[Federal Register Volume 81, Number 249 (Wednesday, December 28, 2016)]
[Rules and Regulations]
[Pages 95758-95807]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-29708]



[[Page 95757]]

Vol. 81

Wednesday,

No. 249

December 28, 2016

Part III





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; Final Rule

  Federal Register / Vol. 81 , No. 249 / Wednesday, December 28, 2016 / 
Rules and Regulations  

[[Page 95758]]


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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: Final rule.

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SUMMARY: This final rule amends 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 compliance with the relevant standards for 
walk-in cooler and freezer applications. The amendments consist of 
provisions specific to certain walk-in cooler and freezer refrigeration 
systems, including product-specific definitions, removal of a 
performance credit for hot gas defrost, and a method to accommodate 
refrigeration equipment that use adaptive defrost and on-cycle 
variable-speed evaporator fan control.

DATES: The effective date of this rule is January 27, 2017. The final 
rule changes will be mandatory for representations starting June 26, 
2017. The incorporation by reference of certain publications listed in 
the rule is approved by the Director of the Federal Register on January 
27, 2017.

ADDRESSES: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts, comments, and other supporting 
documents/materials, is available for review at www.regulations.gov. 
All documents in the docket are listed in the www.regulations.gov 
index. However, some documents listed in the index, such as those 
containing information that is exempt from public disclosure, may not 
be publicly available.
    A link to the docket Web page can be found at www.regulations.gov/#!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.

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].

SUPPLEMENTARY INFORMATION: DOE incorporates 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,'' copyright 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,'' ANSI approved January 28, 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 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 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.
    For a further discussion of these standards, see section IV.N.

Table of Contents

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Final Rule
III. Discussion
    A. 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
    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
    D. Additional Comments From Interested Parties
    1. High Temperature Freezer Applications
    2. Unit Cooler With Mounted/Ancillary Components
    3. Off-Cycle Unit Cooler Variable-Speed Fan Setting
    4. Unit Cooler Capacity Determination in Condensing Unit Only 
Test
    5. Insulation Aging
    6. Laboratory Qualification
    7. Variable-Capacity Condensing Unit Test Method
    8. Request for Supplemental Notice of Proposed Rulemaking
    9. ASRAC Working Group Representation
    10. EPCA Prescriptive Requirements
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    1. Need for, and Objectives of, the Rule
    2. Significant Issues Raised in Response to the IRFA
    3. Description and Estimated Number of Small Businesses 
Regulated
    4. Description and Estimate of Compliance Requirements
    5. Significant Alternatives to the Rule
    C. Review Under the Paperwork Reduction Act of 1995
    1. Description of the Requirements
    2. Information Collection Request Title
    3. Type of Request
    4. Purpose
    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. Congressional Notification
    N. Description of Materials Incorporated by Reference
V. 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'') is authorized to establish and 
amend energy conservation standards and test procedures. (42 U.S.C. 
6311(1)(G)) By definition, a walk-in is 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

[[Page 95759]]

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 for walk-ins and relevant background 
information regarding DOE's consideration of test procedures 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, as 
amended (codified as 42 U.S.C. 6311-6317) 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\ [thinsp]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), labeling provisions (42 U.S.C. 6315), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316 and 
6296(d)). 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. 6314, 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 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 and shall 
not be unduly burdensome to conduct. See 42 U.S.C. 6314(a)(2) 
(detailing criteria for setting test procedures for industrial 
equipment).
    DOE also generally periodically reviews its test procedures and if 
it determines that an amendment is warranted, DOE publishes a proposal 
to amend them and offers the public an opportunity to present oral and 
written comments on that proposal. (See generally 42 U.S.C. 6314(b)) 
DOE also generally determines the extent, if any, to which the test 
procedure amendment(s) would alter the measured energy efficiency of 
any covered product as determined under the existing test procedure. 
(42 U.S.C. 6293(e)(1)) For purposes of this rulemaking, DOE has made 
this determination through its conducting of a parallel rulemaking 
setting standards for certain classes of walk-in refrigeration systems.

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 walk-in energy use. On April 15, 2011, DOE 
published test procedures for the principal components that make up a 
walk-in: panels, doors, and refrigeration systems. DOE took this 
component-based testing approach after carefully considering 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, once certain 
qualifications are met, to use an alternative efficiency determination 
method (``AEDM'') to certify compliance and report ratings. That 
effort, which came in the form of a supplemental notice of proposed 
rulemaking (``SNOPR''), solicited public comments, data, and 
information on the proposed test procedure modifications. 79 FR 9818 
(February 20, 2014). DOE published a final rule codifying the AEDM 
provisions and amendments to the test procedure for walk-ins on May 13. 
2014. 79 FR 27388.
    DOE also published a notice of proposed rulemaking (``NOPR'') to 
establish 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 during earlier stages of the 
rulemaking and proposed new energy conservation standards for this 
equipment. In conjunction with the September 2013 NOPR, DOE published a 
technical support document (``TSD'') to accompany the proposed rule 
along with spreadsheets addressing aspects of DOE's engineering 
analysis, Government Regulatory Impact Model (``GRIM''), life cycle 
cost (``LCC''), and national impact analysis (``NIA''). 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 proposed 
refrigeration system standards used the metric ``annual walk-in energy 
factor'' (``AWEF''), and the door standards used the metric maximum 
energy consumption that incorporates thermal insulating ability and 
electrical energy used by the door. The proposed panel standards were 
equivalent to those previously established by Congress 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 (``June 2014 final 
rule''). 79 FR 32050. Except for the equipment class standards that 
were 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 June 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 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 assemble 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 that addressed, 
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 Order from the United States Court of Appeals for the 
Fifth

[[Page 95760]]

Circuit, issued on August 10, 2015, vacated those six standards. On 
November 12, 2015, DOE amended the CFR to reflect this Order. 80 FR 
69837. 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--were not vacated and continue to 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, Pub. L. 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). All of the 
meetings were open to the public and broadcast via webinar. Several 
people who were not members of the Working Group attended the meetings 
and were given the opportunity to comment on the proceedings. Non-
Working Group meeting attendees are listed in Table 2. The Working 
Group consulted as appropriate with a range of experts on technical 
issues. The Working Group met in-person on 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
----------------------------------------------------------------------------------------------------------------
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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              Table 2--Other ASRAC Walk-In Coolers and Freezers Meeting Attendees and Affiliations
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               Full name                                               Affiliation
----------------------------------------------------------------------------------------------------------------
Akash Bhatia...........................  Tecumseh Products Company.
Bryan Eisenhower.......................  VaCom Technologies.
Dean Groff.............................  Danfoss.
Brian Lamberty.........................  Unknown.
Michael Layne..........................  Turbo Air.
Jon McHugh.............................  McHugh Energy.
Yonghui (Frank) Xu.....................  National Coil Company.
Vince Zolli............................  KeepRite Refrigeration.
----------------------------------------------------------------------------------------------------------------

    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. 56) that was presented to, and 
approved by, the ASRAC on December 18, 2015. DOE anticipates adopting 
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 equipment classes and both medium- and low-temperature 
multiplex condensing equipment classes, (see Docket No. EERE-2015-BT-
STD-0016, No. 1 and 2), the Term Sheet also included recommendations 
that DOE consider making certain amendments to the walk-in test 
procedure. These recommendations included 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 changes that the Working Group deemed necessary 
in order to implement the agreed-upon refrigeration system 
standards.\2\ DOE

[[Page 95761]]

considered the approved Term Sheet, along with other comments received 
during the negotiated rulemaking process, and proposed several test 
procedure amendments addressing these Term Sheet recommendation in a 
NOPR published August 17, 2016 (``August 2016 NOPR''). 81 FR 54926. The 
NOPR also included additional proposals to facilitate implementation of 
energy conservation standards for WICF components. DOE held a public 
meeting to discuss the NOPR on September 12, 2016 and accepted written 
comments during a comment period that ended October 17, 2016. DOE 
considered these comments when developing this final rule.
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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. These changes do not affect the test procedures for 
the refrigeration system standards that were not vacated. They 
specifically address removing test procedure provisions, including 
hot gas defrost, and adding requirements that certified efficiency 
levels for evaluating standards compliance would not rely on the 
current test procedure provisions for adaptive defrost or on-cycle 
variable-speed evaporator fans.
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    DOE is requiring manufacturers to use the prescribed test procedure 
described in this document when making representations regarding the 
energy use or efficiency of covered equipment. Manufacturers will have 
180 days after the final rule's publication date to ensure that these 
representations are based on this test procedure. (42 U.S.C. 6314(d))
    The amendments adopted in this final rule will not change the 
measured energy use of the classes of refrigeration systems whose 
standards were not vacated.\3\ As such, all test procedure amendments 
adopted in this final rule are effective 30 days after publication in 
the Federal Register and required for representations regarding the 
energy consumption of covered equipment 180 days after publication of 
this final rule in the Federal Register. The compliance dates for 
labeling requirements are aligned with the corresponding energy 
conservation standards compliance dates, i.e., June 2017 for the 
standards established by the June 2014 final rule that were not 
vacated, and January 2020 for the refrigeration system standards for 
unit coolers and low-temperature dedicated condensing units.
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    \3\ DOE anticipates adopting performance-based energy 
conservation standards for certain classes of refrigeration systems 
for walk-ins in a separate rulemaking--those standards would replace 
the standards vacated by the Fifth Circuit court order. See Docket 
No. EERE-2015-BT-STD-0016.
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    In addition to implementing the recommendations detailed in the 
Term Sheet developed as part of the ASRAC negotiated rulemaking 
meetings, this final rule fulfills DOE's obligation to periodically 
review its test procedures under 42 U.S.C. 6314(a). DOE also reviewed 
other aspects of the WICF test procedure and ultimately concluded that, 
with the exception of the amendments being made in this final rule, no 
other changes are needed at this point in time. DOE anticipates that 
its next evaluation of this test procedure (and the addressing of any 
remaining issues detailed in the Term Sheet that relate to the WICF 
test procedure) will occur in a manner consistent with this provision. 
(Term Sheet at EERE-2015-BT-STD-0016, No. 56, Recommendation #6)

II. Synopsis of the Final Rule

    In this final rule, DOE amends 10 CFR 431.304, ``Uniform test 
method for the measurement of energy consumption of walk-in coolers and 
walk-in freezers,'' and related certification, compliance, and 
enforcement provisions of 10 CFR part 429. The amendments 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 the following:
    (1) Adding definitions for the terms ``dedicated condensing unit,'' 
``outdoor dedicated condensing refrigeration system,'' ``indoor 
dedicated condensing refrigeration system,'' ``adaptive defrost,'' 
``process cooling,'' and ``refrigerated storage space.'' DOE also is 
adding definitions for ``dedicated condensing refrigeration system,'' 
``single-package dedicated system,'' ``matched condensing unit,'' 
``matched refrigeration system,'' and modifying the definition of 
``refrigeration system'' to complete a comprehensive structure for 
defining all relevant terms discussed in the test procedure.
    (2) Removing the method for calculating defrost energy and defrost 
heat load of a system with hot gas defrost and establish a method to 
test hot gas defrost refrigeration systems to obtain AWEF ratings 
equivalent to those of electric defrost refrigeration systems.
    (3) Establishing a regulatory approach for refrigeration systems 
with adaptive defrost and/or on-cycle variable-speed evaporator fan 
control that requires that these features be deactivated when such 
units are tested to demonstrate compliance with the standard, while 
allowing for representations of their improved performance when using 
these features.
    The second group of amendments 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 changes includes the 
following:
    (1) Re-organizing the test procedure provisions in 10 CFR 431.304 
to improve clarity, and correct typographical errors in the rule 
language.
    (2) Clarifying section 3.0 ``Additional Definitions'' in appendix A 
to subpart R of part 431.
    (3) 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.
    (4) 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).
    (5) Adding product specific enforcement provisions for walk-ins.
    (6) Adding labeling requirements for walk-in refrigeration systems, 
panels, and doors.

III. Discussion

    This final rule 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 
technical feedback on replacing the vacated standards, 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. DOE developed specific 
proposals to incorporate the Working Group recommendations into its 
test procedures, resulting in the August 2016 NOPR. 81 FR 54926. DOE 
received comments from a number of interested parties. A list of these 
parties is included in Table 3--Interested Parties Who Commented on the 
WICF NOPR. The comments received and DOE's decisions regarding 
finalization of the test procedure amendments are discussed in the 
sections that follow.

[[Page 95762]]



                           Table 3--Interested Parties Who Commented on the WICF NOPR
----------------------------------------------------------------------------------------------------------------
                                                                                            Comment No. (Docket
              Commenter                         Acronym                Affiliation            Reference) \1\
----------------------------------------------------------------------------------------------------------------
Air-Conditioning, Heating, and         AHRI....................  Trade Association......  11, 23
 Refrigeration Institute.
American Panel Corporation...........  APC, American Panel.....  Manufacturer...........  7, 23
Appliance Standards Awareness Project  ASAP and NEEA...........  Efficiency               19
 and Northwest Energy Efficiency                                  Organizations.
 Alliance.
Bally Refrigerated Boxes, Inc........  Bally...................  Manufacturer...........  22, 23
California Investor Owned Utilities..  CA IOUs.................  Utility Association....  21
CrownTonka...........................  CrownTonka..............  Manufacturer...........  23
Dow Chemical Company.................  Dow.....................  Component/Material       9
                                                                  Supplier.
Emerson Climate Technologies.........  Emerson.................  Manufacturer...........  *
EPS Industry Alliance................  EPS-IA..................  Trade Association......  12
Heat Controller Inc.\2\..............  Heat Controller.........  Manufacturer...........  23
Hussmann Corporation.................  Hussmann................  Manufacturer...........  20, 23
Imperial Brown Inc...................  IB......................  Manufacturer...........  23
KeepRite Refrigeration...............  KeepRite................  Manufacturer...........  17
KPS Global LLC.......................  KPS.....................  Manufacturer...........  8
Lennox International, Inc. and         Lennox..................  Manufacturer...........  13, 23
 Heatcraft Refrigeration Products,
 LLC.
Manitowoc Company....................  Manitowoc...............  Manufacturer...........  10
National Coil Company................  NCC.....................  Component/Material       16, 23
                                                                  Supplier.
North American Association of Food     NAFEM...................  Trade Association......  14
 Equipment Manufacturers.
Panasonic Corporation................  Panasonic...............  Manufacturer...........  *
Rheem Manufacturing Company and Heat   Rheem...................  Manufacturer...........  18, 23
 Transfer Products Group, LLC.
Ron Shebiu...........................  Shebiu..................  Individual.............  *
U.S. Department of Health and Human    DHHS OIG................  Federal Agency/          *
 Services, Office of Inspector                                    Association.
 General.
The Delfield Company.................  Delfield................  Manufacturer...........  *
Zero Zone, Inc.......................  Zero Zone...............  Manufacturer...........  15
----------------------------------------------------------------------------------------------------------------
Notes:
1. Comment number 23 indicates the party commented during the public meeting.
2. This commenter is listed as Roxanne Scott in the public meeting transcript.
* These commenters were present at the public meeting but did not make comments at the meeting or submit written
  comments.

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. 56, 
Recommendation #1); ``adaptive defrost'' (Term Sheet at EERE-2015-BT-
STD-0016, No. 56, Recommendation #2); and ``process cooling,'' 
``preparation room refrigeration,'' and ``storage space.'' (Term Sheet 
at EERE-2015-BT-STD-0016, No. 56, Recommendation #7) DOE sought to 
define these terms to more clearly identify the categories of equipment 
that are covered and to clarify the application of the test procedures 
and standards to these equipment. To this end, DOE proposed definitions 
for these terms along with several others, notably, 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.'' 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 proposed to 
modify the current definition of ``refrigeration system'' to align it 
more closely with the terminology being defined. See 81 FR at 54929-
54932. The following sections discuss the proposed definitions and 
comments received from stakeholders regarding the proposals. The 
precise text for the final definitions, which will all appear in 10 CFR 
431.302, is contained in the regulatory text appearing at the end of 
this document.
a. Dedicated Condensing Unit and Dedicated Condensing Refrigeration 
System
    DOE proposed to define the dedicated condensing equipment class to 
address three refrigeration system configurations--(1) a dedicated 
condensing unit; (2) a packaged dedicated system; and (3) a matched 
refrigeration system. DOE proposed 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 (Docket No. EERE-
2015-BT-STD-0016, DOE and Lennox, Public Meeting Transcript (October 
16, 2015), No. 63 at pp. 249-251), DOE proposed to include this 
configuration in the proposed definition. DOE also proposed 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 dedicated condensing system. 
Finally, DOE also proposed to treat as a dedicated condensing system 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 
when certifying compliance with the dedicated condensing standard, 
without having to distribute their condensing

[[Page 95763]]

units in commerce with one or more specific unit coolers. 81 FR at 
54929-54930.
    DOE's proposed definition for ``dedicated condensing unit'' 
reflected each of these elements. Under the proposed definition, such a 
unit would 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. The term ``factory-made'' was omitted from the proposed 
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. 
Id.
    Lennox, KeepRite, Rheem, ASAP and NEEA agreed with the proposed 
definition of ``dedicated condensing unit.'' (Lennox, No. 13 at p. 6; 
KeepRite, No. 17 at p. 1; Rheem, No. 18 at p. 2; ASAP and NEEA, No. 19 
at p. 1)
    DOE did not receive any opposing comments regarding its proposed 
definition for ``dedicated condensing unit.'' Accordingly, DOE is 
adopting this definition as proposed.
    Additionally, DOE proposed to define ``dedicated condensing 
refrigeration system'' as referring to a (a) dedicated condensing unit, 
(b) packaged dedicated system, or (c) matched refrigeration system. 81 
FR at 54930.
    ASAP and NEEA supported this proposed definition. (ASAP and NEEA, 
No. 19 at p. 1) Others, however, challenged the inclusion of packaged 
dedicated systems within the proposed definition (e.g., Rheem, No. 18 
at p. 1). Comments addressing packaged dedicated systems are addressed 
in section III.A.1.b, including DOE's conclusion that these systems, 
which are being renamed as ``single-package dedicated systems,'' fall 
within the dedicated condensing refrigeration system class. In 
finalizing this definition, DOE made no other changes.
b. Single-package Dedicated System
    DOE proposed 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. Walk-ins that use such a system include a 
hole in one of the walls or ceiling of the insulated enclosure into 
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 proposed 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 ``forced-circulation free-delivery unit cooler (unit 
cooler)'' from AHRI-1250-2009. Consequently, DOE proposed 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 did not include the 
term ``factory-made'' in the proposed definition for the same reasons 
that the term was omitted from the ``dedicated condensing unit'' 
definition, as explained earlier. See 81 FR at 54930-54931.
    Rheem and American Panel commented that a ``packaged dedicated 
system'' leaves the factory as a complete system, with only power 
hookup and air inlet and outlet to be configured on-site. Consequently, 
they suggested adding the clause ``factory-assembled'' to the 
definition for a packaged dedicated system. (Rheem, Public Meeting 
Transcript, No. 23 at pp. 19-21; American Panel, Public Meeting 
Transcript, No. 23 at p. 22)
    Public meeting and written comments submitted to DOE from several 
manufacturers and AHRI indicated that there is no viable test procedure 
for packaged systems. Commenters requested that DOE clarify how to test 
and rate this equipment. The commenters pointed out the necessity of 
disassembling the unit to install mass flow meters and to install the 
evaporator and condenser sections in separate environmental chambers 
when testing packaged systems under the current test procedure. The 
commenters suggested that packaged systems should be exempt from the 
scope of the WICF standards because there is no test procedure for 
them. Further, Rheem, Manitowoc, and AHRI stated that it was their 
understanding from the ASRAC Working Group meeting that packaged 
systems do not fall within the definition of dedicated condensing unit, 
and are not subject to the dedicating condensing class standards. 
(Rheem, Public Meeting Transcript, No. 23 at pp. 16-17; Lennox, Public 
Meeting Transcript, No. 23 at p. 18; Manitowoc, No. 10 at pp. 3-4; 
Rheem, No. 18 at pp. 1-2; Hussmann, No. 20 at p. 1; AHRI, No. 11 at p. 
6) The CA IOUs disagreed with manufacturers' claims that AHRI 1250-2009 
is not an appropriate test procedure for packaged dedicated system WICF 
systems, noting that AHRI 1250-2009 specifically cites ``integrated 
single package refrigeration units'' as part of its scope. In addition, 
the CA IOUs recommended that DOE change the term, ``packaged dedicated 
system,'' to ``single-package dedicated system,'' or ``self-contained 
units''. (CA IOUs, No. 21 at pp. 2-3)
    DOE notes that the definition for ``refrigeration system'' was 
established in the context of walk-ins to include ``(1) [a] packaged 
dedicated system where the unit cooler and condensing unit are 
integrated into a single piece of equipment'' in the April 15, 2011 
final rule establishing test procedures for WICFs. 76 FR at 21605. In 
DOE's view, packaged systems are walk-in refrigeration systems and are 
subject to the applicable prescriptive standards established by 
Congress through EISA 2007 along with the performance standards that 
DOE prescribes for these systems.\4\ DOE notes that this view is not 
restricted to DOE, as two manufacturers confirmed that a single-package 
refrigeration system is a type of dedicated condensing system on two 
occasions during the Working Group meetings. (Docket No. EERE-2015-BT-
STD-0016; Lennox, Public Meeting Transcript (October 16, 2015), No. 63 
at pp. 249-251; Rheem, Public Meeting Transcript (December 3, 2015), 
No. 57 at p. 157) Thus, DOE does not support the position that these 
systems are not considered to be WICF refrigeration systems subject to 
WICF standards, including the prescriptive standards mandated by EPCA.
---------------------------------------------------------------------------

    \4\ With respect to these prescriptive requirements, DOE notes 
that relevant statutory provision does not indicate that the 
promulgation of performance standards supplants those standards that 
Congress already mandated through its enactment of EISA 2007. 
Accordingly, because there is no explicit authority in this instance 
for DOE to override a statutorily-prescribed standard, the initial 
design requirements established by Congress continue to apply. See 
42 U.S.C. 6313(f)(1)-(5) (detailing prescriptive design requirements 
for certain walk-in components and the process by which DOE must 
prescribe separate walk-in performance-based standards).
---------------------------------------------------------------------------

    DOE notes that section 2.1 of AHRI 1250-2009 describes the scope of 
this testing standard as applying ``to mechanical refrigeration 
equipment consisting of an integrated single package refrigeration 
unit, or separate

[[Page 95764]]

unit cooler and condensing unit sections, where the condensing section 
can be located either outdoor or indoor.'' The testing standard further 
explains that these controls ``may be integral, or can be provided by a 
separate party as long as performance is tested and certified with the 
listed mechanical equipment accordingly.'' AHRI 1250-2009, section 2.1.
    Further, the possibility that the equipment has one or more design 
characteristics that prevent testing according to the prescribed test 
procedures does not exempt manufacturers from coverage under the 
standards. DOE has established the waiver process to address such 
circumstances. See 10 CFR 431.401. While DOE acknowledges stakeholders' 
comments that the configurations of certain models of refrigeration 
systems may prevent testing according to the prescribed test 
procedures, manufacturers may avail themselves of the procedures under 
10 CFR 431.401 to obtain a waiver that would enable them to test this 
equipment using an alternative test procedure. This process requires, 
among other things, that manufacturers include in a petition for waiver 
any alternate test procedures known to evaluate the performance of the 
equipment in a manner representative of the energy consumption 
characteristics of the basic model (10 CFR 431.401(b)(1)(iii)). The 
filing of the waiver does not exempt a manufacturer from compliance 
with standards or certification requirements. (10 CFR 431.401(a)(2))
    In response to comments that ``factory-assembled'' should be part 
of the definition for single-package dedicated system, DOE notes that 
DOE omitted this clause from several of the definitions to avoid 
implying that a piece of equipment that otherwise meets the definition 
does not meet it if part of the assembly occurs outside a factory. An 
example of this is a refrigeration system that is shipped from the 
factory in multiple boxes and then assembled in the field. DOE agrees 
that it is likely that nearly all such single-package systems are fully 
assembled in a factory. However, DOE believes that any such 
refrigeration system that is not fully assembled in a factory, for 
example, by having the condenser fan assembly mounted to the unit in 
the field, should still be considered a single-package refrigeration 
system and regulated under the relevant requirements under the 
dedicated condensing refrigeration system equipment class. Hence, DOE 
is not adopting the suggested change.
    Regarding the CA IOUs' suggestion that the term ``packaged 
dedicated system'' be changed to ``single-package dedicated system'' 
for purposes of DOE's regulatory definitions, DOE surveyed manufacturer 
literature, and found that packaged dedicated systems are marketed as 
``Packaged Systems'' or ``Packaged Refrigeration Systems''. (Master-
Bilt product specification sheet, No. 32 at p. 7; Lennox product 
catalog, No. 31 at p. 190; and Rheem product specification, No. 30) 
However, DOE believes that the suggested use of the term ``single-
package dedicated refrigeration system'' would provide further clarity, 
indicating more precisely what this equipment is, and would be 
consistent with the approach already used for air-conditioning units. 
This consistency is significant since walk-in refrigeration systems are 
generally very similar in classification and operation to air 
conditioning systems. Accordingly, the use of the term ``single-
package'' in the walk-in context would help clarify the categorization 
of this equipment and reduce the potential for industry and market 
confusion. To reduce the risk of confusion, DOE is adopting the 
suggested change from the CA-IOUs and is renaming the ``packaged 
dedicated systems'' category as ``single-package dedicated 
refrigeration systems.''
c. Matched Condensing Unit and Matched Refrigeration System
    DOE proposed to 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.'' 
DOE also proposed 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.'' 81 FR at 54931.
    KeepRite supported the proposed definitions for matched condensing 
unit and matched refrigeration system. (KeepRite, No. 17 at p. 1) DOE 
did not receive any other comments regarding this definition and 
therefore is adopting it as proposed.
d. Outdoor and Indoor Dedicated Condensing Refrigeration Systems
    DOE has established separate equipment classes for indoor and 
outdoor dedicated condensing refrigeration systems. See, e.g. 10 CFR 
431.306(e) (breaking out dedicated condensing refrigeration system 
classes based on whether they are indoor/outdoor units and capacity). 
DOE proposed to define an ``outdoor dedicated condensing refrigeration 
system'' as a system that is encased and capable of maintaining a net 
capacity at the 35 [deg]F outdoor temperature condition that is no less 
than 65 percent of the net capacity measured at the 95 [deg]F outdoor 
temperature condition for a period of no less than one hour. See 81 FR 
at 54931. This approach differed from the WICF Term Sheet definition, 
which focused on a given unit's ability to operate in a 35 [deg]F 
ambient condition--i.e., the unit ``is 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 
[deg]F outdoor temperature condition.'' (Term Sheet at EERE-2015-BT-
STD-0016, No. 56, Recommendation #1) DOE explained that it modified 
this part of the definition to clarify the meaning of the phrases 
``maintaining the . . . box conditions'' and ``extended period.'' See 
81 FR at 54931. DOE also proposed to define an ``indoor dedicated 
condensing refrigeration system'' as a system that is not an outdoor 
dedicated refrigeration system. See 81 FR at 54932.
    Rheem and Lennox commented that 65 percent of net capacity at 95 
[deg]F would not be an effective metric for differentiating models. 
(Rheem, No. 18 at p. 2; Lennox, No. 13 at p. 6) Rheem further indicated 
that box load and condensing unit capacity are not the same and that as 
ambient temperature is lowered, the condensing unit capacity increases, 
which means overall capacity will be higher at a 65 [deg]F ambient 
temperature than at a 95 [deg]F ambient temperature. (Rheem, Public 
Meeting Transcript, No. 23 at pp. 24-25) Manitowoc, Rheem, Lennox, 
KeepRite and AHRI also suggested that the definition should reference 
existing test conditions from the test procedure rather than the 
proposed conditions--the use of which, some manufacturers suggested, 
has not been supported with substantiating data in the record. 
(Manitowoc, No. 10 at p. 4; Rheem, No. 18 at p. 2; Lennox, No. 13 at p. 
6; KeepRite, No. 17 at p. 1; AHRI, No. 11 at p. 7)
    AHRI, Manitowoc, Lennox, and Rheem supported the inclusion of ``no 
less than one hour'' in the proposed ``outdoor dedicated condensing 
refrigeration system'' definition. (AHRI, No. 11 at p. 7; Manitowoc, 
No. 10 at p. 4; Lennox, No. 13 at p. 6; Rheem, No. 18 at p. 2)
    Finally, Manitowoc, Rheem, and AHRI also requested that the term 
``packaged dedicated systems'' be removed from both the proposed 
definition and the test procedure. (Manitowoc, No. 10 at p. 4; Rheem, 
No. 18 at p. 2; AHRI, No. 11 at p. 7)

[[Page 95765]]

