Wednesday 

March 18, 1998 

Part II 

Department of 

Energy 

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 430 

Energy Conservation Program for 

Consumer Products: Test Procedures and 

Certification and Enforcement 

Requirements for Plumbing Products; and 

Certification and Enforcement 

Requirements for Residential Appliances; 

Final Rule 

 EE-RM-TP-97-600 COMMENT 07
13308 Federal Register IVol. 63, No. 52 /Wednesday, March 18, 1998 I Rules and Regulations 

DEPARTMENT OF ENERGY 

Office of Energy Efficiency and 

Renewable Energy 

10 CFR Part 430 

[Docket No. EE-RWP-97-6001 

RIN 1904-AA71 

Energy Conservation Program for 

Consumer Products: Test Procedures 

and Certification and Enforcement 

Requirements for Plumbing Products; 

and Certification and Enforcement 

Requirements for Residential 

Appliances 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Final rule 

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 Engineers1 

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 §§ 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 ASMEIANSI. 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 A1 12.19.6-1995, 

"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; andsection 8.5. 

2. American Society of Mechanical 

EngineersIAmerican National Standards 

Institute Standard A1 12.18.1M-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 ASMEIANSI 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: 

barbara.twigg@hq.doe.gov, 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) 

586-4 1 16, E-Mail: 

eugene.margolis@hq.doe.gov 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

A. Authority 

B. Background 

11. 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 independentlycontrolled 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 

111. 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 111 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 

 EE-RM-TP-97-600 COMMENT 07
Federal Register /Vol. 63. No. 52 / Wednesdav. March 18. 1998 /Rules and Regulations 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, 

5 323(b)(3), 42 U.S.C. § 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 A1 12.18.1M-1989, and 

A1 12.19.6-1990, 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, §323(b)(7) and 323(b)(8), 42 

U.S.C. § 6293(b)(7) and § 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 A1 12.18.1M1989 or ASME/ANSI Standard 

A1 12.19.6-1990 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, 5 3250) and 

325(k), 42 U.S.C. § 62956) and §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. 

11. 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 A1 12.18.1M1994, for testing faucets and 

showerheads. On May 29, 1996, the test 

procedure requirements for faucets and 

showerheads in ASME/ANSI Standard 

A1 12.18.1M-1994 were revised and 

issued as ASMEIANSI Standard 

A1 12.18.1M-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 A1 12.18.1M-1996. @MI, 

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 A1 12.18.1M-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 A1 12.19.6-1990, 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 ASMEIANSI Standard 

A1 12.19.6-1990 were revised and 

issued as ASME Standard A1 12.19.6- 

1995. 

American Standard Inc. (American 

Standard) stated that test procedure 

requirements for water closets and 

urinals in both versions of ASMEIANSI 

Standard A1 12.19.6 are identical, and 

recommended that DOE incorporate 

instead ASME Standard A1 12.19.6- 

1995. (American Standard Inc., 

Transcript, at 95). No additional 

comments were received. The 

Department is incorporating by 

referencesections 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 ASMEIANSI Standard 

A1 12.18.1M-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 ASMEIANSI Standard 

A1 12.18.1M-1994 (2.2 gpm at 60 psig). 

(AWWA, No. 1, at 2; CEC, Transcript, at 

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

Transcript, at 2 1). 

As discussed above, ASME/ANSI 

Standard A1 12.18.1M-1994 was revised 

and issued as ASME/ANSI Standard 

A1 12.18.1M-1996; however, the 

standard for faucets remained the same as in ASMEIANSI Standard 

A1 12.18.1M-1994. No other comments 

were received. Based on the above 

considerations, the Department is 

incorporating the faucet standard in 

ASME/ANSI Standard A1 12.18.1M1996 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 ASMEIANSI Standard 

A1 12.18.lM-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, ASMEI 

ANSI Standard A1 12.18.1M-1994 was 

revised and issued as ASME/ANSI 

 EE-RM-TP-97-600 COMMENT 07
133 10 Federal Register / Vol. E i3, No. SZ/Wednesday, March 18, 199 8 /Rules and Regulations 

Standard A112.18.1M-1996. The 

standard for showerheads in both 

ASME/ANSI Standard A1 12.18.1M1994 and ASME/ANSI Standard 

A1 12.18.1M-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 A1 12.18.1M-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 tanktype 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 A1 12.19.6-1990 was revised and issued as ASME/ANSI 

A1 12.19.6-1995. 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 

5 32 1. 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 waterpassage 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 

 EE-RM-TP-97-600 COMMENT 07
Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 1331 1 -- - - - 

non-metered faucets, or two decimal standards. To alleviate potential Moreover, Bradley added that 18 and 20 

places for metered faucets. confusion, AHAM requested that DOE inches are the two capacity criteria 

(4) Effective Date for Initial Certification either cross reference the term "water" generally used for lavatories, that 20 

Submissions to plumbing products or create separate inches is totally appropriate and is also 

paragraphs for products required to more conservative than 18 inches. 

