3-i

CHAPTER 3. MARKET AND TECHNOLOGY ASSESSMENT

TABLE OF CONTENTS

3.1 INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

3.2 MAJOR EQUIPMENT COVERED BY RULEMAKING . . . . . . . . . . . . . . . . . . . . . . 3-1

3.3 ROLE OF ASHRAE IN DEFINING EQUIPMENT CATEGORIES FOR 

ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-4

3.4 EQUIPMENT MANUFACTURERS AND MARKET SHARES . . . . . . . . . . . . . . . . 3-6

3.4.1 ARI Section Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-6

3.4.2 ARI Non-Member Manufacturers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-7

3.4.3 Current ARI Equipment Manufacturers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-7

3.4.4 Market Share of Equipment under this Rulemaking . . . . . . . . . . . . . . . . . . . . . 3-9

3.5 MARKET EQUIPMENT: EFFICIENCY AND CAPACITY RANGE . . . . . . . . . . . 3-9

3.5.1 Overview of Equipment Availability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-15

3.6 HISTORICAL SHIPMENTS AND EFFICIENCIES . . . . . . . . . . . . . . . . . . . . . . . . . 3-16

3.6.1 Census Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-16

3.7 BASELINE EFFICIENCY AND IMPACT OF BUILDING CODES . . . . . . . . . . . . 3-19

3.7.1 Efficiency Links between Building Codes and Federal Legislation . . . . . . . . 3-19

3.7.2 Manufacturer Equipment Lines and Efficiency Before and After October 

2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-20

3.7.3 ASHRAE Standard 90.1-1999 Compliance by Manufacturers and 

Equipment Type as of January 2002 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-23

3.7.4 Other Efficiency Descriptors (COP, IPLV) . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-27

3.8 OTHER FACTS UNDER CONSIDERATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-30

3.8.1 Single Vertical Package Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-30

3.8.2 Other Specialized Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-31

3.8.3 Impact of Roof Curb in Replacement Design for Single Package Systems . . 3-31

LIST OF TABLES

Table 3.2.1 ARI Equipment Types Covered in Rulemaking . . . . . . . . . . . . . . . . . . . . . . . . 3-4

Table 3.3.1 ARI Designation Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-5

Table 3.3.2 ASHRAE Standard 90.1-1989 Minimum Efficiency (EER) Levels . . . . . . . . 3-5

Table 3.3.3 ASHRAE Standard 90.1-1999 Minimum Efficiency (EER) Levels . . . . . . . . 3-5

Table 3.4.1 Domestic Manufacturers with Respective Trade-names . . . . . . . . . . . . . . . . . . 3-7

Table 3.5.1 Market Information for Year-Round Single Package Air Conditioner, Air 

Cooled (SPY-A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-10

Table 3.5.2 Market Information for Single Package Air Conditioner, Air Cooled (SP-A) 3-11

Table 3.5.3 Market Information for Split System: Condensing Unit, Coil with Blower, 

Air Cooled (RCU-A-CB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-12

Table 3.5.4 Market Information for Single Package Heat Pump, Air Source (HSP-A) . . . 3-13
3-ii

Table 3.5.5 Market Information for Split System: Heat Pump with Remote Outdoor Unit, 

Air Source (HRCU-A-CB) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-14

Table 3.7.1 July 2001 Efficiency Levels for Year-Round Single Package Air Conditioner, 

Air Cooled (SPY-A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-21

Table 3.7.3 Compliance with ASHRAE Standard 90.1-1999 levels for the 

$65,000 to <135,000 Btu/h Cooling Capacity Range: Major Manufacturers 3-23

Table 3.7.4 Compliance with ASHRAE Standard 90.1-1999 Levels for Equipment 

in the $135,000 to < 240,000 Btu/h Cooling Capacity Range: Major 

Manufacturers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-24

Table 3.7.5 Parameters Used in Algorithm to Identify Base Models from Jan. 2002 ARI 

Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-26

Table 3.7.6 Manufacturer Base Models and ASHRAE Standard 90.1-1999 Compliance . 3-27

LIST OF FIGURES

Figure 3.2.1 Single Package Configuration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

Figure 3.2.2 Split System Configuration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3

Figure 3.6.1 Number of Units Shipped for Combined Split System and Single Package 

Air Conditioners and Air-Source Heat Pumps . . . . . . . . . . . . . . . . . . . . . . . . 3-16

Figure 3.6.2 Year 2000 Total Number of Units Shipped for Large Unitary Equipment 

Based on Cooling Capacity Range . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-17

Figure 3.6.3 Year 2000 Percentage of Units Shipped for Large Unitary Equipment 

Based on Cooling Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-18

Figure 3.7.1 Heating COP versus EER for Single Package Heat Pump, Air Source 

(HSP-A), $65,000 Btu/h to <240,000 Btu/h Cooling Capacity . . . . . . . . . . . . 3-28

Figure 3.7.2 Heating COP Compared to EER for Split System: Heat Pump with Remote 

Outdoor Unit, Air Source (HRCH-A-B), $65,000 Btu/h to <240,000 Btu/h 

Cooling Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-28

Figure 3.7.3 IPLV Compared to EER for Year-Round Single Package Air Conditioner, 

Air Cooled (SPY-A), $65,000 Btu/h to <240,000 Btu/h Cooling Capacity . . 3-29

Figure 3.7.4 IPLV Compared to EER for Split System: Condensing Unit, Coil with 

Blower, Air Cooled (RCU-A-B), $65,000 Btu/h to <240,000 Btu/h Cooling 

Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-29
3-1

CHAPTER 3. MARKET AND TECHNOLOGY ASSESSMENT

3.1 INTRODUCTION

This document presents the market assessment information for the Department of Energy

(DOE)’s rulemaking to establish manufacturing standards for commercial unitary air-cooled air

conditioners and air-source heat pumps.

Unitary package air conditioning units represent the heating, ventilating, and airconditioning (HVAC) equipment class with the greatest energy use in the commercial sector in

the United States. This equipment is used in 17.2 billion square feet of floor space (about 48

percent of the cooled floor space in the commercial sector). It is responsible for annual energy

use of about 0.74 quadrillion British thermal units (quad) of cooling and 0.44 quad of heating.1

Equipment covered under this rulemaking accounts for the majority of the total shipped tonnage

of unitary equipment for commercial building applications. 

3.2 MAJOR EQUIPMENT COVERED BY RULEMAKING

The Energy Policy and Conservation Act (EPCA) (42 U.S.C. 6291 et seq., as amended)

describes two specific categories of unitary package air-conditioning units: small and large

equipment. The small commercial package air conditioning and heating equipment category

includes air-cooled, water-cooled, evaporatively cooled, or water source (not including ground

water source), electrically operated, unitary central air conditioners and central air-conditioning

heat pumps for commercial application with less than 135,000 British thermal units per hour

(Btu/h) cooling capacity. The large commercial package air conditioning and heating equipment

category includes all the same items, rated at or above 135,000 Btu/h and below 240,000 Btu/h

cooling capacity.

This rulemaking is limited to air-cooled package air conditioning and heating equipment

rated at or greater than 65,000 Btu/h, but less than 240,000 Btu/h. It does not cover watercooled, evaporatively cooled, or water-source equipment, nor does it cover equipment with

cooling capacities of less than 65,000 Btu/h. There are single package and split system air

conditioners and heat pumps within the two categories defined above. 

Single package air-conditioning equipment houses all of the components—compressor,

condenser and evaporator coils, expansion device, condenser and evaporator fans, and associated

operating and control devices—within a single cabinet. In most cases, this package unit is

installed on the roof of a commercial building with supply and return air ducts for the building

connected directly to the unit to provide conditioning for the building. In most installations, the

manufacturer or the contractor in the field incorporates a heating section (typically gas-fired or

electric resistance) within the equipment. Figure 3.2.1 shows the typical configuration of a

single package air conditioner.2
3-2

Figure 3.2.1 Single Package Configuration

Reprinted with permission from the Department of Water Resources

In a split system (also referred to as a remote condenser system), the compressor and the

condenser coil and fan are together as the condensing unit in a cabinet located outside the

building. Refrigerant piping connects the remote condensing unit to the separate indoor cabinet

that contains the indoor fan and the evaporator coil and expansion device. Figure 3.2.2 shows

the typical configuration of a split system air conditioner2
3-3

Figure 3.2.2 Split System Configuration

Reprinted with permission from the Idaho Department of

Water Resources

The Department has defined four equipment sub-categories for this rulemaking:

• Air-cooled single package and split system unitary air conditioners with a cooling

capacity of $65,000 to <135,000 Btu/h;

• Air-cooled single package and split system unitary heat pumps with a cooling capacity of

$65,000 to <135,000 Btu/h;

• Air-source single package and split system unitary air conditioners with a cooling

capacity of $135,000 to <240,000 Btu/h; and,

• Air-source single package and split system unitary heat pumps with a cooling capacity of

$135,000 to <240,000 Btu/h.

