7834 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

DEPARTMENT OF ENERGY

Office of Energy Efficiency and

Renewable Energy

10 CFR Part 430

[Docket No. EE–RM/TP–97–600]

RIN 1904–AA71

Energy Conservation Program for

Consumer Products: Test Procedures

and Certification Requirements for

Plumbing Products; and Certification

Requirements for Residential

Appliances

AGENCY: Office of Energy Efficiency and

Renewable Energy, Department of

Energy.

ACTION: Notice of proposed rule and

public hearing.

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

proposed rule would codify water

conservation standards and test

procedures established in EPCA for

plumbing products, incorporate by

reference water conservation standard

and test procedures for faucets and test

procedures for showerheads revised by

the American Society of Mechanical

Engineers/American National Standards

Institute (ASME/ANSI), and provide for

certification of compliance with

plumbing product standards. This

proposed rule would also clarify the

certification requirements applicable to

all residential appliances.

DATES: The Department will accept

comments, data, and information

regarding the proposed issues of this

notice no later than May 6, 1997.

The public hearing will be held on

March 31, 1997 in Washington, DC.

Requests to speak at the hearing must be

received by the Department no later

than 4:00 p.m., March 21, 1997. Ten (10)

copies of statements to be given at the

public hearing must be received by the

Department no later than 4:00 p.m.,

March 21, 1997.

ADDRESSES: Written comments and

requests to speak at the public hearing

should be labeled ‘‘Test Procedures and

Requirements for Plumbing Products;

and Certification Requirements for

Residential Appliances, Docket No. EE–

RM/TP–97–600’’ and submitted or

hand-delivered to: U.S. Department of

Energy, Office of Energy Efficiency and

Renewable Energy, Office of Codes and

Standards, Mail Stop EE–43, Room 1J–

018, Forrestal Building, 1000

Independence Avenue, SW,

Washington, DC 20585–0121.

Telephone: (202) 586–7140; Fax: (202)

586–4617.

The hearing will begin at 9:30 a.m., on

March 31, 1997, and will be held in

Room 1E–245 at the U.S. Department of

Energy, Forrestal Building, 1000

Independence Avenue, SW,

Washington, DC.

Copies of the transcript of the public

hearing and public comments received

may be read in the Freedom of

Information Reading Room (Room No.

1E–190) at the U.S. Department of

Energy, Forrestal Building, 1000

Independence Avenue, SW,

Washington, DC between the hours of

9:00 a.m. and 4:00 p.m., Monday

through Friday, except Federal holidays.

The proposed rule would incorporate

by reference ASME/ANSI standards

(which are documents that contain both

test procedures and water usage

standards) as follows: American Society

of Mechanical Engineers/American

National Standards Institute Standard

A112.19.6–1990, ‘‘Hydraulic

Requirements for Water Closets and

Urinals;’’ and American Society of

Mechanical Engineers/American

National Standards Institute Standard

A112.18.1M–1994, ‘‘Plumbing Fixture

Fittings.’’

Copies of these standards may be

viewed at the Department of Energy’s

Freedom of Information Reading Room

at the address stated above. Copies of

the ASME/ANSI Standards may also be

obtained by request from the American

Society of Mechanical Engineers, 345

East 47th Street, New York, N.Y. 10017,

or the American National Standards

Institute, 1430 Broadway, New York,

N.Y. 10018. For more information

concerning public participation in this

rulemaking proceeding, see section IV,

‘‘Public Comment,’’ of this notice.

FOR FURTHER INFORMATION CONTACT:

William W. Hui, 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, (202) 586–9145.

Eugene Margolis, U.S. Department of

Energy, Office of General Counsel, Mail

Stop GC–72, Forrestal Building, 1000

Independence Avenue, SW,

Washington, DC 20585–0103, (202) 586–

9507.

SUPPLEMENTARY INFORMATION:

I. Introduction

A. Authority

B. Background

II. Discussion

A. Statutory Plumbing Requirements

1. Test Procedures

(a) Faucets and showerheads

(b) Water closets and urinals

2. Water Conservation Standards

(a) Faucets

(b) Showerheads

(c) Water closets and urinals

3. Definitions

B. Supplementary Plumbing Requirements

1. Metric Equivalents

2. Definitions of Basic Model

(a) Faucets and showerheads

(b) Water closets and urinals

3. Statistical Sampling Plans for

Certification Testing

(a) Sampling plan for water closets and

urinals utilizing one-sided confidence

limits

(b) Sampling plan for faucets and

showerheads utilizing one-sided

confidence limits

4. Modifications to Existing Language to

include Plumbing Products in the Code

of Federal Regulations.

5. Definition for ‘‘Electromechanical

Hydraulic Toilet’’

6. Certification Reporting Requirements for

Plumbing Products

(a) Types of information

(b) Precision level of reported test results

(c) Mathematical rounding procedures

(d) Effective date for initial compliance

certification submissions

7. Faucet Standards on Multiple-User

Sprayheads

(a) Sprayheads as covered products

(b) Application of faucet standards to

sprayheads with independentlycontrolled orifices

(c) Application of faucet standards to

sprayheads with collectively-controlled

orifices

8. Enforcement

C. Clarification of Certification Reporting

Requirements for Residential Appliances

III. Procedural Requirements

A. Review Under the National

Environmental Policy Act of 1969

B. Review Under Executive Order 12866,

‘‘Regulatory Planning and Review’’

C. Review Under the Regulatory Flexibility

Act

D. Review Under Executive Order 12612,

‘‘Federalism’’

E. Review Under Executive Order 12630,

‘‘Governmental Actions and Interference

with Constitutionally Protected Property

Rights’’

F. Review Under the Paperwork Reduction

Act

G. Review Under Executive Order 12988,

‘‘Civil Justice Reform’’

H. Review Under Section 32 of the Federal

Energy Administration Act of 1974

I. Review Under Unfunded Mandates

Reform Act of 1995

IV. Public Comment

A. Written Comment Procedures

B. Public Hearing

1. Procedures for submitting requests to

speak

2. Conduct of hearing

C. Issues Requested for Comment
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7835

I. Introduction

A. Authority

Part B of Title III of the Energy Policy

and Conservation Act of 1975, Pub. L.

94–163, as amended, (EPCA), by the

National Energy Conservation Policy

Act of 1978 (NECPA), Pub. L. 95–619,

the National Appliance Energy

Conservation Act (NAECA) of 1987,

Pub. L. 100–12, the National Appliance

Energy Conservation Amendments of

1988 (NAECA 1988), Pub. L. 100–357,

and the Energy Policy Act of 1992

(EPAct), Pub. L. 102–486, created the

Energy Conservation Program for

Consumer Products other than

Automobiles (Program). The products

covered under this program include

faucets, showerheads, water closets, and

urinals—the subjects of today’s notice of

proposed rulemaking.

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

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,

§ 323(b)(3), 42 U.S.C. § 6293(b)(3).

Effective 180 days after a test

procedure applicable to a covered

product is prescribed or established, no

manufacturer may make a

representation with respect to water

usage of such products unless such

products have been tested in accordance

with such test procedures and such

representation fairly discloses the

results of such testing. EPCA,

§ 323(c)(2), 42 U.S.C. § 6293(c)(2).

However, the 180-day period may be

extended for an additional 180 days if

the Secretary determines that this

requirement would impose an undue

burden. EPCA, § 323(c)(3), 42 U.S.C.

§ 6293(c)(3).

EPCA states that the procedures for

testing and measuring the water use of

faucets and showerheads, and water

closets and urinals shall be ASME/ANSI

Standards A112.18.1M–1989, and

A112.19.6–1990, respectively, but that if

ASME/ANSI revises these requirements,

the Secretary shall adopt such revisions

if they conform to the basic statutory

requirements for test procedures. 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 A112.18.1M–

1989 or ASME Standard A112.19.6–

1990 are amended to improve the

efficiency of water use, the Secretary

shall publish a final rule establishing an

amended uniform national standard

unless the Secretary determines that

adoption of such a standard at the level

specified is not (i) technologically

feasible and economically justified, (ii)

consistent with the maintenance of

public health and safety; or (iii)

consistent with the purposes of this Act.

EPCA, § 325(j) and 325(k), 42 U.S.C.

§ 6295(j) and § 6295(k).

B. Background

EPCA requires that DOE amend the

plumbing products test procedures and

standards established by statute to

conform with revisions to standards by

ASME/ANSI if certain requirements are

met. The applicable faucet standard and

the test procedures for faucets and

showerheads, as prescribed by EPCA,

were in ASME/ANSI Standard

A112.18.1M–1989. On September 15,

1994, ASME/ANSI Standard

A112.18.1M—1994 was issued and DOE

initiated a review as required.

The Department held a public

workshop with representatives from the

Plumbing Manufacturers Institute (PMI),

its manufacturer members, Federal and

state agencies, and water conservation

organizations in Washington, DC on

June 15, 1995. The following issues

were discussed: (a) definitions of ‘‘basic

model’’ for faucets, showerheads, water

closets, and urinals; (b) statistical

sampling plans for certification testing;

(c) certification reporting requirements

for plumbing products; and (d) whether

multiple-user ‘‘sprayheads’’ are

considered covered products, and if so,

how the faucet standards are to be

applied. Subsequently, various

attendees at the workshop filed

comments. Several comments covered

the issue of enforcement which will be

addressed in section (II)(B)(8).

Four letters from the industry (W/C

Technology Corporation, July 14, 1993;

Plumbing Manufacturers Institute,

February 7, 1994; and Bradley

Corporation, February 9, 1994, and

August 12, 1994) concerning issues

relating to today’s notice (e.g., definition

for ‘‘electromechanical hydraulic

toilet,’’ and multiple-user sprayheads)

were submitted to DOE prior to the June

15, 1995, public workshop. The

Department will consider these as part

of the public comment received.

The Department held a second public

meeting in Washington, DC on February

28, 1996, to further discuss the

statistical sampling plans that would be

used to certify compliance, and new

issues concerning: (a) incorporation of

the test procedure requirements for

faucets and showerheads, and standard

for faucets contained in ASME/ANSI

Standard A112.18.1M–1994; (b) an

effective date to allow manufacturers to

test and make initial compliance

certification submissions after such

requirements are published in a final

rule; and (c) a uniform mathematical

rounding method and how it is to be

used to convert test data into final

results for the purpose of determining

compliance. Four comments (Eljer

Industries (Eljer), Mr. R. Michael

Martin, and two from PMI) were

received subsequent to the second

public meeting.

II. Discussion

A. Statutory Plumbing Requirements

DOE is proposing to codify into the

Code of Federal Regulations statutory

requirements with respect to plumbing

products—including test procedures,

water conservation standards, and

definitions. EPCA also requires that if

specified ASME or ASME/ANSI

standards or test procedures are

amended, DOE must amend the

regulatory requirements to conform with

the revisions if certain requirements are

met.

Comment is invited on those

provisions of the proposed water

conservation standards and test

procedures that differ from the current

statutory standards. Comments on

standards or test procedures established

by statute will not be considered.

1. Test Procedures

The Department proposes to add the

following descriptors as measures of

water usage for faucets, showerheads,

water closets, and urinals: maximum

permissible water use (in gallons and

liters per minute or cycle, and gallons

and liters per flush), at 10 CFR sections

430.23(s)–430.23(v), respectively. The

test procedures for measuring water

usage are discussed below.

(a) Faucets and showerheads. EPCA

states that test procedures for

showerheads and faucets shall be the

test procedures specified in ASME

A112.18.1M–1989 for such products but

if ANSI revises these requirements, the

Secretary shall adopt such revisions if

they conform to the basic statutory

requirements for test procedures. EPCA,

§ 323(b)(7), 42 U.S.C. § 6293 (b)(7).

The test procedure requirements for

faucets and showerheads in ASME/

ANSI Standard A112.18.1M–1989 were

revised and issued as ASME/ANSI

Standard A112.18.1M–1994 on

September 15, 1994. These revised test

procedures appear to be reasonably

designed to produce test results which
7836 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

measure water use or estimated annual

operating cost of a covered product

during a representative average use

cycle and appear not to be unduly

burdensome to conduct. See EPCA,

§ 323(b)(3), 42 U.S.C. § 6293(b)(3).

Therefore, the Department proposes to

incorporate by reference, section 6.5,

‘‘Flow Capacity Test in ASME/ANSI

Standard A112.18.1M–1994, for testing

faucets and showerheads at Appendix S

of Title 10 CFR Part 430, Subpart B.

(b) Water closets and urinals. EPCA

states that the test procedures for water

closets and urinals shall be the test

procedures specified in ASME

A112.19.6–1990 but if ANSI revises

these requirements, the Secretary shall

adopt such revisions if they conform to

the basic statutory requirements for test

procedures. EPCA, § 323(b)(8), 42 U.S.C.

§ 6293(b)(8). The test procedure

requirements for water closets and

urinals in ASME/ANSI Standard

A112.19.6–1990 have not been revised.

DOE proposes to incorporate by

reference all applicable sections in

ASME/ANSI Standard A112.19.6–1990

for testing water closets and urinals at

Appendix T of Title 10 CFR Part 430,

Subpart B.

The test procedures for testing water

closets include 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.’’

The test procedures for urinals

include sections 8.2, ‘‘Test Apparatus

and General Instructions;’’ and

subsections 8.2.1, 8.2.2, 8.2.3, and

section 8.5, ‘‘Water Consumption.’’

2. Water Conservation Standards

EPCA prescribed statutory water

conservation standards for faucets,

showerheads, water closets and urinals

and specified that if specified ASME or

ASME/ANSI standards are amended to

improve the efficiency of water use, the

Secretary shall publish a final rule

establishing an amended uniform

national standard unless the Secretary

determines that adoption of such a

standard at the level specified is not (i)

technologically feasible and

economically justified, (ii) consistent

with the maintenance of public health

and safety; or (iii) consistent with the

purposes of this Act. EPCA, § 325(j) and

§ 325(k), 42 U.S.C. § 6295(j) and

§ 6295(k).

(a) Faucets. EPCA specifies that after

January 1, 1994, it would be unlawful to

manufacture lavatory or kitchen faucets,

or lavatory or kitchen replacement

aerators that exceed 2.5 gallons per

minute (gpm); or metering faucets that

exceed 0.25 gallons per cycle, when

measured at a flowing water pressure of

80 pounds per square inch (psig). EPCA,

§ 325(j)(2), 42 U.S.C. § 6295(j)(2). On

September 15, 1994, the water

conservation standard for faucets was

amended to 2.2 gpm at 60 psig in

ASME/ANSI Standard A112.18.1M–

1994.

At the second workshop held on

February 28, 1996, the issue of whether

to incorporate the revised ASME/ANSI

Standard A112.18.1M–1994 was

discussed. PMI claimed that all

manufacturers are currently designing

and manufacturing faucets to be in

conformity with this revised standard

and therefore, requested that it be

incorporated. This position was

supported by the workshop participants,

including, Mr. R. Michael Martin, the

American Water Works Association

(AWWA), Delta Faucet Company

(Delta), Kohler Company (Kohler),

American Standard Inc., and Sloan

Valve. Four additional comments

submitted following the public meeting

reiterated support for incorporation of

the 1994 ASME/ANSI standard. (PMI,

No. 1 at 1; PMI, No. 2 at 2; Eljer, No.

