## 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

### 13308 Federal RegisterIVol. 

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### 18, 1998

### IRules 

### 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 10of the Code of Federal Regulations water conservation standards established in EPCA for showerheads,water closets and urinals; establishes, as directed by EPCA,water conservation standardsfor faucets and test procedures for faucets, showerheads,water closets and urinals by reference torevised 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, 1998no manufacturer, distributor, retailer, or private labeler may make representations with respect to water use covered plumbing products, except

as reflected intests conducted according
to DOE test procedure found in this rule.

ADDRESSES: The Department is incorporating by reference test standardsfrom 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) 586-4 116,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. Definitionof "Basic Model" E. Definition of "Electromechanical

Hydraulic Toilet" F. StatisticalSampling Plans for

CertificationTesting G. CertificationReporting Requirementsfor 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. Modificationsto Existing Language to

Include Plumbing Products in the Code of Federal Regulations I. Faucet Standardsfor Multiple-User

Sprayheads (1)Applicationoffaucet standardsto

sprayheads with independentlycontrolled orifices (2)Applicationoffaucet standardsto

sprayheadswith collectively-controlled orifices J. Urinal Standardfor Trough-Type Urinals K. Enforcement L. Clarificationof CertificationReporting

Requirementsfor Residential Appliances (1)Means of certification (2) Discontinued model (3)Amendmentof information (4) Submission of annualenergyuse for

kitchen ranges,ovens, and microwave

ovens M. Metric Equivalents N. Other Issues (1) Establishmentof an e-mail address (2)Performance-basedstandard (3)Consumertampering (4) Product listing 111.Procedural Requirements

A. Review Under the National

EnvironmentalPolicy Act of 1969 B. Review Under Executive Order 12866,

"RegulatoryPlanning and Review" C. ReviewUnder the RegulatoryFlexibility

Act D. Review Under Executive Order 12612,

"Federalism" E. Review Under Executive Order 12630.

"GovernmentalActions and Interference with Constitutionally Protected Property Rights" F. Review Under the Paperwork Reduction

Act G. Review Under Executive Order 12988,

"Civil JusticeReform" 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).Theproducts 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

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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 intests 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 180days 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 economicallyjustified, (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. TestProcedures
(1)Faucets and Showerheads

In the proposed rule, the Department proposed to incorporate by reference, section 6.5, "Flow CapacityTest," 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 Closetsand 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. (AmericanStandard 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 CaliforniaEnergy Commission (CEC)

, PMI, and the International Association ofPlumbing and Mechanical Officials (IAPMO) supported the standard for faucets in ASMEIANSI Standard A1 12.18.1M-1994 (2.2gpm at 60 psig). (AWWA, No. 1,at 2; CEC, Transcript, at 18;PMI, Transcript, at 20; and IAPMO, Transcript, at 21).

As discussed above, ASME/ANSI Standard 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 12.18.1M1996in 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 (8lbf)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

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StandardA112.18.1M-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 StandardA1 12.18.1M-1996, in today's final rule.
(3)Water Closets and Urinals

In the proposed rule, DOE proposed
to codify the statutory standardsfor
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 afterJanuary 1, 1994; and for flushometer valve toilets and commercial gravity tank-type 

### 2 piece toilets, if manufactured afterJanuary 1, 1997.The maximum water use allowed for blowout toilets is 3.5 gpf, if manufactured afterJanuary 1, 1994.The maximum water use for any urinal is 1.0 gpf, if manufactured afterJanuary 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 standardsfor 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 donot have any differing physical or functional characteristics that affect consumption.No comments on this issue were received. The Department is adoptingthese 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 InformationTo 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)

, andthe water usage. IAPMO supported DOE'S proposal. (IAPMO,Transcript, No. 38).No additional comments onthis proposal were received. DOE is adoptingthis provision intoday'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 afterthe final result is calculated.

American Standard stated that there is confusion inthe 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; andAWWA, 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

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### 13311

-- - - - non-metered faucets, or two decimal standards. To alleviate potential Moreover, Bradley added that 18and 20 places for metered faucets. confusion,AHAM requested that DOE inches are the two capacity criteria
(4)Effective

### Date forInitial Certification either cross referencethe 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 agreeswith Bradley's

one year to comply with the standards. (AHAM,No. 4, at 1-2). The comment regarding the appropriateness certificationrequirements ofsections Department agrees that it is appropriate of prorating using 20 inches and is 430.62(a)(4) (vii),(xiv-xvi) ofthis 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 Standardfor Trough-Type Urinals H. 

