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CHAPTER 1. INTRODUCTION

TABLE OF CONTENTS

1.1 PURPOSE OF THE DOCUMENT ................................................................................. 1-1

1.2 OVERVIEW OF APPLIANCE STANDARDS .............................................................. 1-1

1.3 OVERVIEW OF COMMERCIAL REFRIGERATION EQUIPMENT STANDARDS 1-2

1.3.1 Definitions............................................................................................................ 1-3

1.3.2 Rulemaking History ............................................................................................. 1-3

1.3.2.1 Standards Prescribed by Statute ............................................................... 1-4

1.3.2.2 Standards Established by Rulemaking ..................................................... 1-4

1.3.3 Current Energy Conservation Standards .............................................................. 1-6

1.3.4 Framework and Analysis Methodology ............................................................... 1-8

1.4 STRUCTURE OF THE DOCUMENT ............................................................................ 1-9

 LIST OF TABLES

Table 1.3.1 Commercial Refrigeration Equipment Standards Prescribed by EPCA – Effective 

January 1, 2010 .................................................................................................... 1-7

Table 1.3.2 Commercial Refrigeration Equipment Standards Established in the 2009 Final Rule – 

Effective January 1, 2012 .................................................................................... 1-7

Table 1.3.3 Commercial Refrigeration Equipment Analyses ...................................................... 1-8
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CHAPTER 1. INTRODUCTION

1.1 PURPOSE OF THE DOCUMENT

This preliminary technical support document (TSD) is a stand-alone report that 

documents the technical analyses and results in support of the information presented in the 

preliminary analysis for establishing energy conservation standards for self-contained 

commercial refrigerators, freezers, and refrigerator-freezers; remote condensing commercial 

refrigerators, freezers, and refrigerator-freezers; commercial ice-cream freezers; and selfcontained commercial refrigerators with transparent doors designed for pull-down applications. 

1.2 OVERVIEW OF APPLIANCE STANDARDS

Part B of Title III of the Energy Policy and Conservation Act of 1975 (EPCA or the Act), 

Pub. L. 94-163, as amended by the National Energy Conservation Policy Act of 1978 (NECPA), 

Pub. L. 95-619; the National Appliance Energy Conservation Act of 1987 (NAECA), Pub. L.

100-12; the National Appliance Energy Conservation Amendments of 1988 (NAECA 1988), 

Pub. L. 100-357; and the Energy Policy Act of 1992 (EPACT 1992), Pub. L. 102-486, 

established the Energy Conservation Program for Consumer Products other than Automobiles. 

(42 U.S.C. 6291–6309) Part 3 of Title IV of NECPA amended EPCA to add Part A-1 of Title III, 

which established an energy conservation program for certain industrial equipment.a

 (42 U.S.C. 

6311–6317) EPACT 1992 included amendments to EPCA that expanded Title III to include 

additional commercial equipment. The Energy Policy and Conservation Act of 2005 

(EPACT 2005), Pub. L. 109-58, updated several existing standards and test procedures; 

prescribes definitions, standards, and test procedures for certain new consumer products and 

commercial equipment; and mandates that the Secretary of Energy (the Secretary) commence 

rulemakings to develop test procedures and standards for certain new consumer products and 

commercial equipment.

The U.S. Department of Energy (DOE) is required to design each standard for this 

equipment to (1) achieve the maximum improvement in energy efficiency that is technologically 

feasible and economically justified, and (2) result in significant conservation of energy. (42 

U.S.C. 6295(o)(2)(A) and (o)(3), 42 U.S.C. 6313(f)(4)(A); see 42 U.S.C. 6295(o)(2)(A) and 

(o)(3)(B)) To determine whether a proposed standard is economically justified, DOE will, after 

receiving comments on the proposed standard, determine whether the benefits of the standard 

exceed its burdens to the greatest extent practicable, considering the following seven factors:

1. The economic impact of the standard on the manufacturers and on the consumers of the 

products subject to such standard; 

2. The savings in operating costs throughout the estimated average life of the covered 

product in the type (or class) compared to any increase in the price of, or in the initial 

charges for maintenance expenses of, the covered products which are likely to result from 

the imposition of the standard; 

