[Federal Register Volume 63, Number 52 (Wednesday, March 18, 1998)]
[Rules and Regulations]
[Pages 13308-13323]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-6997]



[[Page 13307]]

_______________________________________________________________________

Part II





Department of Energy





_______________________________________________________________________



Office of Energy Efficiency and Renewable Energy



_______________________________________________________________________



10 CFR Part 430



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

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

[[Page 13308]]



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 and Enforcement Requirements for Plumbing 
Products; and Certification and Enforcement Requirements for 
Residential Appliances

AGENCY: Office of Energy Efficiency and Renewable Energy, Department of 
Energy.

ACTION: Final rule

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

SUMMARY: The Energy Policy and Conservation Act, as amended (EPCA), 
requires the Department of Energy (DOE or the Department) to administer 
an energy and water conservation program for certain major household 
appliances and commercial equipment, including certain plumbing 
products. This final rule codifies in Part 430 of Title 10 of the Code 
of Federal Regulations water conservation standards established in EPCA 
for showerheads, water closets and urinals; establishes, as directed by 
EPCA, water conservation standards for faucets and test procedures for 
faucets, showerheads, water closets and urinals by reference to revised 
American Society of Mechanical Engineers/American National Standards 
Institute (ASME/ANSI) standards; and provides certification and 
enforcement requirements for plumbing products. This final rule also 
clarifies and extends the certification and enforcement requirements to 
all residential covered products.

DATES: This rule is effective April 17, 1998 except for 
Secs. 430.62(a)(4)(vii), 430.62(a)(4)(xiv), 430.62(a)(4)(xv) and 
430.62(a)(4)(xvi) which become effective March 18, 1999. The 
incorporation by reference of certain publications listed in the 
regulations is approved by the Director of the Federal Register as of 
April 17, 1998. In addition, as prescribed in Section 323(c)(2) of 
EPCA, beginning on September 14, 1998 no manufacturer, distributor, 
retailer, or private labeler may make representations with respect to 
water use covered plumbing products, except as reflected in tests 
conducted according to DOE test procedure found in this rule.

ADDRESSES: The Department is incorporating by reference test standards 
from ASME/ANSI. These standards (which contain both test procedures and 
water usage standards) are listed below:
    1. American Society of Mechanical Engineers/American National 
Standards Institute Standard A112.19.6-1995, ``Hydraulic Requirements 
for Water Closets and Urinals,'' Section 7.1.2, subsections 7.1.2.1, 
7.1.2.2 and 7.1.2.3; Section 7.1.6; Section 8.2, subsections 8.2.1, 
8.2.2, 8.2.3; and Section 8.5.
    2. American Society of Mechanical Engineers/American National 
Standards Institute Standard A112.18.1M-1996, ``Plumbing Fixture 
Fittings,'' Section 6.5.
    Copies of these standards may be viewed at the Department of Energy 
Freedom of Information Reading Room, Forrestal Building, Room 1E-190, 
1000 Independence Avenue, SW, Washington, DC 20585, (202) 586-3142 
between the hours of 9:00 a.m. and 4:00 p.m., Monday through Friday, 
except Federal holidays.
    Copies of the ASME/ANSI Standards may also be obtained by request 
from the American Society of Mechanical Engineers, Service Center, 22 
Law Drive, P.O. Box 2900, Fairfield, NJ 07007, or the American National 
Standards Institute, 1430 Broadway, New York, NY 10018.

FOR FURTHER INFORMATION CONTACT: Barbara Twigg, U.S. Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Mail Stop: 
EE-43, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC 
20585-0121. Telephone: (202) 586-8714, FAX: (202) 586-4717, E-Mail: 
[email protected], or Eugene Margolis, Esq., U.S. Department of 
Energy, Office of General Counsel, Mail Stop: GC-72, Forrestal 
Building, 1000 Independence Avenue, SW, Washington, DC 20585-0103. 
Telephone: (202) 586-9507, FAX: (202) 586-4116, E-Mail: 
[email protected]

SUPPLEMENTARY INFORMATION:

I. Introduction
    A. Authority
    B. Background
II. Discussion of Comments
    A. Test Procedures
    (1) Faucets and showerheads
    (2) Water closets and urinals
    B. Water Conservation Standards
    (1) Faucets
    (2) Showerheads
    (3) Water closets and urinals
    C. Definitions
    D. Definition of ``Basic Model''
    E. Definition of ``Electromechanical Hydraulic Toilet''
    F. Statistical Sampling Plans for Certification Testing
    G. Certification Reporting Requirements for Plumbing Products
    (1) Types of information to be submitted
    (2) Precision level of reported test results
    (3) Mathematical rounding rules
    (4) Effective date for initial certification submissions
    H. Modifications to Existing Language to Include Plumbing 
Products in the Code of Federal Regulations
    I. Faucet Standards for Multiple-User Sprayheads
    (1) Application of faucet standards to sprayheads with 
independently-controlled orifices
    (2) Application of faucet standards to sprayheads with 
collectively-controlled orifices
    J. Urinal Standard for Trough-Type Urinals
    K. Enforcement
    L. Clarification of Certification Reporting Requirements for 
Residential Appliances
    (1) Means of certification
    (2) Discontinued model
    (3) Amendment of information
    (4) Submission of annual energy use for kitchen ranges, ovens, 
and microwave ovens
    M. Metric Equivalents
    N. Other Issues
    (1) Establishment of an e-mail address
    (2) Performance-based standard
    (3) Consumer tampering
    (4) Product listing
III. Procedural Requirements
    A. Review Under the National Environmental Policy Act of 1969
    B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''
    C. Review Under the Regulatory Flexibility Act
    D. Review Under Executive Order 12612, ``Federalism''
    E. Review Under Executive Order 12630, ``Governmental Actions 
and Interference with Constitutionally Protected Property Rights''
    F. Review Under the Paperwork Reduction Act
    G. Review Under Executive Order 12988, ``Civil Justice Reform''
    H. Review Under Unfunded Mandates Reform Act of 1995
    I. Review Under the Small Business Regulatory Enforcement 
Fairness Act of 1996

I. Introduction

A. Authority

    Part B of Title III of the Energy Policy and Conservation Act of 
1975, as amended (EPCA), created the Energy Conservation Program for 
Consumer Products other than Automobiles (Program). The products 
covered under this program include faucets, showerheads, water closets, 
and urinals--the subjects of today's final rule.
    This program consists essentially of three parts: testing, 
labeling, and energy and water conservation standards. In the case of 
faucets, showerheads, water closets, and urinals, the test procedures

[[Page 13309]]

measure water use or estimated annual operating cost of these covered 
products during a representative average use cycle or period of use, as 
determined by the Secretary, and shall not be unduly burdensome to 
conduct. EPCA, Sec. 323(b)(3), 42 U.S.C. Sec. 6293(b)(3).
    One hundred and eighty days after a test procedure for a product is 
prescribed or established, no manufacturer, distributor, retailer, or 
private labeler may make representations with respect to energy use, 
efficiency, or the cost of energy consumed by products by this rule, 
except as reflected in tests conducted according to the new or amended 
DOE test procedure and such representations fairly disclose the results 
of such tests. Section 323(c)(2) of EPCA, 42 U.S.C. 6293(c)(2). Thus, 
beginning on [insert date 180 days from the date of publication], 
representations with respect to the products covered by this rule must 
be consistent with this amended test procedure.
    EPCA states that the procedures for testing and measuring the water 
use of faucets and showerheads, and water closets and urinals, shall be 
ASME/ANSI Standards A112.18.1M-1989, and A112.19.6-1990, respectively, 
but that if ASME/ANSI revises these requirements, the Secretary shall 
adopt such revisions unless the Secretary determines by rule that the 
revised test procedures are not satisfactory for determining water use 
of the covered plumbing products or they are unduly burdensome to 
conduct. EPCA, Sec. 323(b)(7) and 323(b)(8), 42 U.S.C. Sec. 6293(b)(7) 
and Sec. 6293(b)(8).
    EPCA prescribes water conservation standards for faucets, 
showerheads, water closets and urinals. It further provides that if the 
requirements of ASME/ANSI Standard A112.18.1M-1989 or ASME/ANSI 
Standard A112.19.6-1990 are amended to improve the efficiency of water 
use, the Secretary shall publish a final rule establishing an amended 
uniform national standard unless the Secretary determines that adoption 
of such a standard at the level specified is not (i) technologically 
feasible and economically justified, (ii) consistent with the 
maintenance of public health and safety; or (iii) consistent with the 
purposes of this Act. EPCA, Sec. 325(j) and 325(k), 42 U.S.C. 
Sec. 6295(j) and Sec. 6295(k).

B. Background

    On February 20, 1997, the Department published in the Federal 
Register a Notice of Proposed Rulemaking regarding Test Procedures and 
Certification Requirements for Plumbing Products; and Certification 
Reporting Requirements for Residential Appliances. 62 FR 7834. A public 
hearing was held in Washington, DC, on April 1, 1997. The comment 
period for written submissions was closed on May 6, 1997.
    The notice proposed to codify into the Code of Federal Regulations 
statutory requirements with respect to plumbing products (water 
conservation standards, test procedures, and definitions); provide 
regulations for certification and enforcement requirements for plumbing 
products; and to clarify and extend the certification and enforcement 
requirements to all residential covered products.

