[Federal Register Volume 85, Number 188 (Monday, September 28, 2020)]
[Proposed Rules]
[Pages 60724-60734]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-19565]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
 ========================================================================
 

  Federal Register / Vol. 85, No. 188 / Monday, September 28, 2020 / 
Proposed Rules  

[[Page 60724]]



DEPARTMENT OF ENERGY

10 CFR Part 431

[EERE-2020-BT-TP-0016]
RIN 1904-AF02


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

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

ACTION: Notice of proposed rulemaking and request for comment.

-----------------------------------------------------------------------

SUMMARY: The U.S. Department of Energy (``DOE'') proposes to amend the 
test procedures for walk-in freezers to address an issue affecting hot 
gas defrost-equipped unit coolers (``hot gas defrost unit coolers''). 
DOE is proposing to amend the current test procedure regarding hot gas 
unit coolers consistent with an update to the industry standard that is 
incorporated by reference in the DOE test procedure for walk-in freezer 
refrigeration systems. Given the upcoming energy conservation standards 
compliance date of July 10, 2020, DOE is limiting the scope of this 
proposed rulemaking to expediently address how to test a hot gas 
defrost unit cooler.

DATES: DOE will accept comments, data, and information regarding this 
proposal no later than December 14, 2020. See section V, ``Public 
Participation,'' for details. DOE will hold a webinar on Friday, 
October 2, 2020, from 1:00 p.m. to 4:00 p.m. See section V, ``Public 
Participation,'' for webinar registration information, participant 
instructions, and information about the capabilities available to 
webinar participants.

ADDRESSES: Interested persons are encouraged to submit comments using 
the Federal eRulemaking Portal at http://www.regulations.gov. Follow 
the instructions for submitting comments. Alternatively, interested 
persons may submit comments, identified by docket number EERE-2020-BT-
TP-0016, by any of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    (2) Email: [email protected]. Include the docket number 
EERE-2020-BT-TP-0016 or regulatory information number (``RIN'') 1904-
AF02 in the subject line of the message.
    (3) Postal Mail: Appliance and Equipment Standards Program, U.S. 
Department of Energy, Building Technologies Office, Mailstop EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1445. If possible, please submit all items on a compact disc 
(``CD''), in which case it is not necessary to include printed copies.
    (4) Hand Delivery/Courier: Appliance and Equipment Standards 
Program, U.S. Department of Energy, Building Technologies Office, 950 
L'Enfant Plaza SW, Suite 600, Washington, DC 20024. Telephone: (202) 
287-1445. If possible, please submit all items on a CD, in which case 
it is not necessary to include printed copies.
    No telefacsimilies (``faxes'') will be accepted. For detailed 
instructions on submitting comments and additional information on the 
rulemaking process, see section V of SUPPLEMENTARY INFORMATION.
    Docket: The docket, which includes Federal Register notices, public 
meeting attendee lists and transcripts (if a public meeting is held), 
comments, and other supporting documents/materials, is available for 
review at http://www.regulations.gov. All documents in the docket are 
listed in the http://www.regulations.gov index. However, some documents 
listed in the index, such as those containing information that is 
exempt from public disclosure, may not be publicly available.
    The docket web page can be found at http://www.regulations.gov/docket?D=EERE-2020-BT-TP-0016. The docket web page contains 
instructions on how to access all documents, including public comments, 
in the docket. See section V of SUPPLEMENTARY INFORMATION for 
information on how to submit comments through http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: 
    Dr. Stephanie Johnson, U.S. Department of Energy, Office of Energy 
Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 
1000 Independence Avenue SW, Washington, DC 20585-0121. Telephone: 
(202) 287-1943. Email: [email protected].
    Mr. Michael Kido, U.S. Department of Energy, Office of the General 
Counsel, GC-33, 1000 Independence Avenue SW, Washington, DC 20585-0121. 
Telephone: (202) 586-8145. Email: [email protected].
    For further information on how to submit a comment, review other 
public comments and the docket, or participate in a public meeting (if 
one is held), contact the Appliance and Equipment Standards Program 
staff at (202) 287-1445 or by email: 
[email protected].

SUPPLEMENTARY INFORMATION:

I. Authority and Background
    A. Authority
    B. Background
II. Synopsis of the Notice of Proposed Rulemaking
III. Discussion
    A. Scope of Applicability
    B. Revision of the Calculation of Defrost Energy and Heat 
Contribution for Hot Gas Defrost Unit Coolers Tested Alone
    C. Test Procedure Costs, Harmonization, and Other Topics
    1. Test Procedure Costs and Impact
    2. Harmonization With Industry Standards
    D. Compliance Date
IV. Procedural Issues and Regulatory Review
    A. Review Under Executive Order 12866
    B. Review Under Executive Orders 13771 and 13777
    C. Review Under the Regulatory Flexibility Act
    D. Review Under the Paperwork Reduction Act of 1995
    E. Review Under the National Environmental Policy Act of 1969
    F. Review Under Executive Order 13132
    G. Review Under Executive Order 12988
    H. Review Under the Unfunded Mandates Reform Act of 1995
    I. Review Under the Treasury and General Government 
Appropriations Act, 1999
    J. Review Under Executive Order 12630
    K. Review Under Treasury and General Government Appropriations 
Act, 2001
    L. Review Under Executive Order 13211
    M. Review Under Section 32 of the Federal Energy Administration 
Act of 1974
V. Public Participation
    A. Participation in the Webinar
    B. Submission of Comments
    C. Issues on Which DOE Seeks Comment
VI. Approval of the Office of the Secretary

I. Authority and Background

    Walk-in coolers and walk-in freezers (``WICFs'' or ``walk-ins'') 
are included in the list of ``covered equipment'' for

[[Page 60725]]

which DOE is authorized to establish and amend energy conservation 
standards and test procedures. (42 U.S.C. 6311(1)(G)) DOE has 
established test procedures and standards for the principal components 
that make up a walk-in: Panels, doors, and refrigeration systems. See 
title 10 of the Code of Federal Regulations (``CFR'') part 431 subpart 
R. Relevant to this document, DOE has established standards for walk-in 
freezer refrigeration systems as a component of walk-in freezers at 10 
CFR 431.306, and test procedures for walk-in freezer refrigeration 
systems at 10 CFR 431.304(b)(4) and appendix C to subpart R of part 431 
(``Appendix C''). This notice of proposed rulemaking (``NOPR'') 
specifically addresses the procedures in Appendix C relevant to hot gas 
defrost unit coolers.
    The following sections discuss DOE's authority generally to 
establish test procedures for walk-in coolers and walk-in freezers and 
relevant background information regarding DOE's consideration of test 
procedures for WICF refrigeration systems.