3 at 1; and R. Michael Martin, No. 4 at

1).

DOE does not believe the revised

standard for faucets constitutes an

improvement in water efficiency and

therefore incorporation of the revised

standard would not be necessary. The

revised standard (2.2 gpm at 60 psig) is

equivalent theoretically to the statutory

requirement (2.5 gpm at 80 psig) per

Bernoulli’s equation of fluid mechanics

which states that the ratio of water flow

through a fixed orifice at different

pressures is equivalent to the square

root of the ratio of the pressures.

However, the Department believes

that there might be a burden on the

industry if DOE does not incorporate the

standard for faucets contained in

ASME/ANSI Standard A112.18.1M–

1994. Comments indicated that industry

is presently designing and

manufacturing fixture fittings that meet

the flow capacity requirements

contained in EPCA and in ASME/ANSI

Standard A112.18.1M–1994 and the

coexistence of both standards would

cause confusion in the market place if

not brought into conformity. In

addition, Mexico and Canada are

planning to adopt faucet standards

equivalent to those in ASME/ANSI

Standard A112.18.1M–1994 so U.S.

adoption of that standard would be

consistent with the policy of promoting

harmonization in North America.

Therefore, the Department proposes to

incorporate the revised applicable

faucet standard in ASME/ANSI

Standard A112.18.1M–1994 at 10 CFR

§ 430.32(o) in today’s rulemaking.

(b) Showerheads. EPCA specifies that

the maximum water use allowed for any

showerhead manufactured after January

1, 1994, is 2.5 gpm when measured at

a flowing water pressure of 80 psig.

EPCA also requires that such

showerheads meet the requirement of

ASME/ANSI Standard A112.18.1M–

1989, 7.4.3(a). EPCA, § 325(j)(1), 42

U.S.C. § 6295(j)(1). 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 8 lb or more is required

to remove the insert. Note that section

7.4.3(a) in ASME/ANSI Standard

A112.18.1M–1989 was redesignated as

section 7.4.4(a) in ASME/ANSI

Standard A112.18.1M–1994.

The standard for showerheads in

ASME/ANSI Standard A112.18.1M–

1994 are at the level prescribed in

EPCA. The proposed rule would codify

this standard, 2.5 gpm at 80 psig, in the

Code of Federal Regulations and

incorporate by reference, section 7.4.4(a)

in ASME/ANSI Standard A112.18.1M–

1994 at 10 CFR 430.32(p). Codification

of this statutory standard does not

invoke the requirements specified in

section 325(j)(3) of EPCA, 42 U.S.C.

§ 6295(j)(3).

(c) Water closets and urinals. EPCA

specifies that the maximum water use

allowed for gravity tank-type toilets,

flushometer tank toilets, and

electromechanical hydraulic toilets, is

1.6 gallons per flush (gpf), and for

blowout toilets and commercial gravity

tank-type 2-piece toilets is 3.5 gpf, if

manufactured after January 1, 1994. For

commercial gravity tank-type 2-piece,

the maximum water use of 3.5 gpf is

applicable until January 1, 1997, after

which the standard is 1.6 gpf. For

flushometer valve toilets, other than

blowout toilets, the maximum water use

is 1.6 gpf, if manufactured after January

1, 1997. The maximum water use

allowed for any urinal manufactured

after January 1, 1994, is 1.0 gpf. EPCA,

§ 325(k)(1) and 325(k)(2), 42 U.S.C.

§ 6295(k)(1) and § 6295(k)(2).

The standards for water closets and

urinals in ASME/ANSI Standard

A112.19.6–1990 have not been revised.

Accordingly, the proposed rule would

codify the statutory water conservation

standards for water closets and urinals

in 10 CFR §§ 430.32(q) and 430.32(r),

respectively.

3. Definitions

EPCA prescribes statutory definitions

for terms applicable to the

administration of plumbing products.
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7837

1Telephonic conversations between Bill Hui,

Department of Energy, and Shahin Moinian, Moen

Incorporated; Sally Remedios, Delta Faucet

Company; and Ken Hair, Price Pfister Incorporated;

October 19, 1995.

DOE believes it would be more

convenient for the readers if these

definitions were incorporated in the

Code of Federal Regulations. Therefore,

the proposed rule would incorporate the

amended statutory definitions for the

terms ‘‘consumer product,’’ ‘‘energy

conservation standard,’’ and ‘‘estimated

annual operating cost’’ in EPCA,

§ 321(1), § 321(6) and § 321(7), 42 U.S.C.

§ 6291(1), § 6291(6) and § 6291(7); and

the new statutory definitions for the

terms ‘‘ANSI,’’ ‘‘ASME,’’ ‘‘blowout,’’

‘‘faucet,’’ ‘‘flushometer tank,’’

‘‘flushometer valve,’’ ‘‘low

consumption,’’ ‘‘showerhead,’’ ‘‘urinal,’’

‘‘water closet,’’ and ‘‘water use’’ in

EPCA, § 321(31)(A)–§ 321(31)(H), 42

U.S.C. § 6291(31)(A)–§ 6291(31)(H), in

10 CFR § 430.2.

B. Supplementary Plumbing

Requirements

The proposed provisions to

supplement the statutory requirements

to facilitate the monitoring and

administration of compliance for

plumbing products are discussed below.

1. Metric Equivalents

Section 205b of the Metric Conversion

Act, 15 U.S.C. 205b, states that the

metric measurement system is the

preferred system of weights and

measures in the United States. It also

requires Federal agencies to use the

metric system of measurement in all

procurements, grants, and other

business-related activities, except to the

extent that such use is impractical or is

likely to cause significant inefficiencies

or loss of markets to United States firms.

These requirements are also expressed

in Executive Order 12770 of July 25,

1991. 56 FR 35801 (July 29, 1991).

EPCA specifies that the required

labeling for water usage rates of covered

plumbing products be expressed in

terms of gallons. Metric units are used

in the ASME/ANSI Standard

A112.18.1M–1994 for testing faucets

and showerheads, and are prescribed in

ASME/ANSI Standard A112.19.6–1990

for testing water closets and urinals. In

addition, they are also required on

submissions to the Federal Trade

Commission (FTC) concerning labeling.

To maintain consistency in testing

with the ASME/ANSI standards, Section

205(b) of the Metric Conversion Act,

and Executive Order 12770, the

Department proposes to require the

submission of metric equivalents on all

plumbing products certified with DOE

for compliance purposes.

2. Definitions of Basic Model

The Department is proposing to

establish definitions of ‘‘basic model’’

for plumbing products. It is common for

a single plumbing product manufacturer

to make numerous models of faucets,

showerheads, water closets, and urinals

covered by EPCA and each model is

potentially required to be tested. Often,

however, several models of faucets, for

example, are essentially the same faucet

except for refinements that do not

significantly affect the water

consumption of the faucet. One way to

meet EPCA’s mandate that test

procedures ‘‘not be unduly burdensome

to conduct,’’ is to establish ‘‘basic

models’’ for plumbing products.

‘‘Basic model’’ is a term generally

used by DOE to describe products or

items of equipment with performance,

design, hydraulic, and functional

characteristics that are essentially the

same. For plumbing products, the

models that exhibit essentially identical

hydraulic characteristics would be

categorized into a family. Such a family

would constitute a ‘‘basic model’’ of that

particular covered product and only

representative samples within the

family need be tested. Components of

similar design may be substituted in a

basic model without requiring

additional compliance certification if

the represented measures of water

consumption continue to satisfy

applicable water usage standards.

(a) Faucets and showerheads. PMI

and American Standard Inc. jointly

proposed that ‘‘basic model’’ be defined

by either (a) the flow control mechanism

which is attached or installed within the

fixture fitting, or (b) the models that

have identical water-passage design

features that use the same path of water

in the highest-flow mode. (PMI, No. 3,

at 1).

R. Michael Martin submitted a

comment stating that the proposal by

PMI and American Standard Inc. is

adequate for faucets but believes

additional words are necessary to

explain how flow restrictors for

showerheads are to be held for testing,

because some flow restrictor could be

merely a plastic disc with a single hole.

(R. Michael Martin, No. 9, at 6).

The Department disagrees with Mr.

Martin’s comment on the need for

additional language for showerheads. A

flow control restrictor for showerheads,

such as a plastic disc with a single hole,

is not considered to be a separately

supplied accessory to be tested by itself.

Such a flow control mechanism is

internally installed as an integral

component and tested within an

assembled showerhead.1 Thus, DOE

believes it unnecessary to add

explanatory language as requested by

Mr. Martin.

The Department believes that the

‘‘basic model’’ definition for faucets and

showerheads proposed by PMI and

American Standard Inc. is practical and

promotes the objective in Section

323(b)(3) of EPCA, 42 U.S.C.

§ 6293(b)(3). Therefore, the Department

proposes to amend the existing

definition of ‘‘basic model’’ to add

language for fixture fittings based on the

proposal submitted by PMI and

American Standard Inc. in 10 CFR

§ 430.2.

(b) Water closets and urinals. PMI and

American Standard Inc. also jointly

proposed that ‘‘basic model’’ for water

closets be defined as ‘‘those fixtures

which have the largest volume of water

within the well of the water closet as

flushed by one of the following four

types: (a) gravity closed-coupled; (b)

gravity one-piece; (c) flushometer tank;

or (d) flushometer valves and other

pressurized flushing device;’’ and ‘‘basic

model’’ for urinals as ‘‘those fixtures

which have the largest volume of water

within the well of the urinal.’’ (PMI, No.

3, at 1–2; American Standard Inc., No.

4, at 1–2).

Two comments raised concern about

defining ‘‘basic model’’ based on the

largest volume within the well. Mr.

Martin stated, ‘‘Each different size and

shape should be a different basic

model.’’ (R. Michael Martin, No. 9, at 6).

The National Institute of Standards and

Technology (NIST) stated,

‘‘Manufacturer design, selection and

installation of components for control of

refill and/or overflow, can differ and

may result in higher consumption,

rather than lesser, even for a bowl

volume that is not the largest.’’ (NIST,

No. 6, at 2).

The Department agrees with the view

expressed by Mr. Martin and NIST that

the proposed definition of ‘‘basic

model’’ for water closets and urinals by

PMI and American Standard Inc. are

inadequate because they do not ensure

that all water closets and urinals of a

particular basic model will have less

water usage than the unit(s) with the

greatest water volume in the well. For

instance, the flush mechanism of a

small fixture may permit greater water

volume in the well than a large fixture

of the same design with a different flush

mechanism.

Therefore, DOE proposes a definition

of ‘‘basic model’’ for water closets and

urinals to mean all units of a given type

of covered product (or class thereof) that
7838 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

are manufactured by one manufacturer

and ‘‘which have hydraulic

characteristics that are essentially

identical, and which do not have any

differing physical or functional

characteristics that affect water

consumption.’’

3. Statistical Sampling Plans for

Certification Testing

The Department is proposing to

establish statistical sampling plans for

plumbing products in today’s notice. In

the case of plumbing products,

compliance with water usage standards

will be assured in part by having each

manufacturer certify that its covered

products comply with the applicable

water usage standard.

In promulgating test procedures

applicable to certification, one of the

major goals is to provide a statistically

valid approach so that there is a high

probability that products which have

been tested and certified as being in

compliance with the applicable usage

standards actually comply with those

standards. Each DOE test procedure

incorporates a sampling plan, and that

sampling plan is designed to give

reasonable assurance that the true mean

performance of the product being

manufactured and sold meets or

conforms to the DOE water usage

standard.

DOE recognizes that units of

plumbing products may vary in water

usage for a number of valid reasons,

including differences in component

parts, production and testing. The risk

to the public of purchasing a noncomplying product, the risk to

manufacturers of selling such a product,

and the burdens of performing

representative testing, are reduced

through the application of a statistically

meaningful sampling plan and basing

the certification decision on the mean

water usage performance of the sampled

units.

There are several critical elements of

a sampling plan. One is the selection of

units for testing. Units must be

representative of the product, and be

selected randomly from a batch or

production lot. Sample size is also a

critical element of a sampling plan. The

result yielded by water usage

performance testing of a product,

consisting of tests conducted on a

sample of units, will be increasingly

more reliable as the size of the test

sample increases. This, however,

increases the testing burden on the

manufacturers. Also, when the

variability in performance is greater

among individually tested units of a

product, the reliability of the test results

is less. As a result, DOE’s test

procedures require sampling plans

based on a one-sided confidence limit

approach. This approach is designed to

minimize the manufacturers’ testing

burden while ensuring accurate

determination of compliance within a

specified level of confidence.

Such statistical sampling plans are

specified in section 430.24. The onesided confidence limit method places

either an upper limit or lower limit on

the range or interval in which the true

mean performance is likely to be found.

This method offers added flexibility by

allowing for the testing of fewer units

and thereby reducing testing costs than

would the testing of a fixed number of

units.

The sampling plans utilizing onesided confidence limits require different

statements for the two types of measures

of energy consumption. One type of

measure includes estimated annual

operating cost, energy consumption and

other measures of energy consumption

for which consumers would favor lower

values. The other type of measure

includes characteristics such as

efficiency, energy factor, and other

energy consumption factors for which

consumers would favor higher values.

In regard to water usage of plumbing

products, consumers would favor lower

values.

To determine the measure of water

usage to be reported to DOE for

compliance certification, the one-sided

confidence-limit approach requires that

the higher value from either (i) the mean

of the sample units or (ii) the upper X

percent confidence limit of the true

mean divided by Y, be selected. The

variable X refers to a confidence limit

that ranges from 90–99 percent, and the

variable Y refers to a divisor that ranges

from 1.01–1.10. The confidence limits

would be calculated using generally

accepted methods found in statistics

textbooks, based on the sample mean

and sample standard deviation. DOE

views the latter calculation as being a

one-sided confidence interval using tstatistics, with the divisor constituting a

‘‘derating’’ factor. The derating factor

was included to take into account

variability in the performance or

efficiency of products due to many

factors, including manufacturing

variability and variations in the

material. Furthermore, this format

(confidence limits divided by a derating

factor) is similar to the format required

for other appliance products for which

DOE requires testing.

PMI and American Standard Inc.

proposed an alternate sampling plan for

testing fixture fittings and fixtures based

on testing two samples selected at

random first, and then eight additional

samples if either of the two samples

exceeds the maximum water

consumption. The average of all eight of

the samples shall not exceed the

requirements of EPCA. (PMI, No. 3, at 2;

American Standard Inc., No. 4, at 2–3).

