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L. 95-619, Title IV, section 441(a), established the Energy Conservation Program forCertain Industrial Equipment, which sets forth a variety of provisions designed toimprove energy efficiency. This equipment includes CRE, the subject of this document.(42 U.S.C. 6311 (1)(E))The energy conservation program under EPCA consists essentially of four parts:(1) testing, (2) labeling, (3) Federal energy conservation standards, and (4) certificationand enforcement procedures. Relevant provisions of EPCA specifically includedefinitions (42 U.S.C. 6311), test procedures (42 U.S.C. 6314), labeling provisions (42U.S.C. 6315), energy conservation standards (42 U.S.C. 6313), and the authority torequire information and reports from manufacturers (42 U.S.C. 6316; 42 U.S.C. 6296).The Federal testing requirements consist of test procedures that manufacturers ofcovered equipment must use as the basis for: (1) certifying to DOE that their equipmentcomplies 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 theefficiency of that equipment (42 U.S.C. 6314(d)). Similarly, DOE must use these testprocedures to determine whether the equipment complies with relevant standardspromulgated under EPCA. (42 U.S.C 6316(a); 42 U.S.C. 6295(s))Federal energy efficiency requirements for covered equipment established underEPCA generally supersede State laws and regulations concerning energy conservationtesting, labeling, and standards. (42 U.S.C. 6316(a) and 42 U.S.C. 6316(b); 42 U.S.C.6297) DOE may, however, grant waivers of Federal preemption for particular State laws8

or regulations, in accordance with the procedures and other provisions of EPCA. (42U.S.C. 6316(b)(2)(D))Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures DOE mustfollow when prescribing or amending test procedures for covered equipment. EPCArequires that any test procedures prescribed or amended under this section must bereasonably designed to produce test results which reflect energy efficiency, energy use orestimated annual operating cost of a given type of covered equipment during arepresentative average use cycle and requires that test procedures not be undulyburdensome to conduct. (42 U.S.C. 6314(a)(2))With respect to CRE, EPCA requires DOE to use the test procedures determinedby the Secretary to be generally accepted industry standards, or industry standardsdeveloped or recognized by the American Society of Heating, Refrigerating, and AirConditioning Engineers (“ASHRAE”) or American National Standards Institute(“ANSI”). (42 U.S.C. 6314(a)(6)(A)(i)) With regard to self-contained CRE to whichstatutory standards are applicable, the required initial test procedure is the ASHRAE 117test procedure in effect on January 1, 2005. (42 U.S.C. 6314(a)(6)(A)(ii)) Additionally,EPCA requires that if ANSI 117 is amended, the Secretary shall, by rule, amend the testprocedure for the product as necessary to ensure that the test procedure is consistent withthe amended ASHRAE 117 test procedure, unless the Secretary makes a determination,by rule, and supported by clear and convincing evidence, that to do so would not meet thestatutory requirements regarding representativeness and burden. (42 U.S.C.6314(a)(6)(E)) Finally, EPCA states if a test procedure other than the ASHRAE 117 test9

procedure is approved by ANSI, DOE must review the relative strengths and weaknessesof the new test procedure relative to the ASHRAE 117 test procedure and adopt one newtest procedure for use in the standards program. (42 U.S.C. 6314(a)(6)(F)(i))3EPCA also requires that, at least once every 7 years, DOE evaluate testprocedures for each type of covered equipment, including CRE, to determine whetheramended test procedures would more accurately or fully comply with the requirementsfor the test procedures to not be unduly burdensome to conduct and be reasonablydesigned to produce test results that reflect energy efficiency, energy use, and estimatedoperating costs during a representative average use cycle. (42 U.S.C. 6314(a)(1))In addition, if the Secretary determines that a test procedure amendment iswarranted, the Secretary must publish proposed test procedures in the Federal Register,and afford interested persons an opportunity (of not less than 45 days’ duration) topresent oral and written data, views, and arguments on the proposed test procedures. (42U.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. DOE is publishingthis notice of proposed rulemaking (“NOPR”) in satisfaction of the 7-year reviewrequirement specified in EPCA. (42 U.S.C. 6314(a)(1)(A)(ii))In 2005, ASHRAE combined Standard 72-1998, “Method of Testing Open Refrigerators,” and Standard117-2002 and published the test method as ASHRAE Standard 72-2005, “Method of Testing CommercialRefrigerators and Freezers,” which was approved by ANSI on July 29, 2005.310