A. Authority

    The Energy Policy and Conservation Act, as amended (``EPCA''),\1\ 
Public Law 94-163 (Dec. 22, 1975), authorizes DOE to regulate the 
energy efficiency of a number of consumer products and certain 
industrial equipment. (42 U.S.C. 6291-6317) Title III, Part C of EPCA, 
added by the National Energy Conservation Policy Act, Public Law 95-
619, Title IV, section 441(a) (Nov. 9, 1978), established the Energy 
Conservation Program for Certain Industrial Equipment, which sets forth 
a variety of provisions designed to improve energy efficiency of 
various types of industrial equipment. As amended by the Energy 
Independence and Security Act of 2007, Public Law 110-140 (Dec. 19, 
2007), this equipment includes walk-ins, the subject of this document. 
(42 U.S.C. 6311(1)(G))
---------------------------------------------------------------------------

    \1\ All references to EPCA in this document refer to the statute 
as amended through America's Water Infrastructure Act of 2018, 
Public Law 115-270 (Oct. 23, 2018).
---------------------------------------------------------------------------

    The energy conservation program under EPCA consists essentially of 
four parts: (1) Testing, (2) labeling, (3) Federal energy conservation 
standards, and (4) certification and enforcement procedures. Relevant 
provisions of EPCA include definitions (42 U.S.C. 6311), test 
procedures (42 U.S.C. 6314), labeling provisions (42 U.S.C. 6315), 
energy conservation standards (42 U.S.C. 6313), and the authority to 
require information and reports from manufacturers (42 U.S.C. 6316).
    The Federal testing requirements consist of test procedures that 
manufacturers of covered equipment must use as the basis for: (1) 
Certifying to DOE that their equipment complies with the applicable 
energy conservation standards adopted pursuant to EPCA (42 U.S.C. 
6316(a); 42 U.S.C. 6295(s)), and (2) making representations about the 
efficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE uses 
these test procedures to determine whether the equipment complies with 
relevant standards promulgated under EPCA. (42 U.S.C. 6316(a); 42 
U.S.C. 6295(s))
    Federal energy efficiency requirements for covered equipment 
established under EPCA generally supersede State laws and regulations 
concerning energy conservation testing, labeling, and standards. (42 
U.S.C. 6316(a) and (b); 42 U.S.C. 6297) DOE may, however, grant waivers 
of Federal preemption for particular State laws or regulations, in 
accordance with the procedures and other provisions of EPCA. (42 U.S.C. 
6316(b)(2)(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 equipment. EPCA requires that any test procedures prescribed or 
amended under this section must be reasonably designed to produce test 
results which reflect energy efficiency, energy use or estimated annual 
operating cost of a given type of covered equipment during a 
representative average use cycle and requires that test procedures not 
be unduly burdensome to conduct. (42 U.S.C. 6314(a)(2))
    EPCA provides specific requirements for determining the R value for 
certain walk-in components. (42 U.S.C. 6314(a)(9)(A)(i)-(iv)) In 
addition, EPCA required that DOE establish test procedures to measure 
walk-in energy-use. (42 U.S.C. 6314(a)(9)(B)(i))
    In addition, if DOE determines that a test procedure amendment is 
warranted, it must publish proposed test procedures and offer the 
public an opportunity to present oral and written comments on them. (42 
U.S.C. 6314(b)) EPCA also requires that, at least once every 7 years, 
DOE evaluate test procedures for each type of covered equipment, 
including walk-ins, to determine whether amended test procedures would 
more accurately or fully comply with the requirements for the test 
procedures to not be unduly burdensome to conduct and be reasonably 
designed to produce test results that reflect energy efficiency, energy 
use, and estimated operating costs during a representative average use 
cycle. (42 U.S.C. 6314(a)(1)) If the Secretary determines that a test 
procedure amendment is warranted, the Secretary must publish proposed 
test procedures in the Federal Register, and afford interested persons 
an opportunity (of not less than 45 days' duration) to present oral and 
written data, views, and arguments on the proposed test procedures. (42 
U.S.C. 6314(b)) If DOE determines that test procedure revisions are not 
appropriate, DOE must publish its determination not to amend the test 
procedures. (42 U.S.C. 6314(a)(1)(A)(ii))

B. Background

    On April 15, 2011, DOE published a final rule to establish test 
procedures for the principal components that make up a walk-in: Panels, 
doors, and refrigeration systems. 76 FR 21580 (April 15, 2011). The 
test procedure for refrigeration systems at Appendix C measures energy 
using the annual walk-in energy factor (``AWEF'') metric. Appendix C, 
Sec. 1. AWEF represents the ratio of the total heat removed from a 
walk-in, in British thermal units (``Btu''), during a one-year period 
of usage (not including the heat generated by the operation of a 
refrigeration system), to the total energy input of the refrigeration 
system, in watt-hours (``Wh''), during the same period.
    On May 13, 2014, DOE revised the existing regulations for walk-ins 
to allow WICF refrigeration system manufacturers, once certain 
qualifications are met, to use an alternative efficiency determination 
method (``AEDM'') to determine the energy consumption of their products 
through simulation or modeling. Manufacturers can use that simulation 
information to certify compliance and report ratings. 79 FR 27388 
(``May 2014 Final Rule'').
    The May 2014 Final Rule also introduced different approaches for 
testing refrigeration systems, accommodating testing not just of 
complete systems, but also accommodating the individual components of 
split systems to be tested separately. 79 FR 27388, 27398. A split-
system refrigeration system consists of two separate components: A unit 
cooler \2\ that is installed inside a walk-in enclosure, and a 
condensing unit,\3\

[[Page 60726]]

which is installed outside the enclosure, either inside a building in 
which the walk-in is constructed, or outdoors. The amendments finalized 
in the May 2014 Final Rule accommodate testing of the entire ``matched 
pair'' refrigeration system (i.e., a condensing unit and unit cooler 
together), the condensing unit alone, or the unit cooler alone. When 
testing an individual component alone, the energy use attributed to the 
other system component is represented by a default value or using a 
default performance characteristic. Specifically, when testing a unit 
cooler alone, the condensing unit energy use is determined using the 
representative energy efficiency ratio (``EER'') specified for the 
appropriate adjusted dew point temperature in Table 17 of AHRI 1250-
2009. Energy use of the unit cooler's components, i.e., its evaporator 
fan(s) and its electric defrost heater (for units that use electric 
defrost), is directly measured during the test. Conversely, when 
testing a condensing unit alone, the compressor and condenser fan 
energy are directly measured, while the energy use of the components of 
the unit cooler are represented by default values. The test procedure 
provides default values for the evaporator fans, and, for low-
temperature refrigeration systems, the energy use and heat load 
associated with defrost.\4\ Appendix C, Sections 3.4.2 through 3.4.5. 
The default defrost energy and heat values are based on representative 
energy use of electric defrost, by far the most common form of defrost. 
Electric defrost consists of electric resistance heaters built into the 
evaporator coil and the unit cooler drain pan that are energized 
occasionally during the day to warm the coil and melt the frost.
---------------------------------------------------------------------------

    \2\ A unit cooler is defined as 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. (10 CFR 431.302)
    \3\ A condensing unit, for the purposes of DOE walk-in 
refrigeration system testing, 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. (10 CFR 431.302)
    \4\ Defrost is required to remove frost from the evaporator 
coils of refrigeration systems, which collects during the 
refrigeration system on-cycle as water vapor in the air freezes onto 
the cold evaporator surfaces. Defrost capability is required for 
freezers, but is optional for coolers, since the surrounding walk-in 
interior temperature is above freezing temperature and thus can melt 
the frost between on-cycles in many walk-in cooler applications.
---------------------------------------------------------------------------