AWWA, New York State Department

of Environmental Conservation

(NYSDEC), NIST, and Mr. R. Michael

Martin claimed that the results of a

sampling plan based on a sample size of

two units may not be statistically

accurate and therefore opposed the

above proposal. (AWWA, No. 2, at 1;

NYSDEC, No. 5, at 4; NIST, No. 6, at 2;

and R. Michael Martin, No. 9, at 5).

The Department agrees with the views

expressed by AWWA, NYSDEC, NIST,

and Mr. Martin that the two-unit

sampling plan is statistically unreliable.

For this reason and to maintain

consistency with the existing DOE

statistical sampling plans, the

Department is proposing to utilize the

one-sided confidence limit approach.

(a) Sampling plan for water closets

and urinals utilizing one-sided

confidence limits. AWWA and NYSDEC

supported use of DOE’s approach.

AWWA stated there exists a ‘‘high

variability in the manufacture of

porcelain toilets and urinals’’ while

NYSDEC stated that ‘‘variation of

manufacture of vitreous china’’ warrants

recognition. Therefore, they proposed a

one-sided confidence limit statistical

sampling plan for fixtures at 90%.

(AWWA, No. 2, at 1; and NYSDEC, No.

5, at 4).

PMI stated that if DOE’s approach of

utilizing a one-sided confidence limit is

to be used, the industry would support

a confidence limit of 90% only if a

corresponding divisor of 1.10 is

allowed. (PMI, No. 2, at 1). To support

its proposal, PMI submitted data

indicating that testing at such level

(90% at 1.10) would allow

manufacturers to certify compliance

with no more than four units whereas

five units would be required if a more

stringent level (90% at 1.05) was

imposed instead.

DOE agrees with AWWA and

NYSDEC that there is high variability in

the manufacturing of virtreous china

that would justify a confidence limit at

90%. DOE also agrees with PMI that a

divisor lower than 1.10 would cause

manufacturers additional expense while

providing no additional assurances that

the products tested are meeting the

requirement of the law. PMI’s proposal

would minimize manufacturers’’ test

burden while at the same time provide

an adequate level of confidence that

products certified to be in compliance

are actually in compliance with

applicable water conservation
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7839

standards. Therefore, the Department

proposes to adopt in a statistical

sampling plan for fixtures utilizing onesided confidence limits based on the

following statistical parameter (90%

confidence limits with a 1.10 divisor) at

10 CFR §§ 430.24(u) and (v).

(b) Sampling plan for faucets and

showerheads utilizing one-sided

confidence limits. AWWA and NYSDEC

claimed that faucets and showerheads

can be manufactured to tighter

tolerances than vitreous china and

proposed a statistical sampling plan that

utilized a higher one-sided confidence

limits and corresponding divisor.

(AWWA, No. 2, at 1: and NYSDEC, No.

5, at 4).

DOE recognizes that fixture fittings

are typically metal-based (e.g., chrome

and brass), which means that they can

be machined to much greater precision

and tolerances, and which in turn,

warrants a higher confidence limits and

corresponding derating factor as

suggested by AWWA. Although DOE

agrees that fixture fittings warrant a

higher confidence limit and

corresponding divisor than vitreous

china, the Department believes that a

statistical sampling plan at the apex

level (99% confidence limits, 1.01

divisor (i.e., ±1 percent tolerance))—the

level typically employed for products

that demonstrate low manufacturing

variability—may result in a testing

burden. The Department believes a

statistical sampling plan at the

following parameter (95% confidence

limits, 1.05 divisor (±5 percent

tolerance)) may be more appropriate and

reasonable for manufacturers to meet. In

written comments following the

February 28, 1996 public meeting, PMI

stated that industry would support this

statistical sampling plan for fixture

fittings (faucets and showerheads).

(PMI, No. 2, at 1). Moreover, Moen

Incorporated submitted data indicating

that testing at such level would allow it

to certify compliance with no more than

two units.

Based on the above considerations,

the Department proposes to adopt in a

statistical sampling plan for fixture

fittings utilizing one-sided confidence

limits at the following statistical

parameter (95% confidence limits with

a 1.05 divisor) at 10 CFR §§ 430.24(s)

and (t). DOE believes this sampling plan

will minimize test burden on

manufacturers while at the same time

provide an adequate level of confidence

that products certified to be in

compliance are actually in compliance

with applicable water conservation

standards.

4. Modifications to Existing Language

To Include Plumbing Products in the

Code of Federal Regulations

Sections 430.27, 430.31–430.33,

430.40, 430.41, 430.47, 430.49, 430.50,

430.60, 430.61, 430.63, 430.70(a)(1), and

430.73 of Title 10 of the CFR currently

do not address the monitoring and

administration of plumbing products in

the DOE Appliance Standards Program.

The Department proposes to amend

these sections in the Code of Federal

Regulations to extend coverage to

plumbing products covered by EPCA.

5. Definition for ‘‘Electromechanical

Hydraulic Toilet’’

EPCA specifies the water conservation

standard for ‘‘electromechanical

hydraulic toilets’’ at 1.6 gallon per flush.

EPCA, § 325(k)(1)(A), 42 U.S.C.

§ 6295(k)(1)(A). However, the term

‘‘electromechanical hydraulic toilets’’ is

undefined. The Department proposes to

establish a definition for this term. PMI

proposed that ‘‘electromechanical

hydraulic toilets’’ be defined 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].’’ (PMI, No.

15, at 1).

The definition proposed by PMI

provides an acceptable description of

the term ‘‘electromechanical hydraulic

toilet.’’ Therefore, the Department

proposes to include this definition for

‘‘electromechanical hydraulic toilets’’ in

10 CFR § 430.2.

6. Certification Reporting Requirements

for Plumbing Products

(a) Types of information. Section

430.62(a)(2) of Title 10 of CFR currently

requires manufacturers of covered

residential products to submit, for each

basic model, certain types of data and

information in their certification reports

to the Department. Plumbing products

were added as covered products under

EPCA, but presently certification

requirements do not exist for plumbing

products. The Department proposes to

establish certification reporting

requirements for faucets, showerheads,

water closets, and urinals.

PMI proposed to produce a product

directory for submission to DOE which

would include the following

information: (a) product category, (b)

model number of product, (c) water use

level, (d) name and address of

manufacturer, (e) name and phone

number of contact at manufacturer, and

(f) compliance statement. (PMI, No. 3, at

2).

The Department presently requires

similar types of information for

certification from manufacturers of

residential products and thus believes

such types of information from

plumbing manufacturers would be

reasonable and appropriate. Therefore,

DOE proposes to include in proposed 10

CFR § 430.62(a)(4) language requiring

that the certification report for each

basic model shall include the product

type, product class, manufacturer’s

name, private labeler name(s) if

applicable, the manufacturer’s model

number(s), and the water usage.

(b) Precision level of reported test

results. PMI raised an issue at the

February 28, 1996, public meeting

regarding the level of precision (number

of digits after the decimal place)

required on final results for certifying

compliance and requested that DOE

provide such clarification in today’s

rulemaking.

DOE stated that Sections 325(j) and

325(k) of EPCA, 42 U.S.C. § 6295(j) and

§ 6295(k), specified maximum standard

levels for faucets, showerheads, water

closets, and urinals in terms of tenth of

a gallon, or in the case of metering

faucets, hundredth of a gallon. Thus, the

Department believes that those levels

should be observed in certifying

compliance.

(c) Mathematical rounding

procedures. PMI raised a second issue

regarding mathematical rounding

procedures, and how such procedures

are to be used to convert test data into

final results for the purpose of

determining compliance. PMI stated

that the industry subscribes to the

rounding rules contained in ASME

Guide SI–1, ASME Orientation and

Guide for use of SI (metric) units (9th

Edition, 1982), and recommended that

DOE adopt these rounding rules. NIST

raised a concern that the ASME rules

would allow a number to be rounded

such that it may potentially exceed a

fixed statutory standard. (PMI,

transcript, at 35; NIST, transcript, at 35–

36)

The Department agrees that, based on

the concern identified by NIST, it would

be inappropriate to adopt the ASME

rounding rules as requested to be used

to convert test data into final results for

the purpose of determining compliance.

Instead, DOE proposes the following

basic rounding rules: Five and above

round up, and less than five, round

down. Such rounding rules are to be

applied after the final result is

calculated.

R. Michael Martin and Kohler

supported DOE’s view that the basic

rounding rules should be used to

determine compliance with the EPCA’s
7840 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

water use standards. (R. Michael Martin,

transcript, at 40; Kohler, transcript, at

41). PMI stated that the industry would

support DOE’s proposed mathematical

rounding rules. (PMI, No 2, at 1).

The Department believes the

proposed basic rounding rules are

practical and appropriate because they

are consistent with conventional

rounding methods. In addition, DOE

believes the proposed approach in

applying the basic rounding rules is

appropriate to ensure that consistency is

maintained in converting test data into

final results for the purpose of

determining compliance.

(d) Effective date for initial

compliance certification submissions.

Section 430.62(a) states, ‘‘Each

manufacturer or private labeler before

distributing in commerce any basic

model of a covered product subject to

the applicable energy conservation

standard set forth in Subpart C of this

part shall certify by means of a

statement of compliance and

certification report that each basic

model meets the requirement of that

standard,’’ and section 430.62(b) adds,

‘‘all data required by paragraph

430.62(a) of this section shall be

submitted on or before the effective date

of the applicable energy conservation

standard as prescribed in Section 325 of

the Act.’’

The Department’s regulations

authorize imposition of penalties,

consistent with EPCA, for failure to

make reports or provide information

required to be supplied by the Act or

Title 10 CFR Part 430. 10 CFR

§ 430.61(a)(1) and (b). Any person who

knowingly violates the compliance

certification requirements may be

subject to assessment of a civil penalty

of no more than $100 for each violation,

and each day of noncompliance shall

constitute a separate violation. 10 CFR

§ 430.61(b).

Such submissions as described are

required only after certification

reporting requirements are promulgated

for a covered product. DOE is proposing

certification reporting requirements (see

discussion in (a) of this subsection) in

today’s notice that when promulgated,

would subject plumbing products, for

which standards became effective

January 1, 1994, to the requirements

specified in sections 430.62(a)–(b).

American Standard Inc. raised a

concern at the public meeting on

February 28, 1996, that manufacturers

who produce larger inventories have

more models to test, that testing of

certain products such as water closets

are extremely labor-intensive and timeconsuming, and therefore it would be

unreasonable to expect manufacturers to

be able to meet the certification

requirements. American Standard Inc.

recommended that DOE postpone for

one year the effective date for the initial

compliance certification submissions,

which was also supported by Kohler

and PMI . (American Standard Inc.,

transcript, at 62; Kohler, transcript, at

66; PMI, No. 2, at 2).

DOE agrees with American Standard

Inc. that certain manufacturers may be

overly burdened by the task of testing to

meet the compliance certification

requirements once such requirements

are promulgated. The Department

believes that a delay of the effective date

for one year, as recommended by

manufacturers, would allow a

reasonable amount of time for plumbing

manufacturers to complete required

testing and submit the initial

compliance certification reports.

Therefore, the Department would

require, in proposed 10 CFR

§ 430.62(a)(2), the initial certification

submissions for plumbing products not

later than one year following the

publication of a final rule.

7. Faucet Standards on Multiple-User

Sprayheads.

A manufacturer asked whether

sprayheads are covered products under

EPCA. Sprayheads are fixture fittings

that are installed in lavatories (known as

washfountains or wash sinks) for

multiple users. They have multiple

orifices that can independently or

collectively actuate (by pneumatic hand

or foot control, mechanical metering or

infrared metering control) and may be

considered a type of ‘‘faucet’’ subject to

the applicable water conservation

standard. EPCA defines the term

‘‘faucet’’ to mean ‘‘a lavatory faucet,

kitchen faucet, metering faucet, or

replacement aerator for a lavatory or

kitchen faucet.’’ EPCA, § 321(31)(E), 42

U.S.C. § 6291(31)(E). However, EPCA

does not further define lavatory faucets,

kitchen faucets, metering faucets,

lavatory replacement aerators, and

kitchen replacement aerators.

DOE proposes to clarify whether

sprayheads are covered product, and if

so, how the faucet standards are to

apply to ‘‘sprayheads.’’

(a) Sprayheads as covered products.

Bradley Corporation (Bradley)

recommended that the definition for

‘‘faucet’’ in Section 321(31)(E) of EPCA,

42 U.S.C. § 6291(31)(E), be amended to

mean ‘‘a lavatory faucet, kitchen faucet,

metering faucet, or replacement aerator

for a lavatory or kitchen faucet, except

that such term does not include

multiple-user type fixtures.’’ (Bradley,

No.1, at 1–2).

R. Michael Martin stated that the term

‘‘faucet’’ is defined in Section 321(31)(E)

of EPCA, 42 U.S.C. § 6291(31)(E), and

that the term ‘‘lavatory faucet,’’ although

not defined in the statute, the

regulations, or ASME A112.18.1, is

defined in the California regulations as

a ‘‘plumbing fitting designed to

discharge into a lavatory.’’ Mr. Martin

also stated that numerous complying

sprayhead-installed washfountains are

currently listed in the California

database. For these reasons, Mr. Martin

believes that sprayheads are not exempt,

and considers them to be a form of

lavatory faucet and therefore a covered

product. (R. Michael Martin, No. 9, at 7).

The Department has considered

Bradley’s recommendation, but does not

have the authority to amend the

statutory definition for faucet in Section

321(31)(E) of EPCA, 42 U.S.C.

§ 6291(31)(E). Moreover, DOE agrees

with Mr. Martin’s view that sprayheads

are a form of lavatory faucet and thus

can be considered a covered product.

DOE believes that any faucet or

replacement aerator used in a kitchen or

lavatory capacity, or any faucet, when

turned on, that gradually shuts itself off

after a programmed period (metered),

regardless of physical shape or design

features, shall constitute a covered

‘‘faucet’’ subject to the water

performance requirements of Section

325(j) of EPCA, 42 U.S.C. § 6295(j).

(b) Application of faucet standards to

sprayheads with independentlycontrolled orifices. The Department is

proposing that sprayheads be

considered a covered product and that

they be subject to the applicable faucet

standards. Sprayheads with multiple

orifices can be independently actuated

by manual on/off or metering controls.

EPCA prescribes a water use standard at

2.5 gpm at 80 psig for lavatory faucets

and 0.25 gallons per cycle at 80 psig for

metering faucets. EPCA, § 325(j)(2), 42

U.S.C. § 6295(j)(2). The Department

believes that each independent orifice

that manually turns on or off constitutes

a separate ‘‘lavatory faucet’’ by itself

subject to the applicable water usage

standard for lavatory faucets. Moreover,

DOE believes that each independent

orifice of a sprayhead that actuates to

deliver a pre-set volume of water before

gradually shutting itself off constitute a

separate ‘‘metering faucet’’ by itself

subject to the applicable water usage

standard for metering faucets.

