BUILDING TECHNOLOGIE

May 6‐7, 201

Buildin

Energy Efficiency 

D

ASRAC FAN WORKING GROUPFirst Meeting
2

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Discussion of Issues Surrounding Commercial and Industria

7. Confirm Meeting Schedule
3

Introduction• DOE formed the Appliance Standards and Rulemaking Federal Advisor

Committee (ASRAC) in 2012 to further improve the DOE process of es

efficiency standards.

• ASRAC is an advisory committee chartered by DOE.

• ASRAC is solely advisory in nature, with focus on appliance standards 

issues and solutions.

• Committee tasks originate from discussions between DOE and ASRAC 

defining clear goals, timeframe for task completion, and target date fo

presenting the Committee’s formal recommendations to DOE.
4

Introduction• As needed, ASRAC will vote to form working groups to investigate eac

detail and gather additional input from stakeholders.

– In such cases where ASRAC votes to form a working group, DOE w

Federal Register notice soliciting nominations for members.

– Working group efforts are presented to ASRAC and ASRAC deliber

forms recommendations to DOE (working groups never presentrecommendations directly to DOE).

• DOE may withdraw a task from ASRAC at any time.

• In the event a consensus recommendation is not reached for a particu

within a given timeframe, ASRAC will let DOE know that no recommen

will be made and it is determined to withdraw task or give the workin

more time.

– Without a consensus recommendation from the working group a

affirmation from ASRAC, DOE will proceed with its “normal” rulemactivities.
5

Introduction

• The purpose of our two‐day meeting is:

– Overview of the negotiation process;

– Establishment of ground rules for negotiation;

– Establishment of schedule of meetings;

– Identification of discussion issues for future meetings;

– Presentation of definitions and regulatory approach which are in 

phase and intended to be starting points for negotiation discussio

– Presentation of the scope, metric, and efficiency levels from the M

2015 NODA.
6

U. S. Department of Energy Facilitators

OFFICE OF HEARINGS AND APPEALS

Wade Boswell, wade.boswell@hq.doe.gov, 202‐586‐1484Steven Fine, steven.fine@hq.doe.gov, 202‐287‐1490

OFFICE OF CONFLICT PREVENTION & RESOLUTION

Pamela Pontillo, pamela.pontillo@hq.doe.gov, 202‐586‐4002
7

• A group of potentially impacted stakeholders, using a c

based process, are assembled to work to develop a

recommended ‘proposed rule’;

• Proposed rule posted for public comment

• DOE considers comments and develops any final rule

What is Negotiated Rulemaking?
8

Negotiated Rulemaking in Context

• Augments, does not replace, the Agency’s rulemaking 

• Rule must still go through normal Agency and adminis

review processes

• Rule must still comply with other applicable statutes a

executive order

• Rule still is subject to public comment per the Adminis

Procedure Act

• If agreement is not reached, Agency proceeds with its 
9

The Statutory Framework of Negotiated Rul

• Administrative Procedure Act (APA)

• Negotiated Rulemaking Act 1996 (NRA)

• Federal Advisory Committee Act (FACA)• The Federal Register Act
10

• Section 562(4): Definition

– A “facilitator” is defined as “a person who impartially a

discussions and negotiations among members of the ne

rulemaking committee to develop a proposed rule”

The Negotiated Rulemaking Act of 1996 and the 
11

• Section 566(c) Provides that Agency nominates a facilitator 

to Committee approval

• Section 566(d) provides that the facilitator’s duties are 

– (1) chair the meetings of the committee in an impartial m

– (2) impartially assist the members of the committee in co

discussions and negotiations; and

– (3) manage the keeping of minutes and records as requir

section 10(b) and (c) of the Federal Advisory Committee 

except that any personal notes and materials of the facili

of the members of a committee shall not be subject to se

552 of this title.

