all of the 

performance requirements of one of the following 

motor types: A NEMA Design A, B, or C motor or 

an IEC Design N or H motor. The exemptions listed 

at 10 CFR 431.25(l) are: (1) Air-over electric motors; 

(2) component sets of an electric motor; (3) liquidcooled electric motors; (4) submersible electric 

motors; and (5) inverter-only electric motors. 

5Both pumps (such as DPPPs) and electric motors 

are treated as covered industrial equipment under 

EPCA, thus providing the legal basis for DOE’s 

authority to regulate these types of equipment. See 

42 U.S.C. 6311(1). 

6EPCA defines an ‘‘energy conservation 

standard’’ as either a performance standard 

prescribing a minimum level of energy efficiency or 

a maximum quantity of energy use for a product or 

a design requirement for a product. See 42 U.S.C. 

6311(18). 

7 DOE confirmed the adoption of the standards 

and the effective date and compliance date in a 

notice published on May 26, 2017. 82 FR 24218. 

DOE also established a test procedure for DPPPs. 82 

FR 36858 (August 7, 2017). 

8The Joint Petitioners are: The Association of 

Pool & Spa Professionals, Alliance to Save Energy, 

American Council for an Energy-Efficient Economy, 

Appliance Standards Awareness Project, Arizona 

Public Service, California Energy Commission, 

California Investor Owned Utilities, Consumer 

Federation of America, Florida Consumer Action 

Network, Hayward Industries, National Electrical 

Manufacturers Association, Natural Resources 

Defense Council, Nidec Motor Corporation, 

Northwest Power and Conservation Council, Pentair 

Water Pool and Spa, Regal Beloit Corporation, 

Speck Pumps, Texas ROSE (Ratepayers’ 

Organization to Save Energy), Waterway Plastics, 

WEG Commercial Motors, and Zodiac Pool 

Systems. 

9The Joint Petition is available at 

www.regulations.gov/document?D=EERE-2017-BTSTD-0048-0014. 

10 Docket No. EERE–2017–BT–STD–0048, 

available at: www.regulations.gov/docket?D=EERE2017-BT-STD-0048. 

11With respect to each of the ex parte 

communications noted in this document, DOE 

posted a memorandum submitted by the interested 

party/parties that summarized the issues discussed 

in the relevant meeting as well as its date and 

attendees, in compliance with DOE’s Guidance on 

Ex Parte Communications. 74 FR 52795–52796 

(Oct. 14, 2009). The memorandum of the meeting 

as well as any documents given to DOE employees 

during the meeting were added to the docket as 

specified in that guidance. See Id. at 74 FR 52796. 

12The parenthetical reference provides a 

reference for information located in the docket of 

DOE’s rulemaking to develop the test procedure 

requirements for DPPP motors. (Docket No. EERE2017-BT-STD-0008, which is maintained at 

www.regulations.gov/#!docketDetail;D=EERE-2017- 

BT-STD-0008). The references are arranged as 

follows: (commenter, comment docket ID number, 

page of that document). 

B. Background 

DPPP motors are electric motors, 

which are defined as machines that 

convert electrical power into rotational 

mechanical power. 10 CFR 431.12. DOE 

has established test procedures, labeling 

requirements, and energy conservation 

standards for certain electric motors (10 

CFR part 431, subpart B), but those 

requirements do not apply to DPPP 

motors subject to the testing 

requirements of this final rule. DPPP 

motors subject to the testing 

requirements of this final rule had not 

previously been subject to any Federal 

energy conservation standards, test 

procedures, or labeling requirements 

because they do not fall within any of 

the specific classes of electric motors 

that are currently regulated by DOE. 4

However, DPPP motors are electric 

motors and, therefore, are and have been 

among the types of industrial equipment 

for which Congress has authorized DOE 

to establish applicable regulations under 

EPCA without need for DOE to 

undertake any additional prior 

administrative action. 

As a general matter, DOE notes that 42 

U.S.C. 6297, as applied to certain 

industrial equipment through 42 U.S.C. 

6316(a), provides that Federal 

preemption applies to testing and 

labeling requirements of equipment 

covered under EPCA.5 See 42 U.S.C. 

6297(a). Federal preemption also 

generally applies to energy use and 

energy efficiency or water use of 

covered products both before and after 

Federal energy conservation standards 

become effective. See 42 U.S.C. 6296(b)– 

(c). In the October 2020 NOPR, DOE 

discussed the historical backdrop of 

electric motor regulation and the 

statutory framework that indicates that 

covered equipment specified by 

Congress (in this case, electric motors) 

are subject to Federal preemption 

regardless of whether Federal energy 

conservation standards, labeling 

requirements, or test procedures have 

been established. 85 FR 62816, 62818. 

Accordingly, DOE notes that efforts by 

States to set energy conservation 

standards, test procedures, or labeling 

requirements for DPPP motors—or any 

other electric motor—are preempted as 

a matter of law.6

On January 18, 2017, DOE published 

a direct final rule establishing energy 

conservation standards for dedicatedpurpose pool pumps (‘‘DPPPs’’). 82 FR 

5650 (the ‘‘January 2017 Direct Final 

Rule’’).7 Acknowledging comments 

received in response to the direct final 

rule in support of regulating DPPP 

motors that would serve as replacement 

motors to the regulated pool pumps, 

DOE published a notice of public 

meeting and held a public meeting on 

August 10, 2017, to consider potential 

scope, definitions, equipment 

characteristics, and metrics for pool 

pump motors. 82 FR 30845 (July 3, 

2017). DOE also requested comment on 

potential requirements for pool pump 

motors in a request for information 

(‘‘RFI’’) pertaining to test procedures for 

small electric motors and electric 

motors. 82 FR 35468, 35474 (July 31, 

2017). On August 14, 2018, DOE 

received a petition submitted by a 

variety of entities (collectively, the 

‘‘Joint Petitioners’’) 8 requesting that 

DOE issue a direct final rule to establish 

prescriptive standards and a labeling 

requirement for DPPP motors (‘‘Joint 

Petition’’).9 The Joint Petitioners sought 

a compliance date of July 19, 2021, to 

align with the standards compliance 

date for DPPPs. (Id.) See also 82 FR 

24218 (May 26, 2017). DOE published a 

notice of the Joint Petition and sought 

comment on whether to proceed with 

the proposal, as well as any data or 

information that could be used in DOE’s 

determination of whether to issue a 

direct final rule. 83 FR 45851 

(September 11, 2018).10

On December 12, 2018, 

representatives from APSP, NEMA, 

Nidec Motors, Regal Beloit, and Zodiac 

met with DOE to reiterate the need for 

implementation of the Joint Petition. 

(December 2018 Ex Parte Meeting, No. 

42 at p. 1) 11 On February 5, 2019, the 

Association of Pool & Spa Professionals 

(‘‘APSP’’), National Electrical 

Manufacturers Association (‘‘NEMA’’), 

Hayward, Pentair, Nidec Motors, Regal 

Beloit, WEG Commercial Motors, and 

Zodiac Pool Systems met with DOE to 

present an alternative approach to the 

Joint Petition, suggesting DOE propose a 

labeling requirement for DPPP motors. 

(February 2019 Ex Parte Meeting, No. 43 

at p. 1) 12 These interested parties 

specifically requested that DOE base the 

labeling requirement on a newlyavailable industry standard for pool 

pump motors published on July 1, 2019 

(UL 1004–10:2019, ‘‘Pool Pump 

Motors’’), a design standard that 

incorporates some of the proposals 

contained in the Joint Petition. 