### Modifications toExisting Language sections as necessary by cross 

### ToInclude Plumbing Products in the referencingthe 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 Standardsfor 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 ofTitle 10

### ofthe 

### 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 ofactuation, shall not exceed the inches per In a March 24, setting less restrictive standards than maximum flow rate for a lavatory or lgg7letter the Department
the Federal standard. Section 327(c)of metering faucet. No comments on this agreed that KOhler's proposa1seemed EPCA,however, specifies that when a proposal were received. The Department but that it intends seek
Federal standard is in effect with is adoptingthis 

### 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 ofFaucet 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. (Twoof the exceptions a manually-activated sprayhead with Transcript, at 72).No additional related specifically to water use collectively-controlled orifices shallbe comments onthis 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 finalrule to
enactment of the Energy Policy Act of component lavatories (rim space ofthe 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 (508millimeters)).DOE water use allowed for any urinals requested by AWWA. While Congress also proposed that the maximum flow manufactured afterJanuary 

### 1, 1994, preempted State standards,at the same rate of a metered-activated sprayhead shallbe 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 1The maximum water use allowedfor a [327(d)]. Congress recognized that number ofcomponent lavatories (rim trough-typeurinal shallbe the product of (a) circumstances can exist where States space of the lavatory in inches the maximum flow rate for aurinal and (b) will be permitted to establish or (millimeters)divided by 20 inches (508 the length of the trough-typeurinal in inches maintain standards,and EPCA millimeters)). (meters) divided by 16inches (0.406 established procedures forthe Secretary CEC and the Building Officialsand meters)." to review the propriety ofthe State's Code Administrators International K. 

### Enforcement exercise of regulatory authority. (BOCA)supported DOE'Sproposal.

The Association ofHome 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 includeplumbing 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 sprayheadsthat are installed in a lineal enforcement procedures are adequate adding the term "water," could and circular lavatory, respectively. for deterring would-beviolators. 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

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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. RefrigerationInstitute (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)ofthe 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 enforcementprovisions forplumbing 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 forResidential 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 Bto 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 coverageto plumbing products. Both IAPMO and AWWA questioned the integrity of selfcertification by manufacturers and suggested that DOE revise itsrule 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 agreeswith 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," specifyingthe 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 onthe 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, 1000Independence 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 inpurchasing 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'srequest to select

one measurement system for

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### 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 onthe 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 inthe testing of water closets. (Lawrence

### J. Stempnik,No. 2, at 3).

The current ASME/ANSI standard for water closets (ASME/ANSIA1 12.19.6- 1995)includes some performance tests, but they are considered by the ASME committee responsible for the standard
to be inadequatefor accurately assessing the ability of a water closet to remove solid waste fromthe 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 agreeswith Mr. Stempnik's emphasis on the importance of producing toilets that perform successfully, and supports the continuing effortsby 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 ofplumbing products currentlyhave 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 ConservationAct 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

consumerswould be made aware of conforming plumbing products (AWWA,Transcript, at 109). Currently, listings of complying energy-efficientproducts (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 intoday's final rule.



### 111. 

### Procedural Requirements

A. Review Under theNational Environmental PolicyAct of1969

In this rule, the Department codifies statutorily mandated water conservation standards andtest 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 standardsestablishedby 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 Ato subpart 

### D, 10 CFR Part 1021,which applies to "rulemakings that are strictly procedural," and which, therefore, have no environmental effect. By this final rule, the Department is following the direction of the Energy Policy Act and incorporating by reference test procedures that are already being used by industry, while adding sampling plans, certification reporting and labeling requirements, definitions, and clarifications of ambiguous issues and of the existing certification reporting requirements for residential appliances. Accordingly, neither an environmental
assessment nor an environmental impact statement is required.

B. 

### Review Under Executive Order 12866, "RegulatoryPlanning 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.

### 13314 Federal Register/Vol. 

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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. 