The Negotiated Rulemaking Act of 1996 and the 
12

• Guide the Discuss• Coach• Moderator• Help clarify issues 

interests

• Assist in generatin

• Private discussion

The Role of the Facilitator
13

• Watch for people backing away from tentative con• When substance breaks down, move to process

• When process breaks

down, move to substance

Facilitating the Meeting
14

• By entering into the process, the neutral obligates him 

herself to the parties to provide a fair and impartial pr

solving process which seeks to address the interests of involved

A Fundamental Principle: The Obligation of the 
15

Negotiated Rulemaking:

The Participants
16

• By entering into the process, 

commit themselves to a prob

approach which inherently se

maintain a focus on working 

other to solve problems

A Fundamental Principle: The Obligation of the 
17

Working Group

The Mediato

Technical Advisors

Stakeholders: 

Present

Stakeholders: 

Not Present

Working Group have full 

right of the floor. Decisions 

by Consensus and every 

member has a veto

Negotiating the Rule
18

Negotiating the Rule

• The First Meeting

– Setting the Stage

– Training– Negotiating the Protocols

• Subsequent Meetings

• Between Meetings

• Using Smaller Working

Groups, if needed
19

Setting the Stage• Introductory remarks by host agency and others

– Expectations of committee by agency

• Working group member introductions

• Overview of the Negotiated ‐ Rulemaking process

• History of the issues

• Negotiating Ground rules and Protocols

The First Meeting
20

Working Group Participation Members

 Responsibilities Attendance Alternates

– Observers

• Adding Members• Support staff

• Withdrawal/removal procedures

Negotiating the Protocols
21

Decision Making• Consensus• Tentative consensus• Caucuses• Smaller Work Groups

Negotiating the Protocols

Objective of Working Group Purpose of Rule
22

Safeguards for the Parties (Good faith requirements• Providing information• Procedures• Information Flow Outside Meetings Relations wit

Press

• Speaking for other committee members

Negotiating the Protocols
23

• Touch base with Committee Members• Develop Agenda• Send out meeting summary with cover letter statin

progress to date, any

relevant issues andnext steps

• Required notices

Between Meetings
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Concluding the Negotiations

• Report of the Committee

– With Consensus– Without Consensus

– With Partial Consensus

• Committee continuing status or release

• Required Federal Register postings• Any Follow‐Up?

• Evaluation
25

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Efficiency Levels

7. Confirm Meeting Schedule
26

Negotiation Process: Overview

• As provided in the notice of intent, the following are the basic 

issues and concerns

– DOE’s need for full compliance with statutory mandates. Congress has ma

establish minimum energy efficiency standards that are technologically fe

economically justified

– Stakeholders strongly support a consensus rulemaking effort

• To the maximum extent possible consistent with legal obligatio

consider the consensus of the working group as the basis for th

moving forward

• A key principle is consensus by all interests

• Good faith negotiation required• Participants will need to provide DOE with data and an analytic 

to support deliberations

• DOE is committed to performing much of the same analysis as 

during a normal standards rulemaking process and to providing 

and technical support to the working group

• Must be completed within 3 months, but an extension may be 
27

Ground Rules• Key items to resolve:

– Alternate working group members

• Are they allowed? Can they vote?

– Participation– Quorum

• What is it?

– Consensus

• Must be unanimous unless unanimously agree to a different 

• For example, how many negative votes would the group allow 

consensus?

• Real‐time mark‐up of draft ground rules sheet
28

• A process for group decision

making, in which:

 Everyone has been

heard,

 The decision may not be

every person’s first

choice, but

 They can live with and

support the decision

“con.sen.sus”
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• Try to create a solution that can be supported by ev

• Aim for a solution that considers the INTERESTS of

everyone

Consensus Guidelines
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• Ask Questions

• Raise Valid Doubts

• Offer Alternatives

• Don't Compete for

Individual Ideas

Consensus Guidelines
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• Agree Completely

• Acceptable• Can Live with the Decision

• Do Not agree ‐ But Won’t

Block and will support

• Do Not Agree & Will Block

Consensus Ladder
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 Explain why your thumb is down

 Spaced out Not sure of question Will Block

 Blocker(s) Responsibility

 Explain what the concern is Offer an alternative

“Blocker” Responsibility
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• Temperature Check• Consensus Confirmation (Final)

How to Gauge for Consensus
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• §566. Conduct of committee activity

(a) Duties of Committee. ‐ Each negotiated rulemaking com

established under this subchapter shall consider the matter

proposed by the agency for consideration and shall attempt 

a consensus concerning a proposed rule with respect to suc

and any other matter the committee determines is relevant 

proposed rule.