    As addressed in section III.A.1.b, DOE considers the renamed 
``single-package dedicated systems'' to be part of the dedicated 
condensing refrigeration system class, and does not agree with these 
commenters' suggestion to remove this category of equipment from the 
``outdoor'' definition, since such units can be designed for outdoor 
use. Other than the name change for this equipment, which was discussed 
earlier in section III.A.1.b, the ``outdoor dedicated condensing 
refrigeration system'' definition adopted in this final rule retains 
this term.
    NCC commented that some condensing units could be used with both 
outdoor and indoor applications. (NCC, Public Meeting Transcript, No. 
23 at p. 26) Rheem commented that, because the outdoor requirements are 
more demanding, units that have passed outdoor certification testing 
should be able to apply for indoor certification without retesting. 
(Rheem, Public Meeting Transcript, No. 23 at p. 27) Heat Controller 
noted that often in the field a unit that is marketed and sold as an 
indoor unit will be fitted with an aftermarket weather covering and 
installed in an outdoor environment by a contractor. Heat Controller 
also commented that the manufacturer typically provides performance 
characteristics for its units at a range of ambient temperatures and 
installers will use these data to verify the unit's performance in an 
outdoor environment. (Heat Controller, Public Meeting Transcript, No. 
23 at pp. 28-30) Rheem expressed concern about how DOE would enforce 
the regulation in this scenario, where a unit labeled and certified for 
indoor use is installed in an outdoor environment. (Rheem, Public 
Meeting Transcript, No. 23 at pp. 30-31)
    ASAP and NEEA noted that outdoor units have certain design options 
(e.g., floating head pressure control, variable-speed condenser fans, 
ambient sub-cooling) that allow them to perform more efficiently in 
outdoor environments. They argued that a test procedure that would 
permit a ``loophole'' allowing units designed and tested for indoor 
conditions to be used for outdoor applications would result in lost 
energy savings. ASAP and NEEA advocated creating a definition that 
prevents these ``loopholes''. (ASAP and NEEA, No. 19 at p. 2)
    Hussmann noted that, given that some condensing units already in 
the market are sold for outdoor applications without an enclosure, the 
term ``encased'' should be removed from the proposed ``outdoor 
dedicated condensing refrigeration system'' definition. (Hussmann, No. 
20 at p. 2) However, in light of the comments discussed above 
indicating that indoor units are often installed in outdoor 
applications, it is not clear whether this comment suggests that units 
designed for outdoor use do not have enclosures or whether it is 
confirming that indoor units are installed outdoors.
    The CA IOUs commented that indoor units should be labeled for 
``indoor use only'' to help contractors, building inspectors, and 
building owners verify that the equipment complies with standards. The 
CA IOUs also explained that since indoor units have less stringent AWEF 
requirements and are not designed to adjust to the wide fluctuations in 
outdoor temperature, they are generally less costly to purchase. They 
speculated that this price difference could lead to increased energy 
consumption, incentivizing customers to buy less efficient, more 
affordable indoor units for outdoor applications. (CA IOUs, No. 21 at 
p. 4) ASAP and NEEA also encouraged DOE to consider whether labeling 
requirements and/or marketing restrictions could help prevent equipment 
certified for indoor use from being used in outdoor applications. (ASAP 
and NEEA, No. 19 at p. 2)
    DOE notes that the industry comments recommended changing the 
definition to more closely adhere to the wording provided in the Term 
Sheet, particularly, ``maintaining box conditions'' with respect to the 
interior of the walk-in enclosure. (KeepRite, No. 17 at p. 1; 
Manitowoc, No. 10 at p. 4; AHRI, No. 11 at pp. 6-7; Lennox, No. 13 at 
p. 6; Rheem, No. 18 at p. 2) However, the commenters were unable to 
offer any clarity in applying the phrase ``maintaining box 
temperature''--a central concern raised in DOE's request for comments. 
DOE's proposed definition attempted to provide a measurable criterion 
to clarify what maintaining box conditions entails. Specifically, DOE 
recognized that during a WICF refrigeration system test, the test room 
conditioning system would maintain the box conditions if the unit under 
test did not. 81 FR at 54931. DOE considered what it would mean for a 
refrigeration system to be maintaining box conditions if it is 
refrigerating a walk-in under the specified ambient temperature (35 
[deg]F), and concluded that the ability to maintain box conditions 
would depend on the load on the refrigeration system. If the thermal 
load exceeds the capacity of the unit, the unit will not maintain box 
conditions. DOE considered that the test procedure temperatures and 
specified loads in AHRI 1250-2009 might be a reasonable reference 
regarding the typical box thermal load. DOE notes that AHRI developed 
the industry test procedure, AHRI 1250, in 2009, with input from a 
working group consisting of industry and other stakeholders. Among 
other elements of the test procedure, the box load equations were 
developed through working group consensus and based on a comprehensive 
load analysis incorporating all key elements of the expected heat load. 
In developing the equations, that working group assumed a load of 70% 
of the capacity at 95 [deg]F for coolers, and 80% of the capacity at 95 
[deg]F for freezers based on industry input. DOE used the box load 
equations in AHRI 1250-2009 (Equation 3 for medium-temperature and 
Equation 7 for low-temperature) in developing the proposed outdoor unit 
definition. DOE notes that commenters asserted that DOE provided no 
data, but the commenters did not dispute the suggestion that AHRI 1250-
2009 might provide a reasonable indication of box loads, nor did they 
provide any alternative suggestion regarding what the box load might be 
at 35 [deg]F. Hence, DOE believes that its proposed approach is 
appropriate to clarify the meaning of maintaining the box temperature 
and does not require additional data to substantiate it.
    In response to Rheem's observation that the box load and the 
condensing unit capacities are not the same, DOE agrees. DOE considered 
that the box load equations specified in the industry standard AHRI 
1250-2009 test procedure, which are the basis of the AWEF efficiency 
metric, would be a good representation of the relationship between the 
box load and the net capacity (in 95 [deg]F test conditions) of a 
properly-sized condensing unit. DOE calculated the box load for a walk-
in located in 35 [deg]F ambient outdoor temperature conditions by using 
these equations specified in AHRI 1250-2009. For both medium-
temperature and low-temperature units, the calculated box load is 
approximately 65% of the net capacity measured in 95 ;[deg]F 
conditions. As mentioned above, in order to ``maintain box 
conditions'', the capacity must be equal to the box load--hence, DOE 
proposed that maintaining the box load in 35 [deg]F ambient conditions 
is equivalent to having a capacity in this ambient temperature that is 
65% of the capacity in 95 [deg]F conditions. Hence, DOE believes that 
the proposed definition is equivalent to both the Term Sheet 
recommendation and addressed comments that the definition for indoor/
outdoor dedicated condensing unit

[[Page 95766]]

should include language to ``maintain box conditions.''
    However, given the comments provided on the proposed definition, 
DOE is concerned that the definition (as proposed) would not be 
sufficient to clearly distinguish outdoor units from indoor units. DOE 
agrees that unit capacity at 35 [deg]F may exceed the capacity at 95 
[deg]F. However, if this is true for an indoor unit, the indoor unit 
would be able to maintain box conditions in a 35 [deg]F ambient 
temperature, and in this case, the ability to ``maintain box 
conditions'' would not distinguish outdoor units from indoor units--
which would undercut its value as a means of distinguishing outdoor 
condensing unit from an indoor unit. Regarding Hussmann's comment 
regarding enclosures, DOE is not certain whether it meant that true 
outdoor units are sometimes sold without enclosures. DOE's research has 
not identified any condensing units marketed for outdoor use that do 
not have enclosures, but agrees that it is possible for a system 
without an enclosure to be marketed for outdoor use. In recognition of 
this possibility, DOE's finalized definition does not include this 
requirement.
    Given all of these considerations, DOE is unconvinced that the 
proposed definition, or the alternatives recommended by commenters, 
would be sufficient to clearly distinguish outdoor units from indoor 
units. Thus, DOE is taking a third approach in this final rule, 
allowing the designation of indoor or outdoor to be provided by the 
manufacturer. However, in order to help ensure that dedicated 
condensing systems are installed and used appropriately, DOE is 
adopting the CA IOUs recommendation and will require that dedicated 
condensing units not designated for outdoor use will be labeled 
``indoor use only''. While DOE does not believe, as suggested by the CA 
IOUs, that the indoor system standard is less stringent than the 
outdoor system standard (see further discussion regarding this issue 
below), DOE does have concerns that refrigeration systems that are not 
designed for outdoor use may not operate properly when installed 
outdoors, and thus use more energy.
    The ``indoor use only'' label will help prevent the use of indoor 
units in outdoor applications, for which they are not suited. Further, 
DOE will allow a manufacturer to designate a unit for both outdoor and 
indoor use, thus acknowledging that condensing units suitable for 
outdoor units may be acceptable for use in indoor applications, as 
indicated by Rheem. (Rheem, Public Meeting Transcript, No. 23 at p. 27)
    Accordingly, DOE is finalizing the definition of an outdoor 
dedicated condensing refrigeration system as a dedicated condensing 
refrigeration system designated by the manufacturer for outdoor use and 
is also finalizing the definition of an indoor dedicated condensing 
refrigeration system as a dedicated condensing refrigeration system 
designated by the manufacturer for indoor use or for which there is no 
designation regarding the use location.
    DOE notes that ``designated'' in these definitions means any form 
of representation that the system may be used in the given location--
this includes representations made in brochures, online product 
information, technical bulletins, installation instructions, labels, 
and other related materials. DOE notes that a dedicated condensing 
refrigeration system may be both an outdoor system and an indoor system 
according to the DOE definitions--but system cannot avoid 
classification by having no designation.
    Regarding Rheem's comment that any outdoor dedicated condensing 
unit should also be allowed to be certified as an indoor dedicated 
condensing unit without additional testing, DOE believes that outdoor 
systems should be allowed to be sold as indoor systems if they comply 
with both the indoor and outdoor standards. A manufacturer choosing 
this approach would need to certify the system both as an indoor and as 
an outdoor system. It would also need to test that system at different 
requisite conditions related to outdoor and indoor use in accordance 
with the applicable test procedure provisions--specifically, tests for 
an outdoor unit are conducted at 95 [deg]F, 59 [deg]F, and 35 [deg]F 
outdoor temperatures, while the active mode (i.e., while the compressor 
is operating) test for an indoor unit is conducted in a 90 [deg]F 
environment. (See, e.g., Table 3 of AHRI-1250-2009 for test conditions 
for indoor matched-pair dedicated condensing medium-temperature units 
and Table 4 for outdoor indoor matched-pair dedicated condensing 
medium-temperature units.) DOE notes that the higher AWEF level and the 
typically more complicated design of outdoor units (i.e., they are 
designed with provisions to maintain elevated condensing temperature 
for operating in cooler outdoor temperatures) do not necessarily mean 
that the outdoor standard is more stringent. The outdoor AWEF is higher 
in part because it is calculated on the basis of many hours of 
operation in cool outdoor ambient temperatures. Consequently, this fact 
indicates that a given basic model's compliance with an outdoor 
dedicated condensing system standard level does not imply compliance 
with the corresponding indoor standard--thereby undercutting Rheem's 
implied contention that a compliant outdoor system would always comply 
with the applicable indoor standard when tested using the indoor test. 
Generally, equipment meeting the definition of multiple equipment 
classes when operated would have to be tested and certified as each of 
these equipment classes to demonstrate compliance with DOE's energy 
conservation standards. Hence, in the case of outdoor dedicated 
condensing units that also meet the indoor definition (because they are 
also designated for indoor use), to ensure that no potential loopholes 
exist with outdoor units, compliance with both the outdoor and indoor 
standard must be adequately demonstrated by testing in accordance with 
the applicable test procedure (and sampling plan) or by applying an 
AEDM that meets DOE's regulatory requirements.
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.'' DOE proposed to drop the term ``multiplex condensing'' and 
rename this class of equipment as ``unit coolers'' (i.e., ``UC''), in 
order to align the term with this equipment's actual use. DOE also 
proposed to define unit coolers as ``an assembly, including the 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.'' 81 FR at 54954. This definition 
intentionally omits the term ``factory-made'' to avoid suggesting that 
an assembly that is assembled from its subcomponents after shipment 
from the factory is not a unit cooler (and thus not covered by DOE's 
regulations).
    Lennox, KeepRite, Rheem, ASAP and NEEA supported the proposed 
definition. (Lennox, No. 13 at p. 7; KeepRite, No. 17 at p. 1; Rheem, 
Public Meeting Transcript, No. 23 at p. 33; Rheem, No. 18 at p. 2; ASAP 
and NEEA, No. 19 at p. 1) Hussmann commented that the proposed 
definition could be applied to a condenser, if, the phrase 
``transferred from air to refrigerant'' is interpreted as potentially 
referring to either heating or cooling the air. (Hussmann, Public 
Meeting Transcript, No. 23 at pp. 32-33)

[[Page 95767]]

    In response to Hussmann's concern, DOE is modifying its proposal by 
adding ``thus cooling the air'' to the definition of unit cooler to 
clarify the direction of heat transfer. DOE believes this clarification 
will exclude condenser applications from the definition, since they 
heat rather than cool the air that passes through them. Accordingly, 
the definition for unit cooler refers to ``an assembly, including means 
for forced air circulation and elements by which heat is transferred 
from air to refrigerant, thus cooling the air, without any element 
external to the cooler imposing air resistance.''
f. Refrigeration System
    DOE proposed defining a ``refrigeration system'' 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.'' 81 FR at 54932.
    Rheem, Manitowoc, and KeepRite commented that the use of ``or'' 
between proposed clauses (1) and (2) in the definition would imply that 
a unit cooler would be considered a full refrigeration system, while, 
in reality, a unit cooler must be matched with a condensing unit to 
function as a full refrigeration system. Manitowoc and KeepRite 
recommended replacing ``or'' with ``and'' in the proposed definition. 
(Rheem, Public Meeting Transcript, No. 23 at pp. 34-35; Manitowoc, No. 
10 at p. 4; KeepRite, No. 17 at p. 2)
    DOE initially defined ``refrigeration system'' to set out the scope 
of coverage of this equipment in the April 2011 test procedure final 
rule for walk-ins. 76 FR at 21596-21597. However, DOE's test procedure 
for walk-in refrigeration systems has since been adjusted to permit 
manufacturers to certify compliance on a component basis, i.e., 
manufacturers may separately certify their condensing units and unit 
coolers, if their equipment is distributed in commerce on this basis. 
The ``refrigeration system'' definition was never intended to be a 
technical term that implied that the defined item included a complete 
refrigeration circuit, including the compressor, condenser, expansion 
device, and evaporator.
    DOE notes that if the ``or'' is replaced by ``and'' as suggested in 
the written comments, the scope of coverage would be reduced to only 
pairs including a dedicated condensing system combined with a unit 
cooler. However, as mentioned earlier in this discussion, by defining 
this term, DOE seeks to clearly set out the scope of regulatory 
coverage for this equipment, which could extend to an individual unit 
cooler or an individual condensing unit. Therefore, consistent with 
this approach, DOE is adopting the proposed definition in this rule.
g. Adaptive Defrost
    Consistent with the Term Sheet, DOE proposed 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 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 81 FR at 54932-54934.
    KeepRite and Rheem supported the proposed definition. (KeepRite, 
No. 17 at p. 7; Rheem, No. 18 at p. 3) Lennox agreed with DOE's 
proposed definition but noted that the proposed definition does not 
specifically indicate the unit construction (e.g., presence of a 
defrost control) that must be in place to receive the credit. As a 
result, Lennox expressed concern that the credit may be applied to 
units that are not able to achieve the represented efficiency level and 
whose unit rating cannot be verified because adaptive defrost 
construction is not physically installed on the unit. Therefore, Lennox 
recommended revising the language of the adaptive defrost definition to 
indicate that representation of energy use improvements associated with 
adaptive defrost can only be applied to equipment that has adaptive 
defrost already included with the unit from the factory. (Lennox, No. 
13 at p. 7)
    As DOE noted in the August 2016 NOPR, this proposed definition is 
consistent with the Working Group's agreement 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. As indicated in the NOPR, the Working Group 
discussed this topic extensively. (See, e.g., manufacturer discussion 
expressing 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--
Docket No. EERE-2015-BT-STD-0016; Lennox, Public Meeting Transcript 
(September 11, 2015), No. 61 at p. 87; Lennox and Rheem, Public Meeting 
Transcript (September 30, 2015), No. 67 at pp. 138-144.) After settling 
on the certification approach for adaptive defrost, 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. 81 FR at 54933. DOE agrees with 
Lennox's assertion that representation of energy use improvement 
associated with adaptive defrost should be allowed only for units that 
actually have the technology installed on the unit. The requirement 
that the manufacturer certify to DOE the improved AWEF of such an 
adaptive defrost model suggests that these models are manufactured with 
adaptive defrost controls and are shipped from the factory with such 
controls already installed, rather than being an option installed after 
shipping. For this reason, DOE is including the phrase ``factory-
installed'' in the definition to help ensure that those models with 
improved AWEF representations all have adaptive defrost technology 
installed. Thus, DOE is modifying the definition consistent with this 
approach by defining adaptive defrost as referring to a factory-
installed defrost control system that reduces defrost frequency by 
initiating defrosts or adjusting the number of defrosts per day in 
response to operating conditions rather than initiating defrost 
strictly based on compressor run time or clock time.
h. Process Cooling
Background
    EPCA defines a walk-in as ``an enclosed storage space,'' that can 
be walked into, which has a total area of less than 3,000 square feet, 
but does 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. DOE has 
discussed the scope of this definition throughout its rulemakings to 
develop test procedures and energy conservation standards for walk-
ins--most recently, the August 2016 NOPR addressed whether the scope 
extends to process cooling equipment such as blast chillers and blast 
freezers that can be walked into. 81 FR at 54934-54936.

[[Page 95768]]

    In the August 2016 NOPR, DOE described the background leading to 
the proposal of a definition for walk-in process cooling refrigeration 
equipment. 81 FR at 54934. As described in that document, interested 
parties requested that DOE clarify the applicability of standards to 
this equipment as part of the initial standards rulemaking that DOE 
conducted for developing walk-in performance-based standards. The 
discussions in that prior rulemaking led DOE to conclude in the June 
2014 final rule that equipment used solely for process cooling would 
not be required to meet the walk-in standards, but that products used 
for ``both process and storage'' applications could not categorically 
be excluded from coverage. 79 FR at 32068. The August 2016 NOPR noted 
also the October 2014 meeting to clarify aspects of the test procedure, 
during which 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. 23, 61- 63) The question of process cooling 
arose again during the Walk-in Working Group meetings, during which 
meeting participants asked DOE to add definitions to clarify the 
meaning of process cooling (See Docket No. EERE-2015-BT-STD-0016: 
Manufacturer-submitted material, No. 6 at p. 2; Lennox, Public Meeting 
Transcript (August 27, 2015), No. 15 at pp. 96-97; AHRI, Public Meeting 
Transcript (December 15, 2015), No. 60 at pp. 141-142; and Term Sheet, 
No. 56, Recommendation #7)
    The August 2016 NOPR explained that DOE considered process cooling 
more carefully in light of the Working Group's request to develop 
clarifying definitions and concluded that its initial statements in the 
2014 final rule that blast chillers and blast freezers are not walk-ins 
were in error. DOE observed that, although the EPCA definition refers 
to a walk-in as an ``enclosed storage space'', there is no clarity 
regarding the meaning of ``storage'' or the minimum duration for an 
item to remain in an enclosure to be considered in ``storage''. Hence, 
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, subject to standards. 81 FR at 54934.
    The August 2016 NOPR went on to discuss DOE's proposal for defining 
a walk-in process cooling refrigeration system. DOE specifically 
developed this proposal, acknowledging the different energy use 
characteristics of process cooling refrigeration systems as well as 
their different equipment attributes (as compared to other walk-in 
refrigeration systems), to exclude such equipment from being subject to 
walk-in refrigeration system performance standards. (Because DOE now 
regards process cooling systems as ``walk-in coolers or freezers,'' 
they will be subject to the statutory design requirements.) DOE 
proposed defining a ``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.'' 81 FR at 54936. The 
proposed definition specified that a process cooling refrigeration 
system must either be (1) 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) 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 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. 81 FR at 
54954.
    DOE noted in the NOPR that it proposed to consider process cooling 
refrigerated insulated enclosures to be walk-ins that are subject to 
the prescriptive statutory requirements for walk-ins. DOE also notes 
that its discussion and proposals focused on process cooling 
refrigeration systems rather than the panels and doors that make up the 
insulated enclosure. Hence, DOE intended the exclusions associated with 
the proposals to apply only to refrigeration systems that meet the 
process cooling definition, and that the exclusions would be associated 
with walk-in refrigeration system performance standards. Id. at 54934-
54936. DOE also provided a table in the public meeting presentation to 
clarify its interpretation of the applicability of walk-in standards to 
different components of process cooling equipment. (Public Meeting 
Presentation, No. 3 at p. 30) This table indicated that the proposed 
exclusion for process cooling refrigeration systems would apply to, 
among other things, dedicated condensing units that are exclusively 
distributed in commerce with unit coolers meeting the unit cooler 
portion of the process cooling definition. DOE notes that this 
exclusion was not explicit in the proposed definition and is clarifying 
it to explicitly include such dedicated condensing units in the 
definition.
Importance of Coverage for Process Cooling Equipment
    DOE explained in the August 2016 NOPR the reasons it believed that 
walk-in process cooling equipment should be considered to be covered 
under the walk-in definition. See 81 FR 54934-54936. DOE discusses 
comments responding to this position, and DOE's responses to them. DOE 
ultimately concludes that this equipment should be covered as walk-in 
equipment. In DOE's view, covering this equipment as a class of walk-in 
is important in furthering DOE's goals for reducing and limiting energy 
use because this equipment represents a growing sector of the 
refrigeration industry. Process cooling equipment emerged on the market 
relatively recently in 1990 to serve a range of food sales and service 
applications. (Master-Bilt Blast Chillers, No. 25 at pp. 2, 3, 10) The 
global blast chiller market is expected to grow by an estimated 4.62% 
per year from 2016-2020 and North America is expected to remain a 
dominant portion of this market.\5\ This growth is the expected result 
of increased demand in the food service industry (e.g., restaurants, 
bakeries, catering) and meat processing industry and growth in the 
frozen food market.\6\ Hence, DOE believes that there will be a robust 
market for process cooling equipment to serve this growing market need, 
and that there is a large potential growth in energy use associated 
with this market.
---------------------------------------------------------------------------

    \5\ Infinity Research Limited (Technavio), Global Commercial 
Blast Chillers Market 2016-2020; Published November 2016; Accessed 
November 2016 at www.technavio.com/report/global-miscellaneous-global-commercial-blast-chillers-market-2016-2020.
    \6\ Hexa Research, Frozen Food Market Analysis By Product (Ready 
Meals, Meat, Seafood, Fruits & Vegetables, Potatoes, Soup) And 
Segment Forecasts To 2020; Published November 2014; Accessed 
November 2016 at www.hexaresearch.com/research-report/frozen-food-industry/.
---------------------------------------------------------------------------

Process Cooling Equipment Status as Walk-In Equipment
    Many commenters argued that process cooling equipment does not fall 
under the walk-in definition. Several of these comments argued that 
food is not ``stored'' in this equipment and/or the temperature within 
it is not ``held'' at a given temperature for storage purposes.

[[Page 95769]]

AHRI, Manitowoc, KeepRite, Rheem, and Hussmann stated that process 
refrigeration systems are not used for storage and therefore do not 
satisfy the statutory definition for a walk-in as an ``enclosed storage 
space.'' (AHRI, No. 11 at p. 5; Manitowoc, No. 10 at p. 3; KeepRite, 
No. 17 at p. 2; Rheem, No. 18 at p. 3; Hussmann, No. 20 at p. 4) 
Similarly, Zero Zone argued that the purpose of process refrigeration 
systems conflicts with the dictionary definition of ``storage.'' (Zero 
Zone, No. 15 at p. 1) American Panel also explained that product could 
be dehydrated and damaged if left in the process cooling equipment for 
an extended period of time. In its view, this fact should disqualify 
process cooling equipment from being considered as storage space--one 
of the key elements of the walk-in definition. (American Panel, No. 7 
at p. 1) AHRI added that the Term Sheet included the recommendation 
that DOE define process cooling for the purpose of clarifying that 
process cooling equipment are not included in the scope of WICFs. 
(AHRI, No. 11 at p. 5)
    EPCA defines ``walk-in cooler'' and ``walk-in freezer'' as 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. 
(42 U.S.C. 6311(20)(A)) While EPCA does not define the component terms 
``storage'' or ``can be walked into'' used in the walk-in definition, 
it does expressly exclude certain equipment from the definition (i.e. 
equipment designed and marketed exclusively for medical, scientific, or 
research purposes). (42 U.S.C. 6311(20)(B))
    Commenters appear to be arguing that a unit must hold contents for 
some minimum time-period to meet the ``storage'' element of the 
definition but offered no suggested time period for DOE to consider in 
applying this definition. The statutory definition of ``walk-in cooler 
and walk-in freezer'' does not indicate a specific timing requirement 
or provide further information about when the use of a space 
constitutes storage. Further, although dictionary definitions of 
``storage'' indicate that the contents be kept for some period of time, 
no specific period is provided.\7\ As noted in the NOPR, the Working 
Group recommended that DOE define ``storage space''--which suggests 
that the term is ambiguous. 81 FR at 54934. DOE acknowledges that the 
role of a process cooler or freezer is to chill food rapidly (to 
approach the temperature of the cooler or freezer, respectively), and 
one could interpret ``storage space'' to mean a space the primary 
purpose of which is storage. However, that understanding of ``storage 
space'' would be incongruous in the context of walk-in coolers and 
freezers. The purpose of such equipment is not simply storage per se, 
like a warehouse; it is storage at cold temperatures. Storage at cold 
temperatures necessarily encompasses chilling the items to be stored 
until they reach the temperature of the storage space, because items 
are rarely at exactly the storage temperature when they arrive to a 
walk-in cooler or freezer. A process cooler or freezer chills items 
more quickly than many walk-ins, but DOE regards that difference as 
being a difference in degree, not a fundamental difference in kind that 
makes a process cooler ``chilling'' equipment and not ``storage'' 
equipment.
---------------------------------------------------------------------------

    \7\ ``Storage: 1. the act of storing; state or fact of being 
stored. 2. capacity or space for storing. 3. a place, as a room or 
building, for storing. 4. Computers. memory (def 11). 5. the price 
charged for storing goods.'' en.oxforddictionaries.com/definition/storage. ``Storage: 1a: space or a place for storing b: an amount 
stored c: memory; 2a: the act of storing: the state of being stored; 
especially: the safekeeping of goods in a depository (as a 
warehouse) b: the price charged for keeping goods in a storehouse.'' 
www.merriam-webster.com/dictionary/storage.
---------------------------------------------------------------------------

    DOE notes that Recommendation #7 from WICF Term Sheet (which 
contains the only mention of process cooling in the Term Sheet) 
recommended that DOE add ``WICF specific definitions for process 
cooling, preparation room refrigeration, and storage space.'' (Docket 
EERE-2015-BT-STD-0016, Term Sheet, No. 56 at p. 3) This recommendation 
does not state that these categories of equipment are excluded from the 
scope of WICFs. In fact, a comment received in response to the initial 
2013 notice of proposed rulemaking for energy conservation standards 
stated that process cooling equipment would appear to fall within the 
walk-in definition. (Docket No. EERE-2008-BT-STD-0015, Hussmann, No. 93 
at pp. 2, 8-9) In re-examining that comment, along with other 
information and materials since the publication of the June 2014 rule, 
DOE has reconsidered its prior views on process cooling equipment.
    As noted in the NOPR, contents are placed in process cooling 
equipment for at least a brief period of time to reduce their 
temperature. 81 FR at 54934. When asked during the public meeting how 
long the products remain in a process cooling system when they are 
being cooled, American Panel noted that, although the Food and Drug 
Administration and NSF International issue recommended maximum 
processing times, there is no industry-specified minimum or maximum 
processing duration for blast chillers or blast freezers. (American 
Panel, Public Meeting Transcript, No. 23 at p. 48) DOE notes that the 
2013 FDA Food Code requires that food starting at 135 [deg]F be cooled 
to 70 [deg]F within 2 hours and to 41 [deg]F within 6 hours (FDA 2013 
Food Code, Chapter 3, Section 501.14(A)), while NSF requires that rapid 
pulldown refrigerators and freezers be able to reduce food temperature 
from 135 [deg]F to 40 [deg]F in 4-hours. (NSF/ANSI 7-2009, section 
10.5.1) These time periods differ significantly and are substantially 
longer than the 90-minute pulldown times discussed in the June 2014 
final rule. (79 FR at 32068). This observation underscores American 
Panel's statement that there is no standard maximum processing time. 
Also, while DOE recognizes that product may remain in process cooling 
equipment for a short period of time, this fact alone does not 
necessarily clarify that the equipment cannot be considered to have a 
storage function. The period of time a product can be held in a cooler 
or freezer without sustaining some damage can be expected to vary 
product by product, depending on a variety of factors including, 
whether the product is chilled or frozen, its packaging when inserted 
into the equipment (e.g., what type and size container it is in, 
whether or not it is covered, etc.), moisture content, size of the 
individual food pieces, and other factors. Commenters did not provide 
any indication of how long food products can remain in process cooling 
equipment after completion of cooldown before they must be removed to 
avoid damage--hence, making it difficult to draw clear distinctions 
between residence time in this equipment and lengths of time that would 
be associated with ``storage.''
    Absent a definitive time-period to delineate the use of space as 
storage space, DOE considered the design and operation of process 
cooling equipment with other equipment falling within the WICF 
definition. DOE considers that design and operation are reflective of 
the function of equipment (i.e. whether it constitutes storage space) 
because these two elements are necessary components in determining the 
function or purpose of a given type of equipment.
    Manitowoc and AHRI argued that the panels and doors used by process 
cooling systems are not the same as those used in other WICF systems 
and therefore the WICF prescriptive requirements should not apply. 
(Manitowoc, No. 10 at p. 3; AHRI, No.