These categories are further subdivided based on the type of heating section or other

attributes. Table 3.2.1 shows the Air-Conditioning and Refrigeration Institute (ARI)

classifications of unitary air conditioners and heat pumps and how those classifications relate to

the equipment categories established for this rulemaking.
3-4

Table 3.2.1 ARI Equipment Types Covered in Rulemaking 3, 4

Unitary Commercial Product

Category

ARI Type Designation ARI Type Heat Rejection

Air-Cooled Single Package and Split

System Unitary Air Conditioners

Single Package: Air

Conditioner

SP-A Air Cooled

$65,000 to <135,000 Btu/h

Single Package: Year-Round

Air Conditioner

SPY-A Air Cooled

$135,000 to <240,000 Btu/h

Split System: Condensing Unit,

Coil with Blower

RCU-A-CB Air Cooled

Split System: Condensing Unit,

Coil Alone

RCU-A-C Air Cooled

Split System: Year-Round

Condensing Unit, Coil, and

Blower

RCUY-A-CB Air Cooled

Air-Source Single Package and Split

System Unitary Heat Pumps

Single Package: Heat Pump HSP-A Air Source

$65,000 to <135,000 Btu/h

Split System: Heat Pump with

Remote Outdoor Unit

HRCU-A-CB Air Source

$135,000 to <240,000 Btu/h

Split System: With Remote

Outdoor Unit, No Indoor Fan

HRCU-A-C Air Source

3.3 ROLE OF ASHRAE IN DEFINING EQUIPMENT CATEGORIES FOR

ANALYSIS

The language regulating this equipment under EPCA specifically requires that DOE

consider the efficiency levels promulgated in any updates to Standard 90.1 of the American

Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE)/Illuminating

Engineering Society of North America (IESNA) with respect to these equipment categories. 

Hence, the starting point for the categorization of the commercial unitary air-conditioning

equipment is the most recent revision to ASHRAE/IESNA Standard 90.1.

American National Standards Institute (ANSI)/ASHRAE/IESNA Standard 90.1-1999

(herein referred to as ASHRAE Standard 90.1-1999) provided the most recent update of

efficiency levels for the equipment, and prompted this rulemaking. The ASHRAE Standard

90.1-1999 provides minimum efficiency levels for equipment segregated into the five separate

equipment categories DOE has chosen for the analysis, as shown in Tables 3.3.1 through 3.3.3.
3-5

Table 3.3.1 ARI Designation Description

SP-A Single Package Air Conditioner, Air Cooled

SPY-A Year-Round Single Package Air Conditioner, Air Cooled

RCU-A-CB Split System: Condensing Unit, Coil with Blower, Air Cooled

HSP-A Single Package Heat Pump, Air Source

HRCU-A-CB Split System: Heat Pump with Remote Outdoor Unit, Air Source

Table 3.3.2 ASHRAE Standard 90.1-1989 Minimum Efficiency (EER) Levels 5

Equipment Type $65,000 to <135,000 Btu/h

cooling capacity

$135,000 to <240,000 Btu/h

cooling capacity

SP-A 8.9 8.5

SPY-A 8.9 8.5

RCU-A-CB 8.9 8.5

HSP-A 8.9 8.5

HRCU-A-CB 8.9 8.5 

Table 3.3.3 ASHRAE Standard 90.1-1999 Minimum Efficiency (EER) Levels 6

Equipment Type $65,000 to <135,000 Btu/h

cooling capacity

$135,000 to <240,000 Btu/h

cooling capacity

SP-A 10.3 9.7

SPY-A 10.1 9.5

RCU-A-CB 10.3 9.7

HSP-A 10.1 9.3

HRCU-A-CB 10.1 9.3

For this equipment, the incorporation of a non-electric resistance heating section (e.g.,

gas heating module or hot water coil) results in a 0.2 point energy efficiency ratio (EER)

deduction as compared to a similar capacity air conditioner or heat pump with no heating section

or with an electric resistance heating section. In fact, the 0.2 point EER deduction is shown as a

footnote in ASHRAE Standard 90.1-1999, but is more clearly shown in Tables 6.2.1A and

6.2.1B of the 2001 edition of the ASHRAE Standard 90.1.

For the purpose of this rulemaking, DOE chose not to create separate equipment

categories based on the presence and type of heating section. However, DOE used the 0.2 point

EER deduction to define the ASHRAE Standard 90.1-1999 baseline efficiency level for

equipment with non-electric resistance heating. This clearly applies to the year-round single
a

 Refers to minimum efficiency levels for single package air conditioner, air cooled (SP-A) and the year-round

single package air conditioner, air cooled (SPY-A) equipment shown in Table 3.3.3. 

3-6

package air conditioner, air cooled (SPY-A),a and split system year-round condensing unit, coil,

and blower, air-cooled (RCUY-A-CB) equipment, which have a gas heating section. In areas

where natural gas is readily available, a single package gas heating/electric cooling unit (such as

SPY-A) is often the system of choice for commercial building applications. However, DOE uses

the 0.2 point EER deduction to define the ASHRAE Standard 90.1-1999 baseline efficiency level

for equipment with a heating section other than electric resistance heat. The manufacturer

typically installs a gas heating capability in the form of a simple and relatively low-cost

component within the cabinet of a cooling-only unit to produce a line of gas heating/electric

cooling units.

3.4 EQUIPMENT MANUFACTURERS AND MARKET SHARES

3.4.1 ARI Section Members

The ARI provides “sections” for manufacturers who produce equipment or components

of equipment within specified section classifications. One such section is the “Unitary Large

Equipment Section” whose equipment scope includes:

1. one piece or matched split system air conditioners and air-source heat pumps with

cooling capacities of 65,000 Btu/h and over;

2. condensing units for air conditioning applications with cooling capacities of 65,000 Btu/h

and over; and

3. evaporator coils with or without blowers intended for use as a part of a matched split

system.

This ARI section includes air conditioners, air-source heat pumps, condensing units, and

coils, irrespective of their type of power source or type of refrigeration cycle. Further, this

section specifically excludes any equipment included within the scope of another ARI section.7

The ARI members with equipment in the unitary large equipment section are: 8

AAON, Inc. McQuay International

Carrier Corporation Mestek, Inc. 

Dunham-Bush, Inc. Modine Manufacturing Company

Goettl Air Conditioning, Inc. Rheem Manufacturing Company

Goodman Manufacturing Co. RSI/Typhoon

International Comfort Products The Trane Company

Lennox International, Inc. York International Corporation 

Mammoth, Inc. 
3-7

3.4.2 ARI Non-Member Manufacturers

Currently, all domestic equipment covered under this rulemaking are from firms, that are

members of ARI.

3.4.3 Current ARI Equipment Manufacturers

The ARI’s Unitary Large Equipment Directory (January 2002) lists many different

domestic manufacturers for this type of equipment. However, consolidation within the industry

has reduced the number of parent companies that manufacture similar equipment under different

labels. Table 3.4.1 shows the parent company, the associated ARI manufacturer names, and the

associated trade-names of equipment covered under this rulemaking.9

Table 3.4.1 Domestic Manufacturers with Respective Trade-names

Parent

Company

ARI Manufacturer Trade-name

AAON AAON, Inc AAON

Bard Bard Manufacturing Company Bard

Carrier

Airquest, Arcoaire,

Bryant, Bryant Heating and Cooling

Systems-Commercial,

Carrier, 

Carrier Air ConditioningCommercial,

Comfortmaker, 

Heil, ICP Commercial, Kenmore, 

Payne Heating And CoolingCommercial, Tempstar

Airquest, PA Series, PG Series, CHC 3 Phase Series,

PH Series, ACC 3 Phase Series, Arcoaire, HCC 3

Phase Series, Bryant, Durapac, Durapac Plus, High

Efficiency, Carrier, Centurion, Commercial Heat Pump

Weathermaker, Commercial Weathermaker, Gemini,

Weathermaker I, Weathermaster, Weathermaster I,

Comfortmaker, Heil, Icp Commercial, Kenmore,

Kenmore PG Series, Kenmore Ph Series, Kenmore PA

Series, Payne, Tempstar

Heat

Controller

Century by Heat Controller, Heat

Controller, Inc.

Century, Comfort-Aire 

Lennox Armstrong Air Conditioning, Inc.,

Lennox Industries, Inc. 