In the proposed rule* DOE proposed meet minimum energy or maximum (Bradley, Transcript, at 89). The 

plumbing manufacturers be provided permissible water conservation Department agrees with Bradley's one year to comply with the standards. (AHAM, No. 4, at 1-2). The comment regarding the appropriateness certification requirements of sections Department agrees that it is appropriate of prorating using 20 inches and is 

430.62(a) (4) (vii), (xiv-xvi) of this rule. to clarify to which products water adopting the provision as proposed in No comments on this ~ro~osal were consumption requirements are today's final rule. 

received. The Department is adopting applicable, DOE is revising sections 

this provision in today's final rule. 430.27, 430.41, 430.70, and other J. Urinal Standard for Trough-Type 

Urinals 

H. Modifications to Existing Language sections as necessary by cross 

To Include Plumbing Products in the referencing the term "water" to apply On February 7, 1997, Kohler 

Code of Federal Regulations only to faucets, showerheads, water submitted a letter to DOE regarding 

closets, and urinals in today's final rule. trough-type urinals. Kohler stated that In the proposed rule, DOE proposed 

to amend sections 430.27, 430.31- trough-type urinals, which are produced I. Faucet Standards for Multiple-User in sizes of 36 inches, 48 inches, 60 430.33, 430.40, 430.41, 430.47, 430.49, Sprayheads 

430.50, 430.60, 430.61, 430.63, inches, and 72 inches, are fixtures 

430.70(a) (I), 430.70(a)(3), 430.70(a)(6) (1) Application of Faucet Standards to designed for multiple-users and are 

and 430.73 of Title 10 of the CFR by With Independently- generally installed in places of high 

modifying existing language to include Controlled Orifices density. Kohler believed these products 

plumbing products covered by EPCA. In the proposed rule, the Department are under EPCA and requested 

AWWA's proposed amendment to proposed that each orifice of a that it be allowed to satisfy compliance 

section 430.33 would allow States to set sprayhead with independently- with the standard by prorating 

more restrictive water conservation controlled orifices, depending on its water use based l6 

standards and preempt States from mode of actuation, shall not exceed the inches per In a March 24, 

setting less restrictive standards than maximum flow rate for a lavatory or lgg7 letter the Department 

the Federal standard. Section 327(c) of metering faucet. No comments on this agreed that KOhler's proposa1 seemed 

EPCA, however, specifies that when a proposal were received. The Department but that it intends seek 

Federal standard is in effect with is adopting this provision in additional input. This proposal was 

respect to water use for faucets, final rule. discussed at the April 2, 1997, public 

showerheads, water closets and urinals, hearing for plumbing products. 

any State regulation concerning the (2) Application of Faucet Standards to Both IAPMO and CEC supported 

water use of these covered products is With Kohler's proposal. (IAPMO, Transcript, 

preempted, regardless of whether it is Controlled Orifices at 66; and CEC, Transcript, at 83). 

more or less restrictive than the Federal In the proposed rule, the Department Kohler claimed that Eljer Industries, Inc. 

standard, subject to six limited proposed that the maximum flow rate of also supported its proposal. (Kohler, 

exceptions. (Two of the exceptions a manually-activated sprayhead with Transcript, at 72). No additional 

related specifically to water use collectively-controlled orifices shall be comments on this proposal were 

standards of New York, Rhode Island, the product of the maximum flow rate received. The Department is adopting 

and Georgia in effect on the date of for a lavatory faucet and the number of the provision in today's final rule to 

enactment of the Energy Policy Act of component lavatories (rim space of the read as follows: 

1992.) Under current law, DOE is lavatory in inches (millimeters) divided "430.32(r) Urinals. The maximum 

without authority to make the change by 20 inches (508 millimeters)). DOE water use allowed for any urinals 

requested by AWWA. While Congress also proposed that the maximum flow manufactured after January 1, 1994, 

preempted State standards, at the same rate of a metered-activated sprayhead shall be 1.0 gallons per flush (3.8 liters 

time it showed a desire to allow State shall be the product of the maximum per flush).' 

standards upon certain findings flow rate for a metering faucet and the 1 The maximum water use allowed for a [327(d)]. Congress recognized that number of component lavatories (rim trough-type urinal shall be the product of (a) circumstances can exist where States space of the lavatory in inches the maximum flow rate for a urinal and (b) 

will be permitted to establish or (millimeters) divided by 20 inches (508 the length of the trough-type urinal in inches 

maintain standards, and EPCA millimeters)). (meters) divided by 16 inches (0.406 

established procedures for the Secretary CEC and the Building Officials and meters)." 

to review the propriety of the State's Code Administrators International K. Enforcement exercise of regulatory authority. (BOCA) supported DOE'S proposal. 

