[Federal Register Volume 81, Number 159 (Wednesday, August 17, 2016)]
[Proposed Rules]
[Pages 54926-54958]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19104]



[[Page 54925]]

Vol. 81

Wednesday,

No. 159

August 17, 2016

Part II





Department of Energy





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10 CFR Parts 429 and 431





Energy Conservation Program: Test Procedure for Walk-in Coolers and 
Walk-in Freezers; Proposed Rule

  Federal Register / Vol. 81 , No. 159 / Wednesday, August 17, 2016 / 
Proposed Rules  

[[Page 54926]]


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DEPARTMENT OF ENERGY

10 CFR Parts 429 and 431

[Docket No. EERE-2016-BT-TP-0030]
RIN 1904-AD72


Energy Conservation Program: Test Procedure for Walk-in Coolers 
and Walk-in Freezers

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

ACTION: Notice of proposed rulemaking and announcement of public 
meeting.

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SUMMARY: This document proposes amending the test procedure for certain 
walk-in cooler and freezer components by improving the procedure's 
clarity, updating related certification and enforcement provisions to 
address the performance-based energy conservation standards for walk-in 
cooler and freezer equipment, and establishing labeling requirements to 
aid manufacturers in determining which components would be considered 
for compliance purposes as intended for walk-in cooler and freezer 
applications. The proposed amendments consist of certain walk-in cooler 
and freezer refrigeration system-specific provisions, including 
product-specific definitions, removal of the test method for systems 
with hot gas defrost, and a method to accommodate refrigeration 
equipment that use adaptive defrost and on-cycle variable-speed 
evaporator fan control.

DATES: Comments: DOE will accept comments, data, and information 
regarding this notice of proposed rulemaking (NOPR) before and after 
the public meeting, but no later than October 17, 2016. See section V, 
``Public Participation,'' for details.
    DOE will hold a public meeting on Monday, September 12, 2016, from 
9:30 a.m. to 12:30 p.m., in Washington, DC. The meeting will also be 
broadcast as a webinar. See section V, ``Public Participation,'' for 
webinar registration information, participant instructions, and 
information about the capabilities available to webinar participants.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 4A-104, 1000 Independence Avenue SW., 
Washington, DC 20585.
    Any comments submitted must identify the Test Procedure NOPR for 
Walk-in Coolers and Walk-in Freezers, and provide docket number EERE-
2016-BT-TP-0030 and/or regulatory information number (RIN) number 1904-
AD72. Comments may be submitted using any of the following methods:
    (1) Federal eRulemaking Portal: www.regulations.gov. Follow the 
instructions for submitting comments.
    (2) Email: [email protected]. Include the docket number 
and/or RIN in the subject line of the message.
    (3) Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
1000 Independence Avenue SW., Washington, DC 20585-0121. If possible, 
please submit all items on a compact disc (CD), in which case it is not 
necessary to include printed copies.
    (4) Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW., 6th Floor, Washington, DC 20024. Telephone: (202) 
586-6636. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V of this document 
(Public Participation).

DOCKET: 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.
    The docket Web page can be found at http://www.regulations.gov/#!docketDetail;D=EERE-2016-BT-TP-0030. The docket Web page will contain 
simple instructions on how to access all documents, including public 
comments, in the docket. See section V for information on how to submit 
comments through www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
Ms. Ashley Armstrong, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-2J, 
1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: 
(202) 586-6590. Email: [email protected].
Mr. Michael Kido, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-
0121. Telephone: (202) 586-8145. Email: [email protected].

    For further information on how to submit a comment, review other 
public comments and the docket, or participate in the public meeting, 
contact the Appliance and Equipment Standards Program staff at (202) 
586-6636 or by email: [email protected].

SUPPLEMENTARY INFORMATION: DOE proposes to incorporate by reference the 
following industry standards into 10 CFR part 431:
    (1) AHRI Standard 420-2008 (``AHRI 420-2008''), ``Performance 
Rating of Forced-Circulation Free-Delivery Unit Coolers for 
Refrigeration,'' approved 2008.
    (2) AHRI Standard 1250-2009 (``AHRI 1250-2009''), ``Standard for 
Performance Rating of Walk-in Coolers and Freezers,'' approved 2009.
    (3) ASHRAE Standard 23.1-2010 (``ASHRAE 23.1-2010''), ``Methods of 
Testing for Rating the Performance of Positive Displacement Refrigerant 
Compressors and Condensing Units that Operate at Subcritical 
Temperatures of the Refrigerant,'' approved 2010.
    (4) ASTM C518-04 (``ASTM C518''), Standard Test Method for Steady-
State Thermal Transmission Properties by Means of the Heat Flow Meter 
Apparatus, approved May 1, 2004.
    Copies of AHRI Standard 420-2008 and AHRI Standard 1250-2009 may be 
purchased from AHRI at 2111 Wilson Boulevard, Suite 500, Arlington, VA 
22201, or by going to http://www.ahrinet.org.
    Copies of ASHRAE 23.1-2010 may be purchased from ASHRAE at 1971 
Tullie Circle NE., Atlanta, GA 30329, or by going to http://www.ashrae.org.
    Copies of ASTM C518 may be obtained from the American Society for 
Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 
19428-2959, (610) 832-9500, or http://www.astm.org.
    See section IV.M for a further discussion of these standards.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Actions in Response to ASRAC Negotiated Terms
    1. Definitions
    2. Refrigeration System Test Procedure Modifications
    B. Actions to Facilitate Implementation of Energy Conservation 
Standards
    1. Re-organization and Clarification of the Test Procedure for 
Walk-in Refrigeration Systems, Doors, and Panels

[[Page 54927]]

    2. Representation Requirements
    3. Certification and Compliance Requirements
    4. Enforcement Provisions
    5. Labeling Requirements
    C. Compliance With Other EPCA Requirements
    1. Test Burden
    2. Changes in Measured Energy Use
    3. Cost and Burden Impact on WICF Manufacturers
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Description and Estimated Number of Small Businesses 
Regulated
    2. Description and Estimate of Compliance Requirements
    3. Duplication, Overlap, and Conflict With Other Rules and 
Regulations
    4. Significant Alternatives to the Rule
    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
    F. Review Under Executive Order 12988
    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. Description of Materials Incorporated by Reference
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Prepared General Statements for 
Distribution
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Walk-in coolers and walk-in freezers (collectively, ``walk-ins'' or 
``WICFs'') are included in the list of ``covered equipment'' for which 
the U.S. Department of Energy (``DOE'' or ``the Department'') is 
authorized to establish and amend energy conservation standards and 
test procedures. (42 U.S.C. 6311(1)(G)) A walk-in is defined as an 
enclosed storage space of less than 3,000 square feet that can be 
walked into and is refrigerated to prescribed temperatures based on 
whether the given unit is a cooler or a freezer. See generally 42 
U.S.C. 6311(20). In simple terms, a walk-in is an insulated box (or 
envelope) serviced by a refrigerated system that feeds cold air to the 
box's interior. DOE's energy conservation standards and test procedures 
for walk-ins are currently prescribed at 10 CFR 431.306 and 10 CFR 
431.304, respectively. The following sections discuss DOE's authority 
to establish test procedures and certification requirements for walk-
ins and relevant background information regarding DOE's consideration 
of test procedures and certification requirements for this equipment.

A. Authority

    Title III, Part C \1\ of the Energy Policy and Conservation Act of 
1975 (``EPCA'' or, in context, ``the Act''), Public Law 94-163 
(codified as 42 U.S.C. 6311-6317, as codified) established the Energy 
Conservation Program for Certain Industrial Equipment, a program 
covering certain industrial equipment, including walk-ins, the subject 
of this document. (42 U.S.C. 6311(1)(G))
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    \1\ For editorial reasons, upon codification in the U.S. Code, 
Part C was redesignated Part A-1.
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    In general, this program addresses the energy efficiency of certain 
types of commercial and industrial equipment. Relevant provisions of 
the Act specifically include definitions (42 U.S.C. 6311), energy 
conservation standards (42 U.S.C. 6313), test procedures (42 U.S.C. 
6314), labelling provisions (42 U.S.C. 6315), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316). 
Manufacturers of covered equipment must use the prescribed DOE test 
procedure as the basis for making representations to the public 
regarding the energy use or efficiency of such equipment. (42 U.S.C. 
6314(d))
    Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures 
DOE must follow when prescribing or amending test procedures for 
covered products. EPCA provides in relevant part that any test 
procedures prescribed or amended under this section shall be reasonably 
designed to produce test results which measure energy efficiency, 
energy use or estimated annual operating cost of a covered product 
during a representative average use cycle or period of use and shall 
not be unduly burdensome to conduct. See 42 U.S.C. 6293(b)(3) and 42 
U.S.C. 6316(a) (applying 42 U.S.C. 6293 to walk-ins).
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test 
procedure, DOE must determine to what extent, if any, the proposed test 
procedure would alter the measured energy efficiency of any covered 
product as determined under the existing test procedure. (42 U.S.C. 
6293(e)(1))
    If adopted, manufacturers would be required to use the proposed 
test procedure and metric when making representations regarding the 
energy use of covered equipment 180 days after the publication date of 
any final rule for those walk-in cooler and walk-in freezers that are 
addressed by the test procedure. (42 U.S.C. 6314(d))
    DOE anticipates proposing amended energy conservation standards for 
certain classes of refrigeration systems for walk-ins in a separate 
rulemaking. See Docket No. EERE-2015-BT-STD-0016.

B. Background

    Section 312 of the Energy Independence and Security Act of 2007, 
Public Law 110-140 (December 19, 2007), required DOE to establish test 
procedures to measure the energy use of walk-in coolers and walk-in 
freezers. On April 15, 2011, DOE published test procedures for the 
principal components that make up a walk-in: The panels, doors, and 
refrigeration systems. DOE took this component-based testing approach 
based on a significant body of feedback from interested parties that 
requiring a single test procedure for an entire walk-in would be 
impractical because most walk-ins are assembled on-site with components 
from different manufacturers. 76 FR 21580, 21582 (April 15, 2011).
    On February 20, 2014, DOE initiated another test procedure 
rulemaking for walk-ins to clarify and modify the test procedures 
published in April 2011. DOE also proposed to revise the existing 
regulations for walk-ins to allow manufacturers to use an alternative 
efficiency determination method (``AEDM'') to certify compliance and 
report ratings, after meeting certain qualifications. DOE published a 
supplemental notice of proposed rulemaking (``SNOPR) on February 20, 
2014, soliciting public comments, data, and information on the test 
procedure modifications. 79 FR 9818. DOE published a final rule 
codifying the test procedure and AEDM provisions for walk-ins on May 
13, 2014. 79 FR 27388.
    DOE also published a notice of proposed rulemaking (``NOPR'') to 
create new performance-based energy conservation standards for walk-ins 
on September 11, 2013. (``September 2013 NOPR'') 78 FR 55782. That NOPR 
addressed the comments received in earlier stages of the rulemaking and 
proposed new energy conservation standards. In conjunction with the 
September 2013 NOPR, DOE published a technical support document 
(``TSD'') to accompany the proposed rule along

[[Page 54928]]

with engineering analysis spreadsheets, the government regulatory 
impact model (``GRIM'') spreadsheet, the life cycle cost (``LCC'') 
spreadsheet, and the national impact analysis (``NIA'') spreadsheet. 
See Docket No. EERE-2008-BT-STD-0015. DOE proposed standards for eight 
dedicated condensing classes of refrigeration systems, two multiplex 
condensing classes of refrigeration systems, three classes of panels, 
four classes of non-display doors, and two classes of display doors. 
(The refrigeration system standards use the metric ``annual walk-in 
energy factor (``AWEF''), and the door standards use an energy use 
metric that incorporates thermal insulating ability and electrical 
energy used by the door. The panel standards are equivalent to those 
previously established and use a measurement of thermal insulation--or 
``R-value''--to represent the energy efficiency of these components.) 
DOE published a final rule adopting these new standards on June 3, 
2014. 79 FR 32050. Except for the equipment classes whose standards 
have been vacated, as described below, compliance with the standards 
adopted in the June 2014 final rule is required starting on June 5, 
2017.
    After publication of the 2014 Final Rule, the Air-Conditioning, 
Heating and Refrigeration Institute (``AHRI'') and Lennox 
International, Inc. (a manufacturer of walk-in refrigeration systems) 
filed petitions for review of DOE's final rule and DOE's subsequent 
denial of a petition for reconsideration of the rule (79 FR 59090 
(October 1, 2014)) with the United States Court of Appeals for the 
Fifth Circuit. Lennox Int'l, Inc. v. Dep't of Energy, Case No. 14-60535 
(5th Cir.). Other walk-in refrigeration system manufacturers--Rheem 
Manufacturing Co. (owner of Heat Transfer Products Group) and Hussmann 
Corp.--along with the Air Conditioning Contractors of America (a trade 
association representing contractors who install walk-in refrigeration 
systems) intervened on the petitioners' behalf, while the Natural 
Resources Defense Council (``NRDC'')--representing itself, the American 
Council for an Energy-Efficient Economy, and the Texas Ratepayers' 
Organization to Save Energy--intervened on behalf of DOE. As a result 
of this litigation, a settlement agreement was reached to address, 
among other things, six of the refrigeration system standards--the 
standards for low-temperature dedicated condensing equipment classes 
and both medium- and low-temperature multiplex condensing equipment 
classes.
    A controlling court order from the United States Court of Appeals 
for the Fifth Circuit, issued on August 10, 2015, vacated those six 
standards. On November 12, 2015, DOE amended the CFR to reflect this 
order. As for the remaining standards promulgated by the June 2014 
final rule--i.e. the (1) four standards applicable to dedicated 
condensing refrigeration systems operating at medium-temperatures, (2) 
three standards applicable to panels, and (3) six standards applicable 
to doors--these standards were not vacated and remain subject to the 
June 5, 2017 compliance date prescribed in the June 2014 final rule. 
See 79 FR at 32051-32052 (Table I.1) and 32123-32124 (codified at 10 
CFR 431.306(a), (c)-(e)).
    To address the vacated standards, DOE established a working group 
to negotiate proposed energy conservation standards to replace them. 
Specifically, on August 5, 2015, DOE published a notice of intent to 
establish a Working Group for Certain Equipment Classes of 
Refrigeration Systems of Walk-in Coolers and Freezers to Negotiate a 
Notice of Proposed Rulemaking for Energy Conservation Standards 
(``Working Group''). 80 FR 46521. The Working Group was established 
under the Appliance Standards and Rulemaking Federal Advisory Committee 
(``ASRAC'') in accordance with the Federal Advisory Committee Act 
(``FACA'') and the Negotiated Rulemaking Act (``NRA''). (5 U.S.C. App. 
2; 5 U.S.C. 561-570, Public Law 104-320.) The purpose of the Working 
Group was to discuss and, if possible, reach consensus on proposed 
standard levels for the energy efficiency of the affected classes of 
walk-in refrigeration systems. The Working Group consisted of 12 
representatives of parties having a defined stake in the outcome of the 
proposed standards and one DOE representative (see Table 1). The 
Working Group consulted as appropriate with a range of experts on 
technical issues. The Working Group met in-person during 13 days of 
meetings held between August 27 and December 15, 2015.

  Table 1--Walk-in Refrigeration Systems Negotiated Rulemaking Working
                                  Group
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             Full Name                           Affiliation
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Ashley Armstrong..................  U.S. Department of Energy.
Lane Burt.........................  Natural Resources Defense Council.
Mary Dane.........................  Traulsen.
Cyril Fowble......................  Lennox International, Inc.
Sean Gouw.........................  CA Investor-Owned Utilities.
Andrew Haala......................  Hussmann Corp.
Armin Hauer.......................  ebm-papst, Inc.
John Koon.........................  Manitowoc Company.
Joanna Mauer......................  Appliance Standards Awareness
                                     Project.
Charlie McCrudden.................  Air Conditioning Contractors of
                                     America.
Louis Starr.......................  Northwest Energy Efficiency
                                     Alliance.
Michael Straub....................  Rheem Manufacturing.
Wayne Warner......................  Emerson Climate Technologies.
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    On December 15, 2015, the Working Group reached consensus on, among 
other things, a series of energy conservation standards to replace 
those that were vacated as a result of the litigation. The Working 
Group assembled their recommendations into a single Term Sheet (See 
Docket EERE-2015-BT-STD-0016, No. 0052) that was presented to, and 
approved by the ASRAC on December 18, 2015. DOE anticipates proposing 
to adopt in a separate rulemaking document energy conservation 
standards consistent with the Working Group's Term Sheet for those 
classes of walk-in refrigeration systems whose standards were vacated. 
See Docket No. EERE-2015-BT-STD-0016 for all background documents on 
the negotiated rulemaking.
    While the Working Group's focus centered primarily on addressing 
the six energy conservation standards for low-temperature dedicated 
condensing

[[Page 54929]]

equipment classes and both medium- and low-temperature multiplex 
condensing equipment classes, (see Docket No. EERE-2015-BT-STD-0016, 
No. 0001 and 0002), the Term Sheet also included recommendations that 
DOE consider making certain amendments involving the test procedure. 
These recommendations addressed technical corrections to the test 
procedure itself; definitions for certain terms to provide clarity 
regarding the applicability of the standards (and, relatedly, the test 
procedure); and other test procedure changes that the Working Group 
deemed necessary in order to implement the agreed-upon refrigeration 
system standards.\2\ DOE considered the approved Term Sheet, along with 
other comments received during the negotiated rulemaking process, in 
developing several of the test procedure amendments that this document 
proposes to adopt.
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    \2\ The recommended changes to the test procedure deal 
exclusively with efficiency measurement and certification for the 
classes of refrigeration systems that were the subject of the 
negotiations, and do not affect the test procedures for the 
refrigeration system standards that were not vacated. They 
specifically address removing test procedure provisions for hot gas 
defrost and requiring that certified efficiency levels for 
comparison to the standards for evaluation of compliance would not 
make use of the test procedure provisions for adaptive defrost or 
on-cycle variable-speed evaporator fans.
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II. Synopsis of the Notice of Proposed Rulemaking

    The proposed provisions fall into two groups. The first group 
consists of test procedure modifications and other additions to the 
regulatory text recommended by the Working Group and listed in the Term 
Sheet, including:

--Adding definitions for the terms ``dedicated condensing unit,'' 
``dedicated condensing refrigeration system,'' ``packaged dedicated 
system,'' ``matched condensing unit,'' ``matched refrigeration 
system,'' ``outdoor dedicated condensing refrigeration system,'' 
``indoor dedicated condensing refrigeration system,'' ``adaptive 
defrost,'' ``process cooling,'' ``preparation room refrigeration,'' and 
``refrigerated storage space,'' and modifying the definition of 
``refrigeration system;''
--Removing the method for calculating defrost energy and defrost heat 
load of a system with hot gas defrost; and
--Establishing a regulatory approach for refrigeration systems with 
adaptive defrost and/or on-cycle variable-speed evaporator fan control, 
that would require demonstration of compliance with the standard for 
any such unit to be based on testing without activation of these 
features, while allowing for representations of their improved 
performance when using these features.

    The second group of proposed provisions consists of test procedure 
modifications and certification, compliance, and enforcement provisions 
that, while not part of the Term Sheet, are necessary for implementing 
the energy conservation standards. This group of proposed changes 
includes:

--Re-organizing the test procedure provisions in 10 CFR 431.304 for 
improved clarity, and correcting typographical errors in the rule 
language;
--Clarifying section 3.0 ``Additional Definitions'' in appendix A to 
subpart R of part 431;
--Modifying the current walk-in certification and reporting 
requirements in 10 CFR 429.53 to clarify applicability of walk-in test 
procedures to certain equipment classes and add provisions for 
reporting additional rating metrics;
--Adding walk-in refrigeration systems, panels, and doors to the list 
of products and equipment included as part of the enforcement testing 
requirements prescribed in 10 CFR 429.110(e)(2); and
--Adding labeling requirements for walk-in refrigeration systems, 
panels, and doors.

III. Discussion

    This proposal stems from the detailed discussions and suggestions 
offered by Working Group participants during the walk-in negotiated 
rulemaking. These participants, in addition to providing detailed 
feedback for consideration in developing the energy conservation 
standards to replace those that were vacated, also offered detailed 
recommendations regarding the walk-in test procedures. These 
recommendations were offered as a means to address questions related to 
the treatment of certain types of features or components that may be 
present in a given walk-in refrigeration system. These aspects of the 
proposal, along with other elements involving the implementation of 
DOE's certification and labeling requirements and general obligations 
under EPCA, are addressed in the sections that follow. While DOE seeks 
comment regarding all aspects of its proposal, section V.E includes a 
detailed list of specific issues on which DOE seeks comment.