AAC Commercial, Armstrong, American Aire, AirEase, Concord, L Series, Lennox

Mestek Koldwave Koldwave Aire-King 

Modine Modine Manufacturing Company Modine Airsystems AC Series 

Nordyne Frigidaire, Gibson, Grandaire,

Nordyne, Inc., Philco, Tappan 

Frigidaire P4SM Series, Frigidaire R4GM Series,

Gibson P4SM Series, Gibson R4GM Series, Grandaire

P4SM Series, Grandaire R4GM Series, Nordyne P4SM

Series, Nordyne R4GM Series, Philco P4SM Series,

Philco R4GM Series, Tappan P4SM Series, Tappan

R4GM Series

Rheem Rheem Manufacturing Company,

Ruud Air Conditioning Division,

Weatherking Air Conditioning

Division 

Rheem 2-RAKA Series, Rheem 2-RALB Series,

Rheem RAWD Series, Rheem RAWE Series, Rheem

RJKB Series, Rheem RKKA Series, Rheem RKKB

Series, Rheem RKMA Series, Rheem RLKA Series,

Rheem RLKB Series, Rheem RLMA Series, Rheem

RLMB Series, Rheem RPWC Series, Ruud 2-UAKA

Series, Ruud 2-UALB Series, Ruud UAWD Series,
Parent

Company

ARI Manufacturer Trade-name

3-8

Ruud UAWE Series, Ruud UJKB Series, Ruud UKKA

Series, Ruud UKKB Series, Ruud UKMA Series, Ruud

UKMB Series, Ruud ULKA Series, Ruud ULKB

Series, Ruud ULMA Series, Ruud UPWC Series,

Weatherking 2-WAKA Series, Weatherking 2-WALB

Series, Weatherking WAWD Series, Weatherking

WJKB Series, Weatherking WKKA Series,

Weatherking WKKB Series, Weatherking WKMA

Series, Weatherking WKMB Series, Weatherking

WLKA Series, Weatherking WLKB Series,

Weatherking WLMA Series, Weatherking WLMB

Series, Weatherking WPWC 

Trane American Standard, Inc.,

The Trane Company

F. American-Standard WA, F. Standard, G. AmericanStandard TA, H. American-Standard, NB. Allegiance

14 - Epact, NC. Allegiance 12 - EPACT, NC. Heritage

12 - EPACT, ND. Allegiance 11 - EPACT, ND.

Heritage 11 - EPACT, NE. Allegiance 10 - EPACT,

NE. Heritage 10 - EPACT, H. Trane Weathertron, I.

Trane, NB. Xl 1400 - EPACT, NC. Xl 1200 - EPACT,

NC. Xl 1400 Weathertron - EPACT, ND. Xl 1200

Weathertron - EPACT, NE. XE 1200 - EPACT, NE.

XE 1200 Weathertron - EPACT, NF. XE 1100 -

EPACT, NF. XE 1100 Weathertron - EPACT, NG. XE

1000 - EPACT, NG. XE 1000 Weathertron - EPACT,

NH. Trane Weathertron - EPACT, NH. XB 1000 -

EPACT, NI. Trane - EPACT, Trane

York Airpro, Unitary Products

Coleman Evcon Air Conditioning

Products - Commercial

Coleman, Unitary Products Group

Coleman-Evcon, Unitary Products

Group Fraser - Johnston, Unitary

Products GroupFraser - Johnston,

Unitary Products Group -

CommercialLuxaire, Unitary

Products GroupLuxaire, Unitary

Products Group - CommercialYork,

Unitary Products GroupYork,

Unitary Products Group -

Commercial 

Airpro, Coleman, CSC LI, Cooler X,Cooler-10,

Coleman-Evcon 10, Dayton,HBA Series, ESE Series

Fraser-Johnston, HBA Series Luxaire, ERA Series,

HRA Series Stellar 2000 (HDB), Embassy Predator,

Sunline 2000, Sunline Plus, York
3-9

3.4.4 Market Share of Equipment under this Rulemaking

Four of the major companies listed in Table 3.4.1, namely Carrier, Trane, Lennox, and

York, hold the majority of the market. These four companies manufacture equipment in all four

of the major equipment categories that this rulemaking covers. Two other manufacturers with

significant portions of the niche market are AAON and Rheem. The AAON company

manufactures high-efficiency SPY-A equipment for sale almost exclusively to large corporate

accounts. Rheem produces equipment in each category but mostly smaller capacity models.

Among the six major manufacturers, Carrier dominates the market for commercial

unitary equipment, followed by Trane, which has a large share of the market, then Lennox and

York, each of whom has a medium share of the market, and finally AAON and Rheem, each

with a small but a strong niche market for a specific type of equipment.

3.5 MARKET EQUIPMENT: EFFICIENCY AND CAPACITY RANGE 

The ARI’s Unitary Large Equipment Directory (January 2002) shows that the six major

domestic manufacturers of equipment covered under this rulemaking produce units in most of

the five ARI equipment types: SPY-A, SP-A, RCU-A-CB, Single Package Heat Pump, Air

Source (HSP-A), and Heat Pump with Remote Outdoor Unit, Air Source (HRCU-A-CB). Many

of the ARI manufacturers listed have a relatively small range of commercial equipment. For

each of these equipment categories, Tables 3.5.1 to 3.5.5 show the six major domestic parent

corporations, the ARI manufacturer name, the range of capacities, the EER range, and the

number of models available from each of them (as listed in the January 2002 ARI Unitary Large

Equipment Directory).
3-10

Table 3.5.1 Market Information for Year-Round Single Package Air Conditioner, Air

Cooled (SPY-A)

Parent

Company ARI Manufacturer Name

Cooling

Capacity

Range

(kBtu/h) EER Range

Number

of Models

AAON, INC. AAON, INC. 75 to 236 9.1 to 11.6 106

CARRIER

BRYANT HEATING AND COOLING SYSTEMS -

COMMERCIAL

71 to 238 8.5 to 11.0 30

CARRIER CARRIER AIR CONDITIONING - COMMERCIAL 71 to 238 8.5 to 11.6 52

CARRIER AIRQUEST 72 to 91 9.0 to 9.1 10

CARRIER ARCOAIRE 72 to 91 9.0 to 9.1 10

CARRIER COMFORTMAKER 72 to 91 9.0 to 9.1 10

CARRIER HEIL 72 to 91 9.0 to 9.1 10

CARRIER ICP COMMERCIAL 72 to 91 9.0 to 9.1 10

CARRIER KENMORE 72 to 91 9.0 to 9.1 10

CARRIER TEMPSTAR 72 to 91 9.0 to 9.1 10

LENNOX ARMSTRONG AIR CONDITIONING, INC. 70 to 238 9.0 to 10.3 17

LENNOX LENNOX INDUSTRIES, INC. 71 to 238 9.0 to 11.5 25

RHEEM RHEEM MANUFACTURING COMPANY 72 to 232 8.7 to 10.3 90

RHEEM RUUD AIR CONDITIONING DIVISION 72 to 232 8.7 to 10.3 90

RHEEM WEATHERKING AIR CONDITIONING DIVISION 72 to 232 8.7 to 10.3 90

TRANE AMERICAN STANDARD, INC. 68 to 146 8.9 to 11.3 73

TRANE THE TRANE COMPANY 68 to 232 8.5 to 11.5 264

YORK COLEMAN EVCON AIR CONDITIONING

PRODUCTS - COMMERCIAL

75 to148 9.0 to 11.5 31

YORK YORK, UNITARY PRODUCTS GROUP -

COMMERCIAL

72 to 232 8.5 to 11.5 46

YORK FRASER - JOHNSTON, UNITARY PRODUCTS

GROUP - COMMERCIAL

72 to 232 8.5 to 11.5 42

YORK LUXAIRE, UNITARY PRODUCTS GROUP -

COMMERCIAL

72 to 232 8.5 to 11.5 42
3-11

Table 3.5.2 Market Information for Single Package Air Conditioner, Air Cooled (SP-A)

Parent

Company ARI Manufacturer Name

Cooling

Capacity

Range

(kBtu/h) EER Range

Number

of Models

AAON, INC. AAON, INC. 76 to 236 9.0 to 11.8 113

CARRIER

CARRIER AIR CONDITIONING - COMMERCIAL 71 to 238 8.5 to 11.6 49

CARRIER BRYANT HEATING AND COOLING SYSTEMS -

COMMERCIAL

71 to 238 8.7 to 11.0 23

LENNOX ARMSTRONG AIR CONDITIONING, INC. 72 to 238 9.0 to 10.3 13

LENNOX LENNOX INDUSTRIES, INC. 71 to 238 9.0 to 11.5 25

TRANE THE TRANE COMPANY 66 to 232 8.9 to 11.6 126

TRANE AMERICAN STANDARD, INC. 68 to 146 9.0 to 11.3 36

YORK

COLEMAN EVCON AIR CONDITIONING

PRODUCTS - COMMERCIAL

72 to 148 9.0 to 11.5 33

YORK FRASER - JOHNSTON, UNITARY PRODUCTS

GROUP - COMMERCIAL

72 to 234 8.5 to 11.5 50

YORK LUXAIRE, UNITARY PRODUCTS GROUP -

COMMERCIAL

72 to 234 8.5 to 11.5 51

YORK YORK, UNITARY PRODUCTS GROUP -

COMMERCIAL

72 to 234 8.5 to 11.5 55
3-12

Table 3.5.3 Market Information for Split System: Condensing Unit, Coil with Blower,

Air Cooled (RCU-A-CB)

Parent

Company ARI Manufacturer Name

Cooling

Capacity

Range

(kBtu/h)