### 55601-612, 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 andurinals 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 12months 'Omment On its that the Conservation Act. The rule published after the publication of a final rule in proposed ifpromulgated, 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;~~~~e

rule, and it discussed the statutory basis ''GovernmentalActions and Interference With Constitutionally water conservation standard.After the for standards and test procedures first year, manufacturers of plumbing incorporated in the rule and stepsDOE 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 compliancewith a in the NOPR, this rule includes water Actions and Interference with new or amended standard,before the conservation standardsthat 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, "CivilJustice 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, "CivilJustice requirements in 10CFR 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 (seediscussion 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 Ato 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 finalrule 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 effortto 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 12612, "Federalism," Certification Report" and extended its simplification and burden reduction; (4) 52 FR 41685 (October 30, 1987), effectivenessuntil June 30, 2000. An specifies the retroactive effect, if any; 

### (5) requires that regulations, rules, agencymay 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. (See5 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

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### 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 effectsthe mandate has on particular regions, communities, non-federal units of government, or sectors of the economy; (iv)if feasible, estimates ofthe 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 effectivedate 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 statethat the rule is not a "major rule" as defined by 5 U.S.C. 804(2).

List 

### of Subjectsin 10 

### CFR Part 

### 430

Administrative practice and procedure, Energy conservation, Household appliances, Incorporation by reference.

Issued in Washington, DC, onMarch 13, 1998.
Dan W. Reicher, Assistant Secretary,EnergyEfficiencyand RenewableEnergy.

For the reasons set forth in the preamble, Part 430 of Chapter I1 of Title 10,Code of Federal Regulations, is amended as follows.

PART430-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 definitionsfor "consumer product," and "energy conservation standard," adding new paragraphs (17)through (20)inthe 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



### 5430.2 Definitions. 

### * * 

## * * *

ANSImeans the American National Standards Institute.

ASMEmeans the American Society of Mechanical Engineers. 

### *****

Basicmodel 

## * * * (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 donot 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 donot have any differing physical or functional characteristics that affect
water consumption. 

### *****

Blowouthas the meaning given such

a term in ASME A1 12.19.2M-1995. (see §430.22) 

### *****

Consumerproduct means any article (otherthan 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,-ormacerators in place of or to aid gravity in evacuating waste from the toilet bowl.

Energy conservation standardmeans: (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 (42U.S.C. 6295(r)).

Estimated annualoperating cost

means the aggregateretail cost of the
energy which is likely to be consumed annually, and in the case of showerheads, faucets,water closets, and urinals, the aggregateretail cost of water and wastewater treatment services likely
to be incurred annually, in representative use of a consumer

### 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). 

### *****

Faucetmeans 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 Bof this part. 

## *****

3. Section 430.22 of subpart Bis amended by adding paragraph (b)(6)to read as follows: Subpart B-Test Procedures


### 5430.22 ReferenceSources. 

## * * 

## * * *

(b) 

### * 

## * * (6) American Society of Mechanical Engineers (ASME).The ASME standards listed inthis 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 Requirementsfor Water Closetsand Urinals." 

### *****

4. Section 430.23of subpart Bis amended by revising the section heading and adding new paragraphs (s)

, (t)

, (u)

,and (v)

,to read as follows:


### 5430.23 Test proceduresfor measuresof 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),shallbe 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/cycleand 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 (gpmand 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 (gpfand 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 Bis amended by adding new paragraphs (s), (t)

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


### 5430.24 Units to betested. 

### *****

(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 shallbe 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 1of showerhead, a sample of sufficient size shallbe 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 consumersfavor lower values shallbe 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 shallbe 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.


### 5430.27 [Amended]

6. Section 430.27 of subpart 

### B is amended by:

a. Adding the phrase ", or water consumption characteristics (inthe 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. Revisingthe existing referenced section "5430.22" in paragraph (a)(1)to read as 

### "S 430.23".

7. Subpart Bof Part 430 is amended by adding Appendix S and Appendix T,
to read as follows: 

### Appendix 

### S to Subpart

### B ofPart 430- 

### Uniform TestMethod for Measuring the Water Consumption ofFaucets and Showerheads

1. Scope:This Appendix covers the test requirementsused to measure the hydraulic performance of faucets and showerheads.

2. Flow CapacityRequirements:

a. Faucets-The test procedures to measure the water flow rate for faucets, expressedin gallons per minute (gpm)and liters per minute (L/min), or gallonsper cycle (gal/

the represented measures of energy or water consumption continue to satisfy the applicable samplingprovision.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 

### 13317

Appendix T to Subpart B ofPart 430- Uniform Test Method for Measuring the Water Consumption ofWater 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 (see5430.22). Faucet type requirements specified in section 6.5. Flow CapacityTest, of the ASME/ANSI Standard 