A. Actions in Response to ASRAC Negotiated Terms

1. Definitions
    The Working Group recommended that DOE define the terms ``dedicated 
condensing unit,'' ``matched condensing unit,'' and ``outdoor 
condensing unit'' (Term Sheet at EERE-2015-BT-STD-0016, No. 0056, 
recommendation #1); ``adaptive defrost'' (Term Sheet at EERE-2015-BT-
STD-0016, No. 0056, recommendation #2); and ``process cooling,'' 
``preparation room refrigeration,'' and ``storage space'' (Term Sheet 
at EERE-2015-BT-STD-0016, No. 0056, recommendation #7). DOE is also 
proposing to define the terms ``dedicated condensing refrigeration 
system,'' ``outdoor dedicated condensing refrigeration system,'' 
``indoor dedicated condensing refrigeration system,'' ``matched 
refrigeration system,'' ``unit cooler,'' and ``packaged dedicated 
system'' to supplement the Working Group-recommended definitions. These 
supplemental definitions were developed to help enhance the clarity of 
the walk-in regulatory framework and to assist manufacturers in readily 
ascertaining how to classify (and certify for compliance purposes) the 
myriad of refrigeration systems they produce. Finally, DOE is proposing 
to modify the current definition of refrigeration system to align it 
more closely with the terminology being defined here. The following 
sections address DOE's proposed definitions, all of which would appear 
in 10 CFR 431.302, if adopted. (The precise text for each of these 
definitions appears under the proposed regulatory text appearing at the 
end of this document.)
a. Dedicated Condensing Unit and Dedicated Condensing Refrigeration 
System
    In the June 2014 final rule, DOE divided refrigeration systems into 
classes based on their treatment under the test procedure with respect 
to condensing unit configuration. 79 FR at 32069-32070. (denoting 
``dedicated condensing'' equipment class standards as applying to 
systems consisting of (a) a dedicated condensing unit and a unit 
cooler, (b) a single-package system that includes an entire 
refrigeration system, and (c) stand-alone dedicated condensing units.) 
In a related test procedure final rule, DOE also revised the regulatory 
approach for dedicated condensing walk-in refrigeration systems by 
specifying that in those instances where a complete walk-in 
refrigeration system consists of a unit cooler and condensing unit that 
are

[[Page 54930]]

sourced from separate manufacturers, each of those manufacturers (i.e., 
original equipment manufacturer or ``OEM'') is responsible for 
certifying the compliance of their respective components. See 79 FR 
27388 (May 13, 2014) (``May 2014 test procedure rule''). Under this 
approach, the entity that combines and sells the matched-pair system 
consisting of the separately-sourced unit cooler and dedicated 
condensing unit need only ensure that the unit cooler and condensing 
unit, by themselves, have been certified by their respective 
manufacturers to meet the relevant energy conservation standard. The 
May 2014 test procedure rule also adopted testing methods to enable an 
OEM to readily test and rate a condensing unit individually.
    Proper classification of condensing units by type is important 
because DOE has consistently held that the condensers and compressors 
of a multiplex condensing system are not covered by walk-in 
regulations. (See the September 2013 NOPR, 78 FR at 55801; see also 
Docket No. EERE-2011-BT-TP-0024, DOE, Public Meeting Transcript 
(October 22, 2014), No. 0117 at p. 21) DOE has not previously defined 
either dedicated condensing unit or multiplex condensing equipment, and 
the Working Group recommended defining the former to clarify what 
equipment would be subject to condensing unit standards. Thus, as part 
of the negotiated terms, the Working Group recommended that DOE codify 
a definition for ``dedicated condensing unit.'' (See Term Sheet, Docket 
No. EERE-2015-BT-STD-0016, No. 0056, Recommendation #1)
    During the Working Group negotiation meetings, participants 
discussed several factors that may distinguish dedicated condensing 
equipment from multiplex condensing equipment. First, the Working Group 
discussed the components found in a dedicated condensing unit. Lennox 
recommended that a dedicated condensing unit should be a factory-made 
assembly that includes one or more compressors, a condenser, and one 
refrigeration circuit. (Docket No. EERE-2015-BT-STD-0016, Lennox, 
Public Meeting Transcript (October 16, 2015), No. 0063 at pp. 247-248) 
Lennox also clarified that it considered a single package refrigeration 
system (that is, a factory-made assembly consisting of one or more 
compressors, a condenser, and an evaporator) to be a type of dedicated 
condensing system. (Docket No. EERE-2015-BT-STD-0016, DOE and Lennox, 
Public Meeting Transcript (October 16, 2015), No. 0063 at pp. 249-251)
    Second, the Working Group discussed how to treat a single assembly 
with multiple compressors and/or condensers. Lennox recommended that 
the definition also specify that a dedicated condensing system is 
designed to serve one refrigerated load. (Docket No. EERE-2015-BT-STD-
0016, Lennox, Public Meeting Transcript (October 16, 2015), No. 0063 at 
pp. 247-248) Hussmann also noted that a dedicated condensing unit could 
be packaged with other dedicated condensing units, but could still be 
covered as long as the individual unit has one refrigeration circuit. 
(Docket No. EERE-2015-BT-STD-0016, Hussmann, Public Meeting Transcript 
(October 16, 2015), No. 0063 at pp. 253-254) Lennox then clarified 
that, in its view, a single, stand-alone condensing unit would be 
considered a dedicated condensing unit, but so would a unit with 
multiple independent circuits, as well as systems with parallel pipe 
systems that serve one load. However, a unit with a common condenser 
coil with multiple refrigeration inlets would not be considered as a 
dedicated condensing unit. (Docket No. EERE-2015-BT-STD-0016, Lennox, 
Public Meeting Transcript (October 16, 2015), No. 0063 at pp. 256-257)
    The proposed dedicated condensing equipment class definition 
addresses three refrigeration system configurations--(1) a dedicated 
condensing unit; (2) a packaged dedicated system; and (3) a matched 
refrigeration system. To emphasize this three-pronged approach, DOE 
proposes defining what a dedicated condensing refrigeration system is 
to clarify the scope of this equipment class. Consistent with Lennox's 
assertion that single package refrigeration systems are a type of 
dedicated condensing system, DOE is proposing to include this 
configuration in the proposed definition. DOE also proposes that a 
matched condensing system--consisting of a dedicated condensing unit 
that is distributed in commerce with one or more specific unit 
coolers--would also be treated as a kind of dedicated condensing 
system. (The following two sections discuss packaged dedicated systems 
and matched systems in more detail.) Finally, DOE proposes to include 
in the definition that a dedicated condensing system could consist of a 
dedicated condensing unit sold separately from any unit cooler. This 
proposed clarification underpins DOE's certification approach of 
allowing manufacturers to test and rate condensing units separately to 
certify compliance with the dedicated condensing standard, without 
having to distribute their condensing units in commerce with one or 
more specific unit coolers.
    Each of these elements is reflected in DOE's proposed definition 
for ``dedicated condensing unit,'' which would require such a unit be a 
positive displacement condensing unit that is part of a refrigeration 
system (as defined in 10 CFR 431.302) and is an assembly that (1) 
includes 1 or more compressors, a condenser, and one refrigeration 
circuit and (2) is designed to serve one refrigerated load.
    This definition omits the term ``factory-made'' from the definition 
to avoid suggesting that such an assembly is not a condensing unit (and 
thus not covered by DOE regulations) if it happens to be assembled from 
its subcomponents after shipment from the factory.
    Additionally, for the reasons discussed in this preamble, DOE is 
proposing to define ``dedicated condensing refrigeration system'' as 
referring to a (a) dedicated condensing unit, (b) packaged dedicated 
system, or (c) matched refrigeration system.
    DOE notes that the proposed definition would encompass a dedicated 
condensing system that may be part of an assembly or package that 
includes other equipment--an approach that is consistent with 
Hussmann's comment discussed earlier.
    DOE requests comment on the proposed definitions for dedicated 
condensing unit and dedicated condensing refrigeration system.
b. Packaged Dedicated System
    DOE is proposing to treat a packaged dedicated system as a type of 
dedicated condensing refrigeration system. These systems are factory-
assembled equipment where the components serving the compressor, 
condenser, and evaporator functions are ``packaged'' into a single 
piece of equipment. The system is then installed as part of a walk-in 
application with the compressor and condenser located on the outside of 
the walk-in envelope (i.e., the boxed storage enclosure) and the 
evaporator on the inside. (When using such a system, the walk-in 
insulated enclosure is manufactured with a hole in the wall or ceiling 
in which the packaged system is mounted.) The use of this equipment is 
necessarily limited to small-capacity walk-ins due to load-bearing 
limitations of the walk-in envelope. DOE is proposing to define 
``packaged dedicated systems'' by combining elements of the proposed 
definition for ``dedicated condensing unit'' (see section III.A.1.a) 
and the definition for

[[Page 54931]]

``forced-circulation free-delivery unit cooler (unit cooler)'' from 
AHRI-1250-2009. Consequently, DOE is proposing to define a ``packaged 
dedicated system'' as ``a refrigeration system (as defined in 10 CFR 
431.302) that is a single-package assembly that includes one or more 
compressors, a condenser, a means for forced circulation of 
refrigerated air, and elements by which heat is transferred from air to 
refrigerant, without any element external to the system imposing 
resistance to flow of the refrigerated air.''
    DOE requests comment on the proposed definition for packaged 
dedicated system.
c. Matched Condensing Unit and Matched Refrigeration System
    During one of the initial Working Group meetings, DOE offered for 
consideration a definition for a matched condensing unit--specifically, 
to define this term as ``a dedicated condensing unit that is 
distributed in commerce with one or more specific unit coolers.'' 
(Docket No. EERE-2015-BT-STD-0016, DOE, Public Meeting Transcript 
(October 15, 2015), No. 0062 at p. 138-139) In offering this 
definition, DOE intended to distinguish a matched condensing unit from 
an individually-sold condensing unit for testing purposes. (This 
distinction is critical since a matched system could be tested using 
the currently prescribed test method from AHRI 1250-2009 for variable-
speed compressors, while an individually-sold dedicated condensing unit 
could not). The Working Group later recommended a modified version of 
this definition to indicate that the unit coolers matched to the 
condensing unit would be specified by the condensing unit manufacturer. 
That modified definition, which DOE is proposing to include as part of 
10 CFR 431.302, would define a ``matched condensing unit'' as ``a 
dedicated condensing unit that is distributed in commerce with one or 
more unit cooler(s) specified by the condensing unit manufacturer.''
    For completeness, DOE is also proposing to define ``matched 
refrigeration system'' (also called ``matched pair'') as ``a 
refrigeration system including the matched condensing unit and the one 
or more unit coolers with which it is distributed in commerce.''
    DOE requests comments on the proposed definitions for matched 
condensing unit and matched refrigeration system.
d. Outdoor and Indoor Dedicated Condensing Refrigeration Systems
    DOE currently distinguishes the dedicated condensing refrigeration 
system classes based on whether the condensing unit is located indoors 
or outdoors. 79 FR at 32069-32070. Building on this established 
foundation, DOE is proposing definitions for the terms ``outdoor 
dedicated condensing refrigeration system'' and ``indoor dedicated 
condensing refrigeration system'' to distinguish these classes of 
equipment for standards and rating purposes. Because outdoor systems 
are tested differently and generally have very different measured AWEF 
values than indoor systems, DOE believes that these class distinctions 
should be clearly defined.
    In developing these definitions, DOE relied on the fact that 
outdoor condensing units use an outer casing to protect the unit's 
internal components from weather-related elements. During the 
negotiated rulemaking meetings, AHRI suggested that DOE include in the 
definition the phrase, ``designed to be installed and operated outside 
the building envelope'' so that adding a casing to a unit designed to 
be an indoor condensing unit (e.g., for purposes of fan protection) 
would not cause DOE to consider it as an outdoor condensing unit. 
(Docket No. EERE-2015-BT-STD-0016, AHRI, Public Meeting Transcript 
(December 15, 2015), No. 0060 at p. 137) DOE asked AHRI to identify 
design differences that could help DOE determine whether a certain 
condensing unit is designed for indoor or outdoor use. (Docket No. 
EERE-2015-BT-STD-0016, DOE, Public Meeting Transcript (December 15, 
2015), No. 0060 at pp. 149-150) The Working Group ultimately agreed 
that an outdoor condensing system must be ``capable of maintaining the 
medium-temperature or low-temperature DOE test procedure box conditions 
(as specified in 10 CFR 431.304) for an extended period at the 
35[emsp14][deg]F outdoor temperature condition.'' (Term Sheet at EERE-
2015-BT-STD-0016, No. 0056, Recommendation #1)
    DOE considered the Term Sheet's recommendation and is proposing to 
clarify the recommendation in the context of the walk-in test 
procedure. First, the recommendation uses the terminology ``maintaining 
the . . . box conditions'' in describing an outdoor condensing system. 
DOE notes that during testing of walk-in refrigeration systems, the 
space occupied by the unit cooler is conditioned to the specified 
operating conditions (e.g., 35[emsp14][deg]F for medium-temperature 
systems and -10[emsp14][deg]F for low-temperature systems) regardless 
of the operation of the system being tested. Hence, the test room 
conditions would not necessarily deviate from these specified 
temperatures, which would be an indication that the refrigeration 
system under test is not capable of maintaining the box conditions. DOE 
proposes that determining whether the refrigeration system can maintain 
box conditions would be based on the measured net capacity for the 
system when operating at the 35[emsp14][deg]F outdoor condition--
specifically, DOE proposes that this net capacity must be no less than 
65 percent of the net capacity when tested at 95[emsp14][deg]F outdoor 
conditions for a unit to be considered an outdoor condensing system. 
DOE selected this comparison because the box loads specified for 
operation in a 35[emsp14][deg]F outdoor condition in AHRI 1250-2009 for 
outdoor condensing systems during the high load period (Equation 3 for 
medium-temperature and Equation 7 for low-temperature) are equal to 65 
percent of the net capacity measured for the 95[emsp14][deg]F outdoor 
condition.
    Second, DOE would clarify that ``an extended period'' would mean a 
period of no less than an hour. DOE notes that during testing of walk-
in refrigeration systems, AHRI 1250-2009 requires that data be recorded 
for a period of at least 30 minutes after approaching steady state for 
at least 30 minutes at the specified test conditions (see section C3.6 
in Appendix C of AHRI 1250-2009). Together, the 30 minutes taken to 
reach steady state and the 30 minutes of data recording time starting 
after steady state has been achieved add up to an hour of testing. 
While DOE would expect that an outdoor unit would be able to maintain 
the required capacity level for many hours, not just one, DOE believes 
that any inability to maintain this capacity (e.g., due to inability to 
maintain sufficient refrigerant pressure at the inlet to the expansion 
device to maintain adequate refrigerant flow) would already have 
manifested itself within an hour. This is because, for steady-state 
operation, the refrigerant in a walk-in refrigeration system would 
circulate through the system many times before an hour would have 
elapsed,\3\ thus if it was going to be ``held up'' by the expansion 
valve due to insufficient refrigerant pressure, such an issue would 
have been observed long before the end of the hour.
---------------------------------------------------------------------------

    \3\ For example, for a set of dedicated condensing systems 
tested by DOE, the range of time required for the refrigerant to 
circulate fully around the circuit (calculated as the refrigerant 
charge divided by the mass flow rate) averaged 3 minutes.
---------------------------------------------------------------------------

    Consistent with this approach, DOE is proposing to define an 
``outdoor

[[Page 54932]]

dedicated condensing refrigeration system'' as ``a dedicated condensing 
unit, packaged dedicated system, or matched refrigeration system in 
which the assembly (including the compressor(s) and condenser) is 
encased and the system is capable of maintaining a net capacity at the 
35[emsp14][deg]F outdoor temperature condition that is no less than 65 
percent of the net capacity measured at the 95[emsp14][deg]F outdoor 
temperature condition for a period of no less than one hour.''
    Although the Term Sheet originally recommended a definition for 
``outdoor condensing unit'' to encompass certain dedicated condensing 
units and matched condensing units, DOE is proposing a slightly 
modified definition that expands the scope to packaged dedicated 
systems (defined in section III.A.1.b). DOE believes its proposed 
definition is consistent with the intent of the Working Group as 
expressed in the Term Sheet.
    For completeness, DOE is also proposing to define an ``indoor 
dedicated condensing refrigeration system'' as ``a dedicated condensing 
refrigeration system that is not an outdoor dedicated refrigeration 
system.''
    DOE requests comments on the proposed definitions for indoor and 
outdoor condensing units.
e. Unit Cooler
    In addition to dedicated condensing systems, the definition of 
``refrigeration system'' in 10 CFR 431.302 also includes unit coolers 
connected to a multiplex condensing system. DOE previously referred to 
this class of equipment as ``multiplex condensing,'' abbreviated as 
``MC.'' However, manufacturers have indicated that unit coolers can be 
installed in either dedicated condensing or multiplex condensing 
applications, and that most units that are shipped individually are 
installed in dedicated condensing systems. (See manufacturer-submitted 
Excel spreadsheet, Docket No. EERE-2015-BT-STD-0016, No. 0029, noting 
in column ``K'' that approximately 82 percent of unit coolers are used 
in dedicated condensing applications, while approximately 18 percent 
are used in multiplex condensing applications.) In the May 2014 test 
procedure rule, DOE implemented a certification approach where all unit 
coolers sold separately (that is, not distributed in commerce as part 
of a matched-pair system) must be tested and rated as part of the 
multiplex condensing system class. However, as mentioned in this 
preamble, these unit coolers could be installed in either dedicated 
condensing or multiplex condensing applications. The multiplex 
condensing unit itself is not covered by the standard (as discussed in 
section III.A.1.a), which could create confusion if the ``multiplex 
condensing'' reference were to continue to be used. To align its 
terminology with the actual use of this equipment, DOE is proposing to 
drop the term ``multiplex condensing'' and re-name this class of 
equipment as ``unit coolers'' (i.e. ``UC'').
    In section 3.3 of AHRI 1250-2009, the test procedure incorporated 
by reference (see 10 CFR 431.303), unit coolers (or, more specifically, 
``Forced-Circulation Free-Delivery Unit Coolers (Unit Coolers)'') are 
defined as ``[a] factory-made assembly, including means for forced air 
circulation and elements by which heat is transferred from air to 
refrigerant without any element external to the cooler imposing air 
resistance. These may also be referred to as Air Coolers, Cooling 
Units, Air Units or Evaporators.'' DOE believes this definition for 
``unit coolers'' is appropriate. However, due to the importance of the 
term ``unit cooler'' in the walk-in regulations, DOE proposes to add a 
definition in its test procedure using nearly the same text that 
currently is used in AHRI 1250-2009. DOE proposes to remove the term 
``factory-made'' from the definition to avoid suggesting that such an 
assembly is not a unit cooler (and thus not covered by DOE regulations) 
if it happens to be assembled from its subcomponents after shipment 
from the factory (similar to the approach taken for ``dedicated 
condensing unit'' as described in section III.A.1.a). Unit coolers 
would be treated as covered equipment since they would continue to fall 
within the definition for ``refrigeration system'' as discussed in the 
next section.
    DOE requests comment on its proposal to change the ``multiplex 
condensing'' class designation to ``unit cooler'' and on its proposal 
to add a definition for ``unit cooler'' in the CFR, using the 
definition that currently is in AHRI 1250-2009.
f. Refrigeration System
    For purposes of clarity, DOE is proposing to modify the current 
definition of ``refrigeration system'' in 10 CFR 431.302 to align it 
with the new definitions discussed earlier. ``Refrigeration system'' is 
currently defined as ``the mechanism (including all controls and other 
components integral to the system's operation) used to create the 
refrigerated environment in the interior of a walk-in cooler or 
freezer, consisting of: (1) A packaged dedicated system where the unit 
cooler and condensing unit are integrated into a single piece of 
equipment; or (2) A split dedicated system with separate unit cooler 
and condensing unit sections; or (3) A unit cooler that is connected to 
a multiplex condensing system.'' DOE is proposing to consolidate and 
re-word clauses (1) and (2) in the current definition to refer to the 
new, proposed definition for ``dedicated condensing system.'' As the 
proposed definition for ``dedicated condensing system'' encompasses 
both packaged dedicated systems and matched refrigeration systems 
consisting of a dedicated condensing unit and one or more unit coolers, 
DOE believes the term ``dedicated condensing system'' can replace 
clauses (1) and (2) in the proposed definition without reducing the 
overall scope of coverage. This replacement will also serve to clarify 
that a dedicated condensing unit can also be considered a refrigeration 
system, as the proposed definition of ``dedicated condensing system'' 
includes dedicated condensing units.
    DOE is also proposing to remove the specification ``that is 
connected to a multiplex condensing unit'' from clause (3) of the 
current definition. As discussed in the previous section, walk-in unit 
coolers can be installed in either dedicated condensing or multiplex 
condensing applications, and most that are shipped individually are 
installed in dedicated condensing systems. DOE does not intend to imply 
that only walk-in unit coolers installed in multiplex condensing 
applications are covered, because walk-in unit coolers are covered 
under the standard regardless of whether they are ultimately installed 
in dedicated condensing or multiplex condensing applications.
    The modified definition of ``refrigeration system'' would define 
this term as ``the mechanism (including all controls and other 
components integral to the system's operation) used to create the 
refrigerated environment in the interior of a walk-in cooler or 
freezer, consisting of: (1) A dedicated condensing refrigeration system 
(as defined in 10 CFR 431.302); or (2) A unit cooler.''
    DOE requests comment on the proposed modifications to the 
definition of refrigeration system.
g. Adaptive Defrost
    The May 2014 test procedure rule implemented a credit for systems 
having an adaptive defrost system that manufacturers could use in lieu 
of testing the adaptive defrost feature using the relevant provision in 
AHRI 1250-2009, incorporated by reference in the DOE test procedure, 
when calculating

[[Page 54933]]

the efficiency of their refrigeration systems. (See 10 CFR 
431.304(c)(10)(ix)) Manufacturers, however, expressed concerns that DOE 
had not adequately defined ``adaptive defrost'' and that the test 
procedure could permit a manufacturer to claim the energy efficiency 
credit for systems with this feature even if those systems may not 
necessarily yield the efficiency performance improvement consistent 
with the credit provided by the test procedure. (See discussions at 
Docket No. EERE-2015-BT-STD-0016, Lennox, Public Meeting Transcript 
(September 11, 2015), No. 0061 at p. 0087; and Docket No. EERE-2015-BT-
STD-0016, Lennox and Rheem, Public Meeting Transcript (September 30, 
2015), No. 0067 at pp. 138-144) To address this issue, DOE offered a 
definition for ``adaptive defrost'' for the Working Group to consider 
during the negotiated rulemaking. In particular, during the October 15, 
2015 public meeting, DOE suggested revising the definition for adaptive 
defrost to refer to a defrost control system that reduces defrost 
frequency by initiating defrosts or adjusting the number of defrosts 
per day in response to operating conditions (e.g., moisture levels in 
the refrigerated space, measurements that represent coil frost load) 
rather than initiating defrost strictly based on compressor run time or 
clock time, such that the time interval between defrosts is at least 12 
hours when operating in a space maintained at -10 [deg]F and less than 
50% relative humidity. (See public meeting presentation, Docket No. 
EERE-2015-BT-STD-0016, No. 0027 at p. 7)
    Commenting on this definition, AHRI, Hussmann, and Lennox 
questioned whether DOE should specify a time interval between defrosts. 
Lennox and Hussmann believed that the additional clarification for the 
time interval was not a necessary part of the definition, while AHRI 
observed that if adaptive defrost is defined based on a response to 
moisture levels, the definition should not also indicate defrost 
frequency because this would effectively make the definition time-
based. Hussmann added that a defrost controller may meet the time 
interval but not function well (a sentiment later reiterated by 
KeepRite). (Docket No. EERE-2015-BT-STD-0016, AHRI, Hussmann, and 
Lennox, Public Meeting Transcript (October 15, 2015), No. 0062 at pp. 
143-145; Keeprite, Public Meeting Transcript (October 15, 2015), No. 
0062 at p. 153) Rheem suggested that the adaptive defrost could be 
dependent on the heat load. (Docket No. EERE-2015-BT-STD-0016, Rheem, 
Public Meeting Transcript (October 15, 2015), No. 0062 at pp. 146) ASAP 
noted that it was important to verify that an adaptive defrost system 
is saving energy, but Lennox pointed out that doing so would require 
the test procedure to be revised to validate the savings of an adaptive 
defrost system versus a standard defrost approach. ASAP then replied 
that DOE could specify that the manufacturer is not required to perform 
the test, but the method could provide a way for DOE to verify 
performance of the system (Docket No. EERE-2015-BT-STD-0016, ASAP and 
Lennox, Public Meeting Transcript (October 15, 2015), No. 0062 at pp. 
146-149) Hussmann then asked whether a mechanism that shortened defrost 
duration would be considered demand defrost, but DOE noted that the 
effect of this would be captured during the regular defrost test, and 
AHRI agreed that reducing the time of the defrost would not be counted 
under the definition. (Docket No. EERE-2015-BT-STD-0016, Hussmann and 
AHRI, Public Meeting Transcript (October 15, 2015), No. 0062 at pp. 
152-156) National Coil suggested that the definition should replace the 
phrase ``response to operating conditions'' with ``response to frosting 
conditions,'' but DOE noted that the definition was not intended to 
restrict the technology that manufacturers would use to determine when 
a defrost is necessary. (Docket No. EERE-2015-BT-STD-0016, National 
Coil, Public Meeting Transcript (October 15, 2015), No. 0062 at pp. 
159-160) The Working Group was unable to agree on a definition at the 
time and postponed further discussion until a future meeting.
    In the November 3 meeting, several Working Group members and other 
attendees provided further input on the definition for adaptive 
defrost. AHRI indicated that the definition should be consistent with 
the approach followed for heat pumps and require that the unit should 
sense an actual need for a defrost instead of being based on time. 
(Docket No. EERE-2015-BT-STD-0016, AHRI, Public Meeting Transcript 
(December 3, 2015), No. 0057 at p. 131) While AHRI did not specify the 
type of heat pumps it was referencing, DOE notes that the current test 
procedure for central air conditioners and heat pumps includes a 
definition for ``demand-defrost control system,'' which requires the 
controls to monitor and record at least once for every ten minutes of 
compressor on-time during space heating one or more parameters that 
always vary with the amount of frost accumulated (See 10 CFR 430, 
subpart B, appendix M, sec. 1). Emerson raised the issue of how to 
assign an adaptive defrost credit if the unit cooler and condensing 
unit were sold separately and argued that the definition should cover 
the case where the sensors and communication board are on the unit 
cooler and the system's processing power (i.e., decision-making) is 
located on the condensing unit. Lennox and AHRI agreed that it would 
not be necessary for both components to have all of the necessary 
features for the system as a whole to have adaptive defrost capability, 
and Hussmann noted that some systems have all of the necessary 
components on the unit cooler. Emerson and Rheem then questioned how 
the condensing unit could receive credit for the system having adaptive 
defrost ability in this case, when the manufacturer would not know 
whether it was going to be paired with a unit cooler that has the 
capability for using adaptive defrost. Rheem noted that, in this 
situation, any components that the manufacturer included on the 
condensing unit would ultimately be unused. (Docket No. EERE-2015-BT-
STD-0016, AHRI, Lennox, Emerson, Rheem, and Hussmann, Public Meeting 
Transcript (December 3, 2015), No. 0057 at pp. 132-140) Hussmann then 
suggested that the manufacturer of the condensing unit could show that 
the unit has adaptive defrost compatibility with a note in the 
instruction manual or a sticker on the unit, but ASAP expressed concern 
that the condensing unit could, in spite of the instructions, be 
installed with a unit cooler that does not have adaptive defrost 
capability. (Docket No. EERE-2015-BT-STD-0016, Hussmann and ASAP, 
Public Meeting Transcript (December 3, 2015), No. 0057 at pp. 142-144)
    As discussed in section III.A.2.b, the Working Group agreed, and 
DOE is separately proposing, that manufacturers should rate their 
systems for compliance purposes without the adaptive defrost credit, 
but that the test procedure would continue to retain its current method 
for calculating the benefit of adaptive defrost to permit manufacturers 
to make representations of system efficiency with this feature 
included. After settling on this approach, the Working Group agreed on 
a definition of adaptive defrost without resolving the question of how 
DOE would verify that a unit cooler or condensing unit has adaptive 
defrost capability. Consistent with the Term Sheet, DOE proposes to 
define ``adaptive defrost'' as ``a defrost control system that reduces 
defrost frequency by initiating defrosts or adjusting the number of 
defrosts per day in response to operating conditions (e.g., moisture

