Energy Conservation Program: Decision and Order Granting a Waiver to Heat Transfer Products Group from the Department of Energy Walk-in Coolers and Walk-In Freezers Test Procedure

DEPARTMENT OF ENERGY

[Case Number 2020-009; EERE-2020-BT-WAV-0025]

Energy Conservation Program: Decision and Order Granting a Waiver to Heat Transfer Products Group from the Department of Energy Walk-in Coolers and Walk-In Freezers Test Procedure

AGENCY:

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

ACTION:

Notification of decision and order.

SUMMARY:

The U.S. Department of Energy (“DOE”) gives notification of a Decision and Order (Case Number 2020-009) that grants to Heat Transfer Products Group (“HTPG”) a waiver from specified portions of the DOE test procedure for determining the energy efficiency of specified carbon dioxide (“CO2”) direct expansion unit coolers. Under the Decision and Order, HTPG is required to test and rate the specified basic models of its CO2 direct expansion unit coolers in accordance with the alternate test procedure set forth in the Decision and Order.

DATES:

The Decision and Order is effective on March 19, 2021. The Decision and Order will terminate upon the compliance date of any future amendment to the test procedure for walk-in refrigeration systems located at title 10 of the Code of Federal Regulations (“CFR”), part 431, subpart R, appendix C that addresses the issues presented in this waiver. At such time, HTPG must use the relevant test procedure for these CO2 direct expansion unit coolers for any testing to demonstrate compliance with the applicable standards, and any other representations of energy use.

FOR FURTHER INFORMATION CONTACT:

Ms. Lucy deButts, 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. Email:

AS_Waiver_Requests@ee.doe.gov.

Mr. Michael Kido, U.S. Department of Energy, Office of the General Counsel, Mail Stop GC-33, Forrestal Building, 1000 Independence Avenue SW, Washington, DC 20585-0103. Telephone: (202) 586-8145. Email:

Michael.Kido@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

In accordance with § 431.401(f)(2) of Title 10 of the Code of Federal Regulations (10 CFR 431.401(f)(2)), DOE gives notification of the issuance of its Decision and Order as set forth below. The Decision and Order grants HTPG a waiver from the applicable test procedure at 10 CFR part 431, subpart R, appendix C for specified basic models of CO2 direct expansion unit coolers, and provides that HTPG must test and rate such CO2 direct expansion unit coolers using the alternate test procedure specified in the Decision and Order. HTPG's representations concerning the energy efficiency of the specified basic models must be based on testing according to the provisions and restrictions in the alternate test procedure set forth in the Decision and Order, and the representations must fairly disclose the test results. Distributors, retailers, and private labelers are held to the same requirements when making representations regarding the energy efficiency of this equipment. (42 U.S.C. 6314(d))

Consistent with 10 CFR 431.401(j), not later than May 18, 2021, any manufacturer currently distributing in commerce in the United States CO2 direct expansion unit coolers employing a technology or characteristic that results in the same need for a waiver from the applicable test procedure must submit a petition for waiver. Manufacturers not currently distributing such products/equipment in commerce in the United States must petition for and be granted a waiver prior to the distribution in commerce of CO2 direct expansion unit coolers in the United States. 10 CFR 431.401(j). Manufacturers may also submit a request for interim waiver pursuant to the requirements of 10 CFR 431.401.

Case # 2020-009

Decision and Order

I. Background and Authority

The Energy Policy and Conservation Act, as amended (“EPCA”),

1

authorizes the U.S. Department of Energy (“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

2

of EPCA established the Energy Conservation Program for Certain Industrial Equipment, which sets forth a variety of provisions designed to improve energy efficiency for certain types of industrial equipment. This equipment includes walk-in cooler and walk-in freezer (collectively, “walk-in”) refrigeration systems, the focus 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 the Energy Act of 2020, Public Law 116-260 (Dec. 27, 2020).

2

For editorial reasons, upon codification in the U.S. Code, Part C was redesignated as Part A-1.

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 must use 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))

Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures DOE is required to 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 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)) The test procedure for walk-in refrigeration systems is set forth in the Code of Federal Regulations (“CFR”) at 10 CFR part 431, subpart R, appendix C,

Uniform Test Method for the Measurement of Net Capacity and AWEF of Walk-In Cooler and Walk-In Freezer Refrigeration Systems

(“Appendix C”).