The Statutory Role of Consensus
35

• §562 (2)

“consensus” means unanimous concurrence among the inte

represented on a negotiated rulemaking committee establis

under this subchapter, unless such committee ‐

(A) agrees to define such term to mean a general but no

unanimous concurrence; or

(B) agrees upon another specified definition.

The Statutory Role of Consensus
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• A mutually acceptable agreement that takes into conside

interests of all concerned parties.

• Consensus is a way of making decisions which aims to inc

everyone in the decision making process and resolve any

objections.

The Role of Consensus
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• Committee members agree to use consensus deci

making

• If consensus is reached agency agrees to publish it 

Federal Register as a “Notice of Proposed Rule.”

The Role of Consensus
38

• Super‐majority

• Daily numbers

Consensus Confirmation
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• If committee fails to reach consensus, the process 

narrow the issues in dispute, rank priorities and idpotentially acceptable solutions

The Role of Consensus
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Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings4. Scope and Definitions

5. Metric6. Efficiency Levels

7. General Regulatory Approach

8. Discussion of Issues Surrounding Commercial and Industria

9. Confirm Meeting Schedule
41

Potential Proposed Schedule

Date Type Presentation/Discussion Topics

May 6 – 7 In‐Person • Introduction, Ground Rules, and Defin

May ??? In‐Person • Scope, Metric, and Test Procedures

June 11 – 12 In‐Person • Efficiency Levels and Analysis

June 25 – 26 In‐Person • Proposed Standard LevelsJuly ??? In‐Person • Proposed Standard Levels

July ?? In‐Person • Labeling, Certification, and Represent

Aug 5 In‐ Person • Final Term Sheet Due to ASRAC
42

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Discussion of Issues Surrounding Commercial and Industria

7. Confirm Meeting Schedule
43

Rulemaking Background

• EPCA directs DOE to adopt energy conservation standards for com

industrial fans and blowers for which standards would be technolo

and economically justified.

• There are currently no Federal energy conservation standards for f

• On June 28, 2011, DOE published a Notice of Proposed Determina

Coverage (76 FR 37678).

• On February 1, 2013, DOE published a notice in the Federal Regist

announced the availability of the “Commercial and Industrial Fans 

Energy Conservation Standard Framework Document.” (78 FR 730

• On December 3, 2014, DOE issued a notice of data availability (NO

announced the availability of five spreadsheets.

• DOE subsequently determined that a negotiated process may be m

for this rulemaking.

• The ASRAC approved the formation of a WG and a notice of intent 

April 1, 2015 to announce the group and solicit members, and the 

date.

• On May 1st, 2015 DOE issued a second NODA. (80 FR 24841)
44

EPCA Requirements for Standards Rulemaking

The Energy Policy and Conservation Act (EPCA) directs DOE to the maxim

practicable to consider seven factors when setting energy conservation s

EPCA Factor DOE Analysis

1. Economic impact on consumers

and manufacturers

Life‐cycle cost analysisManufacturer impact analysis

2. Lifetime operating cost savings Life‐cycle cost analysis

3. Total projected energy savings National impact analysis

4. Impact on utility or performance Screening analysis

Engineering analysis

5. Impact of any lessening of competition Manufacturer impact analysis

6. Need for national energy conservation National impact analysis

7. Other factors the Secretary considers

relevant

Environmental assessmentUtility impact analysis

Employment impact analysis
45

Possible Fan Definition of Covered Equipment

• DOE has authority to set standards for all fans that meet the definition 

equipment.

• Fan: a rotary bladed machine used to convert mechanical power to ai

order to provide a continuous flow of gas, with an energy output limit

of air; typically consisting of an impeller, a shaft, bearings, a structure 

and, if included by the manufacturer at the time of sale, transmission

controls.

Controls Driver Transmissions Non

FAN =

“Included” : integral, assembled, or in the same order.
46

Possible Fan Definition for Covered Equipment

• “continuous flow of gas”

– The working definition would exclude “conveying fans” used for the trans

gaseous substances in industrial process applications from the scope of co

similar to the exclusion listed under EU 327/2011 Article 3, Section 4(c).