 

a This part was originally titled Part C. However, it was redesignated Part A-1 after Part B of Title III of EPCA was 

repealed by Pub. L. 109-58.
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3. The total projected amount of energy savings likely to result directly from the imposition 

of the standard; 

4. Any lessening of the utility or the performance of the covered products likely to result 

from the imposition of the standard; 

5. The impact of any lessening of competition, as determined in writing by the Attorney 

General, that is likely to result from the imposition of the standard; 

6. The need for national energy conservation; and 

7. Other factors the Secretary considers relevant.

(See 42 U.S.C. 6295(o)(2)(B)(i); 6313(f)) 

For commercial refrigeration equipment, DOE is applying those factors in a manner 

consistent with its other energy conservation standards rulemakings to ascertain the maximum 

improvement in energy efficiency that is technologically feasible and economically justified for 

this equipment.

1.3 OVERVIEW OF COMMERCIAL REFRIGERATION EQUIPMENT 

STANDARDS

EPACT 2005 included amendments to EPCA that updated several existing standards and 

test procedures; prescribed definitions, standards, and test procedures for certain new consumer 

products and commercial equipment; and mandated that DOE commence rulemakings to develop 

test procedures and standards for certain new consumer products and commercial equipment. 

With respect to the standards for commercial refrigeration equipment, EPCA, as amended by 

EPACT 2005, also states that: 

 (A) Not later than January 1, 2013, the Secretary shall issue a final rule to 

determine whether the standards established under this subsection should be 

amended.

(B) Not later than 3 years after the effective date of any amended standards under 

subparagraph (A) or the publication of a final rule determining that the standards 

should not be amended, the Secretary shall issue a final rule to determine whether 

the standards established under this subsection or the amended standards, as 

applicable, should be amended. 

(C) If the Secretary issues a final rule under subparagraph (A) or (B) establishing 

amended standards, the final rule shall provide that the amended standards apply 

to products manufactured on or after the date that is – 

(i) 3 years after the date on which the final amended standard is published; or 

(ii) if the Secretary determines, by rule, that 3 years is inadequate, not later than 5 

years after the date on which the final rule is published. 

42 U.S.C. 6313(c)(5) 

 
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1.3.1 Definitions

Section 136(a)(3) of EPACT 2005 amended section 340 of EPCA by inserting definitions 

for the following terms that describe commercial refrigeration equipment:

(9)(A) The term “commercial refrigerator, freezer, and refrigerator-freezer” 

means refrigeration equipment that— 

(i) is not a consumer product (as defined in section 321); 

(ii) is not designed and marketed exclusively for medical, scientific, or research 

purposes; 

(iii) operates at a chilled, frozen, combination chilled and frozen, or variable 

temperature;

(iv) displays or stores merchandise and other perishable materials horizontally, 

semi-vertically, or vertically;

(v) has transparent or solid doors, sliding or hinged doors, a combination of 

hinged, sliding, transparent, or solid doors, or no doors; 

(vi) is designed for pull-down temperature applications or holding temperature 

applications; and 

(vii) is connected to a self-contained condensing unit or to a remote condensing 

unit. 

(B) The term “holding temperature application” means a use of commercial 

refrigeration equipment other than a pull-down temperature application, except a 

blast chiller or freezer.

* * * 

(D) The term “pull-down temperature application” means a commercial 

refrigerator with doors that, when fully loaded with 12 ounce beverage cans at 90 

degrees F, can cool those beverages to an average stable temperature of 38 

degrees F in 12 hours or less. 

(E) The term “remote condensing unit” means a factory-made assembly of 

refrigerating components designed to compress and liquefy a specific refrigerant 

that is remotely located from the refrigerated equipment and consists of one or 

more refrigerant compressors, refrigerant condensers, condenser fans and motors, 

and factory supplied accessories.

(F) The term ”self-contained condensing unit” means a factory-made assembly of 

refrigerating components designed to compress and liquefy a specific refrigerant 

that is an integral part of the refrigerated equipment and consists of one or more 

refrigerant compressors, refrigerant condensers, condenser fans and motors, and 

factory supplied accessories.

