[Federal Register Volume 76, Number 153 (Tuesday, August 9, 2011)]
[Proposed Rules]
[Pages 48745-48749]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-20114]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[Docket No. EERE-2011-BT-CE-0050]
RIN 1904-AC58


Energy Conservation Program: Compliance Date Regarding the Test 
Procedures for Walk-In Coolers and Freezers and the Certification for 
Metal Halide Lamp Ballasts and Fixtures

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

ACTION: Notice of Proposed Rulemaking (NOPR).

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SUMMARY: This document clarifies the compliance date by which 
manufacturers must begin to use portions of a recently promulgated test 
procedure (i.e., the April 15, 2011 final rule) when certifying walk-in 
coolers and walk-in freezers. This document also proposes regulatory 
text changes to reflect U.S. Department of Energy's (DOE) intent that 
only manufacturers of components of walk-in coolers and walk-in 
freezers are required to submit certification reports. Additionally, 
the NOPR proposes clarifications as to the types of test data needed to 
support the certification of compliance per DOE's existing test 
procedures for walk-in coolers and walk-in freezers and the recently 
promulgated test procedure for this equipment. Finally, this document 
proposes to extend the compliance date for certification of metal 
halide lamp ballasts and fixtures.

DATES: DOE will accept comments, data, and information regarding the 
notice of proposed rulemaking (NOPR) postmarked no later than August 
30, 2011. See section III, ``Public Participation,'' for details.

ADDRESSES: Any comments submitted must identify the NOPR for walk-in 
coolers and walk-in freezers and metal halide lamp ballasts and 
fixtures by providing the docket number EERE-2011-BT-CE-0050 and/or RIN 
number 1904-AC58. Comments may be submitted using any of the following 
methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include docket 
number EERE-2011-BT-CE-0050 and/or RIN 1904-AC58 in the subject line of 
the message. Submit electronic comments in WordPerfect, Microsoft Word, 
PDF, or ASCII file format and avoid the use of special characters or 
any form of encryption.
     Postal 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., 6th 
Floor, Washington, DC 20024. Please submit one signed original paper 
copy.
    Docket: For access to the docket to read background documents or 
comments received, visit the U.S. Department of Energy, Resource Room 
of the Building Technologies Program, 950 L'Enfant Plaza, SW., 6th 
Floor, Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m. 
Monday

[[Page 48746]]

through Friday, except Federal holidays. Please call Ms. Brenda Edwards 
at the above telephone number for additional information regarding 
visiting the Resource Room. Please note: DOE's Freedom of Information 
Reading Room (Room 1E-190 at the Forrestal Building) no longer houses 
rulemaking materials.

FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Building 
Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, 
DC 20585-0121. E-mail: [email protected].
    In the Office of the General Counsel, contact Ms. Laura Barhydt, 
U.S. Department of Energy, Office of the General Counsel, GC-32, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 
287-5772. E-mail: [email protected].

SUPPLEMENTARY INFORMATION: 

I. Background

    The Energy Policy and Conservation Act (EPCA), as amended by 
section 312(c) of the Energy Independence and Security Act (EISA 2007), 
requires the DOE to prescribe a test procedure to measure the energy 
use of walk-in coolers and freezers (collectively, walk-ins). See 42 
U.S.C. 6314(a). DOE recently satisfied this requirement by issuing a 
final rule establishing a test procedure for manufacturers to use when 
measuring the energy use or energy efficiency of certain walk-in 
components: panels, non-display doors, display doors, and refrigeration 
systems. See 76 FR 21580 (April 15, 2011) (final rule prescribing walk-
in test procedures) and 76 FR 33631 (June 9, 2011) (notice containing 
corrected formulas).
    Since the publication of that rulemaking, DOE recognized a need to 
clarify the date by which manufacturers must begin using the test 
procedure. The SUMMARY and DATES sections of the preamble text to the 
final rule stated that the test procedures will be mandatory for making 
representations of energy usage or energy efficiency starting October 
12, 2011; that is, 180 days after publication of the test procedure 
final rule. In this notice, DOE proposes to add regulatory text to 
clarify that the compliance date for using the test procedure for 
certifications of compliance is the same as the date for compliance 
with the energy conservation standards currently under development. DOE 
plans to issue the final rule by 2012 and manufacturers must comply 
with these standards within three years of publication of the final 
rule. DOE may also provide for a delayed effective date if the 
Secretary determines this three-year period is inadequate. (42 U.S.C. 
6313(f)(4)(B)) DOE is also proposing to add regulatory text to clarify 
that only component manufacturers are required to submit certifications 
of compliance with the current standards.