– The working definition would also exclude devices that create a single bur

displacement and cannot be operated continuously.

– Note: To specifically exclude conveying fans, the European Fan Industry As

presented the following definition for clean air:

Dry Air Humid Air

Max Dimension ofsuspended Particlemm

Max concentrationof particles g/m3

Max Dimension ofsuspended Particle

mm

Max con

of partic

<1 <0.2 <0.05 <0.05
47

Possible Fan Definition for Covered Equipment

• “energy output limited to 25 kJ/kg of air”

– Need to distinguish between fans, blowers, and compressors.

– Industry typically uses “fan” and “blower” interchangeably.

– Limit between fans and compressor:

Source Fan Upper Limit

AMCA 99‐10 25 kj/kgASME Specific ratio of 1.2

EU 327/2011 25 kj/kg and specific ratio of 

ISO 13349:2010 25 kj/kg (i.e., specific ratio o

ISO 12942:2012 Specific ratio of 1.1
48

Possible Fan Components Definitions

• “typically consisting of an impeller, a shaft, bearings, a structur

– Lists the “basic parts” of the fan that need to be present for appropriate o

fan.

• Impeller: a rotary bladed aerodynamic component responsible for the 

increase of the airstream delivered by the fan.

• Structure: any integral component(s) of the fan necessary to support t

• Housing: any integral component(s) of the fan that direct(s) flow into 

impeller and/or provide protection to the internal components. A hou

as a fan’s structure.
49

Possible Fan Components Definitions

• Control: any device that can be used to operate the driver.• Driver: a machine providing mechanical input to drive a piece of equip

fan) directly or through transmissions, and may include an electric mocombustion engine, or gas/steam turbine.

– Driven fan: a fan configuration including a driver, and, if included by t

transmissions and controls.

– Non‐driven fan: a fan configuration without transmissions, driver, and 

• Transmissions: any component that transfers energy from a driver to 

– Direct‐driven fan: a driven fan configuration, where the fan impeller i

directly to the shaft of the driver or to the external rotor of the driver

– Belt‐driven fan: a driven fan configuration, where the fan impeller is c

driver through a set of belts and sheaves mounted on the driver shaft 
50

Scope of Negotiations• DOE has the authority to set standards now or in the future for all fan

definition of covered equipment.

• The scope of any individual rulemaking is not required to include all fa

the definition of covered equipment.

• The scope of these negotiations also is not required to include all fans 

definition of covered equipment and will be set by the Working Group
51

Possible Scope of Negotiations

Covered Analyzed Fan Category Market Share 

Yes Yes Axial housed* 7% Yes Yes Axial unhoused* 30% Yes Yes Centrifugal housed** 18% 

Yes Yes Centrifugal unhoused ** 13% 

Yes Yes Inline fans 4% Yes Yes Mixed flow fans 2% 

Yes Yes Radial fans 7% 

Yes Yes Power Roof Ventilator 14% 

Yes No Cross flow fans <1% Yes No Safety fans 3% 

Yes No Induced flow fans <1% 

Yes No Circulating fans <1% *Excluding circulating fans **Excluding inline fans and radial fans
52

Possible Scope of NegotiationsIn response to the December 2014 NODA, ASAP and AMCA proposed that 

standards for the following fan categories:

DuctedHoused Centrifugal Backward Bladed

Housed Centrifugal Forward Bladed

Housed Centrifugal Radial Bladed

Mixed Flow

Centrifugal Inline

Vane AxialTube Axial

Non‐DuctedAxial Powered Roof and Wall Ven

Centrifugal Powered Roof and W

VentilatorPanel FansUnhoused Centrifugal
53

Possible Scope of NegotiationsASAP and AMCA also stated that the following fans should be evaluated a

discussed for potential exemption:

Jet fans

High temperature fans

Spark resistant fans

Induced flow fans

Fans using an unshrouded radial impeller

Exhaust fans certified under the BESS program

Circulating fansAir curtains

Crossflow fans
54

Possible Fan Category Definitions

• Axial fan: A fan in which airflow enters and exits the impeller parallel t

rotation. The axial fan may or may not be equipped with a housing, in

guide vanes, an orifice panel, or orifice ring.