42 USC 6311(9) 

1.3.2 Rulemaking History

Two subsets of commercial refrigeration equipment standards currently exist: standards 

prescribed by EPACT 2005 for certain equipment, and standards established by DOE for other 

equipment. 
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1.3.2.1 Standards Prescribed by Statute

Section 136(c) of EPACT 2005 amended EPCA to prescribe energy consumption 

standards for self-contained equipment consisting of refrigerators with solid doors, refrigerators 

with transparent doors, freezers with solid doors, freezers with transparent doors, 

refrigerator/freezers with solid doors, and refrigerators with transparent doors designed for pulldown temperature applications. (42 U.S.C. 6313(c)(1–3)) These standards became effective on 

January 1, 2010. See Table 1.3.1 in section 1.3.3. 

1.3.2.2 Standards Established by Rulemaking 

Section 136(c) of EPACT 2005 also amended EPCA to mandate that DOE set standards 

for the following additional categories of equipment: ice-cream freezers; self-contained 

commercial refrigerators, freezers, and refrigerator-freezers without doors; and remote 

condensing commercial refrigerators, freezers, and refrigerator-freezers. (42 U.S.C. 

6313(c)(4)(A)) DOE undertook a rulemaking process beginning in April 2006, when it published 

the Rulemaking Framework for Commercial Refrigeration Equipment Including Ice-Cream 

Freezers; Self-Contained Commercial Refrigerators, Freezers, and Refrigerator-Freezers 

without doors; and Remote Condensing Commercial Refrigerators, Freezers, and RefrigeratorFreezers. That framework described the procedural and analytical approaches DOE anticipated 

using to evaluate the establishment of energy conservation standards for these types of 

commercial refrigeration equipment. This document is available at 

http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/comml_refrig_fra

mework.pdf

DOE held a public meeting on May 16, 2006 to discuss procedural and analytical 

approaches to the rulemaking, and to inform and facilitate the involvement of interested parties 

in the rulemaking process. The analytical framework presented at the public meeting described 

different analyses, such as the engineering analysis and the life-cycle cost (LCC) and payback 

period (PBP) analyses, the methods proposed for conducting them, and the relationships among 

the various analyses. 

After the analytical framework public meeting, as part of the information gathering and 

sharing process for the preliminary manufacturer impact analysis (MIA), DOE organized and 

held interviews with commercial refrigeration equipment manufacturers. DOE selected 

companies that represented production of all types of equipment covered by the rulemaking, 

ranging from small to large manufacturers, and included both Air-Conditioning and 

Refrigeration Institute (ARI)b

 member companies and non-ARI member companies. DOE had 

four objectives for these interviews: (1) solicit feedback on the draft engineering analysis 

(including methodology, production costs, manufacturing processes, and findings); (2) solicit 

feedback on topics related to the preliminary MIA; (3) provide an opportunity, early in the 

rulemaking process, for these manufacturers to express specific concerns to DOE; and (4) foster 

cooperation between the manufacturers and DOE. 

 

b On January 1, 2008, the Air-Conditioning and Refrigeration Institute (ARI) and the Gas Appliance Manufacturers 

Association (GAMA) merged to become the Air-Conditioning, Heating, and Refrigeration Institute (AHRI), to 

represent the interests of cooling, heating, and commercial refrigeration equipment manufacturers.
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DOE developed a preliminary engineering analysis to estimate the cost of manufacturing 

equipment at efficiencies above the baseline levels. DOE also developed spreadsheets to conduct 

the LCC, PBP, and national impact analysis (NIA). The LCC spreadsheet calculates national 

distributions of LCC savings at various energy efficiency levels above the baseline. It can also 

provide LCC savings based on typical input values for several business types that use 

commercial refrigeration equipment. The NIA spreadsheet calculates the national energy savings 

(NES) and national net present values (NPVs) at various energy efficiency levels. It also includes 

a model that forecasts shipments for the various equipment classes of commercial refrigeration 

equipment at different efficiency levels.