B. BackgroundDOE’s current test procedure for CRE appears at 10 CFR part 431, subpart C,appendix B (“Amended Uniform Test Method for the Measurement of EnergyConsumption of Commercial Refrigerators, Freezers, and Refrigerator-Freezers”).DOE last amended the test procedure for CRE in a final rule published on April24, 2014. (“April 2014 Final Rule”). 79 FR 22277. Specifically, DOE clarified certainterms, procedures, and compliance dates to improve repeatability and provide additionaldetail compared to the prior version of the test procedure. DOE noted that theamendments in the April 2014 Final Rule would not affect the measured energy use ofCRE as measured under the prior version of the test procedure. 79 FR 22277, 22280–22281.The test procedure incorporates by reference the following industry standards: (1)Air-Conditioning, Heating, and Refrigeration Institute (“AHRI”) Standard 1200 (I-P)2010 (“AHRI 1200-2010”), “Performance Rating of Commercial Refrigerated DisplayMerchandisers and Storage Cabinets”; (2) ASHRAE Standard 72-2005 (“ASHRAE 722005”), “Method of Testing Commercial Refrigerators and Freezers,” which wasapproved by the American National Standards Institute (“ANSI”) on July 29, 2005; and(3) ANSI/Association of Home Appliances (“AHAM”) Standard HRF-1-2008 (“AHAMHRF-1-2008”), “Energy, Performance, and Capacity of Household Refrigerators,Refrigerator-Freezers, and Freezers,” for determining refrigerated volumes for CRE.11

On June 11, 2021, DOE published in the Federal Register an early assessmentrequest for information (“June 2021 RFI”) seeking comments on the existing DOE testprocedure for CRE. 86 FR 31182. In the June 2021 RFI, DOE requested comments,information, and data regarding a number of issues, including (1) scope and definitions,(2) updates to industry standards, (3) test conditions for specific CRE categories, (4)harmonization with food safety standards, (5) remote condensing units, (6) test procedureclarifications, (7) alternative refrigerants, (8) compartment volume certification, and (9)test procedure waivers.DOE received comments in response to the June 2021 RFI from the interestedparties listed in Table I.1.12

Table I.1 List of Commenters with Written Comments Received in Response toJune 2021 RFIReference inCommenterCommenter(s)this NOPRTypeITW-Food Equipment Group, LLCITWManufacturerAir-Conditioning, Heating, and RefrigerationTradeAHRIInstituteAssociationTrue Manufacturing Company, Inc.TrueManufacturerEfficiencyNorthwest Energy Efficiency AllianceNEEAOrganizationContinental RefrigeratorContinentalManufacturerInstitute for Governance & cific Gas and Electric Company, SouthernCalifornia Edison, and San Diego Gas & Electric;CA IOUsEnergy Utilitiescollectively, the California Investor-OwnedUtilitiesArneg USAArnegManufacturerHoshizaki America, Inc.HoshizakiManufacturerHussmann CorporationHussmannManufacturerAppliance Standards Awareness Program,JointEfficiencyAmerican Council for an Energy-EfficientCommentersOrganizationsEconomy, and Natural Resource Defense CouncilAarin KingKingIndividualA parenthetical reference at the end of a comment quotation or paraphraseprovides the location of the item in the public record.4C. Deviation from Appendix AIn accordance with section 3(a) of 10 CFR part 430, subpart C, appendix A(“appendix A”), applicable to CRE under 10 CFR 431.4, DOE notes that it is deviatingfrom the provision in appendix A regarding the pre-NOPR stages for a test procedureThe parenthetical reference provides a reference for information located in the docket of DOE’srulemaking to develop test procedures for CRE. (Docket No. EERE-2017-BT-TP-0008, which ismaintained at www.regulations.gov). The references are arranged as follows: (commenter name, commentdocket ID number, page of that document).413

rulemaking. Section 8(b) of appendix A states that if DOE determines that it isappropriate to continue the test procedure rulemaking after the early assessment process,it will provide further opportunities for early public input through Federal Registerdocuments, including notices of data availability and/or requests for information. DOE isopting to deviate from this provision due to the substantial feedback and informationsupplied by commenters in response to the June 2021 RFI.As discussed in section Error! Reference source not found. of this NOPR, theJune 2021 RFI requested submission of comments, data, and information pertinent to testprocedures for CRE. In response to the June 2021 RFI, stakeholders provided substantialcomments and information, which DOE has found sufficient to identify the need tomodify the test procedures for CRE. Additionally, DOE does not expect that furtheropportunities for early public input would result in additional substantive comments frominterested parties. This NOPR discusses the comments received in response to the June2021 RFI and considered in forming DOE’s proposals to amend the CRE test procedure.II. Synopsis of the Notice of Proposed RulemakingIn this NOPR, DOE proposes to update subpart C of 10 CFR part 431 as follows:1) Establish new definitions for high-temperature refrigerator, mediumtemperature refrigerator, low-temperature freezer, mobile refrigerated cabinet,and amend the definition for ice-cream freezer;14

