3

- i CHAPTER 3. MARKET AND TECHNOLOGY ASSESSMENT

TABLE OF CONTENTS

3.1 INTRODUCTION

................................ ................................ ................................ ........... 3

- 1 3.2 MARKET ASSESSMENT

................................ ................................ .............................. 3

- 4 3.2.1 Trade Association

................................ ................................ ................................ 3

- 4 3.2.2 Ma nufacturers and Market Share

................................ ................................ ......... 3

- 4 3.2.2.1 Small Businesses

................................ ................................ ...................... 3

- 7 3.2.3 Regulatory Programs

................................ ................................ ........................... 3

- 8 3.2.3. 1 Natural Resources Canada

................................ ................................ ....... 3

- 9 3.2.3.2 Canadian Standards Association

................................ .............................. 3

- 9 3.2.3.3 Australia

................................ ................................ ................................ . 3

- 10 3.2.4 Non

- Re gulatory Initiatives

................................ ................................ ................. 3

- 10 3.2.4.1 ENERGY STAR

................................ ................................ .................... 3

- 11 3.2.4.2 Consortium for Energy Efficiency (CEE)

................................ .............. 3

- 11 3.2.4.3 Federal Energy Management Program (FEMP)

................................ .... 3

- 12 3.2.4.4 Rebate Programs

................................ ................................ .................... 3

- 12 3.2.5 Equipment Classes

................................ ................................ ............................. 3

- 13 3.2.6 Shipments

................................ ................................ ................................ ........... 3

- 17 3.2.6.1 AHRI Data

................................ ................................ ............................. 3

- 17 3.2.6.2 NAFEM Data

................................ ................................ ......................... 3

- 19 3.2.6.3 Freedonia Market Reports

................................ ................................ ...... 3

- 19 3.2.6.4 Appliance Magazine Data

................................ ................................ ...... 3

- 20 3.2.6.5 Census Bureau Data

................................ ................................ ............... 3

- 21 3.2.7 Equipment Lifetimes

................................ ................................ .......................... 3

- 23 3.2.8 Market Performance Data

................................ ................................ .................. 3

- 24 3.2.8.1 Remote Condensing Equipment

................................ ............................ 3

- 24 3.2.8.2 Self

- Contained Equipment

................................ ................................ ..... 3

- 27 3.3 TECHNOLOGY ASSESSMEN T

................................ ................................ .................. 3

- 33 3.3.1 Technologies and Designs Relevant to All Equipment Classes

........................ 3

- 33 3.3.1.1 Higher Efficiency Lighting

................................ ................................ .... 3

- 33 3.3.1.2 Higher Efficiency Lighting Ballasts

................................ ...................... 3

- 34 3.3.1.3 Remote Lighting Ballast Location

................................ ......................... 3

- 34 3.3.1.4 Higher Efficiency Expansion Valves

................................ ..................... 3

- 34 3.3.1.5 Higher Efficiency Evaporator Fan Motors

................................ ............ 3

- 35 3.3.1.6 Variable

- Speed Evaporator Fan Motors and Evaporator Fan Motor Controllers

................................ ................................ ................................ .......... 3

- 36 3.3.1.7 Higher Efficiency Evaporator Fan Blades

................................ ............. 3

- 36 3.3.1.8 Increased Evaporator Surface Area

................................ ....................... 3

- 37 3.3.1.9 Low

- Pressure Differential Evaporators

................................ ................. 3

- 38 3.3.1.10 Case Insulation Increases or Improvements

................................ ........ 3

- 38 3.3.1.11 Defrost Mechanisms

................................ ................................ ............ 3

- 38 3.3.1.12 Defrost Cycle Control

................................ ................................ .......... 3

- 39 3.3.1.13 Vacuum Insulated Panels

................................ ................................ ..... 3

- 39 3.3.1.14 Occupancy Sensors for Lighting Controls

................................ ........... 3

- 393

- ii 3.3.2 Designs Relevant Only to Equipment with Doors

................................ ............. 3

- 39 3.3.2.1 Anti

- Fog Films on Transparent Doors

................................ ................... 3

- 40 3.3.2.2 Anti

- Sweat Heater Controllers

................................ ............................... 3

- 40 3.3.3 Designs Relevant Only to Equipment without Doors

................................ ........ 3

- 4 0 3.3.3.1 Air

- Curtain Design

................................ ................................ ................. 3

- 40 3.3.3.2 Night Curtains

................................ ................................ ........................ 3

- 41 3.3.4 Technologies and Designs Relevant Only to Self

- Contained Equipment

......... 3

- 41 3.3.4.1 Higher Efficiency Compressors

................................ ............................. 3

- 41 3.3.4.2 Liquid Suction Heat Exchangers

................................ ........................... 3

- 42 3.3.4.3 Increased Condenser Surface Area

................................ ........................ 3

- 42 3.3.4.4 Higher Efficiency Condenser Fan Motors

................................ ............. 3

- 43 3.3.4.5 Variable

- Speed Condenser Fan Motors and Condenser Fan Motor Controllers

................................ ................................ ................................ .......... 3

- 43 3.3.4.6 Higher Efficiency Condenser Fan Blades

................................ .............. 3

- 43 REFERENCES

................................ ................................ ................................ .......................... 3

- 44

LIST OF TABLES Table 3.2.1 Canadian Standards Association Equipment Classes and Efficiency Ratings

....... 3

- 10 Table 3.2.2 ENERGY STAR Commercial Refrigerator and Freezer Key Criteria

................... 3

- 11 Table 3.2.3 Commercial Refrigeration Equipment Families

................................ ..................... 3

- 14 Table 3.2.4 Commercial Refrigeration Equipment Classes

................................ ....................... 3

- 16 Table 3.2.5 Air

- Conditioning and Refrigeration Institute 2005 Shipments of Commercial Refrigerators and Freezers by Equipment Class

................................ ................ 3

- 18 Table 3.2.6 NAFEM Shipments Categories and Corresponding DOE Equipment Classes

...... 3

- 19 Table 3.2.7 Freedonia Shipments Categories and Corresponding DOE Equipment Classes

.... 3

- 20 Table 3.2.8 Historical Shipments of Refrigerated Display Cases

................................ .............. 3

- 20 Table 3.2.9 Statistical Forecasts of Refrigerated Display Case Shipments

............................... 3

- 20 Table 3.2.10 Historical Shipments of Commercial Refrigerators

................................ .............. 3

- 21 Table 3.2.11 Statistical Forecasts of Commercial Refrigerator Shipments

............................... 3

- 21 Table 3.2.12 Shipments of Open Refrigerated Display Cases (Remote Condensing and Self

Contained)

................................ ................................ ................................ .......... 3

- 22 Table 3.2.13 Shipments of Closed Refrigerated Display Cases (Remote Condensing and Self

Contained)

................................ ................................ ................................ .......... 3

- 22 Table 3.2.14 Shipments of Commercial Reach

- In Cabinets (Remote Condensing and Self

Contained)

................................ ................................ ................................ .......... 3

- 23 Table 3.2.15 Estimates for Commercial Refrigeration Equipment Lifetimes

........................... 3

- 24

LIST OF FIGURES Figure 3.2.1 Domestic Refrigerated Display Case Market Shares as of 2005

............................. 3

- 6 Figure 3.2.2 Domestic Commercial Refrigerator Market Share as of 2008

................................ 3

- 7 Figure 3.2.3 Market Performance Data for the VOP.RC.M Equipment Class

.......................... 3

- 25 Figure 3.2.4 Marke t Performance Data for the SVO.RC.M Equipment Class

.......................... 3

- 25 Figure 3.2.5 Market Performance Data for the HZO.RC.M Equipment Class

.......................... 3

- 26 Figure 3.2.6 Market Performance Data for the VCT.RC.L Equipment Class

........................... 3

- 263

- iii Figure 3.2.7 Market Performance Data for the VOP.RC.M, SVO.RC.M, and HZO.RC.M Equipment Classes: Comparison of Air Curtain Angles

................................ ... 3

- 27 Figure 3.2.8 Market Performance Data for the VOP.SC.M Equipment Class

.......................... 3

- 28 Figure 3.2.9 Market Performance Data for the SVO.SC.M Equipment Class

.......................... 3

- 28 Figure 3.2.10 Market Performance Data for the HZO.SC.M Equipment Class

........................ 3

- 29 Figure 3.2.11 Market Performance Data for the VCT.SC.M Equipme nt Class

........................ 3

- 29 Figure 3.2.12 Market Performance Data for the VCT.SC.L Equipment Class

......................... 3

- 30 Figure 3.2.13 Market Performance Data for the VCS.SC.M Equipment Class

......................... 3

- 30 Figure 3.2.14 Market Performance Data for the VCS.SC.L Equipment Class

.......................... 3

- 31 Figure 3.2.15 Market Perfo rmance Data for the HCT.SC.M Equipment Class

........................ 3

- 31 Figure 3.2.16 Market Performance Data for the HCT.SC.I Equipment Class

........................... 3

- 32 Figure 3.2.17 Market Performance Data for the HCS.SC.M Equipment Class

......................... 3

- 32 Figure 3.2.18 Market Performance Data for the HCS.SC.L Equipment Class

.......................... 3

- 333

- 1 C HAPTER 3. MARKET AND TECHNOLOG Y ASSESSMENT

3.1 INTRODUCTION

This chapter details the market and technology assessment that the U.S. Department of Energy (DOE) has conducted in support of the ongoing energy conservation standards rulemaking for commercial refrigeration equipment, including self

- contained commercial refrigerators , freezers, and refrigerator

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

- freezer s ; ice

- cream freezers; and self

- contained commercial refrigerators with transparent doors designed for pull

- down temperature applications

. This rulemaking is mandated by the Energy Policy and Conservation Act (EPCA) , and is effective for equipment manufactured on or after January 1, 2016

. (42 U.S.C. 6313(c)(5)(A)) This chapter consists of a market and technology assessment. The purpose of the market assessment is to develop a qualitative and quantitative characterization of the commercial refrigeration equipment industry and market structure based on publicly available information and information submitted by manufacturers and other stakeholde rs. M anufacturer characteristics and market shares, existing regulatory and non

- regulatory efficiency improvement initiatives, equipment classes, and trends in markets and equipment characteristics are addressed

. The purpose of the technology assessment is to develop a preliminary list of technologies that could improve the efficiency of commercial refrigeration equipment. Commercial refrigeration equipment is primarily used in the food retail industry ( e.g., supermarkets, grocery stores and convenience sto res), and in the foodservice industry ( e.g. , restaurants, salad bars, and cafeterias) to store , display , and merchandize perishable food products

. Definitions

Sectio n 136(a)(3) of the Energy Policy Act of 2005 ( EPACT 2005 ) amended section 340 of EPCA , in p art by adding subsection 340(9) (42 U.S.C 6311(9)) with 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 p urposes; (iii) operates at a chilled, frozen, combination chilled and frozen, or variable temperature; (iv) displays or stores merchandise and other perishable materials horizontally, semivertically, 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; and3

- 2 (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 “ s elf

- 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, ref rigerant condensers, condenser fans and motors, and factory supplied accessories.
42 USC 6311(9)

EPACT 2005 does not explicitly define the terms “self

- contained commercial refrigerator, freezer, or refrigerator

- freezer” or “ remote condensing commercial r efrigerator, free zer, or refrigerator

- freezer

. ” DOE interpreted these two terms to mean “commercial refrigerator, freezer, or refrigerator

- freezer that is connected to a self

- contained condensing unit” and “commercial refrigerator, freezer, or refrigerator

- freezer that is connected to a remote condensing unit,” respectively. Accordingly, the four categories of equipment covered under this rulemaking are as follows.