In July 2007, DOE published an advance notice of proposed rulemaking (ANOPR) for 

commercial refrigeration equipment including ice-cream freezers; self-contained commercial 

refrigerators, freezers, and refrigerator-freezers without doors; and remote condensing 

commercial refrigerators, freezers, and refrigerator-freezers. 72 FR 41162 (July 26, 2007). In that 

ANOPR, DOE considered establishing energy conservation standards for these types of 

commercial refrigeration equipment and announced a public meeting to receive comments on a 

variety of issues. This document is available at 

http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/comml_refrig_ano

pr_072607.pdf. 

DOE held a public meeting on August 23, 2007 to provide interested parties the 

opportunity to comment on the proposed equipment classes DOE was considering; the analytical 

framework, models, and tools (e.g., LCC and NES spreadsheets) that DOE had developed to 

perform analyses of the impacts of potential energy conservation standards; the results of the 

preliminary analyses; and the candidate energy conservation standard levels. 

After the publication of the ANOPR and the presentation of the ANOPR to interested 

parties at the public meeting, DOE conducted additional interviews with commercial 

refrigeration equipment manufacturers as part of its development of the MIA for the notice of 

proposed rulemaking (NOPR). There were 13 general topics discussed during each of the 

interviews: (1) general key issues; (2) company overview and organizational characteristics; (3) 

company financial parameters; (4) production cost breakdown; (5) shipment projections and 

market shares; (6) equipment mixes; (7) conversion costs; (8) markups and profitability; (9) 

cumulative regulatory burden; (10) exports, foreign competition, and outsourcing; (11) direct 

employment impact assessment; (12) market consolidation; and (13) baseline products and 

different design options. 

Based on findings from the preliminary engineering, analyses (LCC, NES, and NIA), and 

public comments provided in response to the ANOPR, DOE updated these analyses. In updating 

these analyses, DOE reviewed the recommendations made on April 21, 1998 by the Advisory 

Committee on Appliance Energy Efficiency Standards. (Advisory Committee, No. 96)c DOE’s 

analysis implemented recommendations related to (1) defining a range of energy price futures for 

 

c Advisory Committee, No. 96 refers to the recommendations of the Advisory Committee on Appliance Energy 

Efficiency Standards and is available for inspection at the U.S. Department of Energy, 950 L’Enfant Plaza SW., 

Suite 600, Washington, DC, 20024 (Resource Room) in the file under “Energy Conservation Program for Consumer 

Products: Procedures for Consideration of New or Revised Energy Conservation Standards for Consumer Products,” 

RIN [1904–AA83], as document number 96.
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each fuel used in the economic analyses; and (2) defining a range of primary energy conversion 

factors and associated emission reductions based on the generation of energy and emissions that 

would be displaced by energy efficiency standards for each rulemaking. In addition, DOE 

performed additional analyses assessing impacts on national employment, consumer subgroups, 

utilities, and the environment. DOE also developed analysis of alternatives to efficiency standard 

regulations. 

On August 25, 2008, DOE published a NOPR for commercial refrigeration equipment 

including ice-cream freezers; self-contained commercial refrigerators, freezers, and refrigeratorfreezers without doors; and remote condensing commercial refrigerators, freezers, and 

refrigerator-freezers, to propose energy conservation standards for these types of commercial 

refrigeration equipment, and to announce a public meeting to receive comments on a variety of 

issues. 73 FR 50072. This document is available at 

http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/cre_nopr_fr_final.

pdf. 

DOE held a public meeting on September 23, 2008 to provide interested parties the 

opportunity to comment on the proposed standards, results of the analyses and the trial standard 

levels (TSLs). 

After the publication of the NOPR and the presentation of the NOPR to interested parties 

at the public meeting, DOE received more than 100 comments from a diverse set of parties, 

including manufacturers and their representatives, trade associations, wholesalers and 

distributors, energy conservation advocates, and electric utilities. Comments addressed DOE 

methodology, the information DOE used in its analyses, results of and inferences drawn from the 

analyses, impacts of standards, the merits of the different TSLs, standards options DOE 

considered and other issues affecting adoption of standards for commercial refrigeration 

equipment. 

DOE considered these comments in developing a final rule for commercial refrigeration 

equipment, published on January 9, 2009. 74 FR 1092 (herein referred to as the “2009 

rulemaking” and the “2009 final rule,” respectively). The 2009 rulemaking established standards 

for ice-cream freezers; self-contained commercial refrigerators, freezers, and refrigeratorfreezers without doors; and remote condensing commercial refrigerators, freezers, and 

refrigerator-freezers, which will become effective in January 1, 2012. 

