This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

33870 

Vol. 79, No. 114 

Friday, June 13, 2014 

DEPARTMENT OF ENERGY 

10 CFR Part 429 

[Docket No. EERE–2011–BT–CE–0077] 

Appliance Standards and Rulemaking 

Federal Advisory Committee: Notice of 

Intent To Establish the Regional 

Standards Enforcement Working 

Group To Negotiate a Notice of 

Proposed Rulemaking (NOPR) for 

Regional Standards Enforcement 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, U.S. Department of 

Energy. 

ACTION: Notice of intent. 

SUMMARY: The U.S. Department of 

Energy (DOE or the Department) is 

giving notice that it intends to establish 

a negotiated rulemaking working group 

under the Appliance Standards and 

Rulemaking Federal Advisory 

Committee (ASRAC) in accordance with 

the Federal Advisory Committee Act 

(FACA) and the Negotiated Rulemaking 

Act (NRA) to negotiate proposed Federal 

standards for the energy efficiency 

requirements of enforcement of regional 

standards. The purpose of the working 

group will be to discuss and, if possible, 

reach consensus on a proposed rule for 

the energy efficiency of requirements of 

enforcement of regional standards, as 

authorized by the Energy Policy and 

Conservation Act (EPCA) of 1975, as 

amended. The working group will 

consist of representatives of parties 

having a defined stake in the outcome 

of the proposed standards, and will 

consult as appropriate with a range of 

experts on technical issues. 

DATES: Written comments and request to 

be appointed as members of the working 

group are welcome and should be 

submitted by June 27, 2014. The 

deadline for negotiating a proposed rule 

and submitting it to ASRAC is October 

30, 2014. 

ADDRESSES: Interested person may 

submit comments, identified by docket 

number EERE–2011–BT–CE–0077 by 

any of the following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: ASRAC@ee.doe.gov. Include 

docket number EERE–2011–BT–CE– 

0077 in the subject line of the message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Office, Mailstop EE–5B, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 

Building Technologies Program, 950 

L’Enfant Plaza, SW., Suite 600, 

Washington, DC 20024. Telephone: 

(202) 586–2945. If possible, please 

submit all items on a CD, in which case 

it is not necessary to include printed 

copies. 

No telefacsimilies (faxes) will be 

accepted. 

Docket: The docket is available for 

review at www.regulations.gov, 

including Federal Register notices, 

public meeting attendee lists and 

transcripts, comments, and other 

supporting documents/materials. All 

documents in the docket are listed in 

the www.regulations.gov index. 

However, not all documents listed in 

the index may be publicly available, 

such as information that is exempt from 

public disclosure. 

FOR FURTHER INFORMATION CONTACT: John 

Cymbalsky, U.S. Department of Energy, 

Office of Building Technologies (EE– 

5B), 950 L’Enfant Plaza SW., 

Washington, DC 20024. Phone: 202– 

287–1692. Email: asrac@ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Preamble 

I. Authority 

II. Background 

III. Proposed Negotiating Procedures 

IV. Comments Requested 

I. Authority 

This notice of intent, announcing 

DOE’s intent to negotiate a proposed 

rule for the enforcement of regional 

energy conservation standards, was 

developed under the authority of 

sections 563 and 564 of the NRA (5 

U.S.C. 561–570, Pub. L. 104–320). The 

regulation for regional standards 

enforcement of energy conservation 

standards that DOE is proposing to 

develop under a negotiated rulemaking 

will be developed under the authority of 

EPCA, as amended, 42 U.S.C. 6311(1)(A) 

and 42 U.S.C. 6291 et seq. 

II. Background 

As required by the NRA, DOE is 

giving notice that it is establishing a 

working group under ASRAC to develop 

proposed energy efficiency 

requirements for regional standards 

enforcement. EPCA, as amended, directs 

DOE to adopt energy conservation 

standards for regional standards 

enforcement for which standards would 

be technologically feasible and 

economically justified, and would result 

in significant energy savings. There 

currently are no energy conservation 

standards for regional standards 

enforcement. 