Any interested person may submit a petition for waiver from DOE's test procedure requirements. 10 CFR 431.401(a)(1). DOE will grant a waiver from the test procedure requirements if DOE determines either that the basic model(s) for which the waiver was requested contains a design characteristic that prevents testing of the basic model according to the prescribed test procedures, or that the prescribed test procedures evaluate the basic model in a manner so unrepresentative of its true energy consumption characteristics as to provide materially inaccurate comparative data. 10 CFR 431.401(f)(2). DOE may grant the waiver subject to conditions, including adherence to alternate test procedures.

Id.

As soon as practicable after the granting of any waiver, DOE will publish in the

Federal Register

a notice of proposed rulemaking to amend its regulations so as to eliminate any need for the continuation of such waiver. 10 CFR 431.401(l). As soon thereafter as practicable, DOE will publish in the

Federal Register

a final rule to that effect.

Id.

When DOE amends the test procedure to address the issues presented in a waiver, the waiver will automatically terminate on the date on which use of that test procedure is required to demonstrate compliance. 10 CFR 431.401(h)((3).

II. HTPG's Petition for Waiver: Assertions and Determinations

By letter dated July 6, 2020, HTPG filed a petition for waiver and a petition for interim waiver from the DOE test procedure applicable to CO2 direct expansion unit coolers set forth in Appendix C. HTPG claimed that the test conditions described in the Air-Conditioning, Heating, and Refrigeration Institute (“AHRI”) Standard 1250-2009, Standard for Performance Rating of Walk-In Coolers and Freezers (“AHRI 1250-2009”) (for walk-in refrigerator unit coolers and freezer unit coolers tested alone), as incorporated by Appendix C with modification, cannot be achieved by the specified basic models and are not consistent with operation of HTPG's CO2 direct expansion unit coolers. HTPG asserted that the prescribed test procedure is not appropriate for HTPG's CO2 direct expansion unit coolers and the test

conditions are not achievable, since CO2 refrigerant has a critical temperature of 87.8 °F

3

and the current DOE test procedure requires a liquid inlet saturation temperature of 105 °F and liquid inlet subcooling of 9 °F. HTPG suggested that the test conditions should be more consistent with typical operating conditions for a transcritical CO2 booster system.

3

The test procedure specifies the unit cooler refrigerant inlet condition in terms of a saturation temperature (the temperature at which it completes the condensation process in a condenser) and the subcooling temperature (additional reduction in temperature lower than the specified saturation temperature). For CO2, the critical temperature above which there cannot exist separate liquid and gas phases is below the saturation condition specified in the test procedure—hence, the specified condition cannot be achieved.

HTPG's suggested test procedure specifies using modified liquid inlet saturation and liquid inlet subcooling temperatures of 38 °F and 5 °F, respectively, for both walk-in refrigerator unit coolers and walk-in freezer unit coolers. Additionally, because the subject units are used in transcritical CO2 booster systems, HTPG recommended that the calculations in AHRI 1250-2009, section 7.9 should be used to determine the annual walk-in energy factor (“AWEF”) and net capacity for unit coolers matched to parallel rack systems, as required under the DOE test procedure. This section of AHRI 1250-2009 is prescribed by the DOE test procedure for determining AWEF for all unit coolers tested alone (see section 3.3.1 of Appendix C). Finally, HTPG also recommended that AHRI 1250-2009, Table 17, EER for Remote Commercial Refrigerated Display Merchandisers and Storage Cabinets, should be used to determine power consumption of CO2 direct expansion unit cooler systems, as required under the DOE test procedure.

On December 23, 2020, DOE published a notification that announced its receipt of the petition for waiver and granted HTPG an interim waiver. 85 FR 83927 (“Notification of Petition for Waiver”). In the Notification of Petition for Waiver, DOE acknowledged the difference in critical pressure and temperature between traditional refrigerants (such as R404A) and CO2 as used in HTPG's direct expansion unit coolers. 85 FR 83927, 83929. DOE also noted that the transcritical nature of CO2 generally requires a more complex refrigeration cycle design to approach the efficiency of traditional refrigerant cycles during operation in high temperature conditions.

Id.

In the Notification of Petition for Waiver, DOE also solicited comments from interested parties on all aspects of the petition and the specified alternate test procedure. 85 FR 83927, 83827. DOE received no substantive comments

4

in response to the Notification of Petition for Waiver.

4

One comment was received, but it did not contain any content. The comment only stated the docket number for the notification of petition for waiver and grant of an interim waiver.