    Additionally, the May 2014 Final Rule established a method for 
determination of AWEF for refrigeration systems with ``hot gas'' 
defrost, using nominal values to represent the energy use and heat load 
of this method. 79 FR 27388, 27401. Rather than using electric 
resistance coils embedded in the evaporator for defrosting, hot gas 
defrost uses refrigerant to transfer heat from ambient air outside the 
walk-in, the compressor, and/or a thermal storage component that stores 
heat generated during the compressor on-cycle. DOE notes that, in 
contrast with the default values for electric defrost, which are 
required for use only when testing condensing units, the hot gas 
defrost nominal values were to be used for any system using hot gas 
defrost (see Sec.  431.303(c)(10)(xii) as finalized in the May 2014 
Final Rule for unit coolers and complete refrigeration systems (e.g., 
matched pairs) and see Sec.  431.303(c)(12)(ii) as finalized in the May 
2014 Final Rule for condensing units). 79 FR 27388, 27413-27414.\5\ The 
application of the hot gas defrost nominal values was established for 
all system configurations because an appropriate test method to 
accurately measure hot gas defrost that would not be unduly burdensome 
to conduct had not been developed. 79 FR 27388, 27401. As such, energy 
use and heat load default values were established for both hot gas unit 
coolers and condensing units tested alone that use hot gas defrost.
---------------------------------------------------------------------------

    \5\ These requirements were later removed in a test procedure 
final rule published on December 28, 2016. 81 FR 95758, 95774-95777.
---------------------------------------------------------------------------

    DOE most recently amended the test procedures for the performance 
requirements for walk-in refrigeration system components (e.g., 
refrigeration systems such as unit coolers), in a final rule published 
on December 28, 2016. 81 FR 95758 (``December 2016 Final Rule''). That 
rule adopted a series of amendments to provisions affecting certain 
walk-in 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. See id. These amendments 
had their initial origins as part of a negotiated rulemaking effort 
held under the Appliance Standards and Rulemaking Federal Advisory 
Committee (``ASRAC''). See 80 FR 46521 (August 5, 2015) (establishing a 
WICF Working Group under ASRAC).\6\ The removal of the hot gas defrost 
credit was part of the Working Group's test procedure-related 
recommendations. See Docket No. EERE-2015-BT-STD-0016, No. 56 at p. 2 
(ASRAC Term Sheet, Recommendation No. 3--elimination of the ``hot gas 
defrost credit'' in the walk-in test procedure). See also 81 FR 95758, 
95761 (discussing ASRAC recommendations).
---------------------------------------------------------------------------

    \6\ 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'').
---------------------------------------------------------------------------

    Up until the December 2016 Final Rule, the walk-in test procedure 
had included a method for calculating defrost energy and defrost heat 
load of hot gas defrost refrigeration systems. See 79 FR 27388, 27413 
(incorporating as part of the May 2014 Final Rule a method for 
calculating defrost energy and heat load for hot gas defrost systems). 
The method DOE established relied on certain default values for 
calculating hot gas defrost energy and heat load, and separate default 
values for calculating electric defrost energy use and heat load, for 
testing refrigeration systems. 79 FR 27388, 27401. As discussed above, 
the electric defrost energy use and heat load values were required for 
testing of condensing units only, whereas the hot gas defrost values 
were required for testing of any refrigeration system configuration. 
The default values for calculating hot gas defrost energy and heat load 
established in the May 2014 Final Rule were much lower than the default 
values established for calculating energy use and heat load for 
electric defrost; thus, use of these values represented a ``hot gas 
defrost credit.'' Id. Given that this ``hot gas defrost credit'' in the 
test procedure resulted in more favorable AWEF results for systems 
using hot gas defrost (in comparison to using electric defrost, all 
else being equal), the use of hot gas defrost was subsequently 
considered as a design option in the June 3, 2014 energy conservation 
standard rulemaking, which set new performance standards for walk-in 
refrigeration systems. 79 FR 32050. As a result, DOE's analysis 
indicated that manufacturers would need to use hot gas defrost 
technology for most of the WICF refrigeration system equipment classes 
in order to comply with the new standards.\7\
---------------------------------------------------------------------------

    \7\ In the energy conservation standard final rule published on 
June 3, 2014, DOE set standards at Trial Standard Level (``TSL'') 2. 
79 FR 32050, 32116. The analysis showed that this TSL would 
generally require use of hot gas defrost. For example, for equipment 
class DC.L.O (low-temperature outdoor dedicated condensing unit) at 
9,000 Btu/h nominal capacity, TSL 2 represented efficiency level 
(``EL'') 11. See Table V.2, 79 FR 32050, 32099. EL 11 represented 
the maximum-technology (``Max-tech'') level in the analysis, which 
relied on hot gas defrost, as shown in Table 5A.5.42 of the 
Technical Support Document. (Docket Number EERE-2008-BT-STD-0015, 
No. 0131 at p. 5A-57)
---------------------------------------------------------------------------

    As discussed in the December 2016 Final Rule, simply eliminating 
the hot gas defrost energy and heat load values by reducing these 
values to zero would not eliminate the hot gas defrost credit, but 
rather would magnify the relative benefit given to hot gas defrost 
units by removing from the calculation any energy use associated with 
defrost for

[[Page 60727]]

such units. 81 FR 95758, 95774. Comments provided by stakeholders 
recommended revising the test procedure such that the test results for 
hot gas defrost systems would be equivalent to those of electric 
defrost systems. 81 FR 95758, 95774-95775. DOE considered a variety of 
options for establishing efficiency representations of refrigeration 
systems with hot gas defrost comparable to those with electric defrost, 
including recommendations from stakeholder comments. Such 
representations would generally overestimate the energy use of hot gas 
defrost systems, since hot gas defrost is generally less energy-
intensive than electric defrost.\8\ Further, unlike electric defrost 
systems--for which the energy use of the dedicated electric resistance 
heaters can be easily measured--an appropriate test method to determine 
the energy use of hot gas defrost that is not unduly burdensome had not 
(and still has not) been developed.
---------------------------------------------------------------------------

    \8\ See, e.g., Docket EERE-2015-BT-STD-0016, No. 0007 at p. 15, 
which compares hot gas defrost thermal load and energy contributions 
measured in laboratory testing compared with the electric defrost 
default values and the hot gas defrost default values. As discussed, 
the hot gas defrost thermal load and energy contribution values had 
been adopted in the walk-in refrigeration system test procedures in 
the May 2014 Final Rule (79 FR 27388) and were eliminated in the 
December 2016 Final Rule (81 FR 95758).
---------------------------------------------------------------------------