A. Negotiated Rulemaking 

DOE has decided to use the negotiated 

rulemaking process to develop proposed 

energy efficiency standards for regional 

standards enforcement. Under EPCA, 

Congress mandated that DOE develop 

regulations establishing energy 

efficiency standards for covered 

residential and commercial appliances 

that are designed to achieve the 

maximum improvement in energy 

efficiency that are technologically 

feasible and economically justified. 42 

U.S.C. 6295(o)(2)(A). The primary 

reason for using the negotiated 

rulemaking process for developing a 

proposed Federal standard is that 

stakeholders strongly support a 

consensual rulemaking effort. DOE 

believes such a regulatory negotiation 

process will be less adversarial and 

better suited to resolving complex 

technical issues. An important virtue of 

negotiated rulemaking is that it allows 

expert dialog that is much better than 

traditional techniques at getting the 

facts and issues right and will result in 

a proposed rule that will effectively 

reflect Congressional intent. 

A regulatory negotiation will enable 

DOE to engage in direct and sustained 

dialog with informed, interested, and 

affected parties when drafting the 

regulation, rather than obtaining input 

during a public comment period after 

developing and publishing a proposed 

rule. Gaining this early understanding of 

all parties’ perspectives allows DOE to 

address key issues at an earlier stage of 

the process, thereby allowing more time 

for an iterative process to resolve issues. 

A rule drafted by negotiation with 


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Federal Register / Vol. 79, No. 114 / Friday, June 13, 2014 / Proposed Rules 33871 

informed and affected parties is 

expected to be potentially more 

pragmatic and more easily implemented 

than a rule arising from the traditional 

process. Such rulemaking improvement 

is likely to provide the public with the 

full benefits of the rule while 

minimizing the potential negative 

impact of a proposed regulation 

conceived or drafted without the full 

prior input of outside knowledgeable 

parties. Because a negotiating working 

group includes representatives from the 

major stakeholder groups affected by or 

interested in the rule, the number of 

public comments on the proposed rule 

may be decreased. DOE anticipates that 

there will be a need for fewer 

substantive changes to a proposed rule 

developed under a regulatory 

negotiation process prior to the 

publication of a final rule. 

B. The Concept of Negotiated 

Rulemaking 

Usually, DOE develops a proposed 

rulemaking using Department staff and 

consultant resources. Typically, a 

preliminary analysis is vetted for 

stakeholder comments after a 

Framework Document is published and 

comments taken thereon. After the 

notice of proposed rulemaking is 

published for comment, affected parties 

may submit arguments and data 

defining and supporting their positions 

with regard to the issues raised in the 

proposed rule. Congress noted in the 

NRA, however, that regulatory 

development may ‘‘discourage the 

affected parties from meeting and 

communicating with each other, and 

may cause parties with different 

interests to assume conflicting and 

antagonistic positions. . . .’’ 5 U.S.C. 

561(2)(2). Congress also stated that 

‘‘adversarial rulemaking deprives the 

affected parties and the public of the 

benefits of face-to-face negotiations and 

cooperation in developing and reaching 

agreement on a rule. It also deprives 

them of the benefits of shared 

information, knowledge, expertise, and 

technical abilities possessed by the 

affected parties.’’ 5 U.S.C. 561(2)(3). 

Using negotiated rulemaking to 

develop a proposed rule differs 

fundamentally from the Department 

centered process. In negotiated 

rulemaking, a proposed rule is 

developed by an advisory committee or 

working group, chartered under FACA, 

5 U.S.C. App. 2, composed of members 

chosen to represent the various interests 

that will be significantly affected by the 

rule. The goal of the advisory committee 

or working group is to reach consensus 

on the treatment of the major issues 

involved with the rule. The process 

starts with the Department’s careful 

identification of all interests potentially 

affected by the rulemaking under 

consideration. To help with this 

identification, the Department publishes 

a notice of intent such as this one in the 

Federal Register, identifying a 

preliminary list of interested parties and 

requesting public comment on that list. 