(February 2019 Ex Parte Slides, No. 43 

at pp. 9–10) A follow-up memorandum 

was submitted to DOE on March 1, 

2019, providing additional information 

related to UL 1004–10:2019. (March 

2019 Ex Parte Memo, No. 44) The 

interested parties noted the timelines 

and costs that would be involved in 


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applying a label to the affected pool 

pump motors and the impacts flowing 

from past labeling efforts. (See generally 

Id. at 1–3.) 

On October 5, 2020, DOE published a 

NOPR proposing to establish a test 

procedure and an accompanying 

labeling requirement for DPPP motors. 

85 FR 62816. (‘‘October 2020 NOPR’’) 

Specifically, DOE proposed to 

incorporate by reference UL Standard 

1004–10:2019 ‘‘Outline of Investigation 

for Pool Pump Motors’’ (‘‘UL 1004– 

10:2019’’) pertaining to DPPP 

definitions and marking requirements; 

require the use of CSA C747–09 

(R2014), ‘‘Energy Efficiency Test 

Methods for Small Motors’’ (‘‘CSA 

C747–09’’) for testing the energy 

efficiency of DPPP motors; require the 

nameplate of a subject DPPP motor (1) 

to include the full-load efficiency of the 

motor as determined under the 

proposed test procedure, and (2) if the 

DPPP motor is certified to UL–1004– 

10:2019, to include the statement, 

‘‘Certified to UL 1004–10:2019’’; require 

that catalogs and marketing materials 

include the full-load efficiency of the 

motor; require manufacturers to notify 

DOE of the subject DPPP motor models 

in current production (according to the 

manufacturer’s model number) and 

whether the motor model is certified to 

UL 1004–10:2019; and require 

manufacturers to report to DOE the fullload efficiency of the subject DPPP 

motor models as determined pursuant to 

the proposed test procedure. 

Additionally, if a DPPP motor model is 

certified to UL 1004–10:2019, DOE 

proposed to require manufacturers to 

report the total horsepower and speed 

configuration of the motor model as 

provided on the nameplate pursuant to 

the UL certification. 85 FR 62816, 

62820. 

DOE received comments in response 

to the proposed test procedure and 

labeling requirements in the October 

2020 NOPR from the interested parties 

listed in Table I.1. 

TABLE I–1—OCTOBER 2020 NOPR WRITTEN COMMENTS

Commenter(s) Reference in this NOPR Commenter type 

Anonymous .................................................................................................................... Anonymous ........................ NA. 

Appliance Standards Awareness Project, Consumer Federation of America, Florida 

Consumer Action Network.

ASAP, CFA, and FCAN ..... Efficiency Organizations. 

California Energy Commission ...................................................................................... CEC .................................... State agency. 

California Investor-Owned Utilities ................................................................................ CA IOUs ............................. Utilities. 

Fluidra ............................................................................................................................ Fluidra ................................ Pool Pump Manufacturer. 

Hayward Industries, Inc ................................................................................................. Hayward ............................. Pool Pump Manufacturer. 

Natural Resources Defense Council ............................................................................. NRDC ................................. Efficiency Organization. 

Nidec Motor Corporation ............................................................................................... Nidec .................................. Motor Manufacturer. 

Northwest Energy Efficiency Alliance and Northwest Power and Conservation Council.NEEA and NWPCC ............ Efficiency Organizations. 

Pentair Water Pool and Spa, Inc ................................................................................... Pentair ................................ Pool Pump Manufacturer. 

Regal Beloit America, Inc .............................................................................................. Regal Beloit ........................ Motor Manufacturer. 

Speck Pumps ................................................................................................................. Speck Pumps ..................... Pool Pump Manufacturer. 

The Pool & Hot Tub Alliance and National Electrical Manufacturers Association ........ PHTA and NEMA ............... Trade Association. 

Underwriters Laboratory LLC ........................................................................................ UL ....................................... Laboratory. 

In this final rule, DOE is not 

establishing a labeling requirement. 

DOE intends to address labeling 

separately. DOE may also consider 

energy conservation standards, but 

would do so separate from this 

rulemaking. Comments received specific 

to labeling or regarding energy 

conservation standards will be 

addressed, as appropriate to the extent 

that DOE addresses either of these 

issues in a separate notice or notices. 

The UL 1004–10:2019 standard 

referenced in the October 2020 NOPR 

has since been replaced by an American 

National Standards Institute (‘‘ANSI’’) 

approved 2020 version published on 

February 28, 2020. This version was 

ANSI-approved on January 23, 2020 and 

therefore, the latest version of the 

standard is UL 1004–10:2020 ‘‘Standard 

for Safety for Pool Pump Motors’’ 

(edition date February 28, 2020). 

II. Synopsis of the Final Rule 

In this final rule, DOE is establishing 

a test procedure for DPPP motors. DOE 

is not, however, establishing separate 

labeling requirements or energy 

conservation standards for the DPPP 

motors within scope of the test 

procedure established in this final rule. 

In this final rule, DOE establishes 

subpart Z within 10 CFR part 431, 

‘‘Dedicated-Purpose Pool Pump 

Motors,’’ which: 

• Specifies that the test procedure 

applies to ‘‘subject DPPP motors’’ (i.e., 

DPPP motors with a total horsepower 

(‘‘THP’’) of less than or equal to 5, but 

does not apply to: (i) DPPP motors that 

are polyphase motors capable of 

operating without a drive and 

distributed in commerce without a drive 

that converts single-phase power to 

polyphase power; (ii) waterfall pump 

motors; (iii) rigid electric spa pump 

motors, (iv) storable electric spa pump 

motors; (v) integral cartridge-filter pool 

pump motors, and (vi) integral sandfilter pool pump motors); 

• Incorporates by reference UL 1004– 

10:2020 ‘‘Standard for Safety for Pool 

Pump Motors’’ (‘‘UL 1004–10:2020’’) 

and reference the definitions of that 

industry standard; and 

• Incorporates by reference CSA 

C747–09 as the energy efficiency test 

method for DPPP motors. 

The effective date for the amended 

test procedures adopted in this final 

rule is 30 days after publication of this 

document in the Federal Register. 

DOE notes that the use of the test 

procedure would not be required for 

Federal certification or labeling 

purposes until such time as DOE were 

to establish a label requirement or 

standards for DPPP motors, (see 42 

U.S.C. 6315(d); 42 U.S.C. 6316(a); 42 

U.S.C. 6295(s))) Accordingly, DOE 

concludes that this test procedure final 

rule would not impose added costs for 

DPPP motor manufacturers. DOE notes 

that, outside of these contexts, effective 

180 days after an applicable test 

procedure for covered equipment is 

prescribed, any other representations by 

manufacturers, distributors, retailers, 

and private labelers about the energy 

consumption or cost of energy for these 

motors must be based on the use of that 

test procedure. (See 42 U.S.C. 

6314(d)(1)) 


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13 Integral cartridge filter pool pumps and integral 

sand filter pool pumps subject to standards do not 

have energy performance requirements. Instead, 

they must be distributed in commerce with a pool 

pump timer that is either integral to the pump or 

a separate component that is shipped with the 

pump. 10 CFR 431.465(g). 

14Fluidra, Hayward, Nidec, Pentair, Regal Beloit 

and Speck Pumps-Pool Products commented in 

support of the comments submitted by NEMA and 

PHTA except where noted otherwise in this notice 

(Fluidra, No. 56 at p. 1; Hayward, No. 62 at p. 1; 

Nidec, No. 58; Pentair, No. 67 at p. 2; Regal Beloit, 

No. 61 at p. 1; Speck Pumps-Pool Products, No. 65 

at p. 1) 

15 DPPP motors are not general-purpose motors 

and therefore do not meet the definition of small 

electric motors. 10 CFR 431.442. Certain DPPP 

motors have similar characteristics to small electric 

motors. They can be single-speed, NEMA 2-digit 

frame size, have open enclosures and can either be 

capacitor-start induction-run, capacitor-start 

capacitor-run or polyphase motors. However, these 

DPPP motors do not meet all the performance 

requirements in section 1.05 of NEMA MG1–1987 

for general purpose motors (i.e. service factor, 

breakdown torque, locked rotor torque); and/or are 

designed, marketed for use in pool pump 

application, or both. Therefore, they do not meet 

the definition of a small electric motor. 

