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 Manufacturers 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-Regulatory 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 ASSESSMENT.................................................................................. 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........................................... 3-39
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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........................................ 3-40

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 SelfContained).......................................................................................................... 3-22

Table 3.2.13 Shipments of Closed Refrigerated Display Cases (Remote Condensing and SelfContained).......................................................................................................... 3-22

Table 3.2.14 Shipments of Commercial Reach-In Cabinets (Remote Condensing and SelfContained).......................................................................................................... 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 Market 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........................... 3-26
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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 Equipment 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 Performance 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.......................... 3-33
3-1

CHAPTER 3. MARKET AND TECHNOLOGY 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-freezers; 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 stakeholders. Manufacturer 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 stores), and in the foodservice industry (e.g., 

restaurants, salad bars, and cafeterias) to store, display, and merchandize perishable food 

products.

Definitions

Section 136(a)(3) of the Energy Policy Act of 2005 (EPACT 2005) amended section 340 

of EPCA, in part 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 

purposes;

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

unit.

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

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

blast chiller or freezer.

* * * 

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

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

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

degrees F in 12 hours or less.

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

refrigerating components designed to compress and liquefy a specific refrigerant 

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

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

and factory supplied accessories.

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

refrigerating components designed to compress and liquefy a specific refrigerant 

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

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

factory supplied accessories. 

42 USC 6311(9)

EPACT 2005 does not explicitly define the terms “self-contained commercial 

refrigerator, freezer, or refrigerator-freezer” or “remote condensing commercial refrigerator, 

freezer, 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-contained refrigerators, freezers, and refrigerator-freezers: EPCA defines a 

“self-contained 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 mediumsized grocery and other food retail stores, restaurants and hotels, and in cafeteria-style 

foodservice venues. EPACT 2005 prescribed energy conservation standards for selfcontained 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).
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2. Remote condensing commercial refrigerators, freezers, and refrigerator-freezers: 

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 merchandise 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 rulemaking 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-down 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 separate 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 ice-cream freezers: 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 accordance with 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 dispensing 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 operate considerably below -5 °F and that are sometimes 
3-4

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 ASSESSMENT

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; provides 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 (AHRI, formerly the AirConditioning and Refrigeration 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. It serves 

supermarkets, food stores, convenience stores, restaurants, hotels, motels, food processing 

establishments, and hospitals. The technical activities of CRMD include:

• harmonization of international equipment standards;

• development of industry performance standards for commercial refrigeration equipment;

• updating of industry guidelines for retail store fixture installation, design, energy 

conservation, electronic case controls, and specifications for equipment installation;

• communicating with refrigerant suppliers and government agencies about 

environmentally acceptable refrigerants; and

• providing input to government agencies concerning regulations affecting the industry.

3.2.2 Manufacturers and Market Share

Current AHRI CRMD members are listed below; parent companies are shown in 

parentheses if applicable.

1
3-5

• 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 Deli • 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 represented approximately 85 percent of the 

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. Other 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—whether it is equipment that 

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

Figure 3.2.1).
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Source: Appliance Magazine, “28th Annual Portrait of the U.S. Appliance Industry,” September 2005.

Figure 3.2.1 Domestic Refrigerated Display 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 

time 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 market share, with 41 percent. The additional six named companies 

Tyler Refrigeration

16%

Hill Phoenix

15%

Kysor/Warren

6%

Other

15%

Hussmann

48%
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comprised 37 percent of the market, and other manufacturers comprised the remaining 22

percent of the market (Figure 3.2.2).

Source: Appliance Magazine, “32nd 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 “Other” 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

Victory 9%

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 American 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 to 
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NAICS code 333415, Air-Conditioning and Warm Air Heating Equipment and Commercial and 

Industrial Refrigeration 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 40 small business commercial refrigeration equipment 

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, the 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. Arizona, 

Oregon, Rhode Island, Connecticut, Maryland, New Jersey, New York, and Washington 

regulated certain types of commercial refrigeration equipment. Many of these standards have 

since been pre-empted by the Federal 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 standards can be accessed via the Database of State Incentives for 

Renewables & Efficiency (DSIRE), a DOE-funded online database.4
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3.2.3.1 Natural Resources Canada