1.3.3 Current Energy Conservation Standards

Table 1.3.1 and Table 1.3.2 show the current standards for the two subsets of commercial 

refrigeration equipment. 
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Table 1.3.1 Commercial Refrigeration Equipment Standards Prescribed by EPCA – 

Effective January 1, 2010 

Category Maximum Daily Energy 

Consumption 

kWh/day*

Refrigerators with solid doors 0.10 V + 2.04

Refrigerators with transparent doors 0.12 V + 3.34

Freezers with solid doors 0.40 V + 1.38

Freezers with transparent doors 0.75 V + 4.10

Refrigerators/freezers with solid doors the greater of 0.27 AV - 0.71 or 0.70

Self-contained refrigerators with transparent doors 

designed for pull-down temperature applications

0.126V + 3.51

* kilowatt-hours per day

Table 1.3.2 Commercial Refrigeration Equipment Standards Established in the 2009 Final 

Rule – Effective January 1, 2012 

Equipment 

Class* 

Standard Level **,†

kWh/day

Equipment 

Class

Standard Level **,†

kWh/day

VOP.RC.M 0.82 × TDA + 4.07 VCT.RC.I 0.66 × TDA + 3.05

SVO.RC.M 0.83 × TDA + 3.18 HCT.RC.M 0.16 × TDA + 0.13

HZO.RC.M 0.35 × TDA + 2.88 HCT.RC.L 0.34 × TDA + 0.26

VOP.RC.L 2.27 × TDA + 6.85 HCT.RC.I 0.4 × TDA + 0.31

HZO.RC.L 0.57 × TDA + 6.88 VCS.RC.M 0.11 × V + 0.26

VCT.RC.M 0.22 × TDA + 1.95 VCS.RC.L 0.23 × V + 0.54

VCT.RC.L 0.56 × TDA + 2.61 VCS.RC.I 0.27 × V + 0.63

SOC.RC.M 0.51 × TDA + 0.11 HCS.RC.M 0.11 × V + 0.26

VOP.SC.M 1.74 × TDA + 4.71 HCS.RC.L 0.23 × V + 0.54

SVO.SC.M 1.73 × TDA + 4.59 HCS.RC.I 0.27 × V + 0.63

HZO.SC.M 0.77 × TDA + 5.55 SOC.RC.L 1.08 × TDA + 0.22

HZO.SC.L 1.92 × TDA + 7.08 SOC.RC.I 1.26 × TDA + 0.26

VCT.SC.I 0.67 × TDA + 3.29 VOP.SC.L 4.37 × TDA + 11.82

VCS.SC.I 0.38 × V + 0.88 VOP.SC.I 5.55 × TDA + 15.02

HCT.SC.I 0.56 × TDA + 0.43 SVO.SC.L 4.34 × TDA + 11.51

SVO.RC.L 2.27 × TDA + 6.85 SVO.SC.I 5.52 × TDA + 14.63

VOP.RC.I 2.89 × TDA + 8.7 HZO.SC.I 2.44 × TDA + 9.

SVO.RC.I 2.89 × TDA + 8.7 SOC.SC.I 1.76 × TDA + 0.36

HZO.RC.I 0.72 × TDA + 8.74 HCS.SC.I 0.38 × V + 0.88 *

For this rulemaking, equipment class designations consist of a combination (in sequential order 

separated by periods) of (1) an equipment family code (VOP=vertical open, SVO=semivertical 

open, HZO=horizontal open, VCT=vertical transparent doors, VCS=vertical solid doors, 

HCT=horizontal transparent doors, HCS=horizontal solid doors, or SOC=service over counter); 

(2) an operating mode code (RC=remote condensing or SC=self-contained); and ( 3) a rating 

temperature code (M=medium temperature (38 °F)), L=low temperature (0 °F), or I=ice-cream 

temperature (-15 °F)). For example, “VOP.RC.M” refers to the “vertical open, remote condensing, 

medium temperature” equipment class.