EER

Range

Number

of Models

CARRIER AIRQUEST 74 9 3

CARRIER ARCOAIRE 74 9 3

CARRIER COMFORTMAKER 74 9 3

CARRIER ICP COMMERCIAL 74 9 3

CARRIER KENMORE 74 9 3

CARRIER TEMPSTAR 74 9 3

CARRIER BRYANT HEATING AND COOLING SYSTEMS -

COMMERCIAL

69 to 236 8.7 to 11.3 87

CARRIER CARRIER AIR CONDITIONING - COMMERCIAL 69 to 236 8.7 to 11.3 95

CARRIER PAYNE HEATING AND COOLING - COMMERCIAL 71 to 120 9.0 to 9.9 14

CARRIER HEIL 74 to 120 9.0 to 9.1 9

LENNOX LENNOX INDUSTRIES, INC. 65 to 240 9.0 to 10.2 48

RHEEM WEATHERKING AIR CONDITIONING DIVISION 67 to 208 8.8 to 10.3 66

RHEEM RHEEM MANUFACTURING COMPANY 67 to 238 8.8 to 10.3 91

RHEEM RUUD AIR CONDITIONING DIVISION 67 to 238 8.8 to 10.3 89

TRANE AMERICAN STANDARD, INC. 65 to 238 8.5 to 12.0 155

TRANE THE TRANE COMPANY 65 to 238 8.5 to 12.0 106

YORK AIRPRO, UNITARY PRODUCTS GROUP 72 to 87 9.2 to 9.9 2

YORK COLEMAN, UNITARY PRODUCTS GROUP 72 to 87 9.2 to 9.9 2

YORK COLEMAN-EVCON, UNITARY PRODUCTS GROUP 73 to 89 9.3 to 10.0 2

YORK FRASER - JOHNSTON, UNITARY PRODUCTS GROUP 73 to 89 9.3 to 10.0 2

YORK LUXAIRE, UNITARY PRODUCTS GROUP 73 to 89 9.3 to 10.0 2

YORK YORK, UNITARY PRODUCTS GROUP 73 to 89 9.3 to 10.0 3

YORK LUXAIRE, UNITARY PRODUCTS GROUP -

COMMERCIAL

88 to 140 8.9 to 9.5 5

YORK YORK, UNITARY PRODUCTS GROUP -

COMMERCIAL

88 to 238 8.5 to 9.5 9
3-13

Table 3.5.4 Market Information for Single Package Heat Pump, Air Source (HSP-A)

Parent

Company ARI Manufacturer Name

Cooling

Capacity

Range

(kBtu/h)

EER

Range

Number

of Models

CARRIER AIRQUEST 74 8.9 3

CARRIER ARCOAIRE 74 8.9 3

CARRIER COMFORTMAKER 74 8.9 3

CARRIER HEIL 74 8.9 3

CARRIER ICP COMMERCIAL 74 8.9 3 

CARRIER KENMORE 74 8.9 3

CARRIER TEMPSTAR 74 8.9 3

CARRIER BRYANT HEATING AND COOLING SYSTEMS - 

COMMERCIAL

68 to 172 8.9 to 10.3 12

CARRIER CARRIER AIR CONDITIONING - COMMERCIAL 68 to 230 8.9 to 10.5 15

LENNOX ARMSTRONG AIR CONDITIONING, INC. 72 to 226 9.0 to 11.0 7

LENNOX LENNOX INDUSTRIES, INC. 72 to 226 9.0 to 11.5 8

RHEEM RHEEM MANUFACTURING COMPANY 89 to 117 9.2 6

RHEEM RUUD AIR CONDITIONING DIVISION 89 to 117 9.2 6

RHEEM WEATHERKING AIR CONDITIONING DIVISION 89 to 117 9.2 6

TRANE THE TRANE COMPANY 70 to 230 8.9 to 10.6 43

TRANE AMERICAN STANDARD, INC. 71 to 146 8.9 to 9.4 10

YORK FRASER - JOHNSTON, UNITARY PRODUCTS GROUP 87 to 222 8.5 to 10.7 11

YORK LUXAIRE, UNITARY PRODUCTS GROUP - 

COMMERCIAL

87 to 222 8.5 to 10.7 11

YORK YORK, UNITARY PRODUCTS GROUP -

COMMERCIAL

87 to 222 8.5 to 10.7 11

YORK COLEMAN EVCON AIR CONDITIONING PRODUCTS

-COMMERCIAL

90 to 144 9.3 to 10.7 3
3-14

Table 3.5.5 Market Information for Split System: Heat Pump with Remote Outdoor

Unit, Air Source (HRCU-A-CB)

Parent

Company ARI Manufacturer Name

Cooling

Capacity

Range

(kBtu/h)

EER

Range

Number

of Models

CARRIER AIRQUEST 75 8.9 3

CARRIER ARCOAIRE 75 8.9 3

CARRIER BRYANT 75 8.9 3

CARRIER CARRIER 75 8.9 3

CARRIER COMFORTMAKER 75 8.9 3

CARRIER HEIL 75 8.9 3

CARRIER ICP COMMERCIAL 75 8.9 3

CARRIER KENMORE 75 8.9 3

CARRIER TEMPSTAR 75 8.9 3

CARRIER PAYNE HEATING AND COOLING - COMMERCIAL 86 9.8 1

CARRIER BRYANT HEATING AND COOLING SYSTEMS -

COMMERCIAL

86 to 172 8.8 to 9.8 3

CARRIER CARRIER AIR CONDITIONING - COMMERCIAL 86 to 172 8.8 to 9.8 3

LENNOX LENNOX INDUSTRIES, INC. 87 to 112 9.2 to 9.4 12

RHEEM RHEEM MANUFACTURING COMPANY 92 to 118 9.2 to 9.6 6

RHEEM RUUD AIR CONDITIONING DIVISION 92 to 118 9.2 to 9.6 6

RHEEM WEATHERKING AIR CONDITIONING DIVISION 92 to 118 9.2 to 9.6 6

TRANE AMERICAN STANDARD, INC. 66 to 234 8.9 to 11.0 70

TRANE THE TRANE COMPANY 68 to 234 9.0 to 11.2 70

YORK AIRPRO, UNITARY PRODUCTS GROUP 89 9.4 1

YORK COLEMAN, UNITARY PRODUCTS GROUP 89 9.4 1

YORK COLEMAN-EVCON, UNITARY PRODUCTS GROUP 89 9.4 1

YORK YORK, UNITARY PRODUCTS GROUP 89 9.4 1

YORK FRASER - JOHNSTON, UNITARY PRODUCTS

GROUP

121 9 1

YORK LUXAIRE, UNITARY PRODUCTS GROUP -

COMMERCIAL

121 9 1

YORK YORK, UNITARY PRODUCTS GROUP -

COMMERCIAL

91 to 214 8.6 to 9.2 4
3-15

3.5.1 Overview of Equipment Availability

A summary of the information in Tables 3.5.1 through 3.5.5 is given below.

Year-Round Single Package Air Conditioner, Air Cooled (SPY-A)

All six major manufacturers market equipment under this category. The equipment

covers a broad range of efficiencies (8.5 to 11.6 EER) and cooling capacities (70,000 Btu/h to

238,000 Btu/h). Parent company Rheem makes models that minimally comply with ASHRAE

Standard 90.1-1999 efficiency levels. Carrier has a long list of manufacturer names, which

appear to market the same models under different brand names (See Table 3.5.1 above).

Single Package Air Conditioner, Air Cooled (SP-A)

Five of the major manufacturers (all except Rheem) market equipment under this

category. Rheem does not manufacture single package air conditioners without a gas heating

section. The equipment covers a broad range of efficiencies (8.5 to 11.8 EER) and cooling

capacities (66,000 Btu/h to 238,000 Btu/h). Lennox manufactures models that minimally

comply with ASHRAE Standard 90.1-1999 efficiency levels (See Table 3.5.2 above).

Split System: Condensing Unit, Coil with Blower, Air Cooled (RCU-A-CB)

Five of the major manufacturers (all except AAON) market equipment under this

category. The equipment covers a broad range of efficiencies (8.5 to 12.0 EER) and cooling

capacities (65,000 Btu/h to 240,000 Btu/h). York and Carrier own many separate manufacturing

brands and appear to market the same base model under different brand names. These models

are probably derivatives of residential models and, for the most part, do not comply with

ASHRAE Standard 90.1-1999 (See Table 3.5.3 above).

Single Package Heat Pump, Air Source (HSP-A)

Five of the major manufacturers (all except AAON) market equipment under this

category. The equipment covers a broad range of efficiencies (8.5 to 11.5 EER) and cooling

capacities (68,000 Btu/h to 230,000 Btu/h). Heat pump cooling efficiencies appear slightly

lower than air conditioner efficiencies based on a review of the January 2002 ARI Unitary Large

Equipment Directory. None of the Rheem models shown in the 2002 directory meet ASHRAE

Standard 90.1-1999 efficiency levels. Lennox is the only parent company with equipment

showing EERs of 11.0 or higher (See Table 3.5.4 above).