1. Self

- c ontained r efrigerators, f reezers, and r efrigerator

- f reezers : EPCA defines a “self

- conta ined condensing unit,” in part, as “an integral part of the refrigerated equipment

. ” (42 U.S.C. 6311(9)(F)) Under the definitions quoted above , a self

- contained commercial refrigerator, freezer, or refrigerator

- freezer is a category of commercial refrigeration equipment in which the refrigerated cabinet and the condensing unit are integrated into one unit . Self

- contained commercial refrigeration equipment is primarily used for storing, displaying, and/or merchandising food products in small to medium

size d grocery and other food retail stores, restaurants and hotels, and in cafeteria

- style foodservice venues. EPACT 2005 prescribed energy conserva tion standards f or self

contained commercial refrigerators, freezers, and refrigerator

- freezers with doors. For self

- contained commercial refrigerators, freezers, and refrigerator

- freezers without doors, DOE established energy conservation standards in DOE ’s 2009 commercial refrigeration equipment final rule. 74 FR 1092 (Jan. 9 2009).3

- 3 2. Remote c ondensing c ommercial r efrigerators, f reezers, and r efrigerator

- f reezers : Under the definitions presented above , a remote condensing refrigerator, freezer, or refrigerator

- freezer is a type of commercial refrigeration equipment that is connected to a remote condensing unit. Remote condensing commercial refrigeration equipment is generally used to display and mercha ndise food products in large retail installations like supermarkets and grocery stores . EPCA defines a “remote condensing unit,” in part, as being “remotely

- located from the refrigerated equipment.” (42 U.S.C. 6311(9)(F)) DOE concluded during the 2009 rule making that the difference in language from the definition of “self

- contained condensing unit,” described above means that a remote condensing unit is not a part of the refrigerated equipment. 74 FR 1104

– 1105. Therefore , in the 2009 final rule DOE adopted energy conservation standards for remote

- condensing commercial refrigerators, freezers, and refrigerator

- freezers that apply to the refrigerated equipment, but not for the remote condensing unit.

3. Self

- contained commercial refrigerators designed for pull

- do wn temperature applications : EPCA defines “pull

- down temperature application” to mean “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.” (42 U.S.C. 6311(9)(D)) Units fitting this description are typically known as beverage merchandisers or beverage coolers because of their use in displaying individually packaged beverages for sale. Even though this equipment has a similar configuration to self

- contained refrigerators with transparent doors , EPCA prescribed separate standards for pull

- down refrigerators with transparent doors . (42 U.S.C. 6313(c)(3)) Correspondingly, DOE intends to keep this equipment as a sepa rate class in this rulemaking. Additionally, DOE notes that EPCA does not currently contain a standard for self

- contained commercial refrigerators for pull

- down temperature applications with solid doors.

4. Commercial i ce - c ream f reezers : On December 8, 2006, DOE published a final rule, in which it adopted test procedures for commercial refrigeration equipment. In this final rule, DOE adopted the following definition for ‘ ice

- cream freezer ’ : “a commercial freezer that is designed to operate at or below

- 5 °F [degrees Fahrenheit] (

- 21°C [degrees Celsius]) and that the manufacturer designs, markets, or intends for the storing, displaying, or dispensing of ice cream.” 10 CFR 431.62, 71 FR 71369. In addition, this final rule prescribed the rating temperature at

- 15°F for ice

- cream freezers. 10 CFR 431.64, 71 FR 71370. Under this definition, unless equipment is designed, marketed, or intended specifically for the storage, display or dispensing of ice cream, it would not be considered an “ice

- cream freezer.” Multi

- purpose commercial freezers, manufactured for storage and display, for example, of frozen foods as well as ice cream would not meet this definition, and DOE would not treat them as commercial ice

- cream freezers in this rulemaking. This is in accord ance wi th the comments DOE received during the 2009 rulemaking, which indicated that DOE should not classify such freezers as ice

- cream freezers. 74 FR 1103. On the other hand, any commercial freezer that is specifically manufactured for storing, displaying , or d ispensing ice cream, and that is designed so that in normal operation it can operate at or below

- 5 °F (

- 21 °C), would meet the definition. This includes equipment that some interested parties referred to as true ice

- cream cabinets

— freezers designed to ope rate considerably below

- 5 °F and that are sometimes3

- 4 referred to as ‘‘hardening’’ cabinets and are specifically designed for ice cream storage, for example

— as well as those ice

- cream dipping cabinets that are designed to operate below

- 5 °F.

3.2 MARKET ASSESS MENT The following market assessment identifies the manufacturer trade association, domestic manufacturers of commercial refrigeration equipment, manufacturer market share, regulatory programs, and non

- regulatory initiatives; defines equipment classes; pro vides historical shipment data, shipment projections, and equipment lifetime estimates; and summarizes market performance data.

3.2.1 Trade Association

The Air

- Conditioning , Heating, and Refrigeration Institute (A H RI , formerly the Air

Conditioning and Refrigerat ion Institute, or ARI ) is the most prominent trade association for commercial refrigeration equipment manufacturers. On January 12, 2005, ARI developed an agreement with member manufacturers to establish the commercial refrigerator manufacturers division ( CRMD) within ARI and to develop and implement a certification program for commercial refrigerators, commercial freezers, and commercial refrigerator

- freezers. The CRMD was originally a separate trade organization founded in 1933. I t serves supermarkets, food stores, convenience stores, restaurants, hotels, motels, food processing establishments, and hospitals. The technical activities of CRMD include :

**•** h armonization of international equipment standards;

**•** d evelopment of industry performance standards for co mmercial refrigeration equipment;

**•** u pdating of industry guidelines for retail store fixture installation, design, energy conservation, electronic case controls, and specifications for equipment installation;

**•** c ommunicating with refrigerant suppliers and gove rnment agencies about environmentally acceptable refrigerants ; and

**•** p roviding input to government agencies concerning regulations affecting the industry.

3.2.2 Manufacturers and Market Share

C urrent AHRI CRMD members are listed below ; parent companies are shown i n parentheses if applicable

. 13

- 5 **•** Continental Refrigerator **•** Hussmann (Ingersoll Rand) **•** Southern Store Fixtures

**•** CSC Worldwide (formerly Columbus Showcase) **•** Killion Industries **•** Structural Concepts Corp.

**•** Hill Phoenix (Dover Corp.) **•** Kysor/Warren (Enodis) **•** Zero Zone

**•** Hoshizaki America, Inc. **•** Master

- Bilt Products (Standex)

Other commercial refrigeration equipment manufacturers are listed below ; parent companies are shown in parentheses if applicable.

**•** Amtekco **•** Howard/McCray **•** Silver King

**•** Arctic Air **•** Kelvinator (Electrolux) **•** Tor Rey Refrigeration

**•** Arctic Star **•** McCall Refrigeration (Manitowoc Food Service)* **•** Traulsen

**•** Arneg USA **•** Northland Refrigeration **•** True Manufacturing

**•** Beverage

- Air* **•** Regal

- Pinnacle **•** Turbo Air

**•** Custom Del i **•** Royal Store Fixtures (Parisi) **•** Victory Refrigeration

**•** Custom Fabricators **•** Spartan Showcase **•** Vogel *Current AHRI member According to Appliance Magazine , which most recently published market share data for refrigerated display cases in 2005, four companies represent ed approximately 85 percent of t he U.S. refrigerated display case market , with about 185,000 units shipped in 2004

. 2

As of 2004, Hussmann Corporation, a division of Ingersoll Rand, was the largest domestic manufacturer of refrigerated display cases , holding approximately 48 percent of the U.S. market. O ther manufacturers made up the remaining 15 percent of U.S. market share ( However, Appliance Magazine provides no precise definition of a refrigerated display case and it is therefore unclear what specific types of equipment the data covers

— whet her it is equipment that is self

- contained versus remote condensing , or equipment with doors versus without doors.

Figure 3.2.1 )

.3

- 6 Source: Appliance Magazine , “ 28 th Annual Portrait of the U.S. Appliance Industry, ” September 2005. Figure 3.2

. 1 Domestic Refrigerated Dis play Case Market Shares as of 2005

Manufacturers in the “Other” category (in Figure 3.2.1 ) are listed below; parent companies are listed in parenthesis if applicable.

**•** Arneg USA **•** Master

- Bilt Products (Standex) **•** Structural Concepts Corp.

**•** CSC Worldwide* **•** Regal

- Pinnacle **•** True Manufacturing

**•** Federal Industries (Standex) **•** Royal Store Fixture (Parisi) **•** Turbo Air

**•** Howard/McCray **•** Southern Store Fixtures **•** Zero Zone

**•** Killion Industries **•** Spartan Showcase *Denotes a current AHRI member.
The landscape of the commercial refrigeration equipment market has changed since this data was collected in 2005 . For example, Tyler Refrigeration no longer exists independently, and consolidation has occurred with large

- market share companies having made acquisitions in the t ime since this data was collected. Appliance Magazine also publishes data regarding market share for “commercial refrigerators

. ” As is the case with refrigerated display cases, Appliance Magazine does not provide a precise definition of what a commercial refrigerator is . It is therefore unclear what specific types of equipment that data covers

— whether it is equipment that is self

- contained or remote condensing, or equipment with doors or without doors

. According to Appliance Magazine , which most recently published new data on the market share of commercial refrigerators in September 2009, seven companies comprised 78 percent of the U.S. commercial refrigerator market as of 2008 . Of these, True Manufacturing represented the largest mar ket share, with 41 percent

. The additional six named companies Tyler Refrigeration 16% Hill Phoenix 15% Kysor/Warren 6% Other 15%

Hussmann 48%3

- 7 comprised 37 percent of the market, and other manufacturers comprised the remaining 22 percent of the market ( Figure 3.2

. 2 )

.

Source: Appliance Magazine , “ 32 nd Annual Portrait of the U.S. Appliance Industry,” September 2009

. Figure 3.2

. 2 Domestic Commercial Refrigerator Market Share as of 2008

Manufacturers in the “ O ther” category (in Figure 3.2

. 2 ) are listed below; parent companies are listed in parentheses if applicable.

**•** Arctic Air **•** Hoshizaki America, Inc. **•** Silver King

**•** Arctic Star **•** Hussmann (Ingersoll Rand) **•** Structural Concepts Corp.

**•** CSC Worldwide **•** Kelvinator **•** Tor Rey Refrigeration

**•** Custom Deli **•** Kysor/Warren (Enodis) **•** Turbo Air

**•** Custom Fabricators **•** Master

- Bilt Products (Standex) **•** Victory Refrigeration

**•** Hill Phoenix (Dover Corp.) **•** McCall Refrigeration **•** Zero Zone

3.2.2.1 Small Businesses DOE is considering the possibility that energy conservation standards for commercial refrigeration equipment would adversely affect small businesses

. The Small Business Administration (SBA) defines small business manufacturing enterprises for commercial refrigeration equipment as those having 750 employees or fewer. 3 True 41%

Traulsen 9% Victory

10% Beverage Air 6% Delfield

7% Continental 4% Northland 1% Other 22%

SBA lists small business size standards for industries as they are described in the North America n Industry Classification System (NAICS). The size standard for an industry is the largest that a for

- profit concern can be in that industry and still qualify as a small business for Federal Government programs. These size standards are generally expressed in terms of the average annual receipts or the average employment of a firm. For commercial refrigeration equipment, the size standard is matched to3

- 8 NAICS code 333415, Air

- Conditioning and Warm Air Heating Equipment and Commercial and Industrial Refrigera tion Equipment Manufacturing , and is 750 employees.

DOE studied the potential impacts on these small businesses in detail during the manufacturer impact analysis, which was conducted as a part of the notice of proposed rulemaking analysis. DOE identified 4 0 s mall business commercial refrigeration equip ment manufacturers which are listed below ; parent companies are listed in parentheses if applicable.

