Energy Conservation Program for Consumer Products: Test Procedures and Certification and Enforcement Requirements for Plumbing Products; and Certification and Enforcement Requirements for Residential Appliances

SUMMARY: The Energy Policy and Conservation Act, as amended (EPCA),

requires the Department of Energy (DOE or the Department) to administer

an energy and water conservation program for certain major household

appliances and commercial equipment, including certain plumbing

products. This final rule codifies in Part 430 of Title 10 of the Code

of Federal Regulations water conservation standards established in EPCA

for showerheads, water closets and urinals; establishes, as directed by

EPCA, water conservation standards for faucets and test procedures for

faucets, showerheads, water closets and urinals by reference to revised

American Society of Mechanical Engineers/American National Standards

Institute (ASME/ANSI) standards; and provides certification and

enforcement requirements for plumbing products. This final rule also

clarifies and extends the certification and enforcement requirements to

all residential covered products.

DATES: This rule is effective April 17, 1998 except for

Secs. 430.62(a)(4)(vii), 430.62(a)(4)(xiv), 430.62(a)(4)(xv) and

430.62(a)(4)(xvi) which become effective March 18, 1999. The

incorporation by reference of certain publications listed in the

regulations is approved by the Director of the Federal Register as of

April 17, 1998. In addition, as prescribed in Section 323(c)(2) of

EPCA, beginning on September 14, 1998 no manufacturer, distributor,

retailer, or private labeler may make representations with respect to

water use covered plumbing products, except as reflected in tests

conducted according to DOE test procedure found in this rule.

ADDRESSES: The Department is incorporating by reference test standards

from ASME/ANSI. These standards (which contain both test procedures and

water usage standards) are listed below:

1. American Society of Mechanical Engineers/American National

Standards Institute Standard A112.19.6-1995, ``Hydraulic Requirements

for Water Closets and Urinals,'' Section 7.1.2, subsections 7.1.2.1,

7.1.2.2 and 7.1.2.3; Section 7.1.6; Section 8.2, subsections 8.2.1,

8.2.2, 8.2.3; and Section 8.5.

2. American Society of Mechanical Engineers/American National

Standards Institute Standard A112.18.1M-1996, ``Plumbing Fixture

Fittings,'' Section 6.5.

Copies of these standards may be viewed at the Department of Energy

Freedom of Information Reading Room, Forrestal Building, Room 1E-190,

1000 Independence Avenue, SW, Washington, DC 20585, (202) 586-3142

between the hours of 9:00 a.m. and 4:00 p.m., Monday through Friday,

except Federal holidays.

Copies of the ASME/ANSI Standards may also be obtained by request

from the American Society of Mechanical Engineers, Service Center, 22

Law Drive, P.O. Box 2900, Fairfield, NJ 07007, or the American National

Standards Institute, 1430 Broadway, New York, NY 10018.

FOR FURTHER INFORMATION CONTACT: Barbara Twigg, U.S. Department of

Energy, Office of Energy Efficiency and Renewable Energy, Mail Stop:

EE-43, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC

20585-0121. Telephone: (202) 586-8714, FAX: (202) 586-4717, E-Mail:

[email protected], or Eugene Margolis, Esq., U.S. Department of

Energy, Office of General Counsel, Mail Stop: GC-72, Forrestal

Building, 1000 Independence Avenue, SW, Washington, DC 20585-0103.

Telephone: (202) 586-9507, FAX: (202) 586-4116, E-Mail:

[email protected]

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Authority

B. Background

II. Discussion of Comments

A. Test Procedures

(1) Faucets and showerheads

(2) Water closets and urinals

B. Water Conservation Standards

(1) Faucets

(2) Showerheads

(3) Water closets and urinals

C. Definitions

D. Definition of ``Basic Model''

E. Definition of ``Electromechanical Hydraulic Toilet''

F. Statistical Sampling Plans for Certification Testing

G. Certification Reporting Requirements for Plumbing Products

(1) Types of information to be submitted

(2) Precision level of reported test results

(3) Mathematical rounding rules

(4) Effective date for initial certification submissions

H. Modifications to Existing Language to Include Plumbing

Products in the Code of Federal Regulations

I. Faucet Standards for Multiple-User Sprayheads

(1) Application of faucet standards to sprayheads with

independently-controlled orifices

(2) Application of faucet standards to sprayheads with

collectively-controlled orifices

J. Urinal Standard for Trough-Type Urinals

K. Enforcement

L. Clarification of Certification Reporting Requirements for

Residential Appliances

(1) Means of certification

(2) Discontinued model

(3) Amendment of information

(4) Submission of annual energy use for kitchen ranges, ovens,

and microwave ovens

M. Metric Equivalents

N. Other Issues

(1) Establishment of an e-mail address

(2) Performance-based standard

(3) Consumer tampering

(4) Product listing

III. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969

B. Review Under Executive Order 12866, ``Regulatory Planning and

Review''

C. Review Under the Regulatory Flexibility Act

D. Review Under Executive Order 12612, ``Federalism''

E. Review Under Executive Order 12630, ``Governmental Actions

and Interference with Constitutionally Protected Property Rights''

F. Review Under the Paperwork Reduction Act

G. Review Under Executive Order 12988, ``Civil Justice Reform''

H. Review Under Unfunded Mandates Reform Act of 1995

I. Review Under the Small Business Regulatory Enforcement

Fairness Act of 1996

I. Introduction

A. Authority

Part B of Title III of the Energy Policy and Conservation Act of

1975, as amended (EPCA), created the Energy Conservation Program for

Consumer Products other than Automobiles (Program). The products

covered under this program include faucets, showerheads, water closets,

and urinals--the subjects of today's final rule.

This program consists essentially of three parts: testing,

labeling, and energy and water conservation standards. In the case of

faucets, showerheads, water closets, and urinals, the test procedures

[[Page 13309]]

measure water use or estimated annual operating cost of these covered

products during a representative average use cycle or period of use, as

determined by the Secretary, and shall not be unduly burdensome to

conduct. EPCA, Sec. 323(b)(3), 42 U.S.C. Sec. 6293(b)(3).

One hundred and eighty days after a test procedure for a product is

prescribed or established, no manufacturer, distributor, retailer, or

private labeler may make representations with respect to energy use,

efficiency, or the cost of energy consumed by products by this rule,

except as reflected in tests conducted according to the new or amended

DOE test procedure and such representations fairly disclose the results

of such tests. Section 323(c)(2) of EPCA, 42 U.S.C. 6293(c)(2). Thus,

beginning on [insert date 180 days from the date of publication],

representations with respect to the products covered by this rule must

be consistent with this amended test procedure.

EPCA states that the procedures for testing and measuring the water

use of faucets and showerheads, and water closets and urinals, shall be

ASME/ANSI Standards A112.18.1M-1989, and A112.19.6-1990, respectively,

but that if ASME/ANSI revises these requirements, the Secretary shall

adopt such revisions unless the Secretary determines by rule that the

revised test procedures are not satisfactory for determining water use

of the covered plumbing products or they are unduly burdensome to

conduct. EPCA, Sec. 323(b)(7) and 323(b)(8), 42 U.S.C. Sec. 6293(b)(7)

and Sec. 6293(b)(8).

EPCA prescribes water conservation standards for faucets,

showerheads, water closets and urinals. It further provides that if the

requirements of ASME/ANSI Standard A112.18.1M-1989 or ASME/ANSI

Standard A112.19.6-1990 are amended to improve the efficiency of water

use, the Secretary shall publish a final rule establishing an amended

uniform national standard unless the Secretary determines that adoption

of such a standard at the level specified is not (i) technologically

feasible and economically justified, (ii) consistent with the

maintenance of public health and safety; or (iii) consistent with the

purposes of this Act. EPCA, Sec. 325(j) and 325(k), 42 U.S.C.

Sec. 6295(j) and Sec. 6295(k).

B. Background

On February 20, 1997, the Department published in the Federal

Register a Notice of Proposed Rulemaking regarding Test Procedures and

Certification Requirements for Plumbing Products; and Certification

Reporting Requirements for Residential Appliances. 62 FR 7834. A public

hearing was held in Washington, DC, on April 1, 1997. The comment

period for written submissions was closed on May 6, 1997.

The notice proposed to codify into the Code of Federal Regulations

statutory requirements with respect to plumbing products (water

conservation standards, test procedures, and definitions); provide

regulations for certification and enforcement requirements for plumbing

products; and to clarify and extend the certification and enforcement

requirements to all residential covered products.

II. Discussion of Comments

A. Test Procedures

(1) Faucets and Showerheads

In the proposed rule, the Department proposed to incorporate by

reference, section 6.5, ``Flow Capacity Test,'' in ASME/ANSI Standard

A112.18.1M-1994, for testing faucets and showerheads. On May 29, 1996,

the test procedure requirements for faucets and showerheads in ASME/

ANSI Standard A112.18.1M-1994 were revised and issued as ASME/ANSI

Standard A112.18.1M-1996.

The Plumbing Manufacturers Institute (PMI), Moen Incorporated

(Moen), and Kohler Company (Kohler) commented that the test

requirements for measuring water consumption remained unchanged and

urged that DOE incorporate instead ASME/ANSI Standard A112.18.1M-1996.

(PMI, Transcript, at 20; Moen, Transcript, at 22; and Kohler,

Transcript, at 23). No additional comments were received. The

Department is incorporating by reference section 6.5 in ASME/ANSI

Standard A112.18.1M-1996 in today's final rule.

(2) Water Closets and Urinals

In the proposed rule, DOE proposed to incorporate by reference,

section 7.1.2, ``Test Apparatus and General Instructions,'' and

subsections 7.1.2.1, 7.1.2.2, 7.1.2.3, and 7.1.6, ``Water Consumption

and Hydraulic Characteristics,'' in ASME/ANSI Standard A112.19.6-1990,

for testing water closets. In the same ASME/ANSI Standard, the

Department also proposed to incorporate by reference, section 8.2,

``Test Apparatus and General Instructions,'' subsections 8.2.1, 8.2.2,

8.2.3, and section 8.5, ``Water Consumption,'' for testing urinals. On

April 19, 1996, the test procedure requirements for water closets and

urinals in ASME/ANSI Standard A112.19.6-1990 were revised and issued as

ASME Standard A112.19.6-1995.

American Standard Inc. (American Standard) stated that test

procedure requirements for water closets and urinals in both versions

of ASME/ANSI Standard A112.19.6 are identical, and recommended that DOE

incorporate instead ASME Standard A112.19.6-1995. (American Standard

Inc., Transcript, at 95). No additional comments were received. The

Department is incorporating by reference sections 7.1.2, 7.1.2.1,

7.1.2.2, 7.1.2.3, 7.1.6, 8.2, 8.2.1, 8.2.2, 8.2.3, and 8.5 in ASME

Standard A112.19.6-1995 in today's final rule.

B. Water Conservation Standards

(1) Faucets

In the proposed rule, the Department proposed, in response to

industry's request for conformity with a single standard, to adopt the

faucet standard (2.2 gallons per minutes (gpm) at 60 pounds per square

inch (psig)) contained in ASME/ANSI Standard A112.18.1M-1994. The

American Water Works Association (AWWA), the California Energy

Commission (CEC), PMI, and the International Association of Plumbing

and Mechanical Officials (IAPMO) supported the standard for faucets in

ASME/ANSI Standard A112.18.1M-1994 (2.2 gpm at 60 psig). (AWWA, No. 1,

at 2; CEC, Transcript, at 18; PMI, Transcript, at 20; and IAPMO,

Transcript, at 21).

