[6450-01-P] 

DEPARTMENT OF ENERGY 

10 CFR Parts 429 and 431 

[Docket No. EERE-2011-BT-CE-0050] 

 RIN: 1904-AC58 

Energy Conservation Program: Compliance Date Regarding the Test Procedures for 

Walk-In Coolers and Freezers and the Certification for Metal Halide Lamp Ballasts and 

Fixtures 

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

ACTION: Notice of Proposed Rulemaking (NOPR). 

SUMMARY: This document clarifies the compliance date by which manufacturers must begin 

to use portions of a recently promulgated test procedure (i.e., the April 15, 2011 final rule) when 

certifying walk-in coolers and walk-in freezers. This document also proposes regulatory text 

changes to reflect U.S. Department of Energy’s (DOE) intent that only manufacturers of 

components of walk-in coolers and walk-in freezers are required to submit certification reports. 

Additionally, the NOPR proposes clarifications as to the types of test data needed to support the 

certification of compliance per DOE’s existing test procedures for walk-in coolers and walk-in 

freezers and the recently promulgated test procedure for this equipment. Finally, this document 

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proposes to extend the compliance date for certification of metal halide lamp ballasts and 

fixtures. 

DATES: DOE will accept comments, data, and information regarding the notice of proposed 

rulemaking (NOPR) postmarked no later than [INSERT DATE 21 DAYS AFTER DATE OF 

PUBLICATION IN THE FEDERAL REGISTER]. See section III, “Public Participation,” for 

details. 

ADDRESSES: Any comments submitted must identify the NOPR for walk-in coolers and 

walk-in freezers and metal halide lamp ballasts and fixtures by providing the docket number 

EERE-2011-BT-CE-0050 and/or RIN number 1904-AC58. Comments may be submitted using 

any of the following methods: 

	 Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for 

submitting comments. 

	 E-mail: WICF-MHL-2011-CE-0050@ee.doe.gov. Include docket number EERE-2011-

BT-CE-0050 and/or RIN 1904-AC58 in the subject line of the message. Submit 

electronic comments in WordPerfect, Microsoft Word, PDF, or ASCII file format and 

avoid the use of special characters or any form of encryption. 

	 Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies 

Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-

0121. Telephone: (202) 586-2945. Please submit one signed original paper copy. 

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 Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building 

Technologies Program, 950 L’Enfant Plaza, SW., 6th Floor, Washington, DC 20024. 

Please submit one signed original paper copy. 

Docket: For access to the docket to read background documents or comments received, visit the 

U.S. Department of Energy, Resource Room of the Building Technologies Program, 950 

L’Enfant Plaza, SW., 6th Floor, Washington, DC, 20024, (202) 586-2945, between 9:00 a.m. and 

4:00 p.m. Monday through Friday, except Federal holidays. Please call Ms. Brenda Edwards at 

the above telephone number for additional information regarding visiting the Resource Room. 

Please note: DOE’s Freedom of Information Reading Room (Room 1E-190 at the Forrestal 

Building) no longer houses rulemaking materials. 

FOR FURTHER INFORMATION CONTACT: Ms. Ashley Armstrong, U.S. Department of 

Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 

EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. E-mail: 

Ashley.Armstrong@ee.doe.gov. 

In the Office of the General Counsel, contact Ms. Laura Barhydt, U.S. Department of 

Energy, Office of the General Counsel, GC-32, 1000 Independence Avenue, SW., Washington, 

DC 20585-0121. Telephone: (202) 287-5772. E-mail: Laura.Barhydt@hq.doe.gov. 

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SUPPLEMENTARY INFORMATION: 

I. Background 

The Energy Policy and Conservation Act (EPCA), as amended by section 312(c) of the 

Energy Independence and Security Act (EISA 2007), requires the DOE to prescribe a test 

procedure to measure the energy use of walk-in coolers and freezers (collectively, walk-ins). See 

42 U.S.C. 6314(a). DOE recently satisfied this requirement by issuing a final rule establishing a 

test procedure for manufacturers to use when measuring the energy use or energy efficiency of 

certain walk-in components: panels, non-display doors, display doors, and refrigeration systems. 