Therefore, DOE proposes to include

clarifying language to the lavatory and

metering faucet standards, in 10 CFR

§ 430.32(o), to the effect that each

orifice, depending on its mode of

actuation, shall not exceed the
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7841

2Southern Building Codes Congress International,

Inc., 900 Montclair Road, Birmingham, AL 35213–

1206.

3 International Association of Plumbing and

Mechanical Officials, 20001 Walnut Drive South,

Walnut, CA 91789–2825.

4National Association of Plumbing-Heating

Cooling Contractors, P.O. Box 6808, Falls Church,

VA 22046.

5Building Officials and Codes Administrators

International, Inc., 4051 W. Flossmoor Road,

Country Club Hills, IL 60478–5795.

6 ibid.

maximum flow rate for a lavatory or

metering faucet.

(c) Application of faucet standards to

sprayheads with collectively-controlled

orifices. Sprayheads can be also

centrally controlled such that all

available orifices collectively actuate

upon demand. The total water flow of

a collectively-actuated sprayhead is

dependent on the number of users at the

lavatory in which the sprayhead is

installed. This number is determined by

the number of component lavatories

that, based on the capacity criterion of

a plumbing code, make up a single

lavatory. DOE believes the maximum

flow rate of such a sprayhead should be

prorated by the number of users or

component lavatories.

However, a lavatory may be defined to

be equivalent to a different number of

component lavatories depending on the

following plumbing codes: (a) the

Standard Plumbing Code,2 (b) the

Uniform Plumbing Code,3 (c) the

National Standard Plumbing Code,4 (d)

the National Plumbing Code,5 and (e)

the International Plumbing Code.6

The 1991 Standard Plumbing Code,

Section 916.1, states, ‘‘Each 18 inches of

wash sink circumference (circular type)

shall be equivalent to one lavatory.’’ The

1991 Uniform Plumbing Code,

Appendix C (No. 8), states, ‘‘Twentyfour (24) lineal inches (609.6 mm) of

wash sink or eighteen (18) inches (457.2

mm) of a circular basin, when provided

with water outlets for such space, shall

be considered equivalent to one (1)

lavatory.’’ The 1993 National Standard

Plumbing Code, Section 7.18, states,

‘‘Each eighteen inch unit of usable

length of a rim of a multiple use

lavatory shall be considered equivalent

to one lavatory as it affects the drainage

and water supply piping sizes and

fixture usage requirements, provided

hot and cold or tempered water is

available for each eighteen inch

interval.’’ The 1993 National Plumbing

Code, Section P.1217.1, and the 1995

International Plumbing Code, Section

417.1, both state, ‘‘Every 20 inches (508

mm) of rim space shall be considered as

one lavatory.’’

DOE believes it is necessary to

establish a single capacity criterion to be

applicable for all lavatories. Based on

the considerations of all plumbing

codes, the Department believes the

capacity criterion defined in Section

P.1217.1 of the 1993 National Plumbing

Code, and Section 417.1 of the 1995

International Plumbing Code for wash

sinks (i.e., every 20 inches (508 mm) of

rim space shall be considered as one

lavatory) would be more versatile to

lavatories of various physical

configurations and temperature

requirements.

Therefore, DOE proposes to include

clarifying language with the lavatory

and metering faucet standards, in 10

CFR § 430.32(o), to the effect that: (1)

the maximum flow rate of a collectively

actuated multiple-orifice 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))

and, (2) the maximum flow rate of a

collectively actuated multiple-orifice

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)).

8. Enforcement

Several commenters raised the issue

of enforcement of plumbing products

regulations. AWWA recommended that

DOE establish: (a) a protocol for

verifying industry compliance with

EPCA; (b) a non-compliance warning

system that gives violators of EPCA an

opportunity for corrective actions to

avoid enforcement sanctions; and (c) a

product certification and listing

program to improve EPCA compliance

and minimize the need for future

enforcement actions against the

plumbing industry. (AWWA, No. 8, at

24).

Seattle Water Department requested

rules for enforcement of the national

standards (particularly for imported

products) and penalties for manufacture

of non-conforming products. It believes

the retail marketplace is currently full of

nonconforming plumbing products

which is unfair to complying

manufacturers while robbing consumers

and the nation of much needed long

term water and energy savings. (Seattle

Water Department, No. 7, at 4).

The Department agrees enforcement

of the standards is necessary to ensure

compliance of all covered products. The

Department currently has an

enforcement procedure at sections

430.70–430.75 and Appendix B of Title

10 CFR Part 430, Subpart F which the

Department is proposing to amend,

where appropriate, to include plumbing

products. DOE may use these

procedures to assess civil penalties

under Section 333 of EPCA, 42 U.S.C.

6303. In actions involving small

businesses, DOE will be guided by the

small entity enforcement policy it is

required to adopt by Section 223 of the

Small Business Regulatory Enforcement

Fairness Act of 1996 (Pub. L. 104–121,

Title II, § 223).

DOE believes that its existing

enforcement procedures—which

encourage industry policing, prescribe

enforcement testing, and provide for

civil penalties for all covered consumer

products (which include imports) that

violate the Federal standards—are

adequate for deterring would-be

violators. The Department believes that

it is not necessary for it to adopt a

product certification and listing to

improve EPCA compliance. PMI is

planning to produce a product directory

which will list manufacturers and

plumbing products conforming to

EPCA. Such a product directory,

maintained by PMI and supported by

industry, would be valuable to assist

consumers and others in identifying

plumbing products that comply or do

not comply with EPCA.

C. Clarification of Certification

Reporting Requirements for Residential

Appliances

DOE proposes to redesignate, revise

existing language, and add new

language and paragraphs as necessary in

the CFR sections dealing with

certification and enforcement

requirements for all residential

appliances.

The amendments and revisions

proposed for Part 430 of Title 10 of the

CFR are as follows:

1. Section 430.62(a) is redesignated as

430.62(a)(1), and revised to include the

DOE address to be used for compliance

certification reporting.

2. Section 430.62(a), ‘‘Compliance

Certification’’ is added as a new section

heading.

3. Section 430.62(a)(1) is redesignated

as 430.62(a)(3).

4. Section 430.62(a)(2) is redesignated

as 430.62(a)(4) and revised by:

(a) rearranging, alphabetically, the

certification reporting requirements for

refrigerators, refrigerator-freezers and

freezers, water heaters, room air

conditioners, central air conditioners

and central air conditioning heat

pumps, pool heaters, furnaces, direct

heating equipment, general service
7842 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

7America’s Corporate Families and International

Affiliates, Volume I—III, Dun & Bradstreet, Inc.,

1996

fluorescent lamps and incandescent

reflector lamps;

(b) amending the certification report

to add, alphabetically, absent reporting

requirements for kitchen ranges, ovens

and microwave ovens, dishwashers,

clothes washers and clothes dryers; and

(c) adding, alphabetically, new

certification reporting requirements for

faucets, showerheads, water closets, and

urinals. [see discussion in section

II(B)(6)(a)]

5. A new section, 430.62(a)(2), is

added to provide a one-year delay of the

effective date for compliance

certification by manufacturers of

faucets, showerheads, water closets, and

urinals. [see discussion in section

II(B)(6)(d)]

6. Section 430.62(a)(3) is redesignated

as 430.62(a)(5), and referenced

paragraph ‘‘(a)(2)’’ within the new

section is redesignated as paragraph

‘‘(a)(4).’’

7. Section 430.62(b), ‘‘Initial

Reporting Requirements,’’ is deleted.

8. Section 430.62(c), ‘‘New Models,’’

is redesignated as 430.62(b), and

amended by redesignating the

referenced paragraph ‘‘(a)(2)’’ as

paragraph ‘‘(a)(4),’’ and adding

appropriate language to include

plumbing products, and a mailing

address to be used for submitting new

model information.

9. A new section, 430.62(c),

‘‘Discontinued Models,’’ is added to

specify the information required to be

submitted to DOE when models are

discontinued.

10. Section 430.62(d), ‘‘Maintenance

of Records,’’ is amended by adding

appropriate language to include

plumbing products.

11. Section 430.62(e), ‘‘Third Party

Representation,’’ is amended by

redesignating the referenced paragraph

‘‘(a)’’ to ‘‘(a)(4)’’, and adding language

allowing third party representatives to

submit discontinued model information

on behalf of an authorizing

manufacturer.

12. A new section, 430.62(f),

‘‘Amendment of Information,’’ is added

to expressly require manufacturers to

submit revised compliance certification

if any information contained in the prior

submission has changed.

13. Section 430.70(a)(3), ‘‘Sampling,’’

is amended by adding appropriate

language to include plumbing products.

14. Section 430.70(a)(6)(i), ‘‘Testing at

Manufacturer’s Option,’’ is amended by

adding appropriate language to include

plumbing products.

15. Appendix A to Subpart F, Title 10

CFR Part 430, is amended by adding

language to include plumbing products;

to identify the third party organization

officially acting as representative of the

manufacturer; and to include, as an

attachment, a uniform format for

certification reports on new basic

models of a covered products.

16. Appendix B to Subpart F, Title 10

CFR Part 430 is amended to correct

typographical errors and add

appropriate language to include

plumbing products.

The Department believes these

proposed amendments and additions

are necessary and appropriate and will

clarify the certification and enforcement

requirements for all residential

products.

III. Procedural Requirements

A. Review Under the National

Environmental Policy Act of 1969

In this rule, the Department proposes

provisions to implement statutorily

mandated water conservation standards

and test procedures for faucets,

showerheads, water closets, and urinals.

Implementation of this rule would not

result in environmental impacts. The

Department has therefore determined

that this rule is covered under the

Categorical Exclusion found at

paragraph A.6 of appendix A to subpart

D, 10 CFR Part 1021, which applies to

the establishment of procedural

rulemakings. Accordingly, neither an

environmental assessment nor an

environmental impact statement is

required.

B. Review Under Executive Order 12866,

‘‘Regulatory Planning and Review’’

This regulatory action is not a

significant regulatory action under

Executive Order 12866, ‘‘Regulatory

Planning and Review,’’ October 4, 1993.

Accordingly, this action was not subject

to review under the Executive Order by

the Office of Information and Regulatory

Affairs.

C. Review Under the Regulatory

Flexibility Act

The Regulatory Flexibility Act, 5

U.S.C. § 603, requires the preparation of

an initial regulatory flexibility analysis

for every rule which by law must be

proposed for public comment, unless

the agency certifies that the rule, if

promulgated, will not have a significant

economic impact on a substantial

number of small entities. A regulatory

flexibility analysis examines the impact

of the rule on small entities and

considers alternative ways of reducing

negative impacts.

The Department used the small

business size standards published on

January 31, 1996 by the Small Business

Administration to determine whether

any small entities would be required to

comply with this proposed rule. 61 FR

3280 (to be codified at 13 CFR part 121).

The size standards are listed by

Standard Industrial Classification (SIC)

code and industry description.

Plumbing fixtures (water closets and

urinals) manufacturing is listed under

the following SIC codes: (1) SIC 3088

(plastic plumbing fixtures), (2) SIC 3261

(vitreous china plumbing fixtures), and

(3) SIC 3431 (enameled iron, cast iron,

and pressed metal plumbing fixtures).

Plumbing fixture fittings (faucets and

showerheads) manufacturing is SIC

3432. To be considered a small

business, a manufacturer of plastic

plumbing fixtures, vitreous china

plumbing fixtures, enameled iron, cast

iron, and pressed metal plumbing

fixtures, or plumbing fixture fittings and

its affiliates may employ a maximum of

500, 750, 750, or 500 employees,

respectively.

The Department estimates there are

approximately 32 domestic firms and 38

foreign firms which manufacture either

plastic, vitreous china, or enameled

iron, cast iron, and pressed metal

plumbing fixtures, or a combination of

the three various types of plumbing

fixtures. DOE also estimates there are 57

domestic firms and 30 foreign firms

which manufacture plumbing fixture

fittings covered under EPCA.7 Some

domestic manufacturers of plumbing

fixtures also manufacture plumbing

fixture fittings. Moreover, many

domestic manufacturers of plumbing

fixtures and fixture fittings are affiliated

with larger U.S. firms. The sizes of

plumbing fixtures manufacturing

companies and their affiliates in the

U.S. range from 50 employees to 54,298

employees, and for plumbing fixture

fittings manufacturing companies and

their affiliates, they range from 50

employees to 51,300 employees. The

Department estimates there are five to

seven firms in the United States that

both manufacture plumbing fixtures

covered by EPCA, and have, together

with their affiliates, 750 or fewer

employees. DOE estimates that there are

approximately 7 firms in the United

States that both manufacture plumbing

fixture fittings covered by EPCA, and

have, together with their affiliates, 500

or fewer employees.

EPCA prescribes water conservation

standards for faucets, showerheads,

water closets, and urinals. The statutory

water conservation standards are

incorporated in the proposed rule,

although the standards do not depend
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7843

on rulemaking for their implementation.

The Act also requires DOE to prescribe

test procedures for measuring water

consumption, and it further requires the

use of the test procedures in ASME/

ANSI Standards A112.18.1M–1989 (for

faucets and showerheads) and

A112.19.6–1990 (for water closets and

urinals). If the water conservation

standards or the test procedures for

water consumption are amended by

ASME and approved by ANSI, DOE is

required to amend its standards or test

procedures accordingly unless to do so

would not meet certain statutory criteria

for standards or test procedures. The

standard for faucets and test procedures

for faucets and showerheads were

amended on September 15, 1994 in

ASME/ANSI Standard A112.18.1M–

1994, and DOE is now proposing to

incorporate in the CFR ASME/ANSI

Standard A112.18.1M–1994.

DOE believes that complying with the

proposed rule (excluding the cost of

compliance with the water conservation

standards and test procedures directly

imposed by EPCA) would not impose

significant economic costs on a

substantial number of small

manufacturers. The test procedure

mandated by EPCA (in ASME/ANSI

Standard A112.19.6–1990) and that

which is proposed to be incorporated by

DOE (in ASME/ANSI Standard

A112.18.1M–1994) are test procedures

already in general use in the industry.

Manufacturers contacted by the

Department stated that they currently

test faucets and showerheads in

accordance with ASME/ANSI Standard

A112.18.1M–1994, and water closets

and urinals in accordance with ASME/

ANSI Standard A112.19.6–1990.

The proposed rule has been drafted to

minimize the burden of testing for all

manufacturers, and DOE has relied

heavily on recommendations that have

been provided by the plumbing

products trade association, their

member companies and other water

conservation organizations. The

proposed statistical sampling

procedures are based on statistical

sampling procedures established for

consumer appliance products at 10 CFR

§ 430.24, and recommendations

submitted by the Plumbing

Manufacturers Institute (PMI), American

Water Works Association (AWWA), and

New York State Department of

Environmental Conservation (NYSDEC).

The sampling procedures are designed

to keep the testing burden on

manufacturers as low as possible, while

still providing confidence that the test

results of units tested can be applied to

units of the same basic model. The

proposed compliance reporting

requirements are based on

recommendations from PMI and are

consistent with the requirements for

consumer appliance products at 10 CFR

§ 430.62.