The Natural Resources Canada (NRCan) Office of Energy Efficiency has energy

efficiency standards for commercial 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 States5. The test method for determining compliance is AHRI Standard 

1200-2008, Performance Rating of Commercial Refrigerated Display Merchandisers and 

Storage Cabinets, with the following specifications for the integrated average temperature (IAT):

• Refrigerator compartment: 38°F ± 2°F (3.3oC ± 1.1oC)

• Freezer compartment: 0°F ± 2°F (-17.8oC ± 1.1oC)

• Wine chiller: 45°F ± 2°F (7.2oC ± 1.1oC)

• Ice-cream cabinet: -5°F ± 2°F (-20.6oC ± 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 commercial 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 standard 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, the MEPS use a pre-determined remote 

condensing 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 or 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, Energy 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 store chilled and frozen food. The minimum energy performance 

standards are established in Australian Standard (AS) 1731.14-2003 as total energy consumption 

per total display area (TEC/TDA) in kWh/day/m2 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 shelves

• 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 refrigerators 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 commercial 

freezers. DOE also reviewed various rebate programs offered by utilities.
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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 the maximum energy consumption as follows.

Table 3.2.2 ENERGY STAR Commercial Refrigerator and Freezer Key Criteria

Product Volume (in 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 Commercial 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 AHRI 1200-2006. The ENERGY STAR

criteria do, however, specify ANSI/AHAM HRF-1-2004 for measuring 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 efficient commercial refrigeration equipment and directs them 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 version 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 daily 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 initiatives. FEMP has established purchasing specifications for 

energy efficient equipment, including commercial refrigeration equipment, which Federal 

agencies must follow when buying new equipment for their facilities.

9

3.2.4.4 Rebate Programs

Federal purchasers are 

required by EPACT 2005 to purchase equipment that is either ENERGY STAR qualified or 

FEMP designated. The 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 

these incentive programs are accessible through the DSIRE online database. DSIRE lists all 

available incentives, including those offered by states, municipalities, utility companies, and the 

Federal government. This includes numerous incentives for purchasers of commercial 

refrigeration equipment units that meet specific criteria. 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 incentives 

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 light-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 use of 

specific technologies on commercial equipment such as night covers on equipment without 

doors, upgrades to more efficient case lighting, anti-sweat heater controls, improved reach-in 

door gaskets, and electronically commutated permanent magnet (ECM) motors. Additionally, the 

program provides rebates to end-users who replace older equipment with new high-efficiency 

equipment.

11

NV Energy offers incentives promoting 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 installation of 

ECM motors in refrigerated cases.

12
3-13

Otter Tail Power Company offers rebates to Minnesota commercial customers under the 

Conservation Improvement Program. Under this program, customers are eligible to receive 

between $20 and $40 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 equipment 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 absence 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 

vertical), 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 final rule and identified in the Framework Document for this rulemaking:

1. Operating Temperature

• Medium temperature (38 °F, refrigerators)

• Low 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 for 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 other 

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 Framework 

Document. 

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 Refrigeration Equipment Families

Equipment Family Designation Description

Vertical Open VOP Equipment without doors and an air-curtain angle ≥ 0° and < 10°

Semivertical Open SVO Equipment without doors and an air-curtain angle ≥ 10° and 

< 80°

Horizontal Open HZO Equipment without doors and an air-curtain angle ≥ 80°

Vertical Closed Transparent VCT Equipment with hinged or sliding transparent doors and a door 

angle < 45°

Vertical Closed Solid VCS Equipment with hinged or sliding transparent doors and a door 

angle ≥ 45°

Horizontal Closed Transparent HCT Equipment with hinged or sliding solid (opaque) doors and a 

door angle < 45°

Horizontal Closed Solid HCS Equipment with hinged or sliding solid (opaque) doors and a 

door angle ≥ 45°

Service Over Counter SOC Equipment with sliding or hinged doors intended for use by sales 

personnel and fixed or hinged glass for displaying merchandise

Pull-Down PD Commercial refrigerators with transparent doors for pull-down 

temperature applications

The first eight equipment families contain equipment that can have one of two 

condensing unit types and one of three operating temperatures. 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 than selfcontained 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, requiring 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 was 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 without 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 other 
3-15

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 the equipment is 

viewed in cross-section.