See 76 FR 21580 (April 15, 2011) (final rule prescribing walk-in test procedures) and 76 FR 

33631 (June 9, 2011) (notice containing corrected formulas). 

Since the publication of that rulemaking, DOE recognized a need to clarify the date by 

which manufacturers must begin using the test procedure. The “Summary” and “Dates” sections 

of the preamble text to the final rule stated that the test procedures will be mandatory for making 

representations of energy usage or energy efficiency starting October 12, 2011; that is, 180 days 

after publication of the test procedure final rule. In this notice, DOE proposes to add regulatory 

text to clarify that the compliance date for using the test procedure for certifications of 

compliance is the same as the date for compliance with the energy conservation standards 

currently under development. DOE plans to issue the final rule by 2012 and manufacturers must 

comply with these standards within three years of publication of the final rule. DOE may also 

provide for a delayed effective date if the Secretary determines this three-year period is 

inadequate. (42 U.S.C. 6313(f)(4)(B)) DOE is also proposing to add regulatory text to clarify that 

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only component manufacturers are required to submit certifications of compliance with the 

current standards. 

II. Need for Clarification 

DOE is publishing this notice to address questions from walk-in manufacturers regarding 

how to comply with their certification requirements under 10 CFR Part 429, Subpart B and 

Appendix A, which collectively prescribe the process for manufacturers to follow when 

certifying their commercial equipment as compliant under the relevant energy conservation 

standards. DOE recently indicated that walk-in manufacturers must comply with these 

requirements starting on October 1, 2011. 76 FR 38287, 38292 (June 30, 2011). EPCA, through 

amendments established by the Energy Independence and Security Act of 2007, Pub. L. 140-110 

(Dec. 19, 2007) (EISA 2007), specified a test procedure that must be followed when determining 

the insulation value of the insulating foam used in walk-in applications, and manufacturers have 

raised questions as to whether they should continue using these procedures when certifying their 

equipment or use the new procedures that DOE promulgated in April 2011. 

EISA 2007 prescribed several design requirements for walk-ins and specified that the R 

value (a representation of the thermal insulating characteristics of insulating foam) shall be the 

1/K factor multiplied by the thickness of the panel, and the K factor shall be based on ASTM test 

procedure C518-2004. EPCA also prescribed certain temperature conditions for calculating the R 

value. (42 U.S.C. 6314(a)(9)(A)) Since 2009, these design requirements and test procedure 

provisions currently apply to all newly manufactured walk-ins. See 42 U.S.C. 6314(a)(9). See 

also 10 CFR Part 431.306(a)-(b) and 10 CFR 304(b)(1)-(4). 

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In addition to the above provisions, EPCA requires that DOE issue a test procedure for 

walk-ins. See 42 U.S.C. 6314(a)(9)(b). As noted above, DOE complied with that requirement by 

publishing a final rule prescribing a test procedure that covers the various key components 

comprising a walk-in. See 76 FR 21580 and 76 FR 33631. 

Although the April 2011 test procedure continues to remain effective under today’s 

proposal, the procedure prescribed by the EISA 2007 amendments must continue to be used by 

manufacturers for certification purposes. At this time, the statutorily-prescribed procedure for 

determining an R value must also continue to be used when making representations regarding the 

energy-related performance of the relevant walk-in components. To the extent that a 

manufacturer chooses to make representations regarding the energy-related performance of the 

relevant walk-in components beyond the R-value of the foam used in panels, the April 2011 test 

procedure must be used for those representations. Once energy conservation standards that are 

performance based are established in 2012 for walk-in equipment, manufacturers must 

exclusively use the April 2011 test procedure when certifying their components as well as when 

making representations regarding that equipment’s energy-related performance. 

To clarify walk-in manufacturer responsibilities, DOE is proposing to add regulatory text 

to specify when the current and new test procedures must be used. DOE is also proposing 

additional language to clarify when tests must be performed on walk-in panels and when tests 

may be performed on insulation foam used in the construction of panels, but that has not yet been 

incorporated into a walk-in panel. DOE invites comment on its proposed resolution to this issue. 