The Association of Home Appliance (CEC, Transcript, at 83; and BOCA. In the proposed rule, the Department 

Manufacturers (AHAM) commented that Transcript, at 88). IAPMO objected and proposed to extend its enforcement 

provisions in sections 430.27, 430.4 1, instead recommended that prorating be policies to include plumbing products. 

and 430.70, which DOE proposed to based on 24 inches and 18 inches, for DOE believes that its existing 

amend to include plumbing products by sprayheads that are installed in a lineal enforcement procedures are adequate 

adding the term "water," could and circular lavatory, respectively. for deterring would-be violators. 

mistakenly subject certain AHAM (IAPMO, Transcript, at 89). Bradley The New York State Department of 

products (i.e., clothes washers and Corporation (Bradley) claimed that Environmental Conservation (NYSDEC) 

dishwashers) to water consumption lavatories to which sprayheads are claimed that it is necessary for DOE to 

requirements that only need to meet mounted are generally circular or establish a product or manufacturer 

minimum energy conservation semicircular rather than lineal. listing program to protect consumers 

 EE-RM-TP-97-600 COMMENT 07
13312 Federal Register /Vol. 63, No. 52 1 Wednesday, March 18, 1998 /Rules and Regulations 

from non-complying manufacturers. and private labelers. Based on the above certification report with the revised 

(NYSDEC, No. 5, at 2). considerations, the Department does not information if any information 

Presently, the Department is not believe the revision suggested by previously submitted has changed. aware of any manufacturers who are IAPMO and AWWA is justified for Both the Air-conditioning & 

producing non-compliant products for inclusion in today's final rule. Refrigeration Institute (ARI) and AHAM 

distribution. Furthermore, DOE believes asserted that such information would be 

that the enforcement mechanisms it (2) Discontinued Model submitted anyway in the course of new 

proposed to extend to plumbing Section 430.62(c) of the CFR presently submissions and requested that the 

products in the proposed rule are requires that "discontinued models" be proposal be withdrawn. (ARI, No. 3, at 

adequate. Therefore, in today's final reported in writing to DOE. In the 1; and AHAM, No. 4, at 2). DOE agrees 

rule, the Department is establishing proposed rule, DOE proposed to clarify with the suggestion by ARI and AHAM 

enforcement provisions for plumbing the section by defining "discontinued and is withdrawing this proposal in 

products as proposed. model" as "a basic model which has today's final rule. . . 

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 selfcertification 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 selfcertification 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 

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: 430.620, 

"Amendment of Information," which 

would require a manufacturer or his 

representative to submit, by certified 

mail, a statement of compliance or 

(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 

 EE-RM-TP-97-600 COMMENT 07
Federal Register / Vol. 63 , No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 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 email 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 A1 12.19.6- 

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. 

5 62956) (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. 

111. 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 102 1, 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. 

 EE-RM-TP-97-600 COMMENT 07
13314 Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 

C. Review Under the Regulatory decisions involved in promulgating and concluded that this record keeping 

Flexibility Act implementing a policy action. requirement is necessary for 

The Regulatory Flexibility Act, 5 The rule published today will not implementing and monitoring 

U.S.C. 55 601-612, requires the regulate the States. They will primarily compliance with the water conservation 

preparation of an initial regulatory affect the manner in which DOE standards, testing and certification 

flexibility analysis for every rule which promulgates residential appliance, requirements for residential and 

commercial faucets, showerheads, water by law must be :~~,":,"~~,"~,"$~~d"~?~~cedures; closets and urinals mandated by EPCA. comment, unless the agency certifies and certification requirements, that the rule, if promulgated, will not prescribed under the Energy 

The final rule also requires 

manufacturers to submit initial have a significant economic impact on Conservation and Policy Act. State certification reports for basic models of a substantial number of small entities. in this area is largely In the NOPR, DOE invited public covered faucets, showerheads, water 

preempted by the Energy Policy and closets and urinals within 12 months 

'Omment On its that the Conservation Act. The rule published after the publication of a final rule in 

proposed if promulgated, today will not alter the distribution of the Federal Register. The initial not have a significant economic impact authority and responsibility to regulate certification reports will be a one-time on a substantial number of small in this area. Accordingly, DOE has submission stating that the entities. The NOPR presented detailed determined that preparation of a manufacturer has determined by information On the number of federalism assessment is unnecessary. employing actual testing that the basic manufacturers of plumbing fixtures and 

fittings that would be affected by the E. Review Under Executive Order 12630. ~,",",",l~~fa~,"~~~~~~~~,","r;

rule, and it discussed the statutory basis ''Governmental Actions and 

Interference With Constitutionally water conservation standard. After the for standards and test procedures first year, manufacturers of plumbing incorporated in the rule and steps DOE Protected Property Rights" products will have to submit a has taken to minimize the economic It has been determined Pursuant to certification report for each new basic 

impact on covered firms. As explained Executive Order 12630, "Governmental model, or to certify compliance with a in the NOPR, this rule includes water Actions and Interference with new or amended standard, before the conservation standards that are Constitutionally Protected Property model will be allowed to be distributed prescribed by EPCA and updated test Rights," 52 FR 8859 (March 18, 1988), in commerce. procedures that EPCA requires DOE to that this regulation will not result in any 

adopt. The test procedures which are takings which might require G. Review Under Executive Order 

incorporated in this rule (ASME/ANSI compensation under the Fifth 12988, "Civil Justice Reform " 