Split System: Heat Pump with Remote Outdoor Unit, Air Source (HRCU-A-CB)

Five of the major manufacturers (all except AAON) market equipment under this

category. The equipment covers a broad range of efficiencies (8.6 to 11.2 EER) and cooling

capacities (66,000 Btu/h to 234,000 Btu/h). Rheem, Carrier, and Lennox models do not meet

ASHRAE Standard 90.1-1999 efficiency levels. Carrier has a long list of manufacturer names,

which appear to market the same models under different brand names. Trane is the only parent
3-16

0

50,000

100,000

150,000

200,000

250,000

1993 1994 1995 1996 1997 1998 1999 2000

Year

Shipments (Number of Units)

65,000 to <135,000 Btu/h A C Split System/Single

Package Y ear-Round/Non Y ear-Round

135,000 to 250,000 Btu/h A C Split System/Single

Package Y ear-Round/Non Y ear-Round

>65,000 Btu/h A ir Source Heat Pump

Figure 3.6.1 Number of Units Shipped for Combined Split System and Single Package Air

Conditioners and Air-Source Heat Pumps

Source: U.S. Census, 2001

company with equipment efficiency levels meeting or exceeding ASHRAE Standard 90.1-1999

levels (See Table 3.5.5 above).

3.6 HISTORICAL SHIPMENTS AND EFFICIENCIES

3.6.1 Census Data

The U.S. Census Manufacturing Reports provide information related to equipment

shipments by domestic manufacturers.10 The reports use cooling capacity ranges expressed in a

manner different from those in the present DOE rulemaking. The major classifications presented

in the U.S. Census data for single package and split system air conditioners are for cooling

capacities 65,000 Btu/h to <135,000 Btu/h and 135,000 Btu/h to 250,000 Btu/h. For heat pumps,

U.S. Census data report only shipments of units with cooling capacities greater than 65,000

Btu/h.

Figure 3.6.1 compares the number of units shipped from 1993 to 2000 for split system

and single package year-round and non year-round air-conditioning equipment for 65,000 Btu/h

to <135,000 Btu/h, split system and single package year-round and non year-round airconditioning equipment for 135,000 Btu/h to 250,000 Btu/h, and heat pumps for greater than

65,000 Btu/h.
3-17

0

20,000

40,000

60,000

80,000

100,000

120,000

140,000

160,000

180,000

200,000

65,000-135,000 Btu/h A ir

Conditioners

135,000-250,000 Btu/h

A ir Conditioners

>65,000 Btu/h A ir Source

Heat Pumps

Cooling Capacity Range

Quantity of Shipments (Number of Units)

Air Source Heat Pump (Split System)

Air Source Heat Pump (Single Package)

Split System Air Conditioners

Single Package Air Conditioner

Year-Round Air Conditioners

Figure 3.6.2 Year 2000 Total Number of Units Shipped for Large Unitary Equipment Based

on Cooling Capacity Range

Source: U.S. Census, 2001

The number of split system and single package air conditioners shipped in the $65,000

Btu/h to <135,000 Btu/h cooling capacity range grew approximately 8.1 percent per year while

the number of $135,000 Btu/h to 250,000 Btu/h cooling capacity equipment shipped grew by

approximately 5 percent per year. The number of air-source heat pump units shipped, while

numerically much smaller, also grew at an average of 7.1 percent per year, with a brief fall in

1995 and recovery in 1998.

Using the 2001 U.S. Census data, the DOE broke down single package, year-round, and

split system air conditioners, and single package and split system heat pumps within their

respective capacity ranges. Figure 3.6.2 shows the breakdown by total number of units shipped,

and Figure 3.6.3 shows the breakdown by percentage of units shipped.
3-18

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

65,000-135,000

Btu/h Air

Conditioners

135,000-250,000

Btu/h Air

Conditioners

>65,000 Btu/h Air

Source Heat

Pumps

Cooling Capacity Range

Quantity of Shipments (Percentage of Units)

Air Source Heat Pump

(Split System)

Air Source Heat Pump

(Single Package)

Split System Air

Conditioner

Single Package Air

Conditioner

Year-Round Air

Conditioners

Figure 3.6.3 Year 2000 Percentage of Units Shipped for Large Unitary Equipment Based on

Cooling Capacity Range

Source: U.S. Census, 2001

Figures 3.6.2 and 3.6.3 indicate that year-round single package air conditioners

(equipment with gas heating sections) account for approximately 50 percent of the market for

equipment covered under this rulemaking, and approximately 56 percent of all air-conditioning

equipment for both size categories (with heat pumps making up the rest). Split systems account

for approximately 23 percent of the market. The remaining 21 percent of the air conditioning

market is made up of single package units sold without a heating section. In total, for the

equipment under this rulemaking, single package equipment makes up approximately 77 percent

and heat pumps make up approximately 10 percent, with heat pumps divided between split

systems making up 58 percent, and single package systems making up the remaining 42 percent

of the heat pumps. Although the Census data do not provide shipments by size category for this

heat pump equipment, data from ARI suggest that 90 percent of heat pump shipments were in the

65,000 Btu/h to 135,000 Btu/h category. Although split systems make up 58 percent of heat

pump shipments, they make up only 42 percent of the shipped value. Therefore, it appears the

single package units sold tend to be larger and more expensive.
3-19

3.7 BASELINE EFFICIENCY AND IMPACT OF BUILDING CODES 

3.7.1 Efficiency Links between Building Codes and Federal Legislation

The unitary equipment covered under this rulemaking is also covered under

ANSI/ASHRAE/IESNA Standard 90.1 Energy Standard for Buildings Except Low-Rise

Residential Buildings. While this standard by itself is a voluntary building energy standard, the

Energy Conservation and Production Act, 42 U.S.C. 6831 et seq., as amended (ECPA),

specifically requires that:

Whenever the provisions of ASHRAE Standard 90.1-1989 (or any successor standard) regarding

energy efficiency in commercial buildings are revised, the Secretary shall, not later than 12

months after the date of such revision, determine whether such revision will improve energy

efficiency in commercial buildings. The Secretary shall publish a notice of such determination in

the Federal Register.

If the Secretary makes an affirmative determination under subparagraph (A), each State shall, 

not later than 2 years after the date of the publication of such determination, certify that it has 

reviewed and updated the provisions of its commercial building code regarding energy efficiency 

in accordance with the revised standard for which such determination was made. Such 

certification shall include a demonstration that the provisions of such State's commercial building 

code regarding energy efficiency meet or exceed such revised standard.

(42 U.S.C. 6833(b)(2)(A) and (B)(i)) The above requirements are separate from the

requirement that DOE modify manufacturing efficiency standards for this equipment to meet or

exceed the minimum efficiency levels specified in the most recent updated version of ASHRAE

Standard 90.1, as explained in EPCA. (42 U.S.C. 6313(a)(6)(A)) The last two versions of the

standard are: ANSI/ASHRAE/IESNA 90.1-1999 and ANSI/ASHRAE/IESNA 90.1-2001

published. These two standards are available through ASHRAE "Standards and Guidelines" at

http://resourcecenter.ashrae.org/store/ashrae (January 2004). Both are undergoing DOE review.

While these requirements for manufacturing and building energy standards seem to be

very similar, several important differences exist in terms of their impact on commercial

buildings:

1. The ECPA requirement that States update their building energy standards hinges upon a

positive determination of energy savings by DOE. Until DOE makes such a

determination, States are under no obligation to update these building energy standard

requirements.

2. The ECPA building energy standard requirements do not specifically address each

individual component of the standard. Thus, a State may choose not to update the

efficiency of a specific class of equipment if it can show that its building standard can

meet or exceed the latest update to Standard 90.1-1999 without updates to the equipment

section.
3-20

3. The requirements under ECPA pertaining to building standards do not necessarily apply

to alterations made to existing buildings. A State may choose to apply them to building

alterations, but it is not a requirement. Hence, the ECPA building energy standard

requirements do not necessarily impact the majority of shipments of the equipment being

analyzed, which are shipped to existing buildings.

4. The DOE’s ability to enforce the manufacturing standards of these equipment efficiency

levels (EPCA requirement) is easier to accomplish than ensuring that higher efficiency

equipment is actually installed in individual buildings in compliance with voluntary

building energy standards (an ECPA requirement for States to enforce). 

5. Even if all States adopted and enforced the ASHRAE requirements for this equipment,

the compliance deadline for higher equipment efficiency levels in building energy

standards based on ASHRAE Standard 90.1-1999 is different from the compliance

deadline for manufacturers (a date that will be determined when the final rule is

published).

For these reasons, DOE expects that there will be an increase in the average installed

equipment efficiency as a direct result of the propagation of new building energy standards based

on ASHRAE Standard 90.1-1999 or ASHRAE Standard 90.1-2001. However, it is unclear how

fast that propagation will occur. It is doubtful that it will occur at the same time for all states,

based on the past history for state adoption of ANSI/ASHRAE/IES 90.1-1989, which, ten years

after passage of the Energy Policy Act (EPAct), is still not a basis for building energy standards

in 12 out of the 50 states.

Both ASHRAE Standard 90.1-1999 and ASHRAE Standard 90.1-2001 require that,

where new HVAC equipment is a direct replacement for existing equipment, the new equipment

(including air conditioners and heat pumps) shall comply with the specific minimum efficiency

standards shown in ASHRAE 90.1. However, building inspectors are unlikely to enforce this

requirement and, as a result, the ASHRAE Standard 90.1-1999 requirements will impact new

construction more than replacement construction.