II. Discussion of Comments

A. Test Procedures

(1) Faucets and Showerheads
    In the proposed rule, the Department proposed to incorporate by 
reference, section 6.5, ``Flow Capacity Test,'' in ASME/ANSI Standard 
A112.18.1M-1994, for testing faucets and showerheads. On May 29, 1996, 
the test procedure requirements for faucets and showerheads in ASME/
ANSI Standard A112.18.1M-1994 were revised and issued as ASME/ANSI 
Standard A112.18.1M-1996.
    The Plumbing Manufacturers Institute (PMI), Moen Incorporated 
(Moen), and Kohler Company (Kohler) commented that the test 
requirements for measuring water consumption remained unchanged and 
urged that DOE incorporate instead ASME/ANSI Standard A112.18.1M-1996. 
(PMI, Transcript, at 20; Moen, Transcript, at 22; and Kohler, 
Transcript, at 23). No additional comments were received. The 
Department is incorporating by reference section 6.5 in ASME/ANSI 
Standard A112.18.1M-1996 in today's final rule.
(2) Water Closets and Urinals
    In the proposed rule, DOE proposed to incorporate by reference, 
section 7.1.2, ``Test Apparatus and General Instructions,'' and 
subsections 7.1.2.1, 7.1.2.2, 7.1.2.3, and 7.1.6, ``Water Consumption 
and Hydraulic Characteristics,'' in ASME/ANSI Standard A112.19.6-1990, 
for testing water closets. In the same ASME/ANSI Standard, the 
Department also proposed to incorporate by reference, section 8.2, 
``Test Apparatus and General Instructions,'' subsections 8.2.1, 8.2.2, 
8.2.3, and section 8.5, ``Water Consumption,'' for testing urinals. On 
April 19, 1996, the test procedure requirements for water closets and 
urinals in ASME/ANSI Standard A112.19.6-1990 were revised and issued as 
ASME Standard A112.19.6-1995.
    American Standard Inc. (American Standard) stated that test 
procedure requirements for water closets and urinals in both versions 
of ASME/ANSI Standard A112.19.6 are identical, and recommended that DOE 
incorporate instead ASME Standard A112.19.6-1995. (American Standard 
Inc., Transcript, at 95). No additional comments were received. The 
Department is incorporating by reference sections 7.1.2, 7.1.2.1, 
7.1.2.2, 7.1.2.3, 7.1.6, 8.2, 8.2.1, 8.2.2, 8.2.3, and 8.5 in ASME 
Standard A112.19.6-1995 in today's final rule.

B. Water Conservation Standards

(1) Faucets
    In the proposed rule, the Department proposed, in response to 
industry's request for conformity with a single standard, to adopt the 
faucet standard (2.2 gallons per minutes (gpm) at 60 pounds per square 
inch (psig)) contained in ASME/ANSI Standard A112.18.1M-1994. The 
American Water Works Association (AWWA), the California Energy 
Commission (CEC), PMI, and the International Association of Plumbing 
and Mechanical Officials (IAPMO) supported the standard for faucets in 
ASME/ANSI Standard A112.18.1M-1994 (2.2 gpm at 60 psig). (AWWA, No. 1, 
at 2; CEC, Transcript, at 18; PMI, Transcript, at 20; and IAPMO, 
Transcript, at 21).
    As discussed above, ASME/ANSI Standard A112.18.1M-1994 was revised 
and issued as ASME/ANSI Standard A112.18.1M-1996; however, the standard 
for faucets remained the same as in ASME/ANSI Standard A112.18.1M-1994. 
No other comments were received. Based on the above considerations, the 
Department is incorporating the faucet standard in ASME/ANSI Standard 
A112.18.1M-1996 in today's final rule.
(2) Showerheads
    In the proposed rule, the Department proposed to codify the 
statutory standard for showerheads (2.5 gpm at 80 psig) and incorporate 
by reference the tamper proofing requirement in section 7.4.4(a) of 
ASME/ANSI Standard A112.18.1M-1994. This requirement specifies that if 
a flow control insert is used as a component part of a showerhead, then 
it must be manufactured such that a pushing or pulling force of 36 
Newtons (8 lbf) or more is required to remove the insert.
    As previously mentioned, ASME/ANSI Standard A112.18.1M-1994 was 
revised and issued as ASME/ANSI

[[Page 13310]]

Standard A112.18.1M-1996. The standard for showerheads in both ASME/
ANSI Standard A112.18.1M-1994 and ASME/ANSI Standard A112.18.1M-1996, 
is the same as the level prescribed in EPCA. DOE is codifying the 
statutory standard for showerheads and incorporating by reference 
Section 7.4.4(a) of ASME/ANSI Standard A112.18.1M-1996, in today's 
final rule.
(3) Water Closets and Urinals
    In the proposed rule, DOE proposed to codify the statutory 
standards for water closets and urinals. The maximum water use allowed 
is 1.6 gallons per flush (gpf) for gravity tank-type toilets, 
flushometer tank toilets, and electromechanical hydraulic toilets, if 
manufactured after January 1, 1994; and for flushometer valve toilets 
and commercial gravity tank-type 2 piece toilets, if manufactured after 
January 1, 1997. The maximum water use allowed for blowout toilets is 
3.5 gpf, if manufactured after January 1, 1994. The maximum water use 
for any urinal is 1.0 gpf, if manufactured after January 1, 1997.
    As previously mentioned, ASME/ANSI Standard A112.19.6-1990 was 
revised and issued as ASME/ANSI A112.19.6-1995. The standards for 
toilets and urinals, which remained unchanged in the updated ASME/ANSI 
Standard, are also at the levels prescribed in EPCA. The Department is 
codifying the statutory standards for toilets and urinals in today's 
final rule.

C. Definitions

    In the proposed rule, the Department proposed definitions for the 
terms ``consumer product,'' ``energy conservation standard,'' 
``estimated annual operating cost,'' ``ANSI,'' ``ASME,'' ``blowout,'' 
``faucet,'' ``flushometer tank,'' ``flushometer valve,'' ``low 
consumption,'' ``showerhead,'' ``urinal,'' ``water closet,'' and 
``water use'' drawn from EPCA Sec. 321. No comments were requested or 
required for incorporation of these statutory definitions. DOE is 
incorporating these statutory definitions in today's final rule.

D. Definition of ``Basic Model''

    In the proposed rule, DOE proposed to establish definitions of 
``basic model'' for plumbing products. These definitions allow models 
that exhibit essentially identical characteristics to be categorized 
into a family, where only representative samples within that family 
would need to be tested for certification purposes.
    For faucets and showerheads, the Department proposed that ``basic 
model'' be defined by either the flow control mechanism attached to or 
installed with the fixture fittings, or the models that have identical 
water-passage design features that use the same path of water in the 
highest flow mode. For water closets and urinals, the Department 
proposed that ``basic model'' be defined as units which have hydraulic 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect 
consumption. No comments on this issue were received. The Department is 
adopting these definitions as proposed in today's final rule.

E. Definition of ``Electromechanical Hydraulic Toilet''

    In the proposed rule, DOE proposed to define ``electromechanical 
hydraulic toilet,'' as ``any water closet that utilizes electrically 
operated devices, such as, but not limited to, air compressors, pumps, 
solenoids, motors, or macerators in place of, or to aid, gravity in 
evacuating waste from the toilet bowl.'' No comments on this proposal 
were received. The Department is adopting the definition as proposed in 
today's final rule.

F. Statistical Sampling Plans for Certification Testing

    In the proposed rule, DOE proposed statistical sampling plans for 
faucets, showerheads, water closets, and urinals based on the current 
approach used for residential appliances. The purpose of sampling plans 
is to minimize the test burden while ensuring that the true mean 
performance of the product being manufactured and sold meets or 
conforms to the statutory water usage standard.
    DOE proposed a statistical sampling plan at 95 percent confidence 
limits with a 1.05 divisor for faucets and showerheads, and at 90 
percent confidence limits with a 1.10 divisor for water closets and 
urinals. AWWA supported the statistical sampling plans at the levels 
proposed. (AWWA, No. 1, at 2; and Transcript, at 25). No other comments 
were received on this issue. The Department is adopting the statistical 
plans as proposed in today's final rule.

G. Certification Reporting Requirements for Plumbing Products

(1) Types of Information To Be Submitted
    In the proposed rule, DOE proposed that each basic model of a 
covered product to be certified include the following information: the 
product type, product class, manufacturer's name, private labeler 
name(s), if applicable, the manufacturer's model number(s), and the 
water usage. IAPMO supported DOE's proposal. (IAPMO, Transcript, No. 
38). No additional comments on this proposal were received. DOE is 
adopting this provision in today's final rule.
(2) Precision Level of Reported Test Results
    In the proposed rule, DOE noted that statutory standards for 
faucets, showerheads, water closets, and urinals are specified in terms 
of a tenth of a gallon, or in the case of metering faucets, a hundredth 
of a gallon, and proposed that these levels be observed in 
certification and enforcement. No comments on this proposal were 
received. The Department is adopting this provision in today's final 
rule.
(3) Mathematical Rounding Rules
    In the proposed rule, the Department proposed that reported test 
results conform to precision levels established in EPCA and that they 
be converted from test data utilizing the following mathematical 
rounding rules: Five and above round up, and less than five, round 
down. DOE also specified that such rounding rules are to be applied 
after the final result is calculated.
    American Standard stated that there is confusion in the industry on 
whether to apply rounding rules to conform with specified precision 
levels at each step of the calculation or only once after the final 
result is calculated. American Standard claimed that different test 
results may be generated and requested that DOE clarify the application 
of the proposed rounding rules. (American Standard, Transcript, at 35). 
The California Energy Commission (CEC) and AWWA also supported 
clarification. (CEC, Transcript, at 35; and AWWA, No. 1, at 2-3).
    The Department believes that rounding at each step of the 
calculation or rounding once after the final result is calculated may 
generate different reported test results. Therefore, today's final rule 
clarifies the application of the proposed rounding rules by specifying 
that measurements are to be recorded at the resolution of the test 
instrumentation and that at each step in the measurement and 
calculation procedure, the results are to be rounded off to the same 
number of significant digits as the previous step. The final water 
consumption value shall be rounded to one decimal place for water 
closets, urinals, and shower heads and

[[Page 13311]]

non-metered faucets, or two decimal places for metered faucets.
(4) Effective Date for Initial Certification Submissions
    In the proposed rule, DOE proposed plumbing manufacturers be 
provided one year to comply with the certification requirements of 
sections 430.62(a)(4) (vii), (xiv-xvi) of this rule. No comments on 
this proposal were received. The Department is adopting this provision 
in today's final rule.

