[Federal Register Volume 62, Number 34 (Thursday, February 20, 1997)]
[Proposed Rules]
[Pages 7834-7853]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-3173]



[[Page 7833]]

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Part II





Department of Energy





_______________________________________________________________________



Office of Energy Efficiency and Renewable Energy



_______________________________________________________________________



10 CFR Part 430



Energy Conservation Program for Consumer Products; Test Procedures and 
Certification Requirements for Plumbing Products; and Certification 
Requirements for Residential Appliances; Proposed Rule

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

[[Page 7834]]



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.

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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 
independently-controlled 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

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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, Sec. 323(b)(3), 42 U.S.C. Sec. 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, 
Sec. 323(c)(2), 42 U.S.C. Sec. 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, 
Sec. 323(c)(3), 42 U.S.C. Sec. 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, Sec. 323(b)(7) and 323(b)(8), 
42 U.S.C. Sec. 6293(b)(7) and Sec. 6293(b)(8).
    EPCA prescribes water conservation standards for faucets, 
showerheads, water closets and urinals. It further provides that if the 
requirements of ASME/ANSI Standard A112.18.1M-1989 or ASME Standard 
A112.19.6-1990 are amended to improve the efficiency of water use, the 
Secretary shall publish a final rule establishing an amended uniform 
national standard unless the Secretary determines that adoption of such 
a standard at the level specified is not (i) technologically feasible 
and economically justified, (ii) consistent with the maintenance of 
public health and safety; or (iii) consistent with the purposes of this 
Act. EPCA, Sec. 325(j) and 325(k), 42 U.S.C. Sec. 6295(j) and 
Sec. 6295(k).

B. Background

    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, 
Sec. 323(b)(7), 42 U.S.C. Sec. 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

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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, Sec. 323(b)(3), 42 U.S.C. 
Sec. 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, Sec. 323(b)(8), 42 
U.S.C. Sec. 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, Sec. 325(j) and Sec. 325(k), 42 
U.S.C. Sec. 6295(j) and Sec. 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, 
Sec. 325(j)(2), 42 U.S.C. Sec. 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 Sec. 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, Sec. 325(j)(1), 42 U.S.C. 
Sec. 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. Sec. 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, Sec. 325(k)(1) and 325(k)(2), 42 U.S.C. 
Sec. 6295(k)(1) and Sec. 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 Secs. 430.32(q) and 430.32(r), 
respectively.
3. Definitions
    EPCA prescribes statutory definitions for terms applicable to the 
administration of plumbing products.

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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, 
Sec. 321(1), Sec. 321(6) and Sec. 321(7), 42 U.S.C. Sec. 6291(1), 
Sec. 6291(6) and Sec. 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, 
Sec. 321(31)(A)-Sec. 321(31)(H), 42 U.S.C. Sec. 6291(31)(A)-
Sec. 6291(31)(H), in 10 CFR Sec. 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.
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    \1\ Telephonic 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.
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    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. Sec. 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 Sec. 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

[[Page 7838]]

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 
non-complying 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 one-sided 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 one-sided 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 t-
statistics, 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

[[Page 7839]]

standards. Therefore, the Department proposes to adopt in a statistical 
sampling plan for fixtures utilizing one-sided confidence limits based 
on the following statistical parameter (90% confidence limits with a 
1.10 divisor) at 10 CFR Secs. 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 Secs. 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, 
Sec. 325(k)(1)(A), 42 U.S.C. Sec. 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 Sec. 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 Sec. 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. 
Sec. 6295(j) and Sec. 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

[[Page 7840]]

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 Sec. 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 Sec. 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 time-consuming, 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 Sec. 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, Sec. 321(31)(E), 42 U.S.C. Sec. 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. Sec. 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. Sec. 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. Sec. 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. 
Sec. 6295(j).
    (b) Application of faucet standards to sprayheads with 
independently-controlled 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, Sec. 325(j)(2), 42 U.S.C. Sec. 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 Sec. 430.32(o), to 
the effect that each orifice, depending on its mode of actuation, shall 
not exceed the

[[Page 7841]]