Standards A1 12.18.1M-1996 and Amendment to the United States With respect to the review of existing 

A1 12.19.6-1 995) are already in general Constitution. regulations and the promulgation of use in the industry. The rule also revises F. Review Under the Paperwork new regulations, Section 3(a) of 

certification and enforcement Executive Order 12988, "Civil Justice 

requirements in 10 CFR Part 430 that Reduction Act Reform," 61 FR 4729 (February 7, 1996), 

apply to all manufacturers of covered Today's final rule will revise imposes on executive agencies the 

products (see discussion under "Review certification and enforcement general duty to adhere to the following 

Under the Paperwork Reduction Act" in requirements applicable to requirements: (1) eliminate drafting 

this SUPPLEMENTARY INFORMATION manufacturers of covered consumer errors and ambiguity; (2) write 

section). DOE received no public products. Appendix A to Subpart F of regulations to minimize litigation; and 

comments that specifically addressed part 430, "Compliance Statement and (3) provide a clear legal standard for 

the impact of the rule on small Certification Report," was previously affected conduct rather than a general 

businesses. approved by OMB and assigned OMB standard and promote simplification 

DOE certifies that complying with this Control No. 1910-1400. The final rule and burden reduction. With regard to 

final rule (excluding the cost of will revise this form to cover the review required by Section 3(a), 

compliance with the water conservation certification of plumbing products; Section 3(b) of the Executive Order 

standards and test procedures directly facilitate use of the form by third party specifically requires that Executive 

imposed by EPCA) would not impose representatives of covered product agencies make every reasonable effort to 

significant economic costs on a manufacturers; and, in an attachment, ensure that the regulation: (1) clearly 

substantial number of small specify the format of the certification specifies the preemptive effect, if any; 

manufacturers. report that manufacturers currently are (2) clearly specifies any effect on required to submit to DOE by 10 CFR existing Federal law or regulation; (3) D. Review Under Executive Order 

1261 2, "Federalism" part 430.62(a) (2). OMB has approved the provide a clear legal standard for 

revised "Compliance Statement and affected conduct while promoting 

Executive Order 126 12, "Federalism," Certification Report" and extended its simplification and burden reduction; (4) 

52 FR 41685 (October 30, 1987), effectiveness until June 30, 2000. An specifies the retroactive effect, if any; (5) 

requires that regulations, rules, agency may not conduct or sponsor a adequately defines key terms; and (6) 

legislation, and any other policy actions collection of information unless the addresses other important issues 

be reviewed for any substantial direct collection displays a currently valid affecting clarity and general 

effect on States, on the relationship OMB control number. (See 5 CFR draftsmanship under any guidelines 

between the National Government and § 1320.5 (b)). issued by the Attorney General. Section 

States, or in the distribution of power The final rule will require 3(c) of the Executive Order requires 

and responsibilities among various manufacturers of plumbing products to Executive agencies to review regulations 

levels of government. If there are maintain records concerning their in light of applicable standards Section 

substantial effects, then the Executive determinations of the water 3(a) and Section 3(b) to determine 

Order requires preparation of a consumption of faucets, showerheads, whether they are met or it is 

federalism assessment to be used in all water closets and urinals. DOE has unreasonable to meet one or more of 

 EE-RM-TP-97-600 COMMENT 07
Federal Register / Vol. 63, No. 52 /Wednesday, March 18, 1998 1 Rules and Regulations 133 15 

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 ~e~artment'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. 

80 1 (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 I1 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 

5 430.2 Definitions. 

* * * * * 

ANSImeans 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 A1 12.19.2M-1995. (see 

§ 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), 

(81, (lo), (151, (161, (171, 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 

 EE-RM-TP-97-600 COMMENT 07
13316 Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 

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 

A1 12.19.2M-1995. (see S430.22) ***** 

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 

5 430.22 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 

A1 12.18.1M-1996, "Plumbing Fixture 

Fittings.'' 

2. ASME/ANSI Standard A1 12.19.6- 

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: 

5 430.23 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 

perrkssible 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: 

5 430.24 Units to be tested. ***** 

(s) For each basic model of faucet,' a 

sample of sufficient size shall be tested 

1 Components of similar design may be 

substituted without requiring additional testing if 

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. 

(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: 

(I) 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 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 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. 

5 430.27 [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 (1) (first 

sentence); and 

b. Revising the existing referenced 

section "5 430.22" in paragraph (a) (1) to 

read as "S 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/ 

the represented measures of energy or water 

consumption continue to satisfy the applicable 

sampling provision. 

 EE-RM-TP-97-600 COMMENT 07
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 A1 12.18.1M1996 (see § 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. 

Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 1331 7 

Appendix T to Subpart B of Part 430- 

Uniform Test Method for Measuring the 

Water Consumption of Water Closets 

and Urinals 

cycle) and liters per cycle (L/cycle), shall be Consumption, of the ASME/ANSI Standard 

conducted in accordance with the test A1 12.19.6-1995 (see 5430.22). Faucet type requirements specified in section 6.5. Flow 

Capacity Test, of the ASME/ANSI Standard 8. The subpart heading for Subpart C 

A112.18.1M-1996 (see 5430.22). is revised to read as follows: Lavatory faucets ..... Measurements shall be recorded at the Lavatory replaceresolution of the test instrumentation. Subpart C-Energy and Water ment aerators. 

Calculations shall be rounded off to the same conservation standards Kitchen faucets ....... number of significant digits as the previous Kitchen replacement 

step. The final water consumption value aerators. 

shall be rounded to one decimal place for 9. Section 430'31 is revised read as Metering faucets ..... 

non-metered faucets. or two decimal laces 

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 ofthe 

ASME/ANSI Standard A1 12.19.6-1 995 (see 

5 430.22). 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 A1 12.19.6-1995 (see 

Maximum flow rate 

(gpm (Umin)) or (gall cycle (Ucycle)) 

2.2 gpm (8.3 Umin)l,2 

2.2 gpm (8.3 Umin) 

2.2 gpm (8.3 Umin) 

2.2 gpm (8.3 Umin) 

0.25 gallcycle (0.95 U 

cvcle)3.4 

5 430.22). 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 A1 12.19.6-1995 

(see 5 430.22). 

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 

5 430.31 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: 

§ 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: 

* * * * * 

(0) 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 

(4 14 kilopascals), shall be as follows: 

, ,. 

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)). 

3Sprayheads 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. 

4Sprayheads 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 ASMEIANSI Standard 

A1 12.18.1M-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 

manuiactured after ~a&ar~ 1, 1994, 

shall be as follows: 

(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 

Water closet type 

Gravity tank-type toilets ........ Flushometer tank toilets ....... Electromechanical hydraulic 

toiletsl.6 (6.0). 

Blowout toilets ....................... 

Maximum 

flush rate 

(gpf (Lpf)) 

1.6 (6.0) 

1.6 (6.0) 

3.5 (1 3.2) 

 EE-RM-TP-97-600 COMMENT 07
13318 Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 

after January 1, 1994, shall be 1.0 conservation standard (in the case of regulation is likely to contribute 

gallons per flush (3.8 liters per flush). faucets, showerheads, water closets, and significantly to a proliferation of State 

The maximum water use allowed for a urinals), or other requirement for a type appliance efficiency requirements and 

trough-type urinal shall be the product or class of covered equipment for which the cumulative impact such 

of: a Federal energy conservation standard requirements would have. The Secretary 

(1) The maximum flow rate for a or water conservation standard is may not prescribe such a rule if he finds 

urinal and applicable, the Secretary shall prescribe that such a rule will result in the 

(2) The length of the trough-type a rule that such standard not be unavailability in the State of any 

urinal in inches (millimeter) divided by preempted if he determines that the covered product (or class) of 

16 inches (406 millimeters). State has established by a performance characteristics (including 

11. Section 430.33 of subpart C is preponderance of evidence that such reliability), features, sizes, capacities, revised to read as follow: requirement is needed to meet unusual and volumes that are substantially the 

9 430.33 Preemption of State regulations. and compelling State or local energy same as those generally in the 

state regulation providing for interests or water interests. For the State at the time of the Secretary's 

any energy conservation standard, or purposes this section, the term finding. The failure of some classes (or 

water conservation standard (in the case "unusual and compelling State or local types) to meet this criterion shall not 

of faucets, showerheads, water closets, energy interests Or water interests" affect the Secretary's determination of 

and urinals), or other requirement with means interests which are substantially whether to prescribe a for 

to the energy efficiency, energy different in nature or magnitude than classes 

(1) Requirements of petition for 

use, or water use (in the case of faucets, those prevailing in the generally, exemption from preemption. A petition showerheads, water closets, or urinals) and are such that when from a State for a rule for exemption of a covered product that is not identical within the the State's enera from preemption shall include the 

to a Federal standard in effect under this plan and forecast, Or water plan and 

subpart is preempted by that standard, forecast the costs, benefits, burdens, and listed in paragraphs 

through (a) (1) (vi) of this section. A 

except as provided for in sections 327 of energy savings or water 

savings resulting from the State petition for a rule and correspondence (b) and (c) of the Act. 

regulation make such regulation relating to such petition shall be 

Subpart D-Petitions to Exempt State preferable or necessary when measured for public review except for 

Regulation From Preemption; Petitions against the costs, benefits, burdens, and Or proprietary information 

TO Withdraw Exemption of State reliability of alternative approaches to mbmitted in accordance with the 