    The approach that DOE adopted in the December 2016 Final Rule was 
to assign to hot gas defrost unit coolers the same default values for 
electric defrost heat and energy use calculations that the test 
procedure assigns to dedicated condensing units that are not matched 
with a unit cooler for testing (i.e., tested alone). 81 FR 95758, 
95776. As described in the final rule, the intent was that the use of a 
hot gas defrost feature would not affect the measured efficiency either 
positively or negatively. In that aspect, the test procedure for units 
with hot gas defrost would be essentially the same as the test 
procedure for units with electric defrost. 81 FR 95758, 95776. The 
approach adopted in the December 2016 Final Rule remains the current 
test method for addressing hot gas defrost.
    In general, the current DOE test procedure requires testing of WICF 
refrigeration systems to be conducted pursuant to the industry 
standard, Air Conditioning, Heating, and Refrigeration Institute 
(``AHRI'') Standard 1250-2009 (``AHRI 1250-2009''). Section 3.0 of 
Appendix C. For testing unit coolers, the DOE test procedure also 
provides a number of clarifications and modifications to AHRI 1250-2009 
as specified in 3.1.5 (which modifies Tables 15 and 16 of the test 
standard to add requirements for liquid inlet saturation temperature), 
3.3.1 (which clarifies the suction test conditions listed in AHRI 1250-
2009 that apply to the DOE test procedure and also clarifies which 
instructions contained in AHRI 1250-2009 are to be used for calculating 
AWEF), 3.3.3 (which modifies the minimum evaporator fan duty cycle or 
speed to be used in the calculations for compressor off-cycle periods), 
and 3.3.7 (which specifies operating variable-speed evaporator fans at 
full speed during compressor on-cycle periods in calculations to 
demonstrate compliance with DOE standards) of Appendix C.
    As discussed, the DOE test procedure delineates between WICF 
refrigeration systems that are condensing units and those that are unit 
coolers. See e.g., 3.5.1 and 3.5.2 of Appendix C.\9\ The DOE test 
procedure also provides specific provisions for testing condensing 
units and unit coolers with hot gas defrost. Sections 3.5, 3.5.1, and 
3.5.2 of Appendix C. In general, hot gas defrost condensing units 
tested alone are tested in the same manner as electric defrost 
dedicated condensing units that are not matched for testing and are not 
treated as single-package dedicated systems as specified in section 3.4 
of Appendix C (after removing hot gas defrost mechanical components and 
disconnecting all such components form electrical power). Section 3.5 
and 3.5.1 of Appendix C. In general, hot gas defrost unit coolers are 
similarly tested with the hot gas defrost mechanical components removed 
and disconnected from electrical power. Section 5.5 of Appendix C. 
However, for hot gas defrost unit coolers, the test requirements 
deviate from those prescribed for electric defrost unit coolers. 
Specifically, the defrost tests described in sections 3.3.4 and 3.3.5 
of Appendix C are not conducted. Section 3.5.2 of Appendix C. Instead, 
default defrost energy and heat contributions are calculated and 
applied as specified in sections 3.4.2.4 and 3.4.2.5 of Appendix C. 
Section 3.5.2 of Appendix C. This approach assigns electric defrost 
energy and heat load to the AWEF calculation for both hot gas defrost 
condensing units and hot gas defrost unit coolers, consistent with the 
intent discussed above to establish equivalent test results for hot gas 
defrost and electric defrost for all walk-in refrigeration systems.
---------------------------------------------------------------------------

    \9\ A unit cooler is defined as 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. 10 CFR 431.302. A 
condensing unit, for the purposes of DOE walk-in refrigeration 
system testing, 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. Id.
---------------------------------------------------------------------------

    Relatedly, DOE also published a final rule on July 10, 2017, that 
adopted energy conservation standards for WICFs recommended by the 
Working Group. 82 FR 31808 (``July 2017 Final Rule'').\10\ The analysis 
supporting the development of these standards considered only electric 
defrost walk-in refrigeration systems consistent with the Working 
Group's Term Sheet recommendation to remove the hot gas defrost credit. 
For the condensing unit analysis, DOE relied on the default values for 
electric defrost found in the test procedure as the defrost energy and 
heat load contributions. The analysis for unit coolers used defrost 
heater wattage levels for specific unit cooler models considered to be 
representative and defrost heater activation times agreed to by the 
Working Group.\11\
---------------------------------------------------------------------------

    \10\ The July 2017 Final Rule established standards for six 
classes of refrigeration systems for which the prior standards had 
been vacated by a controlling court order issued on August 10, 2015, 
under a settlement agreement reached in Lennox Int'l v. Dep't of 
Energy, Case No. 14-60535 (5th Cir.). 82 FR 31808, 31817.
    \11\ The defrost heater activation times were discussed during 
the September 30, 2015 Working Group meeting. The data discussed 
addressing this issue is in the meeting presentation, specifically 
page 29. (EERE-2015-BT-STD-0016, No. 0007 at pp. 27-32) The Working 
Group agreed with the defrost activation times. (Working Group 
Meeting Transcript, EERE-2015-BT-STD-0016, No. 0067 at pp. 147-153).
---------------------------------------------------------------------------

    The compliance date for the standards established in the July 2017 
Final Rule is July 10, 2020. 82 FR 31808.
    As noted elsewhere in this document, the issues addressed in this 
proposal were addressed as part of DOE's prior negotiated rulemaking 
efforts to amend the test procedure for this equipment and are narrowly 
focused on a specific range of equipment. Because efforts to address 
this issue through rulemaking were already in progress at the time 
DOE's revised Process Rule provisions were published, see 85 FR 8626 
(February 14, 2020), DOE will apply those provisions moving forward 
(i.e., rather than reinitiating the entire rulemaking process on this 
issue). However, DOE welcomes comment, information, and data bearing on 
the issues that would be raised in an early assessment for walk-in 
refrigeration systems. Further, while DOE's analysis indicates the need 
to make the changes being proposed, to the extent that interested 
parties believe that the amendments contained in this proposal are 
unnecessary, DOE welcomes comment--along with supporting

[[Page 60728]]

reasons and data--regarding that view as well.

II. Synopsis of the Notice of Proposed Rulemaking

    In this NOPR, DOE proposes to update 10 CFR 431.304, ``Uniform test 
method for the measurement of energy consumption of walk-in coolers and 
walk-in freezers'' as follows:

    Amend section 3.5.2 of Appendix C of the current test procedure 
for evaluating defrost energy and heat contribution for hot gas 
defrost unit cooler tests by incorporating equations consistent with 
Section C10.2.2 of Appendix C of AHRI 1250-2020 (including equations 
C46 through C49, which address electric defrost energy use for 
dedicated condensing units tested alone).\12\
---------------------------------------------------------------------------

    \12\ DOE slightly modified equation C49 by removing division by 
1.0 to simplify the equation. This change does not affect the 
result.

    DOE's proposed actions are summarized in Table II.1 and compared to 
the current test procedure. Table II.1 also includes the reason for the 
proposed change.