II. Need for Clarification

    DOE is publishing this notice to address questions from walk-in 
manufacturers regarding how to comply with their certification 
requirements under 10 CFR part 429, subpart B and Appendix A, which 
collectively prescribe the process for manufacturers to follow when 
certifying their commercial equipment as compliant under the relevant 
energy conservation standards. DOE recently indicated that walk-in 
manufacturers must comply with these requirements starting on October 
1, 2011. 76 FR 38287, 38292 (June 30, 2011). EPCA, through amendments 
established by the Energy Independence and Security Act of 2007, Pub. 
L. 140-110 (Dec. 19, 2007) (EISA 2007), specified a test procedure that 
must be followed when determining the insulation value of the 
insulating foam used in walk-in applications, and manufacturers have 
raised questions as to whether they should continue using these 
procedures when certifying their equipment or use the new procedures 
that DOE promulgated in April 2011.
    EISA 2007 prescribed several design requirements for walk-ins and 
specified that the R value (a representation of the thermal insulating 
characteristics of insulating foam) shall be the 1/K factor multiplied 
by the thickness of the panel, and the K factor shall be based on ASTM 
test procedure C518-2004. EPCA also prescribed certain temperature 
conditions for calculating the R value. (42 U.S.C. 6314(a)(9)(A)) Since 
2009, these design requirements and test procedure provisions currently 
apply to all newly manufactured walk-ins. See 42 U.S.C. 6314(a)(9). See 
also 10 CFR Part 431.306(a)-(b) and 10 CFR 304(b)(1)-(4).
    In addition to the above provisions, EPCA requires that DOE issue a 
test procedure for walk-ins. See 42 U.S.C. 6314(a)(9)(b). As noted 
above, DOE complied with that requirement by publishing a final rule 
prescribing a test procedure that covers the various key components 
comprising a walk-in. See 76 FR 21580 and 76 FR 33631.
    Although the April 2011 test procedure continues to remain 
effective under today's proposal, the procedure prescribed by the EISA 
2007 amendments must continue to be used by manufacturers for 
certification purposes. At this time, the statutorily-prescribed 
procedure for determining an R value must also continue to be used when 
making representations regarding the energy-related performance of the 
relevant walk-in components. To the extent that a manufacturer chooses 
to make representations regarding the energy-related performance of the 
relevant walk-in components beyond the R-value of the foam used in 
panels, the April 2011 test procedure must be used for those 
representations. Once energy conservation standards that are 
performance based are established in 2012 for walk-in equipment, 
manufacturers must exclusively use the April 2011 test procedure when 
certifying their components as well as when making representations 
regarding that equipment's energy-related performance.
    To clarify walk-in manufacturer responsibilities, DOE is proposing 
to add regulatory text to specify when the current and new test 
procedures must be used. DOE is also proposing additional language to 
clarify when tests must be performed on walk-in panels and when tests 
may be performed on insulation foam used in the construction of panels, 
but that has not yet been incorporated into a walk-in panel. DOE 
invites comment on its proposed resolution to this issue. Finally, DOE 
is also clarifying that manufacturers are not and will not be required 
to test non-foam members and/or edge regions using the ASTM C518 test 
procedure prescribed in EPCA. Non-foam members and edge regions are 
only considered in the U-factor testing using ASTM C1363, which is part 
of the new DOE test procedures.
    In addition, DOE's recent certification, compliance and enforcement 
rulemaking indicated that only manufacturers of walk-in cooler and 
freezer components are required to submit certification reports. 76 FR 
38287, 38292 (June 30, 2011). As such, DOE is proposing to add 
regulatory text to clarify that the WICF component manufacturers are 
the entities responsible for certifying compliance to the Department.
    Finally, DOE's recent certification, compliance and enforcement 
rulemaking extended the compliance dates for certification of several 
types of commercial equipment. 76 FR 38287, 38292. Specifically, DOE 
extended the certification compliance date for manufacturers of metal 
halide lamp fixtures to October 1, 2011. Since the issuance of the 
final rule, additional information has come to the attention of the DOE 
regarding a lack of sufficient

[[Page 48747]]

test data to support certification on the full sample required by DOE's 
regulations. To provide parity with similarly situated manufacturers of 
other types of commercial equipment, DOE is proposing to extend the 
certification compliance date further for manufacturers of metal halide 
lamp fixtures, requiring submittal of a certification report no later 
than 1 year following publication of a final rule.