Accordingly, EPCA’s exclusion of small electric 

motors that are a component of a covered product 

or equipment type from the small electric motors 

energy conservation standards does not apply to 

DPPP motors. See 42 U.S.C. 6317(b)(3). 

16A pool pump providing 2.5 HHP typically 

operates using a 5 THP motor. 

III. Discussion 

A. Scope of Applicability 

In the October 2020 NOPR, DOE 

proposed the scope of the test procedure 

and labeling requirements for DPPP 

motors to align with the scope of motors 

used in pool pumps that are subject to 

the standards and for which DOE has 

established an energy performance 

requirement,13 both in terms of capacity 

and categories of equipment (with the 

six exemptions). 85 FR 62816, 62820. 

See also 10 CFR 431.465. In response to 

the October 2020 NOPR, NEMA and 

PHTA supported establishing test 

procedures and a mandatory labeling 

requirements for the pool pump motors 

proposed in scope. (NEMA and PHTA, 

No. 57 at p. 4) Fluidra, Hayward, Nidec, 

Pentair, Regal Beloit and Speck PumpsPool Products all supported NEMA and 

PHTA’s comment regarding scope.14

(Fluidra, No. 56 at p. 1; Hayward, No. 

62 at p. 2; Nidec, No. 58; Pentair, No. 

67 at p. 1; Regal Beloit, No. 61 at p. 1; 

Speck Pumps-Pool Products, No. 65 at 

p. 1) 

The scope of this final rule is that, as 

proposed in the October 2020 NOPR. 

See 85 FR 62816, 62820–62821. As 

noted, this final rule does not establish 

a labeling requirement. The scope of 

this test procedure is all pool pump 

motors with a THP less than or equal to 

5 THP, and excludes six categories of 

motors that correspond to the kinds of 

motors used in pool pumps for which 

DOE has not established performance 

standards. See 10 CFR 431.465. DOE 

notes that DPPP motors are not small 

electric motors as defined under 

EPCA.15 Therefore, the test procedure 

requirements apply to DPPP motors 

regardless of how the equipment is sold: 

i.e., whether incorporated in a DPPP or 

sold separately as a replacement part. 

The scope is the same as the scope 

recommended by the Joint Petitioners, 

which includes pool pump motors 

regardless of how they are sold—i.e., 

incorporated in pool pumps, 

individually sold, and without regard to 

whether the motor is manufactured 

domestically or imported. 83 FR 45851, 

45855. The scope is also the same as the 

scope of UL 1004–10:2020. (See UL 

1004–10:2020 sec. 1.2, 1.3, 1.4) The 

exemptions, for which definitions are 

provided in UL 1004–10:2020, are listed 

as follows: 

• Polyphase motors capable of 

operating without a drive and 

distributed in commerce without a drive 

that converts single-phase power to 

polyphase power, 

• waterfall pump motors, 

• rigid electric spa pump motors, 

• storable electric spa pump motors, 

• integral cartridge-filter pool pump 

motors, and 

• integral sand-filter pool pump 

motors. 

The upper limit of 5 THP 

approximates the scope of the pool 

pumps subject to standards at 10 CFR 

431.465(f), which has an upper bound of 

2.5 hydraulic horsepower (‘‘HHP’’).16

DOE already defines the term 

‘‘dedicated-purpose pool pump motor 

total horsepower’’ at 10 CFR 431.462 

and establishes how it is determined in 

section E.3.4 of 10 CFR part 431, subpart 

Y, appendix C. This approach is 

identical to the characterization of DPPP 

motor THP in UL 1004–10:2020 . (See 

UL 1004–10:2020, sec. 2.6.) UL 1004– 

10:2020 also directs that the DPPP 

motor THP to be permanently marked 

on the nameplate. (See UL 1004– 

10:2020, sec. 7.1.) 

The exemption for polyphase motors 

applies to three-phase motors operating 

on three-phase power supply, which 

means that these motors are most 

commonly used in commercial 

applications and not in residential ones. 

(Residential applications commonly use 

single-phase power.) The exemptions 

for polyphase motors do not exempt 

three-phase motors operating on a 

single-phase power supply (by 

connecting the motor to a drive that 

converts single-phase power to threephase power). This exemption ensures 

that DPPP motors used in pool pumps 

operating on three-phase power, which 

are not subject to energy performance 

requirements under 10 CFR part 431, 

subpart Y, are exempt from the testing 

requirements. The remaining five 

exemptions also exempt DPPP motors 

used in DPPPs that are not subject to 

energy performance requirements under 

10 CFR part 431, subpart Y. 

As discussed, the scope of the test 

procedure requirements is consistent 

with the scope of motors used in pool 

pumps that are subject to standards and 

for which DOE has set an energy 

performance requirement, with the 

scope of UL 1004–10:2020, and with the 

scope recommendations of the Joint 

Petitioners. 

B. Definitions 

In the October 2020 NOPR, DOE 

noted that UL 1004–10:2019 provides 

definitions for certain pool pump 

motors relevant to the marking and 

testing specifications provided in that 

industry test standard. 85 FR 62816, 

62821. DOE noted that while UL 1004– 

10:2019 was referenced in the Joint 

Petition, at the time, UL 1004–10:2019 

was in the process of being developed 

and had not been finalized. Id. (See also 

Joint Petition, No. 14 at p.7) DOE 

presented the main deviations of the 

definitions finalized in UL 1004– 

10:2019 from those recommended by 

the Joint Petitioners in Table III–1 of the 

October 2020 NOPR. 85 FR 62816, 

62821–62822. DOE proposed to 

incorporate by reference definitions 

from UL 1004–10:2019 and requested 

comment on the proposal. 85 FR 62816, 

62822. 

In response to the October 2020 

NOPR, UL commented that the 2019 

version of the UL 1004–10 standard 

referenced in the NOPR has been 

replaced by an American National 

Standards Institute (‘‘ANSI’’) approved 

2020 version published on February 28, 

2020, which includes minor editorial 

changes. UL also provided information 

on the ANSI standard approval process, 

which gathered broader feedback and 

gained consensus from several 

stakeholder types. (UL, No. 63 at pp. 1– 

2) The CA IOUs, NEMA and PHTA 

commented that DOE should 

incorporate by reference the UL 1004– 

10:2020 as it is the most recent version. 

(CA IOUs, No. 64 at p. 5; NEMA and 

PHTA, No. 57 at p. 4) NEMA and PHTA 

stated that the definitions in UL 1004– 

10:2020 were appropriate. NEMA and 

PHTA further referenced UL comments 

regarding the development process for 

UL 1004–10:2020, which NEMA and 

PHTA described as compliant with 

section 32 of the Federal Energy 


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17UL 1004–10:2020 defines a drive as ‘‘a power 

converter, such as a variable-speed drive or phase 

converter’’ Section 2.7 of UL 1004–10:2020. 

18As specified in section 6.5 of CSA C747–09, the 

motor efficiency is measured at no fewer than five 

load points in total, with at least four of which 

being between 25% and 100% of full-load, and at 

least one of which being between 100% and 125% 

of full-load. 

19For variable-speed motors, Section 3 of CSA 

C747–09 defines ‘‘full-load’’ as the rated output 

power at the speed specified by the manufacturer. 