### 8.The subpart heading for Subpart C A112.18.1M-1996 (see5430.22). is revised toread asfollows: 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 conservationstandards 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. TestApparatus and General Instructions:

a.The test apparatus and instructionsfor 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 5430.22). 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 shallconform to the requirements specified in section 8.2, Test Apparatus and General Requirements, subsections 8.2.1. 8.2.2,and 8.2.3 ofthe ASME/ANSI Standard A1 12.19.6-1995 (see Maximum flow rate (gpm (Umin)) or (gall cycle (Ucycle))

2.2 gpm (8.3Umin)l,2 2.2 gpm (8.3Umin)

2.2 gpm (8.3Umin) 2.2 gpm (8.3Umin)

0.25 gallcycle (0.95 U

cvcle)3.4

5430.22). Measurements shall be recorded at the resolution of the test instrumentation. Calculations shallbe 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),shallbe conducted in accordance with the test requirements specified in section 7.1.6,Water Consumption and Hydraulic Characteristics, of the ASME/ANSI StandardA1 12.19.6-1995 (see 5430.22).

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 

### 5430.31 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 theDepartment of Energy pursuant to theEnergy Conservation Program for Consumer Products Other Than Automobiles under the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291 etseq.). Basic models of covered products manufactured before the date on which an amended energy conservation standard or water conservation standard (inthe case of faucets, showerheads, water closets, and urinals) becomes effective (or revisions of such models that aremanufactured 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 daybefore such date shall be deemed to comply with the amended energy conservation standard

orwater conservation standard (in the

case of faucets, showerheads, water closets, and urinals).

10. Section 430.32 of subpart C is amendedby revising the section heading, revising the introductory paragraph, and addingparagraphs (o), (p), (q)

,and (r), to read asfollows:

§430.32 Energy and water conservation standards and effectivedates.

The energy andwater (in the case of faucets, showerheads,water closets, and urinals) conservation standardsfor the covered product classes are: 

## * * * * *

(0) Faucets. The maximum water use allowed for anyof thefollowing faucets manufactured after January 1, 1994, when measured at a flowing water
pressure of 60 pounds per square inch (4 14 kilopascals), shall be asfollows: , ,. 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.

2Sprayheads 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 anyshowerheads manufactured after January 1, 1994, shall be 2.5 gallonsper minute (9.5 litersper 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 ingallons 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, otherthan blowout toilets, manufactured after January 1, 1997,shall be 1.6gallons per flush (6.0 liters per flush).

(r) Urinals. The maximum water use allowed for anyurinals manufactured Water closet type

Gravity tank-type toilets



### ........ Flushometertank toilets



## ....... Electromechanicalhydraulic

toiletsl.6 (6.0). Blowout toilets



### ....................... Maximum flush rate (gpf(Lpf))

1.6 (6.0) 1.6 (6.0)

3.5 (13.2)

### 13318 Federal Register/Vol. 

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after January 1, 1994,shall be 1.0 conservation standard (inthe case of regulation is likely to contribute gallons per flush (3.8liters 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 shallbe 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 inthe



### (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 ifhe determinesthat the covered product (or class) of 16 inches (406millimeters). State has established by a performance characteristics (including

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


### 9430.33 Preemptionof State regulations. and compelling State or local energy same as those generally in the 

# state regulationproviding 

### 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 (inthe 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 requirementwith 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 petitionfor use, or water use (inthe case offaucets, those prevailing in the generally, 

### exemptionfrom 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, forecastthe costs,benefits, burdens, and listed 

### inparagraphs 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

TOWithdraw 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 efficiencyof all (i)The name, address, and telephone equipment subject to the State number of the petitioner; 

### 5430.40 Purpose and scope. regulation. The Secretarymay 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 ifhe finds that is sought; with petitions requesting a rule that a interested persons have (iii)

### A copy ofthe 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 ofeach 

### type or class conservation standard (inthe 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 equipmentOn a national basis. (v) Other information, if any,believed energy efficiency, energy use, or water In determiningwhether to make such a to be pertinent by the petitioner; and use (in the case offaucets,showerheads, finding,the Secretary shall evaluate all (vi)Such other information as the water closets, and urinals) ofa type (or relevant factors including: the extent to Secretary may require. class) of covered product not be which the Stateregulation will increase (2) [reserved] preempted. manufacturing or distribution costs of (b) 

### Criteriafor exemptionfrom

(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 inthe sale of the 

### exist within State. Upon petition by a conservation standard (inthe 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 producethe 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) ofa 