• Centrifugal fan: A fan in which airflow enters the impeller parallel to t

rotation but changes direction due to the impeller blades and exits pe

the shaft in a radial direction at the impeller discharge. The impeller m

two inlets and may or may not have a housing component.

• Inline fan: A housed fan with a centrifugal impeller designed to be mo

duct sections with air flowing in an axial direction at the inlet and out

• Mixed flow fan: A fan in which the fluid path through the impeller is b

70 deg. relative to the axis of rotation.

• Radial fan: A centrifugal fan with a radial impeller.

• Power Roof Ventilator: A fan consisting of a centrifugal or axial impelle

integral drive in a weather‐resistant housing and with a base designed 

by means of a curb, over a roof or wall opening.
55

Possible Fan Category Definitions

• Cross flow fan

– Definition: A type of centrifugal fan in which the fluid path though 

in a direction that is essentially at right angles to its axis with air b

and leaving radially at its periphery.

– These fans are used where a blanket of uniform air is needed. Alt

with AMCA 210, fan efficiency may not provide a good measure o

for these fans. (specific utility which may require different metric

• Circulating fans:

– AMCA 230 provides the following definition: A non‐ducted fan us

general circulation of air within a confined space.

– Metric used in AMCA 230 is cubic feet per minute per watt to bet

their utility.

– Ceiling fans are a type sub‐category of circulating fans and are cu

subject of a separate rulemaking. (Docket: EERE‐2012‐BT‐STD‐004
56

Possible Fan Category Definitions

• Safety fan:

– Definition: An axial or centrifugal fan designed for use in applications requ

measures, such as:

a) those designed to operate in potentially explosive atmospheres;

b) those designed for emergency use only, at short‐time duty, with reg

requirements;

c) those designed specifically to operate where the temperature of ga

exceed 200oF; or

d) those designed for use in toxic, highly corrosive, or flammable envir

abrasive substances.

– Each characteristic listed in the definition needs to be verifiable in order t

of loophole. Standards exist that could be used as ways to ensure the equ

designed for “extra safety measures” by 3rd party testing or certification:

Standard DescriptionNFPA 92 Standard for Smoke Control Systems

NFPA 96 Standard for ventilation control and fire protection of commercial cooking operations

AMCA Standard 99‐

0401 Classification for spark resistant construction

ANSI/UL 793 Automatically Operated Roof Vents for Smoke and Hea

UL 762 Power Roof Ventilators for Restaurant Exhaust Applian

EN 12101‐11 Smoke and heat control systems. Smoke duct sections
57

Possible Fan Category Definitions

• Jet fan:

– Definition based on AMCA 250: a fan used for producing a jet of a

and unconnected to any ducting.

– Likely fall under the category of safety fans.

– Jet fans are rated based on thrust and horsepower and not based 

and pressure they can provide. AMCA 250‐12 defines ways of me

volume flow, and power and contains guidance for deriving efficie

“thrust power ratio”.

• Induced flow fan:

– Definition based on AMCA 260: a housed fan with a nozzle and a 

whose outlet airflow is greater than its inlet airflow due to induce

the flow entering the inlet will exit through the nozzle. The flow e

windband will include the nozzle flow plus the induced flow.

– Provide a different utility, which is to produce a high plume of air 

exhaust laboratory fumes and hazardous chemicals.
58

Other Fans to Consider for the Scope of the Ne

• Fans in larger HVAC equipment

– Some fans are assembled by OEMs and designed specifically for use in HV

– These fans are not distributed in commerce as stand alone equipment.

– In some cases, one or more basic parts of the fan may be integrated to th

equipment.

