[Federal Register Volume 76, Number 204 (Friday, October 21, 2011)]
[Rules and Regulations]
[Pages 65362-65365]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-27154]


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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: Final rule.

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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 adopts regulatory text 
changes to reflect the 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 final rule clarifies the types of test data needed to support the 
certification of compliance pursuant to DOE's existing test procedures 
for walk-in coolers and walk-in freezers and the recently promulgated 
test procedure for this equipment. Finally, DOE is adopting an 
extension to the compliance date for which manufacturers, including 
importers, need to certify compliance to the Department of metal halide 
lamp ballasts and fixtures.

DATES: This final rule is effective November 21, 2011.

ADDRESSES: The docket (i.e., docket number EERE-2011-BT-CE-0050 and/or 
RIN number 1904-AC58) is available for review at http://www.regulations.gov, including Federal Register notices, comments, and 
other supporting documents/materials. All documents in the docket are 
listed in the http://www.regulations.gov index. However, not all 
documents listed in the index may be publicly available, such as 
information that is exempt from public disclosure.

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 on the Test Procedures for Walk-In Coolers and Freezers

    The Energy Policy and Conservation Act (EPCA), as amended by 
section 312(c) of the Energy Independence and Security Act (EISA 2007), 
requires the Department of Energy (DOE) to prescribe a test procedure 
to measure the energy use of walk-in coolers and freezers 
(collectively, walk-ins or WICFs). 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. DOE published a notice of proposed rulemaking on August 9, 
2011, which proposed to clarify that the compliance date for using the 
new test procedure for certifications of compliance will be the same as 
the compliance date for the performance-based energy conservation 
standards currently under development. 76 FR 48745. At this time, DOE 
plans to issue the performance-based standards final rule by 2012 and 
manufacturers must comply with those standards within three years of 
publication of the final rule. Thus, pending the completion of the 
performance-based energy conservation standards rulemaking, 
manufacturers will be required to certify compliance to those standards 
using the new test procedure in 2015, unless DOE adopts an alternative 
compliance date.\1\ Id.
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    \1\ 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))
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    In addition, DOE clarified the entity responsible for certifying 
compliance to

[[Page 65363]]

the Department for WICFs in the preamble of the certification, 
compliance, and enforcement final rule published on March 7, 2011 in 
the Federal Register. 76 FR 12422. Specifically, DOE discussed a 
certification scheme requiring the WICF component manufacturer to 
certify compliance to the Department. 76 FR 12442-44. Since the March 
2011 final rule, DOE has received numerous additional inquiries and 
questions regarding this compliance scheme. Thus, the August 2011 NOPR 
proposed regulatory text in 10 CFR 429.53 to further clarify that only 
component manufacturers are required to submit certifications of 
compliance with the current standards (i.e., those design-based 
standards resulting from the enactment of EISA 2007). 76 FR 48748. 
These clarifications are consistent with the initial approach outlined 
in the March 2011 final rule and are meant to help manufacturers 
further determine who is responsible for certifying compliance to the 
Department.

II. Background for the Certification Compliance Date of Metal Halide 
Lamp Fixtures

    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 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 
proposed 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 this 
final rule (i.e., approximately October 2012). 76 FR 48747, 48748.

III. Discussion of Comments and Summary of Final Rule

    In response to the August 2011 NOPR, DOE received 3 comments, which 
are discussed in detail below.