[[Page 95770]]

11 at p. 5) Manitowoc and AHRI did not clarify how the panels and doors 
are different, and provided no indication that process coolers needed 
specific utility features that would justify the use of different 
efficiency levels or be the basis for relief from the performance 
requirements that are already in place. DOE notes that this discussion 
of panels and doors did not provide any clarity as to whether process 
cooling equipment provides any storage function.
    In the context of blast chillers, American Panel noted that while 
the panels and doors for this equipment were similar to those used in 
other walk-ins, the refrigeration systems used in blast chillers are 
designed and used very differently from walk-ins--a fact that, in its 
view, necessitated that these (and similar process cooling equipment) 
be treated separately from walk-ins. (American Panel, No. 7 at p. 1) 
American Panel did not clarify how the refrigeration systems are 
designed differently, in spite of DOE's request for data or information 
on the qualities, characteristics, or features specific to the 
refrigeration system that would cause a process refrigeration system to 
be unable to meet a walk-in refrigeration system standard. See 81 FR at 
54950.
    American Panel, however, asserted that blast chillers and shock 
freezers differ from walk-ins in that they have an on/off switch, they 
do not reach a stable condition until the pulldown cycle ends, either 
automatically or manually, and they rely on the user to stop and 
restart the cycle. (American Panel, No. 7 at p. 1) In its view, all of 
these features differed from the operation of walk-ins, which typically 
operate continuously and independent of user action, being connected to 
power at all times. DOE notes that this description of refrigeration 
equipment operation also applies to other walk-in systems. The walk-in 
refrigeration system is sized so that its capacity is greater than the 
walk-in box load. Equation 1, for example, in AHRI 1250-2009, indicates 
that the box load for a walk-in is 70 percent of the net refrigeration 
system capacity at the design temperature for conditions outside the 
box. Hence, a walk-in refrigeration system does not achieve steady 
state operation--it relies on a thermostat to shut the system off at 
the desired internal temperature (e.g., 35 [deg]F for a walk-in cooler) 
as the refrigeration system is pulling down temperature to what would 
be a lower steady-state temperature. As American Panel indicated, a 
process cooling system does not reach stable operation until the 
pulldown cycle has ended and an automatic control may end the cycle to 
transition the system from the pulldown cycle into stable operation. 
This ending of the pulldown with an automatic control is the same as a 
walk-in system's pulldown cycle ending by a thermostat. Hence, in DOE's 
view, American Panel's observations do not provide a clear distinction 
between process cooling and other walk-in equipment since the 
fundamental operational characteristics remain the same.
    American Panel also contended that, because a blast chiller's 
operation changes continuously and the equipment exhibits no stable 
operating condition, it cannot be tested to a rated AWEF and a test 
procedure cannot be applied. (American Panel, Public Meeting 
Transcript, No. 23 at pp. 46-47, 56, 78) American Panel added that, if 
the test procedure were to be updated to include blast chiller 
performance testing, the food industry would support using NSF's 
testing methods for rapid pulldown refrigeration as a starting point. 
(American Panel, No. 07 at p. 2) DOE notes first that a performance-
based test procedure requiring steady state operation is not necessary 
for process cooling refrigeration systems, because equipment meeting 
the definition is excluded from the walk-in refrigeration system 
performance standards,\8\ and, hence, a method for measuring AWEF for 
such equipment is not needed. However, DOE notes also that a blast 
chiller refrigeration system appears to have no steady operating 
condition because its capacity is so much larger per insulated box 
internal volume than for other walk-ins. Once the products have been 
pulled down to the specified temperature, the walls of the box do not 
transmit sufficient load to prevent the internal box temperature from 
dropping further--i.e. the box does not absorb enough heat to prevent 
its interior from becoming colder. If the same refrigeration system 
were serving a much larger box, the internal temperature may very well 
stabilize to a steady-state operating temperature. Conducting a test to 
determine the system's AWEF would require testing the equipment with a 
test chamber whose indoor-room conditioning system has enough heating 
capacity to balance the refrigeration system's cooling capacity. Hence, 
the difference between a process cooling refrigeration system and other 
walk-in refrigeration systems is a function of the magnitude of 
capacity, rather than any fundamental difference in the operation of 
the equipment. While the magnitude of capacity is relevant to how 
quickly a unit lowers the temperature of its contents, and may be 
instructive as to the duration of storage, it does not inform the 
fundamental consideration of whether a unit provides any storage.
---------------------------------------------------------------------------

    \8\ DOE notes that this exclusion does not apply to condensing 
units distributed in commerce individually, because, as discussed 
elsewhere in this section, they are indistinguishable from other 
walk-in refrigeration systems.
---------------------------------------------------------------------------

    Process cooling equipment such as blast chillers and blast 
freezers, despite any asserted differences, have several 
characteristics in common with more conventional walk-ins that make 
them capable of serving the function of refrigerated product storage. 
These characteristics include having an insulated enclosure made of 
insulated panels and a door (or doors) sufficiently large that the 
enclosure can be walked into, and being cooled with a refrigeration 
system consisting of a dedicated condensing unit and a refrigerant 
evaporator that operates using forced convection heat transfer (i.e., 
enhanced by air movement created by a fan). The panels and doors are 
fabricated with a sheet metal exterior shell around insulation that 
serves as a thermal barrier. The panels and/or door also may also have 
a multi-pane window to allow viewing of the interior of the enclosure 
from the outside. The doors have hinges or another mechanism to allow 
opening for access to the enclosure interior, with a latching mechanism 
to ensure positive closure when shut. The refrigeration system can 
operate to cool the enclosure to refrigerated temperatures. Product can 
be placed in the refrigerated enclosure. If the product is not already 
at the temperature of the internal refrigerated space, the product's 
temperature will drop, approaching the temperature of the interior, due 
to transfer of heat to the air within the enclosure; otherwise the 
product temperature remains at the average internal temperature until 
removed from the enclosure. As discussed above, while some of the 
details of the design of such systems differ from other walk-ins, these 
equipment generally resemble all walk-ins and are capable of serving 
the function of refrigerated product storage.
    AHRI, Manitowoc, and Rheem also asserted that process cooling 
equipment is inconsistent with the term ``walk-in'' because a person 
cannot walk into a process cooling enclosure during operation. (AHRI, 
No. 11 at p. 5; Manitowoc, No. 10 at p. 3; Rheem, No. 18 at p. 3) 
However, DOE notes that the walk-in definition does not specify when 
the equipment can be walked into--it simply states that the equipment 
must be one ``that can be walked into.'' (42 U.S.C. 6311(20)(A))
    In interpreting the ``walk-in cooler and freezer'' definition, DOE 
also

[[Page 95771]]

considered the terms in the context of EPCA's WICF provisions as a 
whole. EPCA establishes a number of prescriptive requirements for 
WICFs. (42 U.S.C. 6313(f)(1)) While not dispositive, none of the 
prescriptive requirements conflicts with including process cooling 
equipment as a class of walk-in. Additionally, Congress has already 
spoken to the groups of equipment that are excluded from the walk-in 
definition by listing specific equipment (i.e. ones designed and 
marketed exclusively for medical, scientific, or research purposes) 
that would be walk-ins. (42 U.S.C. 6311(20)(B)) Process cooling 
equipment is not part of this listing, which suggests that Congress did 
not contemplate that this equipment would be excluded from being 
treated as a class of walk-in equipment.
    In consideration of these factors, DOE has determined that process 
cooling equipment falls within the EPCA definition of ``walk-in 
cooler'' and ``walk-in freezer.'' While products may not be able to be 
stored in process cooling equipment on a long-term basis, products are 
still stored in process cooling equipment at least for the duration 
they are cooled. If Congress had intended to limit the application of 
the walk-in definition to include only long-term storage, it could have 
done so when crafting the final language of the statute. Congress, in 
fact, did not limit what comprises storage space. Moreover, when 
comparing the design and function of process cooling equipment with 
other WICFs, DOE was unable to determine a distinction with regard to 
storage.
    AHRI, Manitowoc, KeepRite, Rheem, and Hussmann argued that 
including process cooling equipment in the definitions of walk-in 
cooler and walk-in freezer would be inconsistent with DOE's proposed 
definition for refrigerated storage space, ``as space held at 
refrigerated temperatures'' since process cooling equipment does not 
hold a specific temperature but changes the temperature of the 
contents. (AHRI, No. 11 at p. 5; Manitowoc, No. 10 at p. 3; KeepRite, 
No. 17 at p. 2; Rheem, No. 18 at p. 3; Hussmann, No. 20 at p. 4) DOE 
notes that comments submitted by Bally describe process cooling 
equipment as operating at ``cold temperatures (min. of 5 [deg]F)'' and 
having ``doors [that] must stay condensate free while the air 
temperature is at 5 [deg]F.'' (Bally, No. 22 at p. 1) These 
descriptions suggest control of temperature within the blast chiller is 
held at the minimum 5 [deg]F--in other words, the interior is held at a 
temperature near 5 [deg]F. This fact suggests that process cooling 
equipment can (and do) hold temperatures, contrary to the comments. 
Nevertheless, DOE notes that the proposed definition for refrigerated 
storage space as ``space held at refrigerated temperatures'' does not 
require that the temperature be held at a discrete constant value--
instead, it only requires that the space is held at a temperature 
consistent with ``refrigerated,'' i.e., ``held at a temperature at or 
below 55 [deg]F''. The spaces within blast chillers and freezers are 
held below 55 [deg]F and, thus are consistent with the definition of 
``refrigerated storage space.''
    NAFEM also weighed in on this issue generally, arguing that blast 
chillers should not be considered within the scope of the walk-in 
definition because there is no appropriate test procedure for blast 
chillers. (NAFEM, No. 14 at p. 1) However, EPCA's walk-in definition 
does not stipulate that its scope extends only to equipment for which 
there is a test procedure. In fact, EPCA mandated prescriptive 
standards for walk-ins that took effect (on January 1, 2009, see 42 
U.S.C. 6313(f)(1)) before DOE finalized a test procedure on April 15, 
2011 for measuring a given unit's energy efficiency. 76 FR 21580. 
Similarly, in response to American Panel's comment that a process 
cooling refrigeration system is not a walk-in because it cannot be 
rated with an AWEF, satisfaction of the separate statutory prescriptive 
requirements specified in the statute (e.g. use of certain componentry, 
satisfaction of certain thermal insulation thresholds for doors and 
panels, and installation of devices to minimize infiltration) have no 
direct bearing on the AWEF value of a given refrigeration system. 
Hence, the question of whether a given walk-in refrigeration system can 
be rated with this metric has no bearing on whether the equipment is a 
walk-in.
    Manitowoc, Rheem, and AHRI also noted that an ASHRAE Special 
Project Committee (``SPC'') has been formed to draft a relevant testing 
standard titled, ``Method of Testing for (Rating) Small Commercial 
Blast Chillers, Chiller/Freezers, and Freezers.'' They argued that in 
light of this work, it is premature to define process cooling systems 
while this new industry standard is still under development. 
(Manitowoc, No. 10 at p. 3; Rheem, No. 18 at p. 3; AHRI, No. 11 at p. 
5) DOE notes that the WICF Working Group, which included Manitowoc and 
Rheem, requested that DOE develop a definition for process cooling. 
Before the finalization of the WICF Term Sheet on December 15, 2015, 
DOE was not aware of any announcement from ASHRAE SPC regarding the 
start of its work. Nevertheless, the SPC has not finished its work, and 
the commenters did not provide any indication of what equipment 
definitions the SPC is considering. Accordingly, DOE has finalized its 
definition in the manner proposed, based on the industry input 
provided. DOE may consider revising its ``process cooling'' definition 
if necessary once the ASHRAE rating method for blast chillers, chiller/
freezers, and freezers is complete.
    Finally, DOE notes that the CA IOUs supported treating process 
cooling as a subset category of WICF equipment. Further, they supported 
requiring process cooling panels, doors, and dedicated condensing units 
not sold as part of a ``matched-pair with a unit cooler'' to meet the 
2014 final rule WICF standards and the proposed standards under 
consideration. (CA IOUs, No. 21 at p. 2)
    As described in the NOPR, DOE concluded that while process cooling 
enclosures that resemble walk-ins are within the scope of walk-ins, it 
proposed to exclude some of the refrigeration systems of these process 
cooler walk-ins from the performance-based standards established and in 
development for WICF refrigeration systems. 81 FR at 54934-54937. For 
the reasons described earlier, DOE has not revised its proposed 
approach after review of the comments, and believes that its 
definition, as adopted in this rule, satisfies the recommendations of 
the Working Group Term Sheet.
Distinguishing Characteristics of Process Cooling Refrigeration Systems
    DOE received few comments regarding the distinguishing 
characteristics proposed for process cooling refrigeration systems. In 
fact, only one of the commenters mentioned any characteristic of the 
refrigeration system condensing unit of a process cooling system that 
might distinguish it from the equipment serving other walk-ins--Bally 
commented that the condensing units are not unique to blast chillers, 
except with respect to extra receiver capacity. (Bally, No. 22 at p. 1) 
However, DOE would not consider a larger receiver to be a sufficient 
difference to distinguish these condensing units since using a larger 
receiver would not affect steady state energy use as measured by the 
test procedure, since the receiver itself does not consume energy and 
does not contribute significantly to the heat transfer function of the 
condenser. Furthermore, there is a range of refrigerant receiver 
capacities used in walk-in refrigeration systems and it is not clear 
that there is an appropriate

[[Page 95772]]

receiver capacity threshold that would indicate that a condensing unit 
is used for process cooling rather than for other walk-in functions--
neither Bally nor other commenters suggested such a threshold value. 
Consequently, DOE would not consider a larger receiver to distinguish 
process cooling condensing units. Absent any other clear distinguishing 
feature, DOE must conclude that the condensing units used for process 
cooling are no different than those used for other walk-ins.
    Lennox recommended that the evaporator coil height, width, and 
depth be defined on a diagram accompanying the proposed definition to 
prevent a misinterpretation of the dimensions. (Lennox, Public Meeting 
Transcript, No. 23 at p. 40) Lennox provided a diagram to illustrate 
this in its written comments (Lennox, No. 13 at p. 8) In reviewing this 
diagram, DOE agrees that the dimensions shown in the provided diagram 
are consistent with the proposed definition's intent and agrees that a 
diagram would be useful to clarify the applicable dimensions. 
Accordingly, the final rule incorporates a diagram based on the one 
submitted by Lennox to clarify the process cooling definition.
    With respect to blast freezers, Bally noted that some of these 
equipment use horizontally-oriented evaporator units and some non-
process cooling refrigeration systems chill their contents using a 
circular pattern. In its view, because of the absence of any standard 
orientation or chilling pattern for process cooling and non-process 
cooling refrigeration systems, these design characteristics are not 
useful for differentiating process refrigeration systems. (Bally, 
Public Meeting Transcript, No. 23 at pp. 41-42) DOE notes that a 
horizontally-oriented evaporator that is not part of a unit cooler as 
defined would not be subject to the unit cooler standards, nor would 
it, as a matched pair with a dedicated condensing unit, be subject to 
the dedicated condensing unit standards. In order to clarify the 
extension of this exclusion to matched pairs including such 
evaporators, DOE has modified the process cooling refrigeration system 
definition to explicitly list dedicated condensing units that are 
distributed in commerce exclusively with evaporators that are not unit 
coolers.
    Alternatively, Bally suggested that airflow rate may be a good 
characteristic for differentiating process refrigeration systems from 
other walk-in refrigeration systems. (Bally, Public Meeting Transcript, 
No. 23 at p. 44) American Panel expressed concern with the use of a 
cooling capacity per enclosed volume rating to differentiate process 
cooling equipment because the equipment may be used to process 
different quantities or densities of product at different times--a 
condition which may prevent a given blast chiller from satisfying a 
definition based on cooling capacity per enclosed volume. (American 
Panel, Public Meeting Transcript, No. 23 at pp. 38-39) DOE had 
considered airflow rate or air velocity to distinguish process cooling 
evaporators, noting that 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. (See 81 FR at 54936) For example, DOE's 
investigation of evaporator fan horsepower showed that the horsepower 
for process cooling evaporator fans, although generally higher than for 
other walk-in evaporators, is not always higher than all such other 
walk-in evaporators--a potential overlapping fact that lessens the 
value of using horsepower as a clear distinguishing characteristic. 
Hence, DOE concluded that there would be too much overlap with other 
WICF unit coolers on the basis of these parameters. DOE notes that 
Bally's submission did not provide sufficient information or data that 
would support the use of a specific air flow rate on which DOE could 
rely that would serve as the basis for distinguishing process coolers 
from other walk-in refrigeration systems. With respect to American 
Panel's concerns, DOE notes that its comments provided no alternative 
value of cooling load per volume for DOE to consider that would enable 
one to readily distinguish process cooling refrigeration systems from 
non-process cooling refrigeration systems. While American Panel seems 
to suggest that the capacity of the refrigeration system would depend 
on the load inserted into a process cooler, DOE disagrees, because the 
capacity cited in the proposed definition is the refrigeration system's 
net capacity when determined in a manner consistent with the prescribed 
walk-in test conditions--this capacity depends on the refrigeration 
system characteristics, not on how much product is being cooled. 
Specifically, when testing a condensing unit alone, the test calls for 
maintaining certain operating conditions (see, e.g., tables 11 through 
14 of AHRI 1250-2009, which specify air and refrigerant entering 
conditions and refrigerant exiting subcooling condition, but nothing 
about the quantity of product being cooled). No commenters provided 
specific suggestions regarding the appropriateness of the proposed 100 
Btu/h per cubic foot, i.e., what lower value would be more appropriate. 
Additionally, commenters provided no other suggestions regarding more 
appropriate distinguishing characteristics to use for process cooling 
refrigeration systems, and none provided specific quantified values for 
recommended parameters to use in the definition. Hence, DOE is largely 
adopting the approach contained in its proposed definition.
    However, to address the comments regarding the inconsistency of the 
``storage'' aspect of walk-ins with the pulldown of product temperature 
in process cooling equipment, DOE will modify the definition to 
identify refrigeration systems that are ``capable of rapidly cooling 
food or other substances'' rather than systems that are ``used 
exclusively'' for this purpose. Also, in order to clarify that the 
enclosure that uses these refrigeration systems is insulated, DOE will 
insert ``insulated'' before the word ``enclosure'' in the definition.
    KPS raised concern regarding the precision of the process cooling 
definition, indicating that ``blast chillers'' and ``blast freezers'' 
are used by customers and manufacturers to describe a range of product 
types. (KPS, No. 8 at p. 1) KPS did not, however, elaborate on what 
other types of equipment should be addressed (or excluded) by DOE's 
proposed definition. DOE is aware, for example, of blast chillers and 
freezers that are smaller than walk-ins and that might be considered 
``reach-in process cooling equipment,'' i.e., process cooling equipment 
which the user reaches into rather than walks into to insert or remove 
product. This terminology is consistent with the term ``reach-in'' used 
with commercial refrigeration equipment (see, e.g., Reach In 
Refrigerator, No. 26) However, DOE is not concerned that such equipment 
would be confused with walk-in process cooling equipment, because such 
reach-in equipment cannot be walked into.
Other Comments From Manufacturers of Process Cooling Equipment
    Bally noted that blast chillers are built in small quantities with 
uniquely designed electronically commutated motors (``ECMs'') and 
expressed concern with how the proposed regulations would affect the 
ECM supply chain. (Bally, Public Meeting Transcript, No. 23 at pp. 42-
43) Bally elaborated in written comments that ECM orders can have up to 
15 weeks of lead-time and have to be ordered in small batches. (Bally, 
No. 22 at pp. 1-2) Accordingly, Bally suggested that the proposed 60-

[[Page 95773]]

day enforcement delay be extended to allow for changes in the 
refrigeration equipment industry to meet the new regulations. (Bally, 
Public Meeting Transcript, No. 23 at p. 50) Given the 15-week lead-time 
indicated in the comment, DOE plans to issue a policy stating that DOE 
will exercise its enforcement discretion for 120 days after publication 
of the final rule, to allow manufacturers of walk-in refrigeration 
systems that are used exclusively in process cooling applications to 
comply and to certify compliance with the applicable statutory 
standard.
    With respect to the proposed definition for process cooling 
refrigeration systems, Bally suggested that the definition specify that 
the doors used with this equipment be freezer doors. (Bally, Public 
Meeting Transcript, No. 23 at p. 53) Bally reiterated this comment in 
its written submission, indicating that the 5 [deg]F temperature inside 
a blast chiller makes it challenging to prevent the formation of 
condensation. (Bally, No. 22 at p. 1) In response, DOE notes that a 
walk-in with a 5 [deg]F internal temperature is technically a freezer 
(see e.g., the definition for walk-in cooler and walk-in freezer, which 
states that freezers are refrigerated to temperatures below 32 [deg]F, 
42 U.S.C 6311(20)(A)), and hence, the door standards applicable to 
freezer doors would apply for such equipment.
    Bally also requested that there be no requirement for floor 
insulation for process equipment. It noted that tray carts must roll in 
and out of the enclosure, which means that they cannot use ramps, and 
that building a pit to accommodate the necessary insulation would be 
expensive and could pose structural issues. (Bally, No. 22 at p. 1) 
Consistent with DOE's view, as discussed elsewhere in this discussion, 
that the process cooling enclosures discussed by Bally would be 
considered to be walk-in freezers, DOE notes that the statutory 
prescriptive requirements already require floor insulation of R-28. (42 
U.S.C. 6311(f)(1)(D)) Given this requirement, DOE has no discretion 
regarding the applicability of the floor insulation requirement, which 
is imposed by statute.
i. Preparation Room Refrigeration
    DOE proposed defining ``preparation room refrigeration'' as 
comprising applications that use ``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.'' 81 FR at 54937. While DOE proposed to define this type of 
refrigeration system for the purpose of enhancing clarity, this 
equipment would not be exempt from the applicable standards that were 
already prescribed by Congress with respect to walk-ins. DOE requested 
comment on any other characteristics of preparation room refrigeration 
that would (1) clearly distinguish it from other walk-in refrigeration 
systems and (2) otherwise make this equipment unable to meet a given 
walk-in refrigeration standard.
Preparation Room Equipment Status as Walk-in Equipment
    Commenters addressed whether preparation room equipment falls under 
the scope of walk-ins. As mentioned in section III.A.1.h, AHRI noted 
that preparation room refrigeration was included in the WICF Term Sheet 
in order to exclude this equipment from the scope of walk-ins. (AHRI, 
No. 11 at p. 5) However, as noted in the discussion of that section, 
the Term Sheet did not provide any guidance regarding whether 
preparation room refrigeration falls within the scope of walk-ins. 
(Docket EERE-2015-BT-STD-0016, Term Sheet, No. 56 at p. 3)
    AHRI, Lennox, Manitowoc, Hussmann, Rheem, and KeepRite asserted 
that preparation rooms fall outside the scope of walk-ins and urged DOE 
to exclude them. (AHRI, No. 11 at pp. 4-5; Lennox, No. 13 at pp. 8-9; 
Manitowoc, No. 10 at p. 3; Hussmann, No. 20 at p. 4; Rheem, No. 18 at 
p. 4; KeepRite, No. 17 at p. 2) Commenters provided several reasons why 
preparation room equipment should not be considered within the scope of 
walk-ins. AHRI stated that ``these systems are not commonly enclosed'' 
and that they are not for storage. (AHRI, No. 11 at p. 4) Other 
stakeholders provided variations on the ``not enclosed'' theme, 
including, for example, Rheem (``not always an enclosed space''), 
Hussmann (``often not enclosed,'' but also discusses the possibility 
that they are enclosed, i.e., ``when enclosed, these are rooms where . 
. .''), KeepRite and Manitowoc (``not commonly enclosed''), and Lennox 
(``are not `enclosed storage spaces'''). (Rheem, Public Meeting 
Transcript, No. 23 at p. 58; Hussmann, No. 20 at p. 4; KeepRite, No. 17 
at p. 2; Manitowoc, No. 10 at p. 2; Lennox, No. 13 at p. 8)
    Regarding the issue of equipment use for food storage, Lennox 
commented that preparation rooms are areas where humans occupy the 
space to prepare and package food. (Lennox, No. 13 at p. 8) Hussmann 
commented that preparation rooms are places where work is being 
performed on the product, not places where finalized goods are stored. 
(Hussmann, No. 20 at p. 4) Other commenters, including Manitowoc, AHRI, 
KeepRite, and Rheem also stated that preparation rooms are not used for 
storage. (Manitowoc, No. 10 at p. 2; AHRI, No. 11 at p. 4; KeepRite, 
No. 17 at p. 2; Rheem, No. 18 at p. 3)
    Several commenters suggested that DOE consider an alternative 
definition: ``An open space or space without a sealed door (as defined 
in 10 CFR part 431.302) that separates the interior volume of a unit of 
commercial refrigeration equipment from the ambient environment, 
designed for use in a room occupied by personnel who are preparing and 
packaging food. A preparation room is not designed for storage.'' 
(AHRI, No. 11 at p. 4) Similar definitions of preparation room or 
preparation space were suggested by Lennox, Rheem, and Manitowoc. 
(Lennox, No. 13 at p. 8; Rheem, No. 18 at p. 3; Manitowoc, No. 10 at 
pp. 2-3)
    DOE notes that the WICF Term Sheet recommended that DOE develop a 
definition for ``preparation room refrigeration'' to focus on the 
refrigeration system, rather than preparation spaces in general. 
(Docket EERE-2015-BT-STD-0016, Term Sheet, No. 56 at p. 3) This 
approach is reinforced by the agenda for the WICF Working Group 
meetings, which included as key issues, (a) proposed energy 
conservation standards for six classes of refrigeration systems, and 
(b) potential impacts on installers, neither of which addresses 
preparation spaces generally. 80 FR at 46523. Hence, DOE's intent in 
requesting comment on its definition of preparation room refrigeration 
was to solicit information regarding the characteristics of this 
equipment that would distinguish it from walk-in refrigeration systems. 
Discussion of the proposed characteristics appears below, but DOE notes 
that none of the comments received provided information regarding 
features that distinguish preparation room refrigeration systems from 
walk-in refrigeration systems. The emphasis of the commenters on the 
lack of an enclosure or the use of preparation room space for purposes 
other than storage does not represent any feature that distinguishes 
the refrigeration systems used in these two groups of equipment. As 
indicated in the NOPR, DOE had not identified any characteristics of 
preparation room refrigeration systems that would distinguish them from 
other walk-in refrigeration systems. The definition was primarily 
proposed in order to explore the recommendation of