**•** Admiral Craft **•** McCall Refrigeration

**•** Amtekco **•** Northland Refrigeration

**•** Arctic Air **•** Nor

- Lake

**•** Arctic Star **•** Randell

**•** Arneg USA **•** Regal

- Pinnacle

**•** Ascend Mfg. **•** Royal Store Fixture (Parisi)

**•** Beverage Air **•** Saturn Equipment

**•** Blue Air Commercial Refrigeration **•** Silver King

**•** ColdTech USA **•** Southern Store Fixtures

**•** Columbus Showcase Co. **•** Spartan Showcase

**•** Continental Refrigerator **•** Structural Concepts Corp.

**•** CSC Worldwide **•** Summit Commercial

**•** Delfield **•** Tor Rey Refrigeration

**•** Everest Refrigeration **•** Traulsen

**•** Fagor Refrigeration **•** True Manufacturing

**•** Fogel USA **•** Turbo Air

**•** Global Refrigeration **•** US Refrigeration

**•** Howard/McCray **•** Utility Refrigerator

**•** Killion Industries **•** Victory Refrigeration

**•** MaxxCold **•** Zero Zone

3.2.3 Regulatory Programs
Outside of the United States, Canada and Australia have efficiency standards for commercial refrigeration equipment. Additionally, t he following states have established appliance efficiency regulations in the past : Arizona, California, Connecticut, Maryland, Massachusetts, Minnesota, New Jersey, New York, Oregon, Rhode Island, Vermont, and Washington. Of these, California is the only state that explicitly regulated all types of commercial refrigerators, freezers, and refrigerator

- freezers with past state standards

. A rizona , Oregon, Rhode Island, Connecticut, Maryland, New Jersey, New York, and Washington regulate d certain types of commercial refrigeration equipment. Many of these standards have since been pre

- empted by the F ederal standards for self

- contained equipment with doors set forth in EPACT 2005 and effective January 1, 2010. The documents which set forth individual state appliance efficiency standa rds can be accessed via the Database of State Incentives for Renewables & Efficiency (DSIRE), a DOE

- funded online database. 43

- 9 3.2.3.1 Natural Resources Canada The Natural Resources Canada (NRCan) Office of Energy Efficiency has energy efficiency standards for com mercial refrigerators, freezers, and refrigerator

- freezers

. A May 2010 NRCan bulletin proposed standards for self

- contained equipment without doors, equipment with remote condensing units, and commercial ice cream freezers, also to align the standards with those in the United States 5

. The test method for determining compliance is A H RI Standard 1200

- 2008 , Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets
, with the following specifications for the integrated average temperature ( IAT ) :

**•** R efrigerator c ompartment: 38 **°** F ± 2 **°** F (3.3 oC ± 1.1oC)

**•** Freezer c ompartment: 0 **°** F ± 2 **°** F (

- 17.8 oC ± 1.1oC)

**•** Wine c hiller: 45 **°** F ± 2 **°** F (7.2 oC ± 1.1oC)

**•** Ice

- c ream c abinet:

- 5 **°** F ± 2 **°** F (

- 20.6 oC ± 1.1oC)

3.2.3.2 Canadian Standards Association

The Canadian Standards Association ( CSA ) is an independent standards

- setting agency that establishes test procedures and efficiency standards that the Canadian government typically adopts

. The Canadian standard CAN/CSA C657

- 04, Energy Performance Standard for Refrigerated Display Cabinets (Merchandisers) , applies to remote condensing commercial equipment with and without doors, and self

- contained commercial equipment with and without doors, except as covered by CSA C827

- 10

. Commercial refrigerators and commerci al freezers with doors (including commercial ice

- cream freezers ) are covered in a separate test procedure and standard, CSA C827

- 10 , Energy Performance Standard for Food Service Refrigerators and Freezers

. This standard is a revision of the original CSA st andard published in 1995. Among the changes are redefined equipment categories and new minimum energy performance standards (MEPS)

. a

The CSA C657

- 04 standard divides commercial refrigeration equipment into seven classes and several sub

- classes

. Table 3.2.1 summarizes classes and MEPS levels from CSA C657

- 04

. For equipment with a remote condensing unit, t he MEPS use a pre

- determined remote conden sing unit efficiency to calculate daily energy use

.

a Changes to the standard make it extremely difficult to compare levels between the 1995 and updated standards.3

- 10 Table 3.2

. 1 Canadian Standards Association Equipment Classes and Efficiency Ratings

Class IAT* (°F) Temperature Open/Closed Deck Number of Air Curtains Angle of Air Curtain

from Vertical MEPS 2004 kWh/ft per day 1 41.0 Medium Open Single/Multi 1 0

- 30° 4.0 2 41.0 Medium Open Single/Multi 1 30

- 60° 2.9 3 41.0 Medium Open Single/Multi 1 60

- 90° 1.6 4 0.0 Low Open Multi 2 o r 3 0

- 30° 9.4 5 0.0 Low Open Single 1 60

- 90° 4.6 6a 41.0 Low/Medium Closed Multi Single Vent with Glass 2.3 6b 0.0 Same as 6a 6.1 7a 41.0 Medium Closed Single/Multi Glass N/A 2.6 7b 41.0 Same as 7a, except with only a gravity coil (no fan coil) 1.0 Source: CSA C657

- 04, E nergy Performance Standard for Refrigerated Display Cabinets (Merchandisers)

. * IAT = the average temperature of all test packages recorded during testing.
3.2.3.3 Australia Australia has required efficiency standards for commercial refrigeration equipment since October 1, 2004. 6 The standards apply to both remote condensing and self

- contained commercial equipment primarily used to stor e chilled and frozen food. The minimum energy performance standards are established in Australian Standard (AS) 1731.14

- 2003 as t otal energy consumption per total display area (TEC/TDA) in kWh/day/m 2 for various equipment types. The Australian standards categorize equipment by the following criteria:

**•** Remote or self

- contained condensing unit

**•** Lit shelves or unlit shelves

**•** Number of sh elves

**•** Solid door or glass door

**•** Fan coil or gravity coil

**•** High, medium, or low temperature The standards also specify minimum energy performance by M

- package temperatures (temperature of a load package) for self

- contained cabinets. AS 1731

- 2003 specifies the test procedures used to measure energy consumption

. 3.2.4 Non

- Regulatory Initiatives DOE reviewed several voluntary programs promoting energy efficient commercial refrigeration equipment in the United States, including the ENERGY STAR ® program for commercial re frigerators and commercial freezers, the Consortium for Energy Efficiency (CEE) initiative for commercial refrigeration equipment , and the Federal Energy Management Program (FEMP) procurement program for energy efficient commercial refrigerators and commer cial freezers. DOE also reviewed various rebate programs offered by utilities.3

- 11 3.2.4.1 ENERGY STAR

The ENERGY STAR labeling program has a specification, in version 2.0 as of April 2009, for self

- contained solid and glass door commercial refrigerators and commercial freezers

. 7 This program does not apply to remote condensing commercial equipment or self

- contained commercial equipment without doors. The ENERGY STAR version 2.0 specification criteria for commercial equipment list t he maximum energy consumptio n as follows

.
Table 3.2

. 2 ENERGY STAR Commercial Refrigerator and Freezer Key Criteria Product Volume ( i n Cubic Feet) * Refrigerator Freezer Vertical Configuration Solid Door Cabinets 0 < V < 15 <= 0.089V + 1.411 <= 0.250V + 1.250 15 <= V < 30 <= 0.037V + 2.200 <= 0.400V

- 1.000 30 <= V < 50 <= 0.056V + 1.635 <= 0.163V + 6.125 50 <= V <= 0.060V + 1.416 <= 0.158V + 6.333 Glass Door Cabinets 0 < V < 15 <= 0.118V + 1.382 <= 0.607V + 0.893 15 <= V < 30 <= 0.140V + 1.050 <= 0.733V

- 1.000 30 <= V < 50 <= 0.088V + 2.625 <= 0.250V + 13.500 50 <= V <= 0.110V + 1.500 <= 0.450V + 3.500 Chest Configuration Solid or Glass Door Cabinets <= 0.125V + 0.475 <=0.270V + 0.130 *V = Association of Home Manufacturers ( AHAM ) volume in cubic feet
There are several notable differences between the ENERGY STAR criteria and those currently used by DOE. For one, ENERGY STAR uses the American National Standards Institute/American Society of Heating, Refrigerating and Air

- Conditioning Engineers ( ANSI/ASHRAE ) Standard 72

- 2005 , Method of Testing C ommercial Refrigerators and Freezers , as the sole method of test , and, while it incorporates the same rating temperatures as DOE for refrigerators and freezers, it does not use A HRI 1200

- 2006 . The ENERGY STAR criteria do, however, specify ANSI/AHAM HRF

- 1

- 2004 for measur ing internal volume. The ENERGY STAR criteria also differ from DOE’s existing standards in the treatment of energy management devices and in the definition of door type (solid or transparent) based on percentage of transparent area.

3.2.4.2 Consortium for Energy Efficiency

The CEE has a Commercial Kitchen Initiative , which encourages equipment purchasers to buy more efficien t commercial refrigeration equipment and directs th em towards other rebate programs for which these purchases may qualify them. The CEE program applies to solid door and glass

- door reach

- in commercial refrigerators and commercial freezers. 8 Table 3.2.2 This program is based on ENERGY STAR v ersion 2.0 standard levels , as listed in , and applies to self

- contained commercial equipment with doors. The program specifies standard levels in terms of maximum d aily energy use in kilowatt

- hours per day for various door types for both vertical and horizontal equipment

.3

- 12 3.2.4.3 Federal Energy Management Program FEMP is a program administered by DOE that oversees the Federal Government’s energy management and investment ini tiatives. FEMP has established purchasing specifications for energy efficient equipment , including commercial refrigeration equipment , which F ederal agencies must follow when buying new equipment for their facilities

. 9

3.2.4.4 Rebate Progr ams Federal purchasers are required by EPACT 2005 to purchase equipment that is either ENERGY STAR qualified or FEMP designated. Th e FEMP designated equipment consists of equipment that is in the upper 25 percent of energy efficiency in its class.