Using all combinations of equipment family, 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 classes. 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.M
3-17

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 companies. DOE used this shipments data from the previous 

rulemaking as part of the basis for this analysis, as newer shipments data was not available. DOE 

understands that this data does not include the entire industry, since AHRI does not represent all 

major manufacturers.b

Table 3.2.5

However, because this data covered a significant portion of the 

commercial refrigeration equipment sold, and because no other detailed data was available at that 

time, the 2005 ARI shipment data was used as the total 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” temperature (e.g., wine chillers that operate at 45 °F and freezers that operate at 

-30 °F). However, 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.**

* Source: 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 of 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 2002.17

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 freezer/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 Category Assigned DOE 

Equipment Class

Air curtains or air curtain refrigerators VOP.SC.M

Milk coolers HCS.SC.M

Under-counter refrigerators VCS.SC.M

Under-counter freezers VCS.SC.L 

Reach-in / pass-through refrigerators VCS.SC.M,VCT.SC.M 

Reach-in / pass-through freezers VCS.SC.L,VCT.SC.L 

Roll-in / roll-through refrigerators VCS.SC.M

Roll-in / roll-through freezers VCS.SC.L

Ice cream cabinets, freezers & dispensers

(gelato equipment, dipping freezers/cabinets)

HCT.SC.I,HZO.SC.I, 

HCS.SC.I

3.2.6.3 Freedonia Market Reports

The Freedonia Group published a study on the United States commercial refrigeration 

industry 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 case, reach-ins), and operating temperature (normal, 

low 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 equipment 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 numbers have been withheld from publication 

because Freedonia reports are not publicly available 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, “56th 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, “58th 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 Appliance Magazine. A similar decline is reported 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 equipment this term covers—whether it 

is equipment that is self-contained or remote condensing, or equipment with doors or without doors.

DOE believes that some of the observed decline in shipments is the result of a 

general slowdown in the U.S. economy in the second and third quarters of 2001. Financial 
3-21

reports by commercial 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 historical 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, “54th Annual Statistical Review,” May 2007, “31st

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, “57th 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 display 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 refrigerators, 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 Condensing and SelfContained)

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

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. 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

**(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 Condensing 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/DatasetMainPageServlet?_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 Condensing and SelfContained)

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/DatasetMainPageServlet?_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. Census Bureau data 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 that 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). One 

distributor suggested that U.S. tax depreciation schedules, which allow depreciation over a 5-

year period for retail fixtures, including commercial refrigerators and commercial freezers,

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 the compressor racks.

are 

one driver for regular replacement of commercial refrigeration equipment in the United States.

24

Several industry experts and stakeholders 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 compared to the initial purchase price. This is due to both cosmetic 

concerns and the custom nature of much of the equipment. The 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 was 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 200425

5-7 years (large chains) Verisae 200626

15 years (smaller chains and independent grocers

may go up to 20 years)

Verisae 200627

7-15 years Mark Ellis & Associates 200328

15 years Foster-Miller 200129

15-20 years U.S. Environmental Protection Agency 200130

15 years Arthur D. Little 200231

9-10 years (9 years with doors, 10 years without 

doors)

CEC 200432

5-15 years (typically 10 years) Hansen 200633

10 years PG&E 20043

7-10 years (remote condensing)

8-12 years (self-contained)

Intergovernmental Panel on Climate Change 200134

7 years Fisher 199135

10-15 years Navigant Consulting, Inc. 200936

3.2.8 Market Performance Data

3.2.8.1 Remote Condensing Equipment

DOE conducted a survey of existing remote condensing refrigerated equipment from 

major manufacturers and compiled 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 consumption (CDEC) according to the 

methodology of AHRI Standard 1200-2008, Performance Rating of Commercial Refrigerated 

Display Merchandisers and Storage Cabinets. Figure 3.2.3 through Figure 3.2.6 show 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 Class
3-26

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 Class
3-27

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 included the California 

Energy Commission, ENERGY STAR, and AHRI Certified directories. 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 independent 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 90 100