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

    \2\ Southern 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.
    \4\ National Association of Plumbing-Heating Cooling 
Contractors, P.O. Box 6808, Falls Church, VA 22046.
    \5\ Building Officials and Codes Administrators International, 
Inc., 4051 W. Flossmoor Road, Country Club Hills, IL 60478-5795.
    \6\ ibid.
---------------------------------------------------------------------------

    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, ``Twenty-four (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 Sec. 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, Sec. 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

[[Page 7842]]

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. Sec. 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.
---------------------------------------------------------------------------

    \7\ America's Corporate Families and International Affiliates, 
Volume I--III, Dun & Bradstreet, Inc., 1996
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    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

[[Page 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 Sec. 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 Sec. 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 Sec. 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

[[Page 7844]]

closets and urinals within 12 months after the publication of a final 
rule in the Federal Register. The initial certification reports would 
be a one-time submission stating that the manufacturer has determined 
by employing actual testing that the basic model of faucet, showerhead, 
water closet or urinal meets the applicable water conservation 
standard. After the first year, manufacturers of plumbing products 
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 x 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 x 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

[[Page 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 (3\1/2\'' 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

[[Page 7846]]

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


Sec. 430.2  Definitions.

* * * * *
    ANSI means the American National Standards Institute.
    ASME means the American Society of Mechanical Engineers.
* * * * *
    Basic model * * *
    (17) With respect to faucets, which have the identical flow control 
mechanism attached to or installed within the fixture fittings, or the 
identical water-passage design features that use the same path of water 
in the highest-flow mode.
    (18) With respect to showerheads, which have the identical flow 
control mechanism attached to or installed within the fixture fittings, 
or the identical water-passage design features that use the same path 
of water in the highest-flow mode.
    (19) With respect to water closets, which have hydraulic 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect water 
consumption.
    (20) With respect to urinals, which have hydraulic characteristics 
that are essentially identical, and which do not have any differing 
physical or functional characteristics that affect water consumption.
* * * * *
    Blowout has the meaning given such a term in ASME A112.19.2M-1990. 
(see Sec. 430.22)
* * * * *
    Consumer product means any article (other than an automobile, as 
defined in Section 501(1) of the Motor Vehicle Information and Cost 
Savings Act (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

[[Page 7847]]

sufficient rate of flow for flushing purposes.
* * * * *
    Low consumption has the meaning given such a term in ASME 
A112.19.2M-1990. (see Sec. 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


Sec. 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:


Sec. 430.23  Test procedures for measures of energy and water 
consumption.

* * * * *
    (s) Faucets. The maximum permissible water use allowed for lavatory 
faucets, lavatory replacement aerators, kitchen faucets, and kitchen 
replacement aerators, expressed in gallons and liters per minute (gpm 
and L/min), shall be measured in accordance to section 2(a) of Appendix 
S of this subpart. The maximum permissible water use allowed for 
metering faucets, expressed in gallons and liters per cycle (gal/cycle 
and L/cycle), shall be measured in accordance to section 2(a) of 
Appendix S of this subpart.
    (t) Showerheads. The maximum permissible water use allowed for 
showerheads, expressed in gallons and liters per minute (gpm and L/
min), shall be measured in accordance to section 2(b) of Appendix S of 
this subpart.
    (u) Water closets. The maximum permissible water use allowed for 
water closets, expressed in gallons and liters per flush (gpf and Lpf), 
shall be measured in accordance to section 3(a) of Appendix T of this 
subpart.
    (v) Urinals. The maximum permissible water use allowed for urinals, 
expressed in gallons and liters per flush (gpf and Lpf), shall be 
measured in accordance to section 3(b) of Appendix T of this subpart.
    5. Section 430.24 of subpart B is amended by adding new paragraphs 
(s), (t), (u), and (v), to read as follows:


Sec. 430.24  Units to be tested.

* * * * *
    (s) For each basic model of faucet, 1 a sample of sufficient 
size shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of 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.
---------------------------------------------------------------------------

    \1\ Components of similar design may be substituted without 
requiring additional testing if the represented measures of energy 
or water consumption continue to satisfy the applicable sampling 
provision.
---------------------------------------------------------------------------

    (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.