For all other motors, it is defined as the rated 

horsepower of the motor (i.e. the horsepower 

indicated on its nameplate). 

Administration Act of 1974, as amended 

by the Federal Energy Administration 

Authorization Act of 1977 (15 U.S.C. 

788; FEAA). (NEMA and PHTA, No. 57 

at p. 4) 

As noted by commenters, UL 1004–10 

was ANSI approved on January 23, 2020 

and the latest standard is UL 1004– 

10:2020 ‘‘Standard for Safety for Pool 

Pump Motors’’ (edition date February 

28, 2020). DOE reviewed UL 1004– 

10:2020 and only identified minor 

editorial updates compared to UL 1004– 

10:2019 (See UL 1004–10:2020 sec 1.1, 

2.1, 3.1, and 3.2) and did not identify 

any updates to the definitions. 

Therefore, in this final rule, DOE 

incorporates by reference UL 1004– 

10:2020 (see section III.D.3) and 

references the definitions published in 

that industry standard. 

In the October 2020 NOPR, DOE also 

proposed to rely on the term 

‘‘manufacturer’s model number,’’ as 

currently defined in 10 CFR 431.2, as 

the identifier used by a manufacturer to 

uniquely identify the group of identical 

or essentially identical commercial 

equipment to which a particular unit 

belongs and which is generally 

applicable to commercial equipment. 85 

FR 62816, 62822. The manufacturer’s 

model number typically appears on 

equipment nameplates, in equipment 

catalogs and in other product 

advertising literature. 10 CFR 431.2. 

DOE proposed to require manufacturers 

to report to DOE the models in current 

production (according to the 

manufacturer’s model number) to which 

the labeling requirement applies. 85 FR 

62816, 62822. DOE requested comment 

on the proposed use of the term 

‘‘manufacturer’s model number’’ as 

defined at 10 CFR 431.2 for the purpose 

of reporting to DOE. Id. 

NEMA and PHTA commented that a 

manufacturer’s unique identifier is 

needed. NEMA and PHTA 

recommended that a catalog or model 

number be used to describe and track 

subject DPPP motors throughout the 

rule’s requirements, as using the catalog 

or model number would significantly 

reduce the need for updates to the DOE 

database. (NEMA and PHTA, No. 57 at 

p. 5) DOE did not receive any other 

comments regarding using the term 

‘‘manufacturer’s model number.’’ 

DOE proposed a definition of 

‘‘manufacturer’s model number’’ in the 

context of the proposed reporting 

required in conjunction with the 

proposed labeling requirement. As DOE 

is not adopting a labeling requirement 

in this final rule, DOE is not adopting 

the use of the term ‘‘manufacturer’s 

model number’’ in this final rule. 

C. Test Procedures 

As discussed in section I.A.1, EPCA 

provides for the establishment of a test 

procedure for covered equipment. (42 

U.S.C. 6314(a)) The test procedure must 

be reasonably designed to produce 

results reflecting the energy efficiency, 

energy use, and estimated operating 

costs of the covered equipment and not 

be unduly burdensome to conduct. (42 

U.S.C. 6314(a)(2)) While EPCA includes 

specific test procedure-related 

requirements for electric motors, these 

requirements are limited to those motors 

for which standards are applicable. (See 

42 U.S.C. 6314(a)(5)) As there are 

currently no energy conservation 

standards for DPPP motors, these 

specific requirements do not apply. 

In the October 2020 NOPR, consistent 

with the statutory framework, DOE 

proposed to incorporate by reference 

CSA C747–09 (R2014) (published 

October 1, 2009 and reaffirmed in 2014) 

as the prescribed test method for 

evaluating the energy efficiency of the 

pool pump motors in scope. 85 FR 

62816, 62822. This industry-based test 

procedure, which is already prescribed 

by DOE as an alternative testing method 

for evaluating the efficiency of certain 

small electric motors, can be applied to 

the range of electric motors that are used 

in DPPPs—including both single-, 

two-,multi-, and variable-speed DPPP 

motors. CSA C747–09 provides for the 

direct measurement of electrical input 

power to the motor (or to the drive, as 

applicable) 17 and mechanical output 

power (in the form of torque and speed) 

from the motor (i.e., ‘‘input-output’’ 

test), and for the calculation of 

efficiency as the ratio of these two 

values at different load points. 85 FR 

62816, 62822. CSA C747–09 provides 

that the test method is applicable to 

motors with drives (also known as 

‘‘inverters’’ or ‘‘converters’’), such as 

variable-speed drives (see Section 1 and 

Section 4 of CSA C747–09), and twoand multi-speed motors (see Section 6.6 

and 6.7.1 of CSA C747–09), which is 

inclusive of the scope of DPPP motors. 

CSA 747–09 is a commonly used 

industry test method that is reasonably 

designed to produce results reflecting 

the energy efficiency, energy use, and 

estimated operating cost of DPPP motors 

and is not unduly burdensome to 

conduct. 

In response to the October 2020 

NOPR, CA IOUs, NEMA and PHTA 

commented that CSA C747–09 was the 

appropriate test standard for DPPP 

motors and agreed with DOE’s proposal 

to incorporate by reference CSA C747– 

09. (CA IOUs, No. 64 at p. 5; NEMA and 

PHTA, No. 57 at p. 5) DOE did not 

receive any comments opposed to the 

incorporation by reference of CSA 

C747–09. Accordingly, in this final rule, 

DOE incorporates CSA C747–09 by 

reference at 10 CFR 431.482 as the 

prescribed test method for evaluating 

the energy efficiency of the pool pump 

motors in scope. 

D. Metric 

In the October 2020 NOPR, DOE 

noted that section 6.5 of CSA C747–09 

specifies that the motor efficiency must 

be measured at no fewer than five load 

points 18 and proposed that the energy 

efficiency metric for pool pump motors 

to be the full-load efficiency,19

consistent with current industry 

practice. 85 FR 62816, 62822. 

The CA IOUs commented that the 

full-load efficiency metric would 

provide consumer utility when 

combined with the UL certification 

because it would indicate that the pool 

pump would be suitable for use or 

replacement in one of those products. 

(CA IOUs, Public Meeting Transcript, 

No. 55 at p. 62) 

NEMA and PHTA commented in 

support of using the full-load efficiency 

as determined by CSA C747–09 as the 

metric. However, NEMA and PHTA 

noted that CSA C747–09 measures an 

efficiency that includes the losses of 

both the motor and the drive (or 

‘‘control’’). As such, NEMA and PHTA 

recommended that the metric be 

described as a ‘‘motor system 

efficiency’’ (i.e., combined motor and 

drive efficiency) and not as a motor 

efficiency. (NEMA and PHTA, No. 57 at 

p. 5) CA IOUs also recommended 

describing the metric as a motor system 

efficiency. (CA IOUs, No. 64 at pp. 5– 

6) 

Nidec, however, commented that fullload efficiency is not an appropriate 

metric for pool pump motors and 

asserted that it does not capture the 

energy saving benefits of variable-speed 

pool pump motors. Nidec commented 

that the full-load efficiency of a non-UL 

1004–10:2020-compliant single-speed 

pool pump motor measured in 

accordance with CSA C747–09 could be 


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20For example, a motor could have a full-load 

efficiency of 70 percent compared to a motor (70 

percent full-load efficiency) and integrated controls 

(95 percent full-load efficiency) with a full-load 

efficiency of 70 × 95 = 66.5 percent. (Nidec, No. 58) 

21CSA C747–09 uses the term ‘‘inverter’’ motor 

and ‘‘converter,’’ but as evidenced by the definition 

in UL 1004–10:2020, a ‘‘converter’’ and drive are 

synonymous. NEMA MG 1–2016, ‘‘American 

National Standard for Motors and Generators’’ 

paragraph 30.2.1.5 defines the term ‘‘control’’ as 

‘‘devices that are also called inverters and 

converters’’. 