[[Page 95774]]

the WICF Working Group and to solicit information regarding 
distinguishing characteristics of this equipment. The definition was 
not proposed as the basis for an exclusion. 81 FR at 54937. Comments 
regarding the proposed distinguishing characteristics for this 
equipment are described in more detail below, but DOE notes that 
commenters did not believe the proposed characteristics could be used 
as the basis for distinguishing this equipment from other walk-in 
refrigeration equipment. Nor, as mentioned, did they provide 
alternative characteristics that could be used for this distinction. 
With this final rule notice, DOE confirms, based on comments received, 
that the initial conclusion was correct that there are no clear 
distinguishing characteristics of preparation room refrigeration 
systems and other walk-in refrigeration.
    Regarding the suggested alternative definitions based on non-
refrigeration system-based characteristics, in DOE's view, these 
characteristics play no role in distinguishing those refrigeration 
systems used in preparation room applications from non-preparation room 
applications, since they describe preparation room space but do not 
address the refrigeration systems used for these spaces. Accordingly, 
DOE is declining to adopt these suggested changes to the proposed 
definition. Comments regarding the proposed distinguishing 
characteristics and DOE's responses are discussed in more detail below.
Distinguishing Characteristics of Preparation Room Refrigeration 
Systems
    DOE received several comments regarding the characteristics it 
proposed including as part of the proposed definition of preparation 
room refrigeration to distinguish this equipment from non-preparation 
room refrigeration systems. AHRI stated that DOE's proposed definition 
is unclear and incorrect because the evaporator temperature 
specification does not indicate whether it is ambient or suction 
temperature, there is no quantified specification for ``low outlet air 
velocity,'' and because these systems do not exclusively use electric 
or hot gas defrost. (AHRI, No. 11 at p. 4) Others made these same 
points. Manitowoc indicated that specifying the evaporator temperature 
does not clarify whether the temperature is ambient or suction 
temperature. (Manitowoc, No. 10 at p. 3) Rheem and Lennox suggested 
that the evaporator temperature in the definition be clarified as the 
``saturated suction temperature''. (Rheem, Public Meeting Transcript, 
No. 23 at p. 57; Lennox, Public Meeting Transcript, No. 23 at p. 58) 
Rheem, Manitowoc, Lennox, and KeepRite also commented that preparation 
room refrigeration systems may use air defrost, which argues in favor 
of not limiting the definition to gas or electric defrost units. 
Finally, Rheem, Manitowoc, Lennox, and KeepRite suggested that the 
``low air velocity'' cited in the proposed definition should be more 
specifically defined. (Rheem, Public Meeting Transcript, No. 23 at p. 
58; Rheem, No. 18 at p. 4; Manitowoc, No. 10 at p. 3; Lennox, No. 13 at 
p. 9; KeepRite, No. 17 at p. 2)
    AHRI also requested that information related to preparation room 
refrigeration systems (beyond its suggested alternative definition) be 
removed in the final rule. (AHRI, No. 11 at pp. 4-5) Manitowoc also 
requested that DOE exclude all information related to preparation room 
refrigeration from the scope of this rulemaking. (Manitowoc, No. 10 at 
p. 3) Regarding the characteristics of preparation room refrigeration 
systems, in light of some of the limitations with the proposed 
definition and the absence of any specifications from commenters that 
would help with its clarification (e.g., specifying a ``low outlet air 
velocity''), DOE is declining to adopt a definition for preparation 
room refrigeration at this time. In DOE's view, the alternative 
definitions suggested by commenters were insufficient since they failed 
to address the refrigeration system itself--i.e., the item which DOE 
sought to define. Accordingly, because of the absence of any meaningful 
way to distinguish these systems from non-preparation refrigeration 
systems, DOE will treat preparation room refrigeration systems as 
falling within the scope of walk-in refrigeration systems and being 
subject to the standards and reporting requirements that apply. DOE may 
revisit this issue in the future if an appropriate definition 
distinguishing such equipment can be developed.
j. Storage Space
    Consistent with the Term Sheet, DOE proposed to define 
``refrigerated storage space'' in the context of the current definition 
for a walk-in as ``a space held at refrigerated (as defined in 10 CFR 
431.302) temperatures.'' 81 FR at 54937.
    Hussmann suggested modifying the proposed ``refrigerated storage 
space'' definition to reflect WICF room intent, which is to ``maintain 
product at a specific temperature for storage purposes.'' 81 FR at 
54937. Hussmann argued that making this change would help clarify the 
difference between WICF rooms and process rooms, because, in its view, 
the term ``maintain'' would specify the presence of a holding area with 
the equipment--rather than equipment that imparts any changes on the 
products placed inside of it.
    While the proposed definition does not delineate a difference 
between equipment that is subject to standards and equipment that is 
not subject to standards, as discussed earlier in section III.A.1.h of 
this final rule, DOE does not interpret the phrase ``held at 
temperatures'' to mean that the equipment is held at a constant 
temperature. Instead, DOE views this term as referring to a temperature 
at or below the 55[emsp14][deg]F specified for ``refrigerated'' as 
defined in 10 CFR 431.302. Accordingly, DOE is finalizing the 
definition as proposed.
2. Refrigeration System Test Procedure Modifications
a. Hot Gas Defrost
    Reflecting Recommendation #3 of the WICF Term Sheet (Docket EERE-
2015-BT-STD-0016, Term Sheet, No. 56 at p. 2), DOE proposed to amend 
the test procedure by removing the method for calculating the defrost 
energy and heat load of a system with hot gas defrost. 81 FR at 54937-
54938. With this change, manufacturers of refrigeration systems with 
hot gas defrost would be unable to take account of that feature in 
testing or rating their systems when using the DOE test procedure. Id.
    All commenters agreed with the proposed removal of the hot gas 
defrost credit in the test procedure. Rheem and Heat Controller agreed 
that the credit should be removed from the efficiency calculation 
because it unfairly favored systems using hot gas defrost over 
comparable electric defrost systems. (Rheem, Public Meeting Transcript, 
No. 23 at p. 64; Heat Controller, Public Meeting Transcript, No. 23 at 
p. 66) Lennox and KeepRite also agreed with removing the hot gas 
defrost credit. (Lennox, No. 13 at p. 9; KeepRite, No. 17 at p. 2)
    However, Rheem and the CA IOUs also argued that, because the 
proposed approach would fail to quantify the energy used by hot gas 
systems during the defrost cycle, thereby eliminating any accounting of 
the energy use contribution for defrost in the test procedure 
calculations, the proposed change would still unfairly favor hot gas 
defrost systems. (Rheem, Public Meeting Transcript, No. 23 at pp. 60-
61; CA IOUs, No. 21 at p. 3) The CA IOUs encouraged DOE to ensure that 
WICF equipment with hot gas defrost and electric defrost are treated 
fairly within the test procedure. (CA IOUs, No. 21 at

[[Page 95775]]

p. 3) ASAP and NEEA agreed, adding that unit coolers with only hot gas 
defrost should be required to meet a performance level equivalent to 
unit coolers with improved evaporator fan blades and off-cycle 
variable-speed evaporator fans. (ASAP and NEEA, No. 19 at p. 3)
    Rheem and Manitowoc asserted their belief that the removal of the 
hot gas defrost credit would correspondingly remove the need for 
manufacturers to certify the performance of this equipment. (Rheem, 
Public Meeting Transcript, No. 23 at p. 63; Manitowoc, No. 10 at p. 3) 
KeepRite also supported the removal of the certification requirements 
for these systems. (KeepRite, No. 17 at p. 2) In response, DOE notes 
that the requirement to test and certify hot gas defrost walk-in 
refrigeration systems was adopted by the May 2014 test procedure final 
rule and the June 2014 energy conservation standard final rule--this is 
not a new requirement. The Fifth Circuit Order did not strike the 
requirement for certification of performance for any refrigeration 
systems on or after their standards compliance date. The discussions 
during the Working Group meetings did not address relief of testing and 
certification requirements for this equipment--hence, these 
requirements still stand, regardless of the removal of the hot gas 
defrost credit.
    DOE notes that the NOPR public meeting attendees briefly discussed 
ways to assign an AWEF level to a hot gas defrost refrigeration system 
during the public meeting and in a separate meeting between DOE and 
industry representatives (Ex Parte Communication of September 29, 2016 
Meeting, No. 6). When asked whether there would generally be an 
equivalent electric defrost model whose AWEF rating could be used for 
any given hot gas defrost model, Rheem noted that most hot gas defrost 
models have a comparable electric defrost model. (Rheem, Public Meeting 
Transcript, No. 23 at p. 62) However, Bally commented that the 
individual models sometimes are part of different basic models. Rheem 
and Bally added that significant clarification would be needed to 
specify how a proxy rating system would work to avoid misinterpreting 
the regulation. (Rheem, Public Meeting Transcript, No. 23 at p. 62; 
Bally, Public Meeting Transcript, No. 23 at p. 64)
    Commenters suggested ways to assign an AWEF value for hot gas 
defrost units. AHRI and Hussmann suggested permitting manufacturers to 
assign the minimum allowable AWEF to a hot gas refrigeration system. 
(AHRI, No. 11 at p. 5; Hussmann, No. 20 at p. 4) However, commenters 
also offered an alternative to this approach, which would allow 
manufacturers to assign the AWEF value of an equivalent electric 
defrost unit to the hot gas defrost unit. AHRI and multiple 
manufacturers suggested, without offering any supporting details or 
reasoning, that equivalence in this context be defined as an electric 
defrost system within 10 percent of the rated net capacity of the hot 
gas defrost unit. (AHRI, No. 11 at p. 6; Manitowoc, No. 10 at p. 3; 
NCC, No. 16 at p. 2; Lennox, No. 13 at p. 4; Rheem, No. 18 at p. 4; 
Hussmann, No. 20 at p. 4) ASAP and NEEA agreed that using equivalent 
electric defrost units as surrogates for rating hot gas defrost units 
would address the concerns with the proposed test procedure. (ASAP and 
NEEA, No. 19 at p. 3) The CA IOUs also agreed with this approach, but 
presented another alternative: Apply a default defrost energy 
consumption value for hot defrost units based on their refrigeration 
capacity. (CA IOUs, No. 21 at p. 3) The CA IOUs offered no further 
detail on how to determine this value.\9\ KeepRite suggested that the 
hot gas defrost unit should be assigned the AWEF of an equivalent 
electric defrost unit and also be part of the same basic model as that 
electric defrost unit. (KeepRite, No. 17 at p. 2) ASAP, NEEA, the CA 
IOUs, and KeepRite did not offer any definition for equivalence. AHRI 
and Rheem noted that if being a part of the same basic model were a 
requirement of equivalence, the definition for basic model would have 
to be altered, because the defrost type affects the equipment's energy 
consumption (see definition in 10 CFR 431.302). (AHRI, No. 11 at p. 6; 
Rheem, No. 18 at p. 2)
---------------------------------------------------------------------------

    \9\ DOE suspects that the CA IOUs may have meant to suggest 
using an approach similar to the assignment of electric defrost 
energy use and heat load that is used for testing of dedicated 
condensing units (see paragraphs 3.4.2.4 and 3.4.2.5 of subpart R, 
appendix C of 10 CFR part 431, as finalized in this document).
---------------------------------------------------------------------------

    Commenters also offered a few methods for dealing with cases where 
there is no equivalent unit. Manitowoc suggested that, in these cases, 
the AWEF value be determined based on interpolation between electric 
defrost units with higher and lower capacities--which would create a 
weighted average of the AWEFs of the two electric defrost units). 
(Manitowoc, No. 10 at p. 3) Lennox suggested using an AEDM, which would 
use a calculated energy contribution for defrost and apply it to the 
hot gas defrost unit's calculated performance as if it were an electric 
defrost unit. (Lennox, No. 13 at p. 4) AHRI and Rheem argued that the 
model should be rated with the minimum AWEF value (as defined in 10 CFR 
431.306) in these cases. (Rheem, No. 18 at p. 2; AHRI, No. 11 at p. 6)
    Some commenters recommended separate approaches for condensing 
units and unit coolers. NCC suggested that a hot gas defrost condensing 
unit should be tested as an electric defrost model by first removing 
all mechanical components associated with hot gas defrost functions. 
(NCC, No. 16 at p. 1) For this approach, the proposed test procedure 
would specify standardized values for the electric defrost energy use 
and heat addition. See, e.g., 10 CFR part 431, subpart R, appendix C, 
section 3.4.2.4 as proposed, 81 FR at 54958. For a unit cooler, NCC 
recommended using the AWEF of an equivalent electric defrost model, 
which it defined as an electric defrost model having a net capacity 
within 10 percent of that of the hot gas defrost unit, and that also 
belongs to the same basic model group. If an equivalent model is not 
available, NCC recommended that the manufacturer petition DOE for a 
test procedure waiver. (NCC, No. 16 at p. 2)
    Regarding the suggestions that AWEF ratings for hot gas defrost 
units not be required, in DOE's view, such an approach would likely 
remove any incentive for manufacturers to design and build hot gas 
defrost equipment that would maintain steady state efficiency in a 
manner consistent with the standards that apply to electric defrost 
systems since, under this approach, the unit's design has no influence 
on whether it complies with the applicable electric defrost system 
standard. Similarly, simply assigning a baseline AWEF value to the unit 
fails to impose any requirements on the units' efficiencies, since a 
default value would be applied to this equipment, which again would 
make compliance unrelated to the unit's design.
    Further, while using the AWEF of an equivalent electric defrost 
unit to rate hot gas defrost units may have merit, DOE does not have, 
and the commenters did not provide, any information demonstrating how 
the use of the suggested 10-percent range would impact manufacturer 
incentives to use efficient designs. This suggested equivalence 
criterion, if adopted, would play little to no role with respect to the 
energy use of the unit's components, such as the energy use of a unit 
cooler's evaporator fan. A smaller evaporator coil with greater fan 
power and more air flow could provide the same net capacity as a larger 
coil with less fan power and air flow, but use more fan power to do it.

[[Page 95776]]

    In addition, comparing the net capacity of the hot gas defrost unit 
with those of electric defrost units to test equivalency implies that 
it is understood how to determine that value. As discussed in the 
comments, net capacity as measured in the test procedure is not the 
same as capacity reported for application ratings. See, e.g., AHRI, No. 
0011 at p. 3 (discussing application temperature points). A 
manufacturer using the suggested approach could claim an unlikely net 
capacity in order to be within 10% of the net capacity of an electric 
defrost unit with a high AWEF. Further, a manufacturer could (without 
any verification) select the highest AWEF of electric defrost units 
within the +/-10 percent range. But since the design of the unit also 
has little or no bearing on whether it is compliant with the standards 
under this approach, it only shows that a given hot gas defrost unit 
has a claimed net capacity within ten percent of the net capacity of a 
compliant electric defrost unit.
    Regarding the suggested use of an AEDM along with a prescribed 
value for the energy consumption from defrost usage, DOE notes that an 
AEDM simulates a unit's performance during testing, which requires that 
there first be a test procedure that the AEDM would simulate. Because 
there is no hot gas defrost test procedure, this approach would also be 
unworkable unless a test procedure were first developed and defined. In 
short, DOE agrees with Rheem and Bally that significant clarification 
would be needed to specify how a proxy rating system would work to 
avoid misinterpreting the regulation. For the reasons described 
earlier, however, DOE is not convinced that the suggested ``within 10 
percent of net capacity'' provides sufficient clarification.
    NCC's comment addressed possible approaches for testing hot gas 
defrost condensing units and unit coolers. But because coverage also 
extends to matched-pair or single-package systems, a hot gas defrost 
test approach must also be developed for these system categories.
    After considering various possibilities for developing procedures 
to test hot gas defrost features, as discussed above, DOE continues to 
believe a test that measures the energy benefits of hot-gas defrost is 
not warranted at this time. Accordingly, DOE is adopting, in this 
respect, an approach consistent with the intent of the one set forth in 
the NOPR. Namely, a manufacturer will test a hot gas defrost condensing 
unit without measuring the impacts of the hot gas defrost feature, and 
that feature will not affect the rated efficiency either positively or 
negatively. In that sense, the test procedure for units with hot gas 
defrost will be the same as the test procedure for units with electric 
defrost.
    DOE is clarifying one aspect of the test procedure with respect to 
hot gas defrost. DOE recognizes that the hot gas defrost components can 
impose pressure drop on the refrigerant lines during the test, which 
can reduce performance. This issue was discussed in the WICF Working 
Group meetings, where the addition of a pressure drop equivalent to 
3[emsp14][deg]F dew point reduction in the suction line was included in 
the initial engineering analysis developed for hot gas defrost units to 
reflect this issue. (Docket EERE-2015-BT-STD-0016, Working Group 
Meeting Presentation, Fifth and Sixth Meetings: Engineering Analysis, 
No. 26 at p. 34) (The hot gas defrost calculations were subsequently 
removed from the engineering analysis because hot gas defrost was not 
considered as a design option.) Thus, the presence of hot gas defrost 
components would cause the hot gas defrost feature to detract from a 
model's rated efficiency. That outcome would be inconsistent with the 
approach DOE set forth in the NOPR, the purpose of which was to make 
rated efficiencies neutral with respect to the presence of hot gas 
defrost. While DOE does not have information to support a general 
presumption that hot gas defrost increases efficiency by a particular 
amount, it does not believe that hot gas defrost ordinarily decreases 
efficiency in operation. Accordingly, DOE will permit a manufacturer to 
remove the hot gas defrost components. Thus, incorporating hot gas 
defrost in a condensing unit will not cause a decrease in the unit's 
rated efficiency under the test procedure.
    However, DOE recognizes that simply removing the hot gas defrost 
components may not be sufficient to set up a condensing unit for a 
test, since removal of a component may leave pipe ends open to the 
surroundings. Some of these pipe ends may have to be capped or 
connected with each other, and at least two ends represent the suction 
inlet and liquid outlet of the condensing unit. Also, some of the hot 
gas defrost components may make little impact to the operation of the 
system and accompanying measurement--which would encourage a 
manufacturer not to remove those components. To ensure that any third 
party testing is conducted consistently with manufacturer testing or 
its recommendations for testing, information to clarify which 
components are removed and the subsequent piping connections may have 
to be provided. DOE will consider proposing in a future rulemaking that 
certification reporting for hot gas defrost units include as non-public 
information a list of the hot-gas-defrost components that must be 
removed for the test and instructions for piping connections to allow 
proper testing. DOE may also consider allowing any such instructions to 
be provided in pdf form as supplementary test information. The 
regulations being adopted are generic in nature such that manufacturers 
(and other stakeholders that utilize the test procedure) should have 
sufficient instruction on how to test all basic models that have hot-
gas defrost components.
    Further, DOE is also adopting this approach for testing hot gas 
defrost unit coolers, matched-pairs, or single-package refrigeration 
systems. For these systems, the hot gas defrost components would also 
be removed from the system, and pipes reconnected as required. The 
units would be tested measuring steady state performance, but frosting 
or defrost tests would not be feasible under this approach and they 
would not be run. Using this procedure, the test chambers would have to 
be operated with low moisture levels to prevent frost formation during 
testing. Performing this test will generally require using test 
facilities with conditioning systems that can cool down the indoor room 
and remove its moisture before operation of the unit under test can 
start to ensure that the test unit does not collect any moisture from 
the room. It also requires that infiltration into the indoor room be 
minimized. The defrost heat and energy use for the test would be 
calculated in the same manner as for an electric defrost condensing 
unit tested alone, thus allowing determination of equivalent AWEF. DOE 
has adopted this approach for hot gas defrost refrigeration systems in 
10 CFR part 431, subpart R, appendix C.
    Although some test facilities may not be equipped with conditioning 
systems that would allow cooling of the indoor room and removal of 
moisture prior to start of the test unit, DOE expects that some 
manufacturers will develop performance representations for their hot 
gas defrost units using AEDMs, as suggested by some of the comments, 
and that there may be limited need for the actual testing of hot gas 
defrost unit coolers and matched-pairs under this approach. The AEDMs 
would only need to be able to estimate the steady state performance of 
the systems in refrigerating mode, since they would, like the test, use 
the standardized contributions for hot gas defrost energy input and 
heat addition.

[[Page 95777]]

    Heat Controller emphasized the need to develop a test method to 
quantify the differences between various defrost technologies. (Heat 
Controller, Public Meeting Transcript, No. 23 at p. 66) Lennox also 
supported the development of a method to determine the AWEF for hot gas 
defrost models. (Lennox, No. 13 at p. 4) DOE notes that WICF Term Sheet 
Recommendation #6 would involve DOE initiating a future test procedure 
rulemaking to adopt test procedure provisions for several items, 
including hot gas defrost. Developing and adopting such a test 
procedure would enable one to differentiate between technologies. DOE 
plans to address this issue in the future.
b. Adaptive Defrost
    Consistent with the Recommendation #4 of the WICF Term Sheet 
(Docket EERE-2015-BT-STD-0016, Term Sheet, No. 56 at p. 2), DOE 
proposed 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. 81 FR at 54938-54939.
    DOE did not receive any comments regarding this proposal and is 
adopting the proposed amendment.
c. On-Cycle Variable-Speed Evaporator Fan Control
    Consistent with Recommendation #4 of the WICF Term Sheet (Docket 
EERE-2015-BT-STD-0016, Term Sheet, No. 56 at p. 2), DOE proposed to 
amend the test procedure so that unit cooler compliance with the 
applicable walk-in refrigeration system standard would be assessed 
without using on-cycle variable-speed evaporator fans. 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.
    DOE did not receive any comments regarding this proposal and is 
adopting it in this final rule.

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
    DOE proposed to re-organize the walk-in test procedure found at 10 
CFR 431.304 into three separate appendices, one for each metric 
corresponding to the regulated component. DOE proposed to revise 
Appendix A to Subpart R of Part 431 by designating it as, and retaining 
only the procedure for, measuring the energy consumption (in kWh/day) 
for walk-in doors. DOE also proposed to create a new Appendix B to 
Subpart R of Part 431, which would contain the method of measuring the 
R-value, which would apply to walk-in doors and panels. Lastly, DOE 
proposed creating a new Appendix C to Subpart R of Part 431, which 
would contain the test method for refrigeration systems. In addition, 
DOE proposed to clarify some of the definitions and terminology used in 
the test procedure.
    Specifically, DOE proposed to revise Appendix A to Subpart R of 
Part 431, which contains the procedure for measuring energy consumption 
(in kWh/day) for display and non-display doors, by removing the 
definitions and references related to walk-in panels. DOE proposed to 
(1) remove the definition of ``core region,'' (2) move the definition 
of ``edge region'' to the proposed Appendix B, and (3) remove the 
prescribed subfloor temperature listed in Table A.1 of Appendix A. 
Further, DOE proposed to amend the definition of ``surface area'' by 
removing the currently inserted example referencing walk-in panels and 
modifying the definition of ``rating condition'' by removing the 
discussion of internal walk-in components. 81 FR at 54939. These 
amendments were intended to clarify Appendix A and did not 
substantively change the DOE test procedure for measuring the energy 
consumption of walk-in doors.
    To clarify how to calculate door power usage, DOE proposed defining 
``rated power'' as 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. See 81 
FR at 54939. In addition, DOE proposed that, 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. 81 FR at 
54939.
    Hussmann expressed concern about how to calculate the rated power 
for certain variable-power door components, like variable-resistance 
heaters and door-opening devices. In its view, the proposed definition 
for rated power, which would require manufacturers to use 100% of a 
device's rated power, does not make sense when applied to variable 
power devices that have a lower average power. (Hussmann, Public 
Meeting Transcript, No. 23 at pp. 73-74) In sections 4.4.2 and 4.5.2 of 
Appendix A to Subpart R to Part 431, DOE's current test procedure 
details how to calculate the power usage for each type of electricity 
consuming device used in a walk-in door. The procedure includes percent 
time off values to account for energy saving features like timers, 
control system, or other auto-shut-off system. These values also reduce 
the calculated power usage for features that are not constantly 
operational, e.g., lighting without controls is assigned a 25% percent 
time off. As a result, in DOE's view, the procedure, as modified by the 
proposal, would sufficiently account for the lower energy use 
conditions identified by Hussmann. Accordingly, DOE is adopting its 
proposed definition for rated power. DOE notes that if a manufacturer 
believes that the test procedure is unrepresentative of a walk-in door 
basic model's energy use, it may avail itself of the test procedure 
waiver provisions of 10 CFR 431.401 to obtain approval to use an 
alternative test procedure when measuring the energy efficiency of its 
equipment.
    Additionally, DOE proposed adding a new Appendix B to Subpart R of 
Part 431 to improve the clarity of the walk-in test procedure. This 
appendix would include the currently prescribed method of measuring the 
R-value found in 10 CFR 431.304. Specifically, DOE proposed to move the 
provisions found at 10 CFR 431.304(b) and (c) into Appendix B. DOE also 
proposed 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.
    Dow supported the creation of Appendix B to Subpart R of Part 431, 
commenting that this change would help highlight the fundamental 
differences between doors and panels and clarify how each are treated 
in the proposed and future test procedures. (Dow, No. 9 at p. 2) In 
addition, Dow commented that it understood that the R-value for 
insulation used in WICF-related panels and doors must be determined in 
accordance with the WICF test procedures in Appendix B to Subpart R of 
Section 431 and sought confirmation of the accuracy of this 
understanding from DOE. (Dow, No. 9 at p. 3)
    DOE did not receive any negative comments regarding the re-
organization of Appendix A and proposed addition

[[Page 95778]]

of a new Appendix B to Subpart R of Part 431.
    Appendix B to Subpart R of Section 431 as adopted in this final 
rule contains the test method for measuring the R-value of insulation. 
This test method must be used when determining the R-value for walk-in 
panels and doors.
    With respect to the proposed amendments regarding Appendices A and 
B, Dow supported the inclusion of ASTM C518-04 in the test procedure 
but recommend updating the procedure to reference the new version of 
this standard, ASTM C518-10. (Dow, No. 9 at p. 2) In this rulemaking, 
DOE proposed to make only editorial changes to the test procedure for 
measuring R-value but may consider Dow's suggestion to reference the 
most recent version of ASTM C518 in a future rulemaking.
    DOE also proposed to add a new Appendix C to Subpart R of Part 431 
and include the test method for refrigeration systems in this appendix. 
Within Appendix C, DOE further organized its discussion of test 
procedures in terms of the refrigeration system configuration types--
i.e. matched-pairs, single-package dedicated systems, individually 
distributed unit coolers and condensing units. Within Appendix C, DOE 
proposed to incorporate the (1) provisions that are currently included 
in 10 CFR 431.304, sections (10) through (12), which specify that walk-
in refrigeration systems be tested using AHRI 1250-2009--the test 
procedure incorporated by reference in 10 CFR 431.303--and (2) clarify 
and modify certain provisions of the test procedure. One subsection 
would contain the general modifications to the test conditions and 
tolerances applied to the industry test procedure that were 
incorporated into DOE's May 2014 test procedure rule. 79 FR at 27399-
27403. A second subsection would contain proposed modifications to the 
method of test and the remaining subsections addressed proposed 
modifications specific to the system configuration types. 79 FR at 
27398-27399. The NOPR also proposed, and this final rule adopts, adding 
to Appendix C the modifications to the test procedure for walk-in 
refrigeration systems that are discussed in section III.A.2. See 81 FR 
at 54956-54958.
    DOE also proposed to correct typographical errors in the regulatory 
text contained in the proposed Appendix C. DOE proposed to correct the 
saturated suction A and saturated suction B temperatures to be -20 
[deg]F and -26 [deg]F, respectively, in the table currently in 10 CFR 
431.304(c)(10)(xv). 81 FR at 54939. DOE also proposed correcting an 
equation for defrost heat load contribution currently at 10 CFR 
431.304(c)(12)(ii). The equation for defrost heat load contribution 
currently specifies that this contribution should be divided by 3.412 
Btu/W-h, but it should instead be multiplied by 3.412 Btu/W-h. 81 FR at 
54939-54940.
    DOE did not receive any comments regarding its proposal to add a 
new Appendix C to Subpart R of Part 431 or its proposal to include the 
test method for refrigeration systems in this same appendix. DOE did 
not receive any comments in response to its proposal to correct 
typographical errors within the test procedure language or equation 
that would become part of the proposed Appendix C. Therefore, DOE is 
adopting its proposed changes in this final rule.
2. Representation Requirements
    DOE proposed 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 
proposed to direct manufacturers of unit coolers, dedicated condensing 
units, single-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 also 
proposed not to require the rating of a matched refrigeration system if 
the constituent unit cooler(s) and dedicated condensing unit have been 
tested and rated separately. However, if a manufacturer wished to 
represent the efficiency of the matched refrigeration system separately 
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 did not receive any comments on 
these proposed requirements and is adopting them in this final rule.
3. Certification and Compliance Requirements
    DOE explained in its proposal that 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). This includes 
``installers'' of complete walk-ins. 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, including all of its regulated constituent 
components, meets applicable statutory and/or regulatory standards. 
After the compliance date of any amended performance-based walk-in 
cooler or freezer standard (i.e., either those noted in the concurrent 
WICF refrigeration system standards rulemaking or those currently in 
the regulation for which compliance is required in 2017), manufacturers 
of complete walk-ins may continue to assemble and install walk-ins 
using components remaining in inventory that were manufactured before 
the compliance date for the amended performance-based component 
standards. DOE emphasizes that the components must have been compliant 
with all requirements and certified to DOE before the compliance date 
of such