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Finally, DOE is also clarifying that manufacturers are not and will not be required to test nonfoam members and/or edge regions using the ASTM C518 test procedure prescribed in EPCA. 

Non-foam members and edge regions are only considered in the U-factor testing using ASTM 

C1363, which is part of the new DOE test procedures. 

In addition, DOE's recent certification, compliance and enforcement rulemaking 

indicated that only manufacturers of walk-in cooler and freezer components are required to 

submit certification reports. 76 FR 38287, 38292 (June 30, 2011). As such, DOE is proposing to 

add regulatory text to clarify that the WICF component manufacturers are the entities responsible 

for certifying compliance to the Department. 

Finally, DOE's recent certification, compliance and enforcement rulemaking extended the 

compliance dates for certification of several types of commercial equipment. 76 FR 38287, 

38292. Specifically, DOE extended the certification compliance date for manufacturers of metal 

halide lamp fixtures to October 1, 2011. Since the issuance of the final rule, additional 

information has come to the attention of the DOE regarding a lack of sufficient test data to 

support certification on the full sample required by DOE’s regulations. To provide parity with 

similarly situated manufacturers of other types of commercial equipment, DOE is proposing to 

extend the certification compliance date further for manufacturers of metal halide lamp fixtures, 

requiring submittal of a certification report no later than 1 year following publication of a final 

rule. 

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III.Public Participation 

DOE will accept comments, data, and information regarding this proposed rule no later 

than the date provided in the DATES section at the beginning of this proposed rule. Interested 

parties may submit comments, data, and other information using any of the methods described in 

the ADDRESSES section at the beginning of this notice. 

Submitting comments via www.regulations.gov 

The regulations.gov web page will require you to provide your name and contact 

information. Your contact information will be viewable to DOE Building Technologies staff 

only. Your contact information will not be publicly viewable except for your first and last names, 

organization name (if any), and submitter representative name (if any). If your comment is not 

processed properly because of technical difficulties, DOE will use this information to contact 

you. If DOE cannot read your comment due to technical difficulties and cannot contact you for 

clarification, DOE may not be able to consider your comment. 

However, your contact information will be publicly viewable if you include it in the 

comment itself or in any documents attached to your comment. Any information that you do not 

want to be publicly viewable should not be included in your comment, nor in any document 

attached to your comment. Otherwise, persons viewing comments will see only first and last 

names, organization names, correspondence containing comments, and any documents submitted 

with the comments. 

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Do not submit to www.regulations.gov information for which disclosure is restricted by 

statute, such as trade secrets and commercial or financial information (hereinafter referred to as 

Confidential Business Information (CBI)). Comments submitted through www.regulations.gov 

cannot be claimed as CBI. Comments received through the website will waive any CBI claims 

for the information submitted. For information on submitting CBI, see the Confidential Business 

Information section below. 

DOE processes submissions made through regulations.gov before posting. Normally, 

comments will be posted within a few days of being submitted. However, if large volumes of 

comments are being processed simultaneously, your comment may not be viewable for up to 

several weeks. Please keep the comment tracking number that www.regulations.gov provides 

after you have successfully uploaded your comment. 

Submitting comments via email, hand delivery/courier, or mail 

Comments and documents submitted via email, hand delivery, or mail also will be posted 

to www.regulations.gov. If you do not want your personal contact information to be publicly 

viewable, do not include it in your comment or any accompanying documents. Instead, provide 

your contact information in a cover letter. Include your first and last names, email address, 

telephone number, and optional mailing address. The cover letter will not be publicly viewable 

as long as it does not include any comments. 

Include contact information each time you submit comments, data, documents, and other 

information to DOE. If you submit via mail or hand delivery/courier, please provide all items on 

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a CD, if feasible. It is not necessary to submit printed copies. No facsimiles (faxes) will be 

accepted. 

Comments, data, and other information submitted to DOE electronically should be 

provided in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format. 