As discussed above, ASME/ANSI Standard A112.18.1M-1994 was revised

and issued as ASME/ANSI Standard A112.18.1M-1996; however, the standard

for faucets remained the same as in ASME/ANSI Standard A112.18.1M-1994.

No other comments were received. Based on the above considerations, the

Department is incorporating the faucet standard in ASME/ANSI Standard

A112.18.1M-1996 in today's final rule.

(2) Showerheads

In the proposed rule, the Department proposed to codify the

statutory standard for showerheads (2.5 gpm at 80 psig) and incorporate

by reference the tamper proofing requirement in section 7.4.4(a) of

ASME/ANSI Standard A112.18.1M-1994. This requirement specifies that if

a flow control insert is used as a component part of a showerhead, then

it must be manufactured such that a pushing or pulling force of 36

Newtons (8 lbf) or more is required to remove the insert.

As previously mentioned, ASME/ANSI Standard A112.18.1M-1994 was

revised and issued as ASME/ANSI

[[Page 13310]]

Standard A112.18.1M-1996. The standard for showerheads in both ASME/

ANSI Standard A112.18.1M-1994 and ASME/ANSI Standard A112.18.1M-1996,

is the same as the level prescribed in EPCA. DOE is codifying the

statutory standard for showerheads and incorporating by reference

Section 7.4.4(a) of ASME/ANSI Standard A112.18.1M-1996, in today's

final rule.

(3) Water Closets and Urinals

In the proposed rule, DOE proposed to codify the statutory

standards for water closets and urinals. The maximum water use allowed

is 1.6 gallons per flush (gpf) for gravity tank-type toilets,

flushometer tank toilets, and electromechanical hydraulic toilets, if

manufactured after January 1, 1994; and for flushometer valve toilets

and commercial gravity tank-type 2 piece toilets, if manufactured after

January 1, 1997. The maximum water use allowed for blowout toilets is

3.5 gpf, if manufactured after January 1, 1994. The maximum water use

for any urinal is 1.0 gpf, if manufactured after January 1, 1997.

As previously mentioned, ASME/ANSI Standard A112.19.6-1990 was

revised and issued as ASME/ANSI A112.19.6-1995. The standards for

toilets and urinals, which remained unchanged in the updated ASME/ANSI

Standard, are also at the levels prescribed in EPCA. The Department is

codifying the statutory standards for toilets and urinals in today's

final rule.

C. Definitions

In the proposed rule, the Department proposed definitions for the

terms ``consumer product,'' ``energy conservation standard,''

``estimated annual operating cost,'' ``ANSI,'' ``ASME,'' ``blowout,''

``faucet,'' ``flushometer tank,'' ``flushometer valve,'' ``low

consumption,'' ``showerhead,'' ``urinal,'' ``water closet,'' and

``water use'' drawn from EPCA Sec. 321. No comments were requested or

required for incorporation of these statutory definitions. DOE is

incorporating these statutory definitions in today's final rule.

D. Definition of ``Basic Model''

In the proposed rule, DOE proposed to establish definitions of

``basic model'' for plumbing products. These definitions allow models

that exhibit essentially identical characteristics to be categorized

into a family, where only representative samples within that family

would need to be tested for certification purposes.

For faucets and showerheads, the Department proposed that ``basic

model'' be defined by either the flow control mechanism attached to or

installed with the fixture fittings, or the models that have identical

water-passage design features that use the same path of water in the

highest flow mode. For water closets and urinals, the Department

proposed that ``basic model'' be defined as units which have hydraulic

characteristics that are essentially identical, and which do not have

any differing physical or functional characteristics that affect

consumption. No comments on this issue were received. The Department is

adopting these definitions as proposed in today's final rule.

E. Definition of ``Electromechanical Hydraulic Toilet''

In the proposed rule, DOE proposed to define ``electromechanical

hydraulic toilet,'' as ``any water closet that utilizes electrically

operated devices, such as, but not limited to, air compressors, pumps,

solenoids, motors, or macerators in place of, or to aid, gravity in

evacuating waste from the toilet bowl.'' No comments on this proposal

were received. The Department is adopting the definition as proposed in

today's final rule.

F. Statistical Sampling Plans for Certification Testing

In the proposed rule, DOE proposed statistical sampling plans for

faucets, showerheads, water closets, and urinals based on the current

approach used for residential appliances. The purpose of sampling plans

is to minimize the test burden while ensuring that the true mean

performance of the product being manufactured and sold meets or

conforms to the statutory water usage standard.

DOE proposed a statistical sampling plan at 95 percent confidence

limits with a 1.05 divisor for faucets and showerheads, and at 90

percent confidence limits with a 1.10 divisor for water closets and

urinals. AWWA supported the statistical sampling plans at the levels

proposed. (AWWA, No. 1, at 2; and Transcript, at 25). No other comments

were received on this issue. The Department is adopting the statistical

plans as proposed in today's final rule.

G. Certification Reporting Requirements for Plumbing Products

(1) Types of Information To Be Submitted

In the proposed rule, DOE proposed that each basic model of a

covered product to be certified include the following information: the

product type, product class, manufacturer's name, private labeler

name(s), if applicable, the manufacturer's model number(s), and the

water usage. IAPMO supported DOE's proposal. (IAPMO, Transcript, No.

38). No additional comments on this proposal were received. DOE is

adopting this provision in today's final rule.

(2) Precision Level of Reported Test Results

In the proposed rule, DOE noted that statutory standards for

faucets, showerheads, water closets, and urinals are specified in terms

of a tenth of a gallon, or in the case of metering faucets, a hundredth

of a gallon, and proposed that these levels be observed in

certification and enforcement. No comments on this proposal were

received. The Department is adopting this provision in today's final

rule.

(3) Mathematical Rounding Rules

In the proposed rule, the Department proposed that reported test

results conform to precision levels established in EPCA and that they

be converted from test data utilizing the following mathematical

rounding rules: Five and above round up, and less than five, round

down. DOE also specified that such rounding rules are to be applied

after the final result is calculated.

American Standard stated that there is confusion in the industry on

whether to apply rounding rules to conform with specified precision

levels at each step of the calculation or only once after the final

result is calculated. American Standard claimed that different test

results may be generated and requested that DOE clarify the application

of the proposed rounding rules. (American Standard, Transcript, at 35).

The California Energy Commission (CEC) and AWWA also supported

clarification. (CEC, Transcript, at 35; and AWWA, No. 1, at 2-3).

The Department believes that rounding at each step of the

calculation or rounding once after the final result is calculated may

generate different reported test results. Therefore, today's final rule

clarifies the application of the proposed rounding rules by specifying

that measurements are to be recorded at the resolution of the test

instrumentation and that at each step in the measurement and

calculation procedure, the results are to be rounded off to the same

number of significant digits as the previous step. The final water

consumption value shall be rounded to one decimal place for water

closets, urinals, and shower heads and

[[Page 13311]]

non-metered faucets, or two decimal places for metered faucets.

(4) Effective Date for Initial Certification Submissions

In the proposed rule, DOE proposed plumbing manufacturers be

provided one year to comply with the certification requirements of

sections 430.62(a)(4) (vii), (xiv-xvi) of this rule. No comments on

this proposal were received. The Department is adopting this provision

in today's final rule.

H. Modifications to Existing Language To Include Plumbing Products in

the Code of Federal Regulations

In the proposed rule, DOE proposed to amend sections 430.27,

430.31-430.33, 430.40, 430.41, 430.47, 430.49, 430.50, 430.60, 430.61,

430.63, 430.70(a)(1), 430.70(a)(3), 430.70(a)(6) and 430.73 of Title 10

of the CFR by modifying existing language to include plumbing products

covered by EPCA.

AWWA's proposed amendment to section 430.33 would allow States to

set more restrictive water conservation standards and preempt States

from setting less restrictive standards than the Federal standard.

Section 327(c) of EPCA, however, specifies that when a Federal standard

is in effect with respect to water use for faucets, showerheads, water

closets and urinals, any State regulation concerning the water use of

these covered products is preempted, regardless of whether it is more

or less restrictive than the Federal standard, subject to six limited

exceptions. (Two of the exceptions related specifically to water use

standards of New York, Rhode Island, and Georgia in effect on the date

of enactment of the Energy Policy Act of 1992.) Under current law, DOE

is without authority to make the change requested by AWWA. While

Congress preempted State standards, at the same time it showed a desire

to allow State standards upon certain findings [327(d)]. Congress

recognized that circumstances can exist where States will be permitted

to establish or maintain standards, and EPCA established procedures for

the Secretary to review the propriety of the State's exercise of

regulatory authority.

The Association of Home Appliance Manufacturers (AHAM) commented

that provisions in sections 430.27, 430.41, and 430.70, which DOE

proposed to amend to include plumbing products by adding the term

``water,'' could mistakenly subject certain AHAM products (i.e.,

clothes washers and dishwashers) to water consumption requirements that

only need to meet minimum energy conservation standards. To alleviate

potential confusion, AHAM requested that DOE either cross reference the

term ``water'' to plumbing products or create separate paragraphs for

products required to meet minimum energy or maximum permissible water

conservation standards. (AHAM, No. 4, at 1-2). The Department agrees

that it is appropriate to clarify to which products water consumption

requirements are applicable. DOE is revising sections 430.27, 430.41,

430.70, and other sections as necessary by cross referencing the term

``water'' to apply only to faucets, showerheads, water closets, and

urinals in today's final rule.

I. Faucet Standards for Multiple-User Sprayheads

(1) Application of Faucet Standards to Sprayheads With Independently-

Controlled Orifices

In the proposed rule, the Department proposed that each orifice of

a sprayhead with independently-controlled orifices, depending on its

mode of actuation, shall not exceed the maximum flow rate for a

lavatory or metering faucet. No comments on this proposal were

received. The Department is adopting this provision in today's final

rule.

(2) Application of Faucet Standards to Sprayheads With Collectively-

Controlled Orifices

In the proposed rule, the Department proposed that the maximum flow

rate of a manually-activated sprayhead with collectively-controlled

orifices shall be the product of the maximum flow rate for a lavatory

faucet and the number of component lavatories (rim space of the

lavatory in inches (millimeters) divided by 20 inches (508

millimeters)). DOE also proposed that the maximum flow rate of a

metered-activated sprayhead shall be the product of the maximum flow

rate for a metering faucet and the number of component lavatories (rim

space of the lavatory in inches (millimeters) divided by 20 inches (508

millimeters)).

CEC and the Building Officials and Code Administrators

International (BOCA) supported DOE's proposal. (CEC, Transcript, at 83;

and BOCA, Transcript, at 88). IAPMO objected and instead recommended

that prorating be based on 24 inches and 18 inches, for sprayheads that

are installed in a lineal and circular lavatory, respectively. (IAPMO,

Transcript, at 89). Bradley Corporation (Bradley) claimed that

lavatories to which sprayheads are mounted are generally circular or

semicircular rather than lineal. Moreover, Bradley added that 18 and 20

inches are the two capacity criteria generally used for lavatories,

that 20 inches is totally appropriate and is also more conservative

than 18 inches. (Bradley, Transcript, at 89). The Department agrees

with Bradley's comment regarding the appropriateness of prorating using

20 inches and is adopting the provision as proposed in today's final

rule.

J. Urinal Standard for Trough-Type Urinals

On February 7, 1997, Kohler submitted a letter to DOE regarding

trough-type urinals. Kohler stated that trough-type urinals, which are

produced in sizes of 36 inches, 48 inches, 60 inches, and 72 inches,

are fixtures designed for multiple-users and are generally installed in

places of high density. Kohler believed these products are covered

under EPCA and requested that it be allowed to satisfy compliance with

the standard by prorating maximum water use based upon 16 inches per

individual. In a March 24, 1997 letter to Kohler, the Department agreed

that Kohler's proposal seemed reasonable but that it intends to seek

additional input. This proposal was discussed at the April 2, 1997,

public hearing for plumbing products.