[[Page 95779]]

component's amended standard. A more detailed discussion of this will 
appear in the related standards final rule. See Docket No. EERE-2015-
BT-STD-0016. If a manufacturer of a complete walk-in also meets part 1 
of the definition (i.e., it 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.
    Dow stated that the certification and compliance requirement 
language regarding doors, walls, ceiling, and floor panels/components 
is not clear. It noted that some WICF floors, which are considered 
``panels'' under DOE's regulations are not, in fact, separate pre-
assembled panels but are built into the floor of the building in which 
the WICF is located. In this case, Dow noted that the floor would be a 
component of the WICF but not a ``panel.'' (Dow, No. 9 at p. 1) Dow 
also noted that, although WICF panels consist of an assembly of 
materials (metal skins, insulation, fasteners, etc.), the text refers 
to insulation material alone as a panel, which, in its view, adds 
confusion on how to apply the test procedure. (Dow, No. 9 at p. 2)
    DOE agrees with Dow's comments that a WICF floor may comprise pre-
assembled panels or layer(s) of insulation and/or some other floor 
covering material (e.g., concrete). DOE notes that the definition for 
``panel'' includes any ``construction component that is not a door and 
is used to construct the envelope of the walk-in, i.e., elements that 
separate the interior refrigerated environment of the walk-in from the 
exterior.'' (10 CFR 431.302) Therefore, a WICF floor built from 
layer(s) of insulation and floor-covering material would satisfy the 
definition since it contains ``elements that separate the interior 
refrigerated environment of the walk-in from the exterior.'' Id.
a. Manufacturers of Walk-In Components
    A manufacturer of a walk-in component must ensure that the 
component meets the applicable standard. In the August 2016 NOPR, DOE 
proposed to modify this current approach (detailed at 10 CFR 
429.12(b)(6)) by requiring that for each brand name, a walk-in 
manufacturer must submit both the basic model number and the 
manufacturer's individual model number(s). When it first established 
reporting requirements for walk-ins, DOE explained that it was adopting 
a limited approach since it did not have sufficient information at the 
time to determine whether reporting individual model numbers for walk-
in components was feasible. See 76 FR 12422, 12466 (March 7, 2011) 
(``March 2011 CCE Rule''). DOE noted that it would revisit this issue 
in the future. Id. As part of their certification of compliance 
responsibilities, manufacturers have routinely submitted both basic 
model numbers and individual model numbers for walk-in refrigeration 
systems, panels, and doors. These submissions suggest that it is 
feasible for manufacturers to certify both basic model numbers and 
individual model numbers for each brand. Accordingly, DOE proposed to 
require that a walk-in manufacturer include individual model number(s) 
as part of its reporting submission.
    AHRI, Manitowoc, Rheem, Zero Zone, NCC, and KeepRite opposed DOE's 
proposal to expand the model number reporting requirements. (AHRI, No. 
11 at p. 3; Manitowoc, No. 10 at p. 2; Rheem, No. 18 at p. 6; Zero 
Zone, No. 15 at p. 2; NCC, No. 16 at p. 6; KeepRite, No. 17 at p. 2) 
AHRI, Manitowoc, and Rheem disagreed with DOE's observation that 
manufacturers routinely submit both basic and individual model numbers 
for WICF systems, noting that this is not the case for all 
manufacturers or types of equipment. (AHRI, No. 11 at p. 3; Manitowoc, 
No. 10 at p. 2; Rheem, No. 18 at p. 5) AHRI, Manitowoc, Rheem, NCC, and 
KeepRite also noted that the proposed reporting change will greatly 
increase the number of models listed in DOE's Certification Compliance 
Management System (``CCMS'') because there may be hundreds of 
combinations for a given basic model, and make the database more 
difficult for customers to navigate. (AHRI, No. 11 at p. 3; Manitowoc, 
No. 10 at p. 2; Rheem, No. 18 at pp. 5-6; NCC, No. 16 at p. 6; 
KeepRite, No. 17 at p. 2) Bally commented that DOE also needs to 
consider the effect of an increase in door basic models as a result of 
the new energy conservation standard going into effect on June 3, 2017. 
Once the maximum energy consumption metric becomes effective many 
variables such as door area, U-value, and power consumption will impact 
door basic models. Separating its models by door area alone, Bally 
states that it has 63 different combinations. (Bally, No. 22 at p. 1) 
NCC asserted that it may have to recertify daily because it 
manufactures so many custom products. (NCC, No. 16 at p. 6) Hussmann 
and KeepRite commented that the proposed requirement would 
significantly increase the complexity of reporting, which would result 
in the reporting of hundreds of model numbers. (Hussmann, No. 20 at p. 
3; KeepRite, No. 17 at p. 2) Zero Zone commented that the additional 
model number reporting requirements would increase paper work for the 
manufacturers without providing any value to customers. (Zero Zone, No. 
15 at p. 2)
    Lennox argued that the proposed individual model number reporting 
requirement would be burdensome unless it was allowed to group its 
individual model numbers using the ``wildcard'' digit placeholders it 
currently uses when reporting. (Lennox, Public Meeting Transcript, No. 
23 at pp. 70-71) Hussmann added that allowing placeholder digits 
(``wildcards'') for both AWEF-altering and AWEF-agnostic model changes 
would simplify the reporting process, allow for a clean transition to 
marketing materials, and clarify the rating system for consumers. 
(Hussmann, No. 20 at p. 3) Rheem and NCC similarly advocated for the 
use of placeholder characters (e.g., ``*'') in model numbers to 
represent design options that do not materially affect the reported 
efficiency performance. (Rheem, No. 18 at p. 5; NCC, No. 16 at p. 6) 
NCC also requested clarification on the use of wildcards for individual 
model numbers and basic model numbers. (NCC, Public Meeting Transcript, 
No. 23 at pp. 76-77)
    DOE acknowledges that its proposal requiring manufacturers to 
report the basic model number and individual model number(s) for each 
brand distributed in commerce may result in an increase in reporting 
burden. However, as explained in the August 2016 NOPR, DOE believes the 
additional burden to be minimal. 81 FR at 54940. DOE disagrees with the 
comments from AHRI, Manitowoc, and Rheem that manufacturers are not 
currently reporting individual model numbers. As of October 2016, each 
basic model listed in DOE's Compliance Certification Database \10\ 
lists an individual model number. Examples of certifications that have 
both basic model numbers and individual model numbers can be found in 
this rulemaking's docket. (See EERE--Compliance Certification Database, 
Walk-ln Coolers and Freezers Refrigeration Systems Screenshots, No. 27 
at p. 1) Further, as all certifications appearing in DOE's Compliance 
Certification Database already include a basic model and individual 
model number, DOE does not agree with AHRI, Manitowoc, Rheem, NCC, and 
KeepRite that the proposed

[[Page 95780]]

reporting change will greatly increase the number of models.
---------------------------------------------------------------------------

    \10\ DOE's Compliance Certification Database can be found at: 
www.regulations.doe.gov/certification-data/#q=Product_Group_s%3A*.
---------------------------------------------------------------------------

    However, as requested by Lennox, Hussmann, and NCC, manufacturers 
may use wildcards to represent non-energy consuming features when 
certifying individual model numbers. Wildcards may not be used to 
represent energy consuming components that would result in a different 
representative value, but manufacturers may elect to group those 
individual models into one basic model at their discretion. Based on 
the comments received from Lennox and Hussmann, DOE understands that 
allowing wildcards will simplify the requirement to report individual 
models and will alleviate the concerns noted by AHRI, Manitowoc 
Foodservice, Rheem, Zero Zone, NCC, KeepRite, Bally, and Hussmann. 
Therefore, with the clarifications noted in this paragraph, this rule 
will require walk-in component manufacturers to submit both the basic 
model number and the manufacturer's individual model number(s).
    With respect to the issue of energy-consuming components, Hussmann 
questioned whether individual models with design differences that are 
small but affect the units' energy consumption (e.g., one model with 
full electric heaters and another model with only a drain pan heater) 
could be grouped under the same basic model number under the lowest 
AWEF rating in the group. (Hussmann, Public Meeting Transcript, No. 23 
at pp. 71-72) DOE refers Hussmann to the March 2011 CCE Rule where it 
established the basic model concept for walk-in coolers and freezers. 
That rule explained that the basic model concept permits flexibility in 
determining how manufacturers choose to group individual models with 
essentially, but not exactly, identical energy efficiency 
characteristics. DOE encouraged manufacturers to adopt a reasonable 
approach to basic model groupings and to certify as a single basic 
model those individual models that possessed only superficial 
differences, such as product finishes. The Department clarified that 
all models identified in a certification report as being the same basic 
model must have the same certified energy efficiency or consumption 
rating. Additionally, any individual model that is modified in a manner 
resulting in performance that is less efficient (or more consumptive) 
than the rated level when tested in accordance with the DOE test 
procedures in Parts 430 and 431 and the applicable sampling plans in 
Part 429 must be re-rated as a new basic model and certified to DOE. 
Certified ratings must be supported by tested values that are at least 
as efficient as the rating when the applicable sampling plans in Part 
429 are applied. 76 FR at 12429.
    DOE also proposed adding reporting requirements for both the 
standards promulgated in the June 2014 final rule (with a June 2017 
compliance date) and for the 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 proposed requiring certification reports to include the 
following product-specific information to show compliance with the 
amended energy conservation standards:
    --Doors: Rated energy consumption, rated surface area in square 
feet, 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.
    --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).
    ASAP and NEEA supported the proposed expansion of reporting 
requirements for doors and other WICF components, and agreed with DOE 
that this information is necessary to allow DOE to verify the door's 
rated energy consumption. (ASAP and NEEA, No. 19 at p. 3)
    KPS commented that the new reporting requirements are burdensome to 
WICF OEMs that do not manufacture all door options and other power-
rated accessories or any nonstandard option. In its view, this 
information is dynamic and may change with each order. KPS asked if the 
WICF OEM can rely on each of the relevant vendors to meet the component 
testing requirements and be in compliance with DOE. (KPS, No. 8 at p. 
1) A manufacturer of a walk-in component (i.e., the entity that 
manufactures, produces, assembles or imports a walk-in panel, door or 
refrigeration system) is responsible for ensuring the compliance of the 
component(s) it manufactures. A manufacturer of a complete walk-in must 
ensure that the walk-in, including all regulated constituent 
components, meets applicable statutory and/or regulatory standards. 
That is, a manufacturer of a complete walk-in is required to use 
components that comply with the applicable standards and have been 
certified as compliant, and must ensure the final product satisfies the 
statutory design requirements.
    Bally suggested that manufacturers of door components (e.g., 
display windows) should be responsible for verifying the U-value of 
their products, rather than having the testing burden rest with 
refrigeration door manufacturers. (Bally, Public Meeting Transcript, 
No. 23 at p. 75) Similarly, as noted earlier, Dow commented that it 
understood from the proposal that the insulation supplier is not 
responsible for certifying and reporting the R-value of the finished 
panels, but is responsible for providing the panel or component 
manufacturer with accurate R-value testing results of the insulation 
supplier's material. Dow requested that DOE further clarify the role of 
the insulation supplier in the certification and compliance process. 
(Dow, No. 9 at p. 3)
    Walk-in cooler and walk-in freezer manufacturers may rely on test 
data developed by other entities that supply sub-assemblies of a walk-
in component (e.g., insulation suppliers or display window suppliers). 
However, the manufacturer of a walk-in component (i.e., the entity that 
manufactures, produces, assembles or imports a walk-in panel, door or 
refrigeration system) is responsible for ensuring the compliance of the 
component(s) it manufactures.
    DOE's new certification requirements will provide comprehensive, 
up-to-date efficiency information about walk-in equipment sold in the 
United States at any given time--a necessary predicate to an effective 
enforcement program. This rule adopts these new certification 
regulations for walk-in doors and refrigeration systems to ensure that 
DOE has the information it needs to ensure that regulated products sold 
in the United States comply with the law. As discussed in section 
III.A.1.d of this final rule, DOE is also requiring indoor dedicated 
condensing units to specify if the basic model is also certified as an 
outdoor dedicated condensing unit and, if so, the basic model number 
for the outdoor dedicated condensing unit.
    Hussmann expressed concern regarding how doors from a walk-in 
system manufactured before the current standard would be replaced, 
suggesting that there may be challenges retrofitting compliant doors to 
these older systems. (Hussmann, Public Meeting Transcript, No. 23 at p. 
111-112) DOE clarifies that all walk-in doors manufactured on or after 
June 5, 2017 must comply with applicable energy conservation standards. 
10 CFR 431.306(c)-(d) DOE does not provide an exclusion for retrofit or 
replacement doors.

[[Page 95781]]

b. Manufacturers of Complete Walk-ins
    In the August 2016 NOPR, DOE explained that while it does not 
require manufacturers of complete walk-ins to submit certification 
reports for the complete walk-in itself, 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 that meets DOE 
requirements and bear no responsibility for the testing and 
certification of the panel. In any of these situations, the installer 
must use compliant panels. The only difference between the three 
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 of the component; if those representations turn 
out to be false, the component manufacturer is responsible.
    As discussed in more detail in III.B.5 of this final rule, DOE 
proposed several labeling 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-based 
regulations requiring certification (doors, panels, and refrigeration 
systems), walk-ins generally must: have automatic door closers; have 
strip doors, spring hinged doors, or some 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.
    At the public meeting discussing the proposed test procedure, Bally 
remarked that it seems unlikely that an installer could use an 
uncertified panel with a claimed compliant R-value because component 
manufacturers cannot distribute panels that are uncertified. (Bally, 
Public Meeting Transcript, No. 23 at p. 110) DOE clarified that its 
proposal covers a scenario where a walk-in is built out of insulated 
building materials designed for applications other than walk-in coolers 
and freezers. In this scenario, the manufacturer of a complete walk-in 
is responsible for the compliance of the walk-in that it assembled and 
ensuring that the insulated building materials used to construct the 
walk-in meet the applicable R-value standards.
c. Compliance Date
    Commenters raised questions regarding the compliance dates for 
walk-in refrigeration energy conservation standards and related 
refrigeration system reporting requirements.
    Hussmann requested that the enforcement date for medium temperature 
condensing units be pushed back to align with that of the other WICF 
refrigeration systems. Hussmann argued that these systems often share 
components and this change would allow manufacturers the flexibility to 
work with all equipment classes at one time. (Hussmann, No. 20 at p. 3)
    DOE issued an enforcement policy on February 1, 2016, explaining 
that DOE will not seek civil penalties or injunctive relief concerning 
violations of the four energy conservation standards applicable to 
dedicated condensing refrigeration systems operating at medium 
temperatures detailed at 10 CFR 431.306(e). DOE will not seek civil 
penalties or injunctive relief in these cases provided that the 
violations relate to the distribution in commerce of WICF refrigeration 
system components manufactured prior to January 1, 2020.\11\
---------------------------------------------------------------------------

    \11\ DOE's enforcement guidance can be found at: http://energy.gov/sites/prod/files/2016/02/f29/Enforcement%20Policy%20Statement%20-%20WICF%2002-01-16.pdf.
---------------------------------------------------------------------------

    Lennox asked that DOE explicitly align the reporting requirements 
for medium temperature condensing units with the January 1, 2020 
enforcement date (i.e., delay reporting to January 1, 2020). (Lennox, 
No. 13 at p. 6) DOE did not waive the certification requirements for 
dedicated condensing refrigeration systems operating at medium 
temperatures that are promulgated at 10 CFR 431.306(e). Accordingly, 
manufacturers must certify compliance in a manner consistent with the 
applicable compliance date specified in that provision. Only those 
models properly certified as compliant with applicable standards will 
be posted on DOE's CCMS public database.
4. Enforcement Provisions
a. Sampling Plan for Enforcement Testing of Covered Equipment and 
Certain Low-Volume Covered Products
    DOE proposed 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. DOE received no comments on this 
proposal and is adopting it in this final rule.
b. Equipment-Specific Enforcement Provisions
    DOE proposed to add specific enforcement provisions for walk-in 
refrigeration systems and doors to 10 CFR 429.134. Specifically, DOE 
proposed to clarify which entity or entities are liable for the 
distribution of noncompliant units in commerce and how to verify the 
refrigeration capacity for walk-in refrigeration systems and surface 
area of walk-in doors.
    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 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 (in accordance with DOE 
labeling requirements) as compliant but later found to be noncompliant 
with the applicable standards. DOE did not receive any comments on this 
aspect of its proposal and is adopting it in this final rule.
    DOE also proposed adding an explanation of how DOE verifies the 
refrigeration capacity for walk-in refrigeration systems to 10 CFR 
429.134. Specifically, DOE proposed that the refrigeration capacity of 
the basic model would be measured pursuant to the test requirements of 
10 CFR part 431 for each unit tested. The results of the measurement(s) 
would be averaged and compared to the value of refrigeration capacity 
certified by the manufacturer. Under this approach, the certified 
refrigeration capacity would 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

[[Page 95782]]

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. See 81 FR at 54941.
    Manitowoc commented in support of the 5 percent tolerance during 
enforcement testing. (Manitowoc, No. 10 at p. 2) AHRI and Lennox 
supported DOE's proposal to verify the net capacity, but suggested that 
``within'' be replaced by ``plus or minus'' to provide a slightly wider 
range around the net capacity value. (AHRI, No. 11 at p. 4; Lennox, No. 
13 at p. 10)
    DOE agrees with Lennox and AHRI that specifying ``plus or minus 5 
percent'' clarifies the regulatory text at 10 CFR 429.134(l)(2). In 
this rule, DOE will finalize its proposal related to the certified 
refrigeration capacity, but will amend it to specify that the certified 
net capacity will be considered valid ``only if the average measured 
net capacity is within plus or minus five percent of the certified net 
capacity.''
    Further, DOE proposed to specify how DOE would verify the surface 
area for walk-in display doors and non-display doors in 10 CFR 429.134. 
The certified surface area would 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 value would be used as the basis for 
calculating the maximum energy consumption for the basic model. If the 
certified surface area is found to be invalid, the average measured 
surface area would serve as the basis for calculating maximum energy 
consumption for the basic model. See 81 FR at 54941.
    Bally commented that in some walk-in applications the door cap 
height is reduced by 2-inches to accommodate grout and tile used for 
walk-in floors, resulting in a shorter walk-in door. The 1% certified 
surface area will mean that for a 78'' door, each \3/4\'' of an inch 
will require a new basic model number. Bally asked that DOE consider 
allowing these ``shortened doors'' to be measured to the nominal full 
door measurements, as compared to the door frame. (Bally, No. 22 at p. 
2) DOE understands from the scenario Bally described that a 1% 
tolerance on door height is too stringent and would require door 
manufacturers to create additional basic models to allow for small 
changes in door height. DOE declines to adopt Bally's suggestion to use 
a nominal door height because nominal door height is undefined and may 
allow for too much size variation. However, DOE is adopting a tolerance 
of 3% in this final rule to give door manufacturers more flexibility to 
establish basic models. A 3% tolerance allows a 78-inch door to be 
adjusted by 2 inches to accommodate features like raised flooring as 
specified by Bally. Accordingly, under the provision adopted here, 
which aligns with the provision adopted for refrigeration capacity 
tolerance, DOE will treat certified surface areas as valid ``only if 
the average measured surface area is within plus or minus three percent 
of the certified surface area.''
    DOE also proposed to specify in 10 CFR 429.134 how it will account 
for the rated power (as defined in the proposal) of each electricity 
consuming device(s) in calculating the walk-in door energy consumption. 
For each basic model of walk-in cooler and walk-in freezer door, DOE 
would 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 would use the device's ``rated power'' included in the 
door's certification report. 81 FR at 54941. DOE did not receive any 
comments regarding this proposal and is adopting it in this final rule.
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 proposed labeling requirements for walk-ins--specifically, that 
certain information be shown on the permanent nameplates of doors, 
panels, and refrigeration systems. DOE also proposed to clarify 
requirements with respect to the disclosure of efficiency information 
in marketing materials and the labeling requirements for process 
cooling refrigeration systems. In the following sections, DOE's 
specific proposal and comments received regarding its proposed 
nameplate requirements are discussed in detail.\12\
---------------------------------------------------------------------------

    \12\ In addition, consistent with 42 U.S.C. 6315, DOE also 
sought written input from the Federal Trade Commission. The FTC had 
no comments regarding DOE's labeling proposal.
---------------------------------------------------------------------------

a. EPCA Criteria To Prescribe a Labeling Rule
    DOE reviewed the labeling requirements proposed in the August 2016 
NOPR with respect to the three statutory prerequisites addressing the 
Secretary's authority to promulgate labeling rules. (42 U.S.C. 6315(h)) 
The following paragraphs addresses these elements and accounts for the 
comments responding to this aspect of DOE's proposal.
Economically Justified and Technologically Feasible
    DOE found the proposed labeling recommendations would be 
technologically and economically feasible with respect to walk-in 
cooler and freezer equipment class. In general, DOE also found that 
walk-in refrigeration system manufacturers and display door 
manufacturers already include nameplates on their equipment. Typically, 
these nameplates include the equipment's model number.\13\ DOE 
explained that the inclusion of energy efficiency or energy consumption 
information on these labels would be technologically feasible for 
refrigeration

[[Page 95783]]

system and display door manufacturers to accomplish without increasing 
the size of the label and that the associated costs of doing so would 
be negligible. Accordingly, in DOE's view, the proposed labeling 
requirement would be economically feasible as well. 81 FR at 54942.
---------------------------------------------------------------------------

    \13\ Examples of walk-cooler and freezer component labels can be 
found in this rulemaking's docket. (See 2016-12-01 Label Examples 
for Walk-in Cooler and Freezer Components, No. 28, pp. 1-10.)
---------------------------------------------------------------------------

    DOE explained in the August 2016 NOPR that it was less common for 
non-display doors and panels for walk-ins to have nameplates, but that 
it was more likely that an entire assembled walk-in may have a single 
nameplate. Nonetheless, DOE found that adding a permanent nameplate or 
permanent sticker to both walk-in non-display doors and panels would be 
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. Accordingly, based on these facts, DOE 
found that the proposed labeling requirements would be economically 
feasible. 81 FR at 54942.
    Several commenters responded to these aspects of DOE's proposal.
    Bally commented that the proposed requirements for panel labeling 
is not technologically feasible because putting the date of manufacture 
on each panel is difficult. Since the labels are usually printed days 
or weeks before the actual manufacturing date, the proposed requirement 
would force manufacturers to put a second label on the panel printed on 
the day or day after manufacture. Further, in its view, labeling is not 
technologically feasible because labeling each panel requires the 
creation of many unique nameplates for even a small walk-in. (Bally, 
No. 22 at p. 2) Regarding these comments, as discussed in section 
III.B.5.b of this final rule, DOE is no longer requiring walk-in panel 
labels to include the R-value, model number, or date of manufacture. 
Therefore, under the approach adopted in this rule, walk-in panels will 
not require two labels as Bally suggested. Additionally, DOE is 
adopting a requirement to have a generic statement for walk-in panel 
labels, which eliminates the need for each panel to have a unique 
label.
    KPS claimed the amount of information being requested for labels 
will increase the size of the label, and that their presence will 
disrupt the aesthetics of the panel because the OEM will be required to 
place them on each panel or door. (KPS, No. 8 at p. 1) Heat Controller 
also commented that, for some small equipment, the increased size of 
the label due to the proposed regulation may make it difficult to place 
the label according to UL's requirements. (Heat Controller, Public 
Meeting Transcript, No. 23 at p. 96)
    KPS also stated that the label must be dynamic for each unique job, 
and the burdens faced by manufacturers come in the form of the cost of 
implementing the proposed changes--namely, the cost of the change, the 
time to implement the labeling requirement, and the materials used to 
make the labels. Marketing collateral changes, required system changes, 
and the burden to customers will, in KPS's view, result in a cost 
impact much greater than $10,000. (KPS, No. 8 at p. 1) Hussmann noted 
that the proposed labeling requirements would require it to develop a 
new label format, rewrite labeling software, and purchase new labeling 
machines that can handle the increased size of the label. (Hussmann, 
No. 20 at p. 2) Bally also expressed concern regarding the economic 
implications of the proposed requirements. It noted that describing the 
label as a ``nameplate'' implies higher costs than ``label''. (Bally, 
Public Meeting Transcript, No. 23 at p. 87) American Panel commented 
that it is not economically feasible to label each panel because 
label(s) would have to be high-grade Mylar/polyester in order to 
withstand being power washed and cleaned with harsh chemicals. The 
added cost to track and uniquely label each panel would bring no more 
benefit than having a single label for an entire walk-in. (American 
Panel, No. 7 at p. 1)
    With respect to the labeling requirements generally, DOE notes that 
the requirements adopted in this rule will align with some of the 
labeling information already required by UL (e.g., brand name, model 
number, and date of manufacture). To this end, DOE believes that this 
alignment will make it less likely that manufacturers will need to 
increase the size of the labels that are already applied to walk-in 
panels and doors.
    Regarding the remaining potential feasibility issues raised by 
commenters, DOE notes that the final rule reduces the amount of 
information required on component nameplates and the amount of 
information required to be disclosed in catalogs and marketing 
materials for walk-in panels, doors, and refrigeration systems. In 
light of KPS's concerns, the final rule does not require each walk-in 
component to have a unique label showing the applicable representative 
energy efficiency or energy consumption. Regarding Hussmann's comment 
that the proposed labeling requirements will cause manufacturers to 
undergo significant retooling, in DOE's view, the reduced requirements 
adopted in this rule for all walk-in components will likely reduce the 
amount of retooling--if any--that may be required by the rule. See 
section III.B.4.b, supra. As to Bally's and American Panel's concerns 
on the expenses associated with using permanent nameplate materials, 
DOE clarifies that it is using the term ``permanent'' to mean that the 
label is not easily removable and will not become detached from the 
equipment under everyday wear and tear. As long as walk-in labels meet 
the aforementioned specifications, manufacturers may select appropriate 
labeling materials at their discretion.
    DOE also notes that it considered the cost to manufacturers of 
updating their marketing materials to include efficiency information, 
brand, model number, and the disclosure statement on each page of the 
document that listed the walk-in component. See 81 FR at 54944 and 
54945-54946 (discussing potential burden impacts on walk-in 
manufacturers, including small manufacturers). Marketing materials 
include literature, data sheets, selection software, sales training, 
and compliance documentation. In this final rule, DOE reduced the 
burden by removing the term ``each page'' from its requirement to 
disclosure of efficiency information in catalogs and marketing 
materials. Instead, DOE is requiring that all catalogs that list a 
regulated walk-in component and all materials used to market the 
component prominently display the same information that appears on the 
component's permanent nameplate and the applicable efficiency 
information. However, this information is not required to be on each 
page of such materials.
    All of the changes that DOE is adopting in this final rule create 
less burdensome labeling requirements than those proposed in the NOPR. 
The labeling requirements for panels and doors are designed such that 
the labels can be applied across a range of basic models. Also, DOE is 
adopting less burdensome information display requirements for product 
catalogues. Reflecting the nature of these changes, DOE is estimating 
labeling and compliance costs on a per manufacturer basis rather than 
on a per model basis. Activities associated with software selection, 
sales training and compliance documentation are typically a one-time 
expense for each manufacturer and do not scale with the number of 
models. Further, product literature templates are generally 
standardized templates shared between groups of walk-in components. 
Therefore, updates to these materials are

[[Page 95784]]

more accurately scaled by manufacturer than by model. DOE estimated an 
investment of $50,000 per manufacturer to produce nameplates and 
literature that meet the labeling requirements based on conversations 
with manufacturers and published literature.\14\
---------------------------------------------------------------------------

    \14\ Food and Drug Administration, http://www.fda.gov/ohrms/dockets/dockets/04n0382/04n-0382-bkg0001-Tab-05-01-vol1.pdf, page 3-
13 (last accessed November 2016).
---------------------------------------------------------------------------

Significant Energy Savings
    DOE stated in the August 2016 NOPR that 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). DOE 
explained that requiring labels that include the rated value subject to 
the standards will increase consumer awareness of the standards. 81 FR 
at 54943. 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 both 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 limit the potential compliance burden faced by these entities. 
For example, DOE understands from manufacturer interviews and market 
research that insulated metal panels may be used in other types of 
applications, such as communications equipment sheds.\15\ 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.
---------------------------------------------------------------------------

    \15\ Examples of insulated metal panels can be found in this 
rulemaking's docket. (See ``Examples of Insulated Panels Used in 
Applications Other than WICF'', No. 29, pp. 1-11).
---------------------------------------------------------------------------

    In the August 2016 NOPR, DOE also explained 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 are 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 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. 81 FR at 54943.
    AHRI claimed that consumers will not see a label on the equipment 
before it is purchased, and that a label will not save energy, increase 
demand for more efficient walk-ins, or be used to make purchasing 
decisions. In addition, AHRI argued that most walk-ins are built to 
order and the labels will not assist customer decision making. 
Furthermore, it noted that customers do not want labels visible on 
their equipment, which is frequently displayed in a client-facing 
business setting. However, AHRI remarked that the ratings in CCMS and 
marketing materials may assist customers in purchasing decisions, but 
the tangible labels placed on equipment require additional cost without 
any consumer benefit. (AHRI, No. 11 at pp. 1-2) Manitowoc and Rheem 
agreed that ratings displayed in DOE's CCMS and in marketing materials 
may assist customers in purchasing decisions, but argued that labels 
would incur cost to manufacturers without any customer benefit. 
(Manitowoc, No. 10 at p. 1; Rheem, No. 18 at p. 5) Manitowoc, Rheem, 
Zero Zone, and KeepRite also commented that WICF units are usually 
built to order, not to sell in a retail setting, and therefore labels 
will not assist customers in their buying decisions. (Manitowoc, No. 10 
at p. 1; Rheem, No. 18 at p. 4; Zero Zone, No. 15 at p. 2; KeepRite, 
No. 17 at p. 3)
    Bally argued that because the customer purchases the panels before 
seeing them, the panel labels have less of an effect on purchasing 
decisions than marketing literature. (Bally, Public Meeting Transcript, 
No. 23 at p. 86; Bally, No. 22 at p. 3) Bally added that energy savings 
will not likely result from the proposed labeling regulation. Bally 
commented that while the test procedures for panels and doors include 
``short cuts'' that assist manufacturers with testing, they can distort 
equipment comparisons. Specifically, regarding door labels, Bally noted 
that the rating does not reflect the range of actual uses seen in the 
field and the customers' actual energy use will not be accurately 
reflected by the energy consumption on the nameplate. Bally contended 
that this situation may confuse customers and cause them to misjudge 
the requirements of their equipment. Regarding panel labels, Bally 
noted that the R-value is not easily converted into cost savings. Bally 
also noted that manufacturers (especially of freezers) only certify 
that their equipment meet the minimum requirements; therefore, 
customers would not be able to make significant judgments from the data 
displayed on the label. (Bally, No. 22 at p. 3)
    In this rule, DOE is adopting labeling requirements that will 
likely result in significant energy savings by increasing consumers' 
awareness of the standards and helping installers, assemblers, and 
contractors ensure that the equipment they select is intended for walk-
in applications. In addition, DOE's labeling requirements are likely to 
assist consumers in making purchasing decisions. As explained in 
section III.B.5.a and section III.B.5.c of this final rule, DOE 
modified its labeling requirements to specify that catalogs and 
marketing materials for each walk-in component must include each basic 
model's representative energy consumption or energy efficiency, as 
applicable. As AHRI, Manitowoc, Rheem, and Bally commented, including 
this information in marketing materials is beneficial to customers 
making purchasing decisions.
    Regarding built-to-order equipment, DOE notes that energy 
conservation standards for walk-in components were established, in 
part, to address regulatory complications associated with the 
customization of walk-ins. Even if a complete walk-in is designed from 
a variety of components from different manufacturers, applying labels 
on walk-in equipment allows the installer verify that each component is 
appropriate for walk-in applications. In addition, including 
representative efficiency information in equipment catalogs and 
marketing materials allows entities designing walk-ins to compare the 
efficiency of walk-in components.
    In response to Bally's comment that the test procedure for walk-in 
doors distorts energy consumption and is not indicative of energy use 
in the field, DOE notes that the specific rating conditions in the test 
procedure were established so that measured energy consumption is more 
equitable across the market. If a manufacturer believes that the test 
procedure is unrepresentative of a basic model's energy use, it may 
seek a test procedure waiver in accordance with the requirements in 10 
CFR 431.401.
    AHRI requested that DOE rescind the labeling proposal because the 
requirements of 42 U.S.C. 6315 have not been met. Specifically, AHRI 
commented that labeling will not assist customers in making purchasing 
decisions nor will labels save energy by increasing demand for more 
efficient walk-ins. (AHRI, No. 11 at p. 1-2) As explained in the 
preceding paragraphs, however, DOE concludes that this final rule meets 
the requirements of 42 U.S.C. 6315.