Provide documents that are not secured, that are written in English, and that are free of any 

defects or viruses. Documents should not contain special characters or any form of encryption 

and, if possible, they should carry the electronic signature of the author. 

Campaign form letters 

Please submit campaign form letters by the originating organization in batches of 

between 50 to 500 form letters per PDF or as one form letter with a list of supporters’ names 

compiled into one or more PDFs. This reduces comment processing and posting time. 

Confidential Business Information 

According to 10 CFR 1004.11, any person submitting information that he or she believes 

to be confidential and exempt by law from public disclosure should submit via email, postal 

mail, or hand delivery/courier two well-marked copies: one copy of the document marked 

confidential including all the information believed to be confidential, and one copy of the 

document marked non-confidential with the information believed to be confidential deleted. 

Submit these documents via email or on a CD, if feasible. DOE will make its own determination 

about the confidential status of the information and treat it according to its determination. 

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Factors of interest to DOE when evaluating requests to treat submitted information as 

confidential include: (1) A description of the items; (2) whether and why such items are 

customarily treated as confidential within the industry; (3) whether the information is generally 

known by or available from other sources; (4) whether the information has previously been made 

available to others without obligation concerning its confidentiality; (5) an explanation of the 

competitive injury to the submitting person which would result from public disclosure; (6) when 

such information might lose its confidential character due to the passage of time; and (7) why 

disclosure of the information would be contrary to the public interest. 

It is DOE’s policy that all comments may be included in the public docket, without 

change and as received, including any personal information provided in the comments (except 

information deemed to be exempt from public disclosure). 

IV. Procedural Issues and Regulatory Review 

A. Review Under Executive Order 12866 

This proposed rule has been determined not to be a ‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866. Accordingly, this action was not subject to review under 

the Executive Order by the Office of Information and Regulatory Affairs (OIRA) in the Office of 

Management and Budget (OMB). 

B. Review Under the Regulatory Flexibility Act 

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial 

regulatory flexibility analysis (IRFA) for any rule that by law must be proposed for public 

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comment, unless the agency certifies that the rule, if promulgated, will not have a significant 

economic impact on a substantial number of small entities. As required by Executive Order 

13272, ‘‘Proper Consideration of Small Entities in Agency Rulemaking,’’ 67 FR 53461 (August 

16, 2002), DOE published procedures and policies on February 19, 2003, to ensure that the 

potential impacts of its rules on small entities are properly considered during the DOE 

rulemaking process. 68 FR 7990. DOE has made its procedures and policies available on the 

Office of the General Counsel’s Web site: http://www.gc.doe.gov. 

DOE reviewed this proposed rule under the provisions of the Regulatory Flexibility Act 

and the procedures and policies published on February 19, 2003. This proposed rule would 

merely extend the compliance date of a rulemaking already promulgated. To the extent such 

action has any economic impact it would be positive in that it would allow regulated parties 

additional time to come into compliance. DOE did undertake a full regulatory flexibility analysis 

of the original test procedures rulemaking. That analysis considered the impacts of that 

rulemaking on small entities. As a result, DOE certifies that, if adopted, this proposed rule, 

which would clarify the application of the test procedures, would not have a significant 

economic impact on a substantial number of small entities. 

C. Review Under the National Environmental Policy Act 

DOE has determined that this rule falls into a class of actions that are categorically 

excluded from review Under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et 

seq.) and DOE’s implementing regulations at 10 CFR part 1021. Specifically, this rule amends 

an existing rule without changing its environmental effect and, therefore, is covered by the 

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Categorical Exclusion in 10 CFR part 1021, subpart D, paragraph A5. Accordingly, neither an 

environmental assessment nor an environmental impact statement is required. 

V. Approval of the Office of the Secretary 

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

List of Subjects in 10 CFR part 429 

Energy conservation, Household appliances, Reporting and recordkeeping requirements. 

List of Subjects in 10 CFR part 431 

 Administrative practice and procedure, Energy conservation, Reporting and 

recordkeeping requirements. 

Issued in Washington, DC on August 2, 2011. 

