U.S. DEPARTMENT OF ENERGY

COMMERCIAL HVAC, WH AND 

REFRIGERATION CERTIFICATION 

WORKING GROUP

GROUND RULES

1. Goal of the Commercial HVAC, WH and Refrigeration Certification Working Group

(“Working Group”)

The goal of the Working Group is to, in good faith, reach consensus on recommended DOE 

regulated performance certification and compliance requirements for commercial HVAC, 

WH, and refrigeration equipment. The objective is that each party will support the consensus 

recommendation formed by the working group.

2. Participants

a. Interests Represented. Any interest that would be significantly affected by the rule may be 

represented in the negotiations.

b. Parties to the Negotiations. The Working Group consists of those individuals whom the

Secretary appoints, as nominated by the affected interests. Each organization or interest caucus that 

is directly represented on the Working Group shall be deemed a party to the negotiations.

c. Working Group Members. Each Working Group member appointed by the Secretary agrees to 

serve until the dissolution of the Working Group unless that member becomes unable to serve, 

resigns, or ceases to maintain the representational requirements.

d. Alternates for Working Group Members. Each party to the negotiations may designate an 

alternate Working Group Member. Alternates may substitute for Working Group Members in the 

event the Member cannot attend a session of the Working Group. Only Working Group Members 

may vote on any consensus recommendation, and any alternate casting a vote shall do so on behalf of 

the Working Group Member, and not as a representative of their own organization’s interest, if 

different.

e. Additional Interests. Additional organizational interests may join the Working Group

after negotiations have begun only with the consensus of the Working Group.

f. Attendance and Participation at Meetings.

(1) Attendance. Each Working Group Member agrees to make a good faith effort to attend 

every session of the Working Group. Attendance and voting may be by telephone or other 

electronic means. In addition, the Working Group Member's alternate agrees to make a good 

faith effort to attend all Working Group meetings and to represent the interest at any meeting 

that the Member is unable to attend.
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(2) Participation. Only Working Group Members or their alternates have the privilege of sitting 

at the negotiating table. Any party may speak from the floor during the negotiations; however, the 

Working Group may limit discussion, as needed to resolve issues in a timely manner..

g. Constituents' Interests. Working Group Members are expected to represent the concerns of 

their interest group to ensure that any agreement developed by the Working Group is acceptable 

to the organization or caucus which the Working Group Member represents.

3. Decision making

a. Consensus. The Working Group will operate by consensus which, for these purposes, means no 

more than 2 negative votes. Abstention shall not be construed as a negative vote. All agreements 

reached during the negotiations are tentative and may be made by the Members present at the 

meeting or their Alternates who attend a meeting in their stead until the Working Group reaches an 

agreement that is binding on the parties.

b. Subgroups.

(1) Subgroups may be formed to address specific issues and to develop information for, 

advise, and make recommendations to the Working Group. Other individuals who the Working 

Group believes would enhance the functioning of a subgroup or representatives of interests that 

would be significantly affected by the topics addressed by the subgroup but which are not 

otherwise represented on the Working Group may also serve on that workgroup. Not all 

organizations or interest caucuses represented on the Working Group need to participate in each 

subgroup.

(2) The Department of Energy (DOE) will provide appropriate support for the Working Group

and the Subgroups, including senior technical staff, clerical support, and so forth.

(3) Subgroups are not authorized to make decisions for the Working Group as a whole,

but shall submit their report, including any recommendations, to the full Working Group.

(4) Subgroup meetings will be held between the full sessions and will be scheduled in the 

same location and time whenever possible. All Working Group Members will be notified via 

email of all subgroup meetings.

c. Discontinue if Unproductive. The Working Group may discontinue negotiations at any time if 

they do not appear productive.

d. Deadline for Negotiations. Every reasonable effort shall be made to conclude negotiations by 

August 30, 2013; a report shall be submitted to the ASRAC on that date regarding the status and 

include any agreed to Term Sheet.
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4. Agreement

a. Term Sheet and supporting analysis. Any agreement reached by the Working Group on 

recommended regulations will take the form of a written statement(s) that will be signed by all 

parties to the negotiations; the statement(s) will contain all voting results. For purposes of this

Agreement, the term “regulation” shall be deemed to include any determination that a revision of the 

regulation is unnecessary for some or all covered products. It is anticipated that the agreement will 

include a written statement that includes (a) a Term Sheet outlining the significant terms of the 

Proposed Rule and (b) supporting analysis as needed to explain and justify the agreed terms from a 

legal, engineering and economic perspective; members dissenting on particular issues should 

provide the basis for their negative vote. DOE staff will be responsible for translating this Term 

Sheet and analysis, into the language of a proposed rule, its supporting preamble, a Regulatory 

Impact Analysis, and all other appropriate materials necessary for the publication of a Notice of

Proposed Rulemaking.

b. Statement as Basis for NOPR. In the case of a unanimous vote, DOE agrees to use the written 

statement and any recommended regulations as the basis for the Notice of Proposed Rulemaking to 

the maximum extent possible, consistent with the agency’s legal obligations. In the case of a nonunanimous vote, where DOE is not a dissenting vote, DOE agrees to use the written statement in any 

recommended regulation. In the case of a non-unanimous vote where DOE is a dissenting vote, DOE 

agrees to strongly consider the written statement and recommended regulation as the basis for a 

Notice of Proposed Rulemaking. DOE will include the consensus recommendation and any 

dissenting views in any proposal issued.

c. Public Comments. The Working Group members request DOE to provide a comment 

summary of the comments received in response to the published Notice of Proposed Rulemaking

to the Working Group so that the Working Group may provide its recommendations on what, if 

any, changes to the proposed rule are warranted based on those comments to the ASRAC prior to 

issuance of a Final Rule.

d. No Challenge. Each party, except individuals that have previously expressed dissenting views

on the issue challenged, agrees not to take a position materially inconsistent with the 

recommendation in court or in any other forum to the extent that the final recommendation and its 

preamble have the same substance and effect as the Term Sheet, for a period of 1 year from effective 

date of rule or rulemaking determination.

5. Facilitator

A neutral facilitator will work with all the parties to ensure that the process runs smoothly. The 

facilitator serves at the will of the Working Group.

6. Meetings

a. FACA and NRA. The negotiations will be conducted under the Federal Advisory Committee

Act (FACA) and the Negotiated Rulemaking Act of 1990 (NRA).

b. Open Meetings. Negotiating sessions will be announced in the Federal Register prior to the 

meeting and will be open to the public.

c. Meeting Summaries. The proceedings will not be electronically recorded, but transcripts of 

Working Group meetings will be circulated for the convenience of the Working Group. Such 

meeting summaries shall not be approved by the Working Group and shall not be construed or taken 

to represent the official position of the Working Group or any Member as to what transpired at 

Working Group meetings. In the absence of consensus, parties shall not be bound by positions taken 

or accepted during these negotiations. No photographs may be taken during meetings without the 
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approval of the Working Group.

7. Future Amendments

Working Group Members may propose modifications to this document, with due consideration given 

to such proposals.