Following receipt of comments, the 

Department establishes an advisory 

committee or working group 

representing the full range of 

stakeholders to negotiate a consensus on 

the terms of a proposed rule. 

Representation on the advisory 

committee or working group may be 

direct; that is, each member may 

represent a specific interest, or may be 

indirect, such as through trade 

associations and/or similarly-situated 

parties with common interests. The 

Department is a member of the advisory 

committee or working group and 

represents the Federal government’s 

interests. The advisory committee or 

working group chair is assisted by a 

neutral mediator who facilitates the 

negotiation process. The role of the 

mediator, also called a facilitator, is to 

apply proven consensus-building 

techniques to the advisory committee or 

working group process. 

After an advisory committee or 

working group reaches consensus on the 

provisions of a proposed rule, the 

Department, consistent with its legal 

obligations, uses such consensus as the 

basis of its proposed rule, which then is 

published in the Federal Register. This 

publication provides the required public 

notice and provides for a public 

comment period. Other participants and 

other interested parties retain their 

rights to comment, participate in an 

informal hearing (if requested), and 

request judicial review. DOE 

anticipates, however, that the preproposal consensus agreed upon by the 

advisory committee or working group 

will narrow any issues in the 

subsequent rulemaking. 

C. Proposed Rulemaking for 

Enforcement of Regional Energy 

Conservation Standards 

The NRA enables DOE to establish an 

advisory committee or working group if 

it is determined that the use of the 

negotiated rulemaking process is in the 

public interest. DOE intends to develop 

Federal regulations that build on the 

depth of experience accrued in both the 

public and private sectors in 

implementing standards and programs. 

DOE has determined that the 

regulatory negotiation process will 

provide for obtaining a diverse array of 

in-depth input, as well as an 

opportunity for increased collaborative 

discussion from both private-sector 

stakeholders and government officials 

who are familiar with energy efficiency 

of regional standards enforcement. 

D. Department Commitment 

In initiating this regulatory 

negotiation process to develop a 

regulation to enforce regional energy 

conservation standards, DOE is making 

a commitment to provide adequate 

resources to facilitate timely and 

successful completion of the process. 

This commitment includes making the 

process a priority activity for all 

representatives, components, officials, 

and personnel of the Department who 

need to be involved in the rulemaking, 

from the time of initiation until such 

time as a final rule is issued or the 

process is expressly terminated. DOE 

will provide administrative support for 

the process and will take steps to ensure 

that the advisory committee or working 

group has the dedicated resources it 

requires to complete its work in a timely 

fashion. Specifically, DOE will make 

available the following support services: 

Properly equipped space adequate for 

public meetings and caucuses; logistical 

support; word processing and 

distribution of background information; 

the service of a facilitator; and such 

additional research and other technical 

assistance as may be necessary. 

To the maximum extent possible 

consistent with the legal obligations of 

the Department, DOE will use the 

consensus of the advisory committee or 

working group as the basis for the rule 

the Department proposes for public 

notice and comment. 

E. Negotiating Consensus 

As discussed above, the negotiated 

rulemaking process differs 

fundamentally from the usual process 

for developing a proposed rule. 

Negotiation enables interested and 

affected parties to discuss various 

approaches to issues rather than asking 

them only to respond to a proposal 

developed by the Department. The 

negotiation process involves a mutual 

education of the various parties on the 

practical concerns about the impact of 

standards. Each advisory committee or 

working group member participates in 

resolving the interests and concerns of 

other members, rather than leaving it up 

to DOE to evaluate and incorporate 

different points of view. 