Numerous organizations and entities throughout the United States offer rebate programs for customers who purchase and install qualified commercial refrigeration equipment. Most of t hese incentive programs are accessible through the DSIRE online databas e. DSIRE lists all available incentives, including those offered by states, municipalities, utility companies, and the F ederal government

. This includes numerous incentive s for purchasers of commercial refrigeration equipment units that meet specific crite ria. While many entities offer rebates for commercial refrigeration equipment , most of which can be found on the DSIRE web site, several are listed below as examples. Efficiency Vermont, an organization offering technical assistance and financial incentiv es to encourage energy efficiency in Vermont, offers rebates for the installation of commercial refrigeration equipment that exhibits certain performance or design characteristics. These rebates include $100 for zero

- energy transparent doors, $150 for ligh t

- emitting diode ( LED ) refrigerated display case light fixtures, and $6 per linear foot of display case strip curtains and continuous

covers. 10
The EnergySmart Grocer Program is funded by California utility ratepayers under the auspices of the California Public Utilities Commission. Eligible participants include grocery and convenience stores, food processors, and refrigerated warehouses operating in the Pacific Gas and Electric Company ( PG&E ) electric service territory

. The program offers rebates for us e of specific technologies on commercial equipment such as night covers on equipment without doors , upgrades to more efficient case lighting, anti

- sweat heater co ntrols, improved reach

- in door gaskets, and electronically commutated permanent magnet ( ECM ) motors . Additionally, the program provides rebates to end

- users who replac e older equipment with new high

- efficiency equipment

. 11
NV Energy offers incentives promot ing the installation of energy efficient commercial refrigeration equipment through the Nevada Sure Bet Program. These rebates are available to the utility’s commercial, industrial, and institutional customers and are based on qualifying equipment from the ENERGY STAR program

. Additionally, the program offers rebates for the installation of specific technologies, such as $4 per linear foot for the installation of night covers

on commercial refrigeration equipment without doors and $30 per motor for the inst allation of ECM motors in refrigerated cases

. 123

- 13 Otter Tail Power Company offers rebates to Minnesota commercial customers under the Conservation Improvement Program. Under this program, customers are eligible to receive between $ 2 0 and $ 4 0 per linear foot of , or upgrade to , high

- efficiency commercial refrigeration equipment , among other rebate offers

. 13

3.2.5 Equipment Classes Commercial refrigeration equipment can be divided into various equipment classes categorized by physical characteristics that affect equipm ent efficiency. Most of these characteristics affect the kind of merchandise that the equipment can be used to display and determine how the customer can access that merchandise. Key physical characteristics are the operating temperature, the presence or a bsence of doors (closed cases or open cases), the type of doors used (transparent or solid), the angle of the door or air curtain (horizontal, semivertical, or
ver tical) , and the type of condensing unit (remote condensing or self

- contained). The following list shows the key characteristics of commercial refrigeration equipment that DOE developed as part of the 2009 f inal r ule and identified in the Framework D ocument for this rulemaking :

1. Operating Temperature

**•** Medium temperature ( 38 °F, refrigerators)

**•** L ow temperature ( 0 °F, freezers)

**•** Ice

- cream temperature (

- 15 °F, ice

- cream freezers) 2. Door Type

**•** Equipment with transparent doors

**•** Equipment with solid doors

**•** Equipment without doors 3. Orientation (air

- curtain or door angle)

**•** Horizontal

**•** Semivertical

**•** Vertical 4. Type of Condensing Unit

**•** Remote condensing

**•** Self

- contained Additionally, because this rulemaking covers equipment for which standards were set in the EPACT 2005 legislation, DOE plans to include a separate class for commercial refrigerators with transparent doors f or pull

- down temperature applications. The inclusion of this equipment as a separate class would reflect the distinction that was made in the EPACT 2005 standards, which set specific standards for this type of equipment separate from the standards for othe r commercial refrigerators with transparent doors. DOE plans to include this equipment in the form of a separate family with a single class, and this was included in the May 2010 F ramework D ocument.
Table 3.2.3 shows the nine commercial refrigeration equipment families DOE is considering within the scope of this rulemaking

.3

- 14 Table 3.2

. 3 Commercial Refri geration Equipment Families Equipment Family Designation Description Vertical Open VOP E quipment without doors and an air

- curtain angle ≥ 0° and < 10° Semivertical Open SVO E quipment without doors and an air

- curtain angle ≥ 10° and
< 80° Horizontal Open HZO E quipment without doors and an air

- curtain angle ≥ 80° Vertical Closed Transparent VCT E quipment with hinged or sliding transparent doors and a door angle < 45°

Vertical Closed Solid VCS E quipment with hinged or sliding transparent doors and a door angle ≥ 45° Horizontal Closed Transparent HCT E quipment with hinged or sliding solid (opaque) doors and a door angle < 45°

Horizontal Closed Solid HCS E quipment with hinged or sliding solid (opaque) doors and a door angle ≥ 45°

Service Over Counter SOC E quipment with sliding or hinged doors intended for use by sales personnel and fixed or hinged glass for displaying merchandise

Pull

- Down PD Commercial r efrigerators with t ransparent d oors for p ull

- d own t emperature a pplications

T he first eight equipment families contain equipment that can have one of two condensing unit types and one of three operating temperature s

. The ninth family, pull

- down equipment, contains only a single class as defined by EPACT 2005

. The condensing unit type has a significant impact on utility and energy use, and can be either remote condensing (RC) or self

- contained (SC ). Remote condensing equipment is typically more efficient tha n self

contained because of the use of large, multiplex compressor rack systems that feed multiple units

. Remote condensing equipment cannot be easily relocated , due to the refrigerant piping attachments , whereas self

- contained equipment is more mobile, re quiring only an electrical outlet for operation

. The operating temperature of the equipment also has a significant impact on utility and energy use, and can be medium (M), low (L) or ice

- cream (I), representing a rating temperature (or IAT) of 38 **°** F, 0 **°** F , or

- 15 **°** F, respectively (± 2 **°** F). Because different types of merchandise require different temperatures ( e.g., chilled and frozen), operating temperature wa s a necessary distinction. The larger temperature differences and thermodynamic behavior of refrigerants means that equipment with lower operating temperatures runs less efficiently than equipment with higher operating temperatures.

For open cases , “ vertical ” represents an air

- curtain angle of < 10 **°** from the vertical,

“ semivertical ” represents an air

- curtain angle of ≥ 10 **°** and < 80 **°** from the vertical, and

“ horizontal ” represents an air

- curtain angle of **≥** 80 **°** from the vertical. DOE developed a definition for air

- curtain angle as part of the 2009 rulemaking : (1) For equipment without doors and wit hout a discharge air grille or discharge air honeycomb, the angle between a vertical line extended down from the highest point on the manufacturer’s recommended load limit line and the load limit line itself, when the equipment is viewed in cross

- section; and (2) For all other3

- 15 equipment without doors, the angle formed between a vertical line and the straight line drawn by connecting the point at the inside edge of the discharge air opening with the point at the inside edge of the return air opening, when t he equipment is viewed in cross

- section

. Using all combinations of equipment famil y , operating mode , and temperature for the first eight families , plus the self

- contained medium

- temperature pull

- down class, 49 equipment classes are possible, as illustrated in Table 3.2.4

. DOE developed a lettering system in the 2009 rulemaking to simplify discussion of equipment clas ses. The lettering designation for a particular equipment class consists of the abbreviations for the equipment family, operating mode , and temperature, separated by periods. Table 3.2.4 shows a complete list of equipment classes with lettering designations organized by family, operating mode, and temperature.3

- 16 Table 3.2

. 4 Commercial Refrigeration Equipment Classes

Equipment Family Equipment Family Designation Sample Equipment Family Image Operating Mode Designation Temperature Designation Equipment Class Designation

Vertical Open VOP RC M (38°F) VOP.RC.M L (0°F) VOP.RC.L I (

- 15°F) VOP.RC.I

SC M (38°F) VOP.SC.M L (0°F) VOP.SC.L I (

- 15°F) VOP.SC.I

Semivertical Open SVO RC M (38°F) SVO.RC.M L (0°F) SVO.RC.L I (

- 15°F) SVO.RC.I

SC M (38°F) SVO.SC.M L (0°F) SVO.SC.L I (

- 15°F) SVO.SC.I

Horizontal Open HZO RC M (38°F) HZO.RC.M L (0°F) HZO.RC.L I (

- 15°F) HZO.RC.I

SC M (38°F) HZO.SC.M L (0°F) HZO.SC.L I (

- 15°F) HZO.SC.I

Vertical Closed

Transparent VCT RC M (38°F) VCT.RC.M L (0°F) VCT.RC.L I (

- 15°F) VCT.RC.I

SC M (38°F) VCT.SC.M L (0°F) VCT.SC.L I (

- 15°F) VCT.SC.I

Vertical Closed Solid VCS RC M (38°F) VCS.RC.M L (0°F) VCS.RC.L I (

- 15°F) VCS.RC.I

SC M (38°F) VCS.SC.M L (0°F) VCS.SC.L I (

- 15°F) VCS.SC.I

Horizontal Closed Transparent HCT RC M (38°F) HCT.RC.M L (0°F) HCT.RC.L I (

- 15°F) HCT.RC.I

SC M (38°F) HCT.SC.M L (0°F) HCT.SC.L I (

- 15°F) HCT.SC.I

Horizontal Closed Solid HCS RC M (38°F) HCS.RC.M L (0°F) HCS.RC.L I (

- 15°F) HCS.RC.I

SC M (38°F) HCS.SC.M L (0°F) HCS.SC.L I (

- 15°F) HCS.SC.I

Service Over Counter SOC RC M (38°F) SOC.RC.M L (0°F) SOC.RC.L I (

- 15°F) SOC.RC.I

SC M (38°F) SOC .SC.M L (0°F) SOC.SC.L I (

- 15°F) SOC.SC.I

Pull

- Down PD SC M (38°F) PD.SC.M3

- 17 3.2.6 Shipments This section presents the shipments data obtained from AHRI, Freedonia Group, North American Association of Food Equipment Manufacturers (NAFEM), Appliance Magazine , and the U

. S

. Census Bureau.

3.2.6.1 AHRI Data As part of its comments on the Framework Document for the 2009 rulemaking ( Docket EE

- 2006

- STD

- 0126, ARI, No. 7 Exhibit B at p. 1), ARI submitted annual shipment data by equipment class for its member compa nies. DOE used th is shipment s data from the previous rulemaking as part of the basis for this analysis , as newer shipments data was not available

. DOE understands that th is data do es not include the entire industry, since A H RI do es not represent all major manufacturers. b

Table 3.2.5 However, because th is data cover ed a significant portion of the commercial refrigeration equipment sold, and because no other detailed data w as available at that time , the 200 5 ARI shipment data w as used as the to tal commercial refrigeration equipment shipments for the 2009 final rule

. shows 2005 annual shipments for each category of commercial refrigeration equipment by equipment class. The ARI data included shipments for equipment that operates at an “application” tempera ture ( e.g., wine chillers that operate at 45 °F and freezers that operate at

- 30 **°** F). H owever, DOE only considered shipments of equipment at the three temperatures used in this rulemaking (38 °F, 0 °F, and

- 15 °F ; see section 3.2.5 ). The shipments of equipment that operate at one of these three temperatures constitute approximately 98 percent of the shipments ARI reported

.

b Most notably, True Manufacturing, which DOE understands to have a large market share of self

- contained equipment.3

- 18 Table 3.2

. 5 Air

- Conditioning and Refrigeration Institute 2005 Shipments of Commercial Refrigerators and Freezers by Equipment Class Equipment

Family Equipment Family Designation Operating Mode Designation Temperature Designation Equipment Class Designation ARI Shipments*

Vertical Open VOP RC M (38°F) VOP.RC.M 38 , 743 L (0°F) VOP.RC.L 0 I (

- 15°F) VOP.RC.I 0

SC M (38°F) VOP.SC.M 6 , 512 L (0°F) VOP.SC.L 0 I (

- 15°F) VOP.SC.I 0

Semivertical Open SVO RC M (38°F) SVO.RC.M 29 , 552 L (0°F) SVO.RC.L 0 I (

- 15°F) SVO.RC.I 0

SC M (38°F) SVO.SC.M 9 , 750 L (0°F) SVO.SC.L 0 I (

- 15°F) SVO.SC.I 0

Horizontal Open HZO RC M (38°F) HZO.RC.M 4 , 541 L (0°F) HZO.RC.L 14 , 278 I (

- 15°F) HZO .RC.I 0

SC M (38°F) HZO.SC.M 838 L (0°F) HZO.SC.L 1 , 738 I (

- 15°F) HZO.SC.I 0

Vertical Closed

Transparent VCT RC M (38°F) VCT.RC.M 2 , 767 L (0°F) VCT.RC.L 38 , 483 I (

- 15°F) VCT.RC.I 0

SC M (38°F) VCT.SC.M 43 , 374 L (0°F) VCT.SC.L 2 , 472 I (

- 15°F) VCT.SC.I 1 , 898

Vertical Closed Solid VCS RC M (38°F) VCS.RC.M 49 L (0°F) VCS.RC.L 2 I (

- 15°F) VCS.RC.I 43

SC M (38°F) VCS.SC.M 4 L (0°F) VCS.SC.L 4 , 202 I (

- 15°F) VCS.SC.I 470

Horizontal Closed Transparent HCT RC M (38°F) HCT.RC.M 0 L (0°F) HCT.RC.L 15 I (

- 15°F) HCT.RC.I 0

SC M (38°F) HCT.SC.M 724 L (0°F) HCT.SC.L 0 I (

- 15°F) HCT.SC.I 9 , 056

Horizontal Closed Solid HCS RC M (38°F) HCS.RC.M 37 L (0°F) HCS.RC.L 0 I (

- 15°F) HCS.RC.I 0

SC M (38°F) HCS.SC.M 39 , 761 L (0°F) HCS.SC.L 4 , 109 I (

- 15°F) HCS.SC.I 0

Service Over

Counter SOC RC M (38°F) SOC.RC.M 9 , 312 L (0°F) SOC.RC.L 9 I (

- 15°F) SOC.RC.I 0

SC M (38°F) SOC.SC.M 1 , 108 L (0°F) SOC.SC.L 0 I (

- 15°F) SOC.SC.I 0 Pull

- Down PD SC M (38°F) PD.SC.M N.A.**

* S ource: Docket EE

- 2006

- STD

- 0126 , ARI, No. 7 Exhibit B at p. 1. ** Self

- contained pull

- down refrigerators with transparent doors were not explicitly addressed in the 2005 shipments data from ARI.3