[[Page 54934]]

levels in the refrigerated space, measurements that represent coil 
frost load) rather than initiating defrost strictly based on compressor 
run time or clock time.'' See Docket No. EERE-2015-BT-STD-0016, Public 
Meeting Transcript (December 15, 2015), No. 0060 at p.157.
    The proposed definition does not specify which features must be 
included on (or with) the unit cooler or condensing unit; based on the 
discussion outlined in this preamble, features may not be consistent 
across manufacturers or installed systems. Also in accordance with 
Working Group recommendations discussed earlier in this section, the 
proposed definition specifies that the defrost is initiated based on 
operating conditions and not on time. Although the proposed definition 
lists some examples of operating conditions, it does not prescribe 
which conditions the controller must rely on to initiate the defrost.
    DOE requests comment on the proposed definition for adaptive 
defrost.
h. Process Cooling, Preparation Room Refrigeration, and Storage Space
    The statutory definition of a walk-in cooler is ``an enclosed 
storage space refrigerated to temperatures, respectively, above, and at 
or below 32 degrees Fahrenheit that can be walked into, and has a total 
chilled storage area of less than 3,000 square feet; however, the terms 
do not include products designed and marketed exclusively for medical, 
scientific, or research purposes.'' (42 U.S.C. 6311(20)) The use of the 
term ``storage space'' in the definition raises questions about which 
refrigerated spaces would qualify as a ``storage space'' and thereby 
comprise equipment subject to the walk-in standards.
    To address this ambiguity, Working Group meeting participants asked 
DOE to add definitions to help clarify certain refrigeration system 
applications. (See manufacturer-submitted material at Docket No. EERE-
2015-BT-STD-0016, No. 0006 at p. 2 and Docket No. EERE-2015-BT-STD-
0016, Lennox, Public Meeting Transcript (August 27, 2015), No. 0015 at 
pp. 96-97; and Docket No. EERE-2015-BT-STD-0016, AHRI, Public Meeting 
Transcript (December 15, 2015), No. 0060 at pp. 141-142) As part of the 
negotiated terms, DOE agreed to create walk-in-specific definitions for 
``process cooling,'' ``preparation room refrigeration,'' and ``storage 
space.'' (See Term Sheet at EERE-2015-BT-STD-0016, No. 0056, 
Recommendation #7) In the following paragraphs, DOE discusses its 
proposed definitions for these terms.
Process Cooling
    Interested parties first asked DOE to clarify the applicability of 
standards to certain types of process cooling refrigeration systems 
during the initial rulemaking that culminated in the June 2014 final 
rule. In the preamble to that final rule, DOE clarified that blast 
chillers and blast freezers (which it considered types of process 
cooling) would not be required to meet the walk-in standards. At the 
time, DOE explained its understanding that the description contained in 
that document was sufficiently clear to enable manufacturers to readily 
determine whether a particular device they produce would be subject to 
the standards. DOE further noted that equipment used solely for process 
cooling applications is generally excluded from the standards, but that 
it could not categorically exclude from coverage any products used for 
both process and storage applications. 79 FR at 32068.
    At a subsequent public meeting that DOE held in October 2014 to 
clarify aspects of the test procedure, DOE again stated that blast 
chillers and blast freezers did not fall within the scope of the energy 
conservation standards established for walk-ins in the June 2014 final 
rule. However, DOE acknowledged at the time that it did not have a 
definition for ``process'' cooling in the context of walk-ins. (Docket 
No. EERE-2011-BT-TP-0024, Heatcraft and DOE, Public Meeting Transcript 
(October 22, 2014), No. 0117 at pp. 61-63)
    DOE has considered process cooling more carefully in light of the 
Working Group's request to develop clarifying definitions. DOE 
concludes that its initial statements in the 2014 final rule that blast 
chillers and blast freezers are not walk-ins were in error. DOE now 
believes that these categories of equipment, referred to as ``process 
cooling equipment'' do fall under the EPCA definition for walk-ins and 
are, for the reasons that follow, subject to standards. DOE notes that 
it is proposing an approach for process cooling equipment that differs 
from the component-based approach that applies to other walk-ins.
    In again reviewing DOE's treatment of process cooling, DOE first 
considered whether process cooling equipment that resembles walk-ins 
are indeed walk-ins as defined by EPCA. DOE has tentatively determined 
that certain equipment marketed as blast chillers and/or blast freezers 
(and discussed in the context of this rulemaking as process cooling 
equipment (see, e.g., 79 FR at 36067 (June 3, 2014)) meet the 
requirements for walk-in coolers and freezers under the EPCA 
definition. EPCA defines ``walk-in'' as an ``enclosed storage space.'' 
(42 U.S.C. 6311(20)(A)) However, the statute does not define 
``storage'' and provides no minimum duration for a stored item to 
remain within the walk-in to qualify as storage. As noted earlier, the 
Working Group asked DOE to develop a definition for ``storage space,'' 
which indicates that there is not necessarily a clear distinction 
between storage space and process space in the context of walk-in 
coolers and walk-in freezers.
    In applying the statute's use of the term ``storage space,'' the 
key question is whether the use of a blast chiller's refrigerated space 
for rapid pulldown of the temperature of the contents placed within the 
enclosure, in and of itself, excludes the internal space from being 
considered storage space. On one hand, the contents are being acted 
upon rather than simply passively sitting. On the other hand, these 
contents are also placed in the space for a certain period of time, 
i.e., the contents are placed in the space for later access. In the 
June 2014 final rule, DOE referenced a period of 90 minutes when 
discussing the difference between process equipment and walk-ins. See 
79 FR at 32068. DOE considered whether the referenced time period is 
appropriate to distinguish between a storage and process cooling 
application. DOE has tentatively determined, however, that the duration 
of time that contents are stored in the equipment is not an appropriate 
means for excluding certain equipment from the definition of walk-in 
cooler or walk-in freezer because there is no clear standard 
demarcating a boundary between what does and does not constitute 
storage. To the extent that this equipment is an enclosed refrigerated 
space that can be used to retain goods for an unspecified period of 
time and can be walked into with a chilled area less than 3,000 square 
feet and is not designed and marketed exclusively for medical, 
scientific, or research purposes, even if the goods are being 
interacted with/upon while in the chilled area (see 42 U.S.C. 
6311(20)), DOE now considers this equipment to be a walk-in. Hence, DOE 
is clarifying that process cooling equipment, including blast chillers 
and blast freezers, fall within the statutory definition for walk-in 
coolers and freezers.
    In light of this clarification of how process-cooling applications 
fit within the EPCA definition of WICF, DOE also

[[Page 54935]]

reviewed the applicability of the statutory standards for the three 
primary walk-in components. Currently, panels, doors, and refrigeration 
systems must meet statutorily prescribed standards as set forth in 42 
U.S.C. 6313(f) (codified at 10 CFR 431.306(a)-(b)). These statutorily 
prescribed standards apply to all regulated walk-in components used in 
any equipment that meets the definition of a WICF regardless of its 
end-use application--subject to the exceptions already noted in the 
definition. Consequently, DOE is also clarifying in this rulemaking 
that WICF panels, doors, and refrigeration systems used in process 
cooling applications are subject to the statutory design standards and 
these components must be certified as compliant with the applicable 
WICF component-based standard.
    Since DOE previously erred in indicating that WICFs used 
exclusively for process-cooling such as blast chilling and freezing are 
not subject to walk-in regulations, DOE recognizes that manufacturers 
may require time to comply with the statutorily prescribed walk-in 
requirements. Consequently, WICF components used in process-cooling 
WICFs and process-cooling WICFs manufactured prior to the final rule 
would not be held to the statutory standards. Further, DOE will 
exercise its enforcement discretion for 60 days after publication of 
the final rule, to allow manufacturers of WICF components that are used 
exclusively in process cooling applications to comply and to certify 
compliance with the applicable statutory standard. DOE believes that 
WICF panels and doors would already comply with the statutorily 
prescribed standards because there are no door or panel designs 
exclusively associated with process cooling equipment. Accordingly, 
none of these components would have been impacted by DOE's prior views 
regarding process cooling equipment. However, DOE understands that 
refrigeration systems used in process cooling equipment such as blast 
chilling and freezers have a specific set of operating requirements 
that could require some level of redesign to enable them to comply with 
the statutorily prescribed standards. DOE seeks comment on the 
enforcement discretion timeframe from manufacturers of WICF 
refrigeration systems used in process cooling applications including 
any associated rationale about the level of redesign needed to comply 
with the EPCA standards.
    In addition, DOE adopted a component-based regulatory approach for 
walk-ins when it evaluated amended energy conservation standards for 
WICFs in the July 2014 final rule. Rather than developing standards 
applicable to the entire walk-in cooler or freezer, DOE established 
performance-based standards for components, including panels, doors, 
and refrigeration systems. As part of this clarification, DOE 
considered whether these component-level standards apply to process 
cooling equipment.
    As noted in this preamble, DOE does not consider the panels and 
doors of process refrigeration walk-ins to be unique from those of 
other walk-ins. DOE is unaware of any differences between the doors and 
panels used with standard walk-ins and those walk-ins used with process 
cooling applications, and the analysis for these components supporting 
the June 2014 final rule standards included all such panels and doors 
without regard to the application in which they were installed. 
Furthermore, DOE has no information suggesting performance requirements 
for these groups of equipment differ from each other based on 
application. Specifically, the rapid temperature pull-down associated 
with process equipment does not impose performance requirements on the 
panels and doors that are any different than the requirements for 
panels and doors of other walk-ins. Consequently, DOE considers the 
efficiency performance standards for doors established in the 2014 
final rule to apply to WICFs used in process refrigeration 
applications.
    However, DOE recognizes that process cooling refrigeration systems 
can be distinct from the refrigeration systems of other walk-ins. 
Specifically, process cooling refrigeration systems must be able to 
rapidly cool down and/or freeze the contents of a process cooling walk-
in. In order to achieve rapid cooldown, process cooling WICF 
refrigeration systems have unique characteristics such as a higher 
refrigeration capacity on a per volume basis and unit cooler designs 
that extend nearly the full height of the WICF allowing the discharge 
air to directly impinge on the product being cooled to enhance heat 
transfer. The temperature change demanded of process cooling 
refrigeration systems must be accomplished within a certain amount of 
time that is governed by restraints such as health regulations that 
require rapid cool-down of cooked food. This rate of cool-down 
typically cannot be achieved by the types of walk-in refrigeration 
systems addressed by DOE's rulemakings to date. Consequently, DOE 
expects that at least some process cooling refrigeration systems would 
be unable to meet the walk-in standards, which are based on the 
performance of refrigeration systems designed for storage applications 
requiring that a specific temperature level be maintained. The 
characteristics of this process cooling equipment and the basis for the 
proposed ``process cooling'' definition is discussed in greater detail 
in the discussion that follows. DOE views equipment meeting this 
definition as exempt from the walk-in refrigeration system standards--
both those established in the June 2014 final rule and those that DOE 
is proposing as part of a separate rulemaking to address the vacated 
standards mentioned elsewhere in this document.
    Blast chillers and blast freezers are examples of process cooling 
WICFs. Although there are other types of refrigeration that could be 
considered process cooling--for example, spiral chillers and freezers 
(where food is moved on a conveyor belt in a spiral around a central 
multi-directional cooling unit)--these other types are unlikely to be 
mistaken for a refrigeration system that would be subject to the walk-
in standards because of clear and observable differences in physical 
configuration, for this example, the spiral conveyor for the food 
products of a spiral freezer resembles none of the subcomponents of 
other walk-ins. On the other hand, blast chillers and blast freezers 
superficially resemble other walk-ins in outside appearance and 
physical size--factors that make it plausible that these equipment 
might, without clarification from DOE, be considered as covered by the 
walk-in standards. Thus, DOE attempted to identify characteristics of 
blast chillers and blast freezers that would clearly distinguish them 
from other walk-ins that must meet the applicable refrigeration system 
standards.
    One clear distinguishing characteristic is that the refrigeration 
system capacity of a blast chiller or freezer is much higher relative 
to the internal volume of the enclosure as compared to other typical 
walk-ins. This is because the refrigeration load includes the large 
load associated with the required rapid cool-down of the product. In 
situations where the refrigeration system is distributed in commerce 
with the rest of the blast chiller or freezer components, it is easy to 
distinguish the refrigeration system from those of other typical walk-
ins on the basis of capacity versus cabinet size, because, for this 
situation, both the capacity and the cabinet size would be known. 
Therefore, DOE's proposed definition for process cooling includes a 
minimum ratio of capacity versus cabinet size in cases where the

[[Page 54936]]

refrigeration system is distributed in commerce with the cabinet.
    However, in cases where the refrigeration system is distributed 
separately and, consequently, the cabinet size may not be known, this 
definition would be insufficient. Hence, the ideal definition would 
also include a way to determine whether the process cooling 
refrigeration system on its own is distinct from those of other typical 
walk-ins that are shipped without their associated enclosures. DOE 
researched blast chiller and freezer data and found that when evaluated 
independently of the cabinet size, refrigeration capacities for certain 
blast chillers and freezers fall within the range of capacities of 
other walk-in refrigeration systems. Thus, it does not appear that 
process cooling refrigeration systems can be distinguished based on 
refrigeration capacity alone in cases where the refrigeration system is 
distributed separately from the enclosure.
    For this reason, DOE also identified physical characteristics of 
blast chiller and blast freezer refrigeration systems that would 
distinguish them from other refrigeration systems. First, some blast 
chiller and freezer refrigeration systems consist of separate coil and 
fan assemblies, with the coil and the fan placed during installation on 
opposite sides of the enclosure to more evenly distribute the airflow. 
These types of systems would be excluded from the standards because the 
equipment would not meet the proposed definition of a unit cooler--that 
is, a single assembly that includes the fan(s) and coil(s). See section 
III.A.1.e regarding DOE's proposed ``unit cooler'' definition. Second, 
for those blast chiller and freezer refrigeration systems for which a 
single factory-assembled unit houses the fans and evaporator coil, 
these systems are also distinct from unit coolers subject to the walk-
in standards in that they have a height that nearly fills the vertical 
dimension of the insulated enclosure and have fans that are stacked on 
top of each other to blow air directly onto the items being chilled or 
frozen. In comparison, unit coolers used in other walk-ins have a 
limited vertical dimension and have fans oriented side-by-side in the 
direction of the unit's width (or have only one fan). These unit 
coolers are also generally installed so that they blow air over the top 
of the stored items--the height of this space in a walk-in may not be 
very high (in order to maximize use of the available space)--hence, the 
unit coolers and their fans are oriented horizontally instead of 
vertically. Consistent with these findings, the proposed process 
cooling refrigeration definition incorporates a qualifier on the 
physical dimensions of the unit cooler.\4\
---------------------------------------------------------------------------

    \4\ DOE is not proposing to distinguish process cooling 
refrigeration systems on the basis of evaporator fan power, 
evaporator air velocity, or evaporator air flow, which are generally 
higher for these systems as compared with unit coolers used 
predominately in other walk-ins. Evaporator fan power, velocity, or 
air flow of a unit cooler could be atypically high for a number of 
reasons, including the use of inefficient fans or motors, long air 
``throw'' distance, and other factors. Consequently, an approach 
based on the evaporator's fan power, air velocity, or air flow alone 
would be inadequate to consistently distinguish process cooling from 
other refrigeration systems.
---------------------------------------------------------------------------

    DOE notes that the physical distinctions it found apply only to the 
unit cooler and not to the condensing unit. DOE has found no evidence 
that condensing units used with blast chillers and freezers are 
materially different from those used with other refrigerated enclosures 
or that these condensing units have features that would make them 
unable to meet a walk-in standard for dedicated condensers.
    For the reasons outlined in this preamble, DOE proposes to define 
``walk-in process cooling refrigeration system'' as ``a refrigeration 
system that is used exclusively for cooling food or other substances 
from one temperature to another. A process cooling refrigeration system 
must either (1) be distributed in commerce with an enclosure consisting 
of panels and door(s) such that the assembled product has a 
refrigerating capacity of at least 100 Btu/h per cubic foot of enclosed 
internal volume, or (2) be a unit cooler having an evaporator coil that 
is at least four-and-one-half (4.5) feet in height and whose height is 
at least one-and-one-half (1.5) times the width.'' This proposed 
definition would cover both process cooling systems that are 
distributed in commerce as part of a complete assembly, process cooling 
unit coolers that are distributed separately from the enclosure, and 
refrigeration systems including unit coolers meeting the process 
cooling definition.
    These exclusions would apply to (a) refrigeration systems sold as 
part of a complete package, including the insulated enclosure, and the 
refrigeration system for which the capacity per volume meets the 
proposed process cooling definition, (b) dedicated condensing systems 
sold as a matched pair in which the unit cooler meets the requirements 
of the proposed process cooling definition, and (c) unit coolers that 
meet the requirements of the proposed definition. DOE intends to 
propose specific regulatory language expressing these exclusions as 
part of its concurrent energy conservation standards rulemaking. 
However, because having a clear way to differentiate process cooling 
equipment from other walk-ins is essential to ensure clarity for 
manufacturers with regard to whether the equipment it manufactures 
would need to satisfy an applicable energy conservation standard, DOE 
seeks comment on the proposed definition and any additional information 
that would help to delineate this equipment more clearly.
    DOE does not intend for the proposed process cooling definition to 
have the effect of excluding process cooling refrigeration from the 
definition of a walk-in cooler or freezer. Process cooling 
refrigeration systems would remain subject to other walk-in-related 
regulations, such as the labeling requirements discussed in section 
III.B.5 that DOE is considering, along with the prescriptive 
requirements for walk-ins already prescribed by Congress in EPCA. See 
42 U.S.C. 6313(f). A complete process cooler would also need to be 
assembled using panels and doors that comply with the applicable 
requirements. See 42 U.S.C. 6313(f) and 10 CFR 431.306. DOE may also 
examine the possibility of regulating the energy efficiency of process 
cooling refrigeration systems at a later date, but consideration of 
such regulation would also include consideration of alternative test 
procedures and/or equipment classes to address the different operating 
and energy use characteristics of this equipment.
    DOE requests comment on the definition for process cooling 
refrigeration system. DOE also requests data or information on any 
other qualities, characteristics, or features specific to the 
refrigeration system itself (either mentioned in this section or not) 
that would clearly distinguish process refrigeration from other 
refrigeration systems or would cause a certain process refrigeration 
system to be unable to meet a walk-in refrigeration system standard. 
DOE particularly requests data for condensing units distributed 
individually; in the absence of any evidence that individual condensing 
units designed for process refrigeration are fundamentally different 
from other individual condensing units, DOE will have no basis for 
excluding such condensing units from the scope of the standards. 
Further, DOE requests comment on the proposal to allow 60 days after 
publication of the final rule for manufacturers of process cooling 
refrigeration systems to attain compliance with the applicable 
regulations.