2) Incorporate by reference the most current versions of industry standards AHRI1200, ASHRAE 72, and AHRI 1320;3) Establish definitions and a new appendix C including test procedures forbuffet tables and preparation tables;4) Establish definitions and a new appendix D including test procedures for blastchillers and blast freezers;5) Amend the definition for chef base or griddle stand;6) Specify refrigerant conditions for CRE that use carbon dioxide (“CO2”)refrigerant;7) Allow for certification of compartment volumes based on computer aideddesign (“CAD”) models;8) Incorporate provisions for defrosts and customer order storage cabinetscurrently specified in waivers and interim waivers;9) Adopt product-specific enforcement provisions;10) Clarify use of the lowest application product temperature (“LAPT”)provisions;11) Remove the obsolete test procedure in appendix A; and12) Specify a sampling plan for volume and total display area (“TDA”).DOE’s proposed actions are summarized in Table compared to the current testprocedure as well as the reason for the proposed change.15

Table II.A Summary of Changes in Proposed Test Procedure Relative to CurrentTest ProcedureCurrent DOE Test ProcedureDefines commercial refrigerator withoutdelineating between units that operate atmedium and high temperaturesDefines ice-cream freezer as a type ofcommercial freezerIce-cream freezer definition refers only to“ice cream”References AHRI 1200-2010 for ratingrequirementsProposed Test ProcedureDefines high-temperature refrigerator andmedium-temperature refrigerator to account fornew high-temperature rating pointDefines low-temperature freezer to delineatebetween ice-cream freezers and othercommercial freezersIce-cream definition refers more broadly to“frozen desserts”References AHRI 1200-202X for ratingrequirementsReferences ASHRAE 72-2005 for testrequirementsReferences ASHRAE 72-2018R for testrequirementsReferences AHAM HRF-1-2008 forvolume measurementReferences AHRI 1200-202X for volumerequirementsIncludes a single 38 F rating point forcommercial refrigeratorsSpecifies 38 F rating point for mediumtemperature refrigerators and 55 F rating pointfor high-temperature refrigeratorsDoes not specify a method for testingCRE with secondary coolantsReferences AHRI 1320-2011 for CRE used withsecondary coolantsDoes not specify definitions or testprocedures for buffet tables andpreparation tablesDefines buffet table and preparation table andestablishes test procedures based on ASTMF2143-16Does not specify definitions or testprocedures for blast chillers and blastfreezersDefines blast chiller and blast freezer andestablishes test procedures based on expectedindustry test methodChef bases and griddle stands definitiondoes not refer to a maximum heightIncludes conflicting instructionsregarding TDA calculationClarifies chef base and griddle stand definitionby specifying a maximum height of 32 inchesfor this equipmentReferences ASHRAE 72-2018R for testinstructions for units with no automatic defrostand adopts optional two-part test for CRE withdefrost cycles longer than 24 hoursCorrects errors in current test procedure byreference to AHRI 1200-202XProvides refrigerant conditions thatapplicable to common refrigerantsSpecifies refrigerant conditions to allow fortesting with carbon dioxide refrigerantRequires determining volume based ontestingAllows the use of computer-aided design(“CAD”) models to certify volumeDoes not provide procedures for CREwith no automatic defrost or with longduration defrost monizes withmost recentindustry standardHarmonizes withmost recentindustry standardHarmonizes withmost recentindustry standardImprovesrepresentativeness;harmonizes withindustry standardImprovesrepresentativeness;harmonizes withindustry standardImprovesrepresentativeness;harmonizes withindustry standardImprovesrepresentativeness;harmonizes withindustry standardImprovesrepresentativenessAddresses existingwaiver; harmonizeswith bility, andreproducibility;harmonizes withindustry standardImprovesrepresentativeness;harmonizes withexisting waiverReduces testburden