Sec. 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 ``Sec. 430.22'' in 
paragraph (a)(1) to read as ``Sec. 430.23''.
    7. Subpart B of Part 430 is amended by adding Appendix S and 
Appendix T, to read as follows:

Appendix S to Subpart B of Part 430--Uniform Test Method for Measuring 
the Water Consumption of Faucets and Showerheads

    1. Scope: This Appendix covers the test requirements used to 
measure the hydraulic performance of faucets and showerheads.
    2. Flow Capacity Requirements:
    a. Faucets--The test procedures to measure the water flow rate 
for faucets, expressed in gallons per minute (gpm) and liters per 
minute (L/min), or gallons per cycle (gal/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 Sec. 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 Sec. 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 
Sec. 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

[[Page 7848]]

ASME/ANSI Standard A112.19.6-1990. (see Sec. 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 Sec. 430.22)
    b. Urinals--The measurement of water flush volume for urinals, 
expressed in gallons per flush (gpf) and liters per flush (Lpf), 
shall be conducted in accordance with the test requirements 
specified in section 8.5, Water Consumption, of the ASME/ANSI 
Standard A112.19.6-1990. (see Sec. 430.22)

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

Subpart C--Energy and Water Conservation Standards

    9. Section 430.31 is revised to read as follows:


Sec. 430.31  Purpose and scope.

    This subpart contains energy 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:


Sec. 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:

------------------------------------------------------------------------
                                             Maximum flow rate (gpm (L/ 
                Faucet type                    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:

------------------------------------------------------------------------
                                                               Maximum  
                     Water closet type                       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)
------------------------------------------------------------------------
\1\ The 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:


Sec. 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:


Sec. 430.40  Purpose and scope.

    (a) This subpart prescribes the procedures to be followed in 
connection with petitions requesting a rule that a State regulation 
prescribing an energy 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:


Sec. 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

[[Page 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;

[[Page 7850]]

    (iv) Specification of each type or class of covered product for 
which a rule withdrawing an exemption is sought;
    (v) A discussion of the factors contained in paragraph (a) of this 
section;
    (vi) Such other information, if any, believed to be pertinent by 
the petitioner; and
    (vii) Such other information as the Secretary may require.
    (2) [Reserved]


Sec. 430.47  [Amended]

    14. Section 430.47 of subpart D is amended in paragraph (a)(1), by 
revising the words ``energy emergency condition'' to read ``energy or 
water emergency condition''.


Sec. 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


Sec. 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:


Sec. 430.60  Purpose and scope.

    This subpart sets forth the procedures to be followed for 
certification and enforcement testing to determine whether a basic 
model of a covered product complies with the applicable energy 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).


Sec. 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:


Sec. 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 Sec. 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 ft\3\/kWh/cycle and 
capacity in ft\3\.
    (iv) Clothes dryers, the energy factor in lbs/kWh, capacity in 
ft\3\, and voltage.
    (v) Direct heating equipment, the annual fuel utilization 
efficiency in percent and capacity in Btu/hour.
    (vi) Dishwashers, the energy factor in cycles/kWh and exterior 
width in inches.
    (vii) Faucets, 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 
NVLAP-approved accreditation identification, production date codes (and 
accompanying decoding scheme), the 12-month average lamp efficacy in 
lumens per watt, and lamp wattage.
    (xi) Kitchen ranges, ovens, and microwave ovens, the annual energy 
use in Btu/hour.
    (xii) Pool heaters, the thermal efficiency in percent.
    (xiii) Refrigerators, refrigerator-freezers, and freezers, the 
annual energy use in kWh/yr and total adjusted volume in ft\3\.
    (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

[[Page 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 Sec. 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.


Sec. 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 
``Sec. 430.23'' to read ``Sec. 430.24''.
    21. Section 430.70 of subpart F is amended by revising paragraphs 
(a)(1) introductory text, (a)(3) and (a)(6)(i), to read as follows:


Sec. 430.70  Enforcement.