** TDA is the total display area of the case, as measured in ARI Standard 1200-2006, appendix D.

† V is the volume of the case, as measured in ARI Standard 1200-2006, appendix C.
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1.3.4 Framework and Analysis Methodology 

In May 2010, DOE published the Rulemaking Framework for Commercial Refrigeration 

Equipment, describing the procedural and analytical approaches DOE anticipated using to 

evaluate the establishment of energy conservation standards for commercial refrigeration 

equipment. This document is available at 

http://www1.eere.energy.gov/buildings/appliance_standards/commercial/pdfs/cre_framework_04

-30-10.pdf

DOE held a public meeting on May 18, 2010 to discuss procedural and analytical 

approaches to the rulemaking, and to inform interested parties and facilitate their involvement in 

the rulemaking process. The analytical framework presented at the public meeting described 

different analyses, such as the engineering analysis and the LCC and PBP analyses, the methods 

proposed for conducting them, and the relationships among the various analyses. See Table 1.3.3

for all the analyses discussed at the public meeting to be undertaken in each of the formal public 

rulemaking documents. 

Table 1.3.3 Commercial Refrigeration Equipment Analyses 

Preliminary Analysis NOPR Final Rule*

Market and technology assessment Revised preliminary analyses Revised NOPR analyses

Screening analysis Life-cycle cost sub-group analysis

Engineering analysis Manufacturer impact analysis

Energy use characterization Utility impact analysis

Markups to determine equipment price Employment impact analysis

Life-cycle cost and payback period analyses Environmental assessment

Shipments analysis Regulatory impact analysis

National impact analysis

Preliminary manufacturer impact analysis

* During the final rule phase, DOE considers the comments submitted by the U.S. Department of Justice in the NOPR phase 

concerning the impact of any lessening of competition that is likely to result from the imposition of the standard. (42 U.S.C. 

6295(o)(2)(B)(v)) 

As part of the information gathering and sharing process, DOE organized and held 

interviews with commercial refrigeration equipment manufacturers. DOE selected companies 

that represented production of all types of commercial refrigeration equipment, ranging from 

small to large manufacturers, and including both AHRI member companies and non-AHRI 

member companies. DOE had four objectives for these interviews: (1) solicit feedback on the 

draft engineering analysis (including methodology, production costs, manufacturing processes, 

and findings); (2) solicit feedback on topics related to the preliminary MIA; (3) provide an 

opportunity, early in the rulemaking process, to express specific concerns to DOE; and (4) foster 

cooperation between the manufacturers and DOE. 

There were six general topics related to the preliminary MIA discussed during each of the 

interviews: (1) general key issues, (2) commercial refrigeration equipment shipment projections, 

(3) capital conversion costs, (4) equipment mix and profitability, (5) market shares and industry 

consolidation, and (6) cumulative regulatory burden. 

DOE incorporated the information gathered at the meetings into its engineering analysis 

(see chapter 5) and the preliminary MIA (see chapter 12). Following the publication of the 
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preliminary analysis and the preliminary analysis public meeting, DOE intends to hold additional 

meetings with manufacturers as part of the consultative process for the MIA conducted during 

the NOPR phase.

DOE conducted the LCC and PBP analyses based on an approach that establishes an 

annual energy expense using regional average electric utility costs for affected businesses and 

projected those electricity costs into the future using electricity price projections for the 

commercial sector from the DOE Energy Information Agency (EIA). Under this approach, LCC 

results are based on the assumption that manufacturing plants and commercial building 

customers in the future will face electricity costs similar to those that exist in today’s electricity 

markets.

DOE developed spreadsheets for the LCC and PBP analyses, and for the NIAs. The LCC 

spreadsheet calculates national distributions of LCC savings at various energy efficiency levels 

above the baseline and also can provide LCC savings based on typical input values for several 

business types that use commercial refrigeration equipment as well as distributions of energy 

costs. DOE also developed an NIA spreadsheet that calculates the NES and NPVs at various 

energy efficiency levels. This spreadsheet includes a model that forecasts shipments for the 

various equipment classes of commercial refrigeration equipment at different efficiency levels.