A. Walk-In Coolers and Freezers

    The Air-Conditioning, Heating, and Refrigeration Institute (AHRI) 
did not agree with DOE's proposal to set the test procedure compliance 
date to be the same as the date of compliance with the standards, but 
stated that the manufacturers should not be responsible for compliance 
until after an alternate efficiency determination method (AEDM) 
rulemaking is complete. AHRI urged DOE to set the test procedure 
compliance date no sooner than 3 years from the completion of an AEDM 
rulemaking. (AHRI, No. 0006 at p. 2)
    In response to the comment from AHRI, DOE clarifies that once the 
compliance date of the walk-in energy conservation standard is reached, 
manufacturers must use the new DOE test procedure to certify compliance 
with the performance-based standards. However, if use of an AEDM is 
allowed, manufacturers may use the AEDM to certify compliance as long 
as the manufacturers satisfy DOE's provisions governing the use of the 
AEDM. DOE intends to complete both the AEDM and performance-based 
standards rules in 2012. While the exact compliance date cannot be 
predicted at this time, DOE expects the publication of these two final 
rules to be on a similar schedule. As a result, consistent with AHRI's 
suggestion, under the rulemaking schedule currently underway, DOE 
anticipates that manufacturers are likely to have at least 3 years to 
make the transition to the new test procedure.
    Regarding energy use representations, Hill Phoenix, a manufacturer 
of panels used in walk-in applications, stated that requiring energy 
representations (other than those based on R-value) to be based on the 
new test procedure (starting on October 12, 2011) would be unduly 
burdensome to manufacturers because the National Sanitation Foundation 
International (NSF) requires panel manufacturers to provide the panel's 
U-factor if the panel manufacturer is not providing refrigeration 
systems with the panels. Hill Phoenix recommended that DOE allow 
manufacturers additional time to complete the testing for purposes of 
representations, and recommended that the new test procedures only be 
used when the new standards go into effect (i.e., three years after 
publication). (Hill Phoenix, No. 0005 at p. 1)
    Under 42 U.S.C. 6314(d), 180 days after DOE has published a test 
procedure, no manufacturer, distributor, retailer, or private labeler 
may make any representation in writing or in any broadcast 
advertisement regarding the energy consumption of covered equipment--or 
the cost of energy consumed by that equipment--unless that equipment 
has been tested in accordance with that test procedure. See 42 U.S.C. 
6314(d)(1). DOE is permitted to extend that 180-day requirement once 
for no more than 180 days upon receipt of a timely submitted petition 
(i.e. submitted no later than the 60th day before the expiration of the 
period involved) from a manufacturer, distributor, retailer, or private 
labeler. In this case, a timely petition should have been filed by 
August 12, 2011; Hill Phoenix's comments were submitted on August 30, 
2011. As a result, DOE cannot treat this comment as having been filed 
in a timely manner in accordance with this provision.
    Nevertheless, DOE carefully examined this issue. After reviewing 
this issue, DOE has concluded that manufacturers who have already 
conducted the required testing in accordance with that new (April 2011) 
test procedure would be able to make the required representations, 
including those made to NSF. NSF certification is an ongoing process 
and must be maintained by manufacturers producing equipment for the 
food industry, which represent the vast majority of manufacturers in 
the walk-in industry. Manufacturers have had several months since the 
promulgation of that final rule to initiate and complete testing 
necessary for making these representations. While the U-factor testing 
required by DOE, including long-term thermal resistance testing, may 
take time to perform, DOE has no statutory authority to relieve 
manufacturers of the representation requirement under 42 U.S.C. 
6314(d). In consideration of these factors, DOE cannot extend the 
amount of time available to manufacturers before they must begin to use 
the new April 2011 test procedure for all representations of energy use 
or energy efficiency using the new DOE test procedure, including U-
factor.
    DOE encourages voluntary compliance with the new test procedure 
prior to the compliance date of any energy conservation performance-
based standards that may be set for walk-in equipment. However, if DOE 
sets energy conservation standards for walk-in equipment, the new test 
procedure must be used once the compliance date for those standards is 
reached.
    DOE also notes that manufacturers must still use DOE's current 
testing procedure in 431.304(b)(1)-(4) to certify compliance to the 
EISA 2007 R-value standards. All R-value representations must be 
determined using DOE's testing procedure and sampling plans for WICF 
panels.
    In the test procedure final rule, DOE established the industry 
standard AHRI 1250-2009 as the method for testing walk-in refrigeration 
systems. See 76 FR 33631. AHRI recommended that the entity responsible 
for certifying compliance should be the party