          Table II.1--Summary of Changes in Proposed Test Procedure Relative to Current Test Procedure
----------------------------------------------------------------------------------------------------------------
      Current DOE test procedure            Proposed test procedure                      Reason
----------------------------------------------------------------------------------------------------------------
Defrost energy and heat contribution    Revise defrost energy and heat  Industry TP Update.
 for hot gas defrost unit cooler are     contribution values for hot
 determined based on the calculation     gas defrost unit coolers to
 for electric defrost for dedicated      be consistent with the
 condensing units that are not matched   electric defrost energy use
 for testing.                            and heat contributions in
                                         section C10.2.2 in Appendix C
                                         of AHRI 1250-2020.
----------------------------------------------------------------------------------------------------------------

    DOE has tentatively determined that the proposed amendments 
described in section III of this NOPR would better evaluate the 
measured efficiency of the walk-in refrigeration system equipment using 
hot gas defrost identified in this proposal, and that the proposed test 
procedures would not add any burden to conduct. Discussion of DOE's 
proposed actions are addressed in detail in section III of this NOPR.

III. Discussion

    The following subsections describe the scope and details of the 
proposed rulemaking changes discussed in this NOPR.

A. Scope of Applicability

    This rulemaking applies specifically to low temperature hot gas 
defrost walk-in unit coolers tested alone.
    DOE defines a ``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 (excluding products 
designed and marketed exclusively for medical, scientific, or research 
purposes). 10 CFR 431.302.
    DOE defines a ``unit cooler'' as 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. A unit cooler is a refrigeration 
system, which DOE defines 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 walk-in 
freezer, consisting of: (1) A dedicated condensing refrigeration system 
(as defined in 10 CFR 431.302); or (2) A unit cooler.
    This NOPR addresses the test procedure only for hot gas defrost 
unit coolers. DOE has initially determined that for hot gas defrost 
unit coolers, the current DOE test procedure provides results that are 
not essentially the same as the test procedure for units with electric 
defrost as intended in the December 2016 Final Rule. As a result, it 
would not be possible for certain hot gas defrost unit coolers to 
comply with the energy conservation standards set to take effect on 
July 10, 2020.

B. Revision of the Calculation of Defrost Energy and Heat Contribution 
for Hot Gas Defrost Unit Coolers Tested Alone

    DOE was informed by manufacturers and AHRI in 2019 that the test 
method for addressing hot gas defrost unit coolers does not provide 
results appropriately comparable with the results obtained under the 
method prescribed for electric defrost unit coolers, and likely are not 
appropriately comparable for determining compliance with the energy 
conservation standards. As a result, hot gas defrost unit coolers above 
a certain capacity will likely not be able to comply with the energy 
conservation standards for which compliance is required beginning July 
10, 2020.
    As discussed in section I.B, hot gas defrost provides efficiency 
benefits compared with electric defrost by using refrigerant to 
transfer heat from the walk-in exterior, the compressor, and/or a 
thermal storage component that stores heat generated during the 
compressor on-cycle as opposed to using electric resistance coils for 
defrosting.
    Table 1 below compares hypothetical best-case AWEF values (assuming 
the unit cooler fans draw zero power, an impossible situation) and AWEF 
values assuming representative fan wattages calculated for unit coolers 
of different gross capacity levels \13\ using the method prescribed in 
Appendix C of the current test procedure using the defrost energy and 
heat load values in the current test procedure--these are the same 
values as used to represent electric defrost energy and heat values for 
determination of AWEF for condensing units tested alone. The zero-fan-
watt AWEF levels are higher than would be achieved by max-tech unit 
coolers, since the calculations were done assuming that the unit cooler 
fans consume zero energy for illustrative purposes.
---------------------------------------------------------------------------

    \13\ Gross capacity is the cooling delivered by the refrigerant 
passing through the unit cooler evaporator. Net capacity or cooling 
effect is less than this value by an amount equal to the heat of the 
fans (i.e., fan input power in Watts converted to heat in Btu/h by 
multiplying by 3.412) used to circulate air through the unit cooler.
---------------------------------------------------------------------------

    The hypothetical AWEF values were calculated as follows. Energy 
contributions included in the AWEF calculation for this case include 
the compressor energy and the defrost energy. The compressor energy is 
calculated as the unit cooler gross capacity, divided by a compressor 
system EER prescribed in Table 17 of AHRI 1250-2009 for low-temperature 
unit coolers (i.e., EER = 6.7) multiplied by a load factor representing 
percentage compressor run time. The load factor is equal to walk-in 
enclosure thermal load plus the average per-hour defrost heat 
contribution divided by the unit cooler's net capacity. In this 
calculation, higher defrost energy and heat load both reduce AWEF; a 
higher AWEF value indicates more efficient performance. The 
calculations indicate that, for unit coolers above a certain capacity--
even for the hypothetical impossible zero-fan-watt scenario, using the 
default defrost energy and heat load values results in a

[[Page 60729]]

measured AWEF lower than the low-temperature unit cooler minimum 
standard for which compliance will be required on July 10, 2020.

                                    Table 1--Hot Gas Defrost Unit Cooler AWEF
----------------------------------------------------------------------------------------------------------------
                                                           AWEF \1\ (Btu/W-h)
                                         -----------------------------------------------------    Minimum AWEF
         Gross capacity (Btu/h)                            Assuming fan power correlations of  standard \2\ (Btu/
                                           Assuming zero    AHRI 1250-2020, equation 173 in           W-h)
                                             fan power            section 7.9.3.3 \1\
----------------------------------------------------------------------------------------------------------------
10,000..................................            5.08                                 4.30               4.07
17,500..................................            4.65                                 4.15               4.15
50,000..................................            4.49                                 3.83               4.15
100,000.................................            4.21                                 3.51               4.15
114,300.................................            4.15                                 3.45               4.15
150,000.................................            4.03                                 3.35               4.15
200,000.................................            3.91                                 3.23               4.15
----------------------------------------------------------------------------------------------------------------
\1\ These correlations, representative of freezer unit cooler evaporator fan power, are used in the test method
  prescribed in AHRI 1250-2020 for freezer condensing units tested alone.
\2\ Unit Cooler--Low, 10 CFR 431.306(e).

    As mentioned, the DOE test procedure determines the AWEF of hot gas 
defrost unit coolers by using the default electric defrost energy use 
and heat load values from the test procedure provisions applicable to 
condensing units tested alone. Appendix C Sections 3.5.2, 3.4.2.4, and 
3.4.2.5. In April 2020, AHRI published an updated version of its AHRI 
1250 test standard (``AHRI 1250-2020'') that revised the values for 
electric defrost energy use and heat contributions to apply when 
testing condensing units that are tested alone (see section C10.2.2 in 
Appendix C of AHRI 1250-2020). In part, AHRI based the update on 
testing a sample of unit coolers having electric defrost. Although the 
updated values specified in AHRI 1250-2020 are expressed as average 
per-hour contributions rather than daily contributions, they can be 
converted to daily contributions (by multiplying by 24) for comparison 
with the current DOE test procedure values. As expressed in daily 
values, the values based on AHRI 1250-2020 are significantly lower than 
the values in the current DOE test procedure, as indicated in Table 2.