### 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 inthe water conservation standard is
revised to read as follows: projected availability ofmodels, that applicable,the Secretary may prescribe could be shipped on the effectivedate a rule, effectiveupon publication inthe 

### 5430.41 Prescriptionsof a rule. ofthe regulation to the State and within Federal Register, that such State

(a) 

### Criteriafor exemptionfrom the U.S., or inthe 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

### Federal Register/Vol. 

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### 13319

energy emergency condition or water subsequentlyis 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) ofthis section, except that amended by adding the phrase "or quantities of gas, electric energy, or the burden shallbe on the petitioner to Water conservation standards (in the

water to its residents at less than demonstrate that the exemption rule case offaucets, 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 ofthe 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 exemptionfrom 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 ofa 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 (inthe 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 (inthe case of faucets, showerheads, water closets, and urinals) for such product shall withdraw such rule if he determinesthat the petitioner has shown the rule should be withdrawn.

(1)

### Requirements of petition to withdraw a rule exempting a State standard. Apetition 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 10CFR 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]

5430.47 [Amended]

14. Section 430.47 of subpart Dis amended in paragraph (a)(I),by revising the phrase "energy emergency condition" to read "energy emergency condition or water emergencycondition (inthe 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 (inthe 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:


### 5430.60 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 1of 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 Cof 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

### 13320 Federal Register/Vol. 

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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, 1000Independence 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 1year 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 Bof 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. 1001which 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) (ifapplicable), 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-monthaverage lamp efficacy in lumens per watt, lamp wattage, and the 12-month averageColor 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-monthaverage 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 showerheadsby 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 Commissionwhich 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, 1000Independence Avenue, SW, Washington, DC 20585- 012 1.For each basic model,the report shall include: product type, product class, the manufacturer's name, the private labeler name($, if applicable, andthe 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 partyrepresentation. 

### A manufacturer or private labeler may elect to use a third party to submit the

### Federal Register IVol. 

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certification report to DOE (for example

a trade association or other authorized representative). Suchcertification reports shallinclude allthe information specified inparagraph (a) (4) of this section. Third parties submitting certification reports shallinclude the

names of the manufacturers orprivate labelers who authorizedthe submittalof the certification reports to DOE ontheir behalf. Thethird party representative also may submit discontinued model information onbehalf of anauthorizing manufacturer.



### 5430.63 [Amended]

20. Section 430.63 of subpart 

### F is amended inparagraph (a),by addingthe phrase "or water performance standard (in the case of faucets,showerheads,
water closets, and urinals)" after "energy performance standard" and revising 

### "5430.23" to read "§ 430.24".

21. Section430.70 of subpart 

### F is amended by revising paragraphs (a)(I) introductorytext, (a)(3) and (a)(6)(i),to read asfollows:



### 9430.70 Enforcement.

(a) Performance standard-(1) Test notice. Upon receiving information in writing concerningthe energy performance or water performance (in the case of faucets, showerheads,water closets, and urinals) of a particular covered product of a particular manufacturer orprivate labelerwhich indicatesthat the covered product may not be incompliancewith the applicable energy performance standard

or water performance standard (in the

case of faucets, showerheads, water closets, and urinals), the Secretarymay conducttesting 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 onthe testing conducted in accordancewith the statisticalsampling procedures set forth in appendixB of this subpartandthetest procedures set forth in subpart B of thispart. 

### *****

(6) Testingatmanufacturer's option. (i) If a manufacturer's basic model is determined tobe innoncompliance with the applicable energy performance standard orwater performance standard (inthe case of faucets, showerheads,
water closets, and urinals) at the conclusion of DOE testing in accordance with the double sampling plan specified inappendixB of this subpart,the manufacturer may request that DOE conduct additional testing of themodel accordingto procedures setforth in appendix 

### B of this subpart. 

## * * * * *

(i430.73 [Amended]

22. Section 430.73 of subpart

### F is amendedby addingthe phrase "or water conservation standard (in the case of faucets,showerheads,water closets, andurinals)" 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 SubpartF ofPart 430- Compliance Statement and Certification Report

COMPLIANCESTATEMENT
Product: Manufacturer's or Private Labeler's Name and Address:

This compliance statement and all certification reports submitted are in accordance with 10CFR Part 430 (Energyor Water ConservationProgram for Consumer Products) and the Energy Policyand Conservation Act, as amended. The compliance statement is signed by a responsible officialof the above named company. The basic model(s)listed in certification reports comply with the applicable energy conservation standard or water (inthe 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 10CFR part 430 subpart B. All information reported in the certificationreport(s)is true, accurate, and complete. The company is aware of the penalties associated with violations of the Act, the regulationsthereunder, 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 CompanyOfficial: Signature: Title: Firm or Organization: Address: Telephone Number: Facsimile Number: Date: Third Party Representation (ifapplicable)