[[Page 95785]]

b. Information Disclosed on Permanent Nameplates
    DOE proposed that the permanent nameplates of doors, panels, and 
refrigeration systems display certain information.
    For walk-in doors, DOE proposed that the permanent nameplates of 
these components must be clearly marked with the rated energy 
consumption, brand name, model number, date of manufacture, and an 
application statement that states, ``This door is designed and 
certified for use in walk-in cooler and freezer applications.'' 
Specifically, the energy consumption would need to be identified with 
an ``EC_'' immediately preceding the relevant value and the model 
number would need to be displayed in one of the following forms: 
``Model_'', ``Model number_'', or ``Model No. _''. 81 FR at 54942.
    With respect to panels, DOE proposed that the permanent nameplates 
of panels for walk-in cooler and walk-in freezers clearly display the 
rated R-value, brand name, model number, date of manufacture, and an 
application statement that states, ``This panel is designed and 
certified for use in walk-in cooler and freezer applications.'' The R-
value would be identified with an ``R-value_'' immediately preceding 
the relevant value. The model number would also need to be displayed in 
one of the following forms: ``Model_'', ``Model number_'', or ``Model 
No. _''. 81 FR at 54954.
    For walk-in refrigeration systems that are not manufactured solely 
for process cooling applications, DOE proposed that the permanent 
nameplates of these components be clearly marked with the AWEF, brand 
name, refrigeration system model number, date of manufacture, and an 
application statement that states, ``This refrigeration system is 
designed and certified for use in walk-in cooler and freezer 
applications.'' The AWEF must be identified with ``AWEF_'' immediately 
preceding the relevant value and the model number must be displayed in 
one of the following forms: ``Model_'', ``Model number_'', or ``Model 
No. _''. 81 FR at 54942. In addition, DOE proposed 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 brand name, model number, the date of manufacture, and the 
statement, ``This refrigeration system is designed only for use in 
walk-in cooler and freezer process cooling refrigeration 
applications.'' The model number would 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 non-process cooling refrigeration applications, then 
the refrigeration system must be clearly marked with its applicable 
AWEF, brand name, model number, date of manufacture, and an application 
statement that says, ``This refrigeration system is designed and 
certified for use in walk-in cooler and freezer applications.'' 81 FR 
at 54942.
    Finally, for each of these proposed requirements, DOE proposed that 
all orientation, spacing, type sizes, typefaces, and line widths used 
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. 81 FR at 54942.
    DOE received general comments as well as specific concerns on its 
labeling proposal. ASAP and NEEA supported the proposed labeling 
requirements. (ASAP and NEEA, No. 19 at pp. 3-4) The CA IOUs supported 
the adoption of WICF component labeling requirements that would apply 
to each WICF component, including labels on each individual panel and 
door. (CA IOUs, No. 21 at p. 3) AHRI, Manitowoc, Rheem, and Zero Zone 
recommended that DOE drop the proposed labeling requirements for WICF 
refrigeration systems because labels will not help customers make 
purchasing decisions. (AHRI, No. 11 at p. 2; Manitowoc, No. 10 at p. 1; 
Rheem, No. 18 at p. 4; Zero Zone, No. 15 at p. 2; Hussmann, No. 20 at 
p. 2) Similarly, KeepRite requested that the labeling requirements be 
removed for refrigeration equipment and panels. (KeepRite, No. 17 at p. 
3) Hussmann requested that there be no additional labeling requirement 
and added that it already labels their equipment as required by UL. 
(Hussmann, No. 20 at p. 2) Rheem added that potential labeling 
requirements should have been brought up during the ASRAC negotiation. 
(Rheem, No. 18 at p. 5)
    With respect to the labeling of efficiency information, AHRI 
suggested that DOE require efficiency information to be included only 
in published materials. AHRI explained that customers will use 
marketing materials to compare energy efficiency and ensure ratings 
were calculated according to the DOE-specific test procedure. (AHRI, 
No. 11 at p. 2) Rheem argued that online resources, including the CCMS 
database and manufacturer's literature, are preferable to labels since 
these sources of information offer consumers context, meaning and the 
opportunity to compare ratings--none of which are possible with the 
proposed physical labels. Rheem explained that because WICFs are not 
built to be purchased in a retail setting or for head-to-head 
comparison--as most WICF equipment is built to order--labels will not 
assist customers in making purchasing decisions. Moreover, consumers 
would prefer not to have labels on equipment that is for display 
purposes. (Rheem, No. 18 at p. 4-5)
    CrownTonka, Bally, and KeepRite expressed concern about labeling 
each panel individually. CrownTonka commented that most of their food 
customers and local health officials do not want labels on each panel. 
(CrownTonka, Public Meeting Transcript, No. 23 at pp. 84-85) Bally 
commented that requiring labels for each panel model would require 
manufacturers to invest in in-house labeling capabilities and may 
impact manufacturing process times. (Bally, Public Meeting Transcript, 
No. 23 at pp. 102-103) Bally also noted that panels qualifying for both 
freezer and cooler applications would require two separate R-value 
labels for each operating condition. (Bally, No. 22 at p. 3) KeepRite 
commented that labeling every panel is not necessary, redundant and 
wasteful. KeepRite added that the labeling of every panel would not be 
aesthetically pleasing and could lead to sanitation issues. (KeepRite, 
No. 17 at p. 3) American Panel agreed that walk-in components should be 
labeled to demonstrate DOE compliance, but saw no value to the customer 
having labels on every walk-in insulated panel. American Panel added 
that labels are not seen until installation, and some panels are hidden 
by floor covering. (American Panel, No. 7 at p. 1) However, the CA IOUs 
supported requiring labels on each individual panel and door, noting 
that this is common practice for many construction materials (wall 
insulation, windows). (CA IOUs, No. 21 at p. 3)
    Stakeholders also recommended alternative approaches to reduce the 
labeling burden. Manitowoc and KeepRite suggested that, if DOE retains 
the labeling requirements, then DOE should allow manufacturers to have 
a single label on each walk-in. (Manitowoc, No. 10 at p. 1; KeepRite, 
No. 17 at p. 3) KeepRite explained that a majority of panels arrive to 
the jobsite on the same truckload. (KeepRite, No. 17 at p. 3) 
CrownTonka noted that it usually provides all floor, wall, and ceiling 
panels for a given walk-in; IB noted that, in addition to all panels, 
it also usually provides passage doors. Therefore, both manufacturers 
suggested

[[Page 95786]]

a labeling system where all of the components they provide for an 
initial installation could be covered under a single label, and only 
replacement panels ordered later on would be individually labeled. 
(CrownTonka, Public Meeting Transcript, No. 23 at pp. 97-99; IB, Public 
Meeting Transcript, No. 23 at pp. 99-100) Hussmann commented that since 
walk-ins are assembled in the field, labeling each door or panel would 
be excessive and it preferred using a single label for the whole WICF. 
In addition, Hussmann criticized the proposed labeling statements as 
being long and likely to crowd the nameplate. It suggested as an 
alternative that a mark indicating compliance, similar to the UL or 
ENERGY STAR marks, be used instead. (Hussmann, No. 20 at p. 2)
    Other stakeholders commented on the proposed language for inclusion 
on all walk-in equipment permanent nameplates--i.e., ``This [equipment 
class] is designed and certified for use in walk-in cooler and freezer 
applications.'' Bally commented that while it supported the phrase 
concept, it preferred to include only this phrase on equipment labels. 
Bally explained that they could easily include the phrase on a UL 
sticker, but information like R-value, model number, or date of 
manufacturer would require custom label machinery. (Bally, Bally, 
Public Meeting Transcript, No. 23 at p. 102) Bally and CrownTonka 
supported using a set of three generalized labels which could applied 
to a range of panel models. (Bally, Public Meeting Transcript, No. 23 
at pp. 105, 101-102; CrownTonka, Public Meeting Transcript, No. 23 at 
p. 106) CrownTonka commented that it generally builds and sells panels 
with a specific design, i.e. cooler or freezer, in mind. (CrownTonka, 
Public Meeting Transcript, No. 23 at p. 105) To this end, it suggested 
using one of the following phrases to indicate the intended purpose of 
WICF doors: ``Walk in (Cooler/Freezer) Door Assembly'' or ``Certified 
Walk in (Cooler/Freezer) Door.'' (Bally, No. 22 at pp. 3-4) Similarly, 
Rheem and NCC suggested that, given the differences in freezer and 
cooler standards, the label's text stating the intended use of the 
panel should read, ``This refrigeration system is designed and 
certified for use in walk-in cooler or freezer applications.'' (Rheem, 
Public Meeting Transcript, No. 23 at p. 92; NCC, Public Meeting 
Transcript, No. 23 at p. 91) Lennox recommended changing the required 
wording on the nameplate to read, ``This refrigeration system is 
designed and certified to DOE requirements for use in walk-in cooler 
and freezer applications.'' (Lennox, No. 13 at p. 9)
    DOE agrees with the suggestion from Bally, CrownTonka, Rheem, and 
NCC. Walk-in components may be designed for walk-in cooler 
applications, walk-in freezer applications, or both walk-in cooler and 
freezer applications. Therefore, DOE finds that the approach suggested 
by these manufacturers improves the application statement because it 
not only identifies that the component is designed for use in a walk-
in, but also identifies the type of walk-in (cooler, freezer, or both) 
for which the component is designed. This additional information would 
help installers verify that they are using the appropriate component 
for a particular application. Therefore, DOE is modifying its proposed 
permanent nameplate requirement by requiring that the permanent 
nameplate indicate whether the basic model is designed and certified 
for use in (1) walk-in cooler applications, (2) walk-in freezer 
applications, or (3) both walk-in cooler and walk-in freezer 
applications. For example, a walk-in panel designed and certified for 
use only in a walk-in cooler must contain on its label the following 
statement, ``This panel is designed and certified for use in walk-in 
cooler applications.'' Similarly, if a walk-in panel is designed and 
certified for both walk-in cooler and walk-in freezer applications, 
then it must contain on its label the following statement, ``This panel 
is designed and certified for use in walk-in cooler and freezer 
applications.'' Although the ``certified'' language on the label 
pertains specifically to the certification of compliance to DOE, to 
minimize the labeling burden, DOE is adopting Lennox's suggestion of 
dropping the proposed inclusion of the language ``to DOE requirements'' 
to the label.
    Regarding the proposed labeling requirements, DOE's intention is to 
adopt a limited set of labeling requirements for walk-in components 
that would reduce the overall burden on manufacturers, including for 
installers who will be relying on these labels when assembling a given 
walk-in. For walk-in doors, DOE is requiring that they include a 
permanent nameplate marked with the door brand name and, as applicable, 
the statement, ``This door is designed and certified for use in [walk-
in cooler, walk-in freezer, or walk-in cooler and freezer] 
applications.''
    Similarly, to reduce the burden on walk-in panel manufacturers 
while preserving information useful for walk-in installers, DOE is 
requiring these components to have a permanent nameplate that includes 
the brand name and, as applicable, the statement, ``This panel is 
designed and certified for use in [walk-in cooler, walk-in freezer, or 
walk-in cooler and freezer] applications.''
    In DOE's view, the more limited labeling requirements being adopted 
in this rule will enable manufacturers to demonstrate that a given 
walk-in component complies with the applicable DOE energy conservation 
standards, while eliminating the burden of creating a different label 
for each basic model. These limited labeling requirements are 
generalized and can be applied to a range of basic models in the manner 
suggested by Bally and CrownTonka. Further, these limited labeling 
requirements reduce manufacturer burden because components designed for 
both walk-in cooler and freezer applications would not require two 
separate labels, a concern expressed by Bally.
    With respect to the concept of using a single label for a completed 
walk-in, DOE notes that its regulatory framework for this equipment 
relies on the component-based statutory scheme established by Congress. 
As a result, applying the single, completed walk-in labeling approach 
suggested by Manitowoc, KeepRite, CrownTonka, IB, and Hussmann would be 
inconsistent with that Congressionally-enacted scheme and potentially 
less effective at ensuring that installers and consumers have reliable 
information regarding whether the walk-in components they are using 
comply with the applicable standards. The requirements in this final 
rule are intended to help manufacturers of a complete walk-in identify 
components that comply with the applicable standards and have been 
certified as such. In DOE's view, a single label for a complete walk-in 
would reduce the utility of the label with respect to complete walk-in 
manufacturers (e.g., installers) since it would offer no information 
regarding the performance of the walk-in's regulated components.
    DOE considers energy efficiency information an important aspect of 
walk-in design, advertising and purchasing and is therefore maintaining 
the requirement to report such information in catalogs and marketing 
materials. This change is consistent with the approach suggested by 
AHRI and Rheem. Specifically, DOE is requiring walk-in door 
manufacturers to include each basic model's representative energy 
consumption in catalogs and marketing materials while walk-in panel 
manufacturers would

[[Page 95787]]

include each basic model's representative R-value in their catalogs and 
marketing materials.
    Regarding door labels, Bally requested that required door labels 
should include units of measure that follow the maximum energy 
consumption metric, ``kWh/day''. (Bally, No. 22 at p. 3) DOE agrees 
with Bally that energy consumption information should be listed with 
the appropriate units of measure. As explained in the previous 
paragraphs, DOE is not requiring walk-in doors to have energy 
consumption marked on their nameplates. However, manufacturers must 
include the representative energy consumption for each basic model of 
walk-in door in equipment catalogs and marketing materials. Per Bally's 
suggestion, DOE is adding a requirement that door energy consumption 
must be listed with the units of measure, ``kWh/day''.
    Lennox, NCC, Heat Controller, CrownTonka, and Bally also commented 
that some of the information that the proposal would require on a label 
is already included in current markings or is otherwise tracked and 
recorded by manufacturers. AHRI, Rheem, and Hussmann commented that 
current safety standards require WICF manufacturers to provide the 
brand name, date of manufacture, and model number via a label, and that 
this information will allow consumers to look up efficiency information 
online--which Hussmann asserts is the preferred method to review 
information because it provides context, meaning and the opportunity to 
compare ratings. (AHRI, No. 11 at p. 2; Rheem, No. 18 at p. 5; 
Hussmann, No. 20 at p. 2) Bally stated that UL labels already placed on 
each door include power consumption and the energy consumption labeling 
proposed would be redundant and confusing. (Bally, No. 22 at p. 3)
    Similar to walk-in doors and panels, DOE's intention is to adopt 
labeling requirements for walk-in refrigeration systems that are not 
overly burdensome to manufacturers and that provide installers with 
enough information to assemble walk-ins with compliant components. In 
addition, based on the comments from AHRI, Rheem, and Hussmann, DOE 
understands that walk-in customers benefit from having brand name, date 
of manufacture and model number information included on refrigeration 
system labels because this information allows walk-in customers to look 
up efficiency information in CCMS or in manufacturer literature. In 
light of the comments received from Lennox, NCC, Heat Controller, 
CrownTonka, AHRI, Rheem, and Hussmann, DOE finds that refrigeration 
systems are already labeled with the brand, date of manufacture, and 
model number information, all of which supports the view that it is 
technologically feasible for refrigeration systems to be labeled with 
this information. Further, manufacturers will have minimal financial 
impacts because they do not need to modify equipment nameplates in 
order to meet a requirement to label walk-in refrigeration systems with 
brand name, date of manufacturer, and model number. This rule requires 
walk-in cooler and freezer refrigeration systems (that are not 
manufactured solely for process cooling applications) to have a 
permanent nameplate marked with the refrigeration system's brand name, 
model number, date of manufacture, and the statement, ``This 
refrigeration system is designed and certified for use in [walk-in 
cooler, walk-in freezer, or walk-in cooler and freezer] applications.'' 
In addition, DOE is requiring a refrigeration system that is not 
designated for outdoor use be labeled with the statement, ``Indoor use 
only.'' See section III.A.1.d for more details. 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 
statement, ``This refrigeration system is designed for use exclusively 
in walk-in cooler and/or freezer process cooling refrigeration 
applications.'' DOE is requiring manufacturers of walk-in refrigeration 
systems to include each basic model's representative AWEF in catalogs 
and marketing materials.
    DOE also notes that EPCA generally requires that labels prescribed 
by the Secretary must indicate the energy efficiency of the affected 
equipment, as tested under the prescribed DOE test procedure. (42 
U.S.C. 6315(b)) For walk-in equipment, the labeling requirements 
prescribed by the Secretary shall indicate the energy efficiency of the 
equipment. See 42 U.S.C. 6315(e). DOE's rule requires that 
manufacturers disclose whether a given regulated walk-in component 
meets the applicable energy efficiency requirement that applies. In 
DOE's view, this approach satisfies the requirements of 42 U.S.C. 6315 
since it discloses whether a given component meets the prescribed level 
of efficiency, while minimizing the associated burden requirements. DOE 
notes that the specific requirements of 42 U.S.C. 6315(e) do not 
require that a specific value be provided on the label--only that the 
label ``indicate the energy efficiency of the equipment.'' In DOE's 
view, this final rule's labeling requirement, which would also be 
coupled with a requirement that equipment catalogs prominently display 
the energy efficiency of regulated components, satisfies this provision 
since the label will readily indicate whether a given component 
satisfies the prescribed energy efficiency level for that component. 
Accordingly, DOE's adopted approach satisfies its legal obligations 
while balancing the interests in providing sufficient information to 
the public against the potential costs of requiring a label for walk-in 
components. DOE notes that manufacturers are free to provide additional 
information regarding the performance of their components should they 
choose to do so, see section III.B.5.b for additional details.
    Given that the disclosure statement represents that the labeled 
component is certified as compliant with the applicable energy 
conservation standard, if a manufacturer has not certified to DOE that 
a component meets applicable standards, the components may not contain 
any labels indicating compliance or certification.
    DOE also received comments specific to the proposed requirement 
that the date of manufacture be included on the label. Lennox commented 
that the month and year of manufacture are already included in its UL 
markings, while NCC noted that its UL markings indicate the 
manufacturing date by quarter and year. (Lennox, Public Meeting 
Transcript, No. 23 at p. 83; NCC, Public Meeting Transcript, No. 23 at 
p. 91) NCC further explained that the exact date of manufacture cannot 
be determined when the nameplates are printed; instead they indicate 
the date of manufacture by quarter within their serial numbers, as 
controlled by the UL safety procedure file. NCC recommended that DOE 
allow manufacturers to continue using the formats defined in their 
safety procedure files. (NCC, No. 16 at p. 2) CrownTonka commented that 
they print serial numbers on each component and use these numbers to 
keep records of the manufactured date, intended use and other details. 
(CrownTonka, Public Meeting Transcript, No. 23 at pp. 92-93) Bally 
commented that it currently prints the manufactured date, job number, 
and other information on each panel. (Bally, Public Meeting Transcript, 
No. 23 at pp. 103-104) Lennox added that it found the proposed 
manufacturing date labeling requirement unclear regarding the required 
format for the date code, and recommended that the manufacturing date 
labeling requirement to be represented by the date code, which is 
incorporated into the unit serial number. (Lennox, No. 13

[[Page 95788]]

at p. 9) Heat Controller commented that the proposed requirement would 
duplicate information that is already embedded in its product serial 
numbers, and that its marketing materials already show customers how to 
read this information. (Heat Controller, Public Meeting Transcript, No. 
23 at pp. 96-97)
    DOE clarifies that if manufacturers typically include model number 
information on the label of a walk-in panel, door, or refrigeration 
system, then that specific requirement is already satisfied for 
purposes of the labeling requirements being adopted in this rule, and 
no further action by a manufacturer would be needed. Regarding the 
issues raised by Lennox and Heat Controller, DOE agrees that if the 
date of manufacture is embedded in the serial number of a given 
regulated component, DOE will consider this approach to satisfy the 
manufacture date requirement. However, DOE emphasizes that a walk-in 
refrigeration system manufacturer is responsible for maintaining 
records to discern the date of manufacture from the serial number for 
each walk-in refrigeration system. DOE is specifying in its labeling 
requirements that if the date of manufacture is embedded in the unit's 
serial number, then the manufacturer of the refrigeration system must 
retain any relevant records to discern the date from the serial number.
    DOE believes that the date of manufacture must reflect the month 
and year the unit was manufactured since the compliance date for the 
energy conservation standards for walk-in equipment is based on the 
date of manufacture. Labeling equipment with the date of manufacture 
enables DOE to readily determine whether a given unit is subject to the 
walk-in energy conservation standards. Quarterly dates of manufacture 
alone contain insufficient information to enable either DOE or the 
manufacturer to readily make this determination.
    Heat Controller asked if a dedicated condensing unit had to be 
labeled with information specific to the dedicated condensing unit or 
information related complete refrigeration system installed in a walk-
in under DOE's proposal. Heat Controller explained that they would not 
know where a dedicated condensing unit would end up and would not know 
the brand or model number under which the complete refrigeration system 
was sold. (Heat Controller, Public Meeting Transcript, No. 23 at p. 94) 
DOE clarifies that a dedicated condensing unit distributed in commerce 
without a matched unit cooler would only need to be labeled with 
information specific to the dedicated condensing unit--e.g., the model 
number of the dedicated condensing unit, the date the dedicated 
condensing unit was manufactured, etc.
    In commenting on the proposed inclusion of the requirement to 
identify the ``refrigeration system brand,'' Lennox viewed this 
proposal as referring to the original equipment manufacturer (``OEM'') 
name and not the brands under which they market their products. It 
requested that ``refrigeration system brand'' be changed to 
``refrigeration manufacturer name'' instead. Lennox stated that 
manufacturer name information is currently represented on all Lennox 
WICF equipment nameplates and DOE's proposal would pose no additional 
burden if implemented in this manner. (Lennox, No. 13 at p. 9) DOE 
agrees that either the manufacturer name or the brand name must be 
displayed on the label for walk-in components. In this rule, DOE is 
adopting labeling requirements for walk-in panels, doors, and 
refrigeration systems that require either the manufacturer name or 
brand name to be displayed on each unit.
    CrownTonka requested that DOE clarify the term ``permanent.'' It 
added that making labels permanent can require different materials, 
different ink, different combinations of systems, with significant 
costs. (CrownTonka, Public Meeting Transcript, No. 23 at pp. 97-98) DOE 
clarifies that it is using the term ``permanent'' to mean that the 
label is not easily removable and will not become detached from the 
equipment or unreadable through everyday wear and tear.
    In the NOPR, DOE also considered a requirement specifying the 
location of the permanent nameplates on doors, panels, and 
refrigeration systems. The NOPR proposed to require that the permanent 
nameplate must be visible at all times, including when the component is 
assembled into a complete walk-in.
    ASAP and NEEA agreed that labels should be visible because it will 
effectively enable utilities and code inspectors to verify the 
installation of qualified equipment. (ASAP and NEEA, No. 19 at pp. 3-4) 
The CA IOUs suggested that the labels should be placed such that they 
would be fully visible if the walk-in were assembled in an ``open air'' 
environment, with none hidden or covered by any joints. (CA IOUs, No. 
21 at p. 3)
    Other commenters, however, opposed this proposed requirement. 
Manitowoc and Rheem noted that WICF customers do not want visible 
labels on their equipment, which are often client-facing. (Manitowoc, 
No. 10 at p. 1; Rheem, No. 18 at p. 4) Hussmann also commented that the 
label should not be fully visible to the customer. Hussmann expressed 
concern about requiring a door label that would block view of any 
product, but supported using a hinge label that is visible only when 
the door is opened. (Hussmann, Public Meeting Transcript, No. 23 at pp. 
89-90) It added that it places labels in discreet but accessible 
locations because customers do not want to have visible labels on their 
equipment. (Hussmann, No. 20 at p. 2) American Panel suggested as an 
alternative that walk-in door labels be placed on the door frame with 
other product labeling and safety information. (American Panel, No. 7 
at p. 1) Bally noted that if labels are affixed in a visible location 
they will allow dirt to collect around their periphery and will 
interfere with cleaning. (Bally, No. 22 at p. 3)
    Heat Controller was concerned that the label visibility 
requirements could necessitate the placement of multiple labels on a 
single component. Specifically, it asked whether rooftop refrigeration 
systems would need a second label in the walk-in envelope that was 
visible from ground level. (Heat Controller, Public Meeting Transcript, 
No. 23 at p. 95) CrownTonka also asked that the visibility and 
permanence requirements of the label be clarified. (CrownTonka, Public 
Meeting Transcript, No. 23 at pp. 97-98)
    American Panel commented that floor panels are often installed 
beneath a permanent floor covering (e.g., concrete, plastic 
treatments), which would render the proposed label unseen and 
inaccessible. (American Panel, Public Meeting Transcript, No. 23 at p. 
101)
    In light of these comments, DOE is electing not to require the 
permanent nameplate to be visible at all times, including when the 
component is assembled into a complete walk-in. However, the label must 
be visible to the entity that purchases the walk-in component. For 
example, a panel may have a label on an edge that is not visible when 
the panel is assembled into a complete walk-in. However, the contractor 
that purchased the panel would be able to see the label prior to 
assembly. Additionally, as explained by American Panel, even if a floor 
panel is covered by a permanent floor covering like concrete, the floor 
panel must have a label that is visible prior to their integration into 
a fully assembled walk-in. In response to Heat Controller's comment, 
DOE clarifies that refrigeration systems installed on a walk-in roof 
would not need a second label that is visible from ground level.