DOE recognizes that some

manufacturers may not be able to certify

compliance immediately following

publication of the DOE final rule. Such

submissions generally are required

before a basic model is allowed to be

distributed in commerce. 10 CFR

§ 430.62(a). The proposed rule eases the

burden of compliance for manufacturers

of faucets, showerheads, water closets,

and urinals, including small

manufacturers, by providing that the

certification reporting requirements for

initial submissions would not take effect

until 12 months after the publication of

the final rule.

The Department invites public

comment on its conclusion that the

costs of complying with the proposed

rule would neither affect a substantial

number of small businesses, nor impose

a significant economic impact on such

businesses.

D. Review Under Executive Order

12612, ‘‘Federalism’’

Executive Order 12612, ‘‘Federalism,’’

52 FR 41685 (October 30, 1987),

requires that regulations, rules,

legislation, and any other policy actions

be reviewed for any substantial direct

effect on States, on the relationship

between the National Government and

States, or in the distribution of power

and responsibilities among various

levels of government. If there are

substantial effects, then the Executive

Order requires preparation of a

federalism assessment to be used in all

decisions involved in promulgating and

implementing a policy action.

The proposed rules published today

would not regulate the States. They

primarily would affect the manner in

which DOE promulgates residential and

commercial products, water

conservation standards, test procedures,

and certification of compliance by

manufacturers, prescribed under the

Energy Conservation and Policy Act.

State regulation in this area is largely

preempted by the Energy Policy and

Conservation Act. The proposed rules

published today would not alter the

distribution of authority and

responsibility to regulate in this area.

Accordingly, DOE has determined that

preparation of a federalism assessment

is unnecessary.

E. Review Under Executive Order 12630,

‘‘Governmental Actions and

Interference with Constitutionally

Protected Property Rights’’

It has been determined pursuant to

Executive Order 12630, ‘‘Governmental

Actions and Interference with

Constitutionally Protected Property

Rights,’’ 52 FR 8859 (March 18, 1988),

that this regulation would not result in

any takings which might require

compensation under the Fifth

Amendment to the United States

Constitution.

F. Review Under the Paperwork

Reduction Act

Today’s Notice of Proposed

Rulemaking would revise compliance

certification requirements applicable to

manufacturers of covered consumer

products that were previously approved

by the Office of Management and

Budget (OMB). These proposed

collections of information have been

submitted to the Office of Management

and Budget for review and approval

under the Paper Reduction Act, 44

U.S.C. 3501, et seq.

Appendix A to Subpart F of Part 430,

‘‘Compliance Statement,’’ was

previously approved by OMB and

assigned OMB Control No. 1910–1400.

The proposed rule would revise this

form to cover certification of plumbing

products; facilitate use of the form by

third party representatives of covered

product manufacturers; and, in an

attachment, specify the format of the

certification report that manufacturers

currently are required to submit to DOE

by 10 CFR part 430.62(a)(2). The

revisions to appendix A to subpart F

will make the compliance certifications

more uniform and easier to complete.

DOE estimates there will be no

additional burden associated with these

changes to the certification statement

and certification report requirements in

Part 430.

The proposed rule would require

manufacturers of plumbing products to

maintain records concerning their

determinations of the water

consumption of faucets, showerheads,

water closets and urinals. DOE has

concluded that this recordkeeping

requirement is necessary for

implementing and monitoring

compliance with the water conservation

standards, testing and certification

requirements for residential and

commercial faucets, showerheads, water

closets and urinals mandated by EPCA.

The proposed rule also requires

manufacturers to submit initial

certification reports for basic models of

covered faucets, showerheads, water
7844 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

closets and urinals within 12 months

after the publication of a final rule in

the Federal Register. The initial

certification reports would be a onetime submission stating that the

manufacturer has determined by

employing actual testing that the basic

model of faucet, showerhead, water

closet or urinal meets the applicable

water conservation standard. After the

first year, manufacturers of plumbing

products would have to submit a

certification report for each new basic

model, or to certify compliance with a

new or amended standard, before the

model would be allowed to be

distributed in commerce.

DOE estimates the number of covered

manufacturing firms of plumbing

fixtures to be approximately 70. DOE

estimates the number of hours required

to comply with the reporting and

recordkeeping requirements in the

proposed rule, after the initial year of

compliance, to be approximately 4 to 16

hours per year per firm. The total

annual reporting and recordkeeping

burden on manufacturers of plumbing

fixtures to comply with the proposed

rule is expected to be from 280 to 1120

hours (70×4¥16 hours per year). DOE

estimates the number of covered

manufacturing firms of plumbing fixture

fittings to be approximately 87, and the

number of hours required to comply

with the reporting and recordkeeping

requirements in the proposed rule to be

approximately 4 to 8 hours per year per

firm. The total annual reporting and

recordkeeping burden on manufacturers

of plumbing fixture fittings to comply

with the proposed rule is expected to be

from 348 to 696 hours (87×4¥8 hours

per year). These estimates include time

for reviewing instructions, searching

existing data sources, gathering and

maintaining the data needed, and

completing the collection of

information.

The collections of information

contained in this proposed rule are

considered the least burdensome for

meeting the legal requirements and

achieving the program objectives of the

DOE compliance certification program

for faucets, showerheads, water closets

and urinals. In estimating the

paperwork and recordkeeping burden,

DOE considered that many

manufacturers already submit this type

of information to voluntary plumbing

product listing services, such as the

International Association of Plumbing &

Mechanical Officials’ (IAPMO’s) Annual

Directory of Listed Plumbing Products.

These manufacturers should be able to

comply with the certification required

by the proposed rule without much

additional burden.

DOE invites public comments

concerning the accuracy of the

estimated paperwork reporting burden.

Send comments regarding the

recordkeeping and reporting burden

estimate, or any other aspect of this

collection of information, to the

Department in accordance with the

instructions in the ADDRESSES section of

today’s notice, section IV, and to the

Office of Information and Regulatory

Affairs, Office of Management and

Budget, Washington, DC 20503, marked

‘‘Attention: Desk Officer for DOE.’’

G. Review Under Executive Order

12988, ‘‘Civil Justice Reform’’

With respect to the review of existing

regulations and the promulgation of

new regulations, Section 3(a) of

Executive Order 12988, ‘‘Civil Justice

Reform,’’ 61 FR 4729 (February 7, 1996),

imposes on executive agencies the

general duty to adhere to the following

requirements: (1) eliminate drafting

errors and ambiguity; (2) write

regulations to minimize litigation; and

(3) provide a clear legal standard for

affected conduct rather than a general

standard and promote simplification

and burden reduction. With regard to

the review required by Section 3(a),

Section 3(b) of the Executive Order

specifically requires that Executive

agencies make every reasonable effort to

ensure that the regulation: (1) clearly

specifies the preemptive effect, if any;

(2) clearly specifies any effect on

existing Federal law or regulation; (3)

provide a clear legal standard for

affected conduct while promoting

simplification and burden reduction; (4)

specifies the retroactive effect, if any; (5)

adequately defines key terms; and (6)

addresses other important issues

affecting clarity and general

draftsmanship under any guidelines

issued by the Attorney General. Section

3(c) of the Executive Order requires

Executive agencies to review regulations

in light of applicable standards Section

3(a) and Section 3(b) to determine

whether they are met or it is

unreasonable to meet one or more of

them. DOE reviewed today’s proposed

rulemaking 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 Section 32 of the

Federal Energy Administration Act of

1974

Pursuant to Section 301 of the

Department of Energy Organization Act

(Pub. L. 95–91), the Department of

Energy is required to comply with

Section 32 of the Federal Energy

Authorization Act (FEAA), as amended

by Section 9 of the Federal Energy

Administration Authorization Act of

1977 (Pub. L. 95–70). Section 32

provides in essence that, where a

proposed rule contains or involves use

of commercial standards, the notice of

proposed rulemaking must inform the

public of the use and background of

such standards.

The rule proposed in this notice

adopts one commercial standard,

ASME/ANSI Standard A112.19.6–1990,

and incorporates another, ASME/ANSI

A112.18.1M–1994. In regard to ASME/

ANSI Standard A112.19.6–1990, the Act

directs adoption of this commercial

standard, which provides the

procedures required for measuring the

water consumption of water closets and

urinals. Because Congress has directed

the use of the standard, Section 32 of

the FEAA has no application to it. In

regard to ASME/ANSI Standard

A112.18.1M–1994, which provides the

procedures required for measuring the

water consumption of faucets and

showerheads, the Department has

evaluated this Standard and is unable to

conclude whether it was developed in a

manner which fully provides for public

participation, comment, and review.

However, Congress has, by statute,

mandated use of the ASME/ANSI

Standard unless specific findings are

made.

As required by Section 32(c) of the

Federal Energy Administration Act, the

Department will consult with the

Attorney General and the Chairman of

the Federal Trade Commission

concerning the impact of this standard

on competition, prior to prescribing a

final rule.

I. 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
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7845

disproportionate budgetary effects the

mandate has on particular regions,

communities, non-Federal units of

government, or sectors of the economy;

(iv) if feasible, estimates of the effect on

the national economy; and (v) a

description of the Department’s prior

consultation with elected

representatives of state, local, and tribal

governments and a summary and

evaluation of the comments and

concerns presented.

The Department has determined that

the action proposed today does not

include a Federal mandate that may

result in estimated costs of $100 million

or more to state, local or to tribal

governments in the aggregate or to the

private sector. Therefore, the

requirements of Sections 203 and 204 of

the Unfunded Mandates Act do not

apply to this action.

IV. Public Comment.

A. Written Comment Procedures

Interested persons are invited to

participate in the proposed rulemaking

by submitting data, comments, or

information with respect to the

proposed issues set forth in sections

(II)(A)(1)(a), (II)(A)(2)(a), (II)(B), and

(II)(C) of this notice to the address

indicated at the beginning of the notice.

Comments should be identified both

on the envelope and on the documents

as ‘‘Test Procedures and Certification

Requirements for Plumbing Products;

and Certification Requirements for

Residential Appliances, Docket No. EE–

RM/TP–97–600.’’ Ten (10) copies are

requested to be submitted. In addition,

the Department requests that an

electronic copy (31⁄2′′ diskette) of the

comments on WordPerfectTM 6.1 be

provided. All submittals received by the

date specified at the beginning of this

notice will be considered by the

Department in developing the final rule.

Pursuant to the provisions of Title 10

CFR 1004.11, any person submitting

information which he or she believes to

be confidential and exempt by law from

public disclosure should submit one

complete copy of the document and ten

(10) copies, if possible, from which the

information believed to be confidential

has been deleted. The Department of

Energy will make its own determination

with regard to the confidential status of

the information and treat it according to

its determination.

Factors of interest to the Department

when evaluating requests to treat as

confidential information that has been

submitted include: (1) a description of

the items; (2) an indication as to

whether and why such items are

customarily treated as confidential

within the industry; (3) whether the

information is generally known by or

available from other sources; (4)

whether the information has previously

been made available to others without

obligation concerning its

confidentiality; (5) an explanation of the

competitive injury to the submitting

person which would result from public

disclosure; (6) an indication as to when

such information might lose its

confidential character due to the

passage of time; and (7) why disclosure

of the information would be contrary to

the public interest.

B. Public Hearing

1. Procedures for Submitting Requests to

Speak

The time and place of the public

hearing are indicated at the beginning of

this notice of proposed rulemaking. The

Department invites any person who has

an interest in today’s notice of proposed

rulemaking, or who is a representative

of a group or class of persons that has

an interest in these proposed issues, to

make a request for an opportunity to

make an oral presentation. Such

requests should be directed to the

address or telephone number indicated

at the beginning of this notice. Requests

may be hand delivered to such address

between the hours of 8:00 a.m. and 4:00

p.m., Monday through Friday, except

Federal holidays. Requests should be

labeled ‘‘Test Procedures and

Certification Requirements for Plumbing

Products; and Certification

Requirements for Residential

Appliances, Docket No. EE–RM/TP–97–

600,’’ both on the document and on the

envelope.

The person making the request should

briefly describe the interest concerned

and state why he or she, either

individually or as a representative of a

group or class of persons that has such

an interest, is an appropriate

spokesperson, and give a telephone

number where he or she may be

contacted.

Each person selected to be heard is

requested to submit an advance copy of

his or her statement prior to the hearing

as indicated at the beginning of this

notice. In the event any persons wishing

to testify cannot meet this requirement,

that person may make alternative

arrangements with the Office of

Hearings and Dockets in advance by so

indicating in the letter requesting to

make an oral presentation.

2. Conduct of Hearing

The Department of Energy reserves

the right to select the persons to be

heard at the hearing, to schedule the

respective presentations, and to

establish the procedures governing the

conduct of the hearing. The length of

each presentation is limited to 20

minutes.

A DOE official will be designated to

preside at the hearing. The hearing will

not be a judicial or an evidentiary-type

hearing, but will be conducted in

accordance with 5 U.S.C. 553 and

Section 336 of the Act. At the

conclusion of all initial oral statements

at each day of the hearing, each person

who has made an oral statement will be

given the opportunity to make a rebuttal

statement, subject to time limitations.

The rebuttal statements will be given in

the order in which the initial statements

were made. The official conducting the

hearing will accept additional

comments or questions from those

attending, as time permits.

Any further procedural rules needed

for the proper conduct of the hearing

will be announced by the presiding

official.

A transcript of the hearing will be

made, and the entire record of this

rulemaking, including the transcript,

will be retained by the Department of

Energy and made available for

inspection in the Freedom of

Information Reading Room, (Room No:

1E–190), at the U.S. Department of

Energy, Forrestal Building, 1000

Independence Avenue, SW,

Washington, DC 20585–0121, (202) 586–

6020, between the hours of 9:00 a.m.

and 4:00 p.m., Monday through Friday,

except Federal holidays. Any person

may purchase a copy of the transcript

from the transcribing reporter.

C. Issues Requested for Comment

The Department of Energy is

interested in receiving comments and/or

data concerning the feasibility,

workability and appropriateness of the

preceding issues proposed in today’s

proposed rulemaking. Also, DOE

welcomes discussion on improvements

or alternatives to these approaches. In

particular, the Department is interested

in gathering comments on the following:

• Incorporation by reference of the

test procedure requirements for faucets

and showerheads, and the water

conservation standard for faucets, in

ASME/ANSI Standard A112.18.1M–

1994.

• Requirements to submit metric

equivalents.

• Definitions of ‘‘basic model’’ for

faucets, showerheads, water closets, and

urinals.

• Statistical sampling plan

requirements for water closets and

urinals utilizing one-sided confidence

limits at 90% with a 1.10 divisor, and
7846 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

for faucets and showerheads, at 95%

with a 1.05 divisor.

• Appropriateness of proposed

modifications to existing language in the

CFR and the adoption of enforcement

provisions for plumbing products.

• The definition for

‘‘electromechanical hydraulic toilet.’’

• The types of information, precision

of reported results, mathematical

rounding procedures and the approach

to apply such procedures for certifying

compliance.