- 19 3.2.6.2 NAFEM Data NAFEM publishes a biennial study of the foodservice equipment and supplies market. The latest available report is titled 2008 Size and Shape of the Industry Study

. 14 It contains survey data from NAFEM members (not all members provided data for the report) including shipments numbers and the value of sales in dollars . Based on the numbers reported by the respondents to the survey, NAFEM developed a total market estimate o f shipments ( units shipped and dollar sales) for the year 2007. NAFEM also estimated the projected shipments for 2008. NAFEM published similar study reports for shipments in 2006 , 15 2004 , 16 and 200 2

. 17
The “refrigeration and ice machine study” is part of the NAFEM reports and includes shipments data for under

- counter, reach

- in, pass

- through, roll

- in/roll

- through refrigerators and freezers, air curtain refrigerators, milk coolers, and ice cream cabinets, freezers and dispensers (gelato equipment, dipping freez er/cabinets). Table 3.2

. 6 shows the DOE equipment classes to which the NAFEM equipment was assigned. Shipments numbers have been withheld from publication because the NAFEM reports are not publicly available documents.

Table 3.2

. 6 NAFEM Shipments Categories and Corresponding DOE Equipment Classes NAFEM Cate gory Assigned DOE Equipment Class Air c urtains or a ir c urtain r efrigerators VOP.SC.M Milk c oolers HCS .SC.M Under

- counter refrigerators VCS.SC.M Under

- counter freezers VCS.SC.L Reach

- in / p ass

- through refrigerators VCS.SC.M,VCT.SC.M Reach

- in / p ass

- through freezers VCS.SC.L,VCT.SC.L Roll

- in / r oll

- through refrigerators VCS.SC.M Roll

- in / r oll

- through freezers VCS.SC.L Ice c ream c abinets, f reezers & d ispensers ( g elato e quipment, d ipping f reezers/ c abinets) HCT.SC.I,HZO.SC.I, HCS.SC.I
3.2.6.3 Freedonia Market Reports The Freedonia Group publishe d a study on the United States commercial refrigeration ind ustry titled Commercial Refrigeration Equipment to 2014

. 18

Table 3. 2

. 7 This report contains dollar values of commercial refrigeration equipment sales and in some cases shipments data in number of units. Shipments data is reported by market type (food & beverage retail, foodservice), equipment type (open and closed display cas e, reach

- ins), and operating temperature (normal, l ow and ice

- cream temperatures). Also presented in the report are the year

- on

- year percentage changes in total commercial refrigeration market from 1999 to 2009, which includes commercial refrigeration equi pment used in food production and food distribution market sectors, and other equipment categories like beverage vending machines, walk

- ins, liquid chillers, transportation systems, and refrigeration parts. shows the classification of the Freedonia equipment categories into DOE product classes. Shipments number s have been withheld from publication because Freedonia reports are not publicly a vailable documents.3

- 20 Table 3.2

. 7 Freedonia Shipments Categories and Corresponding DOE Equipment Classes Freedonia Equipment Type Designation Freedonia Operating Temperature Designation DOE Equipment Class(es)

Open self

- service display cases Normal VOP.RC.M,HZO.RC.M,SVO.RC.M VOP.SC.M,SVO.SC.M,HZO.SC.M Closed display cases Normal VCT.RC.M,VCT.SC.M Open display cases Low VOP.RC.L,HZO.RC.L, SVO.RC.L VOP.SC.L,HZO.SC.L ,SVO.SC.L Closed display cases Low VCT.RC.L,VCT.SC.L, SOC.RC.L,SOC.SC.L Ice

- cream freezer & other Ice

- cream VCT.RC.I,VCT.SC.I

Reach

- in refrigerators Normal VCS.SC.M,VCT.SC.M

Reach

- ins freezers Low VCS.SC.L, VCS.SC.M

3.2.6.4 Appliance Magazine Data Appliance Magazine publishes historical and forecasted shipments of refrigerated display cases, shown in Table 3.2.8 and

Table 3.2.9

. c

Table 3.2

. 8 Historical Shipments of Refrigerated Display Cases Year Unit Shipments 1999 340,453 2000 347,262 2001 175,000 2002 183,300 2003 191,549 2004 185,000 2005 177,000 2006 180,540 2007 184,000 2008 172,129 Source: Appliance Magazine , “56 th Annual Statistical Review,” May 2009.
Table 3.2

. 9 Statistical Forecasts of Refrigerated Display Case Shipments Year Unit Shipments 2009 152,000 2010 156,000 2011 162,000 2012 166,000 Source: Appliance Magazine , “58 th Annual Appliance Industry Forecasts,” February 2010. It is unclear what is responsible for the sharp decline in display case shipments between 2000 and 2001 reported by A ppliance Magazine

. A similar decline is repo rted in other market literature

. 19

c As mentioned earlier, Appliance Magazine describes the data as representing refrigerated display cases but does not provide a precise definition of the equipment. It is unclear what types of equipmen t this term covers

— whether it is equipment that is self

- contained or remote condensing , or equipment with doors or without doors. DOE believe s that some of the observed decline in shipments i s the result of a general slowdown in the U.S. economy in the second and third quarter s of 2001. Financial3

- 21 reports by commer c i al refrigeration equipment manufacturers discuss depressed investment and uncertainty in the retail food industry between 2000 and 2005 as contributing to low sales of commercial refrigeration equipment. There may be other explanations , including possible changes in what equipment Appliance Magazine included in “refrigerated display cases

. ” Appliance Magazine also published histor ical and forecasted shipments of commercial refrigerators, shown in Table 3.2

. 11 and Table 3.2

. 11

. d

Table 3.2

. 10 Historical Shipments of Commercial Refrigerators Year Unit Shipments 1999 233,750 2000 245,437 2001 260,000 2002 263,000 2003 268,000 2004 275,000 2005 289,000 2006 307,000 2007 309,375 Source: Appliance Magazine , “54 th Annual Statistical Review,” May 2007, “31 st Annual Portrait of the U.S. Appliance Industry , ” September 2008.
Table 3.2

. 11 Statistical Forecasts of Commercial Refrigerator Shipments Year Unit Shipments 2009 270,455 2010 275,323 2011 280,830 Source: Appliance Magazine , “57 th Annual Appliance Industry Forecasts,” January 2009.
3.2.6.5 Census Bureau Data

The U.S. Census Bureau’s Economic Census of Manufacturing Industry Series publishes statistics on the quantity and value of shipments for those companies with shipments over $100,000 in value. 20 , 21 , 22

Table 3.2.12 There are eight categories for display cabinets and disp lay cases , including reach

- ins

. These are sub

- divided into reach

- in, closed display, and open display

. shows shipment data for open refrigerated display cases, which include both self

- contained units without doors and remote condensing units without doors. It is not possible to determine from Table 3.2.12 which shipments are for self

- contained units and which are for remote condensing units since the census data reports these together

.

d Similar to its treatment of refrigerated display cases , Appliance Magazine describes the data as representing commercial ref rigerators, but does not provide a precise definition of the equipment. It is unclear what types of equipment this term covers

– whether it is equipment that is self

- contained or remote condensing , or equipment with doors or without doors.3

- 22 Table 3.2

. 12 Shipments of Open Refrigerated Display Cases ( Remote C ondensing and Self

Contained) Type Open or Closed Temperature Survey Year Number of Companies with Sales O ver

$100,000 Shipment Quantity

1 , 000s Shipment Value $1 , 000

Display Case

One Level Open Normal 2007 15 (q)47.7 237,791 2002 6

- 89,622 1997 13

- 140,259 Display Case Multi Level Open Normal 2007 10 S 170,628 2002 9

- 341,472 1997 11 58.6 258,310
Display Case Open Frozen Food 2007 7 S 29,366 2002 6

- 11,538 1997 7 20.4 90,213 Source: U.S. Census, Economic Census, Manufacturing Industry Series 2007, http://factfinder.census.gov/servlet/DatasetMainPageServlet?_program=ECN&_tabId=ECN1&_submenuId=datasets_4&_lang=en ; U.S. Censu s, Economic Census, Manufacturing Industry Series 1997, EC97M

- 3334D, http://www.census.gov/epcd/www/97EC31.HTM ; U.S. Census, Economic Census, Manufacturing Industry Series 2002, EC02

- 31I

- 333415 (RV), http://www.census.gov/econ/census02

. * S

- Withheld because estimate did not meet publication standards **(q)

- 20

– 29 percent estimated
Table 3.2.13 shows shipment data for closed refrigerated display cases, which include both self

- contained units with doors and remote condensing units with doors. It is not possible to determine from Table 3.2.13 which shipments are for remote condensing units and which are for self

- contained condensing units

.
Table 3.2

. 13 Shipments of Closed Refrigerated Display Cases ( Remote C ondensing and Self

- Contained) Type Open or Closed Temperature Survey Year Number of Companies with Sales Over

$100,000 Shipment Quantity

1 , 000s Shipment Value $1 , 000

Display Case Closed Normal 2007 8 S 108,627 2002 11

- 50,601 1997 15

- 91,892

Cabinet Closed Frozen Food 2007 7 S 25,100 2002 8

- 20,618 1997 9

- 112,873 Other Display Cases Not stated Low Temp. 2007 6 S D 2002 7

- 58,549 1997 6

- 43,150 Source: U.S. Census, Economic Census, Manufacturing Industry Series 2007, http://factfinder.census.gov/servlet/DatasetMainPage Servlet?_program=ECN&_tabId=ECN1&_submenuId=datasets_4&_lang=en ; U.S. Census, Economic Census, Manufacturing Industry Series 1997, EC97M

- 3334D, http://www.census.gov/epcd/www/97EC31.HTM ; U.S. Census , Economic Census, Manufacturing Industry Series 2002, EC02

- 31I

- 333415 (RV), http://www.census.gov/econ/census02

. * S

- Withheld because estimate did not meet publication standards ** D

- Withheld to avoid disclosing data for individual companies; data are included in higher level totals
Table 3.2.14 shows shipment data for commercial reach

- in (vertical) cabinets

. These cabinets can have either solid or glazed doors. It is not possible to determine from Table 3.2.14 which shipments are for remote condensing units and which shipments are for self

- contained units

.3

- 23 Table 3.2

. 14 Shipments of Commercial Reach

- In Cabinets ( Remote C ondensing and Self

Contained) Type Open or Closed Temperature Survey Year Number of Companies with Sales Over

$100,000 Shipment Quantity

1 , 000s Shipment Value $1 , 000
Display Cabinets

-

Not for Frozen Foods Not Specified Normal 2007 21 S 655,800 2002 21 381.7 465,553

1997 29

- 439,081

Display Cabinet Not Specified Low Temperature 2007 11 S 341,136 2002 16

- 259,105 1997 24

- 307,605 Source: U.S. Census, Economic Census, Manufacturing Industry Series 2007, http://factfinder.census.gov/servlet/DatasetMainPage Servlet?_program=ECN&_tabId=ECN1&_submenuId=datasets_4&_lang=en ; U.S. Census, Economic Census, Manufacturing Industry Series 1997, EC97M

- 3334D, http://www.census.gov/epcd/www/97EC31.HTM ; U.S. Census , Economic Census, Manufacturing Industry Series 2002, EC02

- 31I

- 333415 (RV), http://www.census.gov/econ/census02

. *S

- Withheld because estimate did not meet publication standards In summary, although the U.S. C ensus Bureau d ata contain some limited shipments data that would be useful for conducting technical analyses, not enough detail is available to provide specific assessments for shipments within each of the primary categories covered in this rulemaking.