III. Public Participation

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments, data, and other information using any of the methods 
described in the ADDRESSES section at the beginning of this notice.

Submitting Comments via www.regulations.gov

    The regulations.gov web page will require you to provide your name 
and contact information. Your contact information will be viewable to 
DOE Building Technologies staff only. Your contact information will not 
be publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment itself or in any documents attached to your 
comment. Any information that you do not want to be publicly viewable 
should not be included in your comment, nor in any document attached to 
your comment. Otherwise, persons viewing comments will see only first 
and last names, organization names, correspondence containing comments, 
and any documents submitted with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (CBI)). Comments submitted through 
www.regulations.gov cannot be claimed as CBI. Comments received through 
the Web site will waive any CBI claims for the information submitted. 
For information on submitting CBI, see the Confidential Business 
Information section below.
    DOE processes submissions made through regulations.gov before 
posting. Normally, comments will be posted within a few days of being 
submitted. However, if large volumes of comments are being processed 
simultaneously, your comment may not be viewable for up to several 
weeks. Please keep the comment tracking number that www.regulations.gov 
provides after you have successfully uploaded your comment.

Submitting Comments via E-mail, Hand Delivery/Courier, or Mail

    Comments and documents submitted via email, hand delivery, or mail 
also will be posted to www.regulations.gov. If you do not want your 
personal contact information to be publicly viewable, do not include it 
in your comment or any accompanying documents. Instead, provide your 
contact information in a cover letter. Include your first and last 
names, email address, telephone number, and optional mailing address. 
The cover letter will not be publicly viewable as long as it does not 
include any comments.
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via mail or hand 
delivery/courier, please provide all items on a CD, if feasible. It is 
not necessary to submit printed copies. No facsimiles (faxes) will be 
accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, that are written in English, and that are free of any 
defects or viruses. Documents should not contain special characters or 
any form of encryption and, if possible, they should carry the 
electronic signature of the author.

Campaign Form Letters

    Please submit campaign form letters by the originating organization 
in batches of between 50 to 500 form letters per PDF or as one form 
letter with a list of supporters' names compiled into one or more PDFs. 
This reduces comment processing and posting time.

Confidential Business Information

    According to 10 CFR 1004.11, any person submitting information that 
he or she believes to be confidential and exempt by law from public 
disclosure should submit via email, postal mail, or hand delivery/
courier two well-marked copies: One copy of the document marked 
confidential including all the information believed to be confidential, 
and one copy of the document marked non-confidential with the 
information believed to be confidential deleted. Submit these documents 
via email or on a CD, if feasible. DOE will make its own determination 
about the confidential status of the information and treat it according 
to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) when such information might lose its 
confidential character due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    This proposed rule has been determined not to be a ``significant 
regulatory action'' under section 3(f) of Executive Order 12866. 
Accordingly, this action was not subject to review under the Executive 
Order by the Office of Information and Regulatory Affairs (OIRA) in the 
Office of Management and Budget (OMB).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (IRFA) for 
any rule that by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19,

[[Page 48748]]

2003, to ensure that the potential impacts of its rules on small 
entities are properly considered during the DOE rulemaking process. 68 
FR 7990. DOE has made its procedures and policies available on the 
Office of the General Counsel's Web site: http://www.gc.doe.gov.
    DOE reviewed this proposed rule under the provisions of the 
Regulatory Flexibility Act and the procedures and policies published on 
February 19, 2003. This proposed rule would merely extend the 
compliance date of a rulemaking already promulgated. To the extent such 
action has any economic impact it would be positive in that it would 
allow regulated parties additional time to come into compliance. DOE 
did undertake a full regulatory flexibility analysis of the original 
test procedures rulemaking. That analysis considered the impacts of 
that rulemaking on small entities. As a result, DOE certifies that, if 
adopted, this proposed rule, which would clarify the application of the 
test procedures, would not have a significant economic impact on a 
substantial number of small entities.

C. Review Under the National Environmental Policy Act

    DOE has determined that this rule falls into a class of actions 
that are categorically excluded from review under the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and DOE's 
implementing regulations at 10 CFR part 1021. Specifically, this rule 
amends an existing rule without changing its environmental effect and, 
therefore, is covered by the Categorical Exclusion in 10 CFR part 1021, 
subpart D, paragraph A5. Accordingly, neither an environmental 
assessment nor an environmental impact statement is required.

V. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of today's NOPR.

List of Subjects

10 CFR Part 429

    Energy conservation, Household appliances, Reporting and 
recordkeeping requirements.

10 CFR Part 431

    Administrative practice and procedure, Energy conservation, 
Reporting and recordkeeping requirements.

    Issued in Washington, DC on August 2, 2011.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Office of Technology 
Development, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, DOE proposes to amend 
parts 429 and 431 of chapter II of title 10 of the Code of Federal 
Regulations to read as follows:

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

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

    Authority:  42 U.S.C. 6291-6317.

    2. Revise Sec.  429.12(i)(6) to read as follows:


Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (i) * * *
    (6) Metal halide lamp ballasts and fixtures, [insert date 1 year 
after date of publication of the final rule in the Federal Register].
    3. Revise Sec.  429.53(b) to read as follows:


Sec.  429.53  Walk-in coolers and walk-in freezers.

* * * * *
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to manufacturers of components of walk-in coolers and 
freezers (WICFs), except that paragraph Sec.  429.12(b)(6) applies to 
the certified component; and
    (2) Pursuant to Sec.  429.12(b)(13), a certification report shall 
include the following public product-specific information:
    (i) For WICF doors: The door type, R-value of the door insulation, 
and a declaration that the manufacturer has incorporated the applicable 
design requirements. In addition, for those WICFs with transparent 
reach-in doors and windows: The glass type of the doors and windows 
(e.g., double-pane with heat reflective treatment, triple-pane glass 
with gas fill), and the power draw of the antisweat heater in watts.
    (ii) For WICF panels: The R-value of the insulation (except for 
glazed portions of the doors or structural members).
    (iii) For WICF fan motors: The motor purpose (i.e., evaporator fan 
motor or condenser fan motor), the horsepower, and a declaration that 
the manufacturer has incorporated the applicable design requirements.
    (iv) For WICF lighting: The efficacy of the lighting including 
ballast losses, and a declaration that the manufacturer has 
incorporated the applicable design requirements.

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

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

    Authority:  42 U.S.C. 6291-6317.

    5. Section 431.304 is amended by:
    a. Redesignating paragraph (b) as paragraph (c) and adding a new 
paragraph (b); and
    b. Adding in newly redesignated paragraph (c), new introductory 
text prior to paragraph (c)(1); and adding a new sentence at the end of 
paragraph (c)(5). The additions read as follows:


Sec.  431.304  Uniform test method for the measurement of energy 
consumption of walk-in coolers and walk-in freezers.

* * * * *
    (b) Testing and Calculations for Panels. Manufacturers shall use 
this paragraph (b) for the purposes of certifying compliance with the 
applicable energy conservation standards and making representations of 
the R-value of panels until January 1, 2015.
    (1) The R value shall be the 1/K factor multiplied by the thickness 
of the panel.
    (2) The K factor shall be based on ASTM C518 (incorporated by 
reference; see Sec.  431.303).
    (3) For calculating the R value for freezers, the K factor of the 
foam at 20 degrees Fahrenheit (average foam temperature) shall be used.
    (4) For calculating the R value for coolers, the K factor of the 
foam at 55 degrees Fahrenheit (average foam temperature) shall be used.
    (5) Foam shall be tested after it is produced in its final chemical 
form. Foam produced inside of a panel (``foam-in-place'') must be 
tested in its final foamed state and must not include any structural 
members or non-foam materials other than the panel's protective skins 
or facers. A test sample less than or equal to 4 inches thick must be 
taken from the center of the foam-in-place panels. Foam produced as 
board stock may be tested prior to its incorporation into a final 
panel.
    (6) Manufacturers are not required to consider non-foam member and/
or edge regions in ASTM C518 testing.
    (c) Testing and Calculations. Manufacturers shall use this 
paragraph (c) for any representations of energy efficiency/energy use 
(other than the R-

[[Page 48749]]

value of a panel) starting on October 12, 2011. Manufacturers shall use 
this paragraph (c) for the purposes of certifying compliance with the 
applicable energy conservation standards and for all representations of 
energy efficiency/energy use starting on January 1, 2015.
* * * * *
    (5) * * * Testing must be performed on a completed panel; foam may 
not be used for the test sample.
* * * * *
[FR Doc. 2011-20114 Filed 8-8-11; 8:45 am]
BILLING CODE 6450-01-P