For certification reports prepared and submitted by a third party organizationunder the provisions of 

### S430.62 of 10CFR part 430, the company official who authorized said third party representation is: Name: Title: Address: Telephone Number: FacsimileNumber:

The third party organization submitting the certification report onbehalf of the company is: Third Party Organization: Address: Telephone Number: FacsimileNumber:
CERTIFICATION REPORT
Date: Product Type: Product Class: Manufacturer: Private Labeler (ifapplicable): Name: Title: Address: Telephone Number: Facsimile Number:

For Existing, New, or Modified Models l: For Discontinued Models2: 24. Appendix

### B to Subpart 

### F of Part 430 is revised asfollows: 

### Appendix 

### B To Subpart F ofPart 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 (inthe 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 (inthe 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) forthe

~ ., , -, mean of the first sample using the applicable DOE enerev or water oerformance standard (EPS)as tKe desired Aean and a probability level of 95percent (two-tailed test) as follows:

1Providespecific productinformation including, for each basic model, the manufacturer'smodel numbersand the information required in 5430.62(a) (4)(i)through (a) (4)(xvii)).
2Provide manufacturer'smodel number.

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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~: slis 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 ofthe 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 isat an end. and a one-tailed probability level of 97.5 sample (%I) with the upper and lower control (3)Ifthe value ofnz is greater than zero, percent (equivalent to the two-tailed limits (UCLIand LCLI)to determine one of then value ofthe 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) ~fthe mean ofthe first sample is below to or greater than the solution value ofn2 for
the lower control limit, then the basic model equation (Gal. Ifthe value ofn2 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)

(Donot 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. (Donot 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 102.5Percent (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 sizeis determinedby 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 105percent of the standard, where 105 UCL2 =

### EPS

## +ts,, 

### (9b) Consumption Standard,compare the mean of Percent ofthe 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 sufficientcombined 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 ofthefollowing: is in noncompliance and testing is at an end. the applicable standard. Given the solution (1) Ifthe mean of the combined sample (X2) (Do not go on to any of the steps below.) value of n2, determine one ofthe following: is less than the lower control limit (LCL2)or

(2) If the mean ofthe 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 ifthe 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 105percent (2) If the mean of the combined sample (32) (3)Ifthe sample mean is equal to or less ofthe 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 n25 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 bmax (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 n2is less than or equal is at an end.

Step 7(a).For an Energy Efficiency to zero and the mean energy or water Step 11 (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, =Omparethe than the upper control limit (UCLI)or more combined mean (~2) the than 105percent of the applicable energy or limit (UCL2) to find One ofthe water performance standard (EPS), following: 

### (6a) whichever is less, i.e,,ifn25 0 and fl > min (1)Ifthe mean ofthe combined sample (%2) (UCL,, 1.05EPS),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 105percent of the applicable energy or Steps 4 and 5,respectively. The term "0.05 water performance standard (EPS)

, (3) Ifthe of n2 is greater than zero, whichever is less, i,e., if

### t> min (UCL2,1.05 EPS" is the differencebetween 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 ofthe 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 ofthe applicable sample size (nl+ndto give an estimated 97.5 Step 8. Compute the combined mean (x2) energy or water performance standard (EPS), percent probability of obtaining a ofthe measured energy Or water performance whichever is less, i.e., ift2 I

min (UCL2, 1.05 determination of compliancewhen the true of the nl and n2 units of the combined first EPS),thebasic 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-complianceis 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 StepA. The manufacturer requests that an whichever is greater, i.e., ifn2 S 0 and XI 2 second samples as follows: additional number, ns, of units be tested.

### Federal Register/Vol. 

### 63, No. 

### 52 I

### Wednesday, March 18, 1998

### IRules and Regulations 

### 13323

with n3 chosen such that nl+nz+n3does 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 accordancewith 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 EfficiencyStandard, 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 105percent of the applicable energy

or water consumption standard, whichever is less, the basic model is incompliance 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. StepsA,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 isless, and the value of n,+nz+n3is 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.
[FRDoc. 98-6997 Filed 3-1 7-98: 8:45 am]

BILLING CODE 645D-01-P