[[Page 95789]]

    Lastly, Dow commented that it understood that the NOPR did not 
propose to require insulation suppliers to label walk-in panels and 
requested that DOE clarify the role, if any, of insulation suppliers in 
regards to labeling. (Dow, No. 9 at pp. 2-3) DOE notes that only walk-
in component manufacturers are responsible for labeling their 
equipment.
c. Information Disclosed on Marketing Materials
    DOE proposed to clarify the requirements for the disclosure of 
efficiency information in marketing materials and to require that such 
marketing materials prominently display the same information required 
to appear on a walk-in component's permanent nameplate.
    Lennox supported the reporting requirements to communicate the 
rated efficiency and net capacity in their literature for each model, 
but stated that reporting the information on each page of product 
literature is duplicative, adds no value to individuals reading the 
literature and creates an additional burden to manufacturers. Lennox 
requested the language be revised to remove the term ``each page'' and 
indicate that reporting of this information is required in product 
literature. (Lennox, No. 13 at p. 10) NCC noted that while many 
marketing materials provide performance information at a range of 
operating conditions, some marketing materials, such as leaflets, may 
not have space available for detailed technical data. (NCC, No. 16 at 
p. 3)
    In response to these concerns, DOE is modifying its proposal. 
Marketing materials must prominently display the same information that 
must appear on a walk-in component's permanent nameplate. In addition, 
DOE is requiring manufacturers to disclose the R-value of walk-in 
panels, the energy consumption for walk-in doors, and the AWEF for 
walk-in refrigeration systems in each catalog that lists the component 
and all materials used to market the component. However, as suggested 
by Lennox, DOE is removing the term ``each page'' from this 
requirement. DOE believes that reporting efficiency information on each 
page of catalogs and marketing materials may be overly burdensome. DOE 
also notes that while this rule does not require that detailed 
technical data, like a range of operating conditions, be reported in 
all marketing materials, the rule requires that all marketing materials 
that list the walk-in component, including leaflets, must disclose the 
efficiency of that component.
    AHRI, Manitowoc, Rheem, NCC, and KeepRite requested that DOE 
clarify that net capacity need not be included in marketing materials. 
These stakeholders argued that net capacity is not familiar or useful 
to consumers and may cause them confusion. (AHRI, No. 11 at p. 3; 
Manitowoc, No. 10 at p. 2; Rheem, No. 18 at pp. 6-7; NCC, No. 16 at p. 
3; KeepRite, No. 17 at p. 2) AHRI, Rheem, and KeepRite also asked that 
DOE clarify in the final rule that only information on the proposed 
label is required in marketing literature. (AHRI, No. 11 at p. 3; 
Rheem, No. 18 at pp. 6-7; KeepRite, No. 17 at p. 2) NCC commented that 
manufacturers should be allowed to publish total capacity data at both 
rated and application conditions. (NCC, No. 16 at p. 3) AHRI and 
Manitowoc commented that the performance tables used in existing 
marketing materials are valuable to customers. (AHRI, No. 11 at p. 3; 
Manitowoc, No. 10 at p. 2) KeepRite asked that DOE clarify whether the 
current marketing methods for ratings (i.e., tables) are allowed in 
marketing literature. (KeepRite, No. 17 at p. 2)
    This rule contains no requirement to include net capacity in 
marketing materials. As discussed earlier in section III.B.5.b of this 
final rule, DOE elected to limit its labeling requirements for panels, 
doors, and refrigeration systems. In addition to the limited 
information displayed on walk-in component labels, DOE is requiring 
catalogs and marketing materials for doors, panels, and refrigeration 
systems to include the representative energy efficiency or energy 
consumption for each walk-in component model listed in the literature. 
With respect to publishing certain application ratings, manufacturers 
may continue to do so. Specifically, manufacturers may publish total 
capacity, net capacity, system total power consumption and component 
power consumptions. In response to AHRI's, Manitowoc's, and KeepRite's 
request to retain the existing performance tables in marketing 
literature, DOE agrees that these tables may be retained so long as 
that information is consistent with this rule.
    NCC also requested that DOE permit manufacturers to publish all 
necessary application capacities, even if some of the associated AWEF 
values may be below the minimum requirement. In addition, NCC asked 
whether accessories that are required for certain applications but may 
reduce the measured AWEF values can be listed on a manufacturer's 
marketing material with a note stating that it ``may not meet DOE 
minimum AWEF requirements,'' or similar language. (NCC, No. 16 at p. 3) 
Manufacturers must determine the represented AWEF for each basic model 
of walk-in refrigeration system in accordance with DOE's test procedure 
(10 CFR 431.306) and sampling requirements (10 CFR 429. 53). All walk-
in refrigeration system basic models, including those basic models sold 
with accessories, are required to meet the applicable AWEF standards. 
Distribution in commerce of any covered equipment that does not comply 
with an applicable energy conservation standard is prohibited.

C. Compliance With Other EPCA Requirements

    In addition to the issues discussed above, DOE examined its other 
obligations under EPCA in developing this final rule. 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. 6314(a). DOE has concluded that the adopted amendments satisfy 
this requirement. The adopted test procedure amendments generally 
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.
    Section III.A.2.a of this final rule discusses the reasons for 
removing the method for addressing the treatment of hot gas defrost--a 
credit--from the test procedure. That credit represented the efficiency 
improvement of hot gas defrost and applied to any low-temperature 
refrigeration system that uses hot gas defrost. The procedure adopted 
in this rule will require refrigeration systems with hot gas defrost to 
be tested by measuring their steady-state performance with their hot 
gas defrost components removed and pipes reconnected according to the 
manufacturer's specifications, as discussed in section III.A.2.a of 
this document. This step represents a potential increase in test burden 
when testing unit coolers, matched pairs, and single-package dedicated 
systems with hot gas defrost. The reason for this step, as discussed in 
section III.A.2.a of this document, is that the evaporators of such 
systems cannot defrost themselves and cannot remove moisture from the

[[Page 95790]]

indoor room of the test facility without collecting frost, which 
necessitates testing be conducted in a facility with an indoor room 
conditioning system that can cool down the room and remove moisture. To 
the extent that a manufacturer without access to such a test facility 
must conduct such a test for hot gas defrost equipment, the associated 
test burden represents either installing such a conditioning system in 
the indoor room of their facility, or contracting such test work to 
third party laboratories.
    DOE does not have detailed information regarding the test 
facilities that manufacturers use to test refrigeration systems, or 
whether all manufacturers have their own test facilities. DOE expects, 
however, that most of these test facilities have indoor room 
conditioning systems to ensure that low-capacity systems, whose 
capacity may not exceed the indoor room thermal load and would 
therefore not be able to pull the indoor room temperature down to 
specified test conditions, could be tested. In support of this 
expectation, DOE notes that Figure C1 of appendix C of AHRI 1250-2009 
shows a conditioning system in the indoor room of the illustrated test 
facility. DOE also expects that some manufacturers will develop 
performance representations for their hot gas defrost units using 
AEDMs, an approach that limits the need for actual testing of hot gas 
defrost unit coolers and matched-pairs. Therefore, DOE does not expect 
these increased requirements to add unduly to test burden.
    Section III.A.2.b of this final rule discusses DOE's revisions to 
the test procedure for refrigeration systems with adaptive defrost. 
This final rule does not require manufacturers of refrigeration systems 
with adaptive defrost to measure and certify their performance using 
this feature. Manufacturers that make representations showing the 
benefit of adaptive defrost may continue using the testing and 
certification requirements for performance incorporating this feature 
since these provisions are not affected by this final rule. Hence, in 
DOE's view, there is no added test burden involved with the test 
procedure as finalized in this notice.
    Section III.A.2.c of this final rule discusses DOE's revisions to 
the test procedure for unit coolers with on-cycle variable-speed fan 
control. Prior to this final rule, DOE allowed manufacturers to test 
the benefit of this feature using the DOE test procedure for unit 
coolers. DOE is modifying the test procedure to specify that certified 
ratings of systems with this feature shall exclude the credit. This 
approach lowers the testing burden for unit coolers with this feature 
because manufacturers no longer need to perform this test to obtain 
ratings for certification. (Manufacturers may still make 
representations of unit cooler efficiency with this feature; in this 
case, the testing burden will not change.)
2. Changes in Measured Energy Use
    In general, when modifying a given test procedure, DOE determines 
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 made 
this determination in light of the corresponding standards rulemaking 
that it is conducting in parallel with this test procedure rulemaking. 
See 81 FR 62980. (That rulemaking addresses potential energy 
conservation standards for certain classes of walk-in refrigeration 
systems.) DOE has determined that the adopted 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, however, affect the current standards for any walk-in components, 
nor would they affect the refrigeration system standards promulgated in 
the June 2014 final rule with a compliance date of June 5, 2017 (i.e., 
the standards for medium-temperature, dedicated condensing 
refrigeration systems). Instead, the modifications in this rule will 
affect only low-temperature dedicated condensing refrigeration systems 
and unit coolers. The separate analysis for the standards rulemaking 
that DOE is conducting explicitly accounts for the test procedure 
changes finalized in this rule. Accordingly, this rule will require no 
further changes to the energy conservation standards beyond those which 
DOE has already considered in its parallel standards rulemaking 
analysis.

D. Additional Comments From Interested Parties

    This section discusses additional comments made by interested 
parties during this rulemaking that were unrelated to any of DOE's 
specific proposals.
1. High Temperature Freezer Applications
    Lennox commented that in the current market, high temperature 
freezer applications (10 [deg]F to 32 [deg]F room temperature) are 
served by medium temperature condensing units. (Lennox, No. 13 at p. 2) 
Lennox, Rheem and AHRI pointed out the challenges that using lower GWP 
refrigerants pose for reaching freezer testing conditions with medium 
temperature condensing units. Lennox, Rheem and AHRI recommended that 
DOE allow manufacturers to publish application ratings below 32 [deg]F 
room temperature for medium temperature WICF products without having to 
certify this equipment as low temperature refrigeration systems using 
the low-temperature test conditions. (Lennox, No. 13 at pp. 2-4; Rheem, 
No. 18 at p. 6; AHRI, No. 11 at p. 7) Lennox suggested that this ``high 
temperature freezer'' application may justifiably represent a third 
class of walk-in refrigeration systems (in addition to low-temperature 
and medium-temperature), which could require establishing a third set 
of test procedure operating conditions and standards. However, Lennox 
also highlighted the cost and reporting burden associated with 
establishing a new equipment class for the high temperature freezer 
application. (Lennox, No. 13 at pp. 2-4) Hussmann requested that 
manufacturers be allowed to market and sell medium temperature unit 
coolers for applications with interior temperatures less than 32 
[deg]F. Although not explicitly stated in the comment, DOE assumes 
Hussmann intended this as a request that DOE not require the testing 
and certifying of such equipment as low-temperature unit coolers. 
Hussmann explained that unit coolers cannot have optimized performance 
at both -10 [deg]F and close-to-32 [deg]F test conditions. (Hussmann, 
No. 20 at p. 3)
    As noted earlier, DOE published a notice of proposed rulemaking to 
address potential energy conservation standards for certain classes of 
walk-in refrigeration equipment. In response to that rulemaking 
proposal, Lennox submitted additional information on the high 
temperature freezer issue. (See docket No. EERE-2015-BT-STD-0016, 
Lennox, No. 89 at pp. 2-5) In particular, Lennox provided AWEF values 
for operation at 10 [deg]F room temperature showing that medium-
temperature condensing units are more efficient than low-temperature 
condensing units at 10 [deg]F room temperature. These values also 
indicated that medium-temperature condensing units were more efficient 
under these conditions than the low-temperature AWEF standard levels 
proposed by DOE (which apply for -10 [deg]F rather than 10 [deg]F room 
conditions). See 81 FR at 62982 (detailing proposed standard levels for 
various walk-in refrigeration equipment classes). Lennox used these 
data to argue that DOE's

[[Page 95791]]

interests (i.e. ensuring that the most efficient equipment will be used 
in walk-ins) would best be served by allowing use of medium temperature 
condensing units in the 10 [deg]F to 32 [deg]F range without additional 
testing or certification, because of the medium-temperature units' 
better efficiency. (Docket No. EERE-2015-BT-STD-0016, Lennox, No. 89 at 
p. 4)
    DOE discussed the issues regarding publishing application ratings 
in section III.B.2. DOE acknowledges the market need for equipment to 
serve the high-temperature freezer market and that medium-temperature 
units may have better efficiency than low-temperature units in this 
temperature range. However, models that span multiple equipment classes 
are to be tested and certified as compliant with the applicable 
standard for each equipment class. If these equipment cannot be tested 
in a way that properly represents their performance characteristics, 
manufacturers have the option of petitioning DOE for test procedure 
waivers as described in 10 CFR 431.401. DOE notes the test method of 
commercial refrigerators, freezers, and refrigerator-freezers includes 
provisions for testing equipment at the lowest application product 
temperature. (10 CFR part 431, appendix A to subpart C) While DOE is 
not formalizing such an approach in this rule, the manufacturer may 
consider such an approach or other applicable test methods when 
petitioning for a waiver. DOE may also consider establishing new 
equipment classes and developing applicable test methods in future 
rulemakings.
2. Unit Cooler With Mounted/Ancillary Components
    Lennox recommended that DOE update the test procedure in section 
3.3.1 of 10 CFR part 431, subpart R, appendix C to indicate that any 
mounted or ancillary components installed in the refrigerant flow path 
upstream of the distributor and downstream of the heat exchanger exit 
are to be removed during the test. Lennox noted the 10 [deg]F 
temperature differential (``TD'') at the heat exchanger was specified 
as the basis for the test procedure \16\ and also used in calculations 
to establish the proposed unit cooler (``UC'') AWEF standards. Lennox 
indicated the pressure drop of the ancillary components outside of the 
heat exchanger was not considered when setting the UC standards. Lennox 
commented that the pressure drop results in loss of ability to attain 
the 10 [deg]F TD at the heat exchanger. Therefore, the ancillary 
components should be removed during testing. (Lennox, No. 13 at p. 5)
---------------------------------------------------------------------------

    \16\ For example, for a freezer unit cooler, section 3.3.1 of 10 
CFR 431, subpart R, appendix C as finalized in this notice indicates 
that the suction A condition of Table 16 of AHRI 1250-2009 is used 
for testing. For this condition, the entering air temperature is -10 
[deg]F and the saturated suction temperature is -20 [deg]F, 
representing a 10 [deg]F TD.
---------------------------------------------------------------------------

    Regarding this issue, DOE notes that the current test conditions 
for testing unit coolers includes a 25 [deg]F saturated suction 
temperature for medium temperature unit coolers and -20 [deg]F for low-
temperature unit coolers (see 10 CFR 431.304(12)(ii)). These conditions 
represent a 10 [deg]F TD relative to the unit cooler air entering dry-
bulb temperatures (see Tables 15 and 16 in 10 CFR 431.304), which is 
consistent with AHRI 1250-2009. DOE maintained the same test conditions 
in this final rule in section 3.3.1 of 10 CFR part 431, subpart R, 
Appendix C. There is no indication in AHRI 1250-2009, nor in the test 
procedure in 10 CFR 431.304, that these conditions apply to the heat 
exchanger rather than the suction outlet. For example, Table C2 of 
Appendix C of AHRI 1250-2009 lists ``pressure of superheated 
refrigerant vapor leaving the Unit Cooler'' as a measured quantity. DOE 
asserts that ``leaving the unit cooler'' is not the same as ``within 
the heat exchanger.'' The ``leaving the heat exchanger'' location is 
underscored by Figure C1 of Appendix C of the test standard, which 
shows the pressure measurement in the pipe after it has exited the unit 
cooler. AHRI 1250-2009 does not point to locations within the heat 
exchanger when referencing the unit cooler exit, focusing instead on 
the exit piping. Hence, it is not clear that the test procedure calls 
for 10 [deg]F TD within the heat exchanger if there is any appreciable 
pressure drop between the heat exchanger and the pipe leaving the unit 
cooler.
    Regarding Lennox's comment that the proposed UC AWEF standards used 
an assumed 10 [deg]F TD at the heat exchanger, DOE's unit cooler energy 
modeling in support of its standards proposal did not involve any 
assumption regarding the removal of any mounted/ancillary components in 
the refrigerant line. The analysis also did not assume that there would 
be any significant pressure drop between the heat exchanger's suction 
header and the unit cooler outlet. As DOE noted in its standards 
proposal, DOE's unit cooler testing indicated that the unit coolers' 
measured capacities are lower than the nominal capacities reported in 
manufacturer literature. These results suggest that using a unit 
cooler's nominal capacity would overestimate both capacity and 
efficiency when measured during testing. (September 11, 2015 Public 
Meeting Presentation, Docket No. EERE-2015-BT-STD-0016, No. 3 at p. 40) 
Rheem suggested that this discrepancy may be due, in part, to the 
difference between the test conditions used during testing and those 
used when determining the nominal capacity of a unit cooler. (Docket 
No. EERE-2015-BT-STD-0016, Rheem, Public Meeting Transcript (September 
11, 2015), No. 61 at pp. 116-117) DOE's standards analysis used 
performance modeling of WICF evaporator coils, calibrated with testing 
data, to develop an equation that related manufacturer-reported nominal 
capacity to the net capacity measured during unit cooler testing. 
(September 30, 2015 Public Meeting Presentation, Docket No. EERE-2015-
BT-STD-0016, No. 7 at pp. 55 and 57) The tests conducted were 
consistent with AHRI 1250-2009, with the pressures measured in the exit 
piping leaving the unit coolers. DOE used this approach, which was 
vetted by the WICF Working Group, for determining unit cooler measured 
capacity in the subsequent analysis. (Docket No. EERE-2015-BT-STD-0016, 
various parties, Public Meeting Transcript (October 15, 2015), No. 62 
at pp. 205-209)
    Moreover, Lennox did not indicate in its submission which ancillary 
components should be removed. DOE believes any components that are 
necessary for the proper operation of a given unit cooler should remain 
part of that equipment when tested. DOE is aware that unit coolers 
equipped with hot gas defrost are likely to require additional valves 
in the refrigerant line. DOE discusses specific requirements regarding 
components installed as part of hot gas defrost units in section 
III.A.2.a of this final rule. DOE notes that evaporator pressure 
regulators (``EPRs'') are commonly installed with unit coolers in 
supermarket refrigeration systems, but not in dedicated condensing 
applications. For this reason, DOE believes that it may be acceptable 
to remove the EPR during unit cooler testing, but is not formalizing 
this approach in the test procedure at this time. DOE is not aware of 
any other ancillary components that are likely to be installed as 
indicated by the comment. If a manufacturer believes the inclusion of 
any ancillary components would make testing non-representative of 
average use cycles, it can petition DOE for a waiver in accordance with 
the requirements in 10 CFR 431.401.

[[Page 95792]]

3. Off-Cycle Unit Cooler Variable-Speed Fan Setting
    Lennox recommended that DOE specify that during the unit cooler 
off-cycle fan power test, the controls shall be adjusted to 50% fan 
speed/duty cycle only if the controls are adjustable, and that 
otherwise the control default parameters shall be used. (Lennox, No. 13 
at p. 5)
    Lennox's suggestion, if adopted, would potentially allow fans with 
fixed two-speed control to use speed below 50% in unit cooler testing. 
During one of the Working Group meetings, Rheem stated concern with air 
flow distribution at low fan speed. Lennox and Rheem agreed with 
selecting 50% as the minimum evaporator fan turn-down for both on-cycle 
and off-cycle evaporator fan speed in DOE's engineering analysis 
supporting the standard rulemaking. (Docket No. EERE-2015-BT-STD-0016, 
Rheem, Lennox, Public Meeting Transcript (September 11, 2015), No. 61 
at pp. 135-136) In a subsequent meeting, DOE presented analyses that 
used as the lowest speed for variable-speed fan operation 50% of the 
fan's maximum speed for both on-cycle and off-cycle in the analysis. 
The Working Group raised no objections to this approach. (See public 
meeting presentation, Docket No. EERE-2015-BT-STD-0016, No. 7 at p. 20; 
see also Public Meeting Transcript (September 30, 2015), Docket No. 
EERE-2015-BT-STD-0016, No. 67 at p. 106). Consistent with this 
approach, DOE used a 50% lower limit as part of its energy conservation 
standard rulemaking analysis. See Docket EERE-2015-BT-STD-0016, NOPR 
Technical Support Document, No. 70, Section 5.5.6.7 pp. 5-34 to 5-35. 
The energy conservation standards developed during the related 
negotiated rulemaking are based on the use of this 50% limit for 
testing. Hence, it would be inconsistent to now allow the use of a 
lower fan speed in tests for demonstration of compliance with the 
standards. Consequently, consistent with the approach laid out during 
the negotiated rulemaking for walk-in standards, DOE is continuing to 
use 50% as the lower limit of evaporator fan duty cycle and fan speed. 
The procedure allows two- or multi-speed fan controls to use a low (or 
intermediate) speed that is no less than 50% of the maximum fan speed. 
DOE notes that the test procedure does not prohibit a manufacturer from 
offering evaporator fan speed/duty cycle settings that are lower than 
50% in the market, but recognizes that such fans would likely require 
multi-speed motors. These designs would likely use low-speed settings 
for the off-cycle in some installations and intermediate speed settings 
for the off-cycle in other installations that require these higher 
(intermediate) speeds to ensure more complete air mixing--but off-cycle 
for testing would be 50% of full-speed or higher using an intermediate 
speed setting.
4. Unit Cooler Capacity Determination in Condensing Unit Only Test
    Lennox and Rheem suggested that the WICF test procedure lacks 
clarification on the capacity calculation when testing a condensing 
unit only. Both commenters suggested using the condensing unit capacity 
in the AWEF calculation. Rheem proposed the condensing unit capacity 
should be calculated using the enthalpy of the refrigerant leaving the 
condensing unit (liquid line), the enthalpy of the refrigerant entering 
the condensing unit (suction line), and the measured refrigerant mass 
flow rate. (Lennox, No. 13 at p.11; Rheem, No. 18 at p.7)
    DOE notes the saturated refrigerant temperatures at the unit cooler 
coil exit for the purposes of calculating the enthalpy leaving the unit 
cooler are provided in section 3.4.2.1 of the proposed 10 CFR 431 
Subpart R, Appendix C (and also 10 CFR 431.304(12)(ii) of the current 
test procedure), and are 25 [deg]F for medium temperature and -20 
[deg]F for low temperature. Section 3.4.1 indicates that the suction 
dew point conditions at the condensing unit are the ``suction A'' 
conditions provided in AHRI 1250-2009, Tables 11 through 14--these are 
23 [deg]F for medium temperature and -22 [deg]F for low temperature. 
Hence, the pressure drop in the suction line is assumed to be 
equivalent to a 2 [deg]F reduction in dew point temperature.
    However, the unit cooler refrigerant exit temperature or superheat, 
neither of which were provided in the test procedure, is also required 
to calculate the unit cooler leaving enthalpy. The test procedure 
requires testing with a suction temperature entering the unit cooler 
(i.e., return gas temperature) equal to 41 [deg]F for medium 
temperature and 5 [deg]F for low temperature (see, e.g., Tables 11 and 
13 of AHRI 1250-2009). DOE notes that the exit temperature for a 
medium-temperature unit cooler could not be 41 [deg]F, because the 
temperature of the air that the refrigerant is cooling is taken to be 
35 [deg]F. Likewise, the exit temperature for a low-temperature unit 
cooler could not be 5 [deg]F, because the entering air temperature for 
a low-temperature unit cooler is taken to be -10 [deg]F. By assuming 
that the refrigerant temperature leaving the unit cooler is 41 [deg]F 
for medium temperature and 5 [deg]F for low temperature, the approach 
proposed by Lennox and Rheem would take credit for refrigeration 
capacity that could not have been delivered by the unit cooler. DOE 
does not believe this is appropriate.
    Instead, DOE considered the approach recommended by the WICF 
Working Group, which DOE applied in its walk-in standards engineering 
analysis. During the Working Group meetings, DOE presented the use of a 
6.5 [deg]F unit cooler exit superheat assumption for calculating unit 
cooler capacity of low temperature dedicated condensing unit tested 
alone. See Docket No. EERE-2015-BT-STD-0016, DOE and Hussmann, Public 
Meeting Transcript (September 30, 2015), No. 67 at pp. 135. DOE 
developed a spreadsheet-based engineering model that calculates the 
performance of different WICF equipment designs and summarizes cost 
versus efficiency relationships for the classes covered in the energy 
conservation standard rulemaking. DOE made a draft version of the 
spreadsheet available to the Working Group members and the general 
public. See Docket EERE-2015-BT-STD-0016, No. 32. DOE implemented 
integer superheat values in the engineering spreadsheet to avoid 
refrigerant property calculation errors. A caucus of manufacturers 
later submitted their notes after reviewing the DOE-provided draft 
engineering spreadsheet. There was no disagreement on the selection of 
unit cooler superheat values as part of condensing unit calculations. 
See Docket EERE-2015-BT-STD-0016, No. 45) Consistent with the superheat 
values given in the engineering spreadsheet presented to the Working 
Group, DOE is adopting the same values (6 [deg]F for low temperature, 
10 [deg]F to medium temperature) in this final rule for low temperature 
and medium temperature condensing units tested alone. DOE adds the 
prescribed superheat values to section 3.4.2.1 for purposes of 
calculating enthalpy leaving the unit cooler as part of the calculating 
gross capacity. DOE notes that the recommendations made by Lennox and 
Rheem for the conditions representing enthalpy at the unit cooler inlet 
are consistent with the engineering analysis as discussed by the WICF 
Working Group, for which unit cooler inlet enthalpy equals to 
condensing unit outlet enthalpy (i.e., 0 [deg]F liquid line 
subcooling), (see Docket No. EERE-2015-BT-STD-0016, DOE and Rheem, 
Public Meeting Transcript (September 30, 2015), No. 67 at pp. 133-134; 
see also October 15, 2015 Public Meeting Presentation, slide 42, 
available in

[[Page 95793]]

Docket No. EERE-2015-BT-STD-0016, No. 26 at p. 42), which is equivalent 
to the subcooling that would be present at the exit of a typical 
condensing unit during a test.
5. Insulation Aging
    EPCA defines the R-value as the 1/K factor multiplied by the 
thickness of the panel, and that the K factor shall be tested based on 
ASTM test procedure C518-2004. (42 U.S.C. 6314(a)(9)(A)). (The K factor 
represents the thermal conductivity.) EPCA, however, does not specify 
when the R-value should be determined. As was first discussed in the 
2010 NOPR and later in the 2010 SNOPR, the R-value of polyurethane and 
extruded polystyrene (``XPS'') insulation products can significantly 
decrease with time. 75 FR 185, 192-195 (January 4, 2010) and 75 FR 
55067, 55075-55081 (September 9, 2010). To address this concern, two 
European testing standards DIN EN 13164:2009 and DIN EN 13165:2009 were 
included in the 2011 Test Procedure final rule in order to take foam 
aging into consideration when determining an R-value for these 
insulation types. 76 FR at 21585 (April 15, 2011). However, as 
discussed in its 2014 final rule addressing the use of AEDMs and 
certain test procedure issues with respect to walk-ins, DOE received a 
number of negative comments regarding this aspect of the WICF panel 
test procedure. See 79 FR 27388. The comments largely presented two 
concerns: Test burden and the availability of laboratories to conduct 
these tests. In these comments, multiple manufacturers suggested that 
no independent laboratories were capable of conducting DIN EN 13164/
13165 tests. Several industry comments suggested that the cost of these 
tests could be excessive, particularly given the limited availability 
of independent test laboratories to perform these specific tests. See 
section III.D. of the 2014 AEDM and Test Procedure SNOPR for a full 
comment summary, 79 FR at 9835-9837. In response to the concerns 
highlighted in these comments, DOE ultimately removed the portions of 
the test procedure referencing DIN EN 13164/13165. 79 FR at 27405.
    This issue resurfaced in the comments of EPS-IA in response to the 
August 2016 NOPR. EPS-IA reiterated that the R-value of XPS products 
reduces significantly from the time of production (``fresh'') to when 
it's assembled in panels (weeks or months later). Further, EPS-IA noted 
that panel manufacturers often accelerate the aging process by shaping 
or milling the XPS product during panel assembly. (EPS-IA, No. 12 at p. 
2) EPS-IA argued that existing regulations allow manufacturers to 
report, and assemblers to rely upon, the ``fresh'' R-value, which is 
significantly higher than the actual R-value of the XPS in an assembled 
panel. (EPS-IA, No. 12 at p. 1) EPS-IA suggested that DOE modify the 
regulation to require the reporting of a stable, long-term R-value, or 
alternatively to define ``fresh'' and implement controls to ensure 
manufacturers are incorporating ``fresh'' insulation into the panels. 
EPS-IA also suggested that DOE adopt existing FTC R-value regulations, 
rather than craft its own test methodology, and noted that requiring 
panel manufacturers to label each unit will not address the issue. 
(EPS-IA, No. 12 at p. 2)
    DOE agrees with EPS-IA's observation that insulation, including 
those types used in walk-in applications, may exhibit aging. However, 
in this test procedure, DOE proposed editorial changes to the test 
procedure for measuring R-value for walk-in cooler and freezer panels. 
While the test procedure does not account for insulation aging at this 
time, the Department may consider alternate test methods--such as those 
suggested by EPS-IA--for addressing insulation aging in a future energy 
conservation standard and test procedure rulemakings.
6. Laboratory Qualification
    DOE received written comments on the capability of test 
laboratories performing enforcement testing. AHRI and Manitowoc 
recommended that DOE ensure that laboratories demonstrate repeatability 
on a regular basis in order to justify the results from an enforcement 
test. (AHRI, No. 11 at p. 4; Manitowoc, No. 10 at p. 2) NCC noted that 
DOE should pre-qualify laboratories on testing of WICF refrigeration 
systems where enforcement tests for this equipment would be performed. 
(NCC, No. 16 at p. 6)
    DOE requires enforcement testing to be conducted at laboratories 
accredited to the International Organization for Standardization 
(``ISO'')/International Electrotechnical Commission (``IEC''), 
``General requirements for the competence of testing and calibration 
laboratories.'' In addition, when conducting enforcement testing, DOE 
requires the specific DOE test procedure to be on the test laboratory's 
scope of accreditation. 10 CFR 429.110(a)(3) DOE may consider 
additional criteria for test laboratories conducting walk-in cooler or 
walk-in freezer testing in a separate rulemaking that could apply 
equally to both test laboratories used by manufacturers and those used 
by DOE for enforcement.
7. Variable-Capacity Condensing Unit Test Method
    The CA IOUs recommended that DOE begin to address the issues with 
testing variable-capacity condensing units. (CA IOUs, No. 21 at pp. 4-
5)
    DOE is aware that ASHRAE Standard Project Committee 210 (SPC 210) 
has established a Working Group to address test methods issues 
regarding variable- and multiple-capacity condensing units. The SPC 210 
Working Group includes members representing walk-in refrigeration 
system and compressor manufacturers who are familiar with the design, 
operation and testing of variable- and multiple-capacity compressors 
and condensing units. DOE believes it is appropriate to permit ASHRAE 
SPC 210 to continue with its developmental work in defining an 
appropriate test method for this equipment. Allowing these industry 
experts to analyze and develop the parameters of an approach to address 
this equipment will help ensure that the fundamental issues associated 
with testing this equipment are sufficiently vetted and addressed. Once 
that development work has completed and a test method has been 
developed, DOE will examine that method and may then consider its 
incorporation into the applicable regulations in a future rulemaking.
8. Request for Supplemental Notice of Proposed Rulemaking
    AHRI and Manitowoc recommended that DOE publish a supplemental 
notice of proposed rulemaking (``SNOPR'') as the next stage of this 
rulemaking. The written comments argued that many of the NOPR proposals 
did not originate from the ASRAC negotiation, and that many of the 
proposals do not provide a clear way forward for implementation. The 
comments also indicated DOE has the necessary time available to issue 
an SNOPR. (AHRI, No 11 at p.7; Manitowoc, No 10 at p.3)
    DOE has the authority to propose amendments to its regulations that 
are necessary in order to properly administer standards and test 
procedure requirements. DOE notes the ASRAC negotiations had a limited 
scope that did not address many topics proposed in the NOPR. The 
proposals not originating from the negotiations are clearly identified 
in the NOPR and this final rule, and DOE believes that stakeholders had 
ample time to voice concerns and suggest alternative approaches. DOE 
has received numerous comments to its NOPR and

[[Page 95794]]

has considered these comments carefully in modifying its approach and 
finalizing the proposed amendments. DOE notes that AHRI and Manitowoc 
did not provide any detail as to which of the proposals in the NOPR 
would require an SNOPR. For these reasons, DOE has finalized this 
rulemaking without publishing a SNOPR.
9. ASRAC Working Group Representation
    KPS commented that the ASRAC Working Group had little 
representation from WICF OEMs. KPS also suggested adding more WICF OEMs 
to the Working Group. (KPS, No. 8 at p.1)
    Prior to the Working Group meetings, 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. 80 FR 46521. DOE notes that the agenda for the 
WICF Working Group meetings included as key issues (a) proposed energy 
conservation standards for six classes of refrigeration systems and (b) 
potential impacts on installers. See id. at 46523. These issues focused 
on refrigeration systems and installers. As discussed in section I.B, 
the Working Group consisted of 12 representatives of parties having a 
defined stake in the outcome of the proposed standards and one DOE 
representative. These members included six representatives of WICF 
refrigeration system manufacturers (Traulsen, Lennox, Hussmann, 
Manitowoc, Rheem, and Emerson). In addition, a representative of the 
Air Conditioning Contractors of America represented walk-in installers. 
Other members other than DOE represented efficiency advocacy groups and 
utilities. (Docket EERE-2015-BT-STD-0016, No. 56 at p. 4) Hence, DOE 
believes that the representation was appropriate for the scope of the 
Working Group.
10. EPCA Prescriptive Requirements
    During the public meeting, AHRI asked for clarification as to 
whether the EPCA prescriptive requirements are still needed with the 
minimum energy efficiency standard DOE established. (AHRI, Public 
Meeting Transcript, No. 23, at p. 14)
    DOE notes it is not within DOE's authority to waive the 
statutorily-prescribed prescriptive design requirements set forth in 
EPCA. (42 U.S.C. 6313(f)) EPCA does not specify an expiration date for 
these requirements and there is no indication in the statute that the 
performance-based standards would supplant the already-enacted 
prescriptive requirements. Hence, these prescriptive requirements 
continue to remain in effect.