• The effective date for certification

submissions.

• Inclusion of sprayheads as covered

products, and application of faucet

standards on independently actuating

multiple-orifice sprayheads.

• The establishment of a single

capacity criterion based on the 1993

National Plumbing and 1995

International Plumbing Code, to be used

in defining maximum flow rate of

collectively-actuating sprayheads.

• Amendments to the existing

certification reporting requirements for

all residential appliances.

• The likelihood that today’s

proposed rule would cause significant

economic impact on a substantial

number of small entities under the

Regulatory Flexibility Act of 1980.

• The information collection and

recordkeeping burden on the industry of

this proposed rule.

List of Subjects in 10 CFR Part 430

Administrative practice and

procedure, Confidential business

information, Energy conservation,

Household appliances, Imports,

Incorporation by reference,

Intergovernmental relations, Reporting

and recordkeeping requirements, Small

businesses.

Issued in Washington, DC, January 22,

1997.

Brian T. Castelli,

Chief of Staff Energy Efficiency and

Renewable Energy.

For the reasons set forth in the

preamble, Part 430 of Chapter II of Title

10, Code of Federal Regulations, is

proposed to be amended as follows.

PART 430—ENERGY CONSERVATION

PROGRAM FOR CONSUMER

PRODUCTS

1. The authority citation for Part 430

continues to read as follows:

Authority: 42 U.S.C. 6291–6309.

2. Section 430.2 of Subpart A is

amended by revising the definitions for

‘‘consumer product,’’ and ‘‘energy

conservation standard,’’ adding new

paragraphs (17) through (20) in the

definition of ‘‘basic model,’’ and adding

new definitions for ‘‘ANSI,’’ ‘‘ASME,’’

‘‘blowout,’’ ‘‘electromechanical

hydraulic toilet,’’ ‘‘estimated annual

operating cost,’’ ‘‘faucet,’’ ‘‘flushometer

tank,’’ ‘‘flushometer valve,’’ ‘‘low

consumption,’’ ‘‘showerhead,’’ ‘‘urinal,’’

‘‘water closet,’’ and ‘‘water use’’ in

alphabetical order, to read as follows:

Subpart A—General Provisions

§ 430.2 Definitions.

* * * * *

ANSI means the American National

Standards Institute.

ASME means the American Society of

Mechanical Engineers.

* * * * *

Basic model * * *

(17) With respect to faucets, which

have the identical flow control

mechanism attached to or installed

within the fixture fittings, or the

identical water-passage design features

that use the same path of water in the

highest-flow mode.

(18) With respect to showerheads,

which have the identical flow control

mechanism attached to or installed

within the fixture fittings, or the

identical water-passage design features

that use the same path of water in the

highest-flow mode.

(19) With respect to water closets,

which have hydraulic characteristics

that are essentially identical, and which

do not have any differing physical or

functional characteristics that affect

water consumption.

(20) With respect to urinals, which

have hydraulic characteristics that are

essentially identical, and which do not

have any differing physical or

functional characteristics that affect

water consumption.

* * * * *

Blowout has the meaning given such

a term in ASME A112.19.2M–1990. (see

§ 430.22)

* * * * *

Consumer product means any article

(other than an automobile, as defined in

Section 501(1) of the Motor Vehicle

Information and Cost Savings Act (15

U.S.C. 2001(1)) of a type which in

operation consumes, or is designed to

consume, energy or, with respect to

showerheads, faucets, water closets, and

urinals, water; and which, to any

significant extent, is distributed in

commerce for personal use or

consumption by individuals; 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 item

includes fluorescent lamp ballasts,

general service fluorescent lamps,

incandescent reflector lamps,

showerheads, faucets, water closets, and

urinals distributed in commerce for

personal or commercial use or

consumption.

* * * * *

Electromechanical hydraulic toilet

means any water closet that utilizes

electrically operated devices, such as,

but not limited to, air compressors,

pumps, solenoids, motors, or macerators

in place of or to aid gravity in

evacuating waste from the toilet bowl.

Energy conservation standard means:

(1) A performance standard which

prescribes a minimum level of energy

efficiency or a maximum quantity of

energy use, or, in the case of

showerheads, faucets, water closets, and

urinals, water use, for a covered

product, determined in accordance with

test procedures prescribed under

Section 323 (42 U.S.C. 6293); or

(2) A design requirement for the

products specified in paragraphs (6), (7),

(8), (10), (15), (16), (17), and (19) of

Section 322(a) (42 U.S.C. 6292(a)); and

(3) includes any other requirements

which the Secretary may prescribe

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

Estimated annual operating cost

means the aggregate retail cost of the

energy which is likely to be consumed

annually, and in the case of

showerheads, faucets, water closets, and

urinals, the aggregate retail cost of water

and wastewater treatment services likely

to be incurred annually, in

representative use of a consumer

product, determined in accordance with

Section 323 (42 U.S.C. 6293).

* * * * *

Faucet means a lavatory faucet,

kitchen faucet, metering faucet, or

replacement aerator for a lavatory or

kitchen faucet.

* * * * *

Flushometer tank means a device

whose function is defined in

flushometer valve, but integrated within

an accumulator vessel affixed and

adjacent to the fixture inlet so as to

cause an effective enlargement of the

supply line immediately before the unit.

Flushometer valve means a valve

attached to a pressurized water supply

pipe and so designed that when

actuated, it opens the line for direct

flow into the fixture at a rate and

quantity to properly operate the fixture,

and then gradually closes to provide

trap reseal in the fixture in order to

avoid water hammer. The pipe to which

this device is connected is in itself of

sufficient size, that when open, will

allow the device to deliver water at a
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7847

1Components of similar design may be

substituted without requiring additional testing if

the represented measures of energy or water

consumption continue to satisfy the applicable

sampling provision.

sufficient rate of flow for flushing

purposes.

* * * * *

Low consumption has the meaning

given such a term in ASME

A112.19.2M–1990. (see § 430.22)

* * * * *

Showerhead means any showerhead

(including a handheld 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. However, this 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. However, this 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 Section 323 (42 U.S.C.

6293).

* * * * *

3. Section 430.22 of subpart B is

amended by adding paragraph (a)(3)(iv)

and adding item numbers 13 and 14 to

paragraph (a)(4), to read as follows:

Subpart B—Test Procedures

§ 430.22 Reference Sources.

(a) * * *

(3) * * *

(iv) American Society of Mechanical

Engineers, 345 East 47th Street, New

York, NY 10017.

(4) * * *

13. ASME/ANSI Standard A112.18.1M–

1994, ‘‘Plumbing Fixture Fittings.’’

14. ASME/ANSI Standard A112.19.6–1990,

‘‘Hydraulic Requirements for Water Closets

and Urinals.’’

* * * * *

4. Section 430.23 of subpart B is

amended by revising the section

heading and adding new paragraphs (s),

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

§ 430.23 Test procedures for measures of

energy and water consumption.

* * * * *

(s) Faucets. The maximum

permissible water use allowed for

lavatory faucets, lavatory replacement

aerators, kitchen faucets, and kitchen

replacement aerators, expressed in

gallons and liters per minute (gpm and

L/min), shall be measured in accordance

to section 2(a) of Appendix S of this

subpart. The maximum permissible

water use allowed for metering faucets,

expressed in gallons and liters per cycle

(gal/cycle and L/cycle), shall be

measured in accordance to section 2(a)

of Appendix S of this subpart.

(t) Showerheads. The maximum

permissible water use allowed for

showerheads, expressed in gallons and

liters per minute (gpm and L/min), shall

be measured in accordance to section

2(b) of Appendix S of this subpart.

(u) Water closets. The maximum

permissible water use allowed for water

closets, expressed in gallons and liters

per flush (gpf and Lpf), shall be

measured in accordance to section 3(a)

of Appendix T of this subpart.

(v) Urinals. The maximum

permissible water use allowed for

urinals, expressed in gallons and liters

per flush (gpf and Lpf), shall be

measured in accordance to section 3(b)

of Appendix T of this subpart.

5. Section 430.24 of subpart B is

amended by adding new paragraphs (s),

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

§ 430.24 Units to be tested.

* * * * *

(s) For each basic model of faucet, 1 a

sample of sufficient size shall be tested

to ensure that any represented value of

water consumption of a basic model for

which consumers favor lower values

shall be no less than the higher of the

mean of the sample or the upper 95

percent confidence limit of the true

mean divided by 1.05.

(t) For each basic model 1 of

showerhead, a sample of sufficient size

shall be tested to ensure that any

represented value of water consumption

of a basic model for which consumers

favor lower values shall be no less than

the higher of the mean of the sample or

the upper 95 percent confidence limit of

the true mean divided by 1.05.

(u) For each basic model 1 of water

closet, a sample of sufficient size shall

be tested to ensure that any represented

value of water consumption of a basic

model for which consumers favor lower

values shall be no less than the higher

of the mean of the sample or the upper

90 percent confidence limit of the true

mean divided by 1.1.

(v) For each basic model 1 of urinal, a

sample of sufficient size shall be tested

to ensure that any represented value of

water consumption of a basic model for

which consumers favor lower values

shall be no less than the higher of the

mean of the sample or the upper 90

percent confidence limit of the true

mean divided by 1.1.

§ 430.27 [Amended]

6. Section 430.27 of subpart B is

amended by:

a. Adding the words ‘‘or water’’

between the words ‘‘energy’’ and

‘‘consumption’’ in paragraphs: (a)(1),

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

b. Revising the existing referenced

section ‘‘§ 430.22’’ in paragraph (a)(1) to

read as ‘‘§ 430.23’’.

7. Subpart B of Part 430 is amended

by adding Appendix S and Appendix T,

to read as follows:

Appendix S to Subpart B of Part 430—

Uniform Test Method for Measuring the

Water Consumption of Faucets and

Showerheads

1. Scope: This Appendix covers the test

requirements used to measure the hydraulic

performance of faucets and showerheads.

2. Flow Capacity Requirements:

a. Faucets—The test procedures to measure

the water flow rate for faucets, expressed in

gallons per minute (gpm) and liters per

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

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

conducted in accordance with the test

requirements specified in section 6.5, Flow

Capacity Test, of the ASME/ANSI Standard

A112.18.1M–1994. (see § 430.22)

b. Showerheads—The test conditions to

measure the water flow rate for showerheads,

expressed in gallons per minute (gpm) and

liters per minute (L/min), shall be conducted

in accordance with the test requirements

specified in section 6.5, Flow Capacity Test,

of the ASME/ANSI Standard A112.18.1M–

1994. (see § 430.22)

Appendix T to Subpart B of Part 430—

Uniform Test Method for Measuring the

Water Consumption of Water Closets

and Urinals

1. Scope: This Appendix covers the test

requirements used to measure the hydraulic

performances of water closets and urinals.

2. Test Apparatus and General

Instructions:

a. The test apparatus and instructions for

testing water closets shall conform to the

requirements specified in section 7.1.2, Test

Apparatus and General Requirements,

subsections 7.1.2.1, 7.1.2.2, and 7.1.2.3 of the

ASME/ANSI Standard A112.19.6–1990. (see

§ 430.22)

b. The test apparatus and instructions for

testing urinals shall conform to the

requirements specified in section 8.2, Test

Apparatus and General Requirements,

subsections 8.2.1, 8.2.2, and 8.2.3 of the
7848 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

ASME/ANSI Standard A112.19.6–1990. (see

§ 430.22)

3. Test Measurement:

a. Water closets—The measurement of the

water flush volume for water closets,

expressed in gallons per flush (gpf) and liters

per flush (Lpf), shall be conducted in

accordance with the test requirements

specified in section 7.1.6, Water

Consumption and Hydraulic Characteristics,

of the ASME/ANSI Standard A112.19.6–

1990. (see § 430.22)

b. Urinals—The measurement of water

flush volume for urinals, expressed in gallons

per flush (gpf) and liters per flush (Lpf), shall

be conducted in accordance with the test

requirements specified in section 8.5, Water

Consumption, of the ASME/ANSI Standard

A112.19.6–1990. (see § 430.22)

8. The subpart heading for Subpart C

is revised to read as follows:

Subpart C—Energy and Water

Conservation Standards

9. Section 430.31 is revised to read as

follows:

§ 430.31 Purpose and scope.

This subpart contains energy and

water conservation standards for classes

of covered products that are required to

be administered by the Department of

Energy pursuant to the Energy

Conservation Program for Consumer

Products Other Than Automobiles

under the Energy Policy and

Conservation Act, as amended (42

U.S.C.6291 et seq.). Basic models of

covered products manufactured before

the date on which an amended energy

or water conservation standard becomes

effective, (or revisions of such models

that are manufactured after such date

and have the same energy efficiency,

energy use or water use characteristics),

that comply with the energy or water

conservation standard applicable to

such covered products on the day before

such date shall be deemed to comply

with the amended energy or water

conservation standard.

10. Section 430.32 of subpart C is

amended by revising the section

heading, revising the introductory

paragraph, and adding paragraphs (o),

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

§ 430.32 Energy and water conservation

standards and effective dates.

The energy and water conservation

standards for the covered product

classes are:

* * * * *

(o) Faucets. The maximum water use

allowed for any of the following faucets

manufactured after January 1, 1994,

when measured at a flowing water

pressure of 60 pounds per square inch

(414 kilopascals), shall be as follows:

Faucet type

Maximum flow rate

(gpm (L/min)) or (gal/

cycle (L/cycle))

Lavatory faucets ........ 2.2 gpm (8.3 L/

min).(1)(i) (2)(i)

Lavatory replacement

aerators.

2.2 gpm (8.3 L/min).

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

Kitchen replacement

aerators.

2.2 gpm (8.3 L/min).

Metering faucets ........ 0.25 gal/cycle (0.95

L/cycle).(1)(ii) (2)(ii)

Note:

(1) Sprayheads with independently-controlled orifices.

(i) The maximum flow rate of each orifice

that manually turns on or off shall not exceed

the maximum flow rate for a lavatory faucet.

(ii) 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.

Note:

(2) Sprayheads with collectively-controlled

orifices.

(i) 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)).

(ii) The maximum flow rate of a sprayhead

that delivers a pre-set volume of water before

gradually shutting itself off shall be the product

of (a) the maximum flow rate for a metering

faucet and (b) the number of component lavatories (rim space of the lavatory in inches (millimeters) divided by 20 inches (508 millimeters)).

(p) Showerheads. The maximum

water use allowed for any showerheads

manufactured after January 1, 1994,

shall be 2.5 gallons per minute (9.5

liters per minute) when measured at a

flowing pressure of 80 pounds per

square inch (552 kilopascals). Any such

showerhead shall also meet the

requirements of ASME/ANSI Standard

A112.18.1M–1994, 7.4.4(a).