H. Modifications to Existing Language To Include Plumbing Products in 
the Code of Federal Regulations

    In the proposed rule, DOE proposed to amend sections 430.27, 
430.31-430.33, 430.40, 430.41, 430.47, 430.49, 430.50, 430.60, 430.61, 
430.63, 430.70(a)(1), 430.70(a)(3), 430.70(a)(6) and 430.73 of Title 10 
of the CFR by modifying existing language to include plumbing products 
covered by EPCA.
    AWWA's proposed amendment to section 430.33 would allow States to 
set more restrictive water conservation standards and preempt States 
from setting less restrictive standards than the Federal standard. 
Section 327(c) of EPCA, however, specifies that when a Federal standard 
is in effect with respect to water use for faucets, showerheads, water 
closets and urinals, any State regulation concerning the water use of 
these covered products is preempted, regardless of whether it is more 
or less restrictive than the Federal standard, subject to six limited 
exceptions. (Two of the exceptions related specifically to water use 
standards of New York, Rhode Island, and Georgia in effect on the date 
of enactment of the Energy Policy Act of 1992.) Under current law, DOE 
is without authority to make the change requested by AWWA. While 
Congress preempted State standards, at the same time it showed a desire 
to allow State standards upon certain findings [327(d)]. Congress 
recognized that circumstances can exist where States will be permitted 
to establish or maintain standards, and EPCA established procedures for 
the Secretary to review the propriety of the State's exercise of 
regulatory authority.
    The Association of Home Appliance Manufacturers (AHAM) commented 
that provisions in sections 430.27, 430.41, and 430.70, which DOE 
proposed to amend to include plumbing products by adding the term 
``water,'' could mistakenly subject certain AHAM products (i.e., 
clothes washers and dishwashers) to water consumption requirements that 
only need to meet minimum energy conservation standards. To alleviate 
potential confusion, AHAM requested that DOE either cross reference the 
term ``water'' to plumbing products or create separate paragraphs for 
products required to meet minimum energy or maximum permissible water 
conservation standards. (AHAM, No. 4, at 1-2). The Department agrees 
that it is appropriate to clarify to which products water consumption 
requirements are applicable. DOE is revising sections 430.27, 430.41, 
430.70, and other sections as necessary by cross referencing the term 
``water'' to apply only to faucets, showerheads, water closets, and 
urinals in today's final rule.

I. Faucet Standards for Multiple-User Sprayheads

(1) Application of Faucet Standards to Sprayheads With Independently-
Controlled Orifices
    In the proposed rule, the Department proposed that each orifice of 
a sprayhead with independently-controlled orifices, depending on its 
mode of actuation, shall not exceed the maximum flow rate for a 
lavatory or metering faucet. No comments on this proposal were 
received. The Department is adopting this provision in today's final 
rule.
(2) Application of Faucet Standards to Sprayheads With Collectively-
Controlled Orifices
    In the proposed rule, the Department proposed that the maximum flow 
rate of a manually-activated sprayhead with collectively-controlled 
orifices shall be the product of the maximum flow rate for a lavatory 
faucet and the number of component lavatories (rim space of the 
lavatory in inches (millimeters) divided by 20 inches (508 
millimeters)). DOE also proposed that the maximum flow rate of a 
metered-activated sprayhead shall be the product of the maximum flow 
rate for a metering faucet and the number of component lavatories (rim 
space of the lavatory in inches (millimeters) divided by 20 inches (508 
millimeters)).
    CEC and the Building Officials and Code Administrators 
International (BOCA) supported DOE's proposal. (CEC, Transcript, at 83; 
and BOCA, Transcript, at 88). IAPMO objected and instead recommended 
that prorating be based on 24 inches and 18 inches, for sprayheads that 
are installed in a lineal and circular lavatory, respectively. (IAPMO, 
Transcript, at 89). Bradley Corporation (Bradley) claimed that 
lavatories to which sprayheads are mounted are generally circular or 
semicircular rather than lineal. Moreover, Bradley added that 18 and 20 
inches are the two capacity criteria generally used for lavatories, 
that 20 inches is totally appropriate and is also more conservative 
than 18 inches. (Bradley, Transcript, at 89). The Department agrees 
with Bradley's comment regarding the appropriateness of prorating using 
20 inches and is adopting the provision as proposed in today's final 
rule.

J. Urinal Standard for Trough-Type Urinals

    On February 7, 1997, Kohler submitted a letter to DOE regarding 
trough-type urinals. Kohler stated that trough-type urinals, which are 
produced in sizes of 36 inches, 48 inches, 60 inches, and 72 inches, 
are fixtures designed for multiple-users and are generally installed in 
places of high density. Kohler believed these products are covered 
under EPCA and requested that it be allowed to satisfy compliance with 
the standard by prorating maximum water use based upon 16 inches per 
individual. In a March 24, 1997 letter to Kohler, the Department agreed 
that Kohler's proposal seemed reasonable but that it intends to seek 
additional input. This proposal was discussed at the April 2, 1997, 
public hearing for plumbing products.
    Both IAPMO and CEC supported Kohler's proposal. (IAPMO, Transcript, 
at 66; and CEC, Transcript, at 83). Kohler claimed that Eljer 
Industries, Inc. also supported its proposal. (Kohler, Transcript, at 
72). No additional comments on this proposal were received. The 
Department is adopting the provision in today's final rule to read as 
follows:
    ``430.32(r) Urinals. The maximum water use allowed for any urinals 
manufactured after January 1, 1994, shall be 1.0 gallons per flush (3.8 
liters per flush).\1\

    \1\ The maximum water use allowed for a trough-type urinal shall 
be the product of (a) the maximum flow rate for a urinal and (b) the 
length of the trough-type urinal in inches (meters) divided by 16 
inches (0.406 meters).''

K. Enforcement

    In the proposed rule, the Department proposed to extend its 
enforcement policies to include plumbing products. DOE believes that 
its existing enforcement procedures are adequate for deterring would-be 
violators.
    The New York State Department of Environmental Conservation 
(NYSDEC) claimed that it is necessary for DOE to establish a product or 
manufacturer listing program to protect consumers

[[Page 13312]]

from non-complying manufacturers. (NYSDEC, No. 5, at 2).
    Presently, the Department is not aware of any manufacturers who are 
producing non-compliant products for distribution. Furthermore, DOE 
believes that the enforcement mechanisms it proposed to extend to 
plumbing products in the proposed rule are adequate. Therefore, in 
today's final rule, the Department is establishing enforcement 
provisions for plumbing products as proposed.