3.2.7 Equipment Lifetimes DOE reviewed available literature and consulted with experts on commercial refrigeration equipment to establish typical equipment lifetimes. The literature and individuals consulted estimated a wide range of typical equipment lifetimes, shown in Table 3.2.15

. Individuals with previous experience in the manufacture or distribution of commercial refrigeration equipment suggested a typical case life of 5 to 15 years. Experts in the field suggested t hat while the equipment is typically robust in design, much of the equipment is replaced for cosmetic reasons during store remodeling (typically every 10 years or so). O ne distributor suggested that U.S. tax depreciation schedules , which allow depreciation over a 5

- year period for retail fixtures, including commercial refrigerator s and commercial freezer s , 23

Some literature suggested lifetimes of up to 20 years or more for commercial refrigeration equipment. Many of the studies cited here related to examination of environmental impacts of refrigerant emissions and therefore may not always clearly distinguish between the lifetime of the case and the lifetime of t he compressor racks. are one driver for regular replacement of commercial refrigeration equipment in the United States.

24

Several industry experts and stake holders suggested there is a significant used/refurbished equipment market. However, DOE did not determine the size of the used market relative to the new market. Those consulted generally agreed that the salvage value of used equipment was very low compar ed to the initial purchase price. This is due to both cosmetic concerns and the custom nature of much of the equipment. T he difficulty in collecting used However, available literature and consultation with experts in the field suggested that smaller, independently owned grocery stores were more likely to keep equipment longer than larger chain stores.3

- 24 equipment of the same “look” for planned display case line

- ups was cited as another reason for the low price of used equipment. A survey in the Pacific Northwest reported that for small, independent grocery stores (< 20,000 square feet) and independently owned convenience stores, the fraction of owners who would consider purchase of refurbished equipment w as 25 and 16 percent, respectively. For larger regional chains, this fraction was approximately 11 percent. None of the large grocery chains surveyed had plans to purchase refurbished equipment.

Table 3.2

. 15 Estimates for Commercial Refrigeration Equipment Lifetimes Life Reference 15 years Heshong Mahone Group 2004 25 5

- 7 years ( l arge c hains) Verisae 2006 26 15 years ( s maller chains and independent grocers

m ay go up to 20 years) Verisae 2006 27

7

- 15 years Mark Ellis & Associates 2003 28 15 year s Foster

- Miller 2001 29 15

- 20 years U.S. Environmental Protection Agency 2001 30 15 years Arthur D. Little 2002 31 9

- 10 years (9 years with doors, 10 years without doors) CEC 2004 32

5

- 15 years ( t ypical ly 10 years) Hansen 2006 33 10 years PG&E 2004 3 7

- 10 years ( remote condensing ) 8

- 12 years (self

- contained) Intergovernmental Panel on Climate Change 2001 34
7 years Fisher 1991 35 10

- 15 years Navigant Consulting, Inc. 2009 36

3.2.8 Market Performance Data

3.2.8.1 Remote Condensing Equipment

DOE conduct ed a survey of existing remote condensing refrigerated equipment from major manufacturers and compil ed a performance database. The primary source of information for the database was equipment data sheets that were publicly available on manufacturers’ websites. From these data sheets, equipment information such as total refrigeration load, evaporator temperature, lighting power draw, defrost power draw, and motor power draw were used to analytically determine calculated daily energy cons umption (CDEC) according to the methodology of AHRI Standard 1200

- 20 08 , Performance Rating of Commercial Refrigerated Display Merchandisers and Storage Cabinets. Figure 3.2.3 through Figure 3.2.6 sho w CDEC values as a function of TDA for select remote condensing equipment classes. Figure 3.2.7 shows the relationship between air

- curtain angle (measured from the vertical) and CDEC/TDA for the VOP.RC.M, SVO.RC.M, and HZO.RC.M equipment classes.3

- 25 Figure 3.2

. 3 Market Performance Data for the VOP.RC.M Equipment Class

Figure 3.2

. 4 Market Performance Data for the SVO.RC.M Equipment Class3

- 26 Figure 3.2

. 5 Market Performance Data for the HZO.RC.M Equipment Class

Figure 3.2

. 6 Market Performance Data for the VCT.RC.L Equipment Class3

- 27 Figure 3.2

. 7 Market Performance Data for the VOP.RC.M, SVO.RC.M, and HZO.RC.M Equipment Classes: Comparison of Air Curtain Angles

3.2.8.2 Self

- Contained Equipment

For self

- contained equipment, market performance plots were developed similarly to those for the remote condensing equipment . However, rather than being based on calculated daily energy consumption values determined using an analytical methodology, rated test data for this equipment were available from publicly accessible sources. These include d the California Energy Commission, ENERGY STAR, and AHRI Certified dir ectories. The rated energy consumption values, along with listed TDA, volume, and equipment type, were used to produce market performance plots for self

- contained equipment classes. However, since these directories
are produced by different parties indepen dent from DOE and are in some cases voluntary, the data contained within them does not always align exactly with the DOE equipment classes. For example, for some classes currently covered under a TDA

- based standard, only volume information was available in these directories

. Figure 3.2

. 8 through Figure 3.2

. 18 show daily energy consumption as a function of display area or volume for select self

- contained equipment classes.3

- 28 Figure 3.2

. 8 Market Performance Data for the VOP.SC.M Equipment Class

Figure 3.2

. 9 Market Performance Data for the SVO.SC.M Equipment Class 0 10 20 30 40 50 60

0 10 20 30 40 50 60 70 80 90 100Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] VOP.SC.M Vertical Refrigerator without Doors and a Self

- Contained Condensing Unit

0 10 20 30 40 50 60 70

0 20 40 60 80 100 120Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] SVO.SC.M Semi

- Vertical Refrigerator without Doors and a Self

- Contained Condensing Unit3

- 29 Figure 3.2

. 10 Market Performance Data for the HZO.SC.M Equipment Class

Figure 3.2

. 11 Market Performance Data for the VCT.SC.M Equipment Class 0 10 20 30 40 50

0 10 20 30 40 50 60Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] HZO.SC.M Horizontal Refrigerator without Doors and a Self

- Contained Condensing Unit

0 2 4 6 8 10 12 14

0 10 20 30 40 50 60 70 80 90Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] VCT.SC.M Vertical Refrigerator with Transparent Doors and a Self

- Contained Condensing Unit3

- 30 Figure 3.2

. 12 Market Performance Data for the VCT.SC.L Equipment Class

Figure 3.2

. 13 Market Performance Data for the VCS.SC.M Equipment Class 0 5 10 15 20 25 30 35

0 10 20 30 40 50 60 70 80 90Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] VCT.SC.L Vertical Freezer with Transparent Doors and a Self

- Contained Condensing Unit

0 1 2 3 4 5 6 7 8 9 10

0 10 20 30 40 50 60 70 80 90 100Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] VCS.SC.M Vertical Refrigerator with Solid Doors and a Self

- Contained Condensing Unit3

- 31 Figure 3.2

. 14 Market Performance Data for the VCS.SC.L Equipment Class

Figure 3.2

. 15 Market Performance Data for the HCT.SC.M Equipment Class 0 5 10 15 20 25

0 10 20 30 40 50 60 70 80 90Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] VCS.SC.L Vertical Freezer with Solid Doors and a Self

- Contained Condensing Unit

0 2 4 6 8 10 12 14

0 10 20 30 40 50 60 70 80 90Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] HCT.SC.M Horizontal Refrigerator with Transparent Doors and a Self

- Contained Condensing Unit3

- 32 Figure 3.2

. 16 Market Performance Data for the HCT.SC.I Equipment Class

Figure 3.2

. 17 Market Performance Data for the HCS.SC.M Equipment Class 0 5 10 15 20 25 30 35 40

0 5 10 15 20 25 30 35 40 45 50Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] HCT.SC.I Horizontal Ice Cream Freezer with Transparent Doors and a Self

- Contained Condensing Unit

0 2 4 6 8 10 12

0 10 20 30 40 50 60 70 80 90Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] HCS.SC.M Horizontal Refrigerator with Solid Doors and a Self

- Contained Condensing Unit3

- 33 Figure 3.2

. 18 Market Performance Data for the HCS.SC.L Equipment Class

3.3 TECHNOLOGY ASSESSMEN T The purpose of the technology assessment is to develop a preliminary list of technologies that could potentially be used to improve the efficiency of commercial refrigeration equipment. The following assessment provides descriptions of technologies and designs that apply to all equipme nt classes; designs that apply to equipment without doors only; and technologies and designs that apply to self

- contained equipment only.

3.3.1 Technologies and Designs Relevant to All Equipment Classes The following technologies and designs are relevant to all equipment classes: higher efficiency lighting, higher efficiency lighting ballasts, remote ballast location, higher efficiency expansion valves, higher efficiency evaporator fan motors, variable

- speed evaporator fan motors and evaporator fan motor controll ers, higher efficiency evaporator fan blades, increased evaporator surface area, low

- pressure differential evaporators, insulation increases or improvements, defrost mechanism s , defrost cycle control , vacuum insulated panels (VIPs) , and occupancy sensors f or lighting controls

. 3.3.1.1 Higher Efficiency Lighting Commercial refrigeration equipment often includes lighting to illuminate the contents. Some commercial refrigeration equipment also includes an illuminated sign on the exterior of the unit

. Higher efficiency lighting leads to energy savings in two ways: less energy is used directly for lighting, and less heat energy is dissipated into the refrigerated case by the lamp. Efficiency 0 5 10 15 20 25 30 35

0 10 20 30 40 50 60 70 80Reported Daily Energy Consumption [kWh/day]

Volume [ft 3 ] HCS.SC.L Horizontal Freezer with Solid Doors and a Self

- Contained Condensing Unit3

- 34 in lighting is commonly measured as efficacy (lumens/watt), or the qua ntity of light output (lumens) per electrical energy input (watts, W). During the 2009 rulemaking , the commercial refrigeration industry moved toward using T8 fluorescent lighting in all cases. T8 lighting is substantially more efficacious than T12 lightin g and is predominantly used with electronic ballasts, which are more efficient than magnetic ballasts commonly used in T12 lighting.

A more significant trend in recent years has been the use of LED technology. Although LEDs are less efficacious in absolute terms compared to fluorescents , they provide better directionality than linear fluorescent bulbs, allowing for greater control of the light output. The result is comparable product illumination with less total wattage. There have been recent advan cements in LED efficacy and numerous large retailers have adopt ed LED technology. Research by the Lighting Resource Center indicates that consumers found lighting in display cases using LEDs desirable. 37

3.3.1.2 Higher Efficiency Lighting Ballasts DOE predicts that LEDs will continue to steadily inc rease in efficacy and decrease in cost as technology improves. E very major display door manufacturer offers LED lighting as design option , and some are moving to make LEDs a standard feature on their doors . LED bulbs that can fit in Edison

- type fixtures fo r retrofit purposes are also widely available.