A key principle of negotiated 

rulemaking is that agreement is by 

consensus of all the interests. Thus, no 

one interest or group of interests is able 

to control the process. The NRA defines 

consensus as the unanimous 


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33872 Federal Register / Vol. 79, No. 114 / Friday, June 13, 2014 / Proposed Rules 

concurrence among interests 

represented on a negotiated rulemaking 

committee or working group, unless the 

committee or working group itself 

unanimously agrees to use a different 

definition. 5 U.S.C. 562. In addition, 

experience has demonstrated that using 

a trained mediator to facilitate this 

process will assist all parties, including 

DOE, in identifying their real interests 

in the rule, and thus will enable parties 

to focus on and resolve the important 

issues. 

III. Proposed Negotiating Procedures 

A. Key Issues for Negotiation 

The following issues and concerns 

will underlie the work of the Negotiated 

Rulemaking Committee on Enforcement 

of Regional Energy Conservation 

Standards for regional standards 

enforcement: 

• DOE’s key issues include assuring 

full compliance with statutory 

mandates. 

• The committee must develop an 

effective enforcement framework for 

regional energy conservation standards. 

To examine the underlying issues 

outlined above, and others not yet 

articulated, all parties in the negotiation 

will need DOE to provide data and an 

analytic framework complete and 

accurate enough to support their 

deliberations. DOE’s analyses must be 

adequate to inform a prospective 

negotiation—for example, a preliminary 

Technical Support Document or 

equivalent must be available and timely. 

B. Formation of Working Group 

A working group will be formed and 

operated in full compliance with the 

requirements of FACA and in a manner 

consistent with the requirements of the 

NRA. DOE has determined that the 

working group not exceeds 25 members. 

The Department believes that more than 

25 members would make it difficult to 

conduct effective negotiations. DOE is 

aware that there are many more 

potential participants than there are 

membership slots on the working group. 

The Department does not believe, nor 

does the NRA contemplate, that each 

potentially affected group must 

participate directly in the negotiations; 

nevertheless, each affected interest can 

be adequately represented. To have a 

successful negotiation, it is important 

for interested parties to identify and 

form coalitions that adequately 

represent significantly affected interests. 

To provide adequate representation, 

those coalitions must agree to support, 

both financially and technically, a 

member of the working group whom 

they choose to represent their interests. 

DOE recognizes that when it 

establishes energy efficiency standards 

for residential products and commercial 

equipment, various segments of society 

may be affected in different ways, in 

some cases producing unique 

‘‘interests’’ in a proposed rule based on 

income, gender, or other factors. The 

Department will pay attention to 

providing that any unique interests that 

have been identified, and that may be 

significantly affected by the proposed 

rule, are represented. 

FACA also requires that members of 

the public have the opportunity to 

attend meetings of the full committee 

and speak or otherwise address the 

committee during the public comment 

period. In addition, any member of the 

public is permitted to file a written 

statement with the advisory committee. 

DOE plans to follow these same 

procedures in conducting meetings of 

the working group. 

C. Interests Involved/Working Group 

Membership 

DOE anticipates that the working 

group will comprise no more than 25 

members who represent affected and 

interested stakeholder groups, at least 

one of whom must be a member of the 

ASRAC. As required by FACA, the 

Department will conduct the negotiated 

rulemaking with particular attention to 

ensuring full and balanced 

representation of those interests that 

may be significantly affected by the 

proposed rule governing rules for the 

enforcement of regional energy 

conservation standards. Section 562 of 

the NRA defines the term interest as 

‘‘with respect to an issue or matter, 

multiple parties which have a similar 

point of view or which are likely to be 

affected in a similar manner.’’ Listed 

below are parties the Department to date 

has identified as being ‘‘significantly 

affected’’ by a proposed rule regarding 

the energy efficiency of regional 

standards enforcement. 

• The Department of Energy 

• Trade Associations representing 

installers and distributors of HVAC 

equipment 

• Component manufacturers and related 

suppliers 

• Utilities 

• Energy efficiency/environmental 

advocacy groups 

• Consumers 

One purpose of this notice of intent is 

to determine whether Federal 

regulations regarding the enforcement of 

regional energy conservation standards 

will significantly affect interests that are 

not listed above. DOE invites comment 

and suggestions on its initial list of 

significantly affected interests. 