[[Page 54937]]

Preparation Room Refrigeration
    During the public meeting that DOE held in October 2014 to clarify 
aspects of the test procedure, Heatcraft, a refrigeration system 
manufacturer, asked whether preparation rooms are also excluded from 
the definition of walk-ins. DOE could not at the time determine whether 
refrigeration systems designed for this application should be 
categorically excluded. (Docket No. EERE-2011-BT-TP-0024, Heatcraft, 
Public Meeting Transcript (October 22, 2014), No. 0117 at pp. 61-63)
    DOE further investigated this refrigeration application as part of 
its effort to define ``preparation room refrigeration'' in accordance 
with the Term Sheet. Commercial and industrial food sales and food 
service establishments often prepare food (primarily meat) in spaces 
that are refrigerated and can be walked into, making the distinction 
between these spaces and walk-ins unclear. Similar to the process 
refrigeration definition discussed earlier, DOE sought to identify 
characteristics of preparation room refrigeration equipment that would 
distinguish it from walk-in refrigeration equipment. An engineering 
manual published by Heatcraft notes that preparation room refrigeration 
loads are sized to account for personnel and processing equipment; the 
evaporator ``should be [a] low outlet velocity type to avoid drafts and 
should be selected for continuous operation and not less than 
30[emsp14][deg]F evaporator temperature.'' (Docket No. EERE-2016-BT-TP-
0030, No. 0001 at p. 19) A manufacturer had also commented during the 
previous rulemaking (ending in the June 2014 final rule) that meat 
processing rooms in particular have electric or hot gas defrost even 
when they are designed for room temperatures above 32 degrees 
Fahrenheit. (Docket No. EERE-2008-BT-STD-0015, Hussmann, No. 0093 at p. 
9)
    Based on these characteristics, DOE is proposing to define 
``preparation room refrigeration'' as referring to ``a unit cooler that 
is designed for use in a room occupied by personnel who are preparing 
food and that is characterized by low outlet air velocity, evaporator 
temperature between 30 and 55 degrees Fahrenheit, and electric or hot 
gas defrost.''
    While DOE is proposing to define this type of refrigeration system, 
this equipment would not be exempt from the applicable standards under 
this proposal. Some of the system's characteristics, such as low air 
velocity and a relatively high evaporating temperature, do not clearly 
distinguish this type of refrigeration from other types used in walk-
ins subject to standards. Furthermore, DOE has not found evidence that 
this refrigeration system would have undue difficulty meeting a 
standard when rated using the DOE test procedure. Although these units 
may have electric or gas defrost, their operating temperature would 
place them in the medium-temperature class, and the test procedure 
(both the current test procedure and the test procedure as proposed in 
this notice) adds no energy use associated with defrost for medium-
temperature systems. Thus, the defrost energy would not be measured 
under the test procedure and not be factored into the unit's rating.
    DOE requests comment on the proposed definition for preparation 
room refrigeration. DOE requests comment on any other characteristics 
of preparation room refrigeration that (1) clearly distinguishes it 
from walk-in refrigeration systems and (2) would cause this equipment 
to be unable to meet a walk-in refrigeration standard.
Storage Space
    Finally, consistent with the Term Sheet, DOE is proposing to define 
``refrigerated storage space'' in the context of the current definition 
for a walk-in as follows: The term ``refrigerated storage space'' would 
be defined to mean ``a space held at refrigerated (as defined in 10 CFR 
431.302) temperatures.'' DOE is aware that this definition does not 
delineate a difference between equipment that is subject to standards 
and equipment that is not subject to standards, but believes that the 
previous discussions on process refrigeration and preparation room 
refrigeration sufficiently indicate what types of equipment are or are 
not subject to standards.
    DOE requests comment on the proposed definition for ``refrigerated 
storage space.'' DOE requests comment on whether any further 
clarification is needed to clearly distinguish equipment that is 
subject to the standard from equipment that is not.
2. Refrigeration System Test Procedure Modifications
a. Hot Gas Defrost
    DOE proposes to amend the current test procedure by removing the 
method for calculating the defrost energy and heat load of a system 
with hot gas defrost. The May 2014 test procedure rule established a 
calculation to represent the efficiency improvement of hot gas defrost 
as a credit applied to any low-temperature refrigeration system that 
has the feature. The amended test procedure did not include a test 
method for validating the performance of this feature. Instead, the 
method applied standardized values for the energy use and heat load 
associated with hot gas defrost in the calculations to determine AWEF. 
See 79 FR at 27400 (May 13, 2014). During the first Working Group 
meeting, Lennox (representing a caucus of manufacturers) requested that 
DOE remove hot gas defrost as a design option in the energy 
conservation standard analysis for a number of reasons, including (a) 
the lack of any method for measuring the true energy benefit of this 
feature, (b) the lack of test data and research supporting the energy 
credit in the DOE test procedure, (c) installation and serviceability 
issues such as an increase in refrigerant leaks, and (d) energy 
penalties for hot gas defrost in installed systems that would not be 
captured in the test procedure credit. (Docket No. EERE-2015-BT-STD-
0016, Lennox, Public Meeting Transcript (August 27, 2015), No. 0015 at 
pp. 94-95; see also manufacturer-submitted material at Docket No. EERE-
2015-BT-STD-0016, Working Group Meeting Materials, No. 0006 at p. 1) In 
a subsequent meeting, other members of the Working Group again noted 
that there was a lack of data to support the credit. (Docket No. EERE-
2015-BT-STD-0016, Rheem, Public Meeting Transcript (September 11, 
2015), No. 0061 at p. 40-41 and Lennox, id. at pp. 44-46) Hussmann also 
claimed that DOE's assigned value of zero energy use for hot gas 
defrost in multiplex condensing systems was not correct because hot gas 
defrost would affect the system's energy efficiency ratio (``EER''). 
Hussmann noted that the EER in the test procedure is based on a system 
with electric defrost, but systems with hot gas defrost may experience 
a reduction in the overall system efficiency.\5\ (Docket No. EERE-2015-
BT-STD-0016, Hussmann, Public Meeting Transcript (September 11, 2015), 
No. 0061 at p. 42) (See also manufacturer-submitted comments (Docket 
No. EERE-2015-BT-STD-0016, No. 0008 at pp. 15-17))
---------------------------------------------------------------------------

    \5\ Depending on how hot gas defrost is implemented in a 
multiplex system, there are a number of factors which could cause 
additional energy use in the system and/or increase head pressure, 
which would reduce the EER of the system and therefore indirectly 
increase the overall system energy use.
---------------------------------------------------------------------------

    At the September 30, 2015 Working Group meeting, DOE presented test 
data and additional analysis in response to Working Group member 
concerns. The data and analysis showed that the credit for hot gas 
defrost in the test procedure is consistent with the measured benefit 
for a condensing unit operating in an

[[Page 54938]]

ambient air temperature of 90[emsp14][deg]F. (Docket No. EERE-2015-BT-
STD-0016, Public Meeting Presentation (September 30, 2015), No. 0007 at 
pp. 10-17) However, Rheem observed that this credit-based approach may 
not reflect annual average impact, because hot gas defrost performance 
is affected by outdoor temperature. (Docket No. EERE-2015-BT-STD-0016, 
Rheem, Public Meeting Transcript (September 30, 2015), No. 0067 at pp. 
76 and 81) Hussmann added that many hot gas defrost systems 
incorporated in single-compressor dedicated condensing refrigeration 
systems do not work properly at ambient temperatures below 
40[emsp14][deg]F. (Docket No. EERE-2015-BT-STD-0016, Hussmann, Public 
Meeting Transcript (September 30, 2015), No. 0067 at p. 83) Rheem also 
pointed out that some unit coolers use both hot gas and electric 
defrost and that the test procedure's credit does not distinguish 
between hot gas defrost systems that provide pan heating using electric 
heaters from those systems that provide hot gas pan heating. The credit 
as applied assumes that there is no electric heating, but Rheem noted 
that in many applications the drain pan has electric defrost even if 
the rest of the system uses hot gas defrost. (Docket No. EERE-2015-BT-
STD-0016, Rheem, Public Meeting Transcript (September 30, 2015), No. 
0067 at pp. 90-91) DOE notes that the amended test procedure from the 
May 2014 test procedure rule did not define hot gas defrost or provide 
an indication of what percentage of defrost heat must be provided by 
hot gas defrost for a system to be eligible for the credit. See 79 FR 
27388. Lennox further recommended that DOE's engineering analysis 
should account for a 2-psi suction line pressure drop to account for 
the presence of the reversing valve that is used in many hot gas 
defrost systems to enable use of the feature. (Docket No. EERE-2015-BT-
STD-0016, Lennox, Public Meeting Transcript (September 30, 2015), No. 
0067 at p. 90)
    DOE revised its analysis to address these Working Group comments. 
Specifically, DOE implemented changes to the engineering analysis, 
including accounting for the reversing valve pressure drop, effects on 
the EER of a multiplex condensing system associated with an increase in 
head pressure, and an adjustment of cost assumptions. DOE presented 
these analysis updates in the following public meeting. (Docket No. 
EERE-2015-BT-STD-0016, DOE, Public Meeting Presentation (October 15, 
2015), No. 0026 at pp. 31-39; see also Docket No. EERE-2015-BT-STD-
0016, various parties, Public Meeting Transcript (October 15, 2015), 
No. 0062 at pp. 215-226)
    As part of the negotiated terms, DOE agreed to remove the 
calculation method for determining the benefit of hot gas defrost from 
the test procedure. See Term Sheet at EERE-2015-BT-STD-0016, No. 56, 
recommendation #3. The regulatory text in this proposed rule reflects 
this change. With this change, manufacturers of refrigeration systems 
with hot gas defrost will be unable to test or rate the performance of 
the feature with the DOE test procedure. Therefore, in a separate 
rulemaking in which DOE is proposing standard levels for walk-in 
refrigeration systems, DOE is not evaluating hot gas defrost as an 
option for manufacturers to meet the proposed standards. Nevertheless, 
DOE continues to believe that hot gas defrost systems can reduce energy 
use and that their inclusion as part of an accepted test method to 
report their energy efficiency impact would benefit the public by 
illustrating these systems' energy savings potential. DOE encourages 
interested parties to consider development of such test methods for 
potential future inclusion into DOE's test procedures.
    DOE requests comments on its proposal to remove from the test 
procedure the credit-based method for calculating the efficiency 
benefit of hot gas defrost.
b. Adaptive Defrost
    Consistent with the recommendations made during the Working Group 
negotiations, DOE is proposing to amend the test procedure so that the 
provisions for assigning a benefit to adaptive defrost cannot be used 
to certify compliance with the energy conservation standard. AHRI 1250-
2009, the test procedure incorporated by reference, includes an 
optional test for a system with adaptive or demand defrost. That test 
specifies that the system shall be operated at dry coil conditions to 
establish the maximum time interval allowed between dry coil defrosts. 
The measured time between dry coil defrosts is averaged with the time 
between defrosts under the frosted coil conditions, and this average is 
used as the number of defrosts per day in subsequent energy 
calculations. (See appendix C, section C11.2 of AHRI 1250-2009.) DOE's 
May 2014 test procedure final rule further allowed that in lieu of 
conducting the optional test, the number of defrosts per day is set to 
the average of 1 and the number of defrosts per day is calculated under 
the frost load conditions. (10 CFR 431.304(c)(10)(x)) The May 2014 test 
procedure rule also specified that if defrost testing at frost load 
conditions is not conducted, the energy use of defrost under frost load 
conditions shall be set to a percentage of the energy use of defrost 
under dry coil conditions, and the number of defrosts per day under the 
frost load conditions shall be set to 4. (10 CFR 431.304(c)(10)(ix)) 
Thus, if a manufacturer were to use the default values in the test 
procedure in lieu of testing a system with adaptive defrost, the total 
number of defrosts per day would be 2.5--the average of 1 and 4. 
Similar to hot gas defrost, the current test procedure does not require 
performance verification of adaptive defrost to obtain the credit.
    Given the number of possible ways manufacturers could implement 
adaptive defrost, Working Group meeting participants suggested that DOE 
clearly define this term to specify which types of systems would be 
allowed to obtain the credit in the test procedure, and to avoid 
loopholes in which a manufacturer might claim the benefit for a given 
system with minimal cost impact but that would not have the associated 
savings realized in the field. As discussed in section III.A.1.g, 
several Working Group members and other attendees--AHRI, Emerson, 
Lennox, Hussmann, McHugh Energy, HTPG, and ASAP--provided input on a 
possible definition, but remained concerned that the definition would 
still not adequately define this feature in a way to ensure that all 
systems meeting the definition would produce an efficiency improvement 
consistent with the test procedure credit. (Docket No. EERE-2015-BT-
STD-0016, various parties, Public Meeting Transcript for December 3, 
2015 Meeting, No. 0057 at pp. 130-153) Ultimately, DOE suggested that 
certified ratings and standards should be based on equipment not having 
the feature, although the test procedure could still include a rating 
method to allow manufacturers to make representations regarding 
improved performance for equipment having the feature. (Id.) The Term 
Sheet included a definition for adaptive defrost (see supra, section 
III.A.1.g), but also specified that manufacturers should be required to 
certify compliance to DOE for walk-in refrigeration basic models 
without adaptive defrost, and that compliance with the applicable walk-
in refrigeration system standard should be assessed based on systems 
without adaptive defrost. The Term Sheet also recommended that 
manufacturers be permitted to make representations of the energy 
efficiency or consumption for a basic model using adaptive defrost, 
provided that the improved efficiency

[[Page 54939]]

for this basic model is also certified to DOE. See Term Sheet at EERE-
2015-BT-STD-0016, No. 0056, Recommendations #2 and #4.
c. On-Cycle Variable-Speed Evaporator Fan Control
    As noted in section III.A.1.e, the majority of unit coolers that 
would be rated individually (i.e., as though they were paired with 
multiplex condensing systems) are, in fact, installed in dedicated 
condensing applications, and most dedicated condensing applications are 
single-capacity systems. On-cycle variable-speed evaporator fans as a 
design option would save energy only when they are part of a multi- or 
variable-capacity system. This option would improve the measured 
efficiency of a stand-alone unit cooler using the current test 
procedure, which is conducted for stand-alone unit coolers as if they 
were used in multiplex applications. However, the savings predicted for 
this design option by the test procedure would not be achieved in the 
majority of field installations, which use single-stage dedicated 
condensing units. Accordingly, manufacturers in the Working Group 
objected to including in the analysis design options that would not be 
useful to the majority of end-users. (Docket No. EERE-2015-BT-STD-0016, 
No. 0006 at p. 1 and Docket No. EERE-2015-BT-STD-0016, various parties, 
Public Meeting Transcript for September 11, 2015 Meeting, No. 0061 at 
pp. 56-72)
    The Working Group ultimately recommended that manufacturers be 
required to make representations, including certifications of 
compliance to DOE, of the energy efficiency or energy consumption of 
walk-in refrigeration systems without the inclusion of on-cycle 
variable-speed fans. See Term Sheet at EERE-2015-BT-STD-0016, No. 0056, 
Recommendation #4. Likewise, they recommended that compliance with the 
applicable walk-in refrigeration system standard should be assessed 
without using this feature. As part of this approach, manufacturers 
would be permitted to make representations of the energy efficiency or 
consumption for a unit cooler basic model using on-cycle variable-speed 
fans as measured in accordance with the DOE test procedure, provided 
that the additional represented value has been certified to DOE per 10 
CFR 429.12. Id. However, the benefit from using these technologies 
would not be factored when determining compliance with the proposed 
standard. Id. DOE is proposing to adopt these changes to the test 
procedure.\6\
---------------------------------------------------------------------------

    \6\ DOE notes that it did not consider these technologies in its 
supporting analysis regarding the dedicated condensing (low-
temperature) and multiplex condensing refrigeration system standards 
that it is planning to propose separately.
---------------------------------------------------------------------------

B. Actions To Facilitate Implementation of Energy Conservation 
Standards

1. Re-organization and Clarification of the Test Procedure for Walk-In 
Refrigeration Systems, Doors, and Panels
    Other than the test procedure changes proposed in section III.A.2, 
DOE is also proposing to amend the regulatory text to clarify the test 
procedure for refrigeration systems, doors, and panels. The proposed 
changes focus on re-organizing the test procedure into three separate 
appendices, one for each of the metrics used to establish energy 
conservation standards for walk-in components. In addition, DOE 
proposes to clarify some of the definitions and terminology used in the 
test procedure.
    Currently, Appendix A to Subpart R of Part 431 contains the 
procedure for measuring energy consumption (in kWh/day) for display and 
non-display doors. DOE proposes to revise Appendix A to remove 
definitions and references related to walk-in panels, as these are not 
relevant to this procedure. Specifically, DOE proposes to remove (1) 
the definitions of ``core region'' and ``edge region'' and (2) the 
subfloor temperature listed in Table A.1 of Appendix A. DOE proposes to 
amend the definition of ``surface area'' to remove the example 
referencing walk-in panels and amend the definition of ``rating 
condition'' to remove the discussion of internal walk-in components. 
These amendments are intended to clarify Appendix A and do not 
substantively change the DOE test procedure for measuring energy 
consumption of walk-in doors.
    To address questions from the Working Group regarding how to 
calculate door power usage, DOE proposes to define ``rated power,'' a 
term used in section 4.4.2(b) and 4.5.2(b) of Appendix A to Subpart R 
to Part 431. In the January 4, 2010 test procedure NOPR for walk-ins, 
DOE explained that the term ``rated power'' must be read from each 
electricity consuming device's product data sheet or nameplate. 75 FR 
186, 199. Consistent with this prior explanation, and to address 
scenarios where nameplate information is unavailable, DOE is proposing 
to define this term as referring to ``the electricity consuming 
device's power as specified on the device's nameplate. If the device 
does not have a nameplate or such nameplate does not list the device's 
power, then the rated power must be read from the device's product data 
sheet.''
    For each basic model of walk-in door that has an electricity 
consuming device(s) for which rated power is taken from a product data 
sheet, the walk-in door manufacturer must retain the product data sheet 
as part of the test data underlying the walk-in door's certification 
report.
    To further clarify the walk-in test procedure, DOE proposes to add 
a new Appendix B to Subpart R of Part 431. This appendix would include 
the currently prescribed method of measuring the R-value found in 10 
CFR 431.304. Specifically, DOE proposes to move the provisions found at 
10 CFR 431.304(b) and (c) into Appendix B. DOE also proposes to add the 
definition of ``edge region'' that was previously located in Appendix A 
to Subpart R of Part 431 to Appendix B, as this definition is relevant 
to the R-value test method.
    Finally, DOE proposes to add a new Appendix C to Subpart R of Part 
431 and include in this appendix the test method for refrigeration 
systems. Within Appendix C, DOE further organizes its discussion of 
test procedures in terms of the three refrigeration system 
configuration types that it addresses: Refrigeration systems 
distributed in commerce as matched pairs (including packaged dedicated 
systems); unit coolers distributed in commerce individually; and 
condensing units distributed in commerce individually. Within Appendix 
C, DOE is specifying that walk-in refrigeration systems be tested using 
AHRI 1250-2009, the test procedure incorporated by reference in 10 CFR 
431.303, and adding modifications to the rule. One subsection contains 
the general modifications to the test conditions and tolerances within 
the industry test procedure that were promulgated in the May 2014 test 
procedure rule, a second contains general modifications to the method 
of test, while the remaining subsections address modifications that are 
specific to the system configuration types.
    DOE is also proposing to correct a small number of typographical 
errors in the regulatory text. A table currently in 10 CFR 
431.304(c)(10)(xv), replacing Table 16 in AHRI 1250-2009, has incorrect 
values for saturated suction temperature. The suction A and suction B 
temperatures should be -20 [deg]F and -26 [deg]F, respectively. Also, 
an equation currently in 10 CFR 431.304(c)(12)(ii) for defrost heat 
load contribution

[[Page 54940]]

divides by 3.412 Btu/W-h, but should multiply by 3.412 Btu/W-h.
2. Representation Requirements
    DOE is proposing to amend the representation requirements for 
refrigeration systems to clarify how to apply the test procedure to the 
range of possible kinds of refrigeration systems. Specifically, DOE is 
proposing to direct manufacturers of unit coolers, dedicated condensing 
units, package dedicated systems, and matched refrigeration systems to 
the appropriate subsections of Appendix C to Subpart R of Part 431--the 
DOE test procedure for refrigeration systems. DOE is also proposing to 
specify that it is not necessary to rate a matched refrigeration system 
if the constituent unit cooler(s) and dedicated condensing unit have 
been tested and rated separately. However, if a manufacturer wishes to 
represent the efficiency of the matched refrigeration system as 
distinct from the efficiency of either constituent component, or if the 
manufacturer cannot rate one or both of the constituent components 
using the specified method (e.g., if the system has a variable-capacity 
condensing unit, thereby preventing the manufacturer from being able to 
test the condensing unit individually), the manufacturer must test, 
represent, and certify the matched refrigeration system as specified in 
this section. A component that is part of a certified matched pair and 
that has not been rated individually cannot be sold individually, nor 
can it be sold as part of a different matched pair (that is, with a 
different component matched to it) unless that new matched pair has 
also been tested and certified.
    DOE requests comment on the revised representation requirements.
    See section V.E for a list of issues on which DOE seeks comment.
3. Certification and Compliance Requirements
    A manufacturer of a walk-in cooler or walk-in freezer is any person 
who: (1) Manufactures a component of a walk-in cooler or walk-in 
freezer that affects energy consumption, including, but not limited to, 
refrigeration, doors, lights, windows, or walls; or (2) manufactures or 
assembles the complete walk-in cooler or walk-in freezer. 10 CFR 
431.302.
    Several of the statutory standards, as well as DOE's 2014 standards 
and any energy conservation standards that DOE may adopt in its 
separate ongoing rulemaking (see Docket No. EERE-2015-BT-STD-0016) 
apply to specific components of a walk-in. A manufacturer of a walk-in 
component (i.e., part 1 of the definition of a manufacturer of a walk-
in cooler or walk-in freezer) is the entity that manufactures, 
produces, assembles or imports a walk-in panel, door or refrigeration 
system. A manufacturer of a walk-in component is responsible for 
ensuring the compliance of the component(s) it manufactures. DOE 
requires a manufacturer of a walk-in component to certify the 
compliance of the components it manufactures.
    A manufacturer of a complete walk-in (i.e., part 2 of the 
definition of a manufacturer of a walk-in cooler or walk-in freezer) is 
the entity that manufactures, produces, assembles or imports a walk-in 
cooler or freezer (i.e., an enclosed storage space meeting the 
definition of a walk-in cooler or freezer). In some cases, this may be 
an ``installer.'' Although DOE does not require a manufacturer of a 
complete walk-in to certify the compliance of the ``box'' as a whole, a 
manufacturer of a complete walk-in must ensure that the walk-in meets 
applicable statutory and/or regulatory standards. If a manufacturer of 
a complete walk-in also meets part 1 of the definition (i.e., also 
manufactures individual components), then it must certify the 
compliance of the components it manufactures. Compliance 
responsibilities for manufacturers of complete walk-ins are discussed 
in more detail later in this section.
a. Manufacturers of Walk-in Components
    A manufacturers of a walk-in component must ensure that the 
component(s) meet applicable standard(s). DOE is proposing to maintain 
its current component-based approach for compliance certification. 
Manufacturers of walk-in components must currently submit a 
certification report to the Department as described in 10 CFR 429.12 
and 10 CFR 429.53(b) to certify compliance with the standards for which 
compliance is currently required. Namely:

--Manufacturers of doors for walk-in coolers or walk-in freezers must 
report the door type, R-value of the door insulation, and a declaration 
that the manufacturer has incorporated the applicable design 
requirements. In addition, manufacturers of transparent reach-in doors 
and windows for walk-ins must report the glass type of the doors and 
windows (such as double-pane with heat reflective treatment or triple-
pane glass with gas fill), as well as the power draw of the antisweat 
heater in watts per square foot of door opening.
--Manufacturers of walk-in cooler or walk-in freezer panels must report 
the R-value of the insulation.
--Manufacturers of refrigeration systems for walk-ins must report each 
motor's purpose (that is, whether the motor is an evaporator fan motor 
or a condenser fan motor), the motor's horsepower, and a declaration 
that the manufacturer has incorporated the applicable design 
requirements.