3.7.2 Manufacturer Equipment Lines and Efficiency Before and After October 2001

The ASHRAE Standard 90.1-1999 lists the efficiency requirements for installation in

new or existing buildings as of October 29, 2001. The Department expected that most major

commercial unitary equipment manufacturers would offer unitary equipment which meets or

exceeds these levels. However, it was generally impossible to know the extent to which their

equipment lines would move to the new efficiency levels. This was not necessarily true of the

smaller players in the market, and it was not universally true for all equipment categories or

capacities either. Several manufacturers appear to be developing newer equipment lines that

meet or exceed ASHRAE Standard 90.1-1999 energy efficiency levels (e.g., Lennox L-Series). 

Certain manufacturers appear to offer key equipment in each line specifically designed to just

meet the new ASHRAE Standard 90.1-1999 energy efficiency levels. A comparison of the July

2001 and January 2002 ARI Large Equipment Directories underscores this market transition.
3-21

Table 3.7.1 summarizes equipment efficiency data from the July 2001 ARI Unitary Large

Equipment Directory for SPY-A equipment for the six major U.S. manufacturers.11 Table 3.7.2

summarizes equipment efficiency data from the January 2002 ARI Unitary Large Equipment

Directory for SPY-A equipment. 10

Table 3.7.1 July 2001 Efficiency Levels for Year-Round Single Package Air Conditioner,

Air Cooled (SPY-A)

Year-Round Single Package Air Conditioner, Air Cooled, $65,000 Btu/h to < 135,000 Btu/h

EER York Trane Carrier Lennox Rheem AAON

8.9 # x < 9.3

9.3 # x < 9.7

 9.7 # x < 10.1

10.1 # x < 10.5

10.5 # x < 10.9

10.9 # x < 11.3

11.3 # x < 11.7

11.7 # x <12.1

12.1 # x < 12.5

$12.5

Year-Round Single Package Air Conditioner, Air Cooled, $135,000 Btu/h to < 240,000 Btu/h

EER York Trane Carrier Lennox Rheem AAON

8.5 # x < 8.9

8.9 # x < 9.2

9.2 # x < 9.5

9.5 # x < 9.9

 9.9 # x < 10.3

10.3 # x < 10.7

10.7 # x < 11.1

11.1 # x < 11.5

$11.5

 Available Unavailable

Source: ARI, Unitary Large Equipment Directory, July 2001
3-22

Table 3.7.2 January 2002 Efficiency Levels for Year-Round Single Package Air

Conditioner, Air Cooled (SPY-A)

Year-Round Single Package Air Conditioner, Air Cooled, $65,000 Btu/h to < 135,000 Btu/h

EER York Trane Carrier Lennox Rheem AAON

8.9 # x < 9.3

9.3 # x < 9.7

 9.7 # x < 10.1

10.1 # x < 10.5

10.5 # x < 10.9

10.9 # x < 11.3

11.3 # x < 11.7

11.7 # x < 12.1

12.1 # x < 12.5

$12.5

Year-Round Single Package Air Conditioner, Air Cooled, $135,000 Btu/h to < 240,000 Btu/h

EER York Trane Carrier Lennox Rheem AAON

8.5 # x < 8.9

8.9 # x < 9.2

9.2 # x < 9.5

9.5 # x < 9.9

 9.9 # x < 10.3

10.3 # x < 10.7

10.7 # x < 11.1

11.1 # x < 11.5

$11.5

 Available Unavailable

Source: ARI, Unitary Large Equipment Directory, January 2002.

Comparison of Tables 3.7.1 and 3.7.2 shows several significant changes in model

availability in a six-month period. A detailed comparison of the 2001 and 2002 directories

indicated that in the $65,000 Btu/h to 134,999 Btu/h size category, Lennox deleted two of its

models from the 9.7 to 10.0 efficiency range, but added one model in the 11.3 EER range. Trane

added nine models in the EER of 10.5 to 10.8 range. Carrier also added six models with

efficiencies in the 10.1 to 10.5 range. In the larger size category, Trane deleted 12 models in the

8.9 to 9.1 efficiency range. The AAON company deleted 20 models in the 10.3 to 10.7

efficiency range.

Perhaps more importantly, for the six major manufacturers, the July 2001 ARI Unitary

Large Equipment Directory listed 289 models as “deleted.” The January 2002 ARI Unitary

Large Equipment Directory listed 781 models as “deleted.” This means that a total of 492

models were deleted between July 2001 to July 2002. It is not clear whether these “deleted”

models have been discontinued or are not being rated any more.
3-23

3.7.3 ASHRAE Standard 90.1-1999 Compliance by Manufacturers and Equipment Type

as of January 2002

Tables 3.7.3 and 3.7.4 below summarize the availability of five key equipment types for

each of the six major manufacturers (York, Carrier, Lennox, AAON, Trane and Rheem), for the

two major capacity categories ($65,000 Btu/h to <135,000 Btu/h and $135,000 Btu/h to

<240,000 Btu/h) covered by this rulemaking.7, 10 Cells indicating “No Models” identify those

manufacturers who do not market equipment under a specific equipment type. Cells indicating

“At or Above” identify those manufacturers who market a complete line of equipment in a wide

range of cooling capacities that are at or above the ASHRAE Standard 90.1-1999 minimum

efficiency levels. Cells indicating “Below” identify those manufacturers whose equipment are

below the ASHRAE Standard 90.1-1999 efficiency levels.

Table 3.7.3 Compliance with ASHRAE Standard 90.1-1999 levels for the $65,000 to

<135,000 Btu/h Cooling Capacity Range: Major Manufacturers

AAON Carrier Lennox Trane Rheem York

Split System Air

Cooled Condensing

Unit, Coil with

Blower

No

Models

At or Above Not Enough

Information*

At or

Above

At or Above Below

Year-Round Single

Package Air

Conditioner,

 Air Cooled

At or

Above

At or Above At or Above At or

Above

At or Above At or

Above 

Single Package Air

Conditioner, 

Air Cooled

At or

Above

At or Above At or Above At or

Above

No 

Models

At or

Above

Split System Heat

Pump with Remote

Outdoor Unit

 Air Source

No 

Models

Below

(small

capacity

units

<90kBtu/h)

 Below (six

products with

EER of 9.2 to

9.4)

At or

Above

Below (models

with capacities

of 92 and 117

kBtu/h have

EER of 9.2)

No 

Models

Single Package Heat

Pump Air Source

No 

Models

Below

(small

capacity

units

<90kBtu/h)

At or Above

(two products

comply)

At or

Above

Below (models

with capacities

of 92 and 118

kBtu/h have

EER of 9.2)

At or

Above

* Lennox markets four products with an EER of 10.2. Two of the models have horizontal blowers, while the other

two have vertical blowers. Lennox literature does not state whether or not the heating section was assembled on

the indoor blower when product was tested. For this reason, it was not possible to conclude whether or not the

product complies with minimum efficiencies per ASHRAE Standard 90.1-1999. In conclusion, four products

marketed under different brands seem to be actually one small size, basic model with a vertical or horizontal

blower. 
3-24

Table 3.7.4 Compliance with ASHRAE Standard 90.1-1999 Levels for Equipment in the

$135,000 to < 240,000 Btu/h Cooling Capacity Range: Major Manufacturers

AAON Carrier Lennox Trane Rheem York

Split System

Air-Cooled

Condensing Unit,

Coil with Blower

No 

Models

Below 2 Below 5 At or Above Below Below

Year-Round

Single-Package

Air-Conditioner,

Air-Cooled

At or

Above

Below 3 Below 6 Below 8 Below 9 Below 10

Single-Package

Air-Conditioner,

Air-Cooled

Below 1 Below 4 Below 7 At or Above No 

Models

Below 11

Split System Heat

Pump with Remote

Outdoor Unit

Air-Source

No 

Models

Below No 

Models 

At or Above No 

Models

Below

Single-Package Heat

Pump Air-Source

No 

Models 

At or

Above

At or

Above 

At or Above No 

Models

Below 12

1 AAON markets a large number of products with a wide range of capacities; all but three models

comply. 2

 Carrier markets the same 11 basic models under each of two brand names. Only three of the 11 models

comply in the EER range of 9.8 to 10.0.

3 Carrier markets a large number of products with a wide range of capacities; only 10 of 17 basic models

comply. 4 Carrier markets a large number of products with a wide range of capacities; only 10 of 17 basic models

comply.

5 Lennox markets seven models under two brands; the Lennox brand is the only one that complies. 6 Lennox markets a large number of products with a wide range of capacities; only four models, from the

 Lennox brand, comply with EERs in the range of 10.0 to 11.5.

7 Lennox markets a large number of products with a wide range of capacities; only four models, from the

Lennox brand, comply with EERs in the range of 9.9 to 11.5.

