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CHAPTER 1. INTRODUCTION

TABLE OF CONTENTS

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

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

1.3 OVERVIEW OF AUTOMATIC COMMERCIAL ICE MAKER STANDARDS ......... 1-2

1.3.1 Definitions............................................................................................................ 1-2

1.3.2 Current Automatic Commercial Ice Maker Energy Conservation Standards ...... 1-2

1.3.3 Current Rulemaking Process................................................................................ 1-3

1.4 STRUCTURE OF THE DOCUMENT ............................................................................ 1-5

REFERENCES ............................................................................................................................ 1-7

LIST OF TABLES 

Table 1.3.1 Automatic Commercial Ice Maker Standards Prescribed by EPCA – Effective 

January 1, 2010 .................................................................................................... 1-3

Table 1.3.2 Automatic Commercial Ice-Making Equipment Analyses ....................................... 1-4
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CHAPTER 1. INTRODUCTION

1.1 PURPOSE OF THE DOCUMENT

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

that documents the technical analyses and results supporting the preliminary analysis for

establishing energy conservation standards for automatic commercial ice-making (ACIM)

equipment with harvest capacities between 50 and 4,000 pounds of ice per 24 hours (lb/24 

hours).a

1.2 OVERVIEW OF APPLIANCE STANDARDS

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

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

95-619; the National Appliance Energy Conservation Act of 1987 (NAECA), Pub. L. 100-12; the 

National Appliance Energy Conservation Amendments of 1988 (NAECA 1988), Pub. L. 100-

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

Conservation Program for Consumer Products other than Automobiles. (42 U.S.C. 6291–6309) 

Part 3 of Title IV of NECPA amended EPCA to add Part C of Title III, which established an 

energy conservation program for certain industrial equipment.b (42 U.S.C. 6311–6317) EPACT 

1992 included amendments to EPCA that expanded Title III to include additional commercial 

equipment. The Energy Policy and Conservation Act of 2005 (EPACT 2005), Pub. L. 109-58, 

updated several existing standards and test procedures; prescribes definitions, standards, and test 

procedures for certain new consumer products and commercial equipment; and mandates that the 

Secretary of Energy (the Secretary) commence rulemakings to develop test procedures and 

standards for certain new consumer products and commercial equipment, including ACIM 

equipment, the subject of this rulemaking. 

Pursuant to EPCA, the U.S. Department of Energy (DOE) is required to design each 

standard for this equipment to (1) achieve the maximum improvement in energy efficiency that is 

technologically feasible and economically justified; and (2) result in significant conservation of 

energy. (42 U.S.C. 6295(o)(2)(A) and (o)(3)(B), 42 U.S.C. 6313(d)(4)) To determine whether a 

proposed standard is economically justified, DOE will, after receiving comments on the 

proposed standard, determine whether the benefits of the standard exceed its burdens to the 

greatest extent practicable, considering the following seven factors:

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

products subject to such standard; 

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

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

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

the imposition of the standard; 

3. the total projected amount of energy savings likely to result directly from the imposition 

of the standard; 

 

a For brevity, pounds of ice per 24-hour period is abbreviated as lb/24 hours.

b For editorial reasons, upon codification in the U.S. Code, Parts B and C were re-designated as Parts A and A-1, 

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

from the imposition of the standard; 

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

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

6. the need for national energy conservation; and 

7. other factors the Secretary considers relevant.

(42 U.S.C. 6295(o)(2)(B)(i); 6313(d)(4)) 

EPCA also directs that DOE may not prescribe an amended or new standard if the 

standard is likely to result in the unavailability in the United States of performance 

characteristics (including reliability), features, sizes, capacities, and volumes that are 

substantially the same as those generally available in the United States at the time that the 

standard is prescribed. (42 U.S.C. 6295(o)(4) and 6313(d)(4))

For automatic commercial ice makers, DOE is applying those factors in a manner 

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

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

this equipment.

1.3 OVERVIEW OF AUTOMATIC COMMERCIAL ICE MAKER STANDARDS

EPCA, as amended by EPACT 2005, set energy conservation standards for ACIM 

equipment making cube type ice with harvest capacities between 50 and 2,500 lb/24 hours. (42 

U.S.C. 6313(d)(1)) In addition, EPCA requires DOE to establish a final rule no later than 

January 1, 2015 to determine whether to amend the standards prescribed in 42 U.S.C. 