For the reasons explained here and in the Notification of Petition for Waiver, absent a waiver, the basic models identified by HTPG in its petition cannot be tested and rated for energy consumption on a basis representative of their true energy consumption characteristics. DOE has reviewed the recommended procedure suggested by HTPG and concludes that it will allow for the accurate measurement of the energy use of the CO2 direct expansion unit coolers, while alleviating the testing issues associated with HTPG's implementation of DOE's applicable walk-in refrigeration systems test procedure for the specified basic models.

Thus, DOE is requiring that HTPG test and rate specified CO2 direct expansion unit cooler basic models according to the alternate test procedure specified in this Decision and Order, which is identical to the procedure provided in the interim waiver.

This Decision and Order applies only to the basic models listed and does not extend to any other basic models. DOE evaluates and grants waivers for only those basic models specifically set out in the petition, not future models that may be manufactured by the petitioner. HTPG may request that DOE extend the scope of this waiver to include additional basic models that employ the same technology as those listed in this waiver. 10 CFR 431.401(g). HTPG may also submit another petition for waiver from the test procedure for additional basic models that employ a different technology and meet the criteria for test procedure waivers. 10 CFR 431.401(a)(1).

DOE notes that it may modify or rescind the waiver at any time upon DOE's determination that the factual basis underlying the petition for waiver is incorrect, or upon a determination that the results from the alternate test procedure are unrepresentative of the basic models' true energy consumption characteristics. 10 CFR 431.401(k)(1). Likewise, HTPG may request that DOE rescind or modify the waiver if the company discovers an error in the information provided to DOE as part of its petition, determines that the waiver is no longer needed, or for other appropriate reasons. 10 CFR 431.401(k)(2).

III. Order

After careful consideration of all the material that was submitted by HTPG, HTPG's consumer-facing materials, including websites and product specification sheets for the basic models listed in HTPG's petition, as well as other industry information pertaining to the subject basic models listed by HTPG, it is

ordered

that:

(1) HTPG must, as of the date of publication of this Order in the

Federal Register

, test and rate the following CO2 direct expansion unit cooler basic models with the alternate test procedure as set forth in paragraph (2):