Members may be individuals or 

organizations. If the effort is to be 

fruitful, participants on the working 

group should be able to fully and 

adequately represent the viewpoints of 

their respective interests. This 

document gives notice of DOE’s process 

to other potential participants and 

affords them the opportunity to request 

representation in the negotiations. 

Those who wish to be appointed as 

members of the working group, should 

submit a request to DOE, in accordance 

with the public participation procedures 

outlined in the DATES and ADDRESSES

sections of this notice of intent. 

Membership of the working group is 

likely to involve: 

• Attendance at approximately five 

(5), one (1) to two (2) day meetings; 

• Travel costs to those meetings; and 

• Preparation time for those meetings. 

Members serving on the working 

group will not receive compensation for 

their services. Interested parties who are 

not selected for membership on the 

working group may make valuable 

contributions to this negotiated 

rulemaking effort in any of the following 

ways: 

• The person may request to be 

placed on the working group mailing 

list and submit written comments as 

appropriate. 

• The person may attend working 

group meetings, which are open to the 

public; caucus with his or her interest’s 

member on the working group; or even 

address the working group during the 

public comment portion of the working 

group meeting. 

• The person could assist the efforts 

of a workgroup that the working group 

might establish. 

A working group may establish 

informal workgroups, which usually are 

asked to facilitate committee 

deliberations by assisting with various 

technical matters (e.g., researching or 

preparing summaries of the technical 

literature or comments on specific 

matters such as economic issues). 

Workgroups also might assist in 

estimating costs or drafting regulatory 

text on issues associated with the 

analysis of the costs and benefits 

addressed, or formulating drafts of the 

various provisions and their 

justifications as previously developed 

by the working group. Given their 

support function, workgroups usually 

consist of participants who have 

expertise or particular interest in the 

technical matter(s) being studied. 

Because it recognizes the importance of 

this support work for the working 

group, DOE will provide appropriate 

technical expertise for such workgroups. 


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Federal Register / Vol. 79, No. 114 / Friday, June 13, 2014 / Proposed Rules 33873 

D. Good Faith Negotiation 

Every working group member must be 

willing to negotiate in good faith and 

have the authority, granted by his or her 

constituency, to do so. The first step is 

to ensure that each member has good 

communications with his or her 

constituencies. An intra-interest 

network of communication should be 

established to bring information from 

the support organization to the member 

at the table, and to take information 

from the table back to the support 

organization. Second, each organization 

or coalition therefore should designate 

as its representative a person having the 

credibility and authority to ensure that 

needed information is provided and 

decisions are made in a timely fashion. 

Negotiated rulemaking can require the 

appointed members to give a significant 

sustained for as long as the duration of 

the negotiated rulemaking. Other 

qualities of members that can be helpful 

are negotiating experience and skills, 

and sufficient technical knowledge to 

participate in substantive negotiations. 

Certain concepts are central to 

negotiating in good faith. One is the 

willingness to bring all issues to the 

bargaining table in an attempt to reach 

a consensus, as opposed to keeping key 

issues in reserve. The second is a 

willingness to keep the issues at the 

table and not take them to other forums. 

Finally, good faith includes a 

willingness to move away from some of 

the positions often taken in a more 

traditional rulemaking process, and 

instead explore openly with other 

parties all ideas that may emerge from 

the working group’s discussions. 

E. Facilitator 

The facilitator will act as a neutral in 

the substantive development of the 

proposed standard. Rather, the 

facilitator’s role generally includes: 

• Impartially assisting the members of 

the working group in conducting 

discussions and negotiations; and 

• Impartially assisting in performing 

the duties of the Designated Federal 

Official under FACA. 

F. Department Representative 

The DOE representative will be a full 

and active participant in the consensus 

building negotiations. The Department’s 

representative will meet regularly with 

senior Department officials, briefing 

them on the negotiations and receiving 

their suggestions and advice so that he 

or she can effectively represent the 

Department’s views regarding the issues 

before the working group. DOE’s 

representative also will ensure that the 

entire spectrum of governmental 

interests affected by the standards 

rulemaking, including the Office of 

Management and Budget, the Attorney 

General, and other Departmental offices, 

are kept informed of the negotiations 

and encouraged to make their concerns 

known in a timely fashion. 