8 Trane markets fifteen basic models with a wide range of capacities; two-thirds of the units comply.

9 Rheem markets six basic models with a wide range of capacities; only half of the models comply.

10 York markets a large number of products with a wide range of capacities; only three models from

different brands comply with EERs in the range of 9.5 to 10.0. 11 York markets a large number of products with a wide range of capacities; only three models from 

different brands comply with EERs in the range of 9.7 to 10.0. 12 York markets three models under two brand names; one model under one brand name complies.

Small manufacturers for the two major capacity categories covered by this rulemaking of

$65,000 Btu/h to <135,000 Btu/h and $135,000 Btu/h to <240,000 Btu/h, have their own

particular equipment and efficiencies per the January 2002 ARI Unitary Large Equipment

Directory. A short summary for each manufacturer is presented below:

• Bard Manufacturing Company markets two SP-A models in the lower capacity category,

both with an EER of 9.0, with basic capacities of 67,000 Btu/h and 68,000 Btu/h. 
3-25

• Goettl Air-Conditioning, Inc., markets commercial unitary air-conditioning equipment

models HSP-A and SP-A in a wide range of sizes (65,000 Btu/h to 120,000 Btu/h) for the

lower capacity category.

• Goodman Manufacturing Company markets commercial unitary air-conditioning

equipment models SP-A, SPY-A, RCU-A-C (Split System: Air Cooled Condensing Unit,

Coil Alone), RCUY-A-CB, and HRCU-A-CB in sizes covered under this rulemaking. 

None of the models complies with ASHRAE Standard 90.1-1999 standard; models meet

the minimum 1992 EPCA efficiency level.

• Heat Controller, Inc., makes a wide range of commercial unitary air-conditioning

equipment under the Comfort-Aire brand. Among the models are four small SPY-A

models under 90,000 Btu/h, a long list of RCU-A-CB (Split System: Condensing Unit,

Coil with Blower, Air Cooled) equipment in both capacity categories, and RCU-A-C (no

blower included) equipment between sizes of 90,000 Btu/h to 120,000 Btu/h only.

• Mestek, Inc. markets commercial unitary air-conditioning equipment under the name

Koldwave. This equipment is unusual or niche equipment. Models are classified under

SP-A in the ARI directory for capacities in the 92,000 Btu/h to 160,000 Btu/h range. 

None of the models complies with ASHRAE Standard 90.1-1999 levels and have very

low integrated part-load values (IPLV) of 6.3 to 7.2.

• Modine Manufacturing Company markets a large amount of commercial unitary airconditioning equipment over a wide range of sizes in the 65,000 Btu/h to <135,000 Btu/h

category. Equipment in this category complies with ASHRAE Standard 90.1-1999

standards. Modine also manufactures some equipment sized at 142,000 Btu/h, which

does not comply with ASHRAE Standard 90.1-1999 levels.

• Nordyne, Inc. markets SP-A models of commercial unitary air-conditioning equipment in

two basic sizes (90,000 Btu/h and 120,000 Btu/h) under Frigidaire, Nordyne, Philco, and

Tappan brands, among others. None of the equipment complies with ASHRAE

standards, but models meet the minimum efficiency levels set by EPCA in 1992.

The large number of models listed for each parent company in the ARI database may be

the result of similar models manufactured under different “brands,” or manufactured with

relatively superficial design changes around a base model. To estimate the actual number of

these, there is a technique that clusters models with a unique combination of values for a specific

list of engineering parameters. Table 3.7.5 shows the selected parameters.
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Table 3.7.5 Parameters Used in Algorithm to Identify Base Models from Jan. 2002 ARI

Data

ARI Directory Parameter Name Parameter Description

ARI MFR Name Manufacturer name

aritype Equipment category (e.g., SPY-A)

chcap High cooling capacity (kBtu/h)

cheer High cooling energy efficiency ratio

iplv Integrated part load value

hhcap High heating capacity (kBtu/h)

hlcap Low heating capacity (kBtu/h)

hhcop High heating coefficient of performance

hlcop Low heating coefficient of performance

Results from this query showed several clusters composed of a number of models with

equal values for the parameters for a specific manufacturer under a specific equipment category. 

Each cluster of models counts as one base model. Table 3.7.6 presents the results of this analysis

and the number of these “base models.”
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Source: January 2002 ARI Large Unitary Equipment Directory High Meets 90.1-1999

Low Below 90.1-1999

ARI Designation

Cooling Capacity 

Range (kBtu/h) 65 to 135 135 to 240 65 to 135 135 to 240 65 to 135 135 to 240 65 to 135 135 to 240 65 to 135 135 to 240

High 18 33 20 22 0 0 0 0 0 0

Low 7 2 8 0 0 0 0 0 0 0

High 7 10 7 11 28 3 2 3 0 0

Low 6 8 6 9 30 9 9 0 3 1

High 6 4 6 4 0 2 3 4 0 0

Low 7 7 8 7 13 5 1 0 4 0

High 0 0 4 3 2 0 0 0 0 0

Low 0 0 7 3 25 10 2 0 2 0

High 14 7 10 13 29 4 4 7 19 2

Low 12 0 17 3 63 0 6 0 32 0

High 4 3 4 6 0 0 2 1 0 0

Low 10 14 10 4 9 5 2 2 3 2

NOTE: Numbers inside cells account for number of base models in each category.

 ASHRAE 90.1-1999 Minimum Efficiency Levels

 ARI Designation Description: kBtu/h 65 to 135 135 to 240

SP-A 10.3 9.7

SP-A Single Package Air Conditioner, Air Cooled SPY-A 10.1 9.5

SPY-A Year-Round Single Package Air Conditioner, Air Cooled RCU-A-CB 10.3 9.7

RCU-A-CB Split System Air Cooled Condensing Unit, Coil with Blower HSP-A 10.1 9.3

HSP-A Single Package Heat Pump Air Source HRCU-A-CB 10.1 9.3

HRCU-A-CB Split System Heat Pump with Remote Outdoor Unit Air Source

RCU-A-CB

AAON

SP-A SPY-A HSP-A HRCU-A-CB

YORK

CARRIER

LENNOX

RHEEM

TRANE

Table 3.7.6 Manufacturer Base Models and ASHRAE Standard 90.1-1999 Compliance

3.7.4 Other Efficiency Descriptors (COP, IPLV)

Heating coefficient of performance (COP) is a required performance parameter for heat

pump equipment covered under this rulemaking. While cooling efficiency, i.e., energy

efficiency ratio (EER), is the prime criterion for regulation of this equipment, heat pump heating

performance will also be regulated under this rulemaking. Only high temperature (47°F) COP is

currently regulated under EPCA. However, ASHRAE Standards 90.1-1999 and 90.1-2001 list

both high temperature and low temperature (17°F) COP values. Either or both efficiency criteria

could form the basis of DOE’s regulation.

Figures 3.7.1 and 3.7.2 show scatter plots of EER compared to high and low temperature

heating COP for single package heat pumps (HSP-A) and for split systems (HRCU-A-CB),

respectively. ASHRAE Standard 90.1-1999 requires high temperature heating COPs of 3.2 and

3.1 for the $65,000 Btu/h to <135,000 Btu/h category and the $135,000 Btu/h to <240,000 Btu/h

category, respectively. Low temperature COPs are 2.2 and 2.0, respectively, for each size

category. Figures 3.7.1 and 3.7.2 show that virtually all heat pumps above an EER of 10.1 meet

the high temperature COP requirement. However, only a few appear to meet the low

temperature COP requirements. Note that COP appears to be a relatively weak function of EER.
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1.0

1.5

2.0

2.5

3.0

3.5

4.0

8.0 8.5 9.0 9.5 10.0 10.5 11.0 11.5 12.0

Energy Efficiency Ratio

Coefficient of Performance

High Temperature Coefficient of Performance

Low Temperature Coefficient of Performance

Figure 3.7.1 Heating COP versus EER for Single Package Heat Pump, Air Source (HSP-A),

$65,000 Btu/h to <240,000 Btu/h Cooling Capacity

1.0

1.5

2.0

2.5

3.0

3.5

4.0

8.0 8.5 9.0 9.5 10.0 10.5 11.0 11.5 12.0

Energy Efficiency Ratio

Coefficient of Performance

High Temperature Coefficient of Performance

Low Temperature Coefficient of Performance

Figure 3.7.2 Heating COP Compared to EER for Split System: Heat Pump with Remote

Outdoor Unit, Air Source (HRCH-A-B), $65,000 Btu/h to <240,000 Btu/h

Cooling Capacity
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6.0

7.0

8.0

9.0

10.0

11.0

12.0

13.0

14.0

8.0 8.5 9.0 9.5 10.0 10.5 11.0 11.5 12.0

Energy Efficiency Ratio

Integrated Part Load value

Figure 3.7.3 IPLV Compared to EER for Year-Round Single Package Air Conditioner, Air

Cooled (SPY-A), $65,000 Btu/h to <240,000 Btu/h Cooling Capacity

6.0

7.0

8.0

9.0

10.0

11.0

12.0

13.0

14.0

8.0 8.5 9.0 9.5 10.0 10.5 11.0 11.5 12.0

Energy Efficiency Ratio

Integrated Part Load Value

Figure 3.7.4 IPLV Compared to EER for Split System: Condensing Unit, Coil with Blower,

Air Cooled (RCU-A-B), $65,000 Btu/h to <240,000 Btu/h Cooling Capacity

Integrated part-load value is not regulated for equipment covered under this rulemaking.