Higher efficiency lighting ballasts reduce energy consumption by requiring less electrical power to operate and by reducing waste heat generation, which contributes to cas e heat load. Many illuminated display cases currently installed in supermarkets use fluorescent lighting with magnetic ballasts, which use inductance to modulate power flow to fluorescent lamps. Magnetic ballasts have significant electrical resistance loss es. Electronic ballasts use solid state electronics to modulate power provided to fluorescent lamps. Electronic ballasts, which convert power at high frequency, have lower electrical resistance losses compared to magnetic ballasts , which operate at line frequency. F luorescent lamps also operate more efficiently at the higher frequency provided by electronic ballasts. In addition to the direct reductions in electrical power consumption, heat generated by the lighting and the lighting ballast contribute to the case heat load. I ncreasing ballast efficiency also reduces the case heat load, and thus the compressor load.

3.3.1.3 Remote Lighting Ballast Location Because ballasts may be located apart from the fluorescent lamps they power, manufactu rers could choose to place them within the display case cabinet but outside of the refrigerated space, reducing heat load and case energy consumption.

3.3.1.4 Higher Efficiency Expansion Valves Expansion valves are refrigerant metering devices that control the am ount of refrigerant flowing to the evaporator coil. In doing so, they simultaneously decrease the temperature and pressure of the refrigerant, creating a cold liquid

- vapor mixture. The low temperature of the3

- 35 refrigerant leaving the expansion valve creates the driving force to move heat out of the refrigerated space and into the evaporator. The most basic type of expansion device is a capillary tube, which may be found in small self

- contained commercial refrigeration equipment. The capillary tube is a long, thin piece of pipe that creates a pressure drop in the refrigerant through frictional losses. Capillary tubes must be sized to the particular application and cannot adjust for variations in load or ambient operating conditions. They are often oversized fo r worst

- case conditions, and therefore may operate at reduced efficiency during normal operation. The thermostatic expansion valve (TXV) is common in remote condensing commercial refrigeration equipment. This device uses an orifice to reduce the pressure o f the entering refrigerant and a sensing bulb to monitor and maintain the temperature of the superheated vapor leaving the evaporator. Because the TXV allows for some degree of adjustment of refrigerant expansion, it may be somewhat more efficient than the capillary tube device under varying conditions. The electronic expansion valve (EEV) is similar to the TXV, but uses an electronic control system to optimize refrigeration

- system performance under all operating conditions. Because it does this with great er flexibility than a TXV allows , an EEV theoretically allows for increases in energy efficiency under varying conditions. However, as with the TXV, an EEV will likely not provide significant energy savings over a properly sized capillary tube or a TXV und er steady

- state conditions.

3.3.1.5 Higher Efficiency Evaporator Fan Motors Evaporator fan motors are fractional horsepower in size, are responsible for moving air across the evaporator coil, and typically run at one speed. The manufacturer will match the motor
s ize and blade to the evaporator coil to meet the expected load on the case under most conditions. Higher efficiency evaporator fan motors reduce energy consumption by requiring less electrical power to generate motor shaft output power. Electric motors ope rate based on the interaction between a field magnet and a magnetic rotor. In a brushed motor, the field magnets are permanent magnets and the rotor is an electromagnet; the situation is reversed in a brushless motor. The electromagnetic interactions betwe en these two magnets cause the rotor to rotate. Single

- phase, t he simplest type of electric motor , suffer s from a serious shortcoming. Single

- phase motors only produce a rotating magnetic field when the rotor is rotating, and simply powering the electromag net is therefore not sufficient to start such a motor. One of the most significant differences between different types of single

- phase motors is the way in which they handle this start

- up problem. Nearly all inexpensive fan motors are of either shaded

- pole or permanent split capacitor (PSC), and the same is most likely true for baseline commercial refrigeration equipment fan motors (fan motors not marketed as “high efficiency”). In both cases, the electromagnet consists of windings of electrical wire throug h which current is driven. In a shaded

- pole motor, a portion of these windings is “shaded” by a copper loop. The interactions between the magnetic field3

- 36 generated by the shaded portion and that generated by the unshaded portion induce rotation when the mot or is powered. Because the imbalance between the shaded and un

- shaded portions of the magnet remains throughout operation, however, shaded

- pole motors are inefficient, with typical motor efficiencies less than 20 percent. 38

In a PSC motor, a smaller, start

- up winding is present in addition to the main winding. The start

- up winding is electrically connected in parallel with the main winding and in series with a capacitor. At start up, the i nteractions between the magnetic field generated by the start

- up winding and that generated by the main winding induce rotation. Because of the capacitor, however, the current to the start

- up winding is cut off as the motor reaches steady state. Because of this, PSC motors are more energy efficient than their shaded

- pole counterparts, with motor efficiencies ranging from 50 to 70 percent. Like shaded

- pole motors, PSC motors are produced in large quantities and are relatively inexpensive. Shaded

- pole motors are, however, electrically simple and inexpensive.

39

A third type of electric motor, the ECM motor (also known as the brushless permanent magnet motor), is more energy

- e fficient than both shaded

- pole and PSC motors. ECM motors, which are sold in high volumes, are three

- phase electric motors with efficiencies even greater than PSC motors

. These motors consist of DC motors , often with a built

- in inverter allowing them to ru n off of AC current. They also feature a permanent magnet rotor. An electronic controller pulses power to the motor, and these signals drive different groups of windings inside the motor. The controller modulates these pulses of power in order to maintain a desired speed and torque output. The result is a motor that is capable of maintaining constant torque and of varying its speed as needed, resulting in high operating efficiency. However, ECM motors can weigh about twice as much and are more expensive tha n equivalent PSC motors. The energy efficie ncy of c ommercial refrigeration equipment fan s that use shaded

- pole motors can be substantially improved by replacing them with PSC motors.

3.3.1.6 Variable

- Speed Evaporator Fan Motors and Evaporator Fan Motor Controllers Evaporator fan motor controllers allow fan motors to run at variable speed to match changing conditions in the case. During periods of frost build

- up, fan m otor power requirements increase; during the post

- defrost period, power requirements decrease. Matching the fan speed to all conditions ensures more stable discharge air temperatures (and thus more stable product temperatures) and improves coil performance

. Evaporator fan motor controllers would also allow the case to run more efficiently at different ambient humidity and temperature levels.

3.3.1.7 Higher Efficiency Evaporator Fan Blades High

- efficiency evaporator fan blades, or tangential evaporator fans, move air more efficiently, yielding energy consumption savings by reducing the required fan shaft power. The evaporator fans typically used in commercial refrigeration equipment have sheet metal blades. Usually, the fan blade manufacturer supplies the blades an d the equipment manufacturer mount s them

. These fan blades are not optimized for commercial refrigeration equipment. Evaporator fans may have lower efficiencies due to the higher required pressure drops, for which sheet metal3

- 37 fans are not well suited. Requ ired fan shaft power could be reduced if the fan blades were optimized for each application. Tangential fans also provide an opportunity to decrease equipment energy consumption. 40

3.3.1.8 Increased Evaporator Surface Area Tangential fans u s e a vortex builder to generate a uniform airflow over a la rge surface. This makes them better suited to evaporator and condenser fans, which need to distribute airflow over a large coil surface area. A single long tangential fan can meet the airflow requirements for an entire refrigerated cabinet, and require onl y one high

- efficiency fan motor.

The evaporator is a refrigerant

- to

- air heat exchanger composed of metals with high thermal conductivity such as aluminum and copper. It is responsible for evaporating and superheating the e ntering refrigerant liquid

- vapor mixture while extracting heat from the air in the refrigerated space. The internal heat

- exchanging surfaces in contact with refrigerant are commonly referred to as “refrigerant

- side , ” while the external heat

- exchanging surf aces in contact with the air are referred to as “air

- side.” Depending on the requirements of the equipment, the evaporator will have a discharge air temperature (DAT) that can be up to 10 **°** F colder than the desired temperature of the product. Because a temperature difference is necessary to drive heat from the air into the refrigerant, the saturated evaporator temperature (SET) must be considerably colder than the DAT. The magnitude of this driving force is directly related to the total refrigeration loa d and the thermal characteristics of the evaporator , as shown in Equation 3.1

.

UA Q T SET DAT **= ∆**  **= −**  Eq. 3

. 1

W here : Q = the total refrigeration load ( Btu/h ) , U = the heat transfer coefficient of the evaporator ( Btu/ **°** F/ft 2 ) , A = the area of the evaporator ( ft 2 ) , and ΔT = the temperature difference between the discharge air temperature and evaporator temperature ( **°** F )

. Increasing the area of the coil will decrease the necessary ΔT and therefore decrease the SET. This results in an increased compressor energy efficiency ratio (EER) and lower compressor energy consumption. Enhancements to the refrigerant

- side surface area of the evaporator typically include rifled or diamond

- pattern tubing and increased number of tube passes. Enhancements to the air

side surface area include increased fin pitch (decreased fin spacing), fin patterns (wavy or zig

zag), and increased numbers o f tube passes. Increasing the overall size of the coil in one or more dimensions without changing other aspects of the coil is another way to increase the area. However, most applications limit the3

- 38 amount of coil size increase. Most approaches to increasi ng the evaporator surface area also result in an increase in required fan motor power and an increase in refrigerant pressure drop.

3.3.1.9 Low

- Pressure Differential Evaporators Decreasing the air

- side pressure drop of an evaporator coil allows for the use of lowe r power evaporator fan motors. This requires reducing restrictions to the flow of air across the coil such as high fin pitch and high numbers of tube passes. Large spaces between fins and tubes also reduce frost “bridging , ” which can completely block airfl ow through portions of the coil.

3.3.1.10 Case Insulation Increases or Improvements Either increasing the insulation thickness or reducing insulation conductivity will reduce the energy consumption of commercial refrigeration equipment. Typical baseline insulation thickness for refrigerated display cases ranges from 1 .5 inches for medium

- temperature units to 2 .5 inches for ice cream temperature units

. Blow n

- in polyurethane foam is used for most cases. Improved technology polyurethane foam insulation has reduced cond uctivity, reducing case heat load. The improvement is due mainly to the formation of smaller air cells within the foam insulation structure and better cell

- size consistency. Use of the better foam would reduce display case wall load, assuming no wall thick ness change. The impact of an increase in insulation thickness and insulation quality is limited for open cases because a large portion of the cooling load is due to infiltration. Cases with doors would stand to gain more significant energy savings due to increased insulation thickness and/or quality.

3.3.1.11 Defrost Mechanism s As the air in the refrigerated space is cooled, water vapor condenses on the surface of the evaporator coil. In refrigerators and freezers, where the evaporator coil is below 32 °F, this w ater freezes as it collects, forming a growing layer of frost. The frost reduces cooling performance by increasing the thermal resistance to heat transfer from the coil to the air, and by obstructing airflow. Both the method in which defrost is performed a nd control of the defrost cycle can lead to increased energy savings. There are several methods available for defrosting the evaporator coil: off

- cycle defrost, electric defrost, and hot

- gas defrost. Off

- cycle defrost involves shutting off refrigerant flow to the coil while leaving the evaporator fan running. This method is used where case air is above the freezing point of water and can be used to melt the frost. Electric defrost is used whe n the air temperature is not high enough to defrost the coil, and whe n defrost must occur quickly to prevent any significant rise in product temperature. Electric defrost involves melting frost by briefly turning on an electric resistance heater that is in contact with or near the evaporator coil.