G. Working Group and Schedule 

After evaluating the comments 

submitted in response to this notice of 

intent and the requests for nominations, 

DOE will either inform the members of 

the working group that they have been 

selected or determine that conducting a 

negotiated rulemaking is inappropriate. 

DOE will advise working group 

members of administrative matters 

related to the functions of the working 

group before beginning. DOE will 

establish a meeting schedule based on 

the settlement agreement and produce 

the necessary documents so as to adhere 

to that schedule. While the negotiated 

rulemaking process is underway, DOE is 

committed to performing much of the 

same analysis as it would during a 

normal standards rulemaking process 

and to providing information and 

technical support to the working group. 

IV. Comments Requested 

DOE requests comments on which 

parties should be included in a 

negotiated rulemaking to develop draft 

language pertaining to the energy 

efficiency of regional standards 

enforcement and suggestions of 

additional interests and/or stakeholders 

that should be represented on the 

working group. All who wish to 

participate as members of the working 

group should submit a request for 

nomination to DOE. 

V. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of today’s notice of 

proposed rulemaking. 

Issued in Washington, DC, on June 9, 2014. 

Kathleen B. Hogan, 

Deputy Assistant Secretary for Energy 

Efficiency and Renewable Energy. 

[FR Doc. 2014–13847 Filed 6–12–14; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF ENERGY 

10 CFR Part 429 

[Docket No. EERE–2009–BT–BC–0021] 

Appliance Standards and Rulemaking 

Federal Advisory Committee: Notice of 

Intent To Establish the Manufactured 

Housing Working Group To Negotiate 

a Notice of Proposed Rulemaking 

(NOPR) for Energy Efficiency 

Standards for Manufactured Housing 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, U.S. Department of 

Energy. 

ACTION: Notice of intent. 

SUMMARY: The U.S. Department of 

Energy (DOE or the Department) is 

giving notice that it intends to establish 

a negotiated rulemaking working group 

under the Appliance Standards and 

Rulemaking Federal Advisory 

Committee (ASRAC) in accordance with 

the Federal Advisory Committee Act 

(FACA) and the Negotiated Rulemaking 

Act (NRA) to negotiate proposed Federal 

standards for the energy efficiency of 

manufactured homes. The purpose of 

the working group will be to discuss 

and, if possible, reach consensus on a 

proposed rule for the energy efficiency 

of manufactured homes, as authorized 

by section 413 of the Energy 

Independence and Security Act of 2007 

(EISA). The working group will consist 

of representatives of parties having a 

defined stake in the outcome of the 

proposed standards, and will consult as 

appropriate with a range of experts on 

technical issues. 

DATES: Written comments and request to 

be appointed as members of the working 

group are welcome and should be 

submitted by June 27, 2014. 

The deadline for negotiating a 

proposed rule and submitting it to 

ASRAC is September 30, 2014. 

ADDRESSES: Interested person may 

submit comments, identified by docket 

number EERE–2009–BT–BC–0021, by 

any of the following methods: 

1. Federal eRulemaking Portal: 

www.regulations.gov. Follow the 

instructions for submitting comments. 

2. Email: ASRAC@ee.doe.gov. Include 

docket number EERE–2009–BT–BC– 

0021 in the subject line of the message. 

3. Mail: Ms. Brenda Edwards, U.S. 

Department of Energy, Building 

Technologies Program, Mailstop EE–5B, 

1000 Independence Avenue SW., 

Washington, DC 20585–0121. If 

possible, please submit all items on a 

compact disc (CD), in which case it is 

not necessary to include printed copies. 

4. Hand Delivery/Courier: Ms. Brenda 

Edwards, U.S. Department of Energy, 


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