    DOE generally plans to retain these existing requirements. However, 
DOE proposes to amend the provisions at 10 CFR 429.12(b)(6) that 
require walk-in manufacturers to submit the basic model number for each 
walk-in brand. Instead, DOE proposes that for each brand, a walk-in 
manufacturer must submit both the basic model number and the 
manufacturer's individual model number(s). DOE elected to limit walk-in 
manufacturer's reporting requirements in a March 2011 rulemaking 
revising DOE's certification, compliance, and enforcement regulations 
for certain consumer products and commercial and industrial equipment 
including walk-ins. At the time, DOE stated it did not have sufficient 
information to determine whether reporting of individual model numbers 
for walk-in components was feasible, but that it would revisit this 
issue in a future rulemaking. 76 FR 12422, 12446 (March 7, 2011). Since 
the March 2011 rulemaking, manufacturers have routinely submitted both 
basic model numbers and individual model numbers for walk-in 
refrigeration systems, panels, and doors. The collected information 
suggests that it is feasible for manufacturers to certify both basic 
model numbers and individual model numbers for each brand.\7\ 
Accordingly, this proposal would require that a walk-in manufacturer 
provide individual model number(s) as part of its reporting submission.
---------------------------------------------------------------------------

    \7\ Public certification information for walk-in refrigeration 
systems, panels, and doors can be found at https://www.regulations.doe.gov/certification-data/.
---------------------------------------------------------------------------

    In this NOPR, DOE also proposes to add reporting requirements for 
both the standards promulgated in the June 2014 final rule (with a June 
2017 compliance date) and for the forthcoming proposed standards for 
certain equipment classes of walk-in refrigeration systems that will be 
defined in a separate energy conservation standards rulemaking (see 
Docket No. EERE-2015-BT-STD-0016).
    In addition to the reporting requirements defined in 10 CFR 
429.53(b), DOE proposes to require certification reports to include the 
following public product-specific

[[Page 54941]]

information to show compliance with the amended energy conservation 
standards:

--Doors: Rated energy consumption, and rated surface area in square 
feet.
--Refrigeration systems: Rated annual walk-in energy factor (AWEF), 
rated net capacity, and the configuration tested for certification 
(e.g., condensing unit only, unit cooler only, or matched pair).

    To enable DOE to verify a door's represented energy consumption, 
DOE proposes to require door manufacturers to certify additional 
product specific information that would not be published on the DOE Web 
site. Specifically, DOE proposes to require door manufacturers to 
certify the rated power of each light, heater wire, and other 
electricity consuming device associated with each model of display and 
non-display door and whether the device(s) has a timer, control system, 
or other demand-based control reducing the device's power consumption.
    If adopted, these reporting requirements would need to be used by 
walk-in component manufacturers when certifying compliance with the 
amended energy conservation standards for doors refrigeration systems.
b. Manufacturers of Complete Walk-Ins
    Although DOE does not require manufacturers of complete walk-ins to 
submit certification reports, a manufacturer of a complete walk-in must 
ensure that each walk-in it manufactures meets the various statutory 
and regulatory standards. That is, a manufacturer of a complete walk-in 
is required to use components that comply with the applicable standards 
and to ensure the final product fulfills the statutory design 
requirements.
    For example, consider an installer deciding which panels to use. 
The installer could assemble a compliant walk-in in several ways. The 
installer could build a panel, test it, and certify it as the component 
manufacturer. The installer could use an uncertified panel with a 
claimed compliant R-value and accept responsibility for its compliance. 
The installer could use a certified panel with a label and bear no 
responsibility for the compliance of the panel. In any of these 
situations, the installer must use compliant panels. The only 
difference between the 3 scenarios is that in the third scenario the 
installer is permitted to rely upon the representations of the 
manufacturer of a WICF component to ensure compliance; if those 
representations turn out to be false, the component manufacturer is 
responsible.
    As discussed in more detail in III.B.5, DOE is proposing several 
provisions to help manufacturers of complete walk-ins, who are not 
manufacturers of walk-in components, ensure compliance with the 
standards. In addition to the component requirements for which DOE 
requires certification (doors, panels, and refrigeration systems), 
walk-ins generally must: Have automatic door closers; have strip doors, 
spring hinged doors, or other method of minimizing infiltration when 
doors are open; and for all interior lights, use light sources with an 
efficacy of 40 lumens per watt or more. It is the responsibility of the 
manufacturer of the complete walk-in to ensure that the walk-in 
incorporates these design features.
    DOE seeks comment on the proposed additions to the reporting 
requirements. See section V.E for a list of issues on which DOE seeks 
comment.
4. Enforcement Provisions
a. Sampling Plan for Enforcement Testing of Covered Equipment and 
Certain Low-Volume Covered Products
    DOE is proposing to include walk-ins to the list of equipment 
subject to the enforcement testing sampling plan for covered equipment 
found in Appendix B of Subpart C of Part 429.
b. Equipment-Specific Enforcement Provisions
    DOE proposes to add specific enforcement provisions for walk-in 
refrigeration systems to 10 CFR 429.134. Specifically, DOE proposes to 
clarify which entity or entities are liable for the distribution of 
noncompliant units in commerce, as well as to explain how the 
Department verifies refrigeration capacity for walk-in refrigeration 
systems.
    If DOE determines that a basic model of a panel, door, or 
refrigeration system for walk-ins fails to meet an applicable energy 
conservation standard, then the manufacturer of that basic model is 
responsible for the consequences flowing from that noncompliance. If 
DOE determines that a complete walk-in cooler or walk-in freezer or any 
component thereof fails to meet an applicable energy conservation 
standard, then the manufacturer of that complete walk-in cooler or 
walk-in freezer is responsible for the noncompliance with the 
applicable standard. However, a manufacturer of a complete walk-in 
would not be held responsible for the use of components that were 
certified and labeled as compliant but later found to be noncompliant 
with the applicable standards.
    DOE also proposes to add an explanation of how the Department 
verifies refrigeration capacity for walk-in refrigeration systems to 10 
CFR 429.134. The refrigeration capacity of the basic model will be 
measured pursuant to the test requirements of 10 CFR part 431 for each 
unit tested. The results of the measurement(s) will be averaged and 
compared to the value of refrigeration capacity certified by the 
manufacturer. The certified refrigeration capacity will be considered 
valid only if the average measured refrigeration capacity is within 5 
percent of the certified refrigeration capacity. If the certified 
refrigeration capacity is found to be valid, that refrigeration 
capacity will be used as the basis for calculating annual energy 
consumption for the basic model. If the certified refrigeration 
capacity is found to be invalid, the average measured refrigeration 
capacity will serve as the basis for calculating annual energy 
consumption for the basic model.
    Further, DOE proposes to specify how DOE will verify the surface 
area for walk-in display doors and non-display doors in 10 CFR 429.134. 
The certified surface area will be considered valid only if the average 
measured surface area of the door is within 1 percent of the certified 
surface area. If the certified surface area is found to be valid, that 
surface area will be used as the basis for calculating maximum energy 
consumption for the basic model. If the certified surface area is found 
to be invalid, the average measured surface area will serve as the 
basis for calculating maximum energy consumption for the basic model.
    In addition, DOE proposes to specify in 10 CFR 429.134 how DOE will 
account for the rated power (as defined in this proposal) of each 
electricity consuming device(s) in calculating the walk-in door energy 
consumption. For each basic model of walk-in cooler and freezer door, 
DOE will calculate the door's energy consumption using the power listed 
on the nameplate of each electricity consuming device shipped with the 
door. If an electricity consuming device shipped with a walk-in door 
does not have a nameplate or such nameplate does not list the device's 
power, then DOE will use the device's ``rated power'' included in the 
door's certification report.
    DOE seeks comment on the proposed method for verifying the capacity 
of walk-in refrigeration systems and the surface area of walk-in doors.
    See section V.E for a list of issues on which DOE seeks comment.

[[Page 54942]]

5. Labeling Requirements
    If the Secretary has prescribed test procedures for any class of 
covered equipment, a labeling rule applicable to such class of covered 
equipment must be prescribed. See 42 U.S.C. 6315(a). EPCA, however, 
also sets out certain criteria that must be met prior to prescribing a 
given labeling rule. Specifically, to establish these requirements, DOE 
must determine that: (1) Labeling in accordance with Section 6315 is 
technologically and economically feasible with respect to any 
particular equipment class; (2) significant energy savings will likely 
result from such labeling; and (3) labeling in accordance with Section 
6315 is likely to assist consumers in making purchasing decisions. (42 
U.S.C. 6315(h))
    If these criteria are met, EPCA specifies certain aspects of 
equipment labeling that DOE must consider in any rulemaking 
establishing labeling requirements for covered equipment. At a minimum, 
such labels must include the energy efficiency of the affected 
equipment, as tested under the prescribed DOE test procedure. The 
labeling provisions may also consider the addition of other 
requirements, including: directions for the display of the label; a 
requirement to display on the label additional information related to 
energy efficiency or energy consumption, which may include instructions 
for maintenance and repair of the covered equipment, as necessary, to 
provide adequate information to purchasers; and requirements that 
printed matter displayed or distributed with the equipment at the point 
of sale also include the information required to be placed on the 
label. (42 U.S.C. 6315(b) and 42 U.S.C. 6315(c))
    DOE proposes to establish labeling requirements for walk-in cooler 
and freezers. Specifically, DOE proposes to require certain 
information, and the display of this required information, for door, 
panel, and refrigeration system nameplates. DOE also proposes to 
clarify requirements with respect to the disclosure of efficiency 
information in marketing materials and the labeling requirements for 
process cooling refrigeration systems.
    DOE proposes that the permanent nameplates of doors for walk-in 
coolers and walk-in freezers must be clearly marked with the rated 
energy consumption, the door brand, the door model number, the date of 
manufacture of the door, and the statement, ``This door is designed and 
certified for use in walk-in cooler and freezer applications.'' 
Specifically, the energy consumption must be identified in the form 
``EC__,'' and the model number must be displayed in one of the 
following forms: ``Model__'', ``Model number__'', or ``Model No.__''.
    DOE proposes that the permanent nameplates of panels for walk-in 
cooler and walk-in freezers must be clearly marked with the rated R-
value, the panel model number, the date of manufacture of the panel, 
and the statement, ``This panel is designed and certified for use in 
walk-in cooler and freezer applications.'' The R-value must be 
identified in the form ``R-value__,'' and the model number must be 
displayed in one of the following forms: ``Model__'', ``Model 
number__'', or ``Model No. __''.
    DOE proposes that the permanent nameplates of refrigeration systems 
for walk-in coolers and walk-in freezers (that are not manufactured 
solely for process cooling applications) must be clearly marked with 
the AWEF, refrigeration system brand, refrigeration system model 
number, the date of manufacture of the refrigeration system, and the 
statement, ``This refrigeration system is designed and certified for 
use in walk-in cooler and freezer applications.'' The AWEF must be 
identified in the form ``AWEF __'', and the model number must be 
displayed in one of the following forms: ``Model__'', ``Model 
number__'', or ``Model No. __''. In addition, DOE proposes that the 
permanent nameplate of a refrigeration system component that can only 
be used as part of a process cooling refrigeration system must be 
marked clearly with the refrigeration system brand, refrigeration 
system model number, the date of manufacture of the refrigeration 
system, and the statement, ``This refrigeration system is designed only 
for use in walk-in cooler and freezer process cooling refrigeration 
applications.'' The model number must be displayed in one of the 
following forms: ``Model __'', ``Model number__'', or ``Model No.__''. 
If a refrigeration system can be used for both process cooling 
refrigeration and other types of refrigeration for walk-in cooler and 
freezer applications, then it must be clearly marked with the AWEF, 
refrigeration system brand, refrigeration system model number, the date 
of manufacture of the refrigeration system, and the statement, ``This 
refrigeration system is designed and certified for use in walk-in 
cooler and freezer applications.''
    For walk-in panels, doors, and refrigeration systems, DOE proposes 
that all orientation, spacing, type sizes, typefaces, and line widths 
to display this required information must be the same as or similar to 
the display of the other performance data contained on the component's 
permanent nameplate. DOE is also considering a requirement specifying 
the location of the permanent nameplates on doors, panels, and 
refrigeration systems. Specifically, that the permanent nameplate must 
be visible at all times, including when the component is assembled into 
a complete walk-in.
    DOE proposes to clarify the requirements for the disclosure of 
efficiency information in marketing materials and to require that such 
marketing materials must prominently display the same information that 
must appear on a walk-in cooler or walk-in freezer component's 
permanent nameplate.
    DOE has reviewed the proposed labeling requirements with respect to 
the three requirements in EPCA restricting the Secretary's authority to 
promulgate labeling rules and has made the following findings. (42 
U.S.C. 6315(h))
    First, the proposed labeling recommendations are technologically 
and economically feasible with respect to each equipment class in this 
rulemaking. In general, DOE has found that walk-in refrigeration system 
manufacturers and display door manufacturers include nameplates on 
their equipment, and typically these nameplates include the equipment's 
model number. DOE believes it is technologically feasible for 
refrigeration system and display door manufacturers to include energy 
efficiency or energy consumption information on the label without 
increasing the size of the label. DOE expects that the cost to do so 
would be negligible. Accordingly, in DOE's view, requiring that labels 
provide this information would be economically feasible as well.
    DOE has found, however, that it is less common for non-display 
doors and panels for walk-ins to have nameplates. DOE understands that, 
while an entire assembled walk-in cooler or freezer may have a 
nameplate, each individual panel and non-display door making up a walk-
in cooler or freezer may not be labeled. Nonetheless, DOE expects that 
adding a permanent nameplate or permanent sticker to both walk-in non-
display doors and panels is technologically feasible, as both types of 
equipment have adequate useable surface to apply such labels. DOE 
estimated that the total cost of applying labels to non-display doors 
and panels would be negligible--less than a tenth of one percent of the 
average manufacturer's annual revenue--and the labeling requirements 
are thus economically feasible.

[[Page 54943]]

    DOE also considered the cost to manufacturers of updating their 
marketing materials to include efficiency information. Marketing 
materials include literature, data sheets, selection software, sales 
training, and compliance documentation. Based on marketing conversion 
costs for other commercial equipment, DOE estimates that manufacturers 
may incur costs of up to $10,000 per model to update marketing 
materials for walk-in components. Panel and door manufacturers 
typically only produce a few distinct models of their walk-in 
equipment, and DOE estimated that marketing-related conversion costs 
for these components would total less than one percent of industry 
annual revenue attributed to sales of walk-in equipment. Refrigeration 
manufacturers often produce a large number of distinct basic models--
several have certified up to 100 basic models of refrigeration systems 
on DOE's Compliance Certification Management System (``CCMS'') Web 
site. DOE estimates that marketing-related conversion costs for walk-in 
refrigeration systems could total approximately one percent of industry 
annual revenue attributed to sales of walk-in equipment. However, many 
companies that manufacture walk-in refrigeration systems also make 
several other types of products, with walk-in equipment comprising a 
small portion of their overall revenues. Given these estimates, DOE 
tentatively concludes that updating marketing materials is economically 
feasible for manufacturers of walk-in equipment.
    DOE also examined the impact of these new requirements on small 
manufacturers. For further discussion, see section IV.B.2.
    Second, DOE believes the proposed labeling requirements would 
likely result in significant energy savings. The related energy 
conservation standards are expected to save approximately 3 quadrillion 
British thermal units (quads). Requiring labels that include the rated 
value subject to the standards will increase consumer awareness of the 
standards. As a result, requiring the labels may increase consumer 
demand for more efficient walk-in components, thus leading to 
additional savings beyond that calculated for the standards. In 
addition, labeling requirements would help installers, assemblers, and 
contractors ensure that they are selecting equipment that the component 
manufacturer intended to be used as part of a completed walk-in, and 
would limit the potential compliance burden faced by these entities. 
For example, insulated metal panels may be used in other types of 
applications, such as communications equipment sheds. Labeling 
requirements differentiate walk-in cooler and freezer panels from other 
types of insulated metal panels that are not appropriate for use in 
walk-ins.
    Third, DOE finds that the proposed labeling requirements are likely 
to assist consumers in making purchasing decisions. By including the 
rated metric on the nameplate and marketing materials, manufacturers 
will be able to demonstrate to purchasers that the equipment they are 
purchasing meets the DOE standard and is acceptable for use in a walk-
in. Additionally, consumers will have the information needed to compare 
the energy efficiency performance between different component models, 
with the assurance that the ratings were calculated according to a DOE-
specified test procedure.
    DOE seeks comment on the proposed requirements for manufacturers to 
label their walk-in equipment and update their marketing materials for 
walk-in equipment to include efficiency information. DOE also seeks 
comment on whether it should add a requirement specifying that the 
permanent nameplates on doors, panels, and refrigeration systems be 
visible at all times, including when the component is assembled into a 
complete walk-in. Further, DOE asks whether these requirements are 
technologically and economically feasible. DOE particularly seeks data 
from manufacturers regarding the cost of labeling and updating 
marketing materials.
    See section V.E for a list of issues on which DOE seeks comment.

C. Compliance With Other EPCA Requirements

    In addition to the issues discussed in this preamble, DOE examined 
its other obligations under EPCA in developing the amendments in this 
proposal. These requirements are addressed in greater detail below.
1. Test Burden
    EPCA requires that the test procedures DOE prescribes or amends be 
reasonably designed to produce test results that measure the energy 
efficiency, energy use, or estimated annual operating cost of a covered 
product during a representative average use cycle or period of use. 
These procedures must also not be unduly burdensome to conduct. See 42 
U.S.C. 6293(b)(3) and 42 U.S.C. 6316(a). DOE has concluded that the 
proposed amendments satisfy this requirement. The proposed test 
procedure amendments represent minor changes to the test procedure that 
do not affect the equipment required for testing and either reduce or 
have no effect on the time required to conduct the testing. These 
amendments include the removal of the rating method for refrigeration 
systems with hot gas defrost, the requirement that certified ratings of 
refrigeration systems with adaptive defrost shall not include the 
benefit of the adaptive defrost feature, and the requirement that 
certified ratings of unit coolers with on-cycle variable-speed fan 
controls shall not include the benefit of this feature.
    Section III.A.2.a discusses the reasons for removing the method for 
measuring the benefit of hot gas defrost from the test procedure. 
Currently, the test procedure for this feature consists of a 
calculation to represent the efficiency improvement of hot gas defrost 
as a credit applied to any low-temperature refrigeration system that 
includes it. No testing is required to validate the performance of the 
feature and thus there is no test burden involved. Likewise, there is 
no change in test burden associated with removing this calculation 
method.
    Section III.A.2.b discusses DOE's revisions to the test procedure 
for refrigeration systems with adaptive defrost. Currently, 
manufacturers may certify the potential energy efficiency benefit of 
including adaptive defrost by either testing the feature or by using a 
calculation to represent the efficiency improvement of systems with 
this feature without testing. DOE is proposing to modify the test 
procedure to specify that certified ratings of systems with this 
feature shall exclude the benefit of the adaptive defrost feature. 
Because manufacturers currently have the option to use the calculation 
method to rate systems with this feature, there is no test burden 
involved because no validation testing is required; removing the 
ability to certify this feature would not have any effect on the 
associated test burden.
    Section III.A.2.c discusses DOE's revisions to the test procedure 
for unit coolers with on-cycle variable-speed fan control. DOE 
currently allows manufacturers to test the benefit of this feature 
using the DOE test procedure for unit coolers. DOE is proposing to 
modify the test procedure to specify that certified ratings of systems 
with this feature shall exclude the benefit. This approach lowers the 
testing burden for unit coolers with this feature, because 
manufacturers would no longer perform this test to obtain ratings for 
certification. (Manufacturers may still make representations of unit 
cooler

[[Page 54944]]

efficiency with this feature; in this case, the testing burden would 
not change.)
2. Changes in Measured Energy Use
    When DOE modifies test procedures, it must determine to what 
extent, if any, the new test procedure would alter the measured energy 
use of covered products. (42 U.S.C. 6293(e)(1)). DOE has tentatively 
determined that the proposed test procedure amendments could affect the 
measured energy use of certain covered products, but the amendments 
would only affect aspects related to testing after the compliance date 
of the amended energy conservation standards that DOE is proposing in a 
separate notice. The test procedure amendments would not affect the 
current standards for any walk-in components, nor would they affect the 
standards promulgated in the June 2014 final rule with a compliance 
date of June 5, 2017. The standards with a compliance date in 2017 
apply to medium-temperature, dedicated condensing refrigeration 
systems, while the test procedure modifications would only affect low-
temperature systems and unit coolers. In the rulemaking analysis for 
the standards that DOE is proposing separately, DOE is accounting for 
the test procedure changes being proposed in this notice. Therefore, 
the modifications to the test procedure that DOE is proposing herein 
will require no further changes to the energy conservation standards.
    DOE requests comment on its determination that this proposal would 
not introduce any changes that increase test burden or alter the 
measured energy use of walk-in equipment.
    See section V.E for a list of issues on which DOE seeks comment.
3. Cost and Burden Impact on WICF Manufacturers
    As explained in section III.B.3, a manufacturer of a walk-in cooler 
or walk-in freezer is any person who: (1) Manufactures a component of a 
walk-in cooler or walk-in freezer that affects energy consumption, 
including, but not limited to, refrigeration, doors, lights, windows, 
or walls; or (2) manufactures or assembles the complete walk-in cooler 
or walk-in freezer. 10 CFR 431.302. DOE has proposed to add 
clarifications that the entity responsible for testing, rating, and 
certifying is the WICF component manufacturer. Thus, WICF manufacturers 
that exclusively assemble the complete WICF do not bear the testing and 
certification burden. DOE is also proposing labeling and revisions to 
the certification requirements on WICF component manufacturers in this 
proposed rule. The addition of these proposals, if adopted, will reduce 
any burden on WICF manufacturers that manufacture or assemble the 
complete walk-in cooler or walk-in freezer by allowing them to more 
easily identify compliant WICF components for assembly. This is the 
compliance regime in place today, which is unchanged by this proposal; 
however, DOE believes labeling will help WICF assemblers comply with 
the regulations. In conclusion, DOE does not believe that there is any 
burden added on WICF manufacturers that assemble complete WICFs as a 
result of performance-based testing requirements. While DOE did not 
assess the impact on these manufacturers in the final rules pertaining 
to walk-in cooler and walk-in freezer test procedures published in 
April 2011 and May 2014, DOE expects this assessment holds true for 
those final rules as well. 76 FR 21605 and 79 FR 27412.

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (``OMB'') has determined that 
test procedure rulemakings do not constitute ``significant regulatory 
actions'' under section 3(f) of Executive Order 12866, Regulatory 
Planning and Review, 58 FR 51735 (October 4, 1993). 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.