L. Clarification of Certification Reporting Requirements for 
Residential Appliances

    In the proposed rule, DOE proposed to redesignate, revise existing 
language, and add new language and paragraphs in section 430.62, and 
Appendices A and B to Subpart F of the CFR as necessary regarding 
certification and enforcement requirements for all residential 
appliances, including plumbing products. The proposed modifications for 
which DOE received no comments are incorporated in today's final rule. 
The proposed modifications for which comments were received are 
discussed below:
(1) Means of Certification
    Section 430.62 of the CFR presently allows a manufacturer or 
private labeler to directly certify covered products to DOE or 
authorize a third party to certify on its behalf. In the proposed rule, 
DOE proposed to extend this coverage to plumbing products. Both IAPMO 
and AWWA questioned the integrity of self-certification by 
manufacturers and suggested that DOE revise its rule to allow only 
third-party certification. (IAPMO, Transcript, at 40; and AWWA, 
Transcript, at 57). PMI, CEC, Kohler, American Standard, Bradley, Delta 
Faucets (Delta) and the National Voluntary Laboratory Accreditation 
Program (NVLAP) argued that enforcement provisions presently exist to 
deter would-be violators, and that eliminating the option of self-
certification would impose a logistic or financial burden on 
manufacturers. (PMI, Transcript, at 51; CEC, Transcript, at 55; Kohler, 
Transcript, at 56; American Standard, Transcript, at 60; Bradley, 
Transcript, at 62; Delta, Transcript, at 62; and NVLAP, Transcript, at 
63).
    The Department agrees with the comments by PMI, CEC, Kohler, 
American Standard, Bradley, Delta Faucets (Delta) and NVLAP that 
current enforcement provisions are adequate. DOE also believes it 
necessary to maintain flexibility in the certification of products to 
DOE by manufacturers and private labelers. Based on the above 
considerations, the Department does not believe the revision suggested 
by IAPMO and AWWA is justified for inclusion in today's final rule.
(2) Discontinued Model
    Section 430.62(c) of the CFR presently requires that ``discontinued 
models'' be reported in writing to DOE. In the proposed rule, DOE 
proposed to clarify the section by defining ``discontinued model'' as 
``a basic model which has ceased production,'' specifying the type of 
information to be submitted, and requiring that such models be reported 
within six months of being discontinued.
    AHAM claimed the proposed definition of ``discontinued model'' 
could cause confusion if applied to rebate models for which production 
has ceased but which may be sold for several years. (AHAM, No. 4, at 1-
2). The Whirlpool Corporation (Whirlpool) added that the proposed six-
month reporting period requirement would impose a logistic and 
financial burden on the manufacturers and requested that it be 
withdrawn. (Whirlpool, No. 6, at 4).
    The Department agrees with AHAM that DOE's proposed definition of 
``discontinued model'' needs to be clarified. DOE also agrees with 
Whirlpool that the proposed six-month reporting period requirement 
following discontinuance of models may impose an unnecessary burden on 
the industry. Based on the above considerations, DOE is revising the 
section in question to read as follows:
    430.62(c) Discontinued model. A basic model is discontinued when 
its production has ceased and is no longer being distributed. Such 
models shall be reported, by certified mail, to: Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Office of Codes and 
Standards, Forrestal Building, 1000 Independence Avenue, SW, 
Washington, DC 20585-012. For each basic model, this report shall 
include: product type, product class, the manufacturer's name, the 
private labeler name(s), if applicable, and the manufacturer's model 
number. If the reporting of discontinued models coincides with the 
submittal of a certification report, such models can be included in the 
certification report.
(3) Amendment of Information
    In the proposed rule, DOE proposed to add a new section: 430.62(f), 
``Amendment of Information,'' which would require a manufacturer or his 
representative to submit, by certified mail, a statement of compliance 
or certification report with the revised information if any information 
previously submitted has changed.
    Both the Air-Conditioning & Refrigeration Institute (ARI) and AHAM 
asserted that such information would be submitted anyway in the course 
of new submissions and requested that the proposal be withdrawn. (ARI, 
No. 3, at 1; and AHAM, No. 4, at 2). DOE agrees with the suggestion by 
ARI and AHAM and is withdrawing this proposal in today's final rule.
(4) Submission of Annual Energy Use for Kitchen Ranges, Ovens, and 
Microwave Ovens
    In the proposed rule, DOE proposed to require submissions of annual 
energy use on a per model basis for kitchen ranges, ovens, and 
microwave ovens.
    Both AHAM and Whirlpool noted that there are presently no minimum 
energy efficiency reporting requirements for kitchen ranges, ovens, and 
microwave ovens, that it would create an unnecessary test burden on 
manufacturers, and recommended that the proposal be withdrawn. Section 
323(a)(1)(B) that the Secretary may prescribe test procedures for a 
consumer product classified as covered product. Even without minimum 
efficiency standards for a covered product this information could be 
used to assist consumers in purchasing more efficient products. 
However, DOE does recognize that testing and reporting of efficiency 
data does place an added burden on manufacturers and therefore is 
withdrawing this requirement for kitchen ranges, ovens, and microwave 
ovens at this time.

M. Metric Equivalents

    In the proposed rule, DOE proposed that along with English 
measurements (i.e., gallons per minutes (gpm), gallons per cycle (gal/
cycle), or gallons per flush (gpf)), metric equivalents (i.e. liters 
per minute (L/min), liters per cycle (L/cycle), or liters per flush 
(Lpf)) shall be required in certification reports submitted to the 
Department.
    American Standard stated such requirement would impose a paperwork 
burden and requested that DOE select only one measurement system (i.e., 
English or metric). (American Standard, Transcript, at 116). However, 
the Department does not believe the provision would unduly burden the 
industry. Only one certification report containing both English and 
metric units will be required rather than dual certification reports. 
Based on the above considerations, the Department rejects American 
Standard's request to select one measurement system for

[[Page 13313]]

certification submission and instead will finalize in today's rule the 
provision as proposed.
    Mr. Lawrence J. Stempnik recommended that metric units be listed 
first, followed by the English conversion as supplementary units on 
certification reports to DOE. Also, he recommended that a statement be 
added to allow reports to be submitted in metric units only. In 
addition, Mr. Stempnik argued that the acronym ``Lpf'' (liter per 
flush) is not a metric unit, that it would confuse consumers, and 
recommended that ``L'' (liter) be used instead. (Lawrence J. Stempnik, 
No. 2, at 3-5). DOE believes that since the unit of liters per flush 
(Lpf) is well-accepted in the plumbing standards and literature, and 
adequately defines the water consumption on the basis of usage, it 
should not prove confusing for consumers. Therefore, the Department 
rejects Mr. Stempnik's request to replace the acronym ``Lpf'' with 
``L'' in today's final rule. The Department also believes that because 
the standards are written in English units, the English units should be 
listed first in certification reports, followed by the metric 
equivalents in parentheses.

N. Other Issues

    The following is a discussion of issues raised by other commenters:
(1) Establishment of an E-mail Address
    Mr. Lawrence J. Stempnik requested that submissions of information 
via e-mail from companies to the Department be allowed. (Lawrence J. 
Stempnik, No. 2, at 5). Mr. Stempnik claimed that this would facilitate 
electronic storage of the data and enable multi-user access to 
electronic databases instead of paper files.
    The Department currently has no mechanism for maintaining 
electronic databases of covered products, and therefore requires paper 
copies of compliance statements and certification reports. It should be 
noted that electronic copies would only be considered for certification 
reports, and not for compliance statements, which require an original 
signature. Although the Department declines to add e-mail as an 
official option for submitting certification reports in today's final 
rule, it will begin to evaluate the possibility of using electronic 
submittals for certification reports in the future. The Department 
would therefore appreciate manufacturers or their authorized 
representatives, at their option, submitting electronic files of their 
certification reports in addition to the required paper copies for 
DOE's consideration. The submission of electronic files is strictly 
voluntary.
(2) Performance-Based Standard
    Mr. Lawrence Stempnik suggested that in addition to water 
consumption, a performance-based requirement, based on the unit's 
capability to expel a certain mass in one flush, be included in the 
testing of water closets. (Lawrence J. Stempnik, No. 2, at 3).
    The current ASME/ANSI standard for water closets (ASME/ANSI 
A112.19.6-1995) includes some performance tests, but they are 
considered by the ASME committee responsible for the standard to be 
inadequate for accurately assessing the ability of a water closet to 
remove solid waste from the bowl and transport it to the drain line. 
The ASME committee responsible for the standard has established a task 
force to develop and refine an effective bulk media removal test for 
inclusion in the next revision of the standard. The Department agrees 
with Mr. Stempnik's emphasis on the importance of producing toilets 
that perform successfully, and supports the continuing efforts by 
industry to develop more effective tests to measure the performance of 
water closets.
(3) Consumer Tampering
    The AWWA commented that toilets should be designed such that water 
consumption cannot be increased through tampering. (AWWA, No. 1, at 3). 
The manufacturers of plumbing products currently have a task group 
investigating adjustability issues. However, EPCA only authorizes DOE 
to regulate requirements to restrict consumer tampering to alter the 
water consumption of covered plumbing products for showerheads. 42 
U.S.C. Sec. 6295(j)(1) Therefore, the Department declines AWWA's 
suggestion to require tamper-proofing of toilets in today's final rule. 
The Department encourages manufacturers to consider development of 
designs which discourage tampering.
(4) Product Listing
    The New York State Department of Environmental Conservation 
commented that a directory or listing of plumbing products conforming 
to the Energy Policy and Conservation Act should be produced. (NYSDEC, 
No. 5, at 1). It believes that such a directory is necessary to aid 
State and local officials in determining which products are in 
conformance, and to help rid the marketplace of non-conforming 
products. AWWA questioned how consumers would be made aware of 
conforming plumbing products (AWWA, Transcript, at 109).
    Currently, listings of complying energy-efficient products (i.e., 
refrigerators, clothes washers, dishwashers, water heaters, etc) are 
compiled by industry and consumer groups such as the ARI, the American 
Council for an Energy Efficient Economy, and Gas Appliance 
Manufacturers Association. DOE believes that similar organizations in 
the plumbing industry could equally provide such listings for complying 
plumbing products. Therefore, the Department declines to develop a 
product directory in today's final rule.

III. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969

    In this rule, the Department codifies statutorily mandated water 
conservation standards and test procedures for faucets, showerheads, 
water closets, and urinals. Implementation of this rule will not result 
in environmental impacts apart from the effects of the water 
conservation standards established by Congress in EPCA and incorporated 
in today's rule. The test procedures for measuring water consumption in 
this rule are mandated by EPCA and are already in general use in the 
industry. The Department has therefore determined that this rule is 
covered under the Categorical Exclusion found at paragraph A.6 of 
appendix A to subpart D, 10 CFR Part 1021, which applies to 
``rulemakings that are strictly procedural,'' and which, therefore, 
have no environmental effect. By this final rule, the Department is 
following the direction of the Energy Policy Act and incorporating by 
reference test procedures that are already being used by industry, 
while adding sampling plans, certification reporting and labeling 
requirements, definitions, and clarifications of ambiguous issues and 
of the existing certification reporting requirements for residential 
appliances. Accordingly, neither an environmental assessment nor an 
environmental impact statement is required.