___________________________ 

Kathleen B. Hogan 

Deputy Assistant Secretary for Energy Efficiency 

Office of Technology Development 

Energy Efficiency and Renewable Energy 

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For the reasons set forth in the preamble, DOE proposes to amend parts 429 and 431 of 

chapter II of title 10 of the Code of Federal Regulations to read as follows: 

PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR 

CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT 

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

Authority: 42 U.S.C. 6291–6317. 

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

§ 429.12 General requirements applicable to certification reports. 

* * * * * 

(i) * * * * * 

(6) Metal halide lamp ballasts and fixtures, [insert date 1 year after date of publication 

of the final rule in the Federal Register]. 

3. Revise §429.53(b) to read as follows 

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

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* * * * * 

(b) Certification reports. (1) The requirements of §429.12 are applicable to manufacturers of 

components of walk-in coolers and freezers (WICFs), except that paragraph §429.12 (b)(6) 

applies to the certified component, and; 

(2) Pursuant to §429.12(b)(13), a certification report shall include the following public productspecific information: 

(i) For WICF doors: the door type, R-value of the door insulation, and a declaration that 

the manufacturer has incorporated the applicable design requirements. In addition, for those 

WICFs with transparent reach-in doors and windows: the glass type of the doors and windows 

(e.g., double-pane with heat reflective treatment, triple-pane glass with gas fill), and the power 

draw of the antisweat heater in watts. 

(ii) For WICF panels: the R-value of the insulation (except for glazed portions of the 

doors or structural members) 

(iii) For WICF fan motors: the motor purpose (i.e., evaporator fan motor or condenser fan 

motor), the horsepower, and a declaration that the manufacturer has incorporated the applicable 

design requirements. 

(iv) For WICF lighting: the efficacy of the lighting including ballast losses, and a 

declaration that the manufacturer has incorporated the applicable design requirements. 

PART 431 -- ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL 

AND INDUSTRIAL EQUIPMENT 

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

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

5. Section 431.304 is revised by: 

a. Redesignating paragraph (b) as paragraph (c) and adding a new paragraph (b); and 

b. Adding in newly redesignated paragraph (c), new introductory text prior to paragraph 

(c)(1); and adding a new sentence at the end of paragraph (c)(5). The additions read as follows: 

§ 431.304 Uniform test method for the measurement of energy consumption of 

walk-in coolers and walk-in freezers. 

* * * * * 

(b) Testing and Calculations for Panels. Manufacturers shall use this paragraph (b) for the 

purposes of certifying compliance with the applicable energy conservation standards and making 

representations of the R-value of panels until January 1, 2015. 

(1) The R value shall be the 1/K factor multiplied by the thickness of the panel. 

(2) The K factor shall be based on ASTM C518 (incorporated by reference; see §431.303). 

(3) For calculating the R value for freezers, the K factor of the foam at 20 degrees Fahrenheit 

(average foam temperature) shall be used. 

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(4) For calculating the R value for coolers, the K factor of the foam at 55 degrees Fahrenheit 

(average foam temperature) shall be used. 

(5) Foam shall be tested after it is produced in its final chemical form. Foam produced inside of a 

panel ("foam-in-place") must be tested in its final foamed state and must not include any 

structural members or non-foam materials other than the panel’s protective skins or facers. A test 

sample less than or equal to 4 inches thick must be taken from the center of the foam-in-place 

panels. Foam produced as board stock may be tested prior to its incorporation into a final panel. 

(6) Manufacturers are not required to consider non-foam member and/or edge regions in ASTM 

C518 testing. 

b. In renumbered paragraph (c), inserting new introductory text prior to subparagraph (1) 

to read as follows: 

(c) Testing and Calculations. Manufacturers shall use this paragraph (c) for any representations 

of energy efficiency/energy use (other than the R-value of a panel) starting on October 12, 2011. 

Manufacturers shall use this paragraph (c) for the purposes of certifying compliance with the 

applicable energy conservation standards and for all representations of energy efficiency/energy 

use starting on January 1, 2015. 

* * * * * 

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(5) * * * Testing must be performed on a completed panel; foam may not be used for the test 

sample. 

* * * * * 

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