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 (IFRA) 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://energy.gov/gc/office-general-counsel. DOE 
has prepared the following IRFA for the equipment that are the subject 
of this rulemaking.
    For manufacturers of walk-in equipment, the Small Business 
Administration (``SBA'') has set a size threshold, which defines those 
entities classified as ``small businesses'' for the purposes of the 
statute. DOE used the SBA's small business size standards to determine 
whether any small entities would be subject to the requirements of the 
rule. 65 FR 30848 (May 15, 2000), as amended at 65 FR 53533, 53544 
(September 5, 2000) and codified at 13 CFR part 121. The size standards 
are listed by North American Industry Classification System (``NAICS'') 
code and industry description and are available at http://www.sba.gov/category/navigation-structure/contracting/contracting-officials/small-business-size-standards. Walk-in equipment is classified under NAICS 
333415, ``Air-Conditioning and Warm Air Heating Equipment and 
Commercial and Industrial Refrigeration Equipment Manufacturing.'' The 
SBA sets a threshold of 1,250 employees or less for an entity to be 
considered as a small business for this category. Based on this 
threshold, DOE presents the following IRFA analysis:
1. Description and Estimated Number of Small Businesses Regulated
    DOE used available public information to identify potential small 
manufacturers. DOE's research involved industry trade association 
membership directories (including AHRI Directory,\8\ and NAFEM,\9\) 
public databases (e.g. the SBA Database,\10\) individual company Web 
sites, and market research tools (e.g., Dun and Bradstreet reports \11\ 
and Hoovers reports) \12\ to create a list of companies that 
manufacture or sell equipment covered by this rulemaking. During the 
2014 rulemaking, DOE also asked stakeholders and industry 
representatives if they were aware of any other small manufacturers 
during manufacturer interviews and at DOE public meetings. DOE reviewed 
publicly available data and contacted select companies on its list, as 
necessary, to determine whether they met the SBA's definition of a 
small business manufacturer of covered walk-in coolers and walk-in 
freezers. DOE screened out companies that do not offer equipment 
covered by this rulemaking, do not meet

[[Page 54945]]

the definition of a ``small business,'' or are foreign-owned.
---------------------------------------------------------------------------

    \8\ See www.ahridirectory.org/ahriDirectory/pages/home.aspx.
    \9\ See http://www.nafem.org/find-members/MemberDirectory.aspx.
    \10\ See http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm.
    \11\ See www.dnb.com/.
    \12\ See www.hoovers.com/.
---------------------------------------------------------------------------

    DOE identified forty-seven panel manufacturers and found forty-two 
of the identified panel manufacturers to be small businesses.
    DOE identified forty-nine walk-in door manufacturers. Forty-five of 
those produce solid doors and four produce display doors. Of the forty-
five solid door manufacturers, forty-two produce panels as their 
primary business and are considered in the category of panel 
manufacturers in this preamble. The remaining three solid door 
manufacturers are all considered to be small businesses. Of the four 
display door manufacturers, two are considered small businesses. 
Therefore, of the seven manufacturers that exclusively produce walk-in 
doors (three producing solid doors and four producing display doors), 
DOE determined that five are small businesses.
    DOE identified nine walk-in refrigeration system manufacturers that 
produce equipment for one or more of the equipment classes analyzed in 
this proposal. All nine are domestic companies. Two of the nine 
manufacturers are small businesses.
    Lastly, DOE looked at manufacturers that assemble the complete 
walk-in cooler or walk-in freezer (i.e., an installer). Walk-in 
installation work is a subset of the highly fragmented heating, 
ventilation, air-conditioning, and refrigeration (HVACR) industry. DOE 
was unable to identify any company that exclusively operated as an 
assembler of WICFs. In general, WICF assemblers offer walk-in 
installation as part of a broader refrigeration offering and/or broader 
heating and cooling offering.
    DOE estimates that 10,000 to 30,000 companies offer walk-in 
contractor services. This is a subset of the roughly 100,000 companies 
that make up the domestic HVACR contractor industry. Key activities for 
these companies include the installation of residential HVAC, 
commercial HVAC, commercial refrigeration, and industrial refrigeration 
systems. Of these, DOE estimates the majority are small.
2. Description and Estimate of Compliance Requirements
    Panel manufacturers have had to comply with standards for their 
panels' R-value (a measure of the insulating value) since 2009. In a 
previous test procedure rule, published in May 2014, DOE established a 
sampling plan and certification reporting requirements for walk-in 
panels. 79 FR 27388 (May 13, 2014). DOE is not proposing any new 
testing, certification, compliance, or reporting requirements in this 
NOPR. However, DOE is proposing labeling requirements for walk-in 
panels, and is also proposing that manufacturers must include rating 
information on marketing materials for panels. For further discussion 
of the proposed labeling requirements, see section III.B.5. As 
discussed in that section, the cost of updating marketing materials 
could be up to $10,000 per panel model, but manufacturers--including 
small manufacturers--tend to produce only a few distinct panel models. 
DOE calculated that the cost of updating marketing materials for a 
small manufacturer would be less than one percent of annual revenues; 
thus, this requirement would not have a significant impact on small 
manufacturers.
    DOE is proposing new certification requirements for door 
manufacturers and refrigeration system manufacturers to certify their 
basic models to DOE. Door manufacturers must certify that they meet the 
June 2014 standards, which have a compliance date of June 5, 2017. 
Manufacturers of refrigeration systems for which standards were 
promulgated in the June 2014 final rule, and which were not 
subsequently remanded by the United States Court of Appeals for the 
Fifth Circuit's court order, must also certify that those refrigeration 
systems meet the June 2014 standards, which have a compliance date of 
June 5, 2017. DOE is conducting a separate energy conservation 
standards rulemaking for those refrigeration system classes whose 
standards were remanded. On the compliance date for those standards, 
manufacturers will have to certify that those refrigeration systems 
meet the relevant standards using the certification requirements being 
proposed in this rule.
    In general, DOE is proposing to modify the data elements walk-in 
door manufacturers and walk-in refrigeration system manufacturers 
submit as part of a certification report indicating that all basic 
models distributed in commerce in the U.S. comply with the applicable 
standards using DOE's testing procedures, in include product-specific 
certification data describing the efficiency and characteristics of the 
basic model. The certification reports are submitted for each basic 
model, either when the requirements go into effect (for models already 
in distribution), or when the manufacturer begins distribution of a 
particular basic model, and annually thereafter. Reports must be 
updated when a new model is introduced or a change affecting energy 
efficiency or use is made to an existing model resulting in a change in 
the certified rating. (10 CFR 429.12(a))
    DOE currently requires manufacturers or their party representatives 
to prepare and submit certification reports using DOE's electronic Web-
based tool, the Compliance Certification Management System (``CCMS''), 
which is the only mechanism for submitting certification reports to 
DOE. CCMS currently has product-specific templates that manufacturers 
must use when submitting certification data to DOE. See http://www.regulations.doe.gov/ccms. This proposed rule would not change the 
requirement that manufacturers submit certification reports 
electronically. DOE believes the availability of electronic filing 
through the CCMS system reduces reporting burdens, streamlines the 
process, and provides the Department with needed information in a 
standardized, more accessible form. This electronic filing system also 
ensures that records are recorded in a permanent, systematic way.
    DOE is also proposing to require manufacturers to label their doors 
and refrigeration systems with product-specific data and information 
describing the efficiency and characteristics of the basic model, and 
is also proposing that manufacturers must include rating information on 
marketing materials for these components. For further discussion of the 
proposed labeling requirements, see section III.B.5. As discussed in 
that section, the cost of updating marketing materials could be up to 
$10,000 per basic model. Door manufacturers--including small 
manufacturers--tend to produce only a few distinct door models; thus, 
this requirement would not have a significant impact on small door 
manufacturers. Small refrigeration manufacturers, on the other hand, 
may produce up to 100 basic models of refrigeration systems--as many as 
large manufacturers. The cost of updating marketing materials is a one-
time expense that varies greatly by product offering.
    DOE is proposing to add clarifications that the entity responsible 
for testing, rating, and certifying is the WICF component manufacturer. 
Thus, WICF manufacturers that exclusively assemble the complete WICF do 
not bear the testing and certification burden. DOE is also proposing 
labeling and revisions to the certification requirements on WICF 
component manufacturers in this proposed rule. The addition of these 
proposals, if adopted, will reduce any burden on WICF manufacturers 
that manufacture or assemble the complete walk-in cooler or walk-in 
freezer by

[[Page 54946]]

allowing them to more easily identify compliant WICF components for 
assembly. This does not change the compliance requirements for these 
WICF manufacturers and installers; however, DOE believes labeling will 
help WICF assemblers comply with the regulations. In conclusion, DOE 
does not believe that small WICF manufacturers that assemble complete 
WICFs will see an increased burden from the proposals in this 
rulemaking.
3. Duplication, Overlap, and Conflict With Other Rules and Regulations
    DOE is not aware of any rules or regulations that duplicate, 
overlap, or conflict with the rule being considered in this NOPR.
4. Significant Alternatives to the Rule
    This section considers alternatives to the proposals in this 
document. DOE has tried to minimize the reporting burden as much as 
possible by: (1) Accepting electronic submissions; (2) providing 
preformatted templates that lay out the certification and compliance 
requirements for each product; and (3) allowing manufacturers to group 
individual models into basic models for the purposes of certification 
to reduce the number of discrete models reported to the Department. DOE 
has also made efforts to address the concerns of small businesses by 
expanding the ability of manufacturers to use alternative efficiency 
determination methods (``AEDMs'') in lieu of testing equipment.
    DOE seeks input on its Initial Regulatory Flexibility Analysis from 
businesses that would be affected by this rulemaking and will consider 
comments received in the development of any final rule.
    See section V.E for a list of issues on which DOE seeks comment.

C. Review Under the Paperwork Reduction Act of 1995

    Under the Paperwork Reduction Act of 1995 (``PRA'') (44 U.S.C. 
3501, et seq.), Federal agencies must obtain approval from the Office 
of Management and Budget (OMB) for each collection of information they 
conduct, sponsor, or require through regulations. DOE established 
regulations for the certification and recordkeeping requirements for 
all covered consumer products and commercial equipment, including walk-
in coolers and walk-in freezers. See generally 10 CFR part 429. This 
requirement has been approved by OMB for walk-ins under OMB control 
number 1910-1400. This proposal would expand the information that 
manufacturers and importers of covered walk-in equipment would need to 
submit to the Department as part of a certification that the products 
they are distributing in commerce in the U.S. comply with the 
applicable energy conservation standards. Further, this proposal 
requires manufacturers to disclose performance information as part of 
the proposed labeling requirements for walk-in panels, doors, and 
refrigeration systems.
    In compliance with the PRA, DOE is seeking comment on this proposed 
expansion of the existing information collection.
    Agency: U.S. Department of Energy (DOE).
    OMB Control Number: OMB No. 1910-1400.
    Information Collection Request Title: Certification Reports, 
Compliance Statements, Application for a Test Procedure Waiver, 
Recordkeeping for Consumer Products and Commercial/Industrial Equipment 
Subject to Energy or Water Conservation Standards, and Label and 
Marketing Material Information Disclosure.
    Type of Request: Revision and Expansion of an Existing Collection.
    Requested Expiration Date of Approval: Three years from the date of 
approval.
    Purpose: Manufacturers of the covered products addressed in this 
NOPR are already required to certify to DOE that their equipment 
complies with applicable energy conservation standards. In certifying 
compliance, manufacturers must test their equipment according to the 
applicable DOE test procedures for the given equipment type, including 
any amendments adopted for those test procedures, or use AEDMs (as 
applicable) to develop the certified ratings of the basic models. The 
collection-of-information requirement for the certification proposals 
is subject to review and approval by OMB under the PRA.
    Manufacturers are required to certify: (1) New basic models before 
distribution in commerce; (2) existing basic models, whose certified 
ratings remain valid, annually; (3) existing basic models, whose 
designs have been altered resulting in a change in rating that is more 
consumptive or less efficient, at the time the design change is made; 
and (4) previously certified basic models that have been discontinued 
annually. Respondents may submit reports to the Department at any time 
during the year using DOE's online system.
    Amendments to the existing walk-in standards are expected to result 
in slight changes to the information that DOE is proposing to collect 
for walk-ins. Specifically, DOE is proposing that, in addition to 
information currently required for certification reports, door 
manufacturers report the door energy use as determined by the DOE test 
procedure, the rated power of each light, heater wire and/or other 
electricity consuming device and whether such device(s) has a control 
system. Refrigeration system manufacturers report the Annual Walk-in 
Efficiency Factor (``AWEF''), net capacity as determined by the DOE 
test procedure, and the configuration test for certification. 
Manufacturers will have to re-submit certification reports for basic 
models that they distribute in commerce starting on the compliance date 
of the amended standards.
    In addition, DOE proposed to add labeling requirements for walk-in 
panels, doors, and refrigeration systems. Specifically, each of these 
components will be required to disclose on its permanent nameplate the 
rated energy use or efficiency, as applicable, brand, model number, and 
date of manufacture. In addition, each component label must include a 
statement indicating that the component is designed and certified for 
use in walk-in cooler and freezer applications. See section III.B.5 for 
the specific labeling requirements for each component.
    DOE estimated that it will take each respondent (walk-in component 
manufacturer) approximately 1 hour total per company per year to comply 
with the information disclosure (i.e., labeling) requirements based on 
0.25 hours of technician/technical work to apply the label and 0.75 
hours clerical work to create the label and update marketing materials. 
For the purposes of estimating burden, DOE determined from its 
Compliance Certification Database that each panel manufacturer and door 
manufacturer certifies on average 4 basic models and that each basic 
model will require a discrete label. Based on DOE's Compliance 
Certification Database, each refrigeration manufacturer certifies 
approximately 100 basic models and DOE is conservatively estimating 
that each basic model will require a unique label.
    Regarding the additional certification requirements, DOE estimates 
that the slight change in certification requirements would not result 
in additional burden because walk-in component manufacturers are 
already required to annually certify compliance with the existing 
standards.
    DOE estimates the burden for this rule as follows:
    (1) Annual Estimated Number of Respondents: 63 (47 panel 
manufacturers, 7 door manufacturers,

[[Page 54947]]

and 9 refrigeration system manufacturers);
    (2) Annual Estimated Number of Total Responses: 1,116 (188 for 
panels, 28 door, 900 for refrigeration systems);
    (3) Annual Estimated Number of Burden Hours: 1,116 (1 hour for 
applying and creating label and updating marketing materials);
    (4) Annual Estimated Reporting and Recordkeeping Cost Burden: 
$83,700.
    DOE requests comment generally on its review under the PRA, and 
specifically on: (a) Whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information shall have practical utility; (b) the 
accuracy of the agency's estimate of the burden of the proposed 
collection of information, including the validity of the methodology 
and assumptions used; (c) ways to enhance the quality, utility, and 
clarity of the information to be collected; and (d) ways to minimize 
the burden of the collection of information on respondents, including 
through the use of automated collection techniques or other forms of 
information technology.
    See section V.E for a list of issues on which DOE seeks comment.
    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

    In this proposed rule, DOE proposes test procedure amendments that 
will likely be used to develop and implement future energy conservation 
standards for walk-in coolers and walk-in freezers. 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 proposed rule would amend the 
existing test procedures without affecting the amount, quality or 
distribution of energy usage, and, therefore, would not result in any 
environmental impacts. Thus, this rulemaking is covered by Categorical 
Exclusion A5 under 10 CFR part 1021, subpart D, which applies to any 
rulemaking that interprets or amends an existing rule without changing 
the environmental effect of that rule. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

E. Review Under Executive Order 13132

    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 describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. (65 FR 13735). DOE has examined this proposed rule and has 
determined that it would 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 proposed 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

    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 (February 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, 
the proposed 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 proposed regulatory action likely to result 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 http://energy.gov/gc/office-general-counsel. DOE examined this 
proposed rule according to UMRA and its statement of policy and 
determined that the proposed 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.

[[Page 54948]]

H. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This proposed rule would 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 proposed regulation 
would 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 (February 22, 2002), 
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). 
DOE has reviewed this proposed 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 proposed 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 proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use.
    The proposed regulatory action to amend the test procedure for 
measuring the energy efficiency of walk-in coolers and walk-in freezers 
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.

L. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 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 proposed modifications to the test procedure for walk-in 
coolers and walk-in freezers adopted in this final rule incorporates 
testing methods contained in certain sections of the following 
commercial standards: AHRI Standard 1250-2009, AHRI Standard 420-2008, 
and ASHRAE Standard 23.1-2010. 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 
will consult with both the Attorney General and the Chairman of the FTC 
concerning the impact of these test procedures on competition, prior to 
prescribing a final rule.

M. Description of Materials Incorporated by Reference

    In this NOPR, DOE proposes to incorporate by reference AHRI 420-
2008, titled ``Performance Rating of Forced-Circulation Free Delivery 
Unit Coolers for Refrigeration.'' AHRI 420-2008 establishes the 
following elements for forced-circulation free-delivery unit coolers 
for refrigeration: Definitions, test requirements, rating requirements, 
minimum data requirements for published ratings, marketing and 
nameplate data, and conformance conditions. The standard applies to 
forced-circulation, free-delivery unit coolers, as defined in Section 3 
of this standard, operating with a volatile refrigerant fed by either 
direct expansion or liquid overfeed at wet conditions, dry conditions, 
or both.
    Copies of AHRI 420-2008 may be purchased from AHRI at 2111 Wilson 
Boulevard, Suite 500, Arlington, VA 22201, or by going to http://www.ahrinet.org.
    DOE also proposes to incorporate by reference specific sections 
from the test standard published by AHRI, titled ``Standard for 
Performance Rating of Walk-ins,'' AHRI Standard 1250-2009. AHRI 
Standard 1250-2009 establishes definitions, test requirements, rating 
requirements, minimum data requirements for published ratings, 
operating requirements, marking and nameplate data, and conformance 
conditions for walk-in coolers and walk-in freezers. This testing 
standard applies to mechanical refrigeration equipment that consists of 
an integrated, single-package refrigeration unit, or as separate unit 
cooler and condensing unit components, where the condensing unit can be 
located either indoors or outdoors. Controls can be integral or can be 
provided by a separate party, as long as their performance is tested 
and certified with the listed mechanical equipment.
    Copies of AHRI Standard 1250-2009 may be purchased from AHRI at 
2111 Wilson Boulevard, Suite 500, Arlington, VA 22201, or by going to 
http://www.ahrinet.org.
    DOE proposes to incorporate by reference ASHRAE Standard 23.1-2010, 
entitled ``Methods of Testing for Performance Rating Positive 
Displacement Refrigerant Compressors and Condensing Units that Operate 
at Subcritical Temperatures of the Refrigerant.'' ASHRAE 23.1-2010 
provides testing methods for rating the thermodynamic performance of 
positive displacement refrigerant compressors and condensing units that 
operate at subcritical temperatures of the refrigerant. This standard 
applies to all of the refrigerants listed in ASHRAE Standard 34, 
``Designation and Safety Classification of Refrigerants,'' that fall 
within the scope of positive displacement refrigerant compressors and 
condensing units that operate at

[[Page 54949]]

subcritical temperatures of the refrigerant, which either (a) do not 
have liquid injection or (b) incorporate liquid injection that is 
achieved by compressor motor power.
    Copies of ASHRAE 23.1-2010 may be purchased from ASHRAE at 1971 
Tullie Circle NE., Atlanta, GA 30329, or by going to http://www.ashrae.org.
    Finally, DOE proposes to incorporate by reference ASTM Standard 
C518-04, entitled ``Standard Test Method for Steady-State Thermal 
Transmission Properties by Means of the Heat Flow Meter Apparatus.'' 
ASTM C518-04 provides a test method for measuring steady state thermal 
transmission through flat slab specimens using a heat flow meter 
apparatus, to allow determination of thermal conductance.
    Copies of ASTM C518-04 may be purchased by calling ASTM Sales at 1-
877-909-ASTM, or by going to http://www.astm.org.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this document. If you 
plan to attend the public meeting, please notify Ms. Regina Washington 
at (202) 586-1214 or [email protected].
    Please note that foreign nationals visiting DOE Headquarters are 
subject to advance security screening procedures which require advance 
notice prior to attendance at the public meeting. If a foreign national 
wishes to participate in the public meeting, please inform DOE of this 
fact as soon as possible by contacting Ms. Regina Washington at (202) 
586-1214 or by email: [email protected] so that the 
necessary procedures can be completed.
    DOE requires visitors to have laptops and other devices, such as 
tablets, checked upon entry into the building. Any person wishing to 
bring these devices into the Forrestal Building will be required to 
obtain a property pass. Visitors should avoid bringing these devices, 
or allow an extra 45 minutes to check in. Please report to the 
visitor's desk to have devices checked before proceeding through 
security.
    Due to the REAL ID Act implemented by the Department of Homeland 
Security (DHS), there have been recent changes regarding ID 
requirements for individuals wishing to enter Federal buildings from 
specific states and U.S. territories. Driver's licenses from the 
following states or territory will not be accepted for building entry 
and one of the alternate forms of ID listed below will be required. DHS 
has determined that regular driver's licenses (and ID cards) from the 
following jurisdictions are not acceptable for entry into DOE 
facilities: Alaska, American Samoa, Arizona, Louisiana, Maine, 
Massachusetts, Minnesota, New York, Oklahoma, and Washington. 
Acceptable alternate forms of Photo-ID include a U.S. Passport or 
Passport Card; an Enhanced Driver's License or Enhanced ID-Card issued 
by the states of Minnesota, New York or Washington (Enhanced licenses 
issued by these states are clearly marked Enhanced or Enhanced Driver's 
License); or a military ID or other Federal government issued Photo-ID 
card.
    In addition, you can attend the public meeting via webinar. Webinar 
registration information, participant instructions, and information 
about the capabilities available to webinar participants will be 
published on DOE's Web site: https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=56&action=viewlive. 
Participants are responsible for ensuring their systems are compatible 
with the webinar software.

B. Procedure for Submitting Prepared General Statements for 
Distribution

    Any person who has plans to present a prepared general statement 
may request that copies of his or her statement be made available at 
the public meeting. Such persons may submit requests, along with an 
advance electronic copy of their statement in PDF (preferred), 
Microsoft Word or Excel, WordPerfect, or text (ASCII) file format, to 
the appropriate address shown in the ADDRESSES section at the beginning 
of this notice. The request and advance copy of statements must be 
received at least one week before the public meeting and may be 
emailed, hand-delivered, or sent by mail. DOE prefers to receive 
requests and advance copies via email. Please include a telephone 
number to enable DOE staff to make a follow-up contact, if needed.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also use a professional facilitator to aid discussion. The 
meeting will not be a judicial or evidentiary-type public hearing, but 
DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). A court reporter will be present to record the proceedings and 
prepare a transcript. DOE reserves the right to schedule the order of 
presentations and to establish the procedures governing the conduct of 
the public meeting. After the public meeting and until the end of the 
comment period, interested parties may submit further comments on the 
proceedings and any aspect of the rulemaking.
    The public meeting will be conducted in an informal, conference 
style. DOE will present summaries of comments received before the 
public meeting, allow time for prepared general statements by 
participants, and encourage all interested parties to share their views 
on issues affecting this rulemaking. Each participant will be allowed 
to make a general statement (within time limits determined by DOE), 
before the discussion of specific topics. DOE will permit, as time 
permits, other participants to comment briefly on any general 
statements.
    At the end of all prepared statements on a topic, DOE will permit 
participants to clarify their statements briefly and comment on 
statements made by others. Participants should be prepared to answer 
questions by DOE and by other participants concerning these issues. DOE 
representatives may also ask questions of participants concerning other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of the procedures that may be 
needed for the proper conduct of the public meeting.
    A transcript of the public meeting will be included in the docket, 
which can be viewed as described in the Docket section at the beginning 
of this notice. In addition, any person may buy a copy of the 
transcript from the transcribing reporter.

D. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule before or after the public meeting, but no later than the 
date provided in the DATES section at the beginning of this proposed 
rule. Interested parties may submit comments using any of the methods 
described in the ADDRESSES section at the beginning of this notice.
    Submitting comments via regulations.gov. The www.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

[[Page 54950]]

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 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. 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 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.
    DOE processes submissions made through www.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 email, hand delivery, 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 on 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, 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, written in English and 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 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).

E. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE requests comment on the proposed definitions for dedicated 
condensing unit and dedicated condensing refrigeration system.
    (2) DOE requests comment on the proposed definition for packaged 
dedicated system.
    (3) DOE requests comments on the proposed definitions for matched 
condensing unit and matched refrigeration system.
    (4) DOE requests comments on the proposed definitions for indoor 
and outdoor condensing units.
    (5) DOE requests comment on its proposal to change the ``multiplex 
condensing'' class designation to ``unit cooler'' and on its proposal 
to add a definition for ``unit cooler'' in the CFR, using the 
definition that currently is in AHRI 1250-2009.
    (6) DOE requests comment on the proposed modifications to the 
definition of refrigeration system.
    (7) DOE requests comment on the proposed definition for adaptive 
defrost.
    (8) DOE requests comment on the definition for process cooling 
refrigeration system. DOE also requests data or information on any 
other qualities, characteristics, or features specific to the 
refrigeration system itself (either mentioned in this section or not) 
that would clearly distinguish process refrigeration from other 
refrigeration systems or would cause a certain process refrigeration 
system to be unable to meet a walk-in refrigeration system standard. 
DOE particularly requests data for condensing units distributed 
individually; in the absence of any evidence that individual condensing 
units designed for process refrigeration are fundamentally different 
from other individual condensing units, DOE will have no basis for 
excluding such condensing units from the scope of the standards. 
Further, DOE requests comment on the proposal to allow 60 days after 
publication of the final rule for manufacturers of process cooling 
refrigeration systems to attain compliance with the applicable 
regulations.
    (9) DOE requests comment on the proposed definition for preparation 
room refrigeration. DOE requests comment on any other characteristics 
of preparation room refrigeration that (1) clearly distinguishes it 
from walk-in refrigeration systems and (2) would cause this equipment 
to be unable to meet a walk-in refrigeration standard.

[[Page 54951]]

    (10) DOE requests comment on the proposed definition for 
``refrigerated storage space.'' DOE requests comment on whether any 
further clarification is needed to clearly distinguish equipment that 
is subject to the standard from equipment that is not.
    (11) DOE requests comments on its proposal to remove from the test 
procedure the credit-based method for calculating the efficiency 
benefit of hot gas defrost.
    (12) DOE requests comment on the revised representation 
requirements.
    (13) DOE seeks comment on the proposed additions to the reporting 
requirements. See section V.E for a list of issues on which DOE seeks 
comment.
    (14) DOE seeks comment on the proposed requirements for 
manufacturers to label their walk-in equipment and update their 
marketing materials for walk-in equipment to include efficiency 
information. DOE also seeks comment on whether it should add a 
requirement specifying that the permanent nameplates on doors, panels, 
and refrigeration systems be visible at all times, including when the 
component is assembled into a complete walk-in. Further, DOE asks 
whether these requirements are technologically and economically 
feasible. DOE particularly seeks data from manufacturers regarding the 
cost of labeling and updating marketing materials.
    (15) DOE requests comment on its determination that this proposal 
would not introduce any changes that increase test burden or alter the 
measured energy use of walk-in equipment.
    (16) DOE seeks input on its Initial Regulatory Flexibility Analysis 
from businesses that would be affected by this rulemaking and will 
consider comments received in the development of any final rule.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Reporting and recordkeeping 
requirements.

10 CFR Part 431

    Administrative practice and procedure, Confidential business 
information, Energy conservation test procedures, Incorporation by 
reference, and Reporting and recordkeeping requirements.

    Issued in Washington, DC, on July 29, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
parts 429 and 431 of chapter II of title 10, Code of Federal 
Regulations as set forth below:

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; 28 U.S.C. 2461 note.

0
2. Section 429.12 is amended by revising paragraph (b)(6) to read as 
follows:


Sec.  429.12  General requirements applicable to certification reports.

* * * * *
    (b) * * *
    (6) For each brand, the basic model number and the manufacturer's 
individual model number(s) in that basic model with the following 
exceptions: For external power supplies that are certified based on 
design families, the design family model number and the individual 
manufacturer's model numbers covered by that design family must be 
submitted for each brand. For distribution transformers, the basic 
model number or kVA grouping model number (depending on the 
certification method) for each brand must be submitted. For commercial 
HVAC, WH, and refrigeration equipment, an individual manufacturer model 
number may be identified as a ``private model number'' if it meets the 
requirements of Sec.  429.7(b).
* * * * *
0
3. Section 429.53 is revised to read as follows:


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

    (a) Determination of represented value. (1) The requirements of 
Sec.  429.11 are applicable to walk-in coolers and walk-in freezers; 
and
    (2) For each basic model of walk-in cooler and walk-in freezer 
refrigeration system, the annual walk-in energy factor (AWEF) must be 
determined either by testing, in accordance with Sec.  431.304 of this 
chapter and the provisions of this section, or by application of an 
AEDM that meets the requirements of Sec.  429.70 and the provisions of 
this section.
    (i) Applicable test procedure. If the AWEF is determined by 
testing, refer to the following for the appropriate test procedure to 
use:
    (A) Unit cooler test procedure. For unit coolers tested alone, use 
the test procedure in 10 CFR part 431, subpart R, appendix C. Follow 
the general testing provisions in appendix C, sections 3.1 and 3.2, and 
the product-specific provisions in appendix C, section 3.3.
    (B) Dedicated condensing unit test procedure. For dedicated 
condensing units tested alone, use the test procedure in 10 CFR part 
431, subpart R, appendix C. Follow the general testing provisions in 
appendix C, sections 3.1 and 3.2, and the product-specific provisions 
in appendix C, section 3.4.
    (C) Packaged dedicated system test procedure. For packaged 
dedicated systems, use the test procedure in 10 CFR part 431, subpart 
R, appendix C. Follow the general testing provisions in appendix C, 
sections 3.1 and 3.2, and the product-specific provisions in appendix 
C, section 3.3.
    (D) Matched refrigeration system test procedure. For matched 
refrigeration systems, use the test procedure in 10 CFR part 431, 
subpart R, appendix C. Follow the general testing provisions in 
appendix C, sections 3.1 and 3.2, and the product-specific provisions 
in appendix C, section 3.3. It is not necessary to rate a matched 
refrigeration system if the constituent unit cooler(s) and dedicated 
condensing unit have been tested and rated as specified paragraphs 
(a)(2)(i)(A) and (B), respectively. However, if a manufacturer wishes 
to represent the efficiency of the matched refrigeration system as 
distinct from the efficiency of either constituent component, or if the 
manufacturer cannot rate one or both of the constituent components 
using the specified method, the manufacturer must test and certify the 
matched refrigeration system as specified in this paragraph 
(a)(2)(i)(D).
    (ii) Units to be tested. (A) If the represented value for a given 
refrigeration system basic model is determined through testing, the 
general requirements of Sec.  429.11 apply; and
    (B) For each basic model, a sample of sufficient size shall be 
randomly selected and tested to ensure that any represented value of 
AWEF or other measure of energy efficiency of a basic model for which 
consumers would favor higher values shall be less than or equal to the 
lower of:
    (1) The mean of the sample, where:

[[Page 54952]]

[GRAPHIC] [TIFF OMITTED] TP17AU16.001

    And x is the sample mean; n is the number of samples; and 
xi is the ith sample, or,
    (2) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP17AU16.002

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 
95% one-tailed confidence interval with n-1 degrees of freedom (from 
appendix A to subpart B).
    (C) The represented value of net capacity shall be the average of 
the capacities measured for the sample selected.
    (iii) Alternative efficiency determination methods. In lieu of 
testing, a represented value of AWEF for a basic model of a walk-in 
cooler or freezer refrigeration system must be determined through the 
application of an AEDM pursuant to the requirements of Sec.  429.70 and 
the provisions of this section, where:
    (A) Any represented value of AWEF or other measure of energy 
efficiency of a basic model for which consumers would favor higher 
values shall be less than or equal to the output of the AEDM and 
greater than or equal to the Federal standard for that basic model.
    (B) The represented value of net capacity must be the net capacity 
simulated by the AEDM.
    (3) For each basic model of walk-in cooler and walk-in freezer 
panels, display doors, and non-display doors, the R-value and/or energy 
consumption must be determined by testing, in accordance with Sec.  
431.304 of this chapter and the provisions of this section.
    (i) Applicable test procedure. Refer to the following for the 
appropriate test procedure:
    (A) Display door test procedure. For determining the energy 
consumption and rated surface area in square feet, use the test 
procedure in 10 CFR part 431, subpart R, appendix A.
    (B) Non-display door test procedure. For determining the energy 
consumption and rated surface area in square feet, use the test 
procedure in 10 CFR part 431, subpart R, appendix A. For determining 
the R-value, use the test procedure in 10 CFR part 431, subpart R, 
appendix B.
    (C) Panel test procedure. For determining the R-value, use the test 
procedure in 10 CFR part 431, subpart R, appendix B.
    (ii) Units to be tested. (A) The general requirements of Sec.  
429.11 apply; and
    (B) For each basic model, a sample of sufficient size shall be 
randomly selected and tested to ensure that--
    (1) Any represented value of door energy consumption or other 
measure of energy use of a basic model for which consumers would favor 
lower values shall be greater than or equal to the higher of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP17AU16.003
    
    And x is the sample mean; n is the number of samples; and 
xi is the ith sample, or,
    (ii) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TP17AU16.004

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 
95% one-tailed confidence interval with n-1 degrees of freedom (from 
appendix A to subpart B).
    (2) Any represented value of R-value or other measure of energy 
efficiency of a basic model for which consumers would favor higher 
values shall be less than or equal to the lower of:
    (i) The mean of the sample, where:
    [GRAPHIC] [TIFF OMITTED] TP17AU16.005
    
    And x is the sample mean; n is the number of samples; and 
xi is the ith sample, or,
    (ii) The lower 95 percent confidence limit (LCL) of the true mean 
divided by 0.95, where:
[GRAPHIC] [TIFF OMITTED] TP17AU16.006

    And x is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t0.95 is the t statistic for a 
95% one-tailed confidence interval with n-1 degrees of freedom (from 
appendix A to subpart B).
    (b) Certification reports. (1) The requirements of Sec.  429.12 are 
applicable to manufacturers of walk-in cooler and walk-in freezer 
panels, doors, and refrigeration systems, and;
    (2) Pursuant to Sec.  429.12(b)(13), a certification report must 
include the following public product-specific information:
    (i) For 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 walk-in coolers and walk-in 
freezers 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 walk-in cooler and walk-in freezer panels: The R-value of 
the insulation.
    (iii) For walk-in cooler and walk-in freezer refrigeration systems: 
The motor's purpose (i.e., evaporator fan motor or condenser fan 
motor), the horsepower, and a declaration that the manufacturer has 
incorporated the applicable design requirements.
    (3) Pursuant to Sec.  429.12(b)(13), starting on June 5, 2017, a 
certification report must include the following public product-specific 
information in addition to the information listed in paragraph (b)(2) 
of this section:
    (i) For walk-in cooler and walk-in freezer doors: The door energy 
consumption and rated surface area in square feet.
    (ii) For refrigeration systems that are medium-temperature 
dedicated condensing units, medium-temperature packaged dedicated 
systems, or medium-temperature matched systems: The refrigeration 
system AWEF, net capacity, and the configuration tested for 
certification (e.g., condensing unit only, unit cooler only, or matched 
pair).
    (4) Pursuant to Sec.  429.12(b)(13), starting on June 5, 2017, a 
certification report must include the following product-specific 
information in addition to the information listed in paragraphs (b)(2) 
and (3) of this section: For doors: The rated power of each light, 
heater wire, and/or other electricity consuming device associated with 
each basic model of display and non-display door; and whether such 
device(s) has a timer, control system, or other demand-based control 
reducing the device's power consumption.
    (5) Starting on [COMPLIANCE DATE OF FINAL RULE FOR UPDATED 
REFRIGERATION STANDARDS], a certification report must include the 
following public product-specific information in addition to the 
information listed in paragraph (b)(2) of this section:
    (i) For refrigeration systems that are low-temperature dedicated 
condensing units, low-temperature matched systems, or medium and low-
temperature unit coolers: The refrigeration system AWEF, net

[[Page 54953]]

capacity, and the configuration tested for certification (e.g., 
condensing unit only, unit cooler only, or matched pair).
0
4. Section 429.110 is amended by revising paragraph (e)(2) to read as 
follows:


Sec.  429.110  Enforcement testing.

* * * * *
    (e) * * *
    (2) For automatic commercial ice makers; commercial refrigerators, 
freezers, and refrigerator-freezers; refrigerated bottled or canned 
vending machines; commercial air conditioners and heat pumps; 
commercial packaged boilers; commercial warm air furnaces; commercial 
water heating equipment; and walk-in cooler and freezer refrigeration 
systems, DOE will use an initial sample size of not more than four 
units and follow the sampling plans in appendix B of this subpart 
(Sampling Plan for Enforcement Testing of Covered Equipment and Certain 
Low-Volume Covered Products).
* * * * *
0
4. Section 429.134 is amended by adding paragraph (l) to read as 
follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (l) Walk-in coolers and walk-in freezers. (1) If DOE determines 
that a basic model of a panel, door, or refrigeration system for walk-
in coolers or walk-in freezers fails to meet an applicable energy 
conservation standard, then the manufacturer of that basic model is 
responsible for the noncompliance with the applicable standard. If DOE 
determines that a complete walk-in cooler or walk-in freezer or 
component thereof fails to meet an applicable energy conservation 
standard, then the manufacturer of that walk-in cooler or walk-in 
freezer is responsible for the noncompliance with the applicable 
standard, except that the manufacturer of a complete walk-in cooler or 
walk-in freezer is not responsible either for the use of components 
that were certified and labeled as compliant by another party that are 
later found to be noncompliant.
    (2) Verification of refrigeration system net capacity. The net 
capacity of the refrigeration system basic model will be measured 
pursuant to the test requirements of 10 CFR part 431, subpart R, 
appendix C for each unit tested. The results of the measurement(s) will 
be averaged and compared to the value of net capacity certified by the 
manufacturer. The certified net capacity will be considered valid only 
if the average measured net capacity is within five percent of the 
certified net capacity.
    (i) If the certified net capacity is found to be valid, the 
certified net capacity will be used as the basis for calculating the 
AWEF of the basic model.
    (ii) If the certified refrigeration capacity is found to be 
invalid, the average measured refrigeration capacity will serve as the 
basis for calculating the annual energy consumption for the basic 
model.
    (3) Verification of door surface area. The surface area of a 
display door or non-display door basic model will be measured pursuant 
to the requirements of 10 CFR part 431, subpart R, appendix A for each 
unit tested. The results of the measurement(s) will be averaged and 
compared to the value of the surface area certified by the 
manufacturer. The certified surface area will be considered valid only 
if the average measured surface area is within one percent of the 
certified surface area.
    (i) If the certified surface area is found to be valid, the 
certified surface area will be used as the basis for calculating the 
maximum energy consumption (kWh/day) of the basic model.
    (ii) If the certified surface area is found to be invalid, the 
average measured surface area will serve as the basis for calculating 
the maximum energy consumption (kWh/day) of the basic model.
    (4) For each basic model of walk-in cooler and freezer door, DOE 
will calculate the door's energy consumption using the power listed on 
the nameplate of each electricity consuming device shipped with the 
door. If an electricity consuming device shipped with a walk-in door 
does not have a nameplate or such nameplate does not list the device's 
power, then DOE will use the device's ``rated power'' included in the 
door's certification report.

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

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

    Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.

0
6. Section 431.302 is amended by:
0
a. Adding in alphabetical order, definitions for ``Adaptive defrost,'' 
``Dedicated condensing unit,'' ``Dedicated condensing refrigeration 
system,'' ``Indoor dedicated condensing refrigeration system,'' 
``Matched condensing unit,'' ``Matched refrigeration system,'' 
``Outdoor dedicated condensing refrigeration system,'' ``Packaged 
dedicated system,'' ``Preparation room refrigeration,'' ``Refrigerated 
storage space,'' ``Unit cooler'', and ``Walk-in process cooling 
refrigeration system''; and
0
b. Revising the definition of ``refrigeration system'';
    The revision and additions read as follows:


Sec.  431.302  Definitions concerning walk-in coolers and walk-in 
freezers.

    Adaptive defrost means a defrost control system that reduces 
defrost frequency by initiating defrosts or adjusting the number of 
defrosts per day in response to operating conditions (e.g., moisture 
levels in the refrigerated space, measurements that represent coil 
frost load) rather than initiating defrost strictly based on compressor 
run time or clock time.
* * * * *
    Dedicated condensing unit means a positive displacement condensing 
unit that is part of a refrigeration system (as defined in 10 CFR 
431.302) and is an assembly that
    (1) Includes 1 or more compressors, a condenser, and one 
refrigeration circuit; and
    (2) Is designed to serve one refrigerated load.
    Dedicated condensing refrigeration system means either:
    (1) A dedicated condensing unit;
    (b) A packaged dedicated system; or
    (3) A matched refrigeration system.
* * * * *
    Indoor dedicated condensing refrigeration system means a dedicated 
condensing refrigeration system that is not an outdoor dedicated 
refrigeration system.
* * * * *
    Matched condensing unit means a dedicated condensing unit that is 
distributed in commerce with one or more unit cooler(s) specified by 
the condensing unit manufacturer.
    Matched refrigeration system (also called matched pair) means a 
refrigeration system including the matched condensing unit and the one 
or more unit coolers with which it is distributed in commerce.
    Outdoor dedicated condensing refrigeration system means a dedicated 
condensing unit, packaged dedicated system, or matched refrigeration 
system in which the assembly (including the compressor(s) and 
condenser) is encased and the system is capable of maintaining a net 
capacity at the 35[emsp14][deg]F outdoor temperature condition that is 
no less than 65 percent of the net capacity measured at the 
95[emsp14][deg]F outdoor temperature condition for a period of no less 
than one hour.

[[Page 54954]]

    Packaged dedicated system means a refrigeration system (as defined 
in 10 CFR 431.302) that is a single-package assembly that includes one 
or more compressors, a condenser, a means for forced circulation of 
refrigerated air, and elements by which heat is transferred from air to 
refrigerant, without any element external to the system imposing 
resistance to flow of the refrigerated air.
* * * * *
    Preparation room refrigeration means a unit cooler that is designed 
for use in a room occupied by personnel who are preparing food and that 
is characterized by low outlet air velocity, evaporator temperature 
between 30 and 55 degrees Fahrenheit, and electric or hot gas defrost.
* * * * *
    Refrigerated storage space means a space held at refrigerated (as 
defined in 10 CFR 431.302) temperatures.
* * * * *
    Refrigeration system means the mechanism (including all controls 
and other components integral to the system's operation) used to create 
the refrigerated environment in the interior of a walk-in cooler or 
freezer, consisting of:
    (1) A dedicated condensing refrigeration system (as defined in 10 
CFR 431.302); or
    (2) A unit cooler.
* * * * *
    Unit cooler means an assembly, including means for forced air 
circulation and elements by which heat is transferred from air to 
refrigerant without any element external to the cooler imposing air 
resistance.
* * * * *
    Walk-in process cooling refrigeration system means a refrigeration 
system that is used exclusively for cooling food or other substances 
from one temperature to another. The basic model of such a system must 
either:
    (1) Be distributed in commerce with an enclosure consisting of 
panels and door(s) such that the assembled product has a refrigerating 
capacity of at least 100 Btu/h per cubic foot of enclosed internal 
volume; or
    (2) Be a unit cooler having an evaporator coil that is at least 
four-and-one-half (4.5) feet in height and whose height is at least 
one-and-one-half (1.5) times the width.
0
7. Section 431.303 is amended by:
0
a. Redesignating paragraph (b)(1) as (b)(2), and adding new paragraph 
(b)(1);
0
b. Revising newly redesignated paragraph (b)(2), by removing ``Sec.  
431.304'', and adding in its place, ``Sec.  431.304 and appendix C to 
subpart R of part 431.
0
c. Redesignating paragraphs (c) and (d) as paragraphs (d) and (e), 
respectively, and adding new paragraph (c);
0
d. Revising newly redesignated paragraph (d)(1), by removing ``appendix 
A to subpart R of part 431'' and adding in its place, ``appendix B to 
subpart R of part 431''.
    The revisions and addition read as follows:


Sec.  431.303  Materials incorporated by reference.

* * * * *
    (b) * * *
    (1) ANSI/AHRI 420-2008, (``AHRI 420-2008''), ``Performance Rating 
of Forced-Circulation Free-Delivery Unit Coolers for Refrigeration,'' 
Copyright 2008, IBR approved for appendix C to subpart R of part 431.
* * * * *
    (c) ASHRAE. The American Society of Heating, Refrigerating, and 
Air-Conditioning Engineers, Inc., 1971 Tullie Circle NE., Atlanta, GA 
30329, or http://www.ashrae.org/.
    (1) ANSI/ASHRAE Standard 23.1-2010, (``ASHRAE 23.1-2010''), 
``Methods of Testing for Rating the Performance of Positive 
Displacement Refrigerant Compressors and Condensing Units that Operate 
at Subcritical Temperatures of the Refrigerant,'' Copyright 2010, IBR 
approved for appendix C to subpart R of part 431.
    (2) [Reserved].
* * * * *
0
8. Section 431.304 is amended by revising paragraph (b) and removing 
paragraph (c) to read as follows:


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

* * * * *
    (b) Determine the energy efficiency and/or energy consumption of 
the specified walk-in cooler and walk-in freezer components by 
conducting the appropriate test procedure as follows:
    (1) Determine the U-factor, conduction load, and energy use of 
walk-in cooler and walk-in freezer display panels by conducting the 
test procedure set forth in appendix A to this subpart.
    (2) Determine the energy use of walk-in cooler and walk-in freezer 
display doors and non-display doors by conducting the test procedure 
set forth in appendix A to this subpart.
    (3) Determine the R-value of walk-in cooler and walk-in freezer 
non-display panels and non-display doors by conducting the test 
procedure set forth in appendix B to this subpart.
    (4) Determine the AWEF and net capacity of walk-in cooler and walk-
in freezer refrigeration systems by conducting the test procedure set 
forth in appendix C to this subpart.
0
9. Section 431.305 is added to read as follows:


Sec.  431.305  Walk-in coolers and walk-in freezers labeling 
requirements.