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

    This regulatory action is not a significant regulatory action under 
Executive Order 12866, ``Regulatory Planning and Review,'' October 4, 
1993. Accordingly, this action was not subject to review under the 
Executive Order by the Office of Information and Regulatory Affairs.

[[Page 13314]]

C. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act, 5 U.S.C. Secs. 601-612, requires 
the preparation of an initial regulatory flexibility analysis for every 
rule which by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
In the NOPR, DOE invited public comment on its conclusion that the 
proposed rule, if promulgated, would not have a significant economic 
impact on a substantial number of small entities. The NOPR presented 
detailed information on the number of small manufacturers of plumbing 
fixtures and fittings that would be affected by the rule, and it 
discussed the statutory basis for standards and test procedures 
incorporated in the rule and steps DOE has taken to minimize the 
economic impact on covered firms. As explained in the NOPR, this rule 
includes water conservation standards that are prescribed by EPCA and 
updated test procedures that EPCA requires DOE to adopt. The test 
procedures which are incorporated in this rule (ASME/ANSI Standards 
A112.18.1M-1996 and A112.19.6-1995) are already in general use in the 
industry. The rule also revises certification and enforcement 
requirements in 10 CFR Part 430 that apply to all manufacturers of 
covered products (see discussion under ``Review Under the Paperwork 
Reduction Act'' in this Supplementary Information section). DOE 
received no public comments that specifically addressed the impact of 
the rule on small businesses.
    DOE certifies that complying with this final rule (excluding the 
cost of compliance with the water conservation standards and test 
procedures directly imposed by EPCA) would not impose significant 
economic costs on a substantial number of small manufacturers.

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

    Executive Order 12612, ``Federalism,'' 52 FR 41685 (October 30, 
1987), requires that regulations, rules, legislation, and any other 
policy actions be reviewed for any substantial direct effect on States, 
on the relationship between the National Government and States, or in 
the distribution of power and responsibilities among various levels of 
government. If there are substantial effects, then the Executive Order 
requires preparation of a federalism assessment to be used in all 
decisions involved in promulgating and implementing a policy action.
    The rule published today will not regulate the States. They will 
primarily affect the manner in which DOE promulgates residential 
appliance, commercial product, and water conservation standards; test 
procedures; and certification requirements, prescribed under the Energy 
Conservation and Policy Act. State regulation in this area is largely 
preempted by the Energy Policy and Conservation Act. The rule published 
today will not alter the distribution of authority and responsibility 
to regulate in this area. Accordingly, DOE has determined that 
preparation of a federalism assessment is unnecessary.

E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference With Constitutionally Protected Property Rights''

    It has been determined pursuant to Executive Order 12630, 
``Governmental Actions and Interference with Constitutionally Protected 
Property Rights,'' 52 FR 8859 (March 18, 1988), that this regulation 
will not result in any takings which might require compensation under 
the Fifth Amendment to the United States Constitution.

F. Review Under the Paperwork Reduction Act

    Today's final rule will revise certification and enforcement 
requirements applicable to manufacturers of covered consumer products. 
Appendix A to Subpart F of part 430, ``Compliance Statement and 
Certification Report,'' was previously approved by OMB and assigned OMB 
Control No. 1910-1400. The final rule will revise this form to cover 
certification of plumbing products; facilitate use of the form by third 
party representatives of covered product manufacturers; and, in an 
attachment, specify the format of the certification report that 
manufacturers currently are required to submit to DOE by 10 CFR part 
430.62(a)(2). OMB has approved the revised ``Compliance Statement and 
Certification Report'' and extended its effectiveness until June 30, 
2000. An agency may not conduct or sponsor a collection of information 
unless the collection displays a currently valid OMB control number. 
(See 5 CFR Sec. 1320.5(b)).
    The final rule will require manufacturers of plumbing products to 
maintain records concerning their determinations of the water 
consumption of faucets, showerheads, water closets and urinals. DOE has 
concluded that this record keeping requirement is necessary for 
implementing and monitoring compliance with the water conservation 
standards, testing and certification requirements for residential and 
commercial faucets, showerheads, water closets and urinals mandated by 
EPCA. The final rule also requires manufacturers to submit initial 
certification reports for basic models of covered faucets, showerheads, 
water closets and urinals within 12 months after the publication of a 
final rule in the Federal Register. The initial certification reports 
will be a one-time submission stating that the manufacturer has 
determined by employing actual testing that the basic model of faucet, 
showerhead, water closet or urinal meets the applicable water 
conservation standard. After the first year, manufacturers of plumbing 
products will have to submit a certification report for each new basic 
model, or to certify compliance with a new or amended standard, before 
the model will be allowed to be distributed in commerce.

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

    With respect to the review of existing regulations and the 
promulgation of new regulations, Section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on 
executive agencies the general duty to adhere to the following 
requirements: (1) eliminate drafting errors and ambiguity; (2) write 
regulations to minimize litigation; and (3) provide a clear legal 
standard for affected conduct rather than a general standard and 
promote simplification and burden reduction. With regard to the review 
required by Section 3(a), Section 3(b) of the Executive Order 
specifically requires that Executive agencies make every reasonable 
effort to ensure that the regulation: (1) clearly specifies the 
preemptive effect, if any; (2) clearly specifies any effect on existing 
Federal law or regulation; (3) provide a clear legal standard for 
affected conduct while promoting simplification and burden reduction; 
(4) specifies the retroactive effect, if any; (5) adequately defines 
key terms; and (6) addresses other important issues affecting clarity 
and general draftsmanship under any guidelines issued by the Attorney 
General. Section 3(c) of the Executive Order requires Executive 
agencies to review regulations in light of applicable standards Section 
3(a) and Section 3(b) to determine whether they are met or it is 
unreasonable to meet one or more of

[[Page 13315]]

them. DOE reviewed today's final rule under the standards of Section 3 
of the Executive Order and determined that, to the extent permitted by 
law, they meet the requirements of those standards.

H. Review Under Unfunded Mandates Reform Act of 1995

    Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded 
Mandates Act'') requires that the Department prepare a budgetary impact 
statement before promulgating a rule that includes a federal mandate 
that may result in expenditure by state, local, and tribal governments, 
in the aggregate, or by the private sector, of $100 million or more in 
any one year. The budgetary impact statement must include: (i) 
identification of the federal law under which the rule is promulgated; 
(ii) a qualitative and quantitative assessment of anticipated costs and 
benefits of the federal mandate and an analysis of the extent to which 
such costs to state, local, and tribal governments may be paid with 
federal financial assistance; (iii) if feasible, estimates of the 
future compliance costs and of any disproportionate budgetary effects 
the mandate has on particular regions, communities, non-federal units 
of government, or sectors of the economy; (iv) if feasible, estimates 
of the effect on the national economy; and (v) a description of the 
Department's prior consultation with elected representatives of state, 
local, and tribal governments and a summary and evaluation of the 
comments and concerns presented.
    The Department has determined that the action proposed today does 
not include a federal mandate that may result in estimated costs of 
$100 million or more to state, local or to tribal governments in the 
aggregate or to the private sector. Therefore, the requirements of 
Sections 203 and 204 of the Unfunded Mandates Act do not apply to this 
action.

I. Review Under the Small Business Regulatory Enforcement Fairness Act 
of 1996

    Prior to the effective date of this regulatory action, set forth 
above, DOE will submit a report to Congress containing the rule and 
other information, as required by 5 U.S.C. 801(a)(1)(A). The report 
will state that the rule is not a ``major rule'' as defined by 5 U.S.C. 
804(2).

List of Subjects in 10 CFR Part 430

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

    Issued in Washington, DC, on March 13, 1998.
Dan W. Reicher,
Assistant Secretary, Energy Efficiency and Renewable Energy.

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

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

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

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

    2. Section 430.2 of Subpart A is amended by revising the 
definitions for ``consumer product,'' and ``energy conservation 
standard,'' adding new paragraphs (17) through (20) in the definition 
of ``basic model,'' and adding new definitions for ``ANSI,'' ``ASME,'' 
``blowout,'' ``electromechanical hydraulic toilet,'' ``estimated annual 
operating cost,'' ``faucet,'' ``flushometer tank,'' ``flushometer 
valve,'' ``low consumption,'' ``showerhead,'' ``urinal,'' ``water 
closet,'' and ``water use'' in alphabetical order, to read as follows:

Subpart A--General Provisions


Sec. 430.2  Definitions.

