090000648112db40

U.S. DEPARTMENT OF ENERGY

LIQUID-IMMERSED AND MEDIUM VOLTATE DRY-TYPE

DISTRIBUTION TRANSFORMERS

NEGOTIATED RULEMAKING WORKING GROUP

GROUNDRULES

1. Goal of the Liquid-Immersed and Medium Voltage Dry-Type Negotiated Rulemaking Working 

Group (“Committee”)

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

standards for liquid-immersed and medium-voltage dry-type distribution transformers. 

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 Committee 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 Committee shall be deemed a party to the negotiations.

c. Committee Members. Each committee member appointed by the Secretary agrees to serve until 

the dissolution of the Committee unless that member becomes unable to serve, resigns, or ceases to 

maintain the representational requirements.

d. Alternates for Committee Members. Each party to the negotiations may designate an alternate 

Committee Member. Alternates may substitute for Committee Members in the event the Member 

cannot attend a session of the Committee. Only Committee Members may vote on any consensus 

recommendation, and any alternate casting a vote shall do so on behalf of the Committee Member, 

and not as a representative of their own organization’s interest, if different. 

e. Additional Interests. Additional organizational interests may join the Committee after 

negotiations have begun only with the concurrence of the Committee.

f. Attendance and Participation at Meetings.

(1) Attendance. Each Committee Member agrees to make a good faith effort to attend every 

session of the Negotiating Committee. Attendance and voting may be by telephone or other 

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

effort to attend all Committee meetings and to represent the interest at any meeting that the 

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

negotiating table and of speaking from the floor during the negotiations without Committee 

approval, except:

(a) any Committee Member may call upon another individual to elaborate on a relevant point,

(b) Committee Counsel may raise and address appropriate points, and

(c) any person attending the Committee meetings may address the Committee if time permits 

or file statements with the Committee.

g. Constituents' Interests. Committee Members are expected to represent the concerns of their 

interest group to ensure that any agreement developed by the Committee is acceptable to the 

organization or caucus which the Committee Member represents.

3. Decisionmaking

a. Consensus. The Committee will operate by consensus which, for these purposes, means the 

unanimous concurrence of all parties to the negotiations present and voting. 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 

Committee reaches an agreement that is binding on the parties. 

b. Workgroups.

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

advise, and make recommendations to the Committee. Although each party may designate a 

member of each workgroup, the membership of each workgroup should consist of no more than 

fifteen people. Other individuals who the Committee believes would enhance the functioning of 

a workgroup or representatives of interests that would be significantly affected by the topics 

addressed by the workgroup but which are not otherwise represented on the Negotiating 

Committee may also serve on that workgroup. Not all organizations or interest caucuses 

represented on the Negotiating Committee need to participate in each workgroup.

(2) The Department of Energy (DOE) will provide appropriate support for the Committee and 

the Workgroups, including a senior economist, senior technical staff, clerical support, and so 

forth.

(3) Workgroups are not authorized to make decisions for the Committee as a whole. 

Decisions to forward a report of a workgroup to the Negotiating Committee shall be made with 

the concurrence of all workgroup members who are present at the meeting where the decision is 

made.

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

same location and time whenever possible. All Committee Members will be notified of all 

workgroup meetings.
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c. Discontinue if Unproductive. The Committee may discontinue negotiations at any time if they 

do not appear productive.

d. Deadline for Negotiations. Negotiations will terminate by December 22, 2011 unless the 

Committee decides to extend the deadline. Every reasonable effort shall be made to conclude 

negotiations and report a consensus Term Sheet to the DOE by December 16, 2011. 

4. Agreement

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

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

that will be signed by all parties to the negotiations. For purposes of this Agreement, the term 

“standard” or “rule” shall be deemed to include any determination that a revision of the standard 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. 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. 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 agrees not to file negative comments on the proposed 

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

d. Response to Public Comments. DOE will consider all relevant comments 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 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 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 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 Committee.

6. Meetings
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a. FACA, NRA, and DOE Policy. The negotiations will be conducted under the Federal Advisory 

Committee Act (FACA), the Negotiated Rulemaking Act of 1990 (NRA), and the Department of 

Energy’s Negotiated Rulemaking Policy.

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 summaries of 

Committee meetings will be prepared by the facilitator for the convenience of the Committee. Such 

meeting summaries shall not be approved by the Committee and shall not be construed or taken to 

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

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 approval of the 

Committee.

7. Future Amendments

Committee Members may propose modifications to this document, with due consideration given such 

proposals.