DOE reviewed the recommendations made on April 21, 1998 by the Advisory Committee 

on Appliance Energy Efficiency Standards. (Advisory Committee, No. 96) These 

recommendations are related to (1) using the full range of consumer marginal energy rates 

(CMERs) in the LCC analysis (replacing the use of national average energy prices); (2) defining 

a range of energy price futures for each fuel used in the economic analyses; and (3) defining a 

range of primary energy conversion factors and associated emission reductions based on the 

generation of energy and emissions that would be displaced by energy efficiency standards for 

each rulemaking. DOE’s analysis implemented (2) and (3) above; however, as discussed 

previously, DOE conducted the LCC analysis using regional average electricity prices for 

affected business types and did not develop CMERs in the LCC analysis. 

1.4 STRUCTURE OF THE DOCUMENT

This preliminary TSD outlines the analytical approaches used in this rulemaking. The 

TSD consists of 16 chapters as well as appendices. 

• Chapter 1, Introduction: provides an overview of the appliance and equipment 

standards program and how it applies to the commercial refrigeration equipment 

rulemaking, and outlines the structure of the document. 

• Chapter 2, Analytical Framework, Comments from Interested Parties, and DOE 

Responses: describes the rulemaking process step by step, summarizes comments made 

by interested parties during the framework document comment period, and provides DOE 

responses to those comments. 

• Chapter 3, Market and Technology Assessment: characterizes the commercial 

refrigeration equipment market and the technologies available for increasing equipment 

efficiency.
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• Chapter 4, Screening Analysis: determines which technology options are viable for 

consideration in the engineering analysis.

• Chapter 5, Engineering Analysis: discusses the methods used for developing the 

relationship between increased manufacturer price and increased efficiency.

• Chapter 6, Markups for Equipment Price Determination: discusses the methods used 

for establishing markups for converting manufacturer prices to customer equipment 

prices.

• Chapter 7, Energy Use Analysis: discusses the process used for generating energy use 

estimates of commercial refrigeration equipment for a variety of equipment classes, 

climate locations, and standard levels. 

• Chapter 8, Life-Cycle Cost and Payback Period Analyses: discusses the economic 

effects of standards on individual customers and users of the equipment and compares the 

LCC and PBP of equipment with and without higher efficiency standards. 

• Chapter 9, Shipments Analysis: discusses the methods used for forecasting shipments 

with and without higher efficiency standards. 

• Chapter 10, National Impact Analysis: discusses the methods used for forecasting 

national energy consumption and national economic impacts based on annual equipment 

shipments and estimates of future equipment efficiency distributions in the absence and 

presence of higher efficiency standards. 

• Chapter 11, Life-Cycle Cost Sub-Group Analysis: discusses the effects of standards on 

a subgroup of commercial refrigeration equipment customers and compares the LCC and 

PBP of equipment with and without higher efficiency standards for these customers. 

• Chapter 12, Preliminary Manufacturer Impact Analysis: discusses the effects of 

standards on the finances and profitability of equipment manufacturers. 

• Chapter 13, Utility Impact Analysis: discusses the effects of standards on the installed 

generation capacity of electric utilities.

• Chapter 14, Employment Impact Analysis: discusses the effects of standards on 

national employment. 

• Chapter 15, Environmental Assessment: discusses the effect of standards on airborne 

emissions of electric utilities. 

• Chapter 16, Regulatory Impact Analysis: discusses the present regulatory actions as 

well as the impact of non-regulatory alternatives to setting energy efficiency standards. 

• Appendix 5A, Engineering Data: accompanies Chapter 5, Engineering Analysis 

• Appendix 6A, Data for Equipment Price Markups: accompanies Chapter 6, Markups for 

Equipment Price Determination

• Appendix 8A, User Instructions for Life-Cycle Cost Spreadsheet: accompanies Chapter 

8, Life-Cycle Cost and Payback Period Analyses
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• Appendix 8B, Detailed Life-Cycle Cost And Payback Period Results: accompanies 

Chapter 8, Life-Cycle Cost and Payback Period Analyses

• Appendix 10A, User Instructions for National Energy Savings and Net Present Value 

Spreadsheet: accompanies Chapter 10, National Impact Analysis

• Appendix 10B, Detailed National Energy Savings and National Net Present Value 

Results: accompanies Chapter 10, National Impact Analysis