Regulation energy savings or water savings or Department of Energy's Freedom of 

production, including reliance on Information Regulations set forth in 10 

12. Section 430.40 of subpart D is reasonably predictable market-induced CFR part 1004: 

revised to read as follow: improvements in efficiency of all (i) The name, address, and telephone 

equipment subject to the State number of the petitioner; 5 430.40 Purpose and scope. regulation. The Secretary may not (ii) A copy of the State standard for 

(a) This subpart prescribes the which a rule exempting such standard 

procedures to be followed in connection prescribe a if he finds that is sought; 

with petitions requesting a rule that a interested persons have (iii) A copy of the State's energy plan 

State regulation prescribing an energy a preponderance the evidence, that or water plan and forecast; 

conservation standard, water the State's regulation will significantly (iv) specification of each type or class 

conservation standard (in the case of burden manufacturing, of covered product for which a rule 

faucets, showerheads, water closets, and distribution, Or servicing the exempting a standard is sought; 

urinals), or other requirement respecting covered equipment On a national basis. (v) Other information, if any, believed 

energy efficiency, energy use, or water In determining whether to make such a to be pertinent by the petitioner; and 

use (in the case of faucets, showerheads, finding, the Secretary shall evaluate all (vi) Such other information as the 

water closets, and urinals) of a type (or relevant factors including: the extent to Secretary may require. 

class) of covered product not be which the State regulation will increase (2) [reserved] 

preempted. manufacturing or distribution costs of (b) Criteria for exemption from 

(b) hi^ subpart also prescribes the manufacturers, distributors, and others; preemption when energy emergency 

procedures to be followed in connection the extent to which the State regulation conditions or water emergency 

with petitions to withdraw a rule wlll disadvantage smaller conditions (in the case of faucets, 

exempting a state regulation prescribing manufacturers, distributors, or dealers showerheads, water closets, and urinals) 

an energy conservation standard, water or lessen competition in the sale of the exist within State. Upon petition by a 

conservation standard (in the case of covered product in the State; the extent State which has prescribed an energy 

faucets, showerheads, water closets, and which the State regu1ati0n conservation standard or water 

urinals), or other requirement respecting a burden manufacturers to conservation standard (in the case of 

energy efficiency, energy use, or water redesign and produce the cOvered faucets, showerheads, water closets, and 

use (in the case of faucets, showerheads, product taking urinals) or other requirement for a type 

water ,-losets, and urinals) of a type (or consideration the extent to which the or class of covered product for which a 

class) of covered product. regulation would result in a reduction Federal energy conservation standard or 

13. Section 430.41 of Subpart D is in the current models, or in the water conservation standard is 

revised to read as follows: projected availability of models, that applicable, the Secretary may prescribe 

could be shipped on the effective date a rule, effective upon publication in the 

5 430.41 Prescriptions of a rule. of the regulation to the State and within Federal Register, that such State 

(a) Criteria for exemption from the U.S., or in the current or projected regulation not be preempted if he 

preemption. Upon petition by a State sales volume of the covered product determines that in addition to meeting 

which has prescribed an energy type (or class) in the State and the US.; the requirements of paragraph (a) of this 

conservation standard, water and the extent to which the State section the State has established that: an 

 EE-RM-TP-97-600 COMMENT 07
Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 13319 

energy emergency condition or water subsequently is amended, may petition Subpart E-Small Business 

emergency condition exists within the the Secretary requesting that the Exemptions 

State that imperils the health, safety, exemption rule be withdrawn. The 

and welfare of its residents because of Secretary shall consider such petition in 5430.50 LAmended] 

the inability of the State or utilities accordance with the requirements of 16. Section 430.50 of subpart E is 

within the State to provide adequate paragraph (a) of this section, except that amended by adding the phrase "or 

quantities of gas, electric energy, or the burden shall be on the petitioner to Water conservation standards (in the 

water to its residents at less than demonstrate that the exemption rule case of faucets, showerheads, Water 

prohibitive costs; and cannot be received by the State should be closets, and urinals)." after "energy 

substantially alleviated by the withdrawn as a result of the amendment conservation standards" in paragraphs 

importation of energy or water or the to the Federal standard. The Secretary (a) and (b). 

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)(l)(vi) of this section. A petition shall 

also include the information prescribed 

in paragraphs (b) (I) (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 

1064: 

(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 

allev~ateds~bstantiall~ 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 

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) (I) (i) 

through (c) (I) (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] 

5 430.47 [Amended] 

14. Section 430.47 of subpart D is 

amended in paragraph (a) (I), 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)". 

§ 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 F-Certification and 

Enforcement 

17. Section 430.60 of subpart F is 

revised to read as follows: 

5 430.60 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). 

§ 430.61 [Amended] 

18. Section 430.6 1 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: 

s430.62 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 

 EE-RM-TP-97-600 COMMENT 07
13320 Federal Register /Vol. 63, No. 52 /Wednesday, March 18, 1998 /Rules and Regulations 

company official submitting the 

statement. and the certification re~ortkl 1 ~, 

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 20585-012 1. 

(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 § 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 ft3/kWh/cycle and capacity in ft3. 