    Table 2--Comparison of Unit Cooler Default Electric Defrost Energy and Heat Load Between Current DOE Test
                                          Procedure and AHRI 1250-2020
----------------------------------------------------------------------------------------------------------------
                                            Daily defrost energy use, DF (Wh)     Daily defrost heat load, QDF
                                           -----------------------------------               (Btu)
          Gross capacity (Btu/h)                                              ----------------------------------
                                             Current DOE test  AHRI 1250-2020   Current DOE test
                                               procedure *                        procedure *     AHRI 1250-2020
----------------------------------------------------------------------------------------------------------------
10,000....................................              4,088           2,400             13,300           7,800
50,000....................................             31,600          10,400            102,300          33,600
100,000...................................             76,100          18,000            247,000          58,500
150,000...................................             128,00          27,000            413,000          87,600
200,000...................................            184,000          36,000            595,000         117,000
----------------------------------------------------------------------------------------------------------------
* See Appendix C, Sections 3.4.2.4 and 3.4.2.5. Applicable for hot gas defrost unit coolers as required in
  Appendix C, Section 3.5.2.

    DOE notes that the AHRI 1250-2020 revisions also include 
correlations for the energy use and heat load associated with hot gas 
defrost. These values were based on testing of units with hot gas 
defrost. However, DOE is proposing to use the correlations developed 
for electric defrost rather than hot gas defrost, to achieve 
consistency between ratings of hot gas and electric defrost unit 
coolers, as intended by the December 2016 Final Rule.
    DOE has initially determined that the equations in AHRI 1250-2020 
section C10.2.2 provide better representation of electric defrost 
energy use and heat load than those in the current DOE test procedure 
in Appendix C, sections 3.4.2.4 and 3.4.2.5 and hence would provide 
better equivalence of a hot gas unit cooler's performance rating with 
that of an otherwise similar electric defrost unit cooler, regardless 
of gross capacity. The default electric defrost energy and heat values 
in the DOE test procedure were validated based on testing with unit 
coolers of a more limited range of capacity than the sample tested by 
AHRI. DOE testing to evaluate the electric defrost correlations is 
summarized in the Sept. 30/Oct. 1, 2015 Working Group presentation 
(Docket EERE-2015-BT-STD-0016, No. 0007 at p. 31), which reports 
testing of refrigeration systems with measured gross capacity up to 
18,100 Btu/h. The default electric defrost energy and heat values 
provided in AHRI 1250-2020 were based on a test program measuring 
performance of a range of capacities of unit coolers that included unit 
coolers of higher capacity than tested by DOE in development of the DOE 
test procedure (i.e., the AHRI sample included unit coolers with 
capacities greater than 18,000 Btu/h). DOE has initially determined 
that, because of the more robust sample, the AHRI 1250-2020 values 
provide the best available representation of electric defrost energy 
consumption associated with unit cooler defrost and thus are more 
appropriate to use to provide equivalence between performance 
representations between hot gas defrost and electric defrost unit 
coolers. Hence, DOE is proposing to revise its test procedure for hot 
gas defrost low-temperature unit coolers to use the AHRI 1250-2020 
equations to provide more equivalent test results between

[[Page 60730]]

electric and hot gas defrost unit coolers.\14\
---------------------------------------------------------------------------

    \14\ DOE has not identified an analogous issue with the use of 
hot gas defrost default values when testing condensing units tested 
alone that use hot gas defrost. The condensing unit test procedure 
provisions require use of the same defrost default values that were 
used to develop the energy conservation standards for which 
compliance is required on July 10, 2020.
---------------------------------------------------------------------------

    The proposed revisions would be made to the test procedure for 
walk-in freezer refrigeration systems prescribed by DOE in Appendix C. 
If made final, the proposal would add section 3.5.3 specifically for 
hot gas defrost unit coolers, which relies on the defrost energy and 
heat equations from AHRI 1250-2020.
    DOE requests comment on its proposal to revise the test procedure 
for hot gas defrost unit coolers by revising the equations used to 
calculate energy and heat contributions for defrost consistent with 
those specified in AHRI 1250-2020 in Section C10.2.2 of Appendix C for 
electric defrost.

C. Test Procedure Costs, Harmonization, and Other Topics

1. Test Procedure Costs and Impact
    EPCA requires that test procedures proposed by DOE not be unduly 
burdensome to conduct. In this NOPR, DOE proposes to amend the existing 
test procedure for walk-in freezers by revising the calculations used 
to determine representations for hot gas defrost unit coolers when 
tested alone. If finalized, this test procedure would impact only WICF 
refrigeration systems that are hot gas defrost unit coolers. DOE has 
tentatively determined that the proposed amendment would not add any 
burden to manufacturers to conduct the test procedure for this 
equipment since the proposal would require only a mathematical change 
to the measured results and would not require any additional testing or 
re-testing on the part of manufacturers.
2. Harmonization With Industry Standards
    DOE's established practice is to adopt relevant industry standards 
as DOE test procedures unless such methodology would be unduly 
burdensome to conduct or would not produce test results that reflect 
the energy efficiency, energy use, water use (as specified in EPCA) or 
estimated operating costs of that product during a representative 
average use cycle. 10 CFR 431.4; 10 CFR part 430, subpart C, appendix 
A, section 8(c). In cases where the industry standard does not meet the 
relevant statutory criteria, DOE will make needed modifications to 
these standards through rulemaking to ensure that the test procedure 
being adopted satisfies these criteria. Id.
    DOE is proposing to adopt the method for determining the energy use 
attributable to hot gas defrost in unit coolers as detailed in AHRI 
1250-2020, which is the updated version of the industry test procedure 
generally incorporated by reference in Appendix C. To address the 
determination of AWEF for hot gas defrost unit coolers as discussed in 
this NOPR, DOE is focusing this proposal on updating the Federal test 
procedure consistent with AHRI 1250-2020 only in this context. DOE may 
undertake a separate evaluation of whether amendments to the WICF test 
procedure are necessary more generally, and would as part of that 
evaluation consider whether the existing reference to AHRI 1250 should 
be updated to the 2020 version.

D. Compliance Date

    EPCA prescribes that, if DOE amends a test procedure, all 
representations of energy efficiency and energy use, including those 
made on marketing materials and product labels, must be made in 
accordance with that amended test procedure, beginning 180 days after 
publication of such a test procedure final rule in the Federal 
Register. (42 U.S.C. 6314(d)(1)) Manufacturers do, however, have the 
option to use the amended test procedure prior to that time.
    If DOE were to publish an amended test procedure, EPCA provides an 
allowance for individual manufacturers to petition DOE for an extension 
of the 180-day period if the manufacturer may experience undue hardship 
in meeting the deadline. (42 U.S.C. 6314(d)(2)) To receive such an 
extension, petitions must be filed with DOE no later than 60 days 
before the end of the 180-day period and must detail how the 
manufacturer will experience undue hardship. (Id.)

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

    The Office of Management and Budget (``OMB'') has determined that 
this test procedure rulemakings does not constitute a ``significant 
regulatory action'' under section 3(f) of Executive Order (``E.O.'') 
12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). 
Accordingly, this action was not subject to review under the Executive 
Order by the Office of Information and Regulatory Affairs (``OIRA'') in 
OMB.