Both IAPMO and CEC supported Kohler's proposal. (IAPMO, Transcript,

at 66; and CEC, Transcript, at 83). Kohler claimed that Eljer

Industries, Inc. also supported its proposal. (Kohler, Transcript, at

72). No additional comments on this proposal were received. The

Department is adopting the provision in today's final rule to read as

follows:

``430.32(r) Urinals. The maximum water use allowed for any urinals

manufactured after January 1, 1994, shall be 1.0 gallons per flush (3.8

liters per flush).\1\

\1\ The maximum water use allowed for a trough-type urinal shall

be the product of (a) the maximum flow rate for a urinal and (b) the

length of the trough-type urinal in inches (meters) divided by 16

inches (0.406 meters).''

K. Enforcement

In the proposed rule, the Department proposed to extend its

enforcement policies to include plumbing products. DOE believes that

its existing enforcement procedures are adequate for deterring would-be

violators.

The New York State Department of Environmental Conservation

(NYSDEC) claimed that it is necessary for DOE to establish a product or

manufacturer listing program to protect consumers

[[Page 13312]]

from non-complying manufacturers. (NYSDEC, No. 5, at 2).

Presently, the Department is not aware of any manufacturers who are

producing non-compliant products for distribution. Furthermore, DOE

believes that the enforcement mechanisms it proposed to extend to

plumbing products in the proposed rule are adequate. Therefore, in

today's final rule, the Department is establishing enforcement

provisions for plumbing products as proposed.

L. Clarification of Certification Reporting Requirements for

Residential Appliances

In the proposed rule, DOE proposed to redesignate, revise existing

language, and add new language and paragraphs in section 430.62, and

Appendices A and B to Subpart F of the CFR as necessary regarding

certification and enforcement requirements for all residential

appliances, including plumbing products. The proposed modifications for

which DOE received no comments are incorporated in today's final rule.

The proposed modifications for which comments were received are

discussed below:

(1) Means of Certification

Section 430.62 of the CFR presently allows a manufacturer or

private labeler to directly certify covered products to DOE or

authorize a third party to certify on its behalf. In the proposed rule,

DOE proposed to extend this coverage to plumbing products. Both IAPMO

and AWWA questioned the integrity of self-certification by

manufacturers and suggested that DOE revise its rule to allow only

third-party certification. (IAPMO, Transcript, at 40; and AWWA,

Transcript, at 57). PMI, CEC, Kohler, American Standard, Bradley, Delta

Faucets (Delta) and the National Voluntary Laboratory Accreditation

Program (NVLAP) argued that enforcement provisions presently exist to

deter would-be violators, and that eliminating the option of self-

certification would impose a logistic or financial burden on

manufacturers. (PMI, Transcript, at 51; CEC, Transcript, at 55; Kohler,

Transcript, at 56; American Standard, Transcript, at 60; Bradley,

Transcript, at 62; Delta, Transcript, at 62; and NVLAP, Transcript, at

63).

The Department agrees with the comments by PMI, CEC, Kohler,

American Standard, Bradley, Delta Faucets (Delta) and NVLAP that

current enforcement provisions are adequate. DOE also believes it

necessary to maintain flexibility in the certification of products to

DOE by manufacturers and private labelers. Based on the above

considerations, the Department does not believe the revision suggested

by IAPMO and AWWA is justified for inclusion in today's final rule.

(2) Discontinued Model

Section 430.62(c) of the CFR presently requires that ``discontinued

models'' be reported in writing to DOE. In the proposed rule, DOE

proposed to clarify the section by defining ``discontinued model'' as

``a basic model which has ceased production,'' specifying the type of

information to be submitted, and requiring that such models be reported

within six months of being discontinued.

AHAM claimed the proposed definition of ``discontinued model''

could cause confusion if applied to rebate models for which production

has ceased but which may be sold for several years. (AHAM, No. 4, at 1-

2). The Whirlpool Corporation (Whirlpool) added that the proposed six-

month reporting period requirement would impose a logistic and

financial burden on the manufacturers and requested that it be

withdrawn. (Whirlpool, No. 6, at 4).

The Department agrees with AHAM that DOE's proposed definition of

``discontinued model'' needs to be clarified. DOE also agrees with

Whirlpool that the proposed six-month reporting period requirement

following discontinuance of models may impose an unnecessary burden on

the industry. Based on the above considerations, DOE is revising the

section in question to read as follows:

430.62(c) Discontinued model. A basic model is discontinued when

its production has ceased and is no longer being distributed. Such

models shall be reported, by certified mail, to: Department of Energy,

Office of Energy Efficiency and Renewable Energy, Office of Codes and

Standards, Forrestal Building, 1000 Independence Avenue, SW,

Washington, DC 20585-012. For each basic model, this report shall

include: product type, product class, the manufacturer's name, the

private labeler name(s), if applicable, and the manufacturer's model

number. If the reporting of discontinued models coincides with the

submittal of a certification report, such models can be included in the

certification report.

(3) Amendment of Information

In the proposed rule, DOE proposed to add a new section: 430.62(f),

``Amendment of Information,'' which would require a manufacturer or his

representative to submit, by certified mail, a statement of compliance

or certification report with the revised information if any information

previously submitted has changed.

Both the Air-Conditioning & Refrigeration Institute (ARI) and AHAM

asserted that such information would be submitted anyway in the course

of new submissions and requested that the proposal be withdrawn. (ARI,

No. 3, at 1; and AHAM, No. 4, at 2). DOE agrees with the suggestion by

ARI and AHAM and is withdrawing this proposal in today's final rule.

(4) Submission of Annual Energy Use for Kitchen Ranges, Ovens, and

Microwave Ovens

In the proposed rule, DOE proposed to require submissions of annual

energy use on a per model basis for kitchen ranges, ovens, and

microwave ovens.

Both AHAM and Whirlpool noted that there are presently no minimum

energy efficiency reporting requirements for kitchen ranges, ovens, and

microwave ovens, that it would create an unnecessary test burden on

manufacturers, and recommended that the proposal be withdrawn. Section

323(a)(1)(B) that the Secretary may prescribe test procedures for a

consumer product classified as covered product. Even without minimum

efficiency standards for a covered product this information could be

used to assist consumers in purchasing more efficient products.

However, DOE does recognize that testing and reporting of efficiency

data does place an added burden on manufacturers and therefore is

withdrawing this requirement for kitchen ranges, ovens, and microwave

ovens at this time.

M. Metric Equivalents

In the proposed rule, DOE proposed that along with English

measurements (i.e., gallons per minutes (gpm), gallons per cycle (gal/

cycle), or gallons per flush (gpf)), metric equivalents (i.e. liters

per minute (L/min), liters per cycle (L/cycle), or liters per flush

(Lpf)) shall be required in certification reports submitted to the

Department.

American Standard stated such requirement would impose a paperwork

burden and requested that DOE select only one measurement system (i.e.,

English or metric). (American Standard, Transcript, at 116). However,

the Department does not believe the provision would unduly burden the

industry. Only one certification report containing both English and

metric units will be required rather than dual certification reports.

Based on the above considerations, the Department rejects American

Standard's request to select one measurement system for

[[Page 13313]]

certification submission and instead will finalize in today's rule the

provision as proposed.

Mr. Lawrence J. Stempnik recommended that metric units be listed

first, followed by the English conversion as supplementary units on

certification reports to DOE. Also, he recommended that a statement be

added to allow reports to be submitted in metric units only. In

addition, Mr. Stempnik argued that the acronym ``Lpf'' (liter per

flush) is not a metric unit, that it would confuse consumers, and

recommended that ``L'' (liter) be used instead. (Lawrence J. Stempnik,

No. 2, at 3-5). DOE believes that since the unit of liters per flush

(Lpf) is well-accepted in the plumbing standards and literature, and

adequately defines the water consumption on the basis of usage, it

should not prove confusing for consumers. Therefore, the Department

rejects Mr. Stempnik's request to replace the acronym ``Lpf'' with

``L'' in today's final rule. The Department also believes that because

the standards are written in English units, the English units should be

listed first in certification reports, followed by the metric

equivalents in parentheses.

N. Other Issues

The following is a discussion of issues raised by other commenters:

(1) Establishment of an E-mail Address

Mr. Lawrence J. Stempnik requested that submissions of information

via e-mail from companies to the Department be allowed. (Lawrence J.

Stempnik, No. 2, at 5). Mr. Stempnik claimed that this would facilitate

electronic storage of the data and enable multi-user access to

electronic databases instead of paper files.

The Department currently has no mechanism for maintaining

electronic databases of covered products, and therefore requires paper

copies of compliance statements and certification reports. It should be

noted that electronic copies would only be considered for certification

reports, and not for compliance statements, which require an original

signature. Although the Department declines to add e-mail as an

official option for submitting certification reports in today's final

rule, it will begin to evaluate the possibility of using electronic

submittals for certification reports in the future. The Department

would therefore appreciate manufacturers or their authorized

representatives, at their option, submitting electronic files of their

certification reports in addition to the required paper copies for

DOE's consideration. The submission of electronic files is strictly

voluntary.

(2) Performance-Based Standard

Mr. Lawrence Stempnik suggested that in addition to water

consumption, a performance-based requirement, based on the unit's

capability to expel a certain mass in one flush, be included in the

testing of water closets. (Lawrence J. Stempnik, No. 2, at 3).

The current ASME/ANSI standard for water closets (ASME/ANSI

A112.19.6-1995) includes some performance tests, but they are

considered by the ASME committee responsible for the standard to be

inadequate for accurately assessing the ability of a water closet to

remove solid waste from the bowl and transport it to the drain line.

The ASME committee responsible for the standard has established a task

force to develop and refine an effective bulk media removal test for

inclusion in the next revision of the standard. The Department agrees

with Mr. Stempnik's emphasis on the importance of producing toilets

that perform successfully, and supports the continuing efforts by

industry to develop more effective tests to measure the performance of

water closets.

(3) Consumer Tampering

The AWWA commented that toilets should be designed such that water

consumption cannot be increased through tampering. (AWWA, No. 1, at 3).

The manufacturers of plumbing products currently have a task group

investigating adjustability issues. However, EPCA only authorizes DOE

to regulate requirements to restrict consumer tampering to alter the

water consumption of covered plumbing products for showerheads. 42

U.S.C. Sec. 6295(j)(1) Therefore, the Department declines AWWA's

suggestion to require tamper-proofing of toilets in today's final rule.

The Department encourages manufacturers to consider development of

designs which discourage tampering.

(4) Product Listing

The New York State Department of Environmental Conservation

commented that a directory or listing of plumbing products conforming

to the Energy Policy and Conservation Act should be produced. (NYSDEC,

No. 5, at 1). It believes that such a directory is necessary to aid

State and local officials in determining which products are in

conformance, and to help rid the marketplace of non-conforming

products. AWWA questioned how consumers would be made aware of

conforming plumbing products (AWWA, Transcript, at 109).

Currently, listings of complying energy-efficient products (i.e.,

refrigerators, clothes washers, dishwashers, water heaters, etc) are

compiled by industry and consumer groups such as the ARI, the American

Council for an Energy Efficient Economy, and Gas Appliance

Manufacturers Association. DOE believes that similar organizations in

the plumbing industry could equally provide such listings for complying

plumbing products. Therefore, the Department declines to develop a

product directory in today's final rule.

III. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969

In this rule, the Department codifies statutorily mandated water

conservation standards and test procedures for faucets, showerheads,

water closets, and urinals. Implementation of this rule will not result

in environmental impacts apart from the effects of the water

conservation standards established by Congress in EPCA and incorporated

in today's rule. The test procedures for measuring water consumption in

this rule are mandated by EPCA and are already in general use in the

industry. The Department has therefore determined that this rule is

covered under the Categorical Exclusion found at paragraph A.6 of

appendix A to subpart D, 10 CFR Part 1021, which applies to

``rulemakings that are strictly procedural,'' and which, therefore,

have no environmental effect. By this final rule, the Department is

following the direction of the Energy Policy Act and incorporating by

reference test procedures that are already being used by industry,

while adding sampling plans, certification reporting and labeling

requirements, definitions, and clarifications of ambiguous issues and

of the existing certification reporting requirements for residential

appliances. Accordingly, neither an environmental assessment nor an

environmental impact statement is required.

B. Review Under Executive Order 12866, ``Regulatory Planning and

Review''

This regulatory action is not a significant regulatory action under

Executive Order 12866, ``Regulatory Planning and Review,'' October 4,

1993. Accordingly, this action was not subject to review under the

Executive Order by the Office of Information and Regulatory Affairs.

[[Page 13314]]

C. Review Under the Regulatory Flexibility Act

The Regulatory Flexibility Act, 5 U.S.C. Secs. 601-612, requires

the preparation of an initial regulatory flexibility analysis for every

rule which by law must be proposed for public comment, unless the

agency certifies that the rule, if promulgated, will not have a

significant economic impact on a substantial number of small entities.

In the NOPR, DOE invited public comment on its conclusion that the

proposed rule, if promulgated, would not have a significant economic

impact on a substantial number of small entities. The NOPR presented

detailed information on the number of small manufacturers of plumbing

fixtures and fittings that would be affected by the rule, and it

discussed the statutory basis for standards and test procedures

incorporated in the rule and steps DOE has taken to minimize the

economic impact on covered firms. As explained in the NOPR, this rule

includes water conservation standards that are prescribed by EPCA and

updated test procedures that EPCA requires DOE to adopt. The test

procedures which are incorporated in this rule (ASME/ANSI Standards

A112.18.1M-1996 and A112.19.6-1995) are already in general use in the

industry. The rule also revises certification and enforcement

requirements in 10 CFR Part 430 that apply to all manufacturers of

covered products (see discussion under ``Review Under the Paperwork

Reduction Act'' in this Supplementary Information section). DOE

received no public comments that specifically addressed the impact of

the rule on small businesses.

DOE certifies that complying with this final rule (excluding the

cost of compliance with the water conservation standards and test

procedures directly imposed by EPCA) would not impose significant

economic costs on a substantial number of small manufacturers.

D. Review Under Executive Order 12612, ``Federalism''

Executive Order 12612, ``Federalism,'' 52 FR 41685 (October 30,

1987), requires that regulations, rules, legislation, and any other

policy actions be reviewed for any substantial direct effect on States,

on the relationship between the National Government and States, or in

the distribution of power and responsibilities among various levels of

government. If there are substantial effects, then the Executive Order

requires preparation of a federalism assessment to be used in all

decisions involved in promulgating and implementing a policy action.

The rule published today will not regulate the States. They will

primarily affect the manner in which DOE promulgates residential

appliance, commercial product, and water conservation standards; test

procedures; and certification requirements, prescribed under the Energy

Conservation and Policy Act. State regulation in this area is largely

preempted by the Energy Policy and Conservation Act. The rule published

today will not alter the distribution of authority and responsibility

to regulate in this area. Accordingly, DOE has determined that

preparation of a federalism assessment is unnecessary.

E. Review Under Executive Order 12630, ``Governmental Actions and

Interference With Constitutionally Protected Property Rights''

It has been determined pursuant to Executive Order 12630,

``Governmental Actions and Interference with Constitutionally Protected

Property Rights,'' 52 FR 8859 (March 18, 1988), that this regulation

will not result in any takings which might require compensation under

the Fifth Amendment to the United States Constitution.

F. Review Under the Paperwork Reduction Act

Today's final rule will revise certification and enforcement

requirements applicable to manufacturers of covered consumer products.

Appendix A to Subpart F of part 430, ``Compliance Statement and

Certification Report,'' was previously approved by OMB and assigned OMB

Control No. 1910-1400. The final rule will revise this form to cover

certification of plumbing products; facilitate use of the form by third

party representatives of covered product manufacturers; and, in an

attachment, specify the format of the certification report that

manufacturers currently are required to submit to DOE by 10 CFR part

430.62(a)(2). OMB has approved the revised ``Compliance Statement and

Certification Report'' and extended its effectiveness until June 30,

2000. An agency may not conduct or sponsor a collection of information

unless the collection displays a currently valid OMB control number.

(See 5 CFR Sec. 1320.5(b)).

The final rule will require manufacturers of plumbing products to

maintain records concerning their determinations of the water

consumption of faucets, showerheads, water closets and urinals. DOE has

concluded that this record keeping requirement is necessary for

implementing and monitoring compliance with the water conservation

standards, testing and certification requirements for residential and

commercial faucets, showerheads, water closets and urinals mandated by

EPCA. The final rule also requires manufacturers to submit initial

certification reports for basic models of covered faucets, showerheads,

water closets and urinals within 12 months after the publication of a

final rule in the Federal Register. The initial certification reports

will be a one-time submission stating that the manufacturer has

determined by employing actual testing that the basic model of faucet,

showerhead, water closet or urinal meets the applicable water

conservation standard. After the first year, manufacturers of plumbing

products will have to submit a certification report for each new basic

model, or to certify compliance with a new or amended standard, before

the model will be allowed to be distributed in commerce.

G. Review Under Executive Order 12988, ``Civil Justice Reform''

With respect to the review of existing regulations and the

promulgation of new regulations, Section 3(a) of Executive Order 12988,

``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on

executive agencies the general duty to adhere to the following

requirements: (1) eliminate drafting errors and ambiguity; (2) write

regulations to minimize litigation; and (3) provide a clear legal

standard for affected conduct rather than a general standard and

promote simplification and burden reduction. With regard to the review

required by Section 3(a), Section 3(b) of the Executive Order

specifically requires that Executive agencies make every reasonable

effort to ensure that the regulation: (1) clearly specifies the

preemptive effect, if any; (2) clearly specifies any effect on existing

Federal law or regulation; (3) provide a clear legal standard for

affected conduct while promoting simplification and burden reduction;

(4) specifies the retroactive effect, if any; (5) adequately defines

key terms; and (6) addresses other important issues affecting clarity

and general draftsmanship under any guidelines issued by the Attorney

General. Section 3(c) of the Executive Order requires Executive

agencies to review regulations in light of applicable standards Section

3(a) and Section 3(b) to determine whether they are met or it is

unreasonable to meet one or more of

[[Page 13315]]

them. DOE reviewed today's final rule under the standards of Section 3

of the Executive Order and determined that, to the extent permitted by

law, they meet the requirements of those standards.

H. Review Under Unfunded Mandates Reform Act of 1995

Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded

Mandates Act'') requires that the Department prepare a budgetary impact

statement before promulgating a rule that includes a federal mandate

that may result in expenditure by state, local, and tribal governments,

in the aggregate, or by the private sector, of $100 million or more in

any one year. The budgetary impact statement must include: (i)

identification of the federal law under which the rule is promulgated;

(ii) a qualitative and quantitative assessment of anticipated costs and

benefits of the federal mandate and an analysis of the extent to which

such costs to state, local, and tribal governments may be paid with

federal financial assistance; (iii) if feasible, estimates of the

future compliance costs and of any disproportionate budgetary effects

the mandate has on particular regions, communities, non-federal units

of government, or sectors of the economy; (iv) if feasible, estimates

of the effect on the national economy; and (v) a description of the

Department's prior consultation with elected representatives of state,

local, and tribal governments and a summary and evaluation of the

comments and concerns presented.

The Department has determined that the action proposed today does

not include a federal mandate that may result in estimated costs of

$100 million or more to state, local or to tribal governments in the

aggregate or to the private sector. Therefore, the requirements of

Sections 203 and 204 of the Unfunded Mandates Act do not apply to this

action.

I. Review Under the Small Business Regulatory Enforcement Fairness Act

of 1996

Prior to the effective date of this regulatory action, set forth

above, DOE will submit a report to Congress containing the rule and

other information, as required by 5 U.S.C. 801(a)(1)(A). The report

will state that the rule is not a ``major rule'' as defined by 5 U.S.C.

804(2).

List of Subjects in 10 CFR Part 430

Administrative practice and procedure, Energy conservation,

Household appliances, Incorporation by reference.

Issued in Washington, DC, on March 13, 1998.

Dan W. Reicher,

Assistant Secretary, Energy Efficiency and Renewable Energy.

For the reasons set forth in the preamble, Part 430 of Chapter II

of Title 10, Code of Federal Regulations, is amended as follows.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

1. The authority citation for Part 430 continues to read as

follows:

Authority: 42 U.S.C. 6291-6309.

2. Section 430.2 of Subpart A is amended by revising the

definitions for ``consumer product,'' and ``energy conservation

standard,'' adding new paragraphs (17) through (20) in the definition

of ``basic model,'' and adding new definitions for ``ANSI,'' ``ASME,''

``blowout,'' ``electromechanical hydraulic toilet,'' ``estimated annual

operating cost,'' ``faucet,'' ``flushometer tank,'' ``flushometer

valve,'' ``low consumption,'' ``showerhead,'' ``urinal,'' ``water

closet,'' and ``water use'' in alphabetical order, to read as follows:

Subpart A--General Provisions

Sec. 430.2 Definitions.

* * * * *

ANSI means the American National Standards Institute.

ASME means the American Society of Mechanical Engineers.

* * * * *

Basic model * * *

(17) With respect to faucets, which have the identical flow control

mechanism attached to or installed within the fixture fittings, or the

identical water-passage design features that use the same path of water

in the highest-flow mode.

(18) With respect to showerheads, which have the identical flow

control mechanism attached to or installed within the fixture fittings,

or the identical water-passage design features that use the same path

of water in the highest-flow mode.

(19) With respect to water closets, which have hydraulic

characteristics that are essentially identical, and which do not have

any differing physical or functional characteristics that affect water

consumption.

(20) With respect to urinals, which have hydraulic characteristics

that are essentially identical, and which do not have any differing

physical or functional characteristics that affect water consumption.

* * * * *

Blowout has the meaning given such a term in ASME A112.19.2M-1995.

(see Sec. 430.22)

* * * * *

Consumer product means any article (other than an automobile, as

defined in Section 501(1) of the Motor Vehicle Information and Cost

Savings Act):

(1) Of a type--

(i) Which in operation consumes, or is designed to consume, energy

or, with respect to showerheads, faucets, water closets, and urinals,

water; and

(ii) Which, to any significant extent, is distributed in commerce

for personal use or consumption by individuals;

(2) Without regard to whether such article of such type is in fact

distributed in commerce for personal use or consumption by an

individual, except that such term includes fluorescent lamp ballasts,

general service fluorescent lamps, incandescent reflector lamps,

showerheads, faucets, water closets, and urinals distributed in

commerce for personal or commercial use or consumption.

* * * * *

Electromechanical hydraulic toilet means any water closet that

utilizes electrically operated devices, such as, but not limited to,

air compressors, pumps, solenoids, motors, or macerators in place of or

to aid gravity in evacuating waste from the toilet bowl.