    (a) Performance standard--(1) Test notice. Upon receiving 
information in writing concerning the energy 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.
* * * * *


Sec. 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:---------------------------------------------------------------
Manufacturer's Name and Address

----------------------------------------------------------------------

----------------------------------------------------------------------

----------------------------------------------------------------------

    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:-----------------------------------------

Name:------------------------------------------------------------------

Title:-----------------------------------------------------------------

Firm or Organization:--------------------------------------------------

Date:------------------------------------------------------------------

    Name of Person to Contact for Further Information:

Name:------------------------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

    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 Sec. 430.62 of 10 CFR 430, 
provide the following information for the company official who 
authorized third party representations:

Name:------------------------------------------------------------------

Title:-----------------------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

    The third party organization officially acting as 
representative:

Third Party Organization:----------------------------------------------

Name:------------------------------------------------------------------


[[Page 7852]]

-----------------------------------------------------------------------
Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

    The third party organization officially acting as 
representative:

Third Party Organization:----------------------------------------------

Name:------------------------------------------------------------------

Address:---------------------------------------------------------------

Telephone Number:------------------------------------------------------

Facsimile Number:------------------------------------------------------

    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:------------------------------------------------------------------

Signature of Company Official or Third Party Representative:-----------

Product Type:----------------------------------------------------------

Product Class:---------------------------------------------------------

Manufacturer:----------------------------------------------------------

Private Labeler (if applicable):---------------------------------------

    For New or Amended Models \1\:
---------------------------------------------------------------------------

    \1\ Provide specific product information including, for each 
basic model, the manufacturer's model numbers and the information 
required in Sec. 430.62(a)(4)(i)-Sec. 430.62(a)(4)(xviii).
---------------------------------------------------------------------------

    For Discontinued Models \2\:
---------------------------------------------------------------------------

    \2\ Provide manufacturer's model number.
---------------------------------------------------------------------------

    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 (x1) of the measured energy or 
water performance of the n1 units in the first sample as 
follows:
[GRAPHIC] [TIFF OMITTED] TP20FE97.000

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:
[GRAPHIC] [TIFF OMITTED] TP20FE97.001

[GRAPHIC] [TIFF OMITTED] TP20FE97.002

[GRAPHIC] [TIFF OMITTED] TP20FE97.003

    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:
[GRAPHIC] [TIFF OMITTED] TP20FE97.004

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 (x1) with the upper and lower control limits 
(UCL1 and LCL1) to determine one of the following:
    (1) If the mean of the first sample is below the lower control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (2) If the mean of the first sample is equal to or greater than 
the upper control limit, then the basic model is in compliance and 
testing is at an end. (Do not go on to any of the steps below.)
    (3) If the sample mean is equal to or greater than the lower 
control limit but less than the upper control limit, then no 
determination of compliance or noncompliance can be made and a 
second sample size is determined by Step 7(a).
    Step 6b. For an Energy or Water Consumption Standard, compare 
the mean of the first sample (x1) with the upper and lower 
control limits (UCL1 and LCL1) to determine one of the 
following:
    (1) If the mean of the first sample is above the upper control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (2) If the mean of the first sample is equal to or less than the 
lower control limit, then the basic model is in compliance and 
testing is at an end. (Do not go on to any of the steps below.)
    (3) If the sample mean is equal to or less than the upper 
control limit but greater than the lower control limit, then no 
determination of compliance or noncompliance can be made and a 
second sample size is determined by Step 7(b).
    Step 7a. For an Energy Efficiency Standard, determine the second 
sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TP20FE97.005