– These include equipment for which industry test standards exist (example

Equipment Test Standard Notes

Air Handling Units AHRI 430‐2014 • Based on AMCA 210

• May include multiple fans, coils, filters, and ot• Performance affected by relative size and loca

components

Cooling Towers CTI 201 • Performance may be affected by heat exchang

• Installation conditions may limit efficiency imp

Air Curtains AMCA 220 • Air curtains create an airflow barrier between 

• Performance determined by outlet air velocity 

• Air curtains (AMCA 220);• Cooling towers (CTI 201);• Air handling units (AHRI 430);• Room Fan Coils (AHRI 440);• Evaporative condensers (AHRI 490); 

• Air-to-air exchangers (AH• Air-cooled chillers (AHRI • ...etc.
59

Other Limits for the Scope of the Negotiations

• The scope of negotiations may include other limits aside from excludi

categories.

• Fan size and/or shaft input power could be used to limit the scope.

– E.g. Maximum shaft input power (or brake horsepower) of at leas

(0.746 kW) but not greater than 200 horsepower (149 kW) at the

speed.

– Note: The fan impeller diameter and shaft input power to the fan 

related characteristics and a limit on one will most likely limit the 

Therefore, it may not be necessary to set a limit based on fan im

in addition to fan shaft input power.

– Another option would be to limit the scope based on the fan outp
60

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Discussion of Issues Surrounding Commercial and Industria

7. Confirm Meeting Schedule
61

Fan Energy Index (FEI)

ൌ ݂ܽ݊	ܽ	݂݋	ݎ݁ݓ݋݌	ݐݑ݌݊ܫ	݈݅ܿܽݎݐ݈݁ܿܧ ݂ܽ݊	ݐ݈݅ܽ݊݌݉݋ܿ	ݕ݈݈݉݅݊݅݉ܽ	ܽ	݂݋	ݎ݁ݓ݋ܲ	ݐݑ݌݊ܫ	݈݅ܿܽݎݐ݈݁ܿܧ ൌ ܫܧܨ

ܮெ,௜ ߟ், ௜ܳ) ௜CFM) ܲ௜ (in. wg.)

ܧܨܴ௜: Determined based on testing th

power (calculation‐based method) or (power (testing‐based method) for eac

ܳ௜)

(1)

(2)

FEI Determination

(each operating point i) Controls Motor Transmissions Non‐dr

FERSTD,i

None Default Motor Default Belts ܪܤܲௌ்஽,௜ calculation bas

ߟௌ்஽,௜ ൌ ߟ௧௔௥௚௘௧ ൈ 	 ொ೔	

ሺொ೔ାொబሻ	

FERi

(1)

None ordefault

Default or Basedon fan’s Motor

Default Belt or noneif direct driven

(2)

ܧܨܴௌ்஽,௜ ൌ ொ೔	ൈ	௉೔ ࡰࢀࡿࣁ,࢏ൈ	଺ଷସଷ	ൈ	ఎ೅,೔ + ܮெ,௜ ൌ ஻ு௉ೄ೅ವ,೔ ఎ೅,೔ + ܮெ,௜

ܧܨܴௌ்஽,௜	:Calculated as a function of the fan’s pressure (ܲ௜)

and flow (ܳ௜) assuming a “minimally compliant fan” efficiency

and default values

TEST OUTPUT

࢏,ࡰࢀࡿࣁ

TEST O

Possible inclusion of a multiplier to the FERSTD when evaluating fans with controls to repres

or
62

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Discussion of Issues Surrounding Commercial and Industr

7. Confirm Meeting Schedule
63

Open Discussion of Issues

• Identification of Issues that Need Further Investigating or Resolution
64

Agenda

1. Introduction2. Ground Rules and Negotiation Process

3. Schedule Meetings

4. Scope and Definitions

5. Metric6. Discussion of Issues Surrounding Commercial and Industria

7. Confirm Meeting Schedule
65

Potential Proposed Schedule

Date Type Presentation/Discussion Topics

May 6 – 7 In‐Person • Introduction, Ground Rules, and Defin

May ??? In‐Person • Scope, Metric, and Test Procedures

June 11 – 12 In‐Person • Efficiency Levels and Analysis

June 25 – 26 In‐Person • Proposed Standard LevelsJuly ??? In‐Person • Proposed Standard Levels

July ?? In‐Person • Labeling, Certification, and Represent

Aug 5 In‐ Person • Final Term Sheet Due to ASRAC