Energy conservation standard means:

(1) A performance standard which prescribes a minimum level of

energy efficiency or a maximum quantity of energy use, or, in the case

of showerheads, faucets, water closets, and urinals, water use, for a

covered product, determined in accordance with test procedures

prescribed under Section 323 of EPCA (42 U.S.C. 6293); or

(2) A design requirement for the products specified in paragraphs

(6), (7), (8), (10), (15), (16), (17), and (19) of Section 322(a) of

EPCA (42 U.S.C. 6292(a)); and

(3) Includes any other requirements which the Secretary may

prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).

Estimated annual operating cost means the aggregate retail cost of

the energy which is likely to be consumed annually, and in the case of

showerheads, faucets, water closets, and urinals, the aggregate retail

cost of water and wastewater treatment services likely to be incurred

annually, in representative use of a consumer

[[Page 13316]]

product, determined in accordance with Section 323 of EPCA (42 U.S.C.

6293).

* * * * *

Faucet means a lavatory faucet, kitchen faucet, metering faucet, or

replacement aerator for a lavatory or kitchen faucet.

* * * * *

Flushometer tank means a device whose function is defined in

flushometer valve, but integrated within an accumulator vessel affixed

and adjacent to the fixture inlet so as to cause an effective

enlargement of the supply line immediately before the unit.

Flushometer valve means a valve attached to a pressurized water

supply pipe and so designed that when actuated, it opens the line for

direct flow into the fixture at a rate and quantity to properly operate

the fixture, and then gradually closes to provide trap reseal in the

fixture in order to avoid water hammer. The pipe to which this device

is connected is in itself of sufficient size, that when open, will

allow the device to deliver water at a sufficient rate of flow for

flushing purposes.

* * * * *

Low consumption has the meaning given such a term in ASME

A112.19.2M-1995. (see Sec. 430.22)

* * * * *

Showerhead means any showerhead (including a hand held showerhead),

except a safety shower showerhead.

* * * * *

Urinal means a plumbing fixture which receives only liquid body

waste and, on demand, conveys the waste through a trap seal into a

gravity drainage system, except such term does not include fixtures

designed for installations in prisons.

* * * * *

Water closet means a plumbing fixture that has a water-containing

receptor which receives liquid and solid body waste, and upon

actuation, conveys the waste through an exposed integral trap seal into

a gravity drainage system, except such term does not include fixtures

designed for installation in prisons.

* * * * *

Water use means the quantity of water flowing through a showerhead,

faucet, water closet, or urinal at point of use, determined in

accordance with test procedures under Appendices S and T of subpart B

of this part.

* * * * *

3. Section 430.22 of subpart B is amended by adding paragraph

(b)(6) to read as follows:

Subpart B--Test Procedures

Sec. 430.22 Reference Sources.

* * * * *

(b) * * *

(6) American Society of Mechanical Engineers (ASME). The ASME

standards listed in this paragraph may be obtained from the American

Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box

2900, Fairfield, NJ 07007.

1. ASME/ANSI Standard A112.18.1M-1996, ``Plumbing Fixture

Fittings.''

2. ASME/ANSI Standard A112.19.6-1995, ``Hydraulic Requirements for

Water Closets and Urinals.''

* * * * *

4. Section 430.23 of subpart B is amended by revising the section

heading and adding new paragraphs (s), (t), (u), and (v), to read as

follows:

Sec. 430.23 Test procedures for measures of energy and water

consumption.

* * * * *

(s) Faucets. The maximum permissible water use allowed for lavatory

faucets, lavatory replacement aerators, kitchen faucets, and kitchen

replacement aerators, expressed in gallons and liters per minute (gpm

and L/min), shall be measured in accordance to section 2(a) of Appendix

S of this subpart. The maximum permissible water use allowed for

metering faucets, expressed in gallons and liters per cycle (gal/cycle

and L/cycle), shall be measured in accordance to section 2(a) of

Appendix S of this subpart.

(t) Showerheads. The maximum permissible water use allowed for

showerheads, expressed in gallons and liters per minute (gpm and L/

min), shall be measured in accordance to section 2(b) of Appendix S of

this subpart.

(u) Water closets. The maximum permissible water use allowed for

water closets, expressed in gallons and liters per flush (gpf and Lpf),

shall be measured in accordance to section 3(a) of Appendix T of this

subpart.

(v) Urinals. The maximum permissible water use allowed for urinals,

expressed in gallons and liters per flush (gpf and Lpf), shall be

measured in accordance to section 3(b) of Appendix T of this subpart.

5. Section 430.24 of subpart B is amended by adding new paragraphs

(s), (t), (u), and (v), to read as follows:

Sec. 430.24 Units to be tested.

* * * * *

(s) For each basic model of faucet,\1\ a sample of sufficient size

shall be tested to ensure that any represented value of water

consumption of a basic model for which consumers favor lower values

shall be no less than the higher of:

---------------------------------------------------------------------------

\1\ Components of similar design may be substituted without

requiring additional testing if the represented measures of energy

or water consumption continue to satisfy the applicable sampling

provision.

---------------------------------------------------------------------------

(1) The mean of the sample or

(2) The upper 95 percent confidence limit of the true mean divided

by 1.05.

(t) For each basic model \1\ of showerhead, a sample of sufficient

size shall be tested to ensure that any represented value of water

consumption of a basic model for which consumers favor lower values

shall be no less than the higher of:

(1) The mean of the sample or

(2) The upper 95 percent confidence limit of the true mean divided

by 1.05.

(u) For each basic model \1\ of water closet, a sample of

sufficient size shall be tested to ensure that any represented value of

water consumption of a basic model for which consumers favor lower

values shall be no less than the higher of:

(1) The mean of the sample or

(2) The upper 90 percent confidence limit of the true mean divided

by 1.1.

(v) For each basic model \1\ of urinal, a sample of sufficient size

shall be tested to ensure that any represented value of water

consumption of a basic model for which consumers favor lower values

shall be no less than the higher of:

(1) The mean of the sample or

(2) The upper 90 percent confidence limit of the true mean divided

by 1.1.

Sec. 430.27 [Amended]

6. Section 430.27 of subpart B is amended by:

a. Adding the phrase ``, or water consumption characteristics (in

the case of faucets, showerheads, water closets, and urinals) after the

phrase ``energy consumption characteristics'' in paragraphs: (a)(1),

(b)(1)(iii), and (l) (first sentence); and

b. Revising the existing referenced section ``Sec. 430.22'' in

paragraph (a)(1) to read as ``Sec. 430.23''.

7. Subpart B of Part 430 is amended by adding Appendix S and

Appendix T, to read as follows:

Appendix S to Subpart B of Part 430--Uniform Test Method for Measuring

the Water Consumption of Faucets and Showerheads

1. Scope: This Appendix covers the test requirements used to

measure the hydraulic performance of faucets and showerheads.

2. Flow Capacity Requirements:

a. Faucets--The test procedures to measure the water flow rate

for faucets, expressed in gallons per minute (gpm) and liters per

minute (L/min), or gallons per cycle (gal/

[[Page 13317]]

cycle) and liters per cycle (L/cycle), shall be conducted in

accordance with the test requirements specified in section 6.5, Flow

Capacity Test, of the ASME/ANSI Standard A112.18.1M-1996 (see

Sec. 430.22). Measurements shall be recorded at the resolution of

the test instrumentation. Calculations shall be rounded off to the

same number of significant digits as the previous step. The final

water consumption value shall be rounded to one decimal place for

non-metered faucets, or two decimal places for metered faucets.

b. Showerheads--The test conditions to measure the water flow

rate for showerheads, expressed in gallons per minute (gpm) and

liters per minute (L/min), shall be conducted in accordance with the

test requirements specified in section 6.5, Flow Capacity Test, of

the ASME/ANSI Standard A112.18.1M-1996 (see Sec. 430.22).

Measurements shall be recorded at the resolution of the test

instrumentation. Calculations shall be rounded off to the same

number of significant digits as the previous step. The final water

consumption value shall be rounded to one decimal place.

Appendix T to Subpart B of Part 430--Uniform Test Method for Measuring

the Water Consumption of Water Closets and Urinals

1. Scope: This Appendix covers the test requirements used to

measure the hydraulic performances of water closets and urinals.

2. Test Apparatus and General Instructions:

a. The test apparatus and instructions for testing water closets

shall conform to the requirements specified in section 7.1.2, Test

Apparatus and General Requirements, subsections 7.1.2.1, 7.1.2.2,

and 7.1.2.3 of the ASME/ANSI Standard A112.19.6-1995 (see

Sec. 430.22). Measurements shall be recorded at the resolution of

the test instrumentation. Calculations shall be rounded off to the

same number of significant digits as the previous step. The final

water consumption value shall be rounded to one decimal place.

b. The test apparatus and instructions for testing urinals shall

conform to the requirements specified in section 8.2, Test Apparatus

and General Requirements, subsections 8.2.1, 8.2.2, and 8.2.3 of the

ASME/ANSI Standard A112.19.6-1995 (see Sec. 430.22). Measurements

shall be recorded at the resolution of the test instrumentation.

Calculations shall be rounded off to the same number of significant

digits as the previous step. The final water consumption value shall

be rounded to one decimal place.

3. Test Measurement:

a. Water closets--The measurement of the water flush volume for

water closets, expressed in gallons per flush (gpf) and liters per

flush (Lpf), shall be conducted in accordance with the test

requirements specified in section 7.1.6, Water Consumption and

Hydraulic Characteristics, of the ASME/ANSI Standard A112.19.6-1995

(see Sec. 430.22).

b. Urinals--The measurement of water flush volume for urinals,

expressed in gallons per flush (gpf) and liters per flush (Lpf),

shall be conducted in accordance with the test requirements

specified in section 8.5, Water Consumption, of the ASME/ANSI

Standard A112.19.6-1995 (see Sec. 430.22).

8. The subpart heading for Subpart C is revised to read as follows:

Subpart C--Energy and Water Conservation Standards

9. Section 430.31 is revised to read as follows:

Sec. 430.31 Purpose and scope.

This subpart contains energy conservation standards and water

conservation standards (in the case of faucets, showerheads, water

closets, and urinals) for classes of covered products that are required

to be administered by the Department of Energy pursuant to the Energy

Conservation Program for Consumer Products Other Than Automobiles under

the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291 et

seq.). Basic models of covered products manufactured before the date on

which an amended energy conservation standard or water conservation

standard (in the case of faucets, showerheads, water closets, and

urinals) becomes effective (or revisions of such models that are

manufactured after such date and have the same energy efficiency,

energy use characteristics, or water use characteristics (in the case

of faucets, showerheads, water closets, and urinals), that comply with

the energy conservation standard or water conservation standard (in the

case of faucets, showerheads, water closets, and urinals) applicable to

such covered products on the day before such date shall be deemed to

comply with the amended energy conservation standard or water

conservation standard (in the case of faucets, showerheads, water

closets, and urinals).

10. Section 430.32 of subpart C is amended by revising the section

heading, revising the introductory paragraph, and adding paragraphs

(o), (p), (q), and (r), to read as follows:

Sec. 430.32 Energy and water conservation standards and effective

dates.

