## U.S. DEPARTMENT OF ENERGY

COMMERCIAL HVAC, WH AND

REFRIGERATION CERTIF ICATION

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 t hat each party will support the consensus recommendation formed by the working group.

2. Participants

a. Interests Represented. Any interest t hat 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 organizati o n or interest caucus that is directly represented on the Working Group shall be deemed a party to the nego tiations.

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

serve until the dissolution of the Working Group unless that m ember becomes unable to serve, resigns, or ceases to maintain the representational requirements.

d. A lternates 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 Grou p

. 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.2

(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' Interest s

. Working Group Members are expected to represent the concerns of their interest g r oup 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. Consensu s . 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

me eting or their Alternates who attend a meeting in their stead until the Working Group reaches an agreement that is binding on the parties.

b. Sub groups.

(1 ) Subgroup s ma y 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 part icipate in each subgroup

.

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

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

(3) Subgroup s 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

sam e 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 re p ort shall be submitted to the ASRAC on that date regarding the status and include any agreed to Term Sheet.3

4. A greement

a. Term Sheet and supporting analysi s

. Any agreement reached by the Working Group on recommended regulations will take the form of a written state m ent (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. I t i s 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 necessa ry for the publicat i on of a Notice of Proposed Rulemaking.

b. Statement as Basis for NOP R

. 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 non

unanimous vote, where DOE is not a dissenting vote, DOE agrees to use the written statement in any recommended regulation. I n 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 wil l 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 , exc ept 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 Shee t , for a period of 1 year from effective date of rule or rulemaking determinatio n

.

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 the4 approval of the Working Group

.

7. Future Amendments

Working Group Membe r s may propose modifications to this document, with due consideration given

to such proposa l s

.