(iv) Clothes dryers, the energy factor 

in Ibs/kWh, capacity in ft3, 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 (Llcycle) 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 NVLAPapproved 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, refrigeratorfreezers, and freezers, the annual energy 

use in kWh/yr and total adjusted 

volume in ft3. 

(xiii) Room air conditioners, the 

energy efficiency ratio and capacity in 

Btulhour. 

(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- 

01 2 1. For each basic model, the report 

shall include: product type, product 

class, the manufacturer's name, the 

private labeler name($, 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 

retak 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 

 EE-RM-TP-97-600 COMMENT 07
Federal Register IVol. 63, No. 52 I Wednesday, March 18, 1998/Rules and Regulations 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. 

5 430.63 [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 "5 430.23" to read "§ 430.24". 

21. Section 430.70 of subpart F is 

amended by revising paragraphs (a) (I) 

introductory text, (a) (3) and (a) (6) (i), to 

read as follows: 

9 430.70 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. * * * * * 

(i 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 S 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 l: 

For Discontinued Models 2: 

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 (nl) must be 

four or more units. 

Step 2. Compute the mean (XI) of the 

measured energy performance or water 

performance (in the case of faucets, 

showerheads, water closets, and urinals) of 

the n, units in the first sample as follows: 

where (XI) 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 (SI) 

of the measured energy or water performance 

of the (nl) units in the first sample as follows: 

Step 4. Compute the standard error (Sx,) of 

the measured energy or water performance of 

the nl units in the first sample as follows: 

Step 5. Compute the upper control limit 

KJCLII and lower control limit (LCLI) for the ~ ., , -, 

mean of the first sample using the applicable 

DOE enerev or water oerformance standard 

(EPS) as tKe desired Aean and a probability 

level of 95 percent (two-tailed test) as follows: 

1 Provide specific product information including, 

for each basic model, the manufacturer's model 

numbers and the information required in 

5 430.62(a) (4) (i) through (a) (4) (xvii)). 

2Provide manufacturer's model number. 

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13322 Federal Register /Vol. 63, No. 52 / Wednesday, March 18, 1998 / Rules and Regulations 

LCL, = EPS - tsTl (4) max (LCLI, 0.95 EES), the basic model is in 

compliance and testing is at an end. s1 (8) 

(2) If the value of n2 is less than or equal 

to zero and the mean energy efficiency of the ~~t~: sl is the value obtained in Step 3. UCL, = EPS + tsXl (5) first sample (XI) is less than the lower control Step For an Energy Efficiency 

where t is a statistic based on a 95 percent limit (LCLl) or less than 95 percent of the Standard, compute the lower control limit 

two.tailed probability level and a sample size energy standard (EES), (LCL2) for the mean of the combined first and 

of nl. whichever is greater, i.e., if n2 S 0 and XI 2 second samples using the DOE energy 

Step 6(a). For an Energy Efficiency max (LCLI, 0.95 EES), the basic model is in efficiency standard (EES) as the desired mean 

Standard, compare the mean of the first noncompliance and testing is at an end. and a one-tailed probability level of 97.5 

sample (%I) with the upper and lower control (3) If the value of nz is greater than zero, percent (equivalent to the two-tailed 

limits (UCLI and LCLI) to determine one of then value of the second sample size is probability level of 95 percent used in Step 

the following: determined to be the smallest integer equal 5) as follows: 

(1) ~f the mean of the first sample is below to or greater than the solution value of n2 for 

the lower control limit, then the basic model equation (Gal. If the value of n2 so calculated LCL2 = EES - ts,, 

is in noncompliance and testing is at an end. is greater than 20 - nl, set n2 equal to 20 - nl. (9a) 

(Do not go on to any of the steps below.) Step 7(b). For an Energy or Water where the t-statistic has the value obtained in 

(2) If the mean of the first sample is equal Consumption Standard, determine the Step 5. 

to or greater than the upper control limit, second sample size (n2) as follows: Step 10(b). For an Energy or Water 

then the basic model is in compliance and Consumption Standard, compute the upper 

testing is at an end. (Do not go on to any of control limit (UCL2) for the mean of the 

the steps below.) combined first and second samples using the 

(3) If the sample mean is equal to or greater (6b) DOE energy or water performance standard 

than the lower control limit but less than the (EPS) as the desired mean and a one-tailed 

upper control limit, then no determination of where sl and t have the values used in Steps probability level of 102.5 Percent (equivalent 

compliance or noncompliance can be made 4 and 5, respectively. The term "0.05 EPS" to the two-tailed probability level of 95 

and a second sample size is determined by is the difference between the applicable percent used in Step 5) as follows: 

Step 7(a). energy or water consumption standard and 

Step 6(b). For an Energy or Water 105 percent of the standard, where 105 UCL2 = EPS + ts,, (9b) 

Consumption Standard, compare the mean of Percent of the standard is taken as the upper where the t+tatistic has the value obtained in 

the first sample (%I) with the upper and lower control limit. This procedure yields a Step 5. 