Russell-Branded Basic Model Numbers

RL6A041ADAF

RL6A041DDAF

RL6A052ADAF

RL6A052DDAF

RL6A066ADAF

RL6A066DDAF

RL6A073ADAF

RL6A073DDAF

RL6A094ADAF

RL6A094DDAF

RL6A117ADAF

PL6A117DDAF

RL6A130ADAF

RL6A130DDAF

RL6A141ADAF

RL6A141DDAF

RL6A161ADAF

RL6A161DDAF

RL6A181ADAF

RL6A181DDAF

RL6A195ADAF

RL6A195DDAF

RL6A235ADAF

RL6A235DDAF

RL6A260ADAF

RL6A260DDAF

RL6A295ADAF

RL6A295DDAF

RL6A330ADAF

RL6A330DDAF

RL6A390ADAF

RL6A390DDAF

RL6E035DDAF

RL6E042DDAF

RL6E049DDAF

RL6E066DDAF

RL6E077DDAF

RL6E090DDAF

RL6E105DDAF

RL6E121DDAF

RL6E142DDAF

RL6E162DDAF

RL6E182DDAF

RL6E200DDAF

RL6E200EDAF

RL6E244DDAF

RL6E244EDAF

RL6E281DDAF

RL6E281EDAF

RL4E027DDAF

RL4E032DDAF

RL4E038DDAF

RL4E051DDAF

RL4E064DDAF

RL4E080DDAF

RL4E094DDAF

RL4E110DDAF

RL4E125DDAF

RL4E141DDAF

RL4E155DDAF

RL4E155EDAF

RL4E195DDAF

RL4E195EDAF

RL4E230DDAF

RL4E230EDAF

RM6A182ADAF

RM6A182DDAF

RM6A182FDAF

RM6A220ADAF

RM6A220DDAF

RM6A220FDAF

RM6A276ADAF

RM6A276DDAF

RM6A276FDAF

RM6A370ADAF

RM6A370DDAF

RM6A370FDAF

RM6A442ADAF

RM6A442DDAF

RM6A442FDAF

RM6A549ADAF

RM6A549DDAF

RM6A549FDAF

RM6A658ADAF

RM6A658DDAF

RM6A658FDAF

RM6E153DDAF

RM6E153EDAF

RM6E153FDAF

RM6E153GDAF

RM6E184DDAF

RM6E184EDAF

RM6E184FDAF

RM6E184GDAF

RM6E311DDAF

RM6E311EDAF

RM6E311FDAF

RM6E311GDAF

RM6E374DDAF

RM6E374EDAF

RM6E374FDAF

RM6E374GDAF

RM6E469EDAF

RM6E469FDAF

RM6E469GDAF

RM6E564EDAF

RM6E564FDAF

RM6E564GDAF

RM4E110DDAF

RM4E110EDAF

RM4E110FDAF

RM4E110GDAF

RM4E143DDAF

RM4E143EDAF

RM4E143FDAF

RM4E143GDAF

RM4E232DDAF

RM4E232EDAF

RM4E232FDAF

RM4E232GDAF

RM4E288DDAF

RM4E288EDAF

RM4E288FDAF

RM4E288GDAF

RM4E336EDAF

RM4E336FDAF

RM4E336GDAF

RM4E419EDAF

RM4E419FDAF

RM4E419GDAF

RV6A043ADAF

RV6A043DDAF

RV6A053ADAF

RV6A053DDAF

RV6A085ADAF

RV6A085DDAF

RV6A106ADAF

RV6A106DDAF

RV6A129ADAF

RV6A129DDAF

RV6A158ADAF

RV6A158DDAF

RV6A176ADAF

RV6A176DDAF

RV6A218ADAF

RV6A218DDAF

RV6A271ADAF

RV6A271DDAF

RV6E043DDAF

RV6E053DDAF

RV6E085DDAF

RV6E106DDAF

RV6E129DDAF

RV6E158DDAF

RV6E176DDAF

RV6E218DDAF

RV6E271DDAF

ASLA25048ADAF

ASLA25048DDAF

ASLA25061ADAF

ASLA25061DDAF

ASLA35073ADAF

ASLA35073DDAF

ASLA45098ADAF

ASLA45098DDAF

ASLA55122ADAF

ASLA55122DDAF

ASLA65158ADAF

ASLA65158DDAF

ASLE25048DDAF

ASLE25058DDAF

ASLE35070DDAF

ASLE45094DDAF

ASLE55117DDAF

ASLE65150DDAF

RE6A041ADAF

RE6A041DDAF

RE6A070ADAF

RE6A070DDAF

RE6A084ADAF

RE6A084DDAF

RE6A104ADAF

RE6A104DDAF

RE6A128ADAF

RE6A128DDAF

RE6A141ADAF

RE6A141DDAF

RE6A169ADAF

RE6A169DDAF

RE6A204ADAF

RE6A204DDAF

RE6A258ADAF

RE6A258DDAF

RE6E037DDAF

RE6E045DDAF

RE6E075DDAF

RE6E089DDAF

RE6E108DDAF

RE6E125DDAF

RE6E137DDAF

RE6E182DDAF

RE6E221DDAF

RE6E278DDAF

RE4E037DDAF

RE4E075DDAF

RE4E107DDAF

RE4E149DDAF

RE4E186DDAF

RE4E234DDAF

RH6A031DDAF

RH6A031FDAF

RH6A043DDAF

RH6A043FDAF

RH6A052DDAF

RH6A052FDAF

RH6A063DDAF

RH6A063FDAF

RH6A087DDAF

RH6A087FDAF

RH6A105DDAF

RH6A105FDAF

RH6A132DDAF

RH6A132FDAF

RH6A156DDAF

RH6A156FDAF

RH6A175DDAF

RH6A175FDAF

RH6A209DDAF

RH6A209FDAF

RH6E033DDAF

RH6E033EDAF

RH6E033FDAF

RH6E033GDAF

RH6E044DDAF

RH6E044EDAF

RN6E044FDAF

RH6E044GDAF

RH6E053DDAF

RH6E053EDAF

RH6E053FDAF

RH6E053GDAF

RH6E066DDAF

RH6E066EDAF

RH6E066FDAF

RH6E066GDAF

RH6E089DDAF

RH6E089EDAF

RH6E089FDAF

RH6E089GDAF

RH6E109DDAF

RH6E109EDAF

RH6E109FDAF

RH6E109GDAF

RH6E134DDAF

RH6E134EDAF

RH6E134FDAF

RH6E134GDAF

RH6E163DDAF

RH6E163EDAF

RH6E163FDAF

RH6E163GDAF

RH6E199DDAF

RH6E199EDAF

RH6E199FDAF

RH6E199GDAF

RH4E035DDAF

RH4E035EDAF

RH4E035FDAF

RH4E035GDAF

RH4E044DDAF

RH4E044EDAF

RH4E044FDAF

RH4E044GDAF

RH4E071DDAF

RH4E071EDAF

RH4E071FDAF

RH4E071GDAF

RH4E087DDAF

RH4E087EDAF

RH4E087FDAF

RH4E087GDAF

RH4E107DDAF

RH4E107EDAF

RH4E107FDAF

RH4E107GDAF

RH4E131DDAF

RH4E131EDAF

RH4E131FDAF

RH4E131GDAF

RH4E167DDAF

RH4E167EDAF

RH4E167FDAF

RH4E167GDAF