22As the DPPP motors are replacement motors, 

absent a specific drive identified, the applicable 

drive would be that in the dedicated-purpose pool 

pump for which the motor serves as a replacement. 

23This practice implements the National 

Technology Transfer and Advancement Act and 

OMB Circular A–119 with respect to the adoption 

of industry standards. (See 85 FR 8679–8680). 

higher than the efficiency of a UL 1004– 

10:2020-compliant variable-speed 

motor, for which the full-load efficiency 

metric includes the losses of the 

integrated drive.20 Nidec asserted that 

requiring a full-load efficiency metric on 

the motor nameplate would be 

confusing to the end-user and is 

detrimental to the success of 

implementing the rule. (Nidec, No. 58) 

Similarly, Regal Beloit commented that 

a full-load efficiency metric would not 

be effective in assisting consumers in 

making purchasing decisions if singlespeed motors are still allowed on the 

market. (Regal Beloit, Public Meeting 

Transcript, No. 55 at pp. 49–50) 

The definitions related to DPPP 

motors incorporated into this final rule 

includes ‘‘variable-speed control DPPP 

motors.’’ A DPPP motor, including a 

variable-speed control DPPP motor, may 

include a drive which could be 

physically combined with the motor 

into a single unit, may include a drive 

that is physically separate from the 

DPPP motor, or may not include a drive 

but the motor is unable to operate 

without a drive. UL 1004–10:2020 

defines a ‘‘drive’’ as ‘‘a power converter 

such as a variable-speed drive or phase 

converter.’’ (UL 1004–10:2020 sec. 2.7.) 

The term ‘‘drive’’ is used to describe the 

category of speed controls used in 

variable-speed control DPPP motors and 

certain two- and multi-speed DPPP 

motors. (See UL 1004–10:2020 sec. 2.11, 

2.15, 2.16.) When testing motors with 

drives, the drive cannot always be tested 

separately from the motor. 

As stated, DOE proposed to 

incorporate by reference CSA C747–09 

as the prescribed test method for 

evaluating the energy efficiency of the 

pool pump motors in scope. 85 FR 

62816, 62822–62823. When the motor 

requires a drive to operate, CSA C747– 

09 provides that testing includes testing 

of the drive (see Section 4 of CSA C747– 

09).21 Based on its review of catalogs, 

DOE has determined that DPPP motors 

that operate with a drive, either have an 

integrated drive, or are sold in 

conjunction with a drive (including 

when the motor is unable to operate 

without a drive).22 NEMA, PHTA, and 

the CA IOUs, stated manufacturers test 

DPPP motors with drives inclusive of 

the drive. As such, the measured fullload efficiency of the DPPP motor 

includes the efficiency of the drive if a 

drive is integrated into the motor, or the 

motor cannot operate without the 

presence of a drive. 

This final rule maintains the ‘‘fullload efficiency’’ as the description of the 

metric for DPPP motors. DOE is 

concerned that the term ‘‘motor system 

efficiency,’’ or some variant, could be 

misunderstood to mean that the 

measured value includes the efficiency 

of components other than the DPPP 

motor (e.g., as inclusive of the pool 

pump). In addition, not all DPPP motors 

include a drive (e.g., single-speed DPPP 

motors). 

To address stakeholder concerns 

regarding the description of the metric 

and to reflect the inclusion of the drive, 

as appropriate, DOE is clarifying that 

the measured full-load efficiency of the 

DPPP motor is inclusive of the drive if 

the DPPP motor is placed into 

commerce with a drive or is unable to 

operate without the presence of a drive. 

In addition, the provisions of section 4 

of CSA C747 would still apply, and DOE 

adds that the measured full-load 

efficiency of the DPPP motor is also 

inclusive of the drive if the DPPP motor 

requires a drive to operate, regardless of 

whether the DPPP motor is sold with a 

drive. 

E. Harmonization With Industry 

Standards 

On February 14, 2020, DOE finalized 

its rule, ‘‘Procedures for Use in New or 

Revised Energy Conservation Standards 

and Test Procedures for Consumer 

Products and Commercial/Industrial 

Equipment’’ (‘‘the Process Rule’’). 85 FR 

8626. The Process Rule requires DOE to 

adopt industry test standards as DOE 

test procedures for covered products 

and equipment, unless such 

methodology would be unduly 

burdensome to conduct or would not 

produce test results that reflect the 

energy efficiency, energy use, water use 

(as specified in EPCA) or estimated 

operating costs of that equipment during 

a representative use cycle. Section 8(c) 

of appendix A 10 CFR part 430 subpart 

C; 10 CFR 431.4.23 In cases where the 

industry standard does not meet EPCA 

statutory criteria for test procedures, 

DOE will make modifications through 

the rulemaking process to these 

standards as the DOE test procedure. 

The test procedures for DPPP motors 

at new subpart Z to part 431 

incorporates by reference the test 

standard CSA C747–09 (reaffirmed in 

2014), Energy Efficiency Test Methods 

for Small Motors, without modification. 

CSA C747–09 is an industry-accepted 

test procedure that measures the energy 

efficiency of certain motors, and is 

applicable to DPPP motors in scope sold 

in North America. CSA C747–09 

includes specifications for the test 

setup, instrumentation, test conduct, 

and calculations. DOE also incorporates 

by reference UL 1004–10:2020, Standard 

for Safety for Pool Pump Motors, 

without modification, to reference the 

definitions published in the same 

standard. UL 1004–10:2020 establishes 

definitions and marking requirements 

for certain pool pump motors and 

describes methods to verify the 

information conveyed by those required 

markings. 

F. Effective Date 

EPCA prescribes that, if DOE 

establishes or amends a test procedure, 

all representations of energy efficiency 

and energy use, including those made 

on marketing materials and product 

labels, must be made in accordance with 

that test procedure, beginning 180 days 

after publication of such a test 

procedure final rule in the Federal 

Register. (42 U.S.C. 6314(d)(1)) 

If DOE were to establish a new, or 

amend an existing test procedure, EPCA 

provides an allowance for individual 

manufacturers to petition DOE for an 

extension of the 180-day period to begin 

making representations if the 

manufacturer may experience undue 

hardship in meeting the deadline. (42 

U.S.C. 6314(d)(2)) To receive such an 

extension, petitions must be filed with 

DOE no later than 60 days before the 

end of the 180-day period and must 

detail how the manufacturer will 

experience undue hardship. (Id.) 

DOE received a number of comments 

involving the effective and compliance 

dates focusing on the labeling 

requirements proposed in the October 

2020 NOPR. As DOE is not finalizing 

that aspect of the October 2020 NOPR, 

DOE will address those comments in a 

future rulemaking regarding the labeling 

requirements. 

The effective date for the established 

test procedure will be 30 days after 

publication of this final rule in the 

Federal Register. The test procedure 

established in this final rule does not 

require manufacturers to test DPPP 


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24www.sba.gov/document/support-table-sizestandards. Last accessed on December 11, 2020. 

motors for certification of compliance 

with standards or labeling requirements. 

But when manufacturers, distributors, 

retailers, and private labelers make any 

representations respecting the energy 

consumption or cost of energy 

consumed by DPPP motors, such 

representations must be made in 

accordance with the test procedure. (See 

42 U.S.C. 6314(d)(1)) 

IV. Procedural Issues and Regulatory 

Review 

A. Review Under Executive Order 12866 

The Office of Management and Budget 

(‘‘OMB’’) has determined this test 

procedure rulemaking does not 

constitute a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order (‘‘E.O.’’) 12866, Regulatory 

Planning and Review, 58 FR 51735 (Oct. 