* * * * *
    ANSI means the American National Standards Institute.
    ASME means the American Society of Mechanical Engineers.
* * * * *
    Basic model * * *
    (17) With respect to faucets, which have the identical flow control 
mechanism attached to or installed within the fixture fittings, or the 
identical water-passage design features that use the same path of water 
in the highest-flow mode.
    (18) With respect to showerheads, which have the identical flow 
control mechanism attached to or installed within the fixture fittings, 
or the identical water-passage design features that use the same path 
of water in the highest-flow mode.
    (19) With respect to water closets, which have hydraulic 
characteristics that are essentially identical, and which do not have 
any differing physical or functional characteristics that affect water 
consumption.
    (20) With respect to urinals, which have hydraulic characteristics 
that are essentially identical, and which do not have any differing 
physical or functional characteristics that affect water consumption.
* * * * *
    Blowout has the meaning given such a term in ASME A112.19.2M-1995. 
(see Sec. 430.22)
* * * * *
    Consumer product means any article (other than an automobile, as 
defined in Section 501(1) of the Motor Vehicle Information and Cost 
Savings Act):
    (1) Of a type--
    (i) Which in operation consumes, or is designed to consume, energy 
or, with respect to showerheads, faucets, water closets, and urinals, 
water; and
    (ii) Which, to any significant extent, is distributed in commerce 
for personal use or consumption by individuals;
    (2) Without regard to whether such article of such type is in fact 
distributed in commerce for personal use or consumption by an 
individual, except that such term includes fluorescent lamp ballasts, 
general service fluorescent lamps, incandescent reflector lamps, 
showerheads, faucets, water closets, and urinals distributed in 
commerce for personal or commercial use or consumption.
* * * * *
    Electromechanical hydraulic toilet means any water closet that 
utilizes electrically operated devices, such as, but not limited to, 
air compressors, pumps, solenoids, motors, or macerators in place of or 
to aid gravity in evacuating waste from the toilet bowl.
    Energy conservation standard means:
    (1) A performance standard which prescribes a minimum level of 
energy efficiency or a maximum quantity of energy use, or, in the case 
of showerheads, faucets, water closets, and urinals, water use, for a 
covered product, determined in accordance with test procedures 
prescribed under Section 323 of EPCA (42 U.S.C. 6293); or
    (2) A design requirement for the products specified in paragraphs 
(6), (7), (8), (10), (15), (16), (17), and (19) of Section 322(a) of 
EPCA (42 U.S.C. 6292(a)); and
    (3) Includes any other requirements which the Secretary may 
prescribe under Section 325(r) of EPCA (42 U.S.C. 6295(r)).
    Estimated annual operating cost means the aggregate retail cost of 
the energy which is likely to be consumed annually, and in the case of 
showerheads, faucets, water closets, and urinals, the aggregate retail 
cost of water and wastewater treatment services likely to be incurred 
annually, in representative use of a consumer

[[Page 13316]]

product, determined in accordance with Section 323 of EPCA (42 U.S.C. 
6293).
* * * * *
    Faucet means a lavatory faucet, kitchen faucet, metering faucet, or 
replacement aerator for a lavatory or kitchen faucet.
* * * * *
    Flushometer tank means a device whose function is defined in 
flushometer valve, but integrated within an accumulator vessel affixed 
and adjacent to the fixture inlet so as to cause an effective 
enlargement of the supply line immediately before the unit.
    Flushometer valve means a valve attached to a pressurized water 
supply pipe and so designed that when actuated, it opens the line for 
direct flow into the fixture at a rate and quantity to properly operate 
the fixture, and then gradually closes to provide trap reseal in the 
fixture in order to avoid water hammer. The pipe to which this device 
is connected is in itself of sufficient size, that when open, will 
allow the device to deliver water at a sufficient rate of flow for 
flushing purposes.
* * * * *
    Low consumption has the meaning given such a term in ASME 
A112.19.2M-1995. (see Sec. 430.22)
* * * * *
    Showerhead means any showerhead (including a hand held showerhead), 
except a safety shower showerhead.
* * * * *
    Urinal means a plumbing fixture which receives only liquid body 
waste and, on demand, conveys the waste through a trap seal into a 
gravity drainage system, except such term does not include fixtures 
designed for installations in prisons.
* * * * *
    Water closet means a plumbing fixture that has a water-containing 
receptor which receives liquid and solid body waste, and upon 
actuation, conveys the waste through an exposed integral trap seal into 
a gravity drainage system, except such term does not include fixtures 
designed for installation in prisons.
* * * * *
    Water use means the quantity of water flowing through a showerhead, 
faucet, water closet, or urinal at point of use, determined in 
accordance with test procedures under Appendices S and T of subpart B 
of this part.
* * * * *
    3. Section 430.22 of subpart B is amended by adding paragraph 
(b)(6) to read as follows:

Subpart B--Test Procedures


Sec. 430.22  Reference Sources.

* * * * *
    (b) * * *
    (6) American Society of Mechanical Engineers (ASME). The ASME 
standards listed in this paragraph may be obtained from the American 
Society of Mechanical Engineers, Service Center, 22 Law Drive, P.O. Box 
2900, Fairfield, NJ 07007.
    1. ASME/ANSI Standard A112.18.1M-1996, ``Plumbing Fixture 
Fittings.''
    2. ASME/ANSI Standard A112.19.6-1995, ``Hydraulic Requirements for 
Water Closets and Urinals.''
* * * * *
    4. Section 430.23 of subpart B is amended by revising the section 
heading and adding new paragraphs (s), (t), (u), and (v), to read as 
follows:


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

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


Sec. 430.24  Units to be tested.

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

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

    (1) The mean of the sample or
    (2) The upper 95 percent confidence limit of the true mean divided 
by 1.05.
    (t) For each basic model \1\ of showerhead, a sample of sufficient 
size shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 95 percent confidence limit of the true mean divided 
by 1.05.
    (u) For each basic model \1\ of water closet, a sample of 
sufficient size shall be tested to ensure that any represented value of 
water consumption of a basic model for which consumers favor lower 
values shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 90 percent confidence limit of the true mean divided 
by 1.1.
    (v) For each basic model \1\ of urinal, a sample of sufficient size 
shall be tested to ensure that any represented value of water 
consumption of a basic model for which consumers favor lower values 
shall be no less than the higher of:
    (1) The mean of the sample or
    (2) The upper 90 percent confidence limit of the true mean divided 
by 1.1.


Sec. 430.27  [Amended]

    6. Section 430.27 of subpart B is amended by:
    a. Adding the phrase ``, or water consumption characteristics (in 
the case of faucets, showerheads, water closets, and urinals) after the 
phrase ``energy consumption characteristics'' in paragraphs: (a)(1), 
(b)(1)(iii), and (l) (first sentence); and
    b. Revising the existing referenced section ``Sec. 430.22'' in 
paragraph (a)(1) to read as ``Sec. 430.23''.
    7. Subpart B of Part 430 is amended by adding Appendix S and 
Appendix T, to read as follows:

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

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

[[Page 13317]]

cycle) and liters per cycle (L/cycle), shall be conducted in 
accordance with the test requirements specified in section 6.5, Flow 
Capacity Test, of the ASME/ANSI Standard A112.18.1M-1996 (see 
Sec. 430.22). Measurements shall be recorded at the resolution of 
the test instrumentation. Calculations shall be rounded off to the 
same number of significant digits as the previous step. The final 
water consumption value shall be rounded to one decimal place for 
non-metered faucets, or two decimal places for metered faucets.
    b. Showerheads--The test conditions to measure the water flow 
rate for showerheads, expressed in gallons per minute (gpm) and 
liters per minute (L/min), shall be conducted in accordance with the 
test requirements specified in section 6.5, Flow Capacity Test, of 
the ASME/ANSI Standard A112.18.1M-1996 (see Sec. 430.22). 
Measurements shall be recorded at the resolution of the test 
instrumentation. Calculations shall be rounded off to the same 
number of significant digits as the previous step. The final water 
consumption value shall be rounded to one decimal place.

Appendix T to Subpart B of Part 430--Uniform Test Method for Measuring 
the Water Consumption of Water Closets and Urinals

    1. Scope: This Appendix covers the test requirements used to 
measure the hydraulic performances of water closets and urinals.
    2. Test Apparatus and General Instructions:
    a. The test apparatus and instructions for testing water closets 
shall conform to the requirements specified in section 7.1.2, Test 
Apparatus and General Requirements, subsections 7.1.2.1, 7.1.2.2, 
and 7.1.2.3 of the ASME/ANSI Standard A112.19.6-1995 (see 
Sec. 430.22). Measurements shall be recorded at the resolution of 
the test instrumentation. Calculations shall be rounded off to the 
same number of significant digits as the previous step. The final 
water consumption value shall be rounded to one decimal place.
    b. The test apparatus and instructions for testing urinals shall 
conform to the requirements specified in section 8.2, Test Apparatus 
and General Requirements, subsections 8.2.1, 8.2.2, and 8.2.3 of the 
ASME/ANSI Standard A112.19.6-1995 (see Sec. 430.22). Measurements 
shall be recorded at the resolution of the test instrumentation. 
Calculations shall be rounded off to the same number of significant 
digits as the previous step. The final water consumption value shall 
be rounded to one decimal place.
    3. Test Measurement:
    a. Water closets--The measurement of the water flush volume for 
water closets, expressed in gallons per flush (gpf) and liters per 
flush (Lpf), shall be conducted in accordance with the test 
requirements specified in section 7.1.6, Water Consumption and 
Hydraulic Characteristics, of the ASME/ANSI Standard A112.19.6-1995 
(see Sec. 430.22).
    b. Urinals--The measurement of water flush volume for urinals, 
expressed in gallons per flush (gpf) and liters per flush (Lpf), 
shall be conducted in accordance with the test requirements 
specified in section 8.5, Water Consumption, of the ASME/ANSI 
Standard A112.19.6-1995 (see Sec. 430.22).

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

Subpart C--Energy and Water Conservation Standards

    9. Section 430.31 is revised to read as follows:


Sec. 430.31  Purpose and scope.