Hot

- gas defrost involves the use of the hot compressor discharge gas to warm the evaporator from the refrigerant side. Electricity usage is reduced in comparison to the electric defrost method because available hea t, which would otherwise be rejected in the condenser, is used. The hot gas defrost system requires more complicated piping and control than electric defrost. An additional drawback is the thermal stress inflicted upon the refrigerant piping by the alterna ting flow of hot gas and cold refrigerant.3

- 39 3.3.1.12 Defrost Cycle Control Management of frost buildup on coils is essential in ensuring continued efficient operation of the unit. Traditionally, defrosting systems were run on regular intervals utilizing a simple ti mer. However, this system has two possible negative consequences in that the defroster may run too often, resulting in wasted energy, or not often enough, resulting in decreased system performance. Current systems allow for control of the termination of de frosting based on temperature; when the coils reach a specified temperature, the defroster is turned off. However, initiation of the cycle still occurs on a periodic basis using a timer. Control of the defrost cycle requires the use of sensors to determin e whether a defrost cycle is needed. The data collected can consist of either the temperature drop across the coil or detection of the physical thickness of frost buildup using photocells. The first of these two methods is based on the idea that decreased airflow across the coil is a result of frost buildup, meaning that the temperature differential across the coil will increase. However, there are issues in that external factors aside from frost buildup on the coil may be the reason for decreased airflow. The second method is more accurate but requires more sophisticated sensors.

3.3.1.13 Vacuum Insulated Panels The importance of display case volume suggests that technologies that would allow reduction in insulation thickness while maintaining thermal resistivity (R

- value) would be of interest. Vacuum panels could provide such performance. VIPs consist of an outer airtight membrane surrounding a core material to form a cavity , which is then evacuated to remove the air from the panel. The result is greatly reduced t hermal conduction per unit of thickness as compared to traditional foam insulations. VIPs are a technology that has been in existence for many years, but has only recently begun to see widespread application, most notably in residential refrigerators, due to decreasing production costs.

3.3.1.14 Occupancy Sensors for Lighting Controls Lighting is one of the major sources of energy consumption in commercial refrigeration equipment. While higher efficiency lighting reduces the total lighting energy consumption, it could be decreased further by employing occupancy sensors to switch off the display case lighting when not necessary, such as during periods of low customer traffic and when the store is closed. Occupancy sensors turn off or dim the case lighting when no m otion is sensed near the case for a preset period of time. Occupancy sensors are not used with fluorescent lighting due to restarting issues at low temperatures. However, LED lighting does not have such problems. Therefore, occupancy sensors can be used on ly in conjunction with LED lighting.

3.3.2 Designs Relevant Only to Equipment with Doors The following technologies and designs are relevant only to equipment classes with doors: anti

- fog films on transparent doors and anti

- sweat heater controllers.3

- 40 3.3.2.1 Anti

- Fog Fi lms on Transparent Doors Most commercial refrigeration equipment with transparent doors for merchandising and product access currently utilize s anti

- sweat heaters to prevent fogging and condensation build

up. However, there exist anti

- fog treatments compos ed of advanced hydrophobic materials that prevent condensate from attaching or lingering on a glass surface and therefore prevent the formation of water droplets that may obscure a customer’s view of the product. Such anti

- fog films could be used on transp arent doors as a static means of preventing fogging, eliminating the need for active energy

- consuming systems.

3.3.2.2 Anti

- Sweat Heater Controllers

Anti

- sweat heating controllers match the on

- time of anti

- sweat heaters to the anti

- sweat heating requirements imp osed by the ambient humidity, reducing energy consumption when ambient humidity is low. Anti

- sweat heating is necessary to prevent moisture condensation on surfaces of display cases, the temperatures of which can be below the ambient dew point.

Freezer

- do or gaskets are a typical example of such a surface. Anti

- sweat heaters on freezer

- door gaskets are typically always on, but the installation of controls that sense ambient humidity levels can turn off the heater when anti

- sweat heating is not required, red ucing electricity consumption. Such control requires measuring the local dew point or relative humidity, and measuring external surface temperatures. A particular heater can be turned on when the temperature of a particular surface falls below the dew poin t, or the heaters can be cycled with on

- times increasing with dew point. Reducing anti

- sweat heater on

- time will also yield additional energy savings in display

- case heat load reductions, since anti

- sweat heaters contribute to case heat load. It is possibl e that electric anti

- sweat heaters could be replaced by a hot gas line running around the doorframe. Although manufacturers have claimed that this is a difficult technology to implement, it has seen widespread and successful use in residential freezers.

3.3.3 De signs Relevant Only to Equipment W ithout Doors The following technologies and designs are relevant only to equipment classes without doors: air curtain design and night curtains and radiation shields.

3.3.3.1 Air Curtain Design Refrigerated display cases without doors allow consumers easy access to products while maintaining temperatures that ensure food safety. The absence of doors necessitates the use of a circulated air curtain to keep cold air inside the case. The refrigeration load for these cases is dominate d by infiltration, or the entrainment of warm and moist air into the curtain. This infiltration adds both sensible and latent heat to the case, and deposit s additional moisture on the evaporator coil, which must be removed through defrosting. Improved air curtain design is aimed at lessening the impact of infiltration by reducing the entrainment of warm ambient air. Making the air curtain flow as laminar as possible reduces entrainment. This involves configuring the plenum before the air curtain discharge g rill to shape3

- 41 the velocity profile using a honeycomb grill to align the airstreams and encourage laminar flow. Improvements to the velocity profile and discharge air grill may enhance the performance of the air curtain and reduce the infiltration load.

3.3.3.2 Nig ht Curtains Open display cases have a high rate of infiltration of warm external air into the refrigerated cases. During store operating hours, when the refrigerated products are being taken out by customers and restocked by staff, such infiltration losses are inevitable. However, infiltration could be substantially reduced during the hours when the store is closed by using infiltration reduction mechanisms called night curtains. Night curtains are typically in the form of a flexible barrier, often composed of plastic or metalized fabric, which can be pulled down over the open case and fastened to provide a temporary cover over the opening. These devices protect against heat entry into the refrigerated space through the various heat transfer mechanisms. By f ully or partially covering the case opening, night curtains reduce the convective heat transfer into the case through air infiltration. Additionally, they provide a measure of insulation, reducing conduction into the case, and also decrease radiation into the case by reflecting radiated heat away from the refrigerated space.

3.3.4 Technologies and Designs Relevant Only to Self

- Contained Equipment The following technologies and designs are relevant only to self

- contained equipment: higher efficiency compressors, liquid suction heat exchangers, increased condenser surface area, higher efficiency condenser fan motors, variable

- speed condenser fan motors and condenser fan motor controllers, and higher efficiency condenser fan blades.

3.3.4.1 Higher Efficiency Compressors

S everal technologies exist to increase the efficiency of commercial refrigeration equipment compressors. High

- efficiency reciprocating and scroll compressors, sometimes incorporating variable

- speed motors, all have higher efficiencies than the traditional

r eciprocating compressors commonly used in commercial refrigeration equipment. Scroll compressors compress gas between two spirals, one fixed and one rotating. This method is fundamentally different from that of traditional compressors. High

- efficiency reciprocating compressors are as efficient, or more efficient, than scroll compressors. However, when compared to scroll compressors, some drawbacks exist , including noise, cost , and reliability.

Variable

- speed compressors are implemented through an electr onic control on the compressor motor, which allows the motor to operate at different speeds. Variable

- speed compressors reduce energy consumption in three ways: e

1. When refrigerant flow is reduced during part

- load operation, the condenser and evaporator (designed for full flow conditions) are more effective and thus more efficient.

e Variable

- speed compressors typically increase efficiency over a broad operating range but do not inherently increase maximum efficiency at the compressor ratin g point3

- 42 Temperature drops decrease, resulting in reduced pressure rise across the compressor, which also improves efficiency.

2. Close matching of load eliminates the cycling that occurs with single

- stage compressors. Maintaining a constant pressure is more efficient because losses at higher pressure rise are greater than gains at lower pressure rise.

3. During the off cycle, the pressure in the system equilibrates. At intermediate pressure , refrigerant vapor will condense in the cold evaporator rather than the condenser. Essentially, some of the heat rejection load is rejected to the evaporator during this time, reducing overall system performance. Variable

- speed operation would eliminate o r significantly reduce compressor off

- time and the related inefficiencies.

3.3.4.2 Liquid Suction Heat Exchangers The goal of a liquid suction heat exchanger is to further cool the flow of liquid refrigerant entering the expansion valve using the flow of gaseous r efrigerant leaving the evaporator

. The exchanger provid es sub

- cooling for the entering liquid by super

- heating the exiting suction vapor. Hotter suction vapor is less susceptible to heat gains in the return piping to the compressor rack. The compressor wor k is increased, however, because the suction vapor has greater enthalpy. In addition, the possibility of compressor overheating problems brought on by the combination of increased compressor work and hotter vapor limits the use of this method in some situa tions. The possibility for these problems and the potential efficiency gains f rom liquid suction heat exchangers depend on several factors, including evaporator temperature, type of refrigerant used, and system pressures.

3.3.4.3 Increased Condenser Surface Area Like the evaporator, the condenser is a refrigerant

- to

- air heat exchanger composed of metals with high thermal conductivity such as aluminum and copper. It is responsible for condensing and sub

- cooling the entering refrigerant vapor while rejecting heat fr om the refrigerant to the ambient air. Depending on the requirements of the equipment, the condenser ’s saturated condenser temperature (SCT) is about 1 4 °F warmer than the ambient air. As with evaporator coils, increasing the area of the condenser coil will decrease the necessary ΔT across the coil and therefore decrease the SCT, resulting in increased compressor efficiency ( and thus increased EER). Enhancements to the refrigerant

- side s urface area of the condenser typically include rifled or diamond

- pattern tubing and increas ing the number of tube passes. Enhancements to the air

- side surface area include increased fin pitch (decreased fin spacing), fin patterns (wavy or zig

- zag), and inc reased numbers of tube passes. Increasing the overall size of the coil in one or more dimensions without changing other aspects of the coil is another way to increase the area. However, most applications limit the amount of coil size increase in order to maintain overall equipment dimensions. Most approaches3

- 43 to increasing the condenser surface area also result in an increase in required fan motor power and an increase in refrigerant pressure drop.

3.3.4.4 Higher Efficiency Condenser Fan Motors

Condenser fan motor s are responsible for moving air across the condenser coil and typically run at one speed. The manufacturer will match the motor size and blade to the evaporator coil to meet the expected load on the case under most conditions. Higher efficiency condenser fan motors reduce energy consumption by requiring less electrical power to generate motor shaft output power. Condenser fan motors are generally of the same size and type as evaporator fan motors. See section 3.3 .1.5 for a discussion of higher efficiency fan motor technology.

3.3.4.5 Variable

- Speed Condenser Fan Motors and Condenser Fan Motor Controllers

Condenser fan motor controllers allow fan motors to run at variable speed to match changing conditions in the case. Matching the fan speed to all conditions improves coil performance. This allows the refrigeration system to run more efficiently at different ambient humidity and temperature levels. However, und er steady

- state conditions, there is no energy savings benefit with condenser fan motor controllers.

3.3.4.6 Higher Efficiency Condenser Fan Blades Conventional fans have sheet metal blades mounted to a central hub, and are generally not opt imized for the specific application in which they will be used. Instead, they are designed for mass production and scalability in order to minimize production cost and waste. Optimization of fan design for specific applications could significantly reduce i nput energy needed in order to perform the necessary work. Higher efficiency fan blades are capable of moving more air at a given rotational speed when compared to traditional fan blades. This means that a smaller motor can be used, or the existing motor c an be run at a lower speed, resulting in direct energy savings.3

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