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

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 80 100 120

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

SVO.SC.M

Semi-Vertical Refrigerator without Doors and

a Self-Contained Condensing Unit
3-29

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 60

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

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 90

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

VCT.SC.M

Vertical Refrigerator with Transparent Doors 

and a Self-Contained Condensing Unit
3-30

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 90

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

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 90 100

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

VCS.SC.M

Vertical Refrigerator with Solid Doors and

a Self-Contained Condensing Unit
3-31

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 90

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

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 90

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

HCT.SC.M

Horizontal Refrigerator with Transparent 

Doors and a Self-Contained Condensing Unit
3-32

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 50

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

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 90

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

HCS.SC.M

Horizontal Refrigerator with Solid Doors and 

a Self-Contained Condensing Unit
3-33

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

3.3 TECHNOLOGY ASSESSMENT

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 

equipment 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 controllers, higher efficiency evaporator fan blades, increased 

evaporator surface area, low-pressure differential evaporators, insulation increases or 

improvements, defrost mechanisms, defrost cycle control, vacuum insulated panels (VIPs), and 

occupancy sensors for 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 80

Reported Daily Energy Consumption [kWh/day]

Volume [ft3]

HCS.SC.L

Horizontal Freezer with Solid Doors and a 

Self-Contained Condensing Unit
3-34

in lighting is commonly measured as efficacy (lumens/watt), or the quantity 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 

lighting 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 

advancements in LED efficacy and numerous large retailers have adopted 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 increase in 

efficacy and decrease in cost as technology improves. Every 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 for 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 case 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 losses. 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. Fluorescent 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. Increasing 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, 

manufacturers 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 amount 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 the 
3-35

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 for 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 of 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 greater 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 under 

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 

size 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 operate 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 

between these two magnets cause the rotor to rotate.

Single-phase, the simplest type of electric motor, suffers from a serious shortcoming.

Single-phase motors only produce a rotating magnetic field when the rotor is rotating, and 

simply powering the electromagnet 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 through 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 field 
3-36

generated by the shaded portion and that generated by the unshaded portion induce rotation when 

the motor 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 interactions 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-efficient 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 run 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 than equivalent PSC motors.

The energy efficiency of commercial 

refrigeration equipment fans 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 motor 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 and the equipment manufacturer mounts

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 metal 
3-37

fans are not well suited. Required 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 use a vortex builder to generate a uniform airflow over a large 

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 only 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 entering 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 surfaces 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 load and the thermal 

characteristics of the evaporator, as shown in Equation 3.1.

UA

Q DAT − SET = ∆T = Eq. 3.1

Where:

Q = the total refrigeration load (Btu/h),

U = the heat transfer coefficient of the evaporator (Btu/°F/ft2),

A = the area of the evaporator (ft2), 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 airside surface area include increased fin pitch (decreased fin spacing), fin patterns (wavy or zigzag), and increased 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 
3-38

amount of coil size increase. Most approaches to increasing 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 lower

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 airflow 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. Blown-in polyurethane foam is used for most cases.

Improved technology polyurethane foam insulation has reduced conductivity, 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 thickness 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 Mechanisms

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 water 

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 and 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 when the air 

temperature is not high enough to defrost the coil, and when 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 heat, 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 

alternating 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 timer. 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 defrosting 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 determine 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 thermal 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 motion 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 only 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 Films on Transparent Doors

Most commercial refrigeration equipment with transparent doors for merchandising and 

product access currently utilizes anti-sweat heaters to prevent fogging and condensation buildup. However, there exist anti-fog treatments composed 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 transparent 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 imposed 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-door 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, reducing 

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 point, 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 possible 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 Designs Relevant Only to Equipment Without 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 

dominated 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 deposits 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 grill to shape 
3-41

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 Night 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 fully 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 

Several 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 

reciprocating 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 electronic 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 rating point
3-42

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 or 

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 refrigerant leaving the evaporator. The 

exchanger provides 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 work 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 situations. The possibility for these problems and the potential efficiency gains from 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 from the 

refrigerant to the ambient air.

Depending on the requirements of the equipment, the condenser’s saturated condenser 

temperature (SCT) is about 14 °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 surface area of the condenser typically include 

rifled or diamond-pattern tubing and increasing 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 increased 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 approaches 
3-43

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 motors 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, under 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 optimized 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 input 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 can be run at a lower speed, resulting in direct energy savings. 
3-44

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