Where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy efficiency standard and 95 percent of the 
standard, where 95 percent of the standard is taken as the lower 
control limit. This procedure yields a sufficient combined sample 
size (n1+n2) to give an estimated 97.5 percent probability 
of obtaining a determination of compliance when the true mean 
efficiency is equal to the applicable standard. Given the solution 
value of n2, determine one of the following:
    (1) If the value of n2 is less than or equal to zero and if 
the mean energy efficiency of the first sample (x1) is either 
equal to or greater than the lower control limit (LCL1) or 
equal to or greater than 95 percent of the applicable energy 
efficiency standard (EES), whichever is greater, i.e., if n2 
0 and (x1) max (LCL1, 0.95 EES), the 
basic model is in compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero and 
the mean energy efficiency of the first sample (x1) is less 
than the lower control limit (LCL1) or less than 95 percent of 
the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if n2  0 and (x1) < max 
(LCL1, 0.95 EES), the basic model is in noncompliance and 
testing is at an end.
    (3) If the value of n2 is greater than zero, then value of 
the second sample size is determined to be the smallest integer 
equal to or greater than the solution value of n2 for equation 
(6a). If the value of n2 so calculated is greater than 20-
n1, set n2 equal to 20-n.

    Step 7(b). For an Energy or Water Consumption Standard, 
determine the second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TP20FE97.006

Where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy or water consumption standard and 105 percent of 
the standard, where 105 percent of the standard is taken as the 
upper control limit. This procedure yields a sufficient combined 
sample size (n1 + n2) to give an estimated 97.5 percent 
probability of obtaining a determination of compliance when the true 
mean consumption is equal to the applicable standard.
    Given the solution value of n2, determine one of the 
following:
    (1) If the value of n2 is less than or equal to zero and if 
the mean energy or water consumption of the first sample (x1) 
is either equal to or less than the upper control limit (UCL1) 
or equal to or less than 105 percent of the applicable energy or 
water performance standard (EPS), whichever is less, i.e., if 
n2  0 and (x1) min (UCL1, 1.05 
EPS), the basic model is in compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero and 
the mean energy or water consumption of the first sample (x1) 
is greater than the upper control limit (UCL1) or more than 105 
percent of the applicable energy or water performance standard 
(EPS),

[[Page 7853]]

whichever is less, i.e., if n2  0 and x1 > 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 (x2) of the measured 
energy or water performance of the n1 and n2 units of the 
combined first and second samples as follows:
[GRAPHIC] [TIFF OMITTED] TP20FE97.007

[GRAPHIC] [TIFF OMITTED] TP20FE97.008

[GRAPHIC] [TIFF OMITTED] TP20FE97.009

    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:
[GRAPHIC] [TIFF OMITTED] TP20FE97.010

Where the t-statistic has the value obtained in step 5.

    Step 10(b). For an Energy or Water Consumption Standard, compute 
the upper control limit (UCL2) for the mean of the combined 
first and second samples using the DOE energy or water performance 
standard (EPS) as the desired mean and a one-tailed probability 
level of 102.5 percent (equivalent to the two-tailed probability 
level of 95 percent used in Step 5) as follows:
[GRAPHIC] [TIFF OMITTED] TP20FE97.011

Where the t-statistic has the value obtained in Step 5.

    Step 11(a). For an Energy Efficiency Standard, compare the 
combined sample mean (x2) to the lower control limit 
(LCL2) to find one of the following:
    (1) If the mean of the combined sample (x2) is less than 
the lower control limit (LCL2) or 95 percent of the applicable 
energy efficiency standard (EES), whichever is greater, i.e., if 
(x2) < 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 (x2) is equal to or 
greater than the lower control limit (LCL2) or 95 percent of 
the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if (x2)  max (LCL2, 0.95 EES), 
the basic model is in compliance and testing is at an end.
    Step 11(b). For an Energy or Water Consumption Standard, compare 
the combined sample mean (x2) to the upper control limit 
(UCL2) to find one of the following:
    (1) If the mean of the combined sample (x2) is greater than 
the upper control limit (UCL2) or 105 percent of the applicable 
energy or water performance standard (EPS), whichever is less, i.e., 
if x2 > min (UCL2, 1.05 EPS), the basic model is in 
noncompliance and testing is at an end.
    (2) If the mean of the combined sample (x2) is equal to or 
less than the upper control limit (UCL2) or 105 percent of the 
applicable energy or water performance standard (EPS), whichever is 
less, i.e., if (x2)  min (UCL2, 1.05 EPS), the 
basic model is in compliance and testing is at an end.

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