(q) Water closets. (1) The maximum

water use allowed in gallons per flush

for any of the following water closets

manufactured after January 1, 1994,

shall be as follows:

Water closet type

Maximum

flush rate

(gpf (Lpf))

Gravity tank-type toilets .......... 1 1.6 (6.0)

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

Electromechanical hydraulic

toilets ................................... 1.6 (6.0)

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

1The maximum water use allowed for any

gravity tank-type white two-piece toilet which

bears an adhesive label, conspicuous upon installation, with the words ‘‘Commercial Use

Only’’ manufactured after January 1, 1994,

and before January 1, 1997, shall be 3.5 gallons per flush (13.2 liters per flush).

(2) The maximum water use allowed

for flushometer valve toilets, other than

blowout toilets, manufactured after

January 1, 1997, shall be 1.6 gallons per

flush (6.0 liters per flush).

(r) Urinals. The maximum water use

allowed for any urinals manufactured

after January 1, 1994, shall be 1.0

gallons per flush (3.8 liters per flush).

11. Section 430.33 of subpart C is

revised to read as follows:

§ 430.33 Preemption of state regulations.

Any state regulation providing for any

energy or water conservation standard,

or other requirement with respect to the

energy efficiency, energy use, or water

use of a covered product that is not

identical to a Federal standard in effect

under this subpart is preempted by that

standard, except as provided for in

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

Subpart D—Petitions To Exempt State

Regulation From Preemption; Petitions

To Withdraw Exemption of State

Regulation

12. Section 430.40 of subpart D is

revised to read as follow:

§ 430.40 Purpose and scope.

(a) This subpart prescribes the

procedures to be followed in connection

with petitions requesting a rule that a

State regulation prescribing an energy or

water conservation standard or other

requirement respecting energy

efficiency, energy use, or water use of a

type (or class) of covered product not be

preempted.

(b) This subpart also prescribes the

procedures to be followed in connection

with petitions to withdraw a rule

exempting a State regulation prescribing

an energy or water conservation

standard or other requirement

respecting energy efficiency, energy use,

or water use of a type (or class) of

covered product.

13. Section 430.41 of subpart D is

revised to read as follows:

§ 430.41 Prescriptions of a rule.

(a) Criteria for exemption from

preemption. Upon petition by a State

which has prescribed an energy or water

conservation standard or other

requirement for a type or class of

covered equipment for which a Federal

energy or water conservation standard is

applicable, the Secretary shall prescribe

a rule that such standard not be

preempted if he determines that the

State has established by a

preponderance of evidence that such

requirement is needed to meet unusual

and compelling State or local energy or

water interests. For the purposes of this

section, the term ‘‘unusual and

compelling State or local energy or

water interests’’ means interests which

are substantially different in nature or
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7849

magnitude than those prevailing in the

U.S. generally, and are such that when

evaluated within the context of the

State’s energy or water plan and

forecast, the costs, benefits, burdens,

and reliability of energy or water

savings resulting from the State

regulation make such regulation

preferable or necessary when measured

against the costs, benefits, burdens, and

reliability of alternative approaches to

energy or water savings or production,

including reliance on reasonably

predictable market-induced

improvements in efficiency of all

equipment subject to the State

regulation. The Secretary may not

prescribe such a rule if he finds that

interested persons have established, by

a preponderance of the evidence, that

the State’s regulation will significantly

burden manufacturing, marketing,

distribution, sale or servicing of the

covered equipment on a national basis.

In determining whether to make such a

finding, the Secretary shall evaluate all

relevant factors including: the extent to

which the State regulation will increase

manufacturing or distribution costs of

manufacturers, distributors, and others;

the extent to which the State regulation

will disadvantage smaller

manufacturers, distributors, or dealers

or lessen competition in the sale of the

covered product in the State; the extent

to which the State regulation would

cause a burden to manufacturers to

redesign and produce the covered

product type (or class), taking into

consideration the extent to which the

regulation would result in a reduction

in the current models, or in the

projected availability of models, that

could be shipped on the effective date

of the regulation to the State and within

the U.S., or in the current or projected

sales volume of the covered product

type (or class) in the State and the U.S.;

and the extent to which the State

regulation is likely to contribute

significantly to a proliferation of State

appliance efficiency requirements and

the cumulative impact such

requirements would have. The Secretary

may not prescribe such a rule if he finds

that such a rule will result in the

unavailability in the State of any

covered product (or class) of

performance characteristics (including

reliability), features, sizes, capacities,

and volumes that are substantially the

same as those generally available in the

State at the time of the Secretary’s

finding. The failure of some classes (or

types) to meet this criterion shall not

affect the Secretary’s determination of

whether to prescribe a rule for other

classes (or types).

(1) Requirements of petition for

exemption from preemption. A petition

from a State for a rule for exemption

from preemption shall include the

information listed in paragraphs (a)(1)(i)

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

petition for a rule and correspondence

relating to such petition shall be

available for public review except for

confidential or proprietary information

submitted in accordance with the

Department of Energy’s Freedom of

Information Regulations set forth in 10

CFR Part 1004:

(i) The name, address, and telephone

number of the petitioner;

(ii) A copy of the State standard for

which a rule exempting such standard

is sought;

(iii) A copy of the State’s energy or

water plan and forecast;

(iv) Specification of each type or class

of covered product for which a rule

exempting a standard is sought;

(v) Other information, if any, believed

to be pertinent by the petitioner; and

(vi) Such other information as the

Secretary may require.

(2) [Reserved]

(b) Criteria for exemption from

preemption when energy or water

emergency conditions exist within State.

Upon petition by a State which has

prescribed an energy or water

conservation standard or other

requirement for a type or class of

covered product for which a Federal

energy or water conservation standard is

applicable, the Secretary may prescribe

a rule, effective upon publication in the

Federal Register, that such State

regulation not be preempted if he

determines that in addition to meeting

the requirements of paragraph (a) of this

section the State has established that: an

energy or water emergency condition

exists within the State that imperils the

health, safety, and welfare of its

residents because of the inability of the

State or utilities within the State to

provide adequate quantities of gas,

electric energy, or water to its residents

at less than prohibitive costs; and

cannot be substantially alleviated by the

importation of energy or water or the

use of interconnection agreements; and

the State regulation is necessary to

alleviate substantially such condition.

(1) Requirements of petition for

exemption from preemption when

energy or water emergency conditions

exist within a State. A petition from a

State for a rule for exemption from

preemption when energy or water

emergency conditions exist within a

State shall include the information

listed in paragraphs (a)(1)(i) through

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

also include the information prescribed

in paragraphs (b)(1)(i) through (b)(1)(iv)

of this section, and shall be available for

public review except for confidential or

proprietary information submitted in

accordance with the Department of

Energy’s Freedom of Information

Regulations set forth in 10 CFR Part

1004:

(i) A description of the energy or

water emergency condition which exists

within the State, including causes and

impacts.

(ii) A description of emergency

response actions taken by the State and

utilities within the State to alleviate the

emergency condition;

(iii) An analysis of why the

emergency condition cannot be

alleviated substantially by importation

of energy or water or the use of

interconnection agreements; and

(iv) An analysis of how the State

standard can alleviate substantially such

emergency condition.

(2) [Reserved]

(c) Criteria for withdrawal of a rule

exempting a State standard. Any person

subject to a State standard which, by

rule, has been exempted from Federal

preemption and which prescribes an

energy or water conservation standard

or other requirement for a type or class

of a covered product, when the Federal

energy or water conservation standard

for such product subsequently is

amended, may petition the Secretary

requesting that the exemption rule be

withdrawn. The Secretary shall consider

such petition in accordance with the

requirements of paragraph (a) of this

section, except that the burden shall be

on the petitioner to demonstrate that the

exemption rule received by the State

should be withdrawn as a result of the

amendment to the Federal standard. The

Secretary shall withdraw such rule if he

determines that the petitioner has

shown the rule should be withdrawn.

(1) Requirements of petition to

withdraw a rule exempting a State

standard. A petition for a rule to

withdraw a rule exempting a State

standard shall include the information

prescribed in paragraphs (c)(1)(i)

through (c)(1)(vii) of this section, and

shall be available for public review,

except for confidential or proprietary

information submitted in accordance

with the Department of Energy’s

Freedom of Information Regulations set

forth in 10 CFR Part 1004:

(i) The name, address and telephone

number of the petitioner;

(ii) A statement of the interest of the

petitioner for which a rule withdrawing

an exemption is sought;

(iii) A copy of the State standard for

which a rule withdrawing an exemption

is sought;
7850 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

(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]

§ 430.47 [Amended]

14. Section 430.47 of subpart D is

amended in paragraph (a)(1), by revising

the words ‘‘energy emergency

condition’’ to read ‘‘energy or water

emergency condition’’.

§ 430.49 [Amended]

15. Section 430.49 of subpart D is

amended in paragraph (a), by adding the

words ‘‘or water’’ after ‘‘energy’’ in the

first sentence.

Subpart E—Small Business

Exemptions

§ 430.50 [Amended]

16. Section 430.50 of subpart E is

amended by adding the words ‘‘and

water’’ after ‘‘energy’’ in paragraphs (a)

and (b).

Subpart F—Certification and

Enforcement

17. Section 430.60 of subpart F is

revised to read as follows:

§ 430.60 Purpose and scope.

This subpart sets forth the procedures

to be followed for certification and

enforcement testing to determine

whether a basic model of a covered

product complies with the applicable

energy or water conservation standard

set forth in Subpart C of this part.

Energy and water conservation

standards 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 430.61 of subpart F is

amended in paragraph (a)(4), by adding

the words ‘‘or water conservation’’ after

the words ‘‘energy efficiency’’ in the

first sentence.

19. Section 430.62 of subpart F is

revised as follows:

§ 430.62 Submission of data.

(a) Compliance certification. (1) Each

manufacturer before distributing in

commerce any basic model of a covered

product subject to the applicable energy

and water conservation standard set

forth in Subpart C of this part shall

certify by means of a statement of

compliance and certification report that

each basic model meets the

requirements of that standard. Each

manufacturer or his representative shall

send a compliance certification

statement and report, 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) The compliance certification

requirements of paragraph (a)(1) of this

section shall apply to manufacturers of

faucets, showerheads, water closets, and

urinals on [one year after publication of

the Final Rule].

(3) The compliance statement, in the

format set forth in appendix A of this

subpart, shall certify that:

(i) The basic model complies with the

applicable energy or water conservation

standards;

(ii) All required testing, on which

certification reports are based, is

conducted in conformance with the

applicable test requirements prescribed

in subpart B of this part, and all test data

are reported in accordance with this

subpart;

(iii) All information reported in

certification reports is true, accurate,

and complete; and

(iv) The manufacturer is aware of the

penalties associated with violations of

the Act and the regulations thereunder,

and 18 U.S.C. 1001 which prohibits

knowingly making false statements to

the Federal Government.

(4) For each basic model of a covered

product, a certification report, the

format for which is set forth in appendix

A of this subpart, shall be submitted to

DOE. The certification report shall

include the product type, product class

(as denoted in § 430.32), manufacturer’s

name, private labeler name(s), if

applicable, the manufacturer’s model

number(s), and for:

(i) Central air conditioners, the

seasonal energy efficiency ratio.

(ii) Central air conditioning heat

pumps, the seasonal energy efficiency

ratio and heating seasonal performance

factor.

(iii) Clothes washers, the energy factor

in ft3/kWh/cycle and capacity in ft3.

(iv) Clothes dryers, the energy factor

in lbs/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, for each faucet, the

maximum water use in gpm (L/min)

rounded to one decimal place or gal/

cycle (L/cycle) rounded to two decimal

places, or for each flow control

mechanism, the maximum water use in

gpm (L/min) rounded to one decimal

place or gal/cycle (L/cycle) rounded to

two decimal places, 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 laboratory’s National Voluntary

Laboratory Accreditation Program

(NVLAP) identification number or other

NVLAP-approved accreditation

identification, production date codes

(and accompanying decoding scheme),

the 12-month average lamp efficacy in

lumens per watt, lamp wattage, and the

12-month average Color Rendering

Index.

(x) Incandescent reflector lamps, the

laboratory’s National Voluntary

Accreditation Program (NVLAP)

identification number or other NVLAPapproved accreditation identification,

production date codes (and

accompanying decoding scheme), the

12-month average lamp efficacy in

lumens per watt, and lamp wattage.

(xi) Kitchen ranges, ovens, and

microwave ovens, the annual energy use

in Btu/hour.

(xii) Pool heaters, the thermal

efficiency in percent.

(xiii) Refrigerators, refrigeratorfreezers, and freezers, the annual energy

use in kWh/yr and total adjusted

volume in ft3.

(xiv) Room air conditioners, the

energy efficiency ratio and capacity in

Btu/hour.

(xv) Showerheads, the maximum

water use in gpm (L/min) rounded to

one decimal place, or for each flow

control mechanism, the maximum water

use in gpm (L/min) rounded to one

decimal place with a listing of

accompanied showerheads by

manufacturer’s model numbers.

(xvi) Urinals, the maximum water use

in gpf (Lpf) rounded to one decimal

place.

(xvii) Water closets, the maximum

water use in gpf (Lpf) rounded to one

decimal place.

(xviii) Water heaters, the energy factor

and rated storage volume in gallons.

(5) Copies of reports to the Federal

Trade Commission which include the

information in paragraph (a)(4) of this

section meet the requirements of this

paragraph (a).

(b) New models. All information

required by paragraph (a)(4) of this

section must be submitted for new
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7851

models prior to or concurrent with any

distribution of such models. Any change

to a basic model which affects energy or

water consumption may constitute the

addition of a new basic model subject to

the requirements of § 430.61. If such

change does not alter compliance with

the applicable energy or water

conservation standard for the basic

model, the new model shall be

considered certified and not warrant

additional testing. However, all

information required by paragraph (a)(4)

of this section for the new 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.

(c) Discontinued models. A basic

model is considered discontinued when

its production has ceased. Such models

shall be reported, by certified mail, to:

Department of Energy, Office of Energy

Efficiency and Renewable Energy, Office

of Codes and Standards, Forrestal

Building, 1000 Independence Avenue,

SW, Washington, DC 20585–0121

within six months of being

discontinued. 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.

(d) Maintenance of records. The

manufacturer of any covered product

subject to any of the energy and water

performance standards or procedures

prescribed in this part shall establish,

maintain, and retain the records of the

underlying test data for all certification

testing. Such records shall be organized

and indexed in a fashion which makes

them readily accessible for review by

DOE upon request. The records shall

include the supporting test data

associated with tests performed on any

test units to satisfy the requirements of

this subpart. The records shall be

retained by the manufacturer for a

period of two years from the date that

production of the applicable model has

ceased.

(e) Third party representation. A

manufacturer may elect to use a third

party to submit the certification report

to DOE (for example a trade association

or other authorized representative).

Such certification reports shall include

all the information specified in

paragraph (a)(4) of this section. The

certification report must be submitted

with a compliance statement as

specified in paragraph (a)(3) of this

section. A third party representative

may also submit discontinued model

information on behalf of an authorizing

manufacturer.