    (a) Panel nameplate--(1) Required information. The permanent 
nameplate of a walk-in cooler or walk-in freezer panel for which 
standards are prescribed in Sec.  431.306 must be marked clearly with 
the following information:
    (i) The rated R-value;
    (ii) The panel brand;
    (iii) The panel model number;
    (iv) The date of manufacture of the panel; and
    (v) The statement, ``This panel is designed and certified for use 
in walk-in cooler and freezer applications.''
    (2) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the panel's permanent nameplate. The R-value, as 
appropriate to a given panel model, must be identified in the form ``R-
value __.'' The model number must be in one of the following forms: 
``Model __'' or ``Model number __'' or ``Model No. __.''
    (b) Door nameplate--(1) Required information. The permanent 
nameplate of a walk-in cooler or walk-in freezer door for which 
standards are prescribed in Sec.  431.306 must be marked clearly with 
the following information:
    (i) The rated energy consumption;
    (ii) The door brand;
    (iii) The door model number;
    (iv) The date of manufacture of the door; and
    (v) The statement, ``This door is designed and certified for use in 
walk-in cooler and freezer applications.''
    (2) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the door's permanent nameplate. The energy 
consumption, as appropriate to a given door model, must be identified 
in the form ``EC __.'' The model number must be in one of the following 
forms: ``Model __'' or ``Model number __'' or ``Model No. __.''
    (c) Refrigeration system nameplate--(1) Required information. The 
permanent nameplate of a walk-in cooler or walk-in freezer 
refrigeration system for which standards are

[[Page 54955]]

prescribed in Sec.  431.306 must be marked clearly with the following 
information:
    (i) The annual walk-in energy factor;
    (ii) The refrigeration system brand;
    (iii) The refrigeration system model number;
    (iv) The date of manufacture of the refrigeration system; and
    (v) The statement, ``This refrigeration system is designed and 
certified for use in walk-in cooler and freezer applications.''
    (2) Process cooling refrigeration systems. The permanent nameplate 
of a process cooling refrigeration system (as defined in Sec.  431.302) 
must be marked clearly with the following information:
    (i) The refrigeration system brand;
    (ii) The refrigeration system model number;
    (iii) The date of manufacture of the refrigeration system; and
    (iv) The statement, ``This refrigeration system is designed only 
for use in walk-in cooler and freezer process cooling refrigeration 
applications.''
    (2) Display of required information. All orientation, spacing, type 
sizes, typefaces, and line widths to display this required information 
must be the same as or similar to the display of the other performance 
data included on the refrigeration system's permanent nameplate. The 
annual walk-in energy factor, as appropriate to a given refrigeration 
system model, must be identified in the form ``AWEF __.'' The model 
number must be in one of the following forms: ``Model __'' or ``Model 
number __'' or ``Model No. __.''
    (d) Disclosure of efficiency information in marketing materials. 
(1) The same information that must appear on a walk-in cooler or walk-
in freezer component's permanent nameplate pursuant to paragraph (a)(1) 
of this section, must also be prominently displayed:
    (i) On each page of a catalog that lists the component; and
    (ii) In other materials used to market the component.
0
10. Appendix A to subpart R of part 431 is amended by:
0
a. Removing and reserving sections 3.2 and 3.3;
0
b. Revising section 3.4;
0
c. Redesignating sections 3.5 and 3.6 as sections 3.6 and 3.7.
0
d. Adding new section 3.5;
0
e. Revising newly redesignated section 3.6; and
0
f. Revising Table A.1.
    The revisions and additions read as follows:

Appendix A to Subpart R of Part 431--Uniform Test Method for the 
Measurement of Energy Consumption of the Components of Envelopes of 
Walk-In Coolers and Walk-In Freezers

* * * * *
    3.2 [Reserved]
    3.3 [Reserved]
    3.4 Surface area means the area of the surface of the walk-in 
component that would be external to the walk-in cooler or walk-in 
freezer as appropriate.
    3.5 Rated power means the electricity consuming device's power 
as specified on the device's nameplate. If the device does not have 
a nameplate or such nameplate does not list the device's power, then 
the rated power must be read from the device's product data sheet.
    3.6 Rating conditions means, unless explicitly stated otherwise, 
all conditions shown in Table A.1 of this section.

                    Table A.1--Temperature Conditions
------------------------------------------------------------------------
 
------------------------------------------------------------------------
        Internal Temperatures (cooled space within the envelope)
------------------------------------------------------------------------
Cooler Dry Bulb Temperature................  35 [deg]F.
Freezer Dry Bulb Temperature...............  -10 [deg]F.
------------------------------------------------------------------------
         External Temperatures (space external to the envelope)
------------------------------------------------------------------------
Freezer and Cooler Dry Bulb Temperatures...  75 [deg]F.
------------------------------------------------------------------------

* * * * *
0
11. Adding appendices B and C to subpart R of part 431 to read as 
follows:

Appendix B to Subpart R of Part 431--Uniform Test Method for the 
Measurement of R-Value for Envelope Components of Walk-In Coolers and 
Walk-in Freezers

1.0 Scope

    This appendix covers the test requirements used to measure the 
R-value of non-display panels and non-display doors of a walk-in 
cooler or walk-in freezer.

2.0 Definitions

    The definitions contained in Sec.  431.302 apply to this 
appendix.

3.0 Additional Definitions

    3.1 Edge region means a region of the panel that is wide enough 
to encompass any framing members. If the panel contains framing 
members (e.g. a wood frame) then the width of the edge region must 
be as wide as any framing member plus an additional 2 in. 0.25 in.

4.0 Test Methods, Measurements, and Calculations

    4.1 The R value shall be the 1/K factor multiplied by the 
thickness of the panel.
    4.2 The K factor shall be based on ASTM C518 (incorporated by 
reference; see Sec.  431.303).
    4.3 For calculating the R value for freezers, the K factor of 
the foam at 20 1 degrees Fahrenheit (average foam 
temperature) shall be used. Test results from a test sample 1 0.1-inches in thickness may be used to determine the R value 
of panels with various foam thickness as long as the foam is of the 
same final chemical form.
    4.4 For calculating the R value for coolers, the K factor of the 
foam at 55 1 degrees Fahrenheit (average foam 
temperature) shall be used. Test results from a test sample 1 0.1-inches in thickness may be used to determine the R value 
of panels with various foam thickness as long as the foam is of the 
same final chemical form.
    4.5 Foam shall be tested after it is produced in its final 
chemical form. For foam produced inside of a panel (``foam-in-
place''), ``final chemical form'' means the foam is cured as 
intended and ready for use as a finished panel. For foam produced as 
board stock (typically polystyrene), ``final chemical form'' means 
after extrusion and ready for assembly into a panel or after 
assembly into a panel. Foam from foam-in-place panels must not 
include any structural members or non-foam materials. Foam produced 
as board stock may be tested prior to its incorporation into a final 
panel. A test sample 1 0.1-inches in thickness must be 
taken from the center of a panel and any protective skins or facers 
must be removed. A high-speed band-saw and a meat slicer are two 
types of recommended cutting tools. Hot wire cutters or other heated 
tools must not be used for cutting foam test samples. The two 
surfaces of the test sample that will contact the hot plate 
assemblies (as defined in ASTM C518 (incorporated by reference, see 
Sec.  431.303)) must both maintain 0.03 inches flatness 
tolerance and also maintain parallelism with respect to one another 
within 0.03 inches. Testing must be completed within 24 
hours of samples being cut for testing.
    4.6 Internal non-foam member and/or edge regions shall not be 
considered when testing in accordance with ASTM C518.
    4.7 For panels consisting of two or more layers of dissimilar 
insulating materials (excluding facers or protective skins), test 
each material as described in sections 4.1 through 4.6 of this 
appendix. For a panel

[[Page 54956]]

with N layers of insulating material, the overall R-Value shall be 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TP17AU16.007

Where:

ki is the k factor of the ith material as measured by 
ASTM C518, (incorporated by reference, see Sec.  431.303)
ti is the thickness of the ith material that appears in 
the panel, and
N is the total number of material layers that appears in the panel.

Appendix C to Subpart R of Part 431--Uniform Test Method for the 
Measurement of Net Capacity and AWEF of Walk-In Coolers and Walk-in 
Freezer Refrigeration Systems

1.0 Scope

    This appendix covers the test requirements used to determine the 
net capacity and the AWEF of the refrigeration system of a walk-in 
cooler or walk-in freezer.

2.0 Definitions

    The definitions contained in Sec.  431.302 and AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303) apply to this 
appendix. When definitions in standards incorporated by reference 
are in conflict or when they are in conflict with this section, the 
hierarchy of precedence shall be in the following order: Sec.  
431.302, AHRI 1250-2009 (incorporated by reference; see Sec.  
431.303), and then either AHRI 420-2008 (incorporated by reference; 
see Sec.  431.303) for unit coolers or ASHRAE 23.1-2010 
(incorporated by reference; see Sec.  431.303) for dedicated 
condensing units.

3.0 Test Methods, Measurements, and Calculations

    Determine the Annual Walk-in Energy Factor (AWEF) and net 
capacity of walk-in cooler and walk-in freezer refrigeration systems 
by conducting the test procedure set forth in AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), with the 
modifications to that test procedure provided in this section. When 
standards that are incorporated by reference are in conflict or when 
they are in conflict with this section, the hierarchy of precedence 
shall be in the following order: Sec.  431.302, AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), and then either AHRI 
420-2008 (incorporated by reference; see Sec.  431.303) or ASHRAE 
23.1-2010 (incorporated by reference; see Sec.  431.303).
    3.1. General modifications: Test Conditions and Tolerances.
    When conducting testing in accordance with AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), the following 
modifications must be made.
    3.1.1. In Table 1, Instrumentation Accuracy, refrigerant 
temperature measurements shall have a tolerance of 0.5 F 
for unit cooler in/out, 1.0 F for all other temperature 
measurements.
    3.1.2. In Table 2, Test Operating and Test Condition Tolerances 
for Steady-State Test, electrical power frequency shall have a Test 
Condition Tolerance of 1 percent.
    3.1.3. In Table 2, the Test Operating Tolerances and Test 
Condition Tolerances for Air Leaving Temperatures shall be deleted.
    3.1.4. In Tables 2 through 14, the Test Condition Outdoor Wet 
Bulb Temperature requirement and its associated tolerance apply only 
to units with evaporative cooling.
    3.1.5. Tables 15 and 16 shall be modified to read as follows:

                                                           Table 15--Refrigerator Unit Cooler
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Unit cooler  Unit cooler                  Liquid       Liquid
                                      air          air       Saturated      inlet        inlet
        Test description            entering     entering     suction     saturation   subcooling         Compressor capacity          Test  objective
                                   dry-bulb,     relative      temp,        temp,        temp,
                                     [deg]F    humidity, %     [deg]F       [deg]F       [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off Cycle Fan Power.............           35          <50  ...........  ...........  ...........  Compressor Off..................  Measure fan input
                                                                                                                                      power during
                                                                                                                                      compressor off
                                                                                                                                      cycle.
Refrigeration Capacity Suction A           35          <50           25          105            9  Compressor On...................  Determine Net
                                                                                                                                      Refrigeration
                                                                                                                                      Capacity of Unit
                                                                                                                                      Cooler.
Refrigeration Capacity Suction B           35          <50           20          105            9  Compressor On...................  Determine Net
                                                                                                                                      Refrigeration
                                                                                                                                      Capacity of Unit
                                                                                                                                      Cooler.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default
  superheat value of 6.5 [deg]F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.


                                                              Table 16--Freezer Unit Cooler
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Unit cooler  Unit cooler                  Liquid       Liquid
                                      air          air       Saturated      inlet        inlet
        Test description            entering     entering     suction     saturation   subcooling         Compressor capacity           Test objective
                                   dry-bulb,     relative      temp,        temp,        temp,
                                     [deg]F    humidity, %     [deg]F       [deg]F       [deg]F
--------------------------------------------------------------------------------------------------------------------------------------------------------
Off Cycle Fan Power.............          -10          <50  ...........  ...........  ...........  Compressor Off..................  Measure fan input
                                                                                                                                      power during
                                                                                                                                      compressor off
                                                                                                                                      cycle.
Refrigeration Capacity Suction A          -10          <50          -20          105            9  Compressor On...................  Determine Net
                                                                                                                                      Refrigeration
                                                                                                                                      Capacity of Unit
                                                                                                                                      Cooler.
Refrigeration Capacity Suction B          -10          <50          -26          105            9  Compressor On...................  Determine Net
                                                                                                                                      Refrigeration
                                                                                                                                      Capacity of Unit
                                                                                                                                      Cooler.
Defrost.........................          -10      Various  ...........  ...........  ...........  Compressor Off..................  Test according to
                                                                                                                                      Appendix C Section
                                                                                                                                      C11.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default
  superheat value of 6.5 [deg]F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.


[[Page 54957]]

    3.2. General Modifications: Methods of Testing.
    When conducting testing in accordance with appendix C of AHRI 
1250-2009 (incorporated by reference; see Sec.  431.303), the 
following modifications must be made.
    3.2.1. In appendix C, section C3.1.6, any refrigerant 
temperature measurements upstream and downstream of the unit cooler 
may use sheathed sensors immersed in the flowing refrigerant instead 
of thermometer wells.
    3.2.2. It is not necessary to perform composition analysis of 
refrigerant (appendix C, section C3.3.6) or refrigerant oil 
concentration testing (appendix C, section C3.4.6).
    3.2.3. In appendix C, section C3.4.5, for verification of sub-
cooling downstream of mass flow meters, only the sight glass and a 
temperature sensor located on the tube surface under the insulation 
are required.
    3.2.4. In appendix C, section C3.5, regarding unit cooler fan 
power measurements, for a given motor winding configuration, the 
total power input shall be measured at the highest nameplate 
voltage. For three-phase power, voltage imbalances shall be no more 
than 2 percent from phase to phase.
    3.2.5. In the test setup (appendix C, section C8.3), the liquid 
line and suction line shall be constructed of pipes of the 
manufacturer-specified size. The pipe lines shall be insulated with 
a minimum total thermal resistance equivalent to \1/2\-inch thick 
insulation having a flat-surface R-Value of 3.7 ft\2\-[deg]F-hr/Btu 
per inch or greater. Flow meters need not be insulated but must not 
be in contact with the floor. The lengths of the connected liquid 
line and suction line shall be 25 feet +/-3 inches, not including 
the requisite flow meters, each. Of this length, no more than 15 
feet shall be in the conditioned space. Where there are multiple 
branches of piping, the maximum length of piping applies to each 
branch individually as opposed to the total length of the piping.
    3.3. Matched systems, packaged dedicated systems, and unit 
coolers tested alone: Use the test method in AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), appendix C as the 
method of test for matched refrigeration systems, packaged dedicated 
systems, or unit coolers tested alone, with the following 
modifications:
    3.3.1. For unit coolers tested alone, use test procedures 
described in AHRI 1250-2009 (incorporated by reference; see Sec.  
431.303) for testing unit coolers for use in mix-match system 
ratings, except that for the test conditions in Tables 15 and 16, 
use the Suction A saturation condition test points only. Also for 
unit coolers tested alone, use calculations in section 7.9 to 
determine AWEF and net capacity described in AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303) for unit coolers 
matched to parallel rack systems.
    3.3.2. In appendix C, section C.13, the version of AHRI Standard 
420 used for test methods, requirements, and procedures shall be 
ANSI/AHRI 420-2008 (incorporated by reference; see Sec.  431.303).
    3.3.3. Use appendix C, section C10 of AHRI 1250-2009 for off-
cycle evaporator fan testing, with the exception that evaporator fan 
controls using periodic stir cycles shall be adjusted so that the 
greater of a 50% duty cycle (rather than a 25% duty cycle) or the 
manufacturer default is used for measuring off-cycle fan energy. For 
variable-speed controls, the greater of 50% fan speed (rather than 
25% fan speed) or the manufacturer's default fan speed shall be used 
for measuring off-cycle fan energy.
    3.3.4. Use appendix C, section C11 of AHRI 1250-2009 for defrost 
testing. The Frost Load Condition Defrost Test (C11.1.1) is 
optional.
    3.3.4.1. If the frost load condition defrost test is performed:
    3.3.4.1.1 Operate the unit cooler at the dry coil conditions as 
specified in appendix C, section C11.1 to obtain dry coil defrost 
energy, DFd, in W-h.
    3.3.4.1.2 Operate the unit cooler at the frost load conditions 
as specified in appendix C, sections C11.1 and C11.1.1 to obtain 
frosted coil defrost energy, DFf, in W-h.
    3.3.4.1.3 The number of defrosts per day, NDF, shall 
be calculated from the time interval between successive defrosts at 
the frost load conditions.
    3.3.4.1.4 Use appendix C, equations C13 and C14 in section C11.3 
to calculate, respectively, the daily average defrost energy, DF, in 
W-h and the daily contribution of the load attributed to defrost 
QDF in Btu.
    3.3.4.1.5 The defrost adequacy requirements in appendix C, 
section C11.3 shall apply.
    3.3.4.2. If the frost load test is not performed:
    3.3.4.2.1 Operate the unit cooler at the dry coil conditions as 
specified in appendix C, section C11.1 to obtain dry coil defrost 
energy, DFd, in W-h.
    3.3.4.2.2 The frost load defrost energy, DFf, in W-h 
shall be equal to 1.05 multiplied by the dry coil energy 
consumption, DFd, measured using the dry coil condition 
test in appendix C, section C11.1.
    3.3.4.2.3 The number of defrosts per day NDF used in 
subsequent calculations shall be 4.
    3.3.4.2.4 Use appendix C, equation C13 in section C11.3 to 
calculate the daily average defrost energy, DF, in W-h.
    3.3.4.2.5 The daily contribution of the load attributed to 
defrost QDF in Btu shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TP17AU16.008

Where:

DFd = the defrost energy, in W-h, measured at the dry 
coil condition

    3.3.5. If a unit has adaptive defrost:
    3.3.5.1. When testing to certify to the energy conservation 
standards in 10 CFR 431.306, do not perform the optional test for 
adaptive or demand defrost in appendix C, section C11.2.
    3.3.5.2. When determining the represented value of the 
calculated benefit for the inclusion of adaptive defrost, conduct 
the optional test for adaptive or demand defrost in appendix C, 
section C11.2 to establish the maximum time interval allowed between 
dry coil defrosts. Then, calculate NDF (the number of 
defrosts per day) by averaging the measured time in hours between 
successive defrosts for the dry coil condition with the time in 
hours between successive defrosts for the frosted coil condition, 
and dividing 24 by this average time. The measured time between 
defrosts cannot be greater than 24 hours. (The time between 
successive defrosts for the frosted coil condition is found as 
specified in section 3.3.4 of this appendix: that is, if the 
optional frosted coil test was performed, the time between 
successive defrosts for the frosted coil condition is found by 
performing the frosted coil test as specified in section 3.3.4.1; 
and if the optional frosted coil test was not performed, the time 
between successive defrosts for the frosted coil condition shall be 
set to 4 as specified in section 3.3.4.2.) Use this new value of 
NDF in subsequent calculations.
    3.3.6. For matched refrigeration systems, calculate the AWEF 
using the calculations in AHRI 1250-2009 (incorporated by reference; 
see Sec.  431.303), section 7.4, 7.5, 7.6, or 7.7, as applicable. In 
section 7.6, use the following equations in place of equations 67 
and 83, respectively:

[[Page 54958]]

[GRAPHIC] [TIFF OMITTED] TP17AU16.009

[GRAPHIC] [TIFF OMITTED] TP17AU16.010

    3.3.7. For unit coolers tested alone, calculate the AWEF and net 
capacity using the calculations in AHRI 1250-2009, (incorporated by 
reference; see Sec.  431.303), section 7.9. If the unit cooler has 
variable-speed evaporator fans that vary fan speed in response to 
load, then:
    3.3.7.1. When testing to certify compliance with the energy 
conservation standards in Sec.  431.306, fans shall operate at full 
speed during on-cycle operation. Do not conduct the calculations in 
AHRI 1250-2009 section 7.9.3. Instead, use AHRI 1250-2009 section 
7.9.2 to determine the system's AWEF.
    3.3.7.2. When calculating the benefit for the inclusion of 
variable-speed evaporator fans that modulate fan speed in response 
to load for the purposes of making representations of efficiency, 
use AHRI 1250-2009 section 7.9.3 to determine the system AWEF.
    3.4. Dedicated condensing units that are not matched for testing 
and are not packaged dedicated systems.
    3.4.1. Refer to appendix C, section C.12 of AHRI 1250-2009 
(incorporated by reference; see Sec.  431.303), for the method of 
test for dedicated condensing units. The version of ASHRAE Standard 
23 used for test methods, requirements, and procedures shall be 
ANSI/ASHRAE Standard 23.1-2010 (incorporated by reference; see Sec.  
431.303). When applying this test method, use the applicable test 
method modifications listed in sections 3.1 and 3.2 of this 
appendix. For the test conditions in AHRI 1250-2009 Tables 11, 12, 
13, and 14, use the Suction A condition test points only.
    3.4.2. Calculate the AWEF and net capacity for dedicated 
condensing units using the calculations in AHRI 1250-2009 
(incorporated by reference; see 10 CFR 431.303) section 7.8. Use the 
following modifications to the calculations in lieu of unit cooler 
test data:
    3.4.2.1. For purposes of calculating enthalpy leaving the unit 
cooler as part of the calculating gross capacity, the saturated 
refrigerant temperature at the evaporator coil exit, 
Tevap, shall be 25[emsp14][deg]F for medium-temperature 
systems (coolers) and -20[emsp14][deg]F for low-temperature systems 
(freezers).
    3.4.2.2. The on-cycle evaporator fan power in watts, 
EFcomp,on, shall be calculated as follows:

For medium-temperature systems (coolers), EFcomp,on = 
0.013 x qmix,cd
For low-temperature systems (freezers), EFcomp,on = 0.016 
x qmix,cd

Where:

qmix,cd is the gross cooling capacity of the system in 
Btu/h, found by a single test at the Capacity A, Suction A condition 
for outdoor units and the Suction A condition for indoor units.

    3.4.2.3. The off-cycle evaporator fan power in watts, 
EFcomp,off, shall be calculated as follows:

EFcomp,off = 0.2 x EFcomp,on

Where:

EFcomp,on is the on-cycle evaporator fan power in watts.

    3.4.2.4. The daily defrost energy use in watt-hours, DF, shall 
be calculated as follows:
For medium-temperature systems (coolers), DF = 0
For low-temperature systems (freezers), DF = 8.5 x 10-\3\ 
x qmix,cd\1.27\ x NDF

Where:

qmix,cd is the gross cooling capacity of the system in 
Btu/h, found by a single test at the Capacity A, Suction A condition 
for outdoor units and the Suction A condition for indoor units, and
NDF is the number of defrosts per day, equal to 4.

    3.4.2.5. The daily defrost heat load contribution in Btu, 
QDF, shall be calculated as follows:

For medium-temperature systems (coolers), QDF = 0
For low-temperature systems (freezers), QDF = 0.95 x DF x 
3.412

Where:

DF is the daily defrost energy use in watt-hours.

[FR Doc. 2016-19104 Filed 8-16-16; 8:45 am]
BILLING CODE 6450-01-P