B. Review Under Executive Orders 13771 and 13777

    On January 30, 2017, the President issued E.O. 13771, ``Reducing 
Regulation and Controlling Regulatory Costs.'' See 82 FR 9339 (Feb. 3, 
2017). E.O. 13771 stated the policy of the executive branch is to be 
prudent and financially responsible in the expenditure of funds, from 
both public and private sources. E.O. 13771 stated it is essential to 
manage the costs associated with the governmental imposition of private 
expenditures required to comply with Federal regulations.
    Additionally, on February 24, 2017, the President issued E.O. 
13777, ``Enforcing the Regulatory Reform Agenda.'' 82 FR 12285 (March 
1, 2017). E.O. 13777 required the head of each agency designate an 
agency official as its Regulatory Reform Officer (``RRO''). Each RRO 
oversees the implementation of regulatory reform initiatives and 
policies to ensure that agencies effectively carry out regulatory 
reforms, consistent with applicable law. Further, E.O. 13777 requires 
the establishment of a regulatory task force at each agency. The 
regulatory task force is required to make recommendations to the agency 
head regarding the repeal, replacement, or modification of existing 
regulations, consistent with applicable law. At a minimum, each 
regulatory reform task force must attempt to identify regulations that:
    (i) Eliminate jobs, or inhibit job creation;
    (ii) Are outdated, unnecessary, or ineffective;
    (iii) Impose costs that exceed benefits;
    (iv) Create a serious inconsistency or otherwise interfere with 
regulatory reform initiatives and policies;
    (v) Are inconsistent with the requirements of the Information 
Quality Act, or the guidance issued pursuant to that Act, in particular 
those regulations that rely in whole or in part on data, information, 
or methods that are not publicly available or that are insufficiently 
transparent to meet the standard for reproducibility; or
    (vi) Derive from or implement Executive Orders or other 
Presidential directives that have been subsequently rescinded or 
substantially modified.
    DOE initially concludes that this rulemaking is consistent with the 
directives set forth in these executive orders. This proposed rule is 
estimated to have no cost impact. Therefore, if finalized as proposed, 
this rule is expected to be an E.O. 13771 other action.

[[Page 60731]]

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of an initial regulatory flexibility analysis (``IRFA'') 
for any rule that by law must be proposed for public comment, unless 
the agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
As required by Executive Order 13272, ``Proper Consideration of Small 
Entities in Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE 
published procedures and policies on February 19, 2003, to ensure that 
the potential impacts of its rules on small entities are properly 
considered during the DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's website: http://energy.gov/gc/office-general-counsel.
    The proposed change to the test procedure would have no cost 
impact. As discussed, the proposed rule, if finalized, would require 
use of a different calculation to determine the AWEF for hot gas 
defrost unit coolers. The proposed amendment would not require 
additional testing or retesting.
    Therefore, DOE initially concludes that the impacts of the proposed 
test procedure amendments would not have a ``significant economic 
impact on a substantial number of small entities,'' and that the 
preparation of an IRFA is not warranted. DOE will transmit the 
certification and supporting statement of factual basis to the Chief 
Counsel for Advocacy of the Small Business Administration for review 
under 5 U.S.C. 605(b).

D. Review Under the Paperwork Reduction Act of 1995

    Manufacturers of WICFs must certify to DOE that their products 
comply with any applicable energy conservation standards. To certify 
compliance, manufacturers must first obtain test data for their 
products according to the DOE test procedures, including any amendments 
adopted for those test procedures. DOE has established regulations for 
the certification and recordkeeping requirements for all covered 
consumer products and commercial equipment, including walk-in coolers 
and freezers. (See generally 10 CFR part 429.) The collection-of-
information requirement for the certification and recordkeeping is 
subject to review and approval by OMB under the Paperwork Reduction Act 
(``PRA''). This requirement has been approved by OMB under OMB control 
number 1910-1400. Public reporting burden for the certification is 
estimated to average 35 hours per response, including the time for 
reviewing instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information.
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.
    The amendment proposed in this NOPR, if made final would not impact 
the reporting burden for manufacturers of WICFs.

E. Review Under the National Environmental Policy Act of 1969

    DOE is analyzing this proposed regulation in accordance with the 
National Environmental Policy Act of 1969 (``NEPA'') and DOE's NEPA 
implementing regulations (10 CFR part 1021). DOE's regulations include 
a categorical exclusion for rulemakings interpreting or amending an 
existing rule or regulation that does not change the environmental 
effect of the rule or regulation being amended. 10 CFR part 1021, 
subpart D, Appendix A5. DOE anticipates that this rulemaking qualifies 
for categorical exclusion A5 because it is an interpretive rulemaking 
that does not change the environmental effect of the rule and otherwise 
meets the requirements for application of a categorical exclusion. See 
10 CFR 1021.410. DOE will complete its NEPA review before issuing the 
final rule.

F. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' 64 FR 43255 (Aug. 4, 1999) 
imposes certain requirements on agencies formulating and implementing 
policies or regulations that preempt State law or that have Federalism 
implications. The Executive Order requires agencies to examine the 
constitutional and statutory authority supporting any action that would 
limit the policymaking discretion of the States and to carefully assess 
the necessity for such actions. The Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
equipment that are the subject of this proposed rule. States can 
petition DOE for exemption from such preemption to the extent, and 
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further 
action is required by Executive Order 13132.

G. 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 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity, (2) write regulations to 
minimize litigation, (3) provide a clear legal standard for affected 
conduct rather than a general standard, and (4) promote simplification 
and burden reduction. Section 3(b) of Executive Order 12988 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation (1) clearly specifies the 
preemptive effect, if any, (2) clearly specifies any effect on existing 
Federal law or regulation, (3) provides a clear legal standard for 
affected conduct while promoting simplification and burden reduction, 
(4) specifies the retroactive effect, if any, (5) adequately defines 
key terms, and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of Executive Order 12988 requires Executive 
agencies to review regulations in light of applicable standards in 
sections 3(a) and 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of them. DOE has completed the 
required review and determined that, to the extent permitted by law, 
the proposed rule meets the relevant standards of Executive Order 
12988.

H. 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

[[Page 60732]]

proposed regulatory action likely to result in a rule that may cause 
the expenditure by State, local, and Tribal governments, in the 
aggregate, or by the private sector of $100 million or more in any one 
year (adjusted annually for inflation), section 202 of UMRA requires a 
Federal agency to publish a written statement that estimates the 
resulting costs, benefits, and other effects on the national economy. 
(2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to 
develop an effective process to permit timely input by elected officers 
of State, local, and Tribal governments on a proposed ``significant 
intergovernmental mandate,'' and requires an agency plan for giving 
notice and opportunity for timely input to potentially affected small 
governments before establishing any requirements that might 
significantly or uniquely affect small governments. On March 18, 1997, 
DOE published a statement of policy on its process for 
intergovernmental consultation under UMRA. 62 FR 12820; also available 
at http://energy.gov/gc/office-general-counsel. DOE examined this 
proposed rule according to UMRA and its statement of policy and 
determined that the 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.