However, the importance of IPLV (or other measure of part-load performance) cannot be

overstated for this equipment, because it strongly relates to actual energy use of commercial

unitary air conditioners in real buildings and year-round applications. Figures 3.7.3 and 3.7.4

show IPLV compared to EER for two of the most significant classes of equipment: the yearround single package air conditioners (SPY-A) and split system air conditioners (RCU-A-CB)

within the size categories covered by this rulemaking.
3-30

It is clear that there is a wide range of possible IPLVs for each EER, with some of the

highest IPLV ratings occurring for equipment with EERs below ASHRAE Standard 90.1-1999

levels. For single package units with EERs between 10.1 to 11.0 (meeting ASHRAE Standard

90.1-1999 levels), IPLVs range from 1 point below to about 1.7 points above the EER value. 

The IPLV ratings are not shown for some of the equipment in the ARI Directory. Most of these

unreported IPLVs are apparently for single compressor equipment with no unloading capability. 

Similar patterns comparing IPLV and EER are apparent when comparing single package air

conditioners (SP-A), and single package heat pumps (HSP-A).

Far fewer split system air conditioner (RCU-A-CB) IPLVs are shown in the ARI

database. Of those listed, the most interesting characteristic is that the split system IPLVs, as a

function of EER, start at a somewhat higher level than for the single package air conditioners,

with the lowest IPLVs listed starting at about a 10.0 for equipment with a 9.4 or 9.5 EER.

3.8 OTHER FACTS UNDER CONSIDERATION

3.8.1 Single Vertical Package Units 

There are certain types of commercial unitary air-conditioning equipment, in particular

single package vertical units (SPVU), that are not typical of the mainstream commercial HVAC

market. Single package vertical units can be manufactured with a rated cooling capacity of

<65,000 Btu/h up to <240,000 Btu/h, and are engineered for wall-mounting on modular

buildings. (A majority of this type of equipment have a cooling capacity of less than 65,000

Btu/h and are, therefore, not covered under this rulemaking 12). 

Nevertheless, SPVUs have certain inherent design constraints. The most significant

constraint of an SPVU is its small case or enclosure size, because it is designed for a building

that cannot accommodate mainstream commercial (rooftop) unitary air conditioner designs,

especially in retrofit applications. Features of SPVU equipment include deeper rows of coils (up

to five condenser rows and four evaporator rows), a smaller face area, and significantly higher

internal fan static pressure and fan power requirements than other mainstream commercial

unitary air-conditioning equipment. Also, because the external fan static pressure requirement is

relatively low under the DOE test procedure, the impact of high internal fan static pressure of an

SPVU is exaggerated when compared with the internal fan static pressure in the mainstream

(non-space-constrained) commercial unitary air-conditioning equipment.12

Furthermore, the ARI Standard 390-2001 (Single Package Vertical Air-Conditioners and

Heat Pumps) establishes testing and rating requirements for SPVUs where the equipment

components are vertically oriented, instead of horizontally oriented, as in mainstream

commercial unitary equipment. 

This market assessment acknowledges the availability of single package vertical units of

all cooling capacities. However, because of the above design and test procedure considerations,

the Department intends to address SPVUs in a separate rulemaking.
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3.8.2 Other Specialized Equipment

There are several manufacturers who appear to specialize in low-volume production of

single package or split system equipment for specialized applications. These units generally

have more customer-specific features on a baseline model. For example, there are single

package or split system air-conditioning units that provide very precise climate control both in

temperature and humidity ratio for applications like in computer rooms, specialized laboratory

spaces or hospitals. There are five domestic manufacturers of this type of equipment (Liebert

Corporation; Data Aire, Inc.; Stulz Air Technology Systems, Inc.; Air-Flow Technology, Inc.;

and Compu-Aire, Inc.). A 1998 National Institute of Standards and Technology (NIST) review

showed that, while most of these units currently meet the EPCA standards, as amended by EPAct

(1992) energy efficiency requirements, their manufacturers have stated that meeting ASHRAE

90.1-1999 efficiency levels will require significant design modifications and increased

equipment cost. Therefore, NIST recommended not including computer room air conditioners,

when they are used primarily for cooling computers, in this rulemaking.

3.8.3 Impact of Roof Curb in Replacement Design for Single Package Systems

The majority of single package air conditioners and heat pumps are mounted in roof top

applications. This typically requires the use of a roof curb. A curb incorporated within the roof

serves as a support structure for the unit. The roof curb typically provides an opening for

connecting the supply and return duct systems within the building to the roof-mounted package

unit. The curb elevates the air conditioner above the roof and provides a means of flashing the

curb to prevent water leakage into the space below. Curbs may be either manufactured metal

units or site built. Site-built units are typically a simple platform used with horizontally ducted

units. 

Many of the specific design features used to increase the efficiency of air conditioners

and heat pumps result in larger and heavier units. Chief among these features that can add

weight are greater coil surface area and the number of rows of coils on both the evaporator and

the condenser heat exchangers. Higher-efficiency rooftop applications may entail additional

costs for curb design. This may be an important issue in retrofit applications. If new unitary

equipment is significantly heavier than the equipment it is replacing, the additional weight may

require replacement or modification of an existing roof curb.

To work around this issue, a manufacturer may choose to modify component or material

choices to minimize any increase in weight for the higher-efficiency equipment. However, there

are limits to accomplishing this. In developing higher-efficiency equipment, manufacturers

consider the effect of significant increases in weight on installation costs. An example would be

the need for a helicopter rather than a crane to carry and position units.

A significant increase in the sizes of new units may also impact replacement installation

costs, but this is generally less of an issue than weight. While there may be isolated instances of

larger roof top units physically bumping into other roof equipment during installation, this

should rarely occur because sound design practice provides extra space around units for

maintenance access and air flow. There may be concerns with new downflow units requiring

new roof curbs because the new units may not align with existing roof curbs. However, some
3-32

manufacturers specifically design their new high-efficiency equipment to fit existing roof

curbs.13 If manufacturer designs for higher-efficiency equipment cannot accomplish this, there

are a number of companies who manufacture transition curbs to mate new package units to

existing curbs. However, this option would likely increase installation costs.
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1. Westphalen D., and S. Koszalinski. April 2001. Energy Consumption Characteristics of 

Commercial Building HVAC Systems Volume I: Chillers, Refrigerant Compressors, and

Heating Systems. Arthur D. Little, Cambridge, Massachusetts.

2. EnerModal. January 12, 2002. Types of Simple HVAC Systems [Online]. Available

URL: http://www.idwr.state.id.us/energy/codetools/guide_HVAC_simple_text.htm. 

Reprinted with permission of the Idaho Department of Water Resources.

3. ETL SEMKO. February 1, 2002. Certified Unitary Large Equipment Scope of Program

[Online].

Available URL: 

http://207.140.180.11/ari-prog/Direct.nsf/progdes/ULE?OpenDocument.

4. Air-Conditioning & Refrigeration Institute. 2000. 2000 Standard for Commercial and

Industrial Unitary Air-Conditioning and Heat Pump Equipment, Standard 340/360.

Arlington, Virginia.

5. American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. 1989. 

ANSI/ASHRAE/IESNA Standard 90.1-1989, Atlanta, Georgia.

6. American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. 1999. 

ASHRAE/ASHRAE/IESNA Standard 90.1-1999, Atlanta, Georgia.

7. Air-Conditioning and Refrigeration Institute. March 23, 2002. Unitary Large Equipment

Section [Online]. 

Available URL: http://www.ari.org/members/sections/scopes/unitary-lg.html.

8. Air-Conditioning and Refrigeration Institute. February 24, 2002. ARI Online

Membership Database [Online]. Available URL: 

http://search.ari.org/public/pub_form.cfm.

9. Air-Conditioning and Refrigeration Institute. January 23, 2002. January 2002 AirConditioning and Refrigeration Institute Large Unitary Equipment Directory [Online]. 

Available URL: http://www.mctg.com/ARI2000_all_downloads.htm.

10. United States Census Bureau. November 24, 2001. Current Industrial Reports MA333M

Refrigeration and Heating Equipment [Online].

Available URL: http://www.census.gov/cir/www/333/ma333m.html.

11. Air-Conditioning and Refrigeration Institute. October 15, 2001 . July 2001 AirConditioning and Refrigeration Institute Large Unitary Equipment Directory [Online]. 

Available URL: http://www.mctg.com/ARI2000_all_downloads.htm.

12. Koldwave. April 12, 2002. Product Information [Online]. 

Available URL: http://www.koldwave.com/products.html.

REFERENCES
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13. Carrier Corporation. January 31, 2002. 48HG Centurion Single Package Rooftop Units

With ComfortLink Control [Online]. Available URL: http://www.carriercommercial.com/.