    This subpart contains energy conservation standards and water 
conservation standards (in the case of faucets, showerheads, water 
closets, and urinals) for classes of covered products that are required 
to be administered by the Department of Energy pursuant to the Energy 
Conservation Program for Consumer Products Other Than Automobiles under 
the Energy Policy and Conservation Act, as amended (42 U.S.C. 6291 et 
seq.). Basic models of covered products manufactured before the date on 
which an amended energy conservation standard or water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals) becomes effective (or revisions of such models that are 
manufactured after such date and have the same energy efficiency, 
energy use characteristics, or water use characteristics (in the case 
of faucets, showerheads, water closets, and urinals), that comply with 
the energy conservation standard or water conservation standard (in the 
case of faucets, showerheads, water closets, and urinals) applicable to 
such covered products on the day before such date shall be deemed to 
comply with the amended energy conservation standard or water 
conservation standard (in the case of faucets, showerheads, water 
closets, and urinals).
    10. Section 430.32 of subpart C is amended by revising the section 
heading, revising the introductory paragraph, and adding paragraphs 
(o), (p), (q), and (r), to read as follows:


Sec. 430.32  Energy and water conservation standards and effective 
dates.

    The energy and water (in the case of faucets, showerheads, water 
closets, and urinals) conservation standards for the covered product 
classes are:
* * * * *
    (o) Faucets. The maximum water use allowed for any of the following 
faucets manufactured after January 1, 1994, when measured at a flowing 
water pressure of 60 pounds per square inch (414 kilopascals), shall be 
as follows:

------------------------------------------------------------------------
                                     Maximum flow rate  (gpm (L/min)) or
            Faucet type                     (gal/cycle (L/cycle))       
------------------------------------------------------------------------
Lavatory faucets...................  2.2 gpm (8.3 L/min)1,2             
Lavatory replacement aerators......  2.2 gpm (8.3 L/min)                
Kitchen faucets....................  2.2 gpm (8.3 L/min)                
Kitchen replacement aerators.......  2.2 gpm (8.3 L/min)                
Metering faucets...................  0.25 gal/cycle (0.95 L/cycle)3,4   
------------------------------------------------------------------------
Note:                                                                   
\1\ Sprayheads with independently-controlled orifices and manual        
  controls.                                                             
The maximum flow rate of each orifice that manually turns on or off     
  shall not exceed the maximum flow rate for a lavatory faucet.         
\2\ Sprayheads with collectively controlled orifices and manual         
  controls.                                                             
The maximum flow rate of a sprayhead that manually turns on or off shall
  be the product of (a) the maximum flow rate for a lavatory faucet and 
  (b) the number of component lavatories (rim space of the lavatory in  
  inches (millimeters) divided by 20 inches (508 millimeters)).         
\3\ Sprayheads with independently controlled orifices and metered       
  controls.                                                             
The maximum flow rate of each orifice that delivers a pre-set volume of 
  water before gradually shutting itself off shall not exceed the       
  maximum flow rate for a metering faucet.                              
\4\ Sprayheads with collectively-controlled orifices and metered        
  controls.                                                             
The maximum flow rate of a sprayhead that delivers a pre-set volume of  
  water before gradually shutting itself off shall be the product of (a)
  the maximum flow rate for a metering faucet and (b) the number of     
  component lavatories (rim space of the lavatory in inches             
  (millimeters) divided by 20 inches (508 millimeters)).                

    (p) Showerheads. The maximum water use allowed for any showerheads 
manufactured after January 1, 1994, shall be 2.5 gallons per minute 
(9.5 liters per minute) when measured at a flowing pressure of 80 
pounds per square inch gage (552 kilopascals). Any such showerhead 
shall also meet the requirements of ASME/ANSI Standard A112.18.1M-1996, 
7.4.4(a).
    (q) Water closets. (1) The maximum water use allowed in gallons per 
flush for any of the following water closets manufactured after January 
1, 1994, shall be as follows:

------------------------------------------------------------------------
                                                           Maximum flush
                    Water closet type                       rate  (gpf  
                                                              (Lpf))    
------------------------------------------------------------------------
Gravity tank-type toilets...............................       1.6 (6.0)
Flushometer tank toilets................................       1.6 (6.0)
Electromechanical hydraulic toilets1.6 (6.0)............                
Blowout toilets.........................................      3.5 (13.2)
------------------------------------------------------------------------

    (2) The maximum water use allowed for flushometer valve toilets, 
other than blowout toilets, manufactured after January 1, 1997, shall 
be 1.6 gallons per flush (6.0 liters per flush).
    (r) Urinals. The maximum water use allowed for any urinals 
manufactured

[[Page 13318]]

after January 1, 1994, shall be 1.0 gallons per flush (3.8 liters per 
flush). The maximum water use allowed for a trough-type urinal shall be 
the product of:
    (1) The maximum flow rate for a urinal and
    (2) The length of the trough-type urinal in inches (millimeter) 
divided by 16 inches (406 millimeters).
    11. Section 430.33 of subpart C is revised to read as follow:


Sec. 430.33  Preemption of State regulations.

    Any State regulation providing for any energy conservation 
standard, or water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals), or other requirement with 
respect to the energy efficiency, energy use, or water use (in the case 
of faucets, showerheads, water closets, or urinals) of a covered 
product that is not identical to a Federal standard in effect under 
this subpart is preempted by that standard, except as provided for in 
sections 327 (b) and (c) of the Act.

Subpart D--Petitions to Exempt State Regulation From Preemption; 
Petitions To Withdraw Exemption of State Regulation

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


Sec. 430.40  Purpose and scope.

    (a) This subpart prescribes the procedures to be followed in 
connection with petitions requesting a rule that a State regulation 
prescribing an energy conservation standard, water conservation 
standard (in the case of faucets, showerheads, water closets, and 
urinals), or other requirement respecting energy efficiency, energy 
use, or water use (in the case of faucets, showerheads, water closets, 
and urinals) of a type (or class) of covered product not be preempted.
    (b) This subpart also prescribes the procedures to be followed in 
connection with petitions to withdraw a rule exempting a State 
regulation prescribing an energy conservation standard, water 
conservation standard (in the case of faucets, showerheads, water 
closets, and urinals), or other requirement respecting energy 
efficiency, energy use, or water use (in the case of faucets, 
showerheads, water closets, and urinals) of a type (or class) of 
covered product.
    13. Section 430.41 of Subpart D is revised to read as follows:


Sec. 430.41  Prescriptions of a rule.

    (a) Criteria for exemption from preemption. Upon petition by a 
State which has prescribed an energy conservation standard, water 
conservation standard (in the case of faucets, showerheads, water 
closets, and urinals), or other requirement for a type or class of 
covered equipment for which a Federal energy conservation standard or 
water conservation standard is applicable, the Secretary shall 
prescribe a rule that such standard not be preempted if he determines 
that the State has established by a preponderance of evidence that such 
requirement is needed to meet unusual and compelling State or local 
energy interests or water interests. For the purposes of this section, 
the term ``unusual and compelling State or local energy interests or 
water interests'' means interests which are substantially different in 
nature or magnitude than those prevailing in the U.S. generally, and 
are such that when evaluated within the context of the State's energy 
plan and forecast, or water plan and forecast the costs, benefits, 
burdens, and reliability of energy savings or water savings resulting 
from the State regulation make such regulation preferable or necessary 
when measured against the costs, benefits, burdens, and reliability of 
alternative approaches to energy savings or water savings or 
production, including reliance on reasonably predictable market-induced 
improvements in efficiency of all equipment subject to the State 
regulation. The Secretary may not prescribe such a rule if he finds 
that interested persons have established, by a preponderance of the 
evidence, that the State's regulation will significantly burden 
manufacturing, marketing, distribution, sale or servicing of the 
covered equipment on a national basis. In determining whether to make 
such a finding, the Secretary shall evaluate all relevant factors 
including: the extent to which the State regulation will increase 
manufacturing or distribution costs of manufacturers, distributors, and 
others; the extent to which the State regulation will disadvantage 
smaller manufacturers, distributors, or dealers or lessen competition 
in the sale of the covered product in the State; the extent to which 
the State regulation would cause a burden to manufacturers to redesign 
and produce the covered product type (or class), taking into 
consideration the extent to which the regulation would result in a 
reduction in the current models, or in the projected availability of 
models, that could be shipped on the effective date of the regulation 
to the State and within the U.S., or in the current or projected sales 
volume of the covered product type (or class) in the State and the 
U.S.; and the extent to which the State regulation is likely to 
contribute significantly to a proliferation of State appliance 
efficiency requirements and the cumulative impact such requirements 
would have. The Secretary may not prescribe such a rule if he finds 
that such a rule will result in the unavailability in the State of any 
covered product (or class) of performance characteristics (including 
reliability), features, sizes, capacities, and volumes that are 
substantially the same as those generally available in the State at the 
time of the Secretary's finding. The failure of some classes (or types) 
to meet this criterion shall not affect the Secretary's determination 
of whether to prescribe a rule for other classes (or types).
    (1) Requirements of petition for exemption from preemption. A 
petition from a State for a rule for exemption from preemption shall 
include the information listed in paragraphs (a)(1)(i) through 
(a)(1)(vi) of this section. A petition for a rule and correspondence 
relating to such petition shall be available for public review except 
for confidential or proprietary information submitted in accordance 
with the Department of Energy's Freedom of Information Regulations set 
forth in 10 CFR part 1004:
    (i) The name, address, and telephone number of the petitioner;
    (ii) A copy of the State standard for which a rule exempting such 
standard is sought;
    (iii) A copy of the State's energy plan or water plan and forecast;
    (iv) Specification of each type or class of covered product for 
which a rule exempting a standard is sought;
    (v) Other information, if any, believed to be pertinent by the 
petitioner; and
    (vi) Such other information as the Secretary may require.
    (2) [reserved]
    (b) Criteria for exemption from preemption when energy emergency 
conditions or water emergency conditions (in the case of faucets, 
showerheads, water closets, and urinals) exist within State. Upon 
petition by a State which has prescribed an energy conservation 
standard or water conservation standard (in the case of faucets, 
showerheads, water closets, and urinals) or other requirement for a 
type or class of covered product for which a Federal energy 
conservation standard or water conservation standard is applicable, the 
Secretary may prescribe a rule, effective upon publication in the 
Federal Register, that such State regulation not be preempted if he 
determines that in addition to meeting the requirements of paragraph 
(a) of this section the State has established that: an