[[Page 65364]]

responsible for the rating of the entire refrigeration system as 
prescribed by the DOE test procedure. AHRI also stated that the party 
responsible for rating the refrigeration system would not necessarily 
be the manufacturer making the individual components constituting the 
refrigeration system (e.g., unit coolers or condensing units). AHRI 
requested that DOE clarify this point in the final rule. (AHRI, No. 
0006 at p. 2) DOE plans to clarify which entity would be responsible 
for certifying compliance with any potential performance-based standard 
that DOE may set as part of the planned rulemaking addressing potential 
standards for walk-in equipment. DOE will consider AHRI's comments, 
along with others that are submitted, in that rulemaking proceeding.
    DOE notes its adoption of provisions regarding testing for WICF 
panels in today's final rule. Specifically, DOE is 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. Manufacturers have questioned whether the 
metal facers should be in place during testing. DOE does not consider 
the facers to be ``structural members.'' DOE believes that the 
measurement of the R-value of the foam with facers should be equal to a 
measurement of the R-value of the foam without the facers. Consistent 
with this approach, DOE is adopting the following clarification in 
today's final rule: ``Foam produced inside of a panel * * * 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.''
    Finally, DOE notes its adoption of provisions regarding testing for 
WICF panels in today's final rule. DOE is adopting regulatory text to 
clarify that the entity responsible for certifying compliance is the 
WICF component manufacturer. Furthermore, DOE is clarifying that only 
door, panel and fan motor WICF component manufacturers are required to 
submit certifications of compliance with the current standards (i.e., 
those design-based standards resulting from the enactment of EISA 
2007). DOE emphasizes that WICFs distributed in commerce in the United 
States must meet all of the design standards enacted in EISA 2007, 
irrespective of whether a certification report is required. DOE also 
notes that it is clarifying that the anti-sweat heater power draw 
should be reported in watts per square foot of door opening, which is 
consistent with the units used in the current EISA 2007 standards.

B. Metal Halide Lamp Ballast and Fixtures

    Due to the lack of sufficient test data to support certification as 
further outlined above, DOE proposed to extend the certification 
compliance date for manufacturers of metal halide lamp fixtures and to 
require the submittal of an initial certification report by no later 
than one year following publication of the final rule. 76 FR 48747, 
48748. In response, NEMA supported DOE's proposed one year extension. 
In addition, NEMA requested that DOE consider aligning the initial 
certification and annual certification reporting dates to reduce 
reporting burden. (NEMA, No. 0002, p. 1) DOE is adopting a 1-year 
extension from publication of the final rule for manufacturers to 
submit certification reports to DOE for all basic models distributed in 
commerce. Since the 1-year extension will be after the annual 
submission deadline for 2012, the annual requirement does not apply for 
that particular year. DOE notes that in the years following 2012, 
manufacturers will still be required to meet the annual filing deadline 
of September 1.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    This final 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, 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 final rule under the provisions of the Regulatory 
Flexibility Act and the procedures and policies published on February 
19, 2003. This final 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, this final 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 final 
rule.

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.


[[Page 65365]]


    Issued in Washington, DC, on October 13, 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 amends 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

0
1. The authority citation for part 429 continues to read as follows:

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



0
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, October 22, 2012.

0
3. Revise Sec.  429.53(b) to read as follows:


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

* * * * *
    (b) Certification reports. (1) Except that Sec.  429.12(b)(6) 
applies to the certified component, the requirements of Sec.  429.12 
are applicable to manufacturers of the components of walk-in coolers 
and freezers (WICFs) listed in paragraph (b)(2) of this section, 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 per 
square foot of door opening.
    (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.

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

0
4. The authority citation for part 431 continues to read as follows:

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



0
5. Section 431.304 is amended by:
0
a. Redesignating paragraph (b) as paragraph (c);
0
b. Adding a new paragraph (b);
0
c. In newly redesignated paragraph (c), revising the paragraph heading; 
adding new introductory text prior to paragraph (c)(1); redesignating 
paragraphs (c)(5) through (c)(8) as paragraphs (c)(7) through (c)(10); 
and adding new paragraphs (c)(5) and (c)(6).
    The revisions and 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--EISA 2007 Test Procedure. 
Manufacturers shall use this paragraph (b) for the purposes of 
certifying compliance with the applicable energy conservation standards 
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--Amended Test Procedures. 
Manufacturers shall use this paragraph (c) for any representations of 
energy efficiency/energy use starting on October 12, 2011 and to 
certify compliance to the energy conservation standards of the R-value 
of panels on or after January 1, 2015.
* * * * *
    (5) For ASTM C518 testing, 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.
* * * * *
[FR Doc. 2011-27154 Filed 10-20-11; 8:45 am]
BILLING CODE 6450-01-P