Current DOE Test ProcedureSpecifies a single door opening sequenceProposed Test ProcedureDefines customer order storage cabinetequipment category and specifies an alternatedoor opening sequence for this equipmentDoes not specify product-enforcementprovisionsSpecifies LAPT instructions fortemperatures above target testtemperatureIncludes obsolete appendix A and currentappendix B test proceduresIncludes product-enforcement provisions fordetermining volume and TDAClarifies use of LAPT provisions for operatingtemperatures below the target test temperatureDoes not specify a sampling plan forvolume and TDARemoves obsolete appendix A; adds newappendix C for testing buffet tables andpreparation tables, and new appendix D fortesting blast chillers and blast freezers.Specifies that volume and TDA be determinedbased on the mean of the test izes withexisting waiverImproves clarityImproves ss,repeatability, andreproducibilityDOE has tentatively determined that the proposed amendments described insection III of this NOPR would not alter the measured efficiency of CRE currentlysubject to energy conservation standards and would not require retesting or recertificationsolely as a result of DOE's adoption of the proposed amendments to the test procedures,if made final. Additionally, DOE has tentatively determined that the proposedamendments, if made final, would not increase the cost of such testing. Additionally, forbuffet tables and preparation tables, and blast chillers and blast freezers, testing accordingto the proposed test procedure would not be required until the compliance date of anyenergy conservation standards for that equipment. To the extent manufacturers of theseCRE are making voluntary representations regarding energy use, they would experiencecosts associated with retesting. DOE provides a discussion of these testing costs insection III.O.1 of this NOPR. Discussion of DOE’s proposed actions are addressed indetail in section III of this NOPR.17

III. DiscussionA. Scope and Definitions“Commercial refrigerator, freezer, and refrigerator-freezer” means refrigerationequipment that is not a consumer product (as defined in 10 CFR 430.2); is not designedand marketed exclusively for medical, scientific, or research purposes; operates at achilled, frozen, combination chilled and frozen, or variable temperature; displays orstores merchandise and other perishable materials horizontally, semi-vertically, orvertically; has transparent or solid doors, sliding or hinged doors, a combination ofhinged, sliding, transparent, or solid doors, or no doors; is designed for pull-downtemperature applications or holding temperature applications; and is connected to a selfcontained condensing unit or to a remote condensing unit. 10 CFR 431.62.For the purpose of determining applicability of certain test procedure provisions,DOE is proposing to amend certain existing definitions and to establish certain newdefinitions, as discussed in the following paragraphs. DOE discusses additionalequipment definitions and test procedures for specific equipment categories in sectionIII.C of this NOPR.1. Ice-Cream FreezersDOE defines certain categories of CRE, including “ice-cream freezer.” DOEdefines an “ice-cream freezer” as a commercial freezer that is designed to operate at orbelow 5 F ( 2 F) ( 21 C 1.1 C) and that the manufacturer designs, markets, orintends for the storing, displaying, or dispensing of ice cream. 10 CFR 431.62.18

In the June 2021 RFI, DOE requested comment on the technical features thatcharacterize ice-cream freezers and distinguish them from other categories of commercialfreezers capable of operating at or below -5 F. 86 FR 31182, 31184.ITW commented that in general, ice-cream freezers are standard “commercialfreezers” operating at a modified storage temperature. (ITW, No. 2, p. 1) Truecommented that when considering vertical freezers, there are no features that woulddistinguish a freezer storing ice cream from a standard commercial freezer, since both aredesigned to maintain the same integrated average temperature (“IAT”).5 (True, No. 4, p.2) However, True commented that there are significant differences between a CRE ableto maintain an IAT of -15 F and one that is only designed to maintain an IAT of 0 F.(True, No. 4, p. 2)ITW commented that dipping cabinets (i.e., cabinets intended for ice creamservice) are the obvious model type that can be easily distinguished from other freezersand are generally characterized by product visibility and accessories sold with the unit.(ITW, No. 2, p. 1)Hussmann, AHRI, and Continental commented that ice-cream freezers often havea manual defrost to maintain frozen products, which may be a distinguishing feature formost ice-cream freezers. (AHRI, No. 3, p. 2; Hussmann, No. 14, p. 2; Continental, No. 6,p. 1) Hussmann, AHRI, and Continental commented that many of these models are of a5Integrated average temperature me

Commercial refrigerators, refrigerator-freezers, and freezers (collectively, commercial refrigeration equipment, or "CRE") are included in the list of "covered equipment" for which DOE is authorized to establish and amend energy conservation standards and test procedures. (42 U.S.C. 6311)(1)(E)) DOE's energy conservation