control limits (UCL! and LCLI) to determine sufficient combined sample size (nl+nz) to step 11 (a), F~~ an E~~~~~ ~ffi~i~~~

one of the following: give an estimated 97.5 percent probability of standard, the combined sample 

(1) If the mean of the first sample is above obtaining a determination of compliance mean to the lower control limit (LCL~) to

the upper control limit, then the basic model when the true mean consumption is equal to find one ofthe following: is in noncompliance and testing is at an end. the applicable standard. Given the solution (1) If the mean of the combined sample (X2) (Do not go on to any of the steps below.) value of n2, determine one of the following: is less than the lower control limit (LCL2) or (2) If the mean of the first sample is equal (1) If the value of nz is less than or equal 95 percent of the applicable energy efficiency to or less than the lower control limit, then to zero and if the mean energy or water standard (EES), whichever is greater, i.e., if 

the basic model is in compliance and testing consumption of the first sample (%,) is either t2 < max (LCL2, 0.95 EES), the basic model 

is at an end. (Do not go on to any of the steps equal to or less than the upper control limit is in noncompliance and testing is at an end. 

below.) (UCLI) or equal to or less than 105 percent (2) If the mean of the combined sample (32) (3) If the sample mean is equal to or less of the applicable energy or water is equal to or greater than the lower control 

than the upper limit but greaterthan performance standard (EPS), whichever is limit (LCL2) or 95 percent of the applicable the lower control limit, then no less, i.e., if n2 5 0 and f 5 min (UCL,, 1.05 energy efficiency standard (EES), whichever 

determination of compliance or EPS), the basic model is in compliance and is greater, i.e.. if %2 b max (LCL2, 0.95 EES). noncompliance can be made and a second testing is at an end, the basic model is in compliance and testing sample size is determined by Step 7(b). (2) If the value of n2 is less than or equal is at an end. 

Step 7(a). For an Energy Efficiency to zero and the mean energy or water Step 1 1 (b). For an Energy or Water 

Standard, determine the second sample size 

(n2) as follows: consumption of the first sample (XI) is greater Consum~tio~ Standard, =Ompare the 

than the upper control limit (UCLI) or more combined mean (~2) the 

than 105 percent of the applicable energy or limit (UCL2) to find One of the 

water performance standard (EPS), following: 

(6a) whichever is less, i.e,, if n2 5 0 and fl > min (1) If the mean of the combined sample (%2) 

(UCL,, 1.05 EPS), the basic model is in is greater than the upper control limit (UCL2) 

where sl and t have the values used in noncompliance and testing is at an end. or 105 percent of the applicable energy or 

Steps 4 and 5, respectively. The term "0.05 water performance standard (EPS) , (3) If the of n2 is greater than zero, whichever is less, i,e., if t > min (UCL2, 1.05 EPS" is the difference between the applicable then the value of the second sample size is EPS), the basic model is in noncompliance energy efficiency standard and 95 percent of determined to be the smallest integer equal and testing is at an end, the standard, where 95 percent of the to or greater than the solution value of n2 for (2) If the mean of the combined sample (X2) standard is taken as the lower control limit. equation (6b). If the value of n2 so calculated is equal to or less than the upper control This procedure yields a sufficient combined is greater than 20 - nl, set n2 equal to 20 - nl. limit (UCL2) or 105 of the applicable sample size (nl+nd to give an estimated 97.5 Step 8. Compute the combined mean (x2) energy or water performance standard (EPS), percent probability of obtaining a of the measured energy Or water performance whichever is less, i.e., if t2 I min (UCL2, 1.05 determination of compliance when the true of the nl and n2 units of the combined first EPS), the basic model is in compliance mean efficiency is equal to the applicable and second samples as follows: testing is at an end. standard. Given the solution value of n2, 

determine one of the following: Manufacturer-Option Testing 

(1) If the value of nl is less than or equal If a determination of non-compliance is 

to zero and if the mean energy efficiency of (7) made in Steps 6.7 or 11, the manufacturer 

the first sample (XI) is either equal to or may request that additional testing be 

greater than the lower control limit (LCLI) or Step 9. Compute the standard error (S,,) of conducted, in accordance with the following 

equal to or greater than 95 percent of the the measured energy or water performance of procedures. 

applicable energy efficiency standard (EES), the n~ and n2 units in the combined first and Step A. The manufacturer requests that an whichever is greater, i.e., if n2 S 0 and XI 2 second samples as follows: additional number, ns, of units be tested. 

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Federal Register /Vol. 63, No. 52 I Wednesday, March 18, 1998 I Rules and Regulations 13323 

with n3 chosen such that nl+nz+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 

nl+n2+n, is less than 20, the manufacturer 

may request that additional units be tested. 

The total of ail 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 n,+nz+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 3-1 7-98: 8:45 am] 

BILLING CODE 645D-01-P 

 EE-RM-TP-97-600 COMMENT 07