6313(d)(1). (42 U.S.C. 6313(d)(3)) EPCA also granted DOE the authority to issue standards for 

types of ACIM equipment not covered by the standards included in 42 U.S.C. 6313(d)(1). (42 

U.S.C. 6313(d)(2)) 

1.3.1 Definitions

Section 136(a)(4) of EPACT 2005 amended section 340 of EPCA by inserting definitions 

for the following terms that describe ACIM equipment: 

(19) The term ‘automatic commercial ice maker’ means a factory-made assembly (not 

necessarily shipped in one package) that— 

(A) consists of a condensing unit and ice-making section operating as an integrated 

unit, with means for making and harvesting ice; and

(B) may include means for storing ice, dispensing ice, or storing and dispensing ice. 

(42 U.S.C. 6311(19)) 

1.3.2 Current Automatic Commercial Ice Maker Energy Conservation Standards 

Section 136(d) of EPACT 2005 amended EPCA to prescribe energy conservation 

standards for cube type ACIM equipment with harvest capacities between 50 and 

2,500 lb/24 hours, consisting of ice-making heads using either air or water cooling, self-
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contained ice makers using either air or water for cooling, and ACIM equipment with remote 

condensing and either a remote compressor or a compressor contained in the same cabinet as the 

other non-condenser components. (42 U.S.C. 6313(d)(1)) These standards became effective on 

January 1, 2010. DOE adopted these standards and placed them under 10 CFR 431, subpart H, 

“Automatic Commercial Ice Makers.” Table 1.3.1 shows the current standards for ACIM

equipment. 

Table 1.3.1 Automatic Commercial Ice Maker Standards Prescribed by EPCA – Effective 

January 1, 2010 

Equipment Type Type of 

Cooling

Harvest Rate

lb ice/24 hours

Maximum Energy 

Use

kWh/100 lb ice

Maximum Condenser 

Water Use* 

gal/100 lb ice

Ice-making head

Water

<500 7.80–0.0055H** 200–0.022H

≥500 and <1,436 5.58–0.0011H 200–0.022H

≥1,436 4.0 200–0.022H

Air <450 10.26–0.0086H Not applicable

≥450 6.89–0.0011H Not applicable

Remote condensing 

(but not remote 

compressor)

Air <1,000 8.85–0.0038H Not applicable

≥1,000 5.10 Not applicable

Remote condensing 

and remote 

compressor

Air <934 8.85–0.0038H Not applicable

≥934 5.3 Not applicable

Self-contained

Water <200 11.40–0.019H 191–0.0315H

≥200 7.60 191–0.0315H

Air <175 18.0–0.0469H Not applicable

≥175 9.80 Not applicable

Source: 42 U.S.C. 6313(d)(1)

* Water use is for the condenser only and does not include potable water used to make ice.

** H = harvest rate in pounds per 24 hours, indicating the water or energy use for a given harvest rate.

1.3.3 Current Rulemaking Process

 As discussed in section 1.3, EPCA grants DOE authority to set standards for additional 

types of equipment, and requires DOE to review and, if appropriate, amend the existing 

standards. Thus, DOE initiated this rulemaking to set standards for additional equipment types 

and to fulfill the statutory requirement to review the existing standards. 

As the first step, in November 2010 DOE published the Rulemaking Framework for 

Automatic Commercial Ice-Makers,

1 describing the procedural and analytical approaches DOE 

anticipated using to evaluate the establishment of energy conservation standards for ACIM

equipment. DOE then held a public meeting on December 16, 2010 to discuss procedural and 

analytical approaches to the rulemaking, and to inform interested parties and facilitate their 

involvement in the rulemaking process. The analytical framework presented at the public 

meeting described different analyses, such as the engineering analysis and the life-cycle cost 

(LCC) and payback period (PBP) analyses, the methods proposed for conducting them, and the 

relationships among the various analyses. Table 1.3.2 lists the analyses discussed at the public 

meeting to be undertaken in each of the formal public rulemaking phases. 
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Table 1.3.2 Automatic Commercial Ice-Making Equipment Analyses 

Preliminary Analysis Notice of Proposed Rulemaking Final Rule*

Market and technology assessment Revised preliminary analyses Revised NOPR analyses

Screening analysis Life-cycle cost sub-group analysis

Engineering analysis Manufacturer impact analysis

Energy use characterization Utility impact analysis

Markups to determine equipment price Employment impact analysis

Life-cycle cost and payback period 

analyses Emissions analysis

Shipments analysis Regulatory impact analysis

National impact analysis

Preliminary manufacturer impact analysis

NOPR = notice of proposed rulemaking.