4, 1993). Accordingly, this action was 

not subject to review under the 

Executive order by the Office of 

Information and Regulatory Affairs 

(‘‘OIRA’’) in OMB. 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of a final regulatory flexibility analysis 

(FRFA) for any final rule where the 

agency was first required by law to 

publish a proposed rule for public 

comment, unless the agency certifies 

that the rule, if promulgated, will not 

have a significant economic impact on 

a substantial number of small entities. 

As required by Executive Order 13272, 

‘‘Proper Consideration of Small Entities 

in Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: https://energy.gov/ 

gc/office-general-counsel. 

In this final rule, DOE establishes a 

test procedure for DPPP motors. This 

final rule does not establish a labeling 

requirement and DOE intends to address 

any such labeling requirement in a 

separate notice. Further, this final rule 

does not establish energy conservation 

standards for DPPP motors. Were DOE 

to consider energy conservation 

standards for this equipment, it would 

do so in a separate rulemaking. 

DOE reviewed this final rule to 

establish a test procedure for DPPP 

motors under the provisions of the 

Regulatory Flexibility Act and the 

procedures and policies published on 

February 19, 2003. DOE uses the Small 

Business Administration’s (SBA) small 

business size standards to determine 

whether manufacturers qualify as small 

businesses, which are listed by the 

North American Industry Classification 

System (NAICS). The SBA considers a 

business entity to be a small business, 

if, together with its affiliates, it employs 

less than a threshold number of workers 

specified in 13 CFR part 121. The 2017 

NAICS code for DPPP motors is 335312, 

motor and generator manufacturing. The 

threshold number for NAICS code 

335312 is 1,250 employees.24 This 

employee threshold includes all 

employees in a business’s parent 

company and any other subsidiaries. 

As previously stated, use of the test 

procedure would not be required until 

such time as DOE were to establish a 

label requirement or energy 

conservation standards for DPPP 

motors. (See, 42 U.S.C. 6315(d) and 42 

U.S.C. 6314(a)(5)(A), respectively) 

Accordingly, manufacturers would only 

incur costs if/when DOE were to 

establish a labeling and/or energy 

conservation standards for DPPP 

motors. Therefore, DOE estimates that 

the adopted test procedure would not 

result in any DPPP motor manufacturer, 

large or small, to incur any additional 

costs. 

Therefore, DOE certifies that the 

impacts of the adopted test procedure 

requirement in this final rule would not 

have a ‘‘significant economic impact on 

a substantial number of small entities,’’ 

and that the preparation of an FRFA is 

not warranted. DOE has transmitted the 

certification and supporting statement 

of factual basis to the Chief Counsel for 

Advocacy of the Small Business 

Administration for review under 5 

U.S.C. 605(b). 

C. Review Under the Paperwork 

Reduction Act of 1995 

Manufacturers of electric motors must 

certify to DOE that their products 

comply with any applicable energy 

conservation standards. To certify 

compliance, manufacturers must first 

obtain test data for their products 

according to the DOE test procedures, 

including any amendments adopted for 

those test procedures. DOE has 

established regulations for the 

certification and recordkeeping 

requirements for all covered consumer 

products and commercial equipment, 

including electric motors. (See generally 

10 CFR part 429.) The collection-ofinformation requirement for the 

certification and recordkeeping is 

subject to review and approval by OMB 

under the Paperwork Reduction Act 

(‘‘PRA’’). This requirement has been 

approved by OMB under OMB control 

number 1910–1400. Public reporting 

burden for the certification is estimated 

to average 35 hours per response, 

including the time for reviewing 

instructions, searching existing data 

sources, gathering and maintaining the 

data needed, and completing and 

reviewing the collection of information. 

This final rule does not establish any 

certification or recordkeeping 

requirements on manufacturers. 

Notwithstanding any other provision of 

the law, no person is required to 

respond to, nor shall any person be 

subject to a penalty for failure to comply 

with, a collection of information subject 

to the requirements of the PRA, unless 

that collection of information displays a 

currently valid OMB Control Number. 

D. Review Under the National 

Environmental Policy Act of 1969 

Pursuant to the National 

Environmental Policy Act of 1969 

(‘‘NEPA’’), DOE has analyzed this 

proposed action in accordance with 

NEPA and DOE’s NEPA implementing 

regulations (10 CFR part 1021). DOE has 

determined that this rule qualifies for 

categorical exclusion under 10 CFR part 

1021, subpart D, appendix A5, because 

it is an interpretive rulemaking that 

does not change the environmental 

effect of the rule and meets the 

requirements for application of a CX. 

See 10 CFR 1021.410. Therefore, DOE 

has determined that promulgation of 

this rule is not a major Federal action 

significantly affecting the quality of the 

human environment within the meaning 

of NEPA, and does not require an 

Environmental Assessment or an 

Environmental Impact Statement. 

E. Review Under Executive Order 13132, 

‘‘Federalism’’ 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive order also requires agencies to 

have an accountable process to ensure 

meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications. On March 14, 2000, DOE 

published a statement of policy 


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Federal Register / Vol. 86, No. 143 / Thursday, July 29, 2021 / Rules and Regulations 40773 

describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. 65 FR 

13735. DOE examined this final rule 

and determined that it will not have a 

substantial direct effect on the States, on 

the relationship between the National 

Government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. EPCA governs and 

prescribes Federal preemption of State 

regulations as to energy conservation for 

the products that are the subject of this 

final rule. States can petition DOE for 

exemption from such preemption to the 

extent, and based on criteria, set forth in 

EPCA. (42 U.S.C. 6297(d)) No further 

action is required by Executive Order 

13132. 

F. Review Under Executive Order 12988, 

‘‘Civil Justice Reform’’ 

Regarding the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation (1) clearly specifies the 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct 

while promoting simplification and 

burden reduction; (4) specifies the 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires executive agencies to 

review regulations in light of applicable 

standards in sections 3(a) and 3(b) to 

determine whether they are met or it is 

unreasonable to meet one or more of 

them. DOE has completed the required 

review and determined that, to the 

extent permitted by law, this final rule 

meets the relevant standards of 

Executive Order 12988. 

G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (‘‘UMRA’’) requires 

each Federal agency to assess the effects 

of Federal regulatory actions on State, 

local, and Tribal governments and the 

private sector. Public Law 104–4, sec. 

201 (codified at 2 U.S.C. 1531). For a 

regulatory action resulting in a rule that 

may cause the expenditure by State, 

local, and Tribal governments, in the 

aggregate, or by the private sector of 

$100 million or more in any one year 

(adjusted annually for inflation), section 

202 of UMRA requires a Federal agency 

to publish a written statement that 

estimates the resulting costs, benefits, 

and other effects on the national 

economy. (2 U.S.C. 1532(a), (b)) The 

UMRA also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and Tribal governments on a 

proposed ‘‘significant intergovernmental 

mandate,’’ and requires an agency plan 

for giving notice and opportunity for 

timely input to potentially affected 

small governments before establishing 

any requirements that might 

significantly or uniquely affect small 

governments. On March 18, 1997, DOE 

published a statement of policy on its 

process for intergovernmental 

consultation under UMRA. 62 FR 

12820; also available at https://

energy.gov/gc/office-general-counsel. 

DOE examined this final rule according 

to UMRA and its statement of policy 

and determined that the rule contains 

neither an intergovernmental mandate, 

nor a mandate that may result in the 

expenditure of $100 million or more in 

any year, so these requirements do not 

apply. 

H. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Public Law 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

final rule will not have any impact on 

the autonomy or integrity of the family 

as an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

I. Review Under Executive Order 12630 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights’’ 53 FR 8859 

(March 18, 1988), that this regulation 

will not result in any takings that might 

require compensation under the Fifth 

Amendment to the U.S. Constitution. 

J. Review Under Treasury and General 

Government Appropriations Act, 2001 

Section 515 of the Treasury and 

General Government Appropriations 

Act, 2001 (44 U.S.C. 3516 note) provides 

for agencies to review most 

disseminations of information to the 

public under guidelines established by 

each agency pursuant to general 

guidelines issued by OMB. OMB’s 

guidelines were published at 67 FR 

8452 (Feb. 22, 2002), and DOE’s 

guidelines were published at 67 FR 

62446 (Oct. 7, 2002). Pursuant to OMB 

Memorandum M–19–15, Improving 

Implementation of the Information 

Quality Act (April 24, 2019), DOE 

published updated guidelines which are 

available at www.energy.gov/sites/prod/ 

files/2019/12/f70/DOE%20Final

%20Updated%20IQA%20Guidelines

%20Dec%202019.pdf. DOE has 

reviewed this final rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

K. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

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

22, 2001), requires Federal agencies to 

prepare and submit to OMB, a 

Statement of Energy Effects for any 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated or is 

expected to lead to promulgation of a 

final rule, and that (1) is a significant 

regulatory action under Executive Order 

12866, or any successor order; and (2) 

is likely to have a significant adverse 

effect on the supply, distribution, or use 

of energy; or (3) is designated by the 

Administrator of OIRA as a significant 

energy action. For any significant energy 

action, the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use if the 

regulation is implemented, and of 

reasonable alternatives to the action and 

their expected benefits on energy 

supply, distribution, and use. 

This regulatory action is not a 

significant regulatory action under 

Executive Order 12866. Moreover, it 

would not have a significant adverse 

effect on the supply, distribution, or use 

of energy, nor has it been designated as 

a significant energy action by the 

Administrator of OIRA. Therefore, it is 

not a significant energy action, and, 

accordingly, DOE has not prepared a 

Statement of Energy Effects. 


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40774 Federal Register / Vol. 86, No. 143 / Thursday, July 29, 2021 / Rules and Regulations 

L. Review Under Section 32 of the 

Federal Energy Administration Act of 

1974 

Under section 301 of the Department 

of Energy Organization Act (Public Law 

95–91; 42 U.S.C. 7101), DOE must 

comply with section 32 of the Federal 

Energy Administration Act of 1974, as 

amended by the Federal Energy 

Administration Authorization Act of 

1977. (15 U.S.C. 788; FEAA) Section 32 

essentially provides in relevant part 

that, where a proposed rule authorizes 

or requires use of commercial standards, 

the notice of proposed rulemaking must 

inform the public of the use and 

background of such standards. In 

addition, section 32(c) requires DOE to 

consult with the Attorney General and 

the Chairman of the Federal Trade 

Commission (FTC) concerning the 

impact of the commercial or industry 

standards on competition. 

The modifications to the test 

procedure for DPPP motors adopted in 

this final rule incorporates testing 

methods contained the following 

commercial standards: UL 1004– 

10:2020 and CSA C747–09. DOE has 

evaluated these standards and is unable 

to conclude whether it fully complies 

with the requirements of section 32(b) of 

the FEAA (i.e., whether it was 

developed in a manner that fully 

provides for public participation, 

comment, and review.) DOE has 

consulted with both the Attorney 

General and the Chairman of the FTC 

about the impact on competition of 

using the methods contained in these 

standards and has received no 

comments objecting to their use. 

M. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

report to Congress on the promulgation 

of this rule before its effective date. The 

report will state that it has been 

determined that the rule is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 804(2). 

N. Description of Materials Incorporated 

by Reference 

In this final rule, DOE incorporates by 

reference the test standard published by 

CSA, titled, Energy Efficiency Test 

Methods for Small Motors, CSA C747– 

09 (reaffirmed in 2014, including 

Update 1). CSA C747–09 is an industryaccepted test procedure that measures 

the energy efficiency of certain motors, 

and is applicable to pool pump motors 

in scope sold in North America. The test 

procedure references various sections of 

CSA C747–09 that address test setup, 

instrumentation, test conduct, and 

calculations. CSA C747–09 is readily 

available at CSA’s website at https://

webstore.ansi.org/standards/csa/ 

csac74709. 

In this final rule, DOE also 

incorporates by reference the standard 

published by UL, titled, Standard For 

Safety for Pool Pump Motors, UL 1004– 

10:2020. UL 1004–10:2020 establishes 

definitions for certain pool pump 

motors and describes methods to verify 

the information conveyed by those 

required markings. UL 1004–10:2020 is 

readily available at UL’s website at 

www.shopulstandards.com/ 

ProductDetail.aspx?productId=UL1004– 

10_1_S_20200228. 

V. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this final rule. 

List of Subjects in 10 CFR Part 431 

Administrative practice and 

procedure, Confidential business 

information, Energy conservation test 

procedures, Incorporation by reference, 

Reporting and recordkeeping 

requirements. 

Signing Authority 

This document of the Department of 

Energy was signed on July 19, 2021, by 

Kelly Speakes-Backman, Principal 

Deputy Assistant Secretary and Acting 

Assistant Secretary for Energy Efficiency 

and Renewable Energy, pursuant to 

delegated authority from the Secretary 

of Energy. That document with the 

original signature and date is 

maintained by DOE. For administrative 

purposes only, and in compliance with 

requirements of the Office of the Federal 

Register, the undersigned DOE Federal 

Register Liaison Officer has been 

authorized to sign and submit the 

document in electronic format for 

publication, as an official document of 

the Department of Energy. This 

administrative process in no way alters 

the legal effect of this document upon 

publication in the Federal Register. 

Signed in Washington, DC, on July 20, 

2021. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

For the reasons stated in the 

preamble, DOE amends part 431 of 

chapter II of title 10, Code of Federal 

Regulations as follows: 

PART 431—ENERGY EFFICIENCY 

PROGRAM FOR CERTAIN 

COMMERCIAL AND INDUSTRIAL 

EQUIPMENT 

■ 1. The authority citation for part 431 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6317; 28 U.S.C. 

2461 note. 

■ 2. Section 431.11 is amended by 

adding a sentence at the end of the 

paragraph to read as follows: 

§ 431.11 Purpose and scope. 

* * * This subpart does not cover 

electric motors that are ‘‘dedicatedpurpose pool pump motors,’’ which are 

addressed in subpart Z of this part. 

■ 3. Section 431.441 is amended by 

adding a sentence at the end of the 

paragraph to read as follows: 

§ 431.441 Purpose and scope. 

* * * This subpart does not cover 

electric motors that are ‘‘dedicatedpurpose pool pump motors,’’ which are 

addressed in subpart Z of this part. 

■ 4. Add subpart Z, consisting of 

§§ 431.481 through 431.484, to read as 

follows: 

Subpart Z—Dedicated-Purpose Pool Pump 

Motors 

Sec. 

431.481 Purpose and scope. 

431.482 Materials incorporated by 

reference. 

431.483 Definitions. 

431.484 Test procedure. 

§ 431.481 Purpose and scope. 

(a) Purpose. This subpart contains 

definitions and test procedures 

requirements for electric motors that are 

dedicated-purpose pool pump motors, 

pursuant to Part A–1 of Title III of the 

Energy Policy and Conservation Act, as 

amended, 42 U.S.C. 6311–6317. It also 

identifies materials incorporated by 

reference in this part. This subpart does 

not cover other ‘‘electric motors,’’ which 

are addressed in subpart B of this part, 

nor does it cover ‘‘small electric 

motors,’’ which are addressed in subpart 

X of this part. 