The energy and water (in the case of faucets, showerheads, water

closets, and urinals) conservation standards for the covered product

classes are:

* * * * *

(o) Faucets. The maximum water use allowed for any of the following

faucets manufactured after January 1, 1994, when measured at a flowing

water pressure of 60 pounds per square inch (414 kilopascals), shall be

as follows:

------------------------------------------------------------------------

Maximum flow rate (gpm (L/min)) or

Faucet type (gal/cycle (L/cycle))

------------------------------------------------------------------------

Lavatory faucets................... 2.2 gpm (8.3 L/min)1,2

Lavatory replacement aerators...... 2.2 gpm (8.3 L/min)

Kitchen faucets.................... 2.2 gpm (8.3 L/min)

Kitchen replacement aerators....... 2.2 gpm (8.3 L/min)

Metering faucets................... 0.25 gal/cycle (0.95 L/cycle)3,4

------------------------------------------------------------------------

Note:

\1\ Sprayheads with independently-controlled orifices and manual

controls.

The maximum flow rate of each orifice that manually turns on or off

shall not exceed the maximum flow rate for a lavatory faucet.

\2\ Sprayheads with collectively controlled orifices and manual

controls.

The maximum flow rate of a sprayhead that manually turns on or off shall

be the product of (a) the maximum flow rate for a lavatory faucet and

(b) the number of component lavatories (rim space of the lavatory in

inches (millimeters) divided by 20 inches (508 millimeters)).

\3\ Sprayheads with independently controlled orifices and metered

controls.

The maximum flow rate of each orifice that delivers a pre-set volume of

water before gradually shutting itself off shall not exceed the

maximum flow rate for a metering faucet.

\4\ Sprayheads with collectively-controlled orifices and metered

controls.

The maximum flow rate of a sprayhead that delivers a pre-set volume of

water before gradually shutting itself off shall be the product of (a)

the maximum flow rate for a metering faucet and (b) the number of

component lavatories (rim space of the lavatory in inches

(millimeters) divided by 20 inches (508 millimeters)).

(p) Showerheads. The maximum water use allowed for any showerheads

manufactured after January 1, 1994, shall be 2.5 gallons per minute

(9.5 liters per minute) when measured at a flowing pressure of 80

pounds per square inch gage (552 kilopascals). Any such showerhead

shall also meet the requirements of ASME/ANSI Standard A112.18.1M-1996,

7.4.4(a).

(q) Water closets. (1) The maximum water use allowed in gallons per

flush for any of the following water closets manufactured after January

1, 1994, shall be as follows:

------------------------------------------------------------------------

Maximum flush

Water closet type rate (gpf

(Lpf))

------------------------------------------------------------------------

Gravity tank-type toilets............................... 1.6 (6.0)

Flushometer tank toilets................................ 1.6 (6.0)

Electromechanical hydraulic toilets1.6 (6.0)............

Blowout toilets......................................... 3.5 (13.2)

------------------------------------------------------------------------

(2) The maximum water use allowed for flushometer valve toilets,

other than blowout toilets, manufactured after January 1, 1997, shall

be 1.6 gallons per flush (6.0 liters per flush).

(r) Urinals. The maximum water use allowed for any urinals

manufactured

[[Page 13318]]

after January 1, 1994, shall be 1.0 gallons per flush (3.8 liters per

flush). The maximum water use allowed for a trough-type urinal shall be

the product of:

(1) The maximum flow rate for a urinal and

(2) The length of the trough-type urinal in inches (millimeter)

divided by 16 inches (406 millimeters).

11. Section 430.33 of subpart C is revised to read as follow:

Sec. 430.33 Preemption of State regulations.

Any State regulation providing for any energy conservation

standard, or water conservation standard (in the case of faucets,

showerheads, water closets, and urinals), or other requirement with

respect to the energy efficiency, energy use, or water use (in the case

of faucets, showerheads, water closets, or urinals) of a covered

product that is not identical to a Federal standard in effect under

this subpart is preempted by that standard, except as provided for in

sections 327 (b) and (c) of the Act.

Subpart D--Petitions to Exempt State Regulation From Preemption;

Petitions To Withdraw Exemption of State Regulation

12. Section 430.40 of subpart D is revised to read as follow:

Sec. 430.40 Purpose and scope.

(a) This subpart prescribes the procedures to be followed in

connection with petitions requesting a rule that a State regulation

prescribing an energy conservation standard, water conservation

standard (in the case of faucets, showerheads, water closets, and

urinals), or other requirement respecting energy efficiency, energy

use, or water use (in the case of faucets, showerheads, water closets,

and urinals) of a type (or class) of covered product not be preempted.

(b) This subpart also prescribes the procedures to be followed in

connection with petitions to withdraw a rule exempting a State

regulation prescribing an energy conservation standard, water

conservation standard (in the case of faucets, showerheads, water

closets, and urinals), or other requirement respecting energy

efficiency, energy use, or water use (in the case of faucets,

showerheads, water closets, and urinals) of a type (or class) of

covered product.

13. Section 430.41 of Subpart D is revised to read as follows:

Sec. 430.41 Prescriptions of a rule.

(a) Criteria for exemption from preemption. Upon petition by a

State which has prescribed an energy conservation standard, water

conservation standard (in the case of faucets, showerheads, water

closets, and urinals), or other requirement for a type or class of

covered equipment for which a Federal energy conservation standard or

water conservation standard is applicable, the Secretary shall

prescribe a rule that such standard not be preempted if he determines

that the State has established by a preponderance of evidence that such

requirement is needed to meet unusual and compelling State or local

energy interests or water interests. For the purposes of this section,

the term ``unusual and compelling State or local energy interests or

water interests'' means interests which are substantially different in

nature or magnitude than those prevailing in the U.S. generally, and

are such that when evaluated within the context of the State's energy

plan and forecast, or water plan and forecast the costs, benefits,

burdens, and reliability of energy savings or water savings resulting

from the State regulation make such regulation preferable or necessary

when measured against the costs, benefits, burdens, and reliability of

alternative approaches to energy savings or water savings or

production, including reliance on reasonably predictable market-induced

improvements in efficiency of all equipment subject to the State

regulation. The Secretary may not prescribe such a rule if he finds

that interested persons have established, by a preponderance of the

evidence, that the State's regulation will significantly burden

manufacturing, marketing, distribution, sale or servicing of the

covered equipment on a national basis. In determining whether to make

such a finding, the Secretary shall evaluate all relevant factors

including: the extent to which the State regulation will increase

manufacturing or distribution costs of manufacturers, distributors, and

others; the extent to which the State regulation will disadvantage

smaller manufacturers, distributors, or dealers or lessen competition

in the sale of the covered product in the State; the extent to which

the State regulation would cause a burden to manufacturers to redesign

and produce the covered product type (or class), taking into

consideration the extent to which the regulation would result in a

reduction in the current models, or in the projected availability of

models, that could be shipped on the effective date of the regulation

to the State and within the U.S., or in the current or projected sales

volume of the covered product type (or class) in the State and the

U.S.; and the extent to which the State regulation is likely to

contribute significantly to a proliferation of State appliance

efficiency requirements and the cumulative impact such requirements

would have. The Secretary may not prescribe such a rule if he finds

that such a rule will result in the unavailability in the State of any

covered product (or class) of performance characteristics (including

reliability), features, sizes, capacities, and volumes that are

substantially the same as those generally available in the State at the

time of the Secretary's finding. The failure of some classes (or types)

to meet this criterion shall not affect the Secretary's determination

of whether to prescribe a rule for other classes (or types).

(1) Requirements of petition for exemption from preemption. A

petition from a State for a rule for exemption from preemption shall

include the information listed in paragraphs (a)(1)(i) through

(a)(1)(vi) of this section. A petition for a rule and correspondence

relating to such petition shall be available for public review except

for confidential or proprietary information submitted in accordance

with the Department of Energy's Freedom of Information Regulations set

forth in 10 CFR part 1004:

(i) The name, address, and telephone number of the petitioner;

(ii) A copy of the State standard for which a rule exempting such

standard is sought;

(iii) A copy of the State's energy plan or water plan and forecast;

(iv) Specification of each type or class of covered product for

which a rule exempting a standard is sought;

(v) Other information, if any, believed to be pertinent by the

petitioner; and

(vi) Such other information as the Secretary may require.

(2) [reserved]

(b) Criteria for exemption from preemption when energy emergency

conditions or water emergency conditions (in the case of faucets,

showerheads, water closets, and urinals) exist within State. Upon

petition by a State which has prescribed an energy conservation

standard or water conservation standard (in the case of faucets,

showerheads, water closets, and urinals) or other requirement for a

type or class of covered product for which a Federal energy

conservation standard or water conservation standard is applicable, the

Secretary may prescribe a rule, effective upon publication in the

Federal Register, that such State regulation not be preempted if he

determines that in addition to meeting the requirements of paragraph

(a) of this section the State has established that: an

[[Page 13319]]

energy emergency condition or water emergency condition exists within

the State that imperils the health, safety, and welfare of its

residents because of the inability of the State or utilities within the

State to provide adequate quantities of gas, electric energy, or water

to its residents at less than prohibitive costs; and cannot be

substantially alleviated by the importation of energy or water or the

use of interconnection agreements; and the State regulation is

necessary to alleviate substantially such condition.

(1) Requirements of petition for exemption from preemption when

energy emergency conditions or water emergency conditions (in the case

of faucets, showerheads, water closets, and urinals) exist within a

State. A petition from a State for a rule for exemption from preemption

when energy emergency conditions or water emergency conditions exist

within a State shall include the information listed in paragraphs

(a)(1)(i) through (a)(1)(vi) of this section. A petition shall also

include the information prescribed in paragraphs (b)(1)(i) through

(b)(1)(iv) of this section, and shall be available for public review

except for confidential or proprietary information submitted in

accordance with the Department of Energy's Freedom of Information

Regulations set forth in 10 CFR part 1004:

(i) A description of the energy emergency condition or water

emergency condition (in the case of faucets, showerheads, water

closets, and urinals) which exists within the State, including causes

and impacts.

(ii) A description of emergency response actions taken by the State

and utilities within the State to alleviate the emergency condition;

(iii) An analysis of why the emergency condition cannot be

alleviated substantially by importation of energy or water or the use

of interconnection agreements; and

(iv) An analysis of how the State standard can alleviate

substantially such emergency condition.

(2) [reserved]

(c) Criteria for withdrawal of a rule exempting a State standard.

Any person subject to a State standard which, by rule, has been

exempted from Federal preemption and which prescribes an energy

conservation standard or water conservation standard (in the case of

faucets, showerheads, water closets, and urinals) or other requirement

for a type or class of a covered product, when the Federal energy

conservation standard or water conservation standard (in the case of

faucets, showerheads, water closets, and urinals) for such product

subsequently is amended, may petition the Secretary requesting that the

exemption rule be withdrawn. The Secretary shall consider such petition

in accordance with the requirements of paragraph (a) of this section,

except that the burden shall be on the petitioner to demonstrate that

the exemption rule received by the State should be withdrawn as a

result of the amendment to the Federal standard. The Secretary shall

withdraw such rule if he determines that the petitioner has shown the

rule should be withdrawn.

(1) Requirements of petition to withdraw a rule exempting a State

standard. A petition for a rule to withdraw a rule exempting a State

standard shall include the information prescribed in paragraphs

(c)(1)(i) through (c)(1)(vii) of this section, and shall be available

for public review, except for confidential or proprietary information

submitted in accordance with the Department of Energy's Freedom of

Information Regulations set forth in 10 CFR part 1004:

(i) The name, address and telephone number of the petitioner;

(ii) A statement of the interest of the petitioner for which a rule

withdrawing an exemption is sought;

(iii) A copy of the State standard for which a rule withdrawing an

exemption is sought;

(iv) Specification of each type or class of covered product for

which a rule withdrawing an exemption is sought;

(v) A discussion of the factors contained in paragraph (a) of this

section;

(vi) Such other information, if any, believed to be pertinent by

the petitioner; and

(vii) Such other information as the Secretary may require.