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

phase concerning the impact of any lessening of competition that is likely to result from the imposition of the 

standard. (42 U.S.C. 6295(o)(2)(B)(v))

As part of the information gathering and sharing process, DOE interviewed ACIM 

equipment manufacturing companies that represented production of all types of ACIM

equipment, ranging from small to large manufacturers, and including Air-Conditioning, Heating, 

and Refrigeration Institute (AHRI) member companies and non-AHRI member companies. DOE 

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

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

feedback on topics related to the preliminary manufacturer impact analysis (MIA); (3) provide an 

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

cooperation between the manufacturers and DOE. 

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

interviews: (1) general key issues; (2) automatic commercial ice maker shipment projections; 

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

consolidation; and (6) cumulative regulatory burden. 

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

(see chapter 5 of the preliminary TSD) and the preliminary MIA (see chapter 12 of preliminary

TSD). Following the publication of the preliminary analysis and the preliminary analysis public 

meeting, DOE intends to hold additional meetings with manufacturers as part of the consultative 

process for the MIA conducted during the NOPR phase. 

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

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

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

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

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

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

markets.

DOE developed spreadsheets for the LCC and PBP analyses, and for the national impact 

analysis (NIA). The LCC spreadsheet calculates national distributions of LCC savings at various 

energy efficiency levels above the baseline and also can provide LCC savings based on typical 

input values for several business types that use ACIM equipment as well as distributions of 
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energy costs. DOE also developed an NIA spreadsheet that calculates the national energy savings 

and net present value at various energy efficiency levels for individual types of equipment. This 

spreadsheet includes a model that forecasts shipments for the various equipment classes of 

automatic commercial ice makers at different efficiency levels.

1.4 STRUCTURE OF THE DOCUMENT

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

TSD consists of 16 chapters as well as appendices. 

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

standards program and how it applies to the automatic commercial ice maker rulemaking, 

and outlines the structure of the document. 

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

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

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

responses to those comments. 

• Chapter 3, Market and Technology Assessment: characterizes the ACIM equipment 

market and the technologies available for increasing equipment efficiency.

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

consideration in the engineering analysis.

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

relationship between increased manufacturer price and increased efficiency.

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

for establishing markups for converting manufacturer prices to customer equipment 

prices.

• Chapter 7, Energy and Water Use Analysis: discusses the process used for generating 

energy use estimates of ACIM equipment for a variety of equipment classes and standard 

levels.

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

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

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

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

with and without higher efficiency standards. 

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

national energy consumption and national economic impacts based on annual equipment 

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

presence of higher efficiency standards. 

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

subgroup of ACIM equipment customers and compares the LCC and PBP of equipment 

with and without higher efficiency standards for these customers. 
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• Chapter 12, Preliminary Manufacturer Impact Analysis: discusses the effects of 

standards on the finances and profitability of equipment manufacturers. 

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

generation capacity of electric utilities.

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

national employment. 

• Chapter 15, Emissions Analysis: discusses the effects of standards on airborne 

emissions of electric utilities. 

• Chapter 16, Monetization of Emissions Reductions Benefits

• Chapter 17, Regulatory Impact Analysis: discusses the present regulatory actions as 

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

• Appendix 5A, Engineering Data: accompanies chapter 5, Engineering Analysis. 

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

Equipment Price Determination. 

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

Life-Cycle Cost and Payback Period Analyses. 

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

chapter 8, Life-Cycle Cost and Payback Period Analyses. 

• Appendix 8C, Development of Experience (Price) Learning Values: accompanies 

chapter 8, Life-Cycle Cost and Payback Period Analyses. 

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

Spreadsheet: accompanies chapter 10, National Impact Analysis. 

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

Results: accompanies chapter 10, National Impact Analysis. 

• Appendix 10C, Development of Experience (Price) Learning Values: accompanies 

chapter 10, National Impact Analysis. 
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REFERENCES

1. U.S. Department of Energy. Rulemaking Framework for Automatic Commercial IceMakers. 2010. Washington, D.C. 

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

work_2010_11_04.pdf >