(b) Scope. The requirements of this 

subpart apply to dedicated-purpose pool 

pump motors, as specified in paragraphs 

1.2, 1.3 and 1.4 of UL 1004–10:2020 

(incorporated by reference, see 

§ 431.482). 

(c) Incorporation by reference. In 

§ 431.482, DOE incorporates by 

reference entire standards for use in this 

subpart; however, only the provisions of 

the document enumerated in an 

approved section are applicable within 

§ 431.482. 

§ 431.482 Materials incorporated by 

reference. 

(a) General. Certain material is 

incorporated by reference into this 

subpart with the approval of the 

Director of the Federal Register in 

accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 


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other than that specified in this section, 

DOE must publish a document in the 

Federal Register and the material must 

be available to the public. Standards can 

be obtained from the sources in this 

section. All approved material is 

available for inspection at the U.S. 

Department of Energy, Office of Energy 

Efficiency and Renewable Energy, 

Building Technologies Program, sixth 

Floor, 950 L’Enfant Plaza SW, 

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

https://www.energy.gov/eere/buildings/ 

appliance-and-equipment-standardsprogram, and may be obtained from the 

other sources in this section. It is also 

available for inspection at the National 

Archives and Records Administration 

(NARA). For information on the 

availability of this material at NARA, 

email: fedreg.legal@nara.gov, or go to: 

www.archives.gov/federal-register/cfr/ 

ibr-locations.html. 

(b) CSA. Canadian Standards 

Association, Sales Department, 5060 

Spectrum Way, Suite 100, Mississauga, 

Ontario, L4W 5N6, Canada, 1–800–463– 

6727, or https://www.csagroup.org/ 

store. 

(1) CSA C747–09 (Reaffirmed 2014) 

(‘‘CSA C747–09’’), ‘‘Energy efficiency 

test method for small motors’’ as revised 

through August 2016, including Update 

No. 1; IBR approved for § 431.484. 

(2) [Reserved] 

(c) UL. Underwriters Laboratories, 333 

Pfingsten Road, Northbrook, IL 60062, 

(841) 272–8800, or go to https://

www.ul.com. 

(1) UL 1004–10 (1004–10:2020), 

‘‘Standard for Safety for Pool Pump 

Motors,’’ First Edition, Dated February 

28, 2020; IBR approved for §§ 431.481 

and 431.483. 

(2) [Reserved] 

§ 431.483 Definitions. 

The definitions applicable to this 

subpart are defined in Section 2 

‘‘Glossary’’ of UL 1004–10:2020 

(incorporated by reference, see 

§ 431.482). 

§ 431.484 Test procedure. 

(a) Scope. Pursuant to section 343(a) 

of EPCA, this section provides the test 

procedures for measuring the efficiency 

of dedicated-purpose pool pump 

motors. (42 U.S.C. 6314) For purposes of 

this part and EPCA, the test procedures 

for measuring the efficiency of 

dedicated-purpose pool pump motors 

shall be the test procedure specified in 

paragraph (b) of this section. 

(b) Testing and calculations. At such 

time as compliance is required with a 

labeling requirement or an energy 

conservation standard, the full-load 

efficiency of each dedicated-purpose 

pool pump motor model (inclusive of 

the drive, if the dedicated-purpose pool 

pump motor model is placed into 

commerce with a drive, or is unable to 

operate without the presence of a drive) 

is determined in accordance with CSA 

C747–09, Section 1.6 ‘‘Scope’’, Section 

3 ‘‘Definitions’’, Section 4 ‘‘General 

requirements’’, Section 5, ‘‘General test 

requirements’’, and Section 6 ‘‘Test 

method’’ (incorporated by reference, see 

§ 431.482). 

[FR Doc. 2021–15759 Filed 7–28–21; 8:45 am] 

BILLING CODE 6450–01–P 

SMALL BUSINESS ADMINISTRATION 

13 CFR Part 120 

RIN 3245–AH78 

Debt Refinancing in the 504 Loan 

Program 

AGENCY: U.S. Small Business 

Administration (SBA). 

ACTION: Interim final rule with request 

for comments. 

SUMMARY: This interim final rule 

implements section 328 of the Economic 

Aid to Hard-Hit Small Businesses, 

Nonprofits, and Venues Act, which 

revises the requirements for refinancing 

debt in the 504 Loan Program, 

including: For 504 debt refinancing 

involving expansions, increasing the 

amount of existing indebtedness that 

may be refinanced; and for 504 debt 

refinancing not involving expansions, 

removing two limitations on the 

program, reinstating an alternate job 

retention goal for the refinancing 

project, revising the definition of 

qualified debt, and removing the 

prohibition against Certified 

Development Companies (‘‘CDCs’’) 

participating in the Premier Certified 

Lenders Program using their delegated 

authority to make these loans. 

DATES: Effective Date: This rule is 

effective July 29, 2021. 

Comment Date: Comments must be 

received on or before September 27, 

2021. 

ADDRESSES: You may submit comments, 

identified by RIN 3245–AH78, through 

the Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

SBA will post all comments on http:// 

www.regulations.gov. If you wish to 

submit confidential business 

information (CBI) as defined in the User 

Notice at http://www.regulations.gov, 

please submit the information via email 

to 504refi@sba.gov. Highlight the 

information that you consider to be CBI 

and explain why you believe SBA 

should hold this information as 

confidential. SBA will review the 

information and make the final 

determination whether it will publish 

the information. 

FOR FURTHER INFORMATION CONTACT: 

Linda Reilly, Chief, 504 Program 

Branch, Office of Financial Assistance, 

Small Business Administration, 409 3rd 

Street SW, Washington, DC 20416; 

telephone: (202) 604–5032; email: 

linda.reilly@sba.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background Information 

The 504 Loan Program is an SBA 

financing program authorized under 

title V of the Small Business Investment 

Act of 1958, 15 U.S.C. 695 et seq. The 

core mission of the 504 Loan Program is 

to provide long-term financing to small 

businesses for the purchase or 

improvement of land, buildings, and 

major equipment, in an effort to 

facilitate the creation or retention of jobs 

and local economic development. Under 

the 504 Loan Program, loans are made 

to small business applicants by Certified 

Development Companies (‘‘CDCs’’), 

which are certified and regulated by 

SBA to promote economic development 

within their community. In general, a 

project in the 504 Loan Program (a ‘‘504 

Project’’) includes: A loan obtained from 

a private sector lender with a senior lien 

covering at least 50 percent of the 

project cost; a loan obtained from a CDC 

(a ‘‘504 Loan’’) with a junior lien 

covering up to 40 percent of the total 

cost (backed by a 100 percent SBAguaranteed debenture); and a 

contribution from the Borrower of at 

least 10 percent equity. 

In addition, the 504 Loan Program 

may be used to refinance debt under 

two options authorized under section 

502(7)(B) and (C) of the Small Business 

Investment Act of 1958. First, if a 504 

Project involves the expansion of the 

small business, any amount of existing 

indebtedness that does not exceed 50 

percent of the project cost of the 

expansion may be refinanced and added 

to the project’s cost (Debt Refinancing 

with Expansion) under the conditions 

set forth in section 502(7)(B) and the 

implementing regulations. See 13 CFR 

120.882(e) and (f). Second, debt 

refinancing is available for a 504 Project 

that does not involve the expansion of 

the small business under the 

requirements set forth in section 

502(7)(C) and 13 CFR 120.882(g) (Debt 

Refinancing without Expansion). 

Section 328(a) of the Economic Aid to 

Hard-Hit Small Businesses, Nonprofits, 

and Venues Act (Economic Aid Act), 


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