(2) [reserved]

Sec. 430.47 [Amended]

14. Section 430.47 of subpart D is amended in paragraph (a)(1), by

revising the phrase ``energy emergency condition'' to read ``energy

emergency condition or water emergency condition (in the case of

faucets, showerheads, water closets, and urinals)''.

Sec. 430.49 [Amended]

15. Section 430.49 of subpart D is amended in paragraph (a), by

adding the phrase ``, water conservation standard (in the case of

faucets, showerheads, water closets, and urinals)'' after ``energy

conservation standard'' in the first sentence.

Subpart E--Small Business Exemptions

Sec. 430.50 [Amended]

16. Section 430.50 of subpart E is amended by adding the phrase

``or water conservation standards (in the case of faucets, showerheads,

water closets, and urinals).'' after ``energy conservation standards''

in paragraphs (a) and (b).

Subpart F--Certification and Enforcement

17. Section 430.60 of subpart F is revised to read as follows:

Sec. 430.60 Purpose and scope.

This subpart sets forth the procedures to be followed for

certification and enforcement testing to determine whether a basic

model of a covered product complies with the applicable energy

conservation standard or water conservation standard (in the case of

faucets, showerheads, water closets, and urinals) set forth in subpart

C of this part. Energy conservation standards and water conservation

standards (in the case of faucets, showerheads, water closets, and

urinals) include minimum levels of efficiency and maximum levels of

consumption (also referred to as performance standards), and

prescriptive energy design requirements (also referred to as design

standards).

Sec. 430.61 [Amended]

18. Section 430.61 of subpart F is amended in paragraph (a)(4), by

adding the phrase ``or water conservation standard (in the case of

faucets, showerheads, water closets, and urinals)'' after the words

``energy efficiency standard'' in the first sentence.

19. Section 430.62 of subpart F is revised as follows:

Sec. 430.62 Submission of data.

(a) Certification. (1) Except as provided in paragraph (a)(2) of

this section, each manufacturer or private labeler before distributing

in commerce any basic model of a covered product subject to the

applicable energy conservation standard or water conservation standard

(in the case of faucets, showerheads, water closets, and urinals) set

forth in subpart C of this part shall certify by means of a compliance

statement and a certification report that each basic model(s) meets the

applicable energy conservation standard or water conservation standard

(in the case of faucets, showerheads, water closets, and urinals) as

prescribed in section 325 of the Act. The compliance statement, signed

by the

[[Page 13320]]

company official submitting the statement, and the certification

report(s) shall be sent by certified mail to: Department of Energy,

Office of Energy Efficiency and Renewable Energy, Office of Codes and

Standards, Forrestal Building, 1000 Independence Avenue, SW,

Washington, DC 20585-0121.

(2) Each manufacturer or private labeler of a basic model of a

covered clothes washer, clothes dryer, dishwasher, faucet, showerhead,

water closet, or urinal shall file a compliance statement and a

certification report to DOE before [date 1 year after publication of

the Final Rule].

(3) The compliance statement shall include all information

specified in the format set forth in appendix A of this subpart and

shall certify that:

(i) The basic model(s) complies with the applicable energy

conservation standard or water conservation standard (in the case of

faucets, showerheads, water closets, and urinals);

(ii) All required testing has been conducted in conformance with

the applicable test requirements prescribed in subpart B of this part;

(iii) All information reported in the certification report(s) is

true, accurate, and complete; and

(iv) The manufacturer or private labeler is aware of the penalties

associated with violations of the Act, the regulations thereunder, and

18 U.S.C. 1001 which prohibits knowingly making false statements to the

Federal Government.

(4) A certification report for all basic models of a covered

product (a suggested format is set forth in appendix A of this subpart)

shall be submitted to DOE. The certification report shall include for

each basic model the product type, product class (as denoted in

Sec. 430.32), manufacturer's name, private labeler's name(s) (if

applicable), the manufacturer's model number(s), and for:

(i) Central air conditioners, the seasonal energy efficiency ratio.

(ii) Central air conditioning heat pumps, the seasonal energy

efficiency ratio and heating seasonal performance factor.

(iii) Clothes washers, the energy factor in ft\3\/kWh/cycle and

capacity in ft\3\.

(iv) Clothes dryers, the energy factor in lbs/kWh, capacity in

ft\3\, and voltage.

(v) Direct heating equipment, the annual fuel utilization

efficiency in percent and capacity in Btu/hour.

(vi) Dishwashers, the energy factor in cycles/kWh and exterior

width in inches.

(vii) Faucets, the maximum water use in gpm (L/min) or gal/cycle

(L/cycle) for each faucet; or the maximum water use in gpm (L/min) or

gal/cycle (L/cycle) for each flow control mechanism, with a listing of

accompanied faucets by manufacturer's model numbers.

(viii) Furnaces, the annual fuel utilization efficiency in percent.

(ix) General service fluorescent lamps, the testing laboratory's

National Voluntary Laboratory Accreditation Program (NVLAP)

identification number or other NVLAP-approved accreditation

identification, production date codes (and accompanying decoding

scheme), the 12-month average lamp efficacy in lumens per watt, lamp

wattage, and the 12-month average Color Rendering Index.

(x) Incandescent reflector lamps, the laboratory's National

Voluntary Accreditation Program (NVLAP) identification number or other

NVLAP-approved accreditation identification, production date codes (and

accompanying decoding scheme), the 12-month average lamp efficacy in

lumens per watt, and lamp wattage.

(xi) Pool heaters, the thermal efficiency in percent.

(xii) Refrigerators, refrigerator-freezers, and freezers, the

annual energy use in kWh/yr and total adjusted volume in ft\3\.

(xiii) Room air conditioners, the energy efficiency ratio and

capacity in Btu/hour.

(xiv) Showerheads, the maximum water use in gpm (L/min) with a

listing of accompanied showerheads by manufacturer's model numbers.

(xv) Urinals, the maximum water use in gpf (Lpf).

(xvi) Water closets, the maximum water use in gpf (Lpf).

(xvii) Water heaters, the energy factor and rated storage volume in

gallons.

(5) Copies of reports to the Federal Trade Commission which include

the information specified in paragraph (a)(4) could serve in lieu of

the certification report.

(b) Model Modifications. (1) Any change to a basic model which

affects energy consumption or water consumption (in the case of

faucets, showerheads, water closets, and urinals) constitutes the

addition of a new basic model. If such change reduces consumption, the

new model shall be considered in compliance with the standard without

any additional testing. If, however, such change increases consumption

while still meeting the standard, all information required by paragraph

(a)(4) of this section for the new basic model must be submitted, by

certified mail, to: Department of Energy, Office of Energy Efficiency

and Renewable Energy, Office of Codes and Standards, Forrestal

Building, 1000 Independence Avenue, SW, Washington, DC 20585-0121.

(2) Prior to or concurrent with the distribution of a new model of

general service fluorescent lamp or incandescent reflector lamp, each

manufacturer and private labeler shall submit a statement signed by a

company official stating how the manufacturer or private labeler

determined that the lamp meets or exceeds the energy conservation

standards, including a description of any testing or analysis the

manufacturer or private labeler performed. This statement shall also

list the model number or descriptor, lamp wattage and date of

commencement of manufacture. Manufacturers and private labelers of

general service fluorescent lamps and incandescent reflector lamps

shall submit the certification report required by paragraph (a)(4) of

this section within one year after the date manufacture of that new

model commences.

(c) Discontinued model. When production of a basic model has ceased

and it is no longer being distributed, this shall be reported, by

certified mail, to: Department of Energy, Office of Energy Efficiency

and Renewable Energy, Office of Codes and Standards, Forrestal

Building, 1000 Independence Avenue, SW, Washington, DC 20585-0121. For

each basic model, the report shall include: product type, product

class, the manufacturer's name, the private labeler name(s), if

applicable, and the manufacturer's model number. If the reporting of

discontinued models coincides with the submittal of a certification

report, such information can be included in the certification report.

(d) Maintenance of records. The manufacturer or private labeler of

any covered product subject to any of the energy performance standards,

water performance standards (in the case of faucets, showerheads, water

closets, and urinals), or procedures prescribed in this part shall

establish, maintain, and retain the records of the underlying test data

for all certification testing. Such records shall be organized and

indexed in a fashion which makes them readily accessible for review by

DOE upon request. The records shall include the supporting test data

associated with tests performed on any test units to satisfy the

requirements of this subpart. The records shall be retained by the

manufacturer (private labeler) for a period of two years from the date

that production of the applicable model has ceased.

(e) Third party representation. A manufacturer or private labeler

may elect to use a third party to submit the

[[Page 13321]]

certification report to DOE (for example a trade association or other

authorized representative). Such certification reports shall include

all the information specified in paragraph (a)(4) of this section.

Third parties submitting certification reports shall include the names

of the manufacturers or private labelers who authorized the submittal

of the certification reports to DOE on their behalf. The third party

representative also may submit discontinued model information on behalf

of an authorizing manufacturer.

Sec. 430.63 [Amended]

20. Section 430.63 of subpart F is amended in paragraph (a), by

adding the phrase ``or water performance standard (in the case of

faucets, showerheads, water closets, and urinals)'' after ``energy

performance standard'' and revising ``Sec. 430.23'' to read

``Sec. 430.24''.

21. Section 430.70 of subpart F is amended by revising paragraphs

(a)(1) introductory text, (a)(3) and (a)(6)(i), to read as follows:

Sec. 430.70 Enforcement.

(a) Performance standard--(1) Test notice. Upon receiving

information in writing concerning the energy performance or water

performance (in the case of faucets, showerheads, water closets, and

urinals) of a particular covered product of a particular manufacturer

or private labeler which indicates that the covered product may not be

in compliance with the applicable energy performance standard or water

performance standard (in the case of faucets, showerheads, water

closets, and urinals), the Secretary may conduct testing of that

covered product under this subpart by means of a test notice addressed

to the manufacturer in accordance with the following requirements:

* * * * *

(3) Sampling. The determination that a manufacturer's basic model

complies with the applicable energy performance standard or water

performance standard (in the case of faucets, showerheads, water

closets, and urinals) shall be based on the testing conducted in

accordance with the statistical sampling procedures set forth in

appendix B of this subpart and the test procedures set forth in subpart

B of this part.

* * * * *

(6) Testing at manufacturer's option. (i) If a manufacturer's basic

model is determined to be in noncompliance with the applicable energy

performance standard or water performance standard (in the case of

faucets, showerheads, water closets, and urinals) at the conclusion of

DOE testing in accordance with the double sampling plan specified in

appendix B of this subpart, the manufacturer may request that DOE

conduct additional testing of the model according to procedures set

forth in appendix B of this subpart.

* * * * *

Sec. 430.73 [Amended]

22. Section 430.73 of subpart F is amended by adding the phrase

``or water conservation standard (in the case of faucets, showerheads,

water closets, and urinals)'' after ``energy conservation standard'' in

the introductory paragraph.

23. Appendix A to subpart F of Part 430 is revised to read as

follows:

Appendix A To Subpart F of Part 430--Compliance Statement and

Certification Report

COMPLIANCE STATEMENT

Product:---------------------------------------------------------------

Manufacturer's or Private Labeler's Name and Address:

----------------------------------------------------------------------

----------------------------------------------------------------------

----------------------------------------------------------------------

This compliance statement and all certification reports

submitted are in accordance with 10 CFR Part 430 (Energy or Water

Conservation Program for Consumer Products) and the Energy Policy

and Conservation Act, as amended. The compliance statement is signed

by a responsible official of the above named company. The basic

model(s) listed in certification reports comply with the applicable

energy conservation standard or water (in the case of faucets,

showerheads, water closets, and urinals) conservation standard. All

testing on which the certification reports are based was conducted

in conformance with applicable test requirements prescribed in 10

CFR part 430 subpart B. All information reported in the

certification report(s) is true, accurate, and complete. The company

is aware of the penalties associated with violations of the Act, the

regulations thereunder, and is also aware of the provisions

contained in 18 U.S.C. 1001, which prohibits knowingly making false

statements to the Federal Government.