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 OMB.

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that 
when an agency promulgates a final rule under 5 U.S.C. 553, after being 
required by that section or any other law to publish a general notice 
of proposed rulemaking, the agency shall prepare a final regulatory 
flexibility analysis (``FRFA''). 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 FRFA 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 www.sba.gov/contracting/getting-started-contractor/make-sure-you-meet-sba-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 FRFA analysis:
1. Need for, and Objectives of, the Rule
    Title III, Part C of the Energy Policy and Conservation Act of 1975 
(``EPCA'' or, in context, ``the Act''), Public Law 94-163, as amended 
(codified at 42 U.S.C. 6311-6317) 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))
    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), labeling provisions (42 U.S.C. 6315), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316 and 
6296). 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))
2. Significant Issues Raised in Response to the IRFA
    DOE did not receive written comments that specifically addressed 
impacts on small businesses or that were provided in response to the 
IRFA.
3. 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 those from AHRI \17\ and NAFEM \18\), 
public databases (e.g., the SBA Database \19\), individual company Web 
sites, and market research tools (e.g., Dun and Bradstreet reports \20\ 
and Hoovers reports \21\) to create a list of companies that 
manufacture or sell equipment covered by this rulemaking. During the 
2014 rulemaking, DOE also asked

[[Page 95795]]

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

    \17\ See www.ahridirectory.org/ahriDirectory/pages/home.aspx.
    \18\ See www.nafem.org/find-members/MemberDirectory.aspx.
    \19\ See http://dsbs.sba.gov/dsbs/search/dsp_dsbs.cfm.
    \20\ See www.dnb.com/.
    \21\ See www.hoovers.com/.
---------------------------------------------------------------------------

    DOE identified forty-seven panel manufacturers, of which forty-two 
are the 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 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 ten walk-in refrigeration system manufacturers that 
produce equipment for one or more of the equipment classes analyzed in 
this proposal. All ten are domestic companies and three of the ten 
manufacturers are small businesses.
    Lastly, DOE looked at manufacturers that assemble the complete 
walk-in cooler or walk-in freezer (e.g., 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 3,400 to 14,100 companies offer walk-in 
contractor services. This is a subset of the roughly 87,000 plumbing, 
heating, and air-conditioning contractor establishments in the United 
Stated.\22\ 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 businesses.
---------------------------------------------------------------------------

    \22\ U.S. Census Bureau. Industry Snapshot 
thedataweb.rm.census.gov/TheDataWeb_HotReport2/econsnapshot/2012/snapshot.hrml?NAICS=238220. (Last accessed July 2016)
---------------------------------------------------------------------------

4. 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 establishing any new 
testing, certification, compliance, or reporting requirements for 
panels in this final rule. However, DOE is adopting labeling 
requirements for walk-in panels, and DOE is establishing that 
manufacturers include rating information on marketing materials for 
panels. For further discussion of the labeling requirements, see 
section III.B.5. As discussed in that section, the cost of updating 
marketing materials could be up to $50,000 per manufacturer. 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.
    This final rule establishes new certification requirements for door 
manufacturers and refrigeration system manufacturers to use when 
certifying 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 in 
this rule.
    In general, DOE modified the data elements walk-in door 
manufacturers and walk-in refrigeration system manufacturers will be 
required to 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 test procedures. These data elements 
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 prior to 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 
www.regulations.doe.gov/ccms/templates. This final rule does 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 submitted reports are recorded in a permanent, systematic 
way.
    DOE is also requiring manufacturers to label their doors with the 
door brand name and an application statement. DOE is requiring 
manufacturers to label their refrigeration systems with the brand, 
model number, date of manufacture, an application statement and if 
applicable specify if the systems is for indoor use only. For further 
discussion of the labeling requirements, see section III.B.5. As 
discussed in that section, the cost of updating marketing materials 
could be up to $50,000 per manufacturer.
    DOE added clarifications that the entity responsible for testing, 
rating, and certifying is the WICF component manufacturer. Thus, WICF 
manufacturers that exclusively assemble the complete WICF and who use 
components that are certified and labelled as compliant with applicable 
standards, do not bear any testing and certification burdens. DOE is 
also establishing labeling requirements and revising the certification 
requirements

[[Page 95796]]

on WICF component manufacturers in this final rule. These requirements 
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 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 this rulemaking.
5. Significant Alternatives to the Rule
    This section considers alternatives to the final rule. 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 conducting tests requiring testing equipment.

C. Review Under the Paperwork Reduction Act of 1995

1. Description of the Requirements
    In this rule, DOE is expanding the information that manufacturers 
and importers of covered walk-in equipment would need to submit to the 
Department to certify that the equipment they are distributing in 
commerce in the U.S. complies with the applicable energy conservation 
standards. Further, this rule requires manufacturers to disclose 
performance information as part of the proposed labeling requirements 
for walk-in panels, doors, and refrigeration systems.
2. 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.
3. Type of Request
    Revision and Expansion of an Existing Collection.
4. Purpose
    Manufacturers of the covered equipment addressed in this rule 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 collecting for walk-
ins. Specifically, DOE is requiring 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 will need to report the Annual Walk-in Efficiency 
Factor (``AWEF''), net capacity as determined by the DOE test 
procedure, the configuration test for certification, and whether indoor 
dedicated condensing units are also certified as outdoor dedicated 
condensing units. 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 is requiring manufacturers of walk-in components 
to disclose their rated energy use or efficiency, in all component 
catalogs and marketing materials. For further discussion of the 
information disclosure requirements, see section III.B.5. As discussed 
in that section, the cost of initially updating marketing materials 
could be up to $50,000 per manufacturer.
    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, and 10 refrigeration system 
manufacturers).
    (2) Annual Estimated Number of Total Responses: 1,216 (188 for 
panels, 28 door, 1000 for refrigeration systems).
    (3) Annual Estimated Number of Burden Hours: 1,216 (1 hour for 
applying and creating label and updating marketing materials).
    (4) Annual Estimated Reporting and Recordkeeping Cost Burden: 
$91,200.

D. Review Under the National Environmental Policy Act of 1969

    In this final rule, DOE amends its test procedure 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 rule amends an existing rule without affecting the 
amount, quality or distribution of energy usage, and, therefore, will 
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

[[Page 95797]]

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 examined this final 
rule and determined that it will not have a substantial direct effect 
on the States, on the relationship between the national government and 
the States, or on the distribution of power and responsibilities among 
the various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of this final rule. States can petition 
DOE for exemption from such preemption to the extent, and based on 
criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is 
required by Executive Order 13132.

F. Review Under Executive Order 12988

    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, 
this final rule meets the relevant standards of Executive Order 12988.

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (``UMRA'') 
requires each Federal agency to assess the effects of Federal 
regulatory actions on State, local, and Tribal governments and the 
private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). 
For a regulatory action resulting in a rule that may cause the 
expenditure by State, local, and Tribal governments, in the aggregate, 
or by the private sector of $100 million or more in any one year 
(adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and an 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 final 
rule according to UMRA and its statement of policy and determined that 
the rule contains neither an intergovernmental mandate, nor a mandate 
that may result in the expenditure of $100 million or more in any year, 
so these requirements do not apply.

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

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any rule that may affect family well-being. 
This final rule will not have any impact on the autonomy or integrity 
of the family as an institution. Accordingly, DOE has concluded that it 
is not necessary to prepare a Family Policymaking Assessment.

I. Review Under Executive Order 12630

    DOE has determined, under Executive Order 12630, ``Governmental 
Actions and Interference with Constitutionally Protected Property 
Rights'' 53 FR 8859 (March 18, 1988), that this regulation will not 
result in any takings that might require compensation under the Fifth 
Amendment to the U.S. Constitution.

J. Review Under Treasury and General Government Appropriations Act, 
2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most 
disseminations of information to the public under guidelines 
established by each agency pursuant to general guidelines issued by 
OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002), 
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). 
DOE has reviewed this final rule under the OMB and DOE guidelines and 
has concluded that it is consistent with applicable policies in those 
guidelines.

K. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355 
(May 22, 2001), requires Federal agencies to prepare and submit to OMB, 
a Statement of Energy Effects for any significant energy action. A 
``significant energy action'' is defined as any action by an agency 
that promulgated or is expected to lead to promulgation of a final 
rule, and that (1) is a significant regulatory action under Executive 
Order 12866, or any successor order; and (2) is likely to have a 
significant adverse effect on the supply, distribution, or use of 
energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any significant energy action, the 
agency must give a detailed statement of any adverse effects on energy 
supply, distribution, or use if the regulation is implemented, and of 
reasonable alternatives to the action and their expected benefits on 
energy supply, distribution, and use.
    This regulatory action is not a significant regulatory action under 
Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
accordingly, DOE has not prepared a Statement of Energy Effects.

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

[[Page 95798]]

Administration Act of 1974, as amended by the Federal Energy 
Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) Section 
32 essentially provides in relevant part that, where a proposed rule 
authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(``FTC'') concerning the impact of the commercial or industry standards 
on competition.
    The modifications to the test procedure for walk-in coolers and 
walk-in freezers adopted in this final rule incorporates testing 
methods contained in certain sections of the following commercial 
standards: ASTM C518-14, ``Standard Test Method for Thermal Steady-
State Thermal Transmission Properties by Means of the Heat Flow Meter 
Apparatus''; AHRI Standard 1250-2009 ``Standard for Performance Rating 
of Walk-ins''; AHRI 420-2008, ``Performance Rating of Forced-
Circulation Free Delivery Unit Coolers for Refrigeration''; and ASHRAE 
23.1-2010, ``Methods of Testing for Performance Rating Positive 
Displacement Refrigerant Compressors and Condensing Units that Operate 
at Subcritical Temperatures of the Refrigerant''. DOE has evaluated 
these standards and was unable to conclude whether they fully comply 
with the requirements of section 32(b) of the FEAA (i.e., whether they 
were developed in a manner that fully provides for public 
participation, comment, and review.) DOE has consulted with both the 
Attorney General and the Chairman of the FTC about the impact on 
competition of using the methods contained in these standards and has 
received no comments objecting to their use.

M. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of this rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

N. Description of Materials Incorporated by Reference

    In this final rule, DOE incorporates by reference the ASTM C518-04 
test method titled ``Standard Test Method for Thermal Steady-State 
Thermal Transmission Properties by Means of the Heat Flow Meter 
Apparatus.'' This reference standard is the method by which thermal 
conductivity (the ``K factor'') of a walk-in panel is measured and its 
use is mandated by EPCA. (42 U.S.C. 6314(a)(9)(A))
    Copies of ASTM C518-04 may be obtained from the American Society 
for Testing and Materials, 100 Barr Harbor Drive, West Conshohocken, PA 
19428-2959, by phone at (610) 832-9500, or by going to www.astm.org.
    Also, DOE incorporates by reference 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 added 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 
www.ahrinet.org.
    DOE also incorporates 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 factory-made, 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 
www.ahrinet.org.
    Finally, DOE also incorporates 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 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 www.ashrae.org.

V. Approval of the Office of the Secretary

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

List of Subjects

10 CFR Part 429

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, 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 December 2, 2016.
Kathleen B. Hogan,
Deputy Assistant Secretary for Energy Efficiency, Energy Efficiency and 
Renewable Energy.
    For the reasons stated in the preamble, DOE amends 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.

* * * * *

[[Page 95799]]

    (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 apply 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 equipment-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. Outdoor dedicated condensing refrigeration 
systems that are also designated for use in indoor applications must be 
tested and certified as both an outdoor dedicated condensing 
refrigeration system and indoor dedicated condensing refrigeration 
system.
    (C) Single-Package dedicated system test procedure. For single-
package 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) of this section, 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:
    [GRAPHIC] [TIFF OMITTED] TR28DE16.000
    
    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] TR28DE16.001

    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, pursuant to the requirements of Sec.  429.70 and the 
provisions of this section, a represented value of AWEF for a basic 
model of a walk-in cooler or walk-in freezer refrigeration system may 
be determined through the application of an AEDM, 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 
panel, display door, and non-display door, 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] TR28DE16.002
    
    And x is the sample mean; n is the number of samples; and 
xi is the ith sample, or,

[[Page 95800]]

    (ii) The upper 95 percent confidence limit (UCL) of the true mean 
divided by 1.05, where:
[GRAPHIC] [TIFF OMITTED] TR28DE16.003

    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 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] TR28DE16.004
    
    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] TR28DE16.005

    And x~ is the sample mean; s is the sample standard deviation; n is 
the number of samples; and t 0.95 is the statistic for a 95% 
one-tailed confidence interval with n-1 degree of freedom (from 
appendix A to subpart B).
    (b) Certification reports. (1) The requirements of Sec.  429.12 
apply 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 must also be 
included.
    (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 installed motor's functional purpose (i.e., evaporator fan motor or 
condenser fan motor), its rated horsepower, and a declaration that the 
manufacturer has incorporated the applicable walk-in-specific design 
requirements into the motor.
    (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 single-package dedicated 
systems, or medium-temperature matched systems: The refrigeration 
system AWEF, net capacity, the configuration tested for certification 
(e.g., condensing unit only, unit cooler only, single-package dedicated 
system, or matched-pair), and if an indoor dedicated condensing unit is 
also certified as an outdoor dedicated condensing unit and, if so, the 
basic model number for the outdoor dedicated condensing unit.
    (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:
    (i) For walk-in cooler and walk-in freezer 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) When certifying compliance to the AWEF refrigeration standards 
for WICF refrigeration systems except those specified in (b)(3)(ii) of 
this section, a certification report must include the following public 
product-specific information in addition to the information listed in 
paragraph (b)(2) of this section: For refrigeration systems that are 
low-temperature dedicated condensing units, low-temperature matched 
systems, low-temperature single-package dedicated systems, or medium 
and low-temperature unit coolers: The refrigeration system AWEF, net 
capacity, the configuration tested for certification (e.g., condensing 
unit only, unit cooler only, single-package dedicated system, or 
matched-pair), and if an indoor dedicated condensing unit is also 
certified as an outdoor dedicated condensing unit and, if so, the basic 
model number for the outdoor dedicated condensing unit.

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 walk-in 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
5. Section 429.134 is amended by adding paragraph (q) to read as 
follows:


Sec.  429.134  Product-specific enforcement provisions.

* * * * *
    (q) 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. 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 for the 
use of components that were certified and labeled (in accordance with 
DOE labeling requirements) as compliant by another party and later 
found to be noncompliant with the applicable standard(s).
    (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 plus or minus five 
percent of the certified net capacity.

[[Page 95801]]

    (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 net capacity is found to be invalid, the 
average measured net 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 plus or minus three 
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 walk-in 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
6. 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
7. 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,'' ``Refrigerated 
storage space,'' ``Single-package dedicated system,'' ``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 factory-installed 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 this 
section) 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 one of the 
following:
    (1) A dedicated condensing unit;
    (2) A single-package dedicated system; or
    (3) A matched refrigeration system.
* * * * *
    Indoor dedicated condensing refrigeration system means a dedicated 
condensing refrigeration system designated by the manufacturer for 
indoor use or for which there is no designation regarding the use 
location.
* * * * *
    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 refrigeration system designated by the manufacturer for 
outdoor use.
* * * * *
    Refrigerated storage space means a space held at refrigerated (as 
defined in this section) 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 
walk-in freezer, consisting of:
    (1) A dedicated condensing refrigeration system (as defined in this 
section); or
    (2) A unit cooler.
    Single-packaged dedicated system means a refrigeration system (as 
defined in this section) 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.
* * * * *
    Unit cooler means an assembly, including means for forced air 
circulation and elements by which heat is transferred from air to 
refrigerant, thus cooling the air, without any element external to the 
cooler imposing air resistance.
* * * * *
    Walk-in process cooling refrigeration system means a refrigeration 
system that is capable of rapidly cooling food or other substances from 
one temperature to another. The basic model of such a system must 
satisfy one of the following three conditions:
    (1) Be distributed in commerce with an insulated 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;
    (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. The height of the evaporator 
coil is measured perpendicular to the tubes and is also the fin height, 
while its width is the finned length parallel to the tubes, as 
illustrated in Figure 1; or
    (3) Be a dedicated condensing unit that is distributed in commerce 
exclusively with a unit cooler meeting description (2) or with an 
evaporator that is not a unit cooler, i.e., an evaporator that is not 
distributed or installed as part of a package including one or more 
fans.

[[Page 95802]]

[GRAPHIC] [TIFF OMITTED] TR28DE16.006


0
8. Section 431.303 is amended by:
0
a. Revising paragraph (a);
0
b. Revising paragraph (b)(1) and adding paragraph (b)(2);
0
c. Redesignating paragraphs (c) and (d) as paragraphs (d) and (e), 
respectively, and adding paragraph (c);
0
d. Revising the last sentence of newly redesignated paragraph (d)(1).
    The additions and revisions read as follows:


Sec.  431.303  Materials incorporated by reference.

    (a) General. Certain material is incorporated by reference into 
this part with the approval of the Director of the Federal Register 
under 5 U.S.C. 552(a) and 1 CFR part 51. Any amendment to a standard by 
the standard-setting organization will not affect the DOE regulations 
unless and until amended by DOE. Material is incorporated as it exists 
on the date of the approval. To enforce any edition other than that 
specified in this section, the U.S. Department of Energy must publish a 
document in the Federal Register and the material must be available to 
the public. All approved material is available for inspection at U.S. 
Department of Energy, Office of Energy Efficiency and Renewable Energy, 
Building Technologies Program, 6th Floor, 950 L'Enfant Plaza SW., 
Washington, DC 20024, 202-586-2945, between 9 a.m. and 4 p.m., Monday 
through Friday, except Federal holidays, or go to: http://www1.eere.energy.gov/buildings/appliance_standards/ ], and is available 
from the sources listed below. It is also available for inspection at 
the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (b) * * *
    (1) ANSI/AHRI Standard 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.
    (2) AHRI Standard 1250P (I-P)-2009 (``AHRI 1250-2009''), ``Standard 
for Performance Rating of Walk-in Coolers and Freezers, (including 
Errata sheet dated December 2015), copyright 2009, except Table 15 and 
Table 16. 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 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,'' ANSI approved January 
28, 2010, IBR approved for appendix C to subpart R of part 431.
    (2) [Reserved]
    (d) * * *
    (1) * * * IBR approved for appendix B to subpart R of part 431.
* * * * *

0
9. 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
10. Section 431.305 is added to read as follows:

[[Page 95803]]

Sec.  431.305  Walk-in cooler and walk-in freezer 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 panel brand or manufacturer; and
    (ii) One of the following statements, as appropriate:
    (A) ``This panel is designed and certified for use in walk-in 
cooler applications.''
    (B) ``This panel is designed and certified for use in walk-in 
freezer applications.''
    (C) ``This panel is designed and certified for use in walk-in 
cooler and walk-in 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 permanent 
nameplate must be visible unless the panel is assembled into a 
completed walk-in.
    (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 door brand or manufacturer; and
    (ii) One of the following statements, as appropriate:
    (A) ``This door is designed and certified for use in walk-in cooler 
applications.''
    (B) ``This door is designed and certified for use in walk-in 
freezer applications.''
    (C) ``This door is designed and certified for use in walk-in cooler 
and walk-in 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 permanent 
nameplate must be visible unless the door is assembled into a completed 
walk-in.
    (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 prescribed in Sec.  
431.306 must be marked clearly with the following information:
    (i) The refrigeration system brand or manufacturer;
    (ii) The refrigeration system model number;
    (iii) The date of manufacture of the refrigeration system (if the 
date of manufacture is embedded in the unit's serial number, then the 
manufacturer of the refrigeration system must retain any relevant 
records to discern the date from the serial number);
    (iv) If the refrigeration system is a dedicated condensing 
refrigeration system, and is not designated for outdoor use, the 
statement, ``Indoor use only'' (for a matched pair this must appear on 
the condensing unit); and
    (v) One of the following statements, as appropriate:
    (A) ``This refrigeration system is designed and certified for use 
in walk-in cooler applications.''
    (B) ``This refrigeration system is designed and certified for use 
in walk-in freezer applications.''
    (C) ``This refrigeration system is designed and certified for use 
in walk-in cooler and walk-in 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 statement, ``This refrigeration system 
is designed for use exclusively in walk-in cooler and walk-in freezer 
process cooling refrigeration applications.''
    (3) 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 
model number must be in one of the following forms: ``Model ___'' or 
``Model number ___'' or ``Model No. ___.'' The permanent nameplate must 
be visible unless the refrigeration system is assembled into a 
completed walk-in.
    (d) A manufacturer may not mark the nameplate of a component with 
the required information if the manufacturer has not submitted a 
certification of compliance for the relevant model.
    (e) Disclosure of efficiency information in marketing materials. 
Each catalog that lists the component and all materials used to market 
the component must include:
    (1) For panels--The R-value in the form ``R-value__.''
    (2) For doors--The energy consumption in the form ``EC__kWh/day.''
    (3) For those refrigeration system for which standards are 
prescribed--The AWEF in the form ``AWEF __.''
    (4) The information that must appear on a walk-in cooler or walk-in 
freezer component's permanent nameplate pursuant to paragraphs (a)-(c) 
of this section must also be prominently displayed in each catalog that 
lists the component and all materials used to market the component.

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

[[Page 95804]]

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 (incorporated 
by reference, see Sec.  431.303).
    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 with N layers of insulating material, the 
overall R-Value shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR28DE16.007


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 Cooler 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 conflict with this section, the 
hierarchy of precedence shall be in the following order: Sec.  
431.302, AHRI 1250-2009, 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 conflict with this section, the hierarchy of precedence shall 
be in the following order: Sec.  431.302, AHRI 1250-2009, 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
                                   air entering    air entering      Saturated     Liquid inlet    Liquid inlet       Compressor
        Test description             dry-bulb,       relative      suction temp,    saturation      subcooling         capacity         Test objective
                                      [deg]F        humidity, %       [deg]F       temp, [deg]F    temp, [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.

[[Page 95805]]

 
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
                                   air entering    air entering      Saturated     Liquid inlet    Liquid inlet       Compressor
        Test description             dry-bulb,       relative      suction temp,    saturation      subcooling         capacity         Test objective
                                      [deg]F        humidity, %       [deg]F       temp, [deg]F    temp, [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.

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, single-package 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, single-package 
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 the calculations in section 7.9 to 
determine AWEF and net capacity described in AHRI 1250-2009 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 
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 
adjustable-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. Also, a two-speed or multi-speed 
fan control may be used as the qualifying evaporator fan control. 
For such a control, a fan speed no less than 50% of the speed used 
in the maximum capacity tests shall be used for measuring off-cycle 
fan energy.
    3.3.4. Use appendix C, section C11 of AHRI 1250-2009 
(incorporated by reference, see Sec.  431.303) 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

[[Page 95806]]

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 
from the start of one defrost to the start of the next defrost 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] TR28DE16.008


Where:

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

    3.3.5. If a unit has adaptive defrost, use appendix C, section 
C11.2 of AHRI 1250-2009 as follows:
    3.3.5.1. When testing to certify to the energy conservation 
standards in Sec.  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. If this time is greater than 24 hours, set its 
value to 24 hours. Then, calculate NDF (the number of 
defrosts per day) by averaging the 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 time between successive defrosts for the 
frosted coil condition is found as specified in section 3.3.4 of 
this appendix C of AHRI 1250-2009: 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 of this appendix; 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. of this appendix) Use this new 
value of NDF in subsequent calculations.
    3.3.6. For matched refrigeration systems and single-package 
dedicated 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.
    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 single-package 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 Sec.  431.303) section 7.8. Use the 
following modifications to the calculations in lieu of unit cooler 
test data:
    3.4.2.1. For calculating enthalpy leaving the unit cooler to 
calculate gross capacity, (a) The saturated refrigerant temperature 
(dew point) at the unit cooler coil exit, Tevap, shall be 
25 [deg]F for medium-temperature systems (coolers) and -20 [deg]F 
for low-temperature systems (freezers), and (b) the refrigerant 
temperature at the unit cooler exit shall be 35 [deg]F for medium-
temperature systems (coolers) and -14 [deg]F for low-temperature 
systems (freezers). For calculating gross capacity, the measured 
enthalpy at the condensing unit exit shall be used as the enthalpy 
entering the unit cooler.
    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:

EF comp,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.

3.5 Hot Gas Defrost Refrigeration Systems

    For all hot gas defrost refrigeration systems, remove the hot 
gas defrost mechanical components and disconnect all such components 
from electrical power.
    3.5.1 Hot Gas Defrost Dedicated Condensing Units Tested Alone: 
Test these units as described in section 3.4 of this appendix for 
electric defrost dedicated condensing units that are not matched for

[[Page 95807]]

testing and are not single-package dedicated systems.
    3.5.2 Hot Gas Defrost Matched Systems, Single-package Dedicated 
Systems, and Unit Coolers Tested Alone: Test these units as 
described in section 3.3 of this appendix for electric defrost 
matched systems, single-package dedicated systems, and unit coolers 
tested alone, but do not conduct defrost tests as described in 
sections 3.3.4 and 3.3.5 of this appendix. Calculate daily defrost 
energy use as described in section 3.4.2.4 of this appendix. 
Calculate daily defrost heat contribution as described in section 
3.4.2.5 of this appendix.

[FR Doc. 2016-29708 Filed 12-27-16; 8:45 am]
BILLING CODE 6450-01-P