(2) The alternate test procedure for the HTPG basic models listed in paragraph (1) of this Order is the test procedure for walk-in refrigeration systems prescribed by DOE at 10 CFR part 431, subpart R, appendix C (“Appendix C”), except that the liquid inlet saturation temperature test condition and liquid inlet subcooling temperature test condition shall be modified to 38 °F and 5 °F, respectively, for both walk-in refrigerator unit coolers and walk-in freezer unit coolers, as detailed below. All other requirements of Appendix C and DOE's other relevant regulations remain applicable.

In Appendix C, under section 3.1.

General modifications: Test Conditions and Tolerances,

revise section 3.1.5., to read as follows:

3.1.5. Tables 15 and 16 shall be modified to read as follows:

Table 15—Refrigerator Unit Cooler

Test description

Unit cooler

air entering

dry-bulb, °F

Unit cooler

air entering

relative

humidity, %

Saturated

suction

temp, °F

Liquid inlet

saturation

temp, °F

Liquid inlet

subcooling

temp, °F

Compressor

capacity

Test objective

Off Cycle Fan Power

35

<50

Compressor Off

Measure fan input power during compressor off cycle.

Refrigeration Capacity Suction A

35

<50

25

38

5

Compressor On

Determine Net Refrigeration Capacity of Unit Cooler.

Note:

Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default superheat value of 6.5 °F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.

Table 16—Freezer Unit Cooler

Test description

Unit cooler

air entering

dry-bulb, °F

Unit cooler

air entering

relative

humidity, %

Saturated

suction

temp, °F

Liquid inlet

saturation

temp, °F

Liquid inlet

subcooling

temp, °F

Compressor

capacity

Test objective

Off Cycle Fan Power

−10

<50

Compressor Off

Measure fan input power during compressor off cycle.

Refrigeration Capacity Suction A

−10

<50

−20

38

5

Compressor On

Determine Net Refrigeration Capacity of Unit Cooler.

Defrost

−10

Various

Compressor Off

Test according to Appendix C Section C11.

Note:

Superheat to be set according to equipment specification in equipment or installation manual. If no superheat specification is given, a default superheat value of 6.5 °F shall be used. The superheat setting used in the test shall be reported as part of the standard rating.

(3)

Representations.

HTPG may not make representations about the energy efficiency of a basic model listed in paragraph (1) of this Order for compliance or marketing, unless the basic model has been tested in accordance with the provisions set forth above and such representations fairly disclose the results of such testing.

(4) This waiver shall remain in effect according to the provisions of 10 CFR 431.401.

(5) DOE issues this waiver on the condition that the statements, representations, and information provided by HTPG are valid. If HTPG makes any modifications to the controls or configurations of these basic models, such modifications will render the waiver invalid with respect to that basic model, and HTPG will either be required to use the current Federal test method or submit a new application for a test procedure waiver. DOE may rescind or modify this waiver at any time if it determines the factual basis underlying the petition for waiver is incorrect, or the results from the alternate test procedure are unrepresentative of a basic model's true energy consumption characteristics. 10 CFR 431.401(k)(1). Likewise, HTPG may request that DOE rescind or modify the waiver if HTPG discovers an error in the information provided to DOE as part of its petition, determines that the waiver is no longer needed, or for other appropriate reasons. 10 CFR 431.401(k)(2).

(6) HTPG remains obligated to fulfill any applicable requirements set forth at 10 CFR part 429.

Signing Authority

This document of the Department of Energy was signed on March 15, 2021, by Kelly Speakes-Backman, Principal Deputy Assistant Secretary and Acting Assistant Secretary for 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 March 16, 2021.

Treena V. Garrett,

Federal Register Liaison Officer, U.S. Department of Energy.

[FR Doc. 2021-05736 Filed 3-18-21; 8:45 am]

BILLING CODE 6450-01-P