Name of Company Official:----------------------------------------------

Signature:-------------------------------------------------------------

Title:-----------------------------------------------------------------

Firm or Organization:--------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

Date:------------------------------------------------------------------

Third Party Representation (if applicable)

For certification reports prepared and submitted by a third

party organization under the provisions of Sec. 430.62 of 10 CFR

part 430, the company official who authorized said third party

representation is:

Name:------------------------------------------------------------------

Title:-----------------------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

The third party organization submitting the certification report

on behalf of the company is:

Third Party Organization:----------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

CERTIFICATION REPORT

Date:------------------------------------------------------------------

Product Type:----------------------------------------------------------

Product Class:---------------------------------------------------------

Manufacturer:----------------------------------------------------------

Private Labeler (if applicable):---------------------------------------

Name:------------------------------------------------------------------

Title:-----------------------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

For Existing, New, or Modified Models \1\:

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\1\ Provide specific product information including, for each

basic model, the manufacturer's model numbers and the information

required in Sec. 430.62(a)(4)(i) through (a)(4)(xvii)).

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For Discontinued Models \2\:

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\2\ Provide manufacturer's model number.

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24. Appendix B to Subpart F of Part 430 is revised as follows:

Appendix B To Subpart F of Part 430--Sampling Plan For Enforcement

Testing

Double Sampling

Step 1. The first sample size (n1) must be four or

more units.

Step 2. Compute the mean (x1) of the measured energy

performance or water performance (in the case of faucets,

showerheads, water closets, and urinals) of the n1 units

in the first sample as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.010

where (x1) is the measured energy efficiency, energy or

water (in the case of faucets, showerheads, water closets, and

urinals) consumption of unit I.

Step 3. Compute the standard deviation (s1) of the

measured energy or water performance of the (n1) units in

the first sample as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.011

Step 4. Compute the standard error (SX1) of

the measured energy or water performance of the n1 units

in the first sample as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.012

Step 5. Compute the upper control limit (UCL1) and

lower control limit (LCL1) for the mean of the first

sample using the applicable DOE energy or water performance standard

(EPS) as the desired mean and a probability level of 95 percent

(two-tailed test) as follows:

[[Page 13322]]

[GRAPHIC] [TIFF OMITTED] TR18MR98.013

[GRAPHIC] [TIFF OMITTED] TR18MR98.014

where t is a statistic based on a 95 percent two-tailed probability

level and a sample size of n1.

Step 6(a). For an Energy Efficiency Standard, compare the mean

of the first sample (x1) with the upper and lower control

limits (UCL1 and LCL1) to determine one of the

following:

(1) If the mean of the first sample is below the lower control

limit, then the basic model is in noncompliance and testing is at an

end. (Do not go on to any of the steps below.)

(2) If the mean of the first sample is equal to or greater than

the upper control limit, then the basic model is in compliance and

testing is at an end. (Do not go on to any of the steps below.)

(3) If the sample mean is equal to or greater than the lower

control limit but less than the upper control limit, then no

determination of compliance or noncompliance can be made and a

second sample size is determined by Step 7(a).

Step 6(b). For an Energy or Water Consumption Standard, compare

the mean of the first sample (x1) with the upper and

lower control limits (UCL1 and LCL1) to

determine one of the following:

(1) If the mean of the first sample is above the upper control

limit, then the basic model is in noncompliance and testing is at an

end. (Do not go on to any of the steps below.)

(2) If the mean of the first sample is equal to or less than the

lower control limit, then the basic model is in compliance and

testing is at an end. (Do not go on to any of the steps below.)

(3) If the sample mean is equal to or less than the upper

control limit but greater than the lower control limit, then no

determination of compliance or noncompliance can be made and a

second sample size is determined by Step 7(b).

Step 7(a). For an Energy Efficiency Standard, determine the

second sample size (n2) as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.015

where s1 and t have the values used in Steps 4 and 5,

respectively. The term ``0.05 EPS'' is the difference between the

applicable energy efficiency standard and 95 percent of the

standard, where 95 percent of the standard is taken as the lower

control limit. This procedure yields a sufficient combined sample

size (n1+n2) to give an estimated 97.5 percent

probability of obtaining a determination of compliance when the true

mean efficiency is equal to the applicable standard. Given the

solution value of n2, determine one of the following:

(1) If the value of n2 is less than or equal to zero

and if the mean energy efficiency of the first sample

(x1) is either equal to or greater than the lower control

limit (LCL1) or equal to or greater than 95 percent of

the applicable energy efficiency standard (EES), whichever is

greater, i.e., if n2 0 and x1

max (LCL1, 0.95 EES), the basic model is in

compliance and testing is at an end.

(2) If the value of n2 is less than or equal to zero

and the mean energy efficiency of the first sample (x1)

is less than the lower control limit (LCL1) or less than

95 percent of the applicable energy efficiency standard (EES),

whichever is greater, i.e., if n2 0 and

x1 max (LCL1, 0.95 EES), the basic

model is in noncompliance and testing is at an end.

(3) If the value of n2 is greater than zero, then

value of the second sample size is determined to be the smallest

integer equal to or greater than the solution value of n2

for equation (6a). If the value of n2 so calculated is

greater than 20-n1, set n2 equal to

20-n1.

Step 7(b). For an Energy or Water Consumption Standard,

determine the second sample size (n2) as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.016

where s1 and t have the values used in Steps 4 and 5,

respectively. The term ``0.05 EPS'' is the difference between the

applicable energy or water consumption standard and 105 percent of

the standard, where 105 percent of the standard is taken as the

upper control limit. This procedure yields a sufficient combined

sample size (n1+n2) to give an estimated 97.5

percent probability of obtaining a determination of compliance when

the true mean consumption is equal to the applicable standard. Given

the solution value of n2, determine one of the following:

(1) If the value of n2 is less than or equal to zero

and if the mean energy or water consumption of the first sample

(x1) is either equal to or less than the upper control

limit (UCL1) or equal to or less than 105 percent of the

applicable energy or water performance standard (EPS), whichever is

less, i.e., if n2 0 and x1

min (UCL1, 1.05 EPS), the basic model is in

compliance and testing is at an end.

(2) If the value of n2 is less than or equal to zero

and the mean energy or water consumption of the first sample

(x1) is greater than the upper control limit

(UCL1) or more than 105 percent of the applicable energy

or water performance standard (EPS), whichever is less, i.e., if

n2 0 and x1 > min

(UCL1, 1.05 EPS), the basic model is in noncompliance and

testing is at an end.

(3) If the value of n2 is greater than zero, then the

value of the second sample size is determined to be the smallest

integer equal to or greater than the solution value of n2

for equation (6b). If the value of n2 so calculated is

greater than 20-n1, set n2 equal to

20-n1.

Step 8. Compute the combined mean (x2) of the

measured energy or water performance of the n1 and

n2 units of the combined first and second samples as

follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.017

Step 9. Compute the standard error (Sx1) of the

measured energy or water performance of the n1 and

n2 units in the combined first and second samples as

follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.018

Note: s1 is the value obtained in Step 3.

Step 10(a). For an Energy Efficiency Standard, compute the lower

control limit (LCL2) for the mean of the combined first

and second samples using the DOE energy efficiency standard (EES) as

the desired mean and a one-tailed probability level of 97.5 percent

(equivalent to the two-tailed probability level of 95 percent used

in Step 5) as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.019

where the t-statistic has the value obtained in Step 5.

Step 10(b). For an Energy or Water Consumption Standard, compute

the upper control limit (UCL2) for the mean of the

combined first and second samples using the DOE energy or water

performance standard (EPS) as the desired mean and a one-tailed

probability level of 102.5 percent (equivalent to the two-tailed

probability level of 95 percent used in Step 5) as follows:

[GRAPHIC] [TIFF OMITTED] TR18MR98.020

where the t-statistic has the value obtained in Step 5.

Step 11(a). For an Energy Efficiency Standard, compare the

combined sample mean (x2) to the lower control limit

(LCL2) to find one of the following:

(1) If the mean of the combined sample (x2) is less

than the lower control limit (LCL2) or 95 percent of the

applicable energy efficiency standard (EES), whichever is greater,

i.e., if x2 2, 0.95 EES), the basic

model is in noncompliance and testing is at an end.

(2) If the mean of the combined sample (x2) is equal

to or greater than the lower control limit (LCL2) or 95

percent of the applicable energy efficiency standard (EES),

whichever is greater, i.e., if x2 max

(LCL2, 0.95 EES), the basic model is in compliance and

testing is at an end.

Step 11(b). For an Energy or Water Consumption Standard, compare

the combined sample mean (x2) to the upper control limit

(UCL2) to find one of the following:

(1) If the mean of the combined sample (x2) is

greater than the upper control limit (UCL2) or 105

percent of the applicable energy or water performance standard

(EPS), whichever is less, i.e., if x2 > min

(UCL2, 1.05 EPS), the basic model is in noncompliance and

testing is at an end.

(2) If the mean of the combined sample (x2) is equal

to or less than the upper control limit (UCL2) or 105

percent of the applicable energy or water performance standard

(EPS), whichever is less, i.e., if x2 min

(UCL2, 1.05 EPS), the basic model is in compliance and

testing is at an end.

Manufacturer-Option Testing

If a determination of non-compliance is made in Steps 6, 7 or

11, the manufacturer may request that additional testing be

conducted, in accordance with the following procedures.

Step A. The manufacturer requests that an additional number,

n3, of units be tested,

[[Page 13323]]

with n3 chosen such that

n1+n2+n3 does not exceed 20.

Step B. Compute the mean energy or water performance, standard

error, and lower or upper control limit of the new combined sample

in accordance with the procedures prescribed in Steps 8, 9, and 10,

above.

Step C. Compare the mean performance of the new combined sample

to the revised lower or upper control limit to determine one of the

following:

a.1. For an Energy Efficiency Standard, if the new combined

sample mean is equal to or greater than the lower control limit or

95 percent of the applicable energy efficiency standard, whichever

is greater, the basic model is in compliance and testing is at an

end.

a.2. For an Energy or Water Consumption Standard, if the new

combined sample mean is equal to or less than the upper control

limit or 105 percent of the applicable energy or water consumption

standard, whichever is less, the basic model is in compliance and

testing is at an end.

b.1. For an Energy Efficiency Standard, if the new combined

sample mean is less than the lower control limit or 95 percent of

the applicable energy efficiency standard, whichever, is greater,

and the value of n1+n2+n3 is less

than 20, the manufacturer may request that additional units be

tested. The total of all units tested may not exceed 20. Steps A, B,

and C are then repeated.

b.2. For an Energy or Water Consumption Standard, if the new

combined sample mean is greater than the upper control limit or 105

percent of the applicable energy or water consumption standard,

whichever is less, and the value of

n1+n2+n3 is less than 20, the

manufacturer may request that additional units be tested. The total

of all units tested may not exceed 20. Steps A, B, and C are then

repeated.

c. Otherwise, the basic model is determined to be in

noncompliance.

[FR Doc. 98-6997 Filed 3-17-98; 8:45 am]

BILLING CODE 6450-01-P