(f) Amendment of information. If any

compliance certification information on

a statement or report previously

submitted to DOE has changed, the

manufacturer or his representative must

submit the revised information, 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.

§ 430.63 [Amended]

20. Section 430.63 of subpart F is

amended in paragraph (a), by adding the

words ‘‘or water’’ after ‘‘energy,’’ and

revising ‘‘§ 430.23’’ to read ‘‘§ 430.24’’.

21. Section 430.70 of subpart F is

amended by revising paragraphs (a)(1)

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

read as follows:

§ 430.70 Enforcement.

(a) Performance standard—(1) Test

notice. Upon receiving information in

writing concerning the energy or water

performance of a particular covered

product sold by a particular

manufacturer or private labeler which

indicates that the covered product may

not be in compliance with the

applicable energy or water performance

standard, the Secretary may conduct

testing of that covered product under

this subpart by means of a test notice

addressed to the manufacturer in

accordance with the following

requirements:

* * * * *

(3) Sampling. The determination that

a manufacturer’s basic model complies

with the applicable energy or water

performance standard shall be based on

the testing conducted in accordance

with the statistical sampling procedures

set forth in appendix B of this subpart

and the test procedures set forth in

Subpart B of this part.

* * * * *

(6) Testing at manufacturer’s option.

(i) If a manufacturer’s basic model is

determined to be in noncompliance

with the applicable energy or water

performance standard at the conclusion

of DOE testing in accordance with the

double sampling plan specified in

appendix B of this subpart, the

manufacturer may request that DOE

conduct additional testing of the model

according to procedures set forth in

appendix B of this subpart.

* * * * *

§ 430.73 [Amended]

22. Section 430.73 of subpart F is

amended by adding the words ‘‘or

water’’ after ‘‘energy’’ in the

introductory paragraph.

23. Appendix A to subpart F of part

430 is revised to read as follows:

Appendix A to Subpart F of Part 430—

Compliance Certification

Statement of Compliance With Energy or

Water Conservation Standards for

Appliances

Product: llllllllllllllll

Manufacturer’s Name and Address

lllllllllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

This compliance statement and the

attached certification report are submitted

pursuant to 10 CFR part 430 (Energy or Water

Conservation Program for Consumer

Products) and Part C of the Energy Policy and

Conservation Act (Pub. L. 94–163), and

amendments thereto. It is signed by a

responsible official of the above named

company. The basic models listed in the

attached certification report comply with the

applicable energy or water conservation

standard. All testing on which the attached

certification report is based was conducted in

conformance with applicable test

requirements prescribed in subpart B of 10

CFR part 430. All information reported in the

attached certification report is true, accurate,

and complete. The company is aware of the

penalties associated with violations of the

Act and the regulations thereunder, and is

also aware of the provisions contained in 18

U.S.C. 1001, which prohibits knowingly

making false statement to the Federal

Government.

Signature of Company Official: llllll

Name: lllllllllllllllll

Title: llllllllllllllllll

Firm or Organization: llllllllll

Date: llllllllllllllllll

Name of Person to Contact for Further

Information:

Name: lllllllllllllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Third Party Representative:

If any part of this Compliance Certification,

including the attached certification report,

was prepared by a third party organization

under the provisions of § 430.62 of 10 CFR

430, provide the following information for

the company official who authorized third

party representations:

Name: lllllllllllllllll

Title: llllllllllllllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

The third party organization officially

acting as representative:

Third Party Organization: llllllll

Name: lllllllllllllllll
7852 Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules

1Provide specific product information including,

for each basic model, the manufacturer’s model

numbers and the information required in

§ 430.62(a)(4)(i)–§ 430.62(a)(4)(xviii).

2Provide manufacturer’s model number.

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

The third party organization officially

acting as representative:

Third Party Organization: llllllll

Name: lllllllllllllllll

Address: llllllllllllllll

Telephone Number: lllllllllll

Facsimile Number: llllllllllll

Submit Compliance Certification in writing

or on a computer diskette, 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.

Certification Report for Basic Models

(Attachment to Statement of Compliance

With Energy or Water Conservation

Standards for Appliances)

Date: llllllllllllllllll

Signature of Company Official or Third Party

Representative: lllllllllllll

Product Type: llllllllllllll

Product Class: llllllllllllll

Manufacturer: llllllllllllll

Private Labeler (if applicable): llllll

For New or Amended Models 1:

For Discontinued Models 2:

24. Appendix B to Subpart F of Part

430 is revised to read as follows:

Appendix B to Subpart F of Part 430—

Sampling Plan for Enoforcement

Testing

I. Double Sampling

Step 1. The first sample size (n1) must be

four or more units.

Step 2. Compute the mean (x ̄ 1) of the

measured energy or water performance of the

n1 units in the first sample as follows:

x n xi

i

n

1

1 1

1 1

= 









 =

∑

Where (xi) is the measured energy efficiency,

energy or water consumption of unit i.

Step 3. Compute the standard deviation (s1)

of the measured energy or water performance

of the (n1) units in the first sample as follows:

s

x x

n

i

i

n

1

1

2

1

1

1

1 =

( ) −

− =

∑

Step 4. Compute the standard error of the

measured energy or water performance of the n

units in the first sample as follows:

1

s( ) x1

s

s

n x1

1

1

=

Step 5. Compute the upper control limit

(UCL1) and lower control limit (LCL1) for the

mean of the first sample using the applicable

DOE energy or water performance standard

(EPS) as the desired mean and a probability

level of 95 percent (two-tailed test) as

follows:

LCL EPS ts

UCL EPS ts

x

x

1

1

1

1

= −

= +

Where t is a statistic based on a 95 percent

two-tailed probability level and a sample size

of n1.

Step 6a. For an Energy Efficiency Standard,

compare the mean of the first sample (x ̄ 1)

with the upper and lower control limits

(UCL1 and LCL1) to determine one of the

following:

(1) If the mean of the first sample is below

the lower control limit, then the basic model

is in noncompliance and testing is at an end.

(Do not go on to any of the steps below.)

(2) If the mean of the first sample is equal

to or greater than the upper control limit,

then the basic model is in compliance and

testing is at an end. (Do not go on to any of

the steps below.)

(3) If the sample mean is equal to or greater

than the lower control limit but less than the

upper control limit, then no determination of

compliance or noncompliance can be made

and a second sample size is determined by

Step 7(a).

Step 6b. For an Energy or Water

Consumption Standard, compare the mean of

the first sample (x ̄ 1) with the upper and lower

control limits (UCL1 and LCL1) to determine

one of the following:

(1) If the mean of the first sample is above

the upper control limit, then the basic model

is in noncompliance and testing is at an end.

(Do not go on to any of the steps below.)

(2) If the mean of the first sample is equal

to or less than the lower control limit, then

the basic model is in compliance and testing

is at an end. (Do not go on to any of the steps

below.)

(3) If the sample mean is equal to or less

than the upper control limit but greater than

the lower control limit, then no

determination of compliance or

noncompliance can be made and a second

sample size is determined by Step 7(b).

Step 7a. For an Energy Efficiency Standard,

determine the second sample size (n2) as

follows:

n

ts

EPS 2 n 1

2

1 0 05 = 



 



 − .

Where s1 and t have the values used in Steps

4 and 5, respectively. The term ‘‘0.05

EPS’’ is the difference between the

applicable energy efficiency standard

and 95 percent of the standard, where 95

percent of the standard is taken as the

lower control limit. This procedure

yields a sufficient combined sample size

(n1+n2) to give an estimated 97.5 percent

probability of obtaining a determination

of compliance when the true mean

efficiency is equal to the applicable

standard. Given the solution value of n2,

determine one of the following:

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

to zero and if the mean energy efficiency of

the first sample (x ̄ 1) is either equal to or

greater than the lower control limit (LCL1) or

equal to or greater than 95 percent of the

applicable energy efficiency standard (EES),

whichever is greater, i.e., if n2 ≤0 and (x ̄ 1)≥

max (LCL1, 0.95 EES), the basic model is in

compliance and testing is at an end.

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

to zero and the mean energy efficiency of the

first sample (x ̄ 1) is less than the lower control

limit (LCL1) or less than 95 percent of the

applicable energy efficiency standard (EES),

whichever is greater, i.e., if n2 ≤ 0 and (x ̄ 1)

< max (LCL1, 0.95 EES), the basic model is

in noncompliance and testing is at an end.

(3) If the value of n2 is greater than zero,

then value of the second sample size is

determined to be the smallest integer equal

to or greater than the solution value of n2 for

equation (6a). If the value of n2 so calculated

is greater than 20–n1, set n2 equal to 20–n.

Step 7(b). For an Energy or Water

Consumption Standard, determine the

second sample size (n2) as follows:

n

ts

EPS 2 n 1

2

1 0 05 = 





 − .

Where s1 and t have the values used in Steps

4 and 5, respectively. The term ‘‘0.05

EPS’’ is the difference between the

applicable energy or water consumption

standard and 105 percent of the

standard, where 105 percent of the

standard is taken as the upper control

limit. This procedure yields a sufficient

combined sample size (n1 + n2) to give

an estimated 97.5 percent probability of

obtaining a determination of compliance

when the true mean consumption is

equal to the applicable standard.

Given the solution value of n2, determine

one of the following:

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

to zero and if the mean energy or water

consumption of the first sample (x ̄ 1) is either

equal to or less than the upper control limit

(UCL1) or equal to or less than 105 percent

of the applicable energy or water

performance standard (EPS), whichever is

less, i.e., if n2 ≤ 0 and (x ̄ 1)≤ min (UCL1, 1.05

EPS), the basic model is in compliance and

testing is at an end.

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

to zero and the mean energy or water

consumption of the first sample (x ̄ 1) is greater

than the upper control limit (UCL1) or more

than 105 percent of the applicable energy or

water performance standard (EPS),
Federal Register / Vol. 62, No. 34 / Thursday, February 20, 1997 / Proposed Rules 7853

whichever is less, i.e., if n2 ≤ 0 and x ̄ 1 > min

(LCL1, 1.05 EPS), the basic model is in

noncompliance and testing is at an end.

(3) If the value of n2 is greater than zero,

then the value of the second sample size is

determined to be the smallest integer equal

to or greater than the solution value of n2 for

equation (6b). If the value of n2 so calculated

is greater than 20–n1, set n2 equal to 20–n1.

Step 8. Compute the combined mean (x ̄ 2)

of the measured energy or water performance

of the n1 and n2 units of the combined first

and second samples as follows:

x n n xi

i

n n

2

1 2 1

1 1 2

= +











 =

+

∑

Step 9. Compute the standard error s of the

 measured energy or water performance of the n

and n units in the combined first and second

samples as follows:

x

1

2

( ) 2

s

s

n n x2

1

1 2

= +

Where s1 is the value obtained in Step 3.

Step 10(a). For an Energy Efficiency

Standard, compute the lower control limit

(LCL2) for the mean of the combined first and

second samples using the DOE energy

efficiency standard (EES) as the desired mean

and a one-tailed probability level of 97.5

percent (equivalent to the two-tailed

probability level of 95 percent used in Step

5) as follows:

LCL EES ts 2 x2 = −

Where the t-statistic has the value obtained

in step 5.

Step 10(b). For an Energy or Water

Consumption Standard, compute the upper

control limit (UCL2) for the mean of the

combined first and second samples using the

DOE energy or water performance standard

(EPS) as the desired mean and a one-tailed

probability level of 102.5 percent (equivalent

to the two-tailed probability level of 95

percent used in Step 5) as follows:

UCL EPS ts 2 x2 = +

Where the t-statistic has the value obtained

in Step 5.

Step 11(a). For an Energy Efficiency

Standard, compare the combined sample

mean (x ̄ 2) to the lower control limit (LCL2) to

find one of the following:

(1) If the mean of the combined sample (x ̄ 2)

is less than the lower control limit (LCL2) or

95 percent of the applicable energy efficiency

standard (EES), whichever is greater, i.e., if

(x ̄ 2) < max (LCL2, 0.95 EES), the basic model

is in noncompliance and testing is at an end.

(2) If the mean of the combined sample (x ̄ 2)

is equal to or greater than the lower control

limit (LCL2) or 95 percent of the applicable

energy efficiency standard (EES), whichever

is greater, i.e., if (x ̄ 2) ≥ max (LCL2, 0.95 EES),

the basic model is in compliance and testing

is at an end.

Step 11(b). For an Energy or Water

Consumption Standard, compare the

combined sample mean (x ̄ 2) to the upper

control limit (UCL2) to find one of the

following:

(1) If the mean of the combined sample (x ̄ 2)

is greater than the upper control limit (UCL2)

or 105 percent of the applicable energy or

water performance standard (EPS),

whichever is less, i.e., if x ̄ 2 > min (UCL2, 1.05

EPS), the basic model is in noncompliance

and testing is at an end.

(2) If the mean of the combined sample (x ̄ 2)

is equal to or less than the upper control

limit (UCL2) or 105 percent of the applicable

energy or water performance standard (EPS),

whichever is less, i.e., if (x ̄ 2) ≤ min (UCL2,

1.05 EPS), the basic model is in compliance

and testing is at an end.

II. Manufacturer-Option Testing

If a determination of non-compliance is

made in Steps 6, 7 or 11, the manufacturer

may request that additional testing be

conducted, in accordance with the following

procedures.

Step A. The manufacturer requests that an

additional number, n3, of units be tested,

with n3 chosen such that n1+n2+n3 does not

exceed 20.

Step B. Compute the mean energy or water

performance, standard error, and lower or

upper control limit of the new combined

sample in accordance with the procedures

prescribed in Steps 8, 9, and 10, above.

Step C. Compare the mean performance of

the new combined sample to the revised

lower or upper control limit to determine one

of the following:

a.1. For an Energy Efficiency Standard, if

the new combined sample mean is equal to

or greater than the lower control limit or 95

percent of the applicable energy efficiency

standard, whichever is greater, the basic

model is in compliance and testing is at an

end.

a.2. For an Energy or Water Consumption

Standard, if the new combined sample mean

is equal to or less than the upper control

limit or 105 percent of the applicable energy

or water consumption standard, whichever is

less, the basic model is in compliance and

testing is at an end.

b.1. For an Energy Efficiency Standard, if

the new combined sample mean is less than

the lower control limit or 95 percent of the

applicable energy efficiency standard,

whichever, is greater, and the value of

n1+n2+n3 is less than 20, the manufacturer

may request that additional units be tested.

The total of all units tested may not exceed

20. Steps A, B, and C are then repeated.

b.2. For an Energy or Water Consumption

Standard, if the new combined sample mean

is greater than the upper control limit or 105

percent of the applicable energy or water

consumption standard, whichever is less,

and the value of n1+n2+n3 is less than 20, the

manufacturer may request that additional

units be tested. The total of all units tested

may not exceed 20. Steps A, B, and C are

then repeated.

c. Otherwise, the basic model is

determined to be in noncompliance.

[FR Doc. 97–3173 Filed 2–19–97; 8:45 am]

BILLING CODE 6450–01–P