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

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

J. Review Under Executive Order 12630

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

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

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

L. Review Under Executive Order 13211

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

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
``FEAA'') Section 32 essentially provides in relevant part that, where 
a proposed rule authorizes or requires use of commercial standards, the 
notice of proposed rulemaking must inform the public of the use and 
background of such standards. In addition, section 32(c) requires DOE 
to consult with the Attorney General and the Chairman of the Federal 
Trade Commission (``FTC'') concerning the impact of the commercial or 
industry standards on competition.

V. Public Participation

A. Participation in the Webinar

    The time and date for the webinar are listed in the DATES section 
at the beginning of this document. Webinar registration information, 
participant instructions, and information about the capabilities 
available to webinar participants will be published on DOE's website: 
https://www1.eere.energy.gov/buildings/appliance_standards/standards.aspx?productid=56&action=viewlive. Participants are 
responsible for ensuring their systems are compatible with the webinar 
software.

B. Submission of Comments

    DOE will accept comments, data, and information regarding this 
proposed rule no later than the date provided in the DATES section at 
the beginning of this proposed rule. Interested parties may submit 
comments using any of the methods described in the ADDRESSES section at 
the beginning of this document.
    Submitting comments via http://www.regulations.gov. The http://www.regulations.gov web page will require you to provide your name and 
contact information. Your contact information will be viewable to DOE 
Building Technologies staff only. Your contact information will not be 
publicly viewable except for your first and last names, organization 
name (if any), and submitter representative name (if any). If your 
comment is not processed properly because of technical difficulties, 
DOE will use this information to contact you. If DOE cannot read your 
comment due to technical difficulties and cannot contact you for 
clarification, DOE may not be able to consider your comment.
    However, your contact information will be publicly viewable if you 
include it in the comment or in any documents attached to your comment. 
Any information that you do not want to be publicly viewable should not 
be included in your comment, nor in any document attached to your 
comment. Persons viewing comments will see only first and last names, 
organization

[[Page 60733]]

names, correspondence containing comments, and any documents submitted 
with the comments.
    Do not submit to http://www.regulations.gov information for which 
disclosure is restricted by statute, such as trade secrets and 
commercial or financial information (hereinafter referred to as 
Confidential Business Information (``CBI'')). Comments submitted 
through http://www.regulations.gov cannot be claimed as CBI. Comments 
received through the website will waive any CBI claims for the 
information submitted. For information on submitting CBI, see the 
Confidential Business Information section.
    DOE processes submissions made through http://www.regulations.gov 
before posting. Normally, comments will be posted within a few days of 
being submitted. However, if large volumes of comments are being 
processed simultaneously, your comment may not be viewable for up to 
several weeks. Please keep the comment tracking number that http://www.regulations.gov provides after you have successfully uploaded your 
comment.
    Submitting comments via email, hand delivery/courier, or postal 
mail. Comments and documents submitted via email, hand delivery/
courier, or postal mail also will be posted to http://www.regulations.gov. If you do not want your personal contact 
information to be publicly viewable, do not include it in your comment 
or any accompanying documents. Instead, provide your contact 
information on a cover letter. Include your first and last names, email 
address, telephone number, and optional mailing address. The cover 
letter will not be publicly viewable as long as it does not include any 
comments
    Include contact information each time you submit comments, data, 
documents, and other information to DOE. If you submit via postal mail 
or hand delivery/courier, please provide all items on a CD, if 
feasible, in which case it is not necessary to submit printed copies. 
No faxes will be accepted.
    Comments, data, and other information submitted to DOE 
electronically should be provided in PDF (preferred), Microsoft Word or 
Excel, WordPerfect, or text (ASCII) file format. Provide documents that 
are not secured, written in English and free of any defects or viruses. 
Documents should not contain special characters or any form of 
encryption and, if possible, they should carry the electronic signature 
of the author.
    Campaign form letters. Please submit campaign form letters by the 
originating organization in batches of between 50 to 500 form letters 
per PDF or as one form letter with a list of supporters' names compiled 
into one or more PDFs. This reduces comment processing and posting 
time.
    Confidential Business Information. Pursuant to 10 CFR 1004.11, any 
person submitting information that he or she believes to be 
confidential and exempt by law from public disclosure should submit via 
email, postal mail, or hand delivery/courier two well-marked copies: 
One copy of the document marked confidential including all the 
information believed to be confidential, and one copy of the document 
marked non-confidential with the information believed to be 
confidential deleted. Submit these documents via email or on a CD, if 
feasible. DOE will make its own determination about the confidential 
status of the information and treat it according to its determination.
    It is DOE's policy that all comments may be included in the public 
docket, without change and as received, including any personal 
information provided in the comments (except information deemed to be 
exempt from public disclosure).

C. Issues on Which DOE Seeks Comment

    Although DOE welcomes comments on any aspect of this proposal, DOE 
is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
    (1) DOE requests comment on its proposal to revise the test 
procedure for hot gas defrost unit coolers by revising the equations 
used to calculate energy and heat contributions for defrost consistent 
with those specified for electric defrost in in Section C10.2.2 of 
Appendix C of AHRI 1250-2020. If such revision is not appropriate, DOE 
requests information and data that would inform development of a more 
suitable set of equations to represent defrost to allow equivalent 
ratings for hot gas and electric defrost unit coolers.

VI. Approval of the Office of the Secretary

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

List of Subjects in 10 CFR Part 431

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

Signing Authority

    This document of the Department of Energy was signed on August 31, 
2020, by Alexander N. Fitzsimmons, Deputy Assistant Secretary for 
Energy Efficiency, Energy Efficiency and Renewable Energy, pursuant to 
delegated authority from the Secretary of Energy. That document with 
the original signature and date is maintained by DOE. For 
administrative purposes only, and in compliance with requirements of 
the Office of the Federal Register, the undersigned DOE Federal 
Register Liaison Officer has been authorized to sign and submit the 
document in electronic format for publication, as an official document 
of the Department of Energy. This administrative process in no way 
alters the legal effect of this document upon publication in the 
Federal Register.

    Signed in Washington, DC, on August 31, 2020.
Treena V. Garrett,
Federal Register Liaison Officer, U.S. Department of Energy.

    For the reasons stated in the preamble, DOE is proposing to amend 
part 431 of Chapter II of Title 10, Code of Federal Regulations as set 
forth below:

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

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

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

0
2. Appendix C to subpart R of part 431 is amended by revising section 
3.5.2 and adding new section 3.5.3 to read as follows:

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

* * * * *
    3.5.2 Hot Gas Defrost Matched Systems and Single-package 
Dedicated Systems: Test these units as described in section 3.3 of 
this appendix for electric defrost matched systems and single-
package dedicated systems, 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.
    3.5.3 Hot Gas Defrost Unit Coolers Tested Alone: Test these 
units as described in section 3.3 of this appendix for electric 
defrost unit coolers tested alone, but do not

[[Page 60734]]

conduct defrost tests as described in sections 3.3.4 and 3.3.5 of 
this appendix. Calculate average defrost heat load QDF, expressed in 
Btu/h, as follows:
[GRAPHIC] [TIFF OMITTED] TP28SE20.000

[FR Doc. 2020-19565 Filed 9-25-20; 8:45 am]
BILLING CODE 6450-01-P