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## U.S. DEPARTMENT OF ENERGY

COMMERCIAL AND INDUSTRIAL PUMPS

NEGOTIATED RULEMAKING WORKING GROUP



## GROUNDRULES

1. Goal of the Commercial and Industrial Pumps Negotiated Rulemaking Working Group (Working

Group)

The goal of the Working Group is to reach consensus on a recommended set of energy efficiency

standards for commercial and industrial pumps. Decisions reached by the Working Group will be

reported/ presented to the Appliance S tandards and Rulemaking Federal Advisory Committee

(ASRAC) during an open meeting. ASRAC will openly deliberate on the Working Group’s

recommendations and reach consensus, as defined by the Committee, on a formal recommendation

to DOE.

2. Participants

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

represente d in the negotiations.

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

Department of Energy (DOE) has appointed, 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 n egotiations.

c. Working Group Members. Each working group member appointed by the DOE 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 n egotiations 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 Gro up 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 with the concurrence of the Working Group, and given ASRAC and DOE

approval.

f. Attendance and Participation at M eetings.Page | 2 (1) Attendance. Each Working Group Member agrees to make a good faith effort to attend in

person every session of the Negotiating Working Group. If attendance in person is not feasible,

attendance and voting may be by telephone or other electronic means

. In addition, the

Working Group Member's alternate agr ees 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) Participation. Only Working Group Members or their alternates have the privilege of sitting

at the negotiating table and of speaking from the flo or during the negotiations without Working

Group approval, except:

(a) any Working Group Member may call upon another individual to elaborate on a relevant

point,

(b) Working Group Counsel may raise and address appropriate points, and

(c) any person attending the Working Group meetings may address the Working Gro up if

time permits or file statements with the Working Group.

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 re presents.

3. Decision Making

a. Quorum. Before any voting may occur, the Working Group must establish a quorum of at least

2/3, rounding off to the nearest whole person, of the original or approved Working Group

members, including remote attendance.

b. Consensus. The Working Group will operate by consensus which, for these purposes, me ans no

more than two (2) negative votes. Concurrence will be assumed absent overt dissent, evidenced by

a negative vote. 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 a final

agreement that is binding on the parties.

c. Subgroups.

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

advise, and make recommendations to the Working Group. Although each party may designate

a member of each Subgroup, the membership of each Subgroup should consist of no more than

fifteen (15) people. Other individuals who the Working Group believes would enhance the

functioning of a Su bgroup or representatives of interests that would be significantly affected by

the topics addressed by the Subgroup but which are not otherwise represented on the

Negotiating Working Group may also serve on that Subgroup. Not all organizations or interest

caucuses represented on the Negotiating Working Group need to participate in each Su bgroup.Page | 3 (2) As needed, DOE will provide appropriate support for the Working Group and the

Subgroups, which may include a senior economist, senior technical staff, clerical support, and so

forth.

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

(4) Subgroup meetings will be hel d between the full sessions. All Working Group Members

will be notified of all Subgroup meetings.

d. Discontinue if Unproductive

. The Working Group may discontinue negotiations at any time if

they do not appear productive.

e. Deadline for Negotiations. Negotiations will terminate by September 1, 2014 unless the DOE

and the AS RAC decide to extend the deadline. Every reasonable effort shall be made to conclude

negotiations and report a consensus Term Sheet to ASRAC by July 15, 2014.

4. Agreement

a. Term Sheet and supporting analysis

. Any agreement reached by the Working Group on

recommended standards for some or all covered pro ducts will take the form of a written statement

that will be signed by all parties to the negotiations. 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 th e agreed terms from a legal,

engineering and economic perspective. 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 publ ication of a Notice of Proposed

Rulemaking.

b. Statement as Basis for NOPR

. DOE agrees to use the written statement and any recommended

standards as the basis for a Notice of Proposed Rulemaking to the maximum extent possible

consistent with the Agency's legal obligations.

c. No Negative Comments. Each party

, except individuals that have previously voted negatively on

the final agreement, agrees not to file negative comments or speak negatively on the proposed

standard or its preamble to the extent they have the same substance and effect as the Term Sheet.

d. Response to Public Comments

. DOE will consider all relevant comme nts submitted concerning

the Notice of Proposed Rulemaking and will make such modifications in the proposed standard and

its preamble as are necessary when issuing a final standard.

e. No Adverse Action and Support

. Each party, except individuals that have previously voted

negatively on the final a greement, agrees not to take any action to inhibit the adoption of the

recommended proposed standard [NOPR] as a final standard to the extent the final standard and its

preamble have the same substance and effect as the Term Sheet.

f. No Challenge. Each party, except individuals that have previously voted ne gatively on the final

agreement, agrees not to take a position materially inconsistent with the standard or determination

in court or in any other forum to the extent that the final standard or determination and itsPage | 4 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 th e Working Group and the Working Group may recommend his

dismissal.

6. Meetings

a. FACA, NRA, and EPCA. The negotiations will be conducted under the Federal Advisory Working

Group Act (FACA), the Negotiated Rulemaking Act of 1990 (NRA), and the Energy Policy and

Conservation Act (1975 as amended).

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 be captured through meeting transcripts. In the

absence of consensus, parties shall not be bound by positions taken or accepted during these

negotiations. Summaries of Working Gr oup meetings will be prepared by the facilitator 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 tr anspired at Working Group meetings

. No photographs may be taken

during meetings without the approval of the Working Group. Both the meeting summary and

transcript will be made available to the public and included in the rulemaking docket.

7. Future Amendments

Working Group Members may propose modifications to this docu ment, with due consideration

given such proposals.