[[Page 13319]]

energy emergency condition or water emergency condition exists within 
the State that imperils the health, safety, and welfare of its 
residents because of the inability of the State or utilities within the 
State to provide adequate quantities of gas, electric energy, or water 
to its residents at less than prohibitive costs; and cannot be 
substantially alleviated by the importation of energy or water or the 
use of interconnection agreements; and the State regulation is 
necessary to alleviate substantially such condition.
    (1) Requirements of petition for exemption from preemption when 
energy emergency conditions or water emergency conditions (in the case 
of faucets, showerheads, water closets, and urinals) exist within a 
State. A petition from a State for a rule for exemption from preemption 
when energy emergency conditions or water emergency conditions exist 
within a State shall include the information listed in paragraphs 
(a)(1)(i) through (a)(1)(vi) of this section. A petition shall also 
include the information prescribed in paragraphs (b)(1)(i) through 
(b)(1)(iv) of this section, and shall be available for public review 
except for confidential or proprietary information submitted in 
accordance with the Department of Energy's Freedom of Information 
Regulations set forth in 10 CFR part 1004:
    (i) A description of the energy emergency condition or water 
emergency condition (in the case of faucets, showerheads, water 
closets, and urinals) which exists within the State, including causes 
and impacts.
    (ii) A description of emergency response actions taken by the State 
and utilities within the State to alleviate the emergency condition;
    (iii) An analysis of why the emergency condition cannot be 
alleviated substantially by importation of energy or water or the use 
of interconnection agreements; and
    (iv) An analysis of how the State standard can alleviate 
substantially such emergency condition.
    (2) [reserved]
    (c) Criteria for withdrawal of a rule exempting a State standard. 
Any person subject to a State standard which, by rule, has been 
exempted from Federal preemption and which prescribes an energy 
conservation standard or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals) or other requirement 
for a type or class of a covered product, when the Federal energy 
conservation standard or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals) for such product 
subsequently is amended, may petition the Secretary requesting that the 
exemption rule be withdrawn. The Secretary shall consider such petition 
in accordance with the requirements of paragraph (a) of this section, 
except that the burden shall be on the petitioner to demonstrate that 
the exemption rule received by the State should be withdrawn as a 
result of the amendment to the Federal standard. The Secretary shall 
withdraw such rule if he determines that the petitioner has shown the 
rule should be withdrawn.
    (1) Requirements of petition to withdraw a rule exempting a State 
standard. A petition for a rule to withdraw a rule exempting a State 
standard shall include the information prescribed in paragraphs 
(c)(1)(i) through (c)(1)(vii) of this section, and shall be available 
for public review, except for confidential or proprietary information 
submitted in accordance with the Department of Energy's Freedom of 
Information Regulations set forth in 10 CFR part 1004:
    (i) The name, address and telephone number of the petitioner;
    (ii) A statement of the interest of the petitioner for which a rule 
withdrawing an exemption is sought;
    (iii) A copy of the State standard for which a rule withdrawing an 
exemption is sought;
    (iv) Specification of each type or class of covered product for 
which a rule withdrawing an exemption is sought;
    (v) A discussion of the factors contained in paragraph (a) of this 
section;
    (vi) Such other information, if any, believed to be pertinent by 
the petitioner; and
    (vii) Such other information as the Secretary may require.
    (2) [reserved]


Sec. 430.47  [Amended]

    14. Section 430.47 of subpart D is amended in paragraph (a)(1), by 
revising the phrase ``energy emergency condition'' to read ``energy 
emergency condition or water emergency condition (in the case of 
faucets, showerheads, water closets, and urinals)''.


Sec. 430.49  [Amended]

    15. Section 430.49 of subpart D is amended in paragraph (a), by 
adding the phrase ``, water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals)'' after ``energy 
conservation standard'' in the first sentence.

Subpart E--Small Business Exemptions


Sec. 430.50  [Amended]

    16. Section 430.50 of subpart E is amended by adding the phrase 
``or water conservation standards (in the case of faucets, showerheads, 
water closets, and urinals).'' after ``energy conservation standards'' 
in paragraphs (a) and (b).

Subpart F--Certification and Enforcement

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


Sec. 430.60  Purpose and scope.

    This subpart sets forth the procedures to be followed for 
certification and enforcement testing to determine whether a basic 
model of a covered product complies with the applicable energy 
conservation standard or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals) set forth in subpart 
C of this part. Energy conservation standards and water conservation 
standards (in the case of faucets, showerheads, water closets, and 
urinals) include minimum levels of efficiency and maximum levels of 
consumption (also referred to as performance standards), and 
prescriptive energy design requirements (also referred to as design 
standards).


Sec. 430.61  [Amended]

    18. Section 430.61 of subpart F is amended in paragraph (a)(4), by 
adding the phrase ``or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals)'' after the words 
``energy efficiency standard'' in the first sentence.
    19. Section 430.62 of subpart F is revised as follows:


Sec. 430.62  Submission of data.

    (a) Certification. (1) Except as provided in paragraph (a)(2) of 
this section, each manufacturer or private labeler before distributing 
in commerce any basic model of a covered product subject to the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) set 
forth in subpart C of this part shall certify by means of a compliance 
statement and a certification report that each basic model(s) meets the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) as 
prescribed in section 325 of the Act. The compliance statement, signed 
by the

[[Page 13320]]

company official submitting the statement, and the certification 
report(s) shall be sent by certified mail to: Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Office of Codes and 
Standards, Forrestal Building, 1000 Independence Avenue, SW, 
Washington, DC 20585-0121.
    (2) Each manufacturer or private labeler of a basic model of a 
covered clothes washer, clothes dryer, dishwasher, faucet, showerhead, 
water closet, or urinal shall file a compliance statement and a 
certification report to DOE before [date 1 year after publication of 
the Final Rule].
    (3) The compliance statement shall include all information 
specified in the format set forth in appendix A of this subpart and 
shall certify that:
    (i) The basic model(s) complies with the applicable energy 
conservation standard or water conservation standard (in the case of 
faucets, showerheads, water closets, and urinals);
    (ii) All required testing has been conducted in conformance with 
the applicable test requirements prescribed in subpart B of this part;
    (iii) All information reported in the certification report(s) is 
true, accurate, and complete; and
    (iv) The manufacturer or private labeler is aware of the penalties 
associated with violations of the Act, the regulations thereunder, and 
18 U.S.C. 1001 which prohibits knowingly making false statements to the 
Federal Government.
    (4) A certification report for all basic models of a covered 
product (a suggested format is set forth in appendix A of this subpart) 
shall be submitted to DOE. The certification report shall include for 
each basic model the product type, product class (as denoted in 
Sec. 430.32), manufacturer's name, private labeler's name(s) (if 
applicable), the manufacturer's model number(s), and for:
    (i) Central air conditioners, the seasonal energy efficiency ratio.
    (ii) Central air conditioning heat pumps, the seasonal energy 
efficiency ratio and heating seasonal performance factor.
    (iii) Clothes washers, the energy factor in ft\3\/kWh/cycle and 
capacity in ft\3\.
    (iv) Clothes dryers, the energy factor in lbs/kWh, capacity in 
ft\3\, and voltage.
    (v) Direct heating equipment, the annual fuel utilization 
efficiency in percent and capacity in Btu/hour.
    (vi) Dishwashers, the energy factor in cycles/kWh and exterior 
width in inches.
    (vii) Faucets, the maximum water use in gpm (L/min) or gal/cycle 
(L/cycle) for each faucet; or the maximum water use in gpm (L/min) or 
gal/cycle (L/cycle) for each flow control mechanism, with a listing of 
accompanied faucets by manufacturer's model numbers.
    (viii) Furnaces, the annual fuel utilization efficiency in percent.
    (ix) General service fluorescent lamps, the testing laboratory's 
National Voluntary Laboratory Accreditation Program (NVLAP) 
identification number or other NVLAP-approved accreditation 
identification, production date codes (and accompanying decoding 
scheme), the 12-month average lamp efficacy in lumens per watt, lamp 
wattage, and the 12-month average Color Rendering Index.
    (x) Incandescent reflector lamps, the laboratory's National 
Voluntary Accreditation Program (NVLAP) identification number or other 
NVLAP-approved accreditation identification, production date codes (and 
accompanying decoding scheme), the 12-month average lamp efficacy in 
lumens per watt, and lamp wattage.
    (xi) Pool heaters, the thermal efficiency in percent.
    (xii) Refrigerators, refrigerator-freezers, and freezers, the 
annual energy use in kWh/yr and total adjusted volume in ft\3\.
    (xiii) Room air conditioners, the energy efficiency ratio and 
capacity in Btu/hour.
    (xiv) Showerheads, the maximum water use in gpm (L/min) with a 
listing of accompanied showerheads by manufacturer's model numbers.
    (xv) Urinals, the maximum water use in gpf (Lpf).
    (xvi) Water closets, the maximum water use in gpf (Lpf).
    (xvii) Water heaters, the energy factor and rated storage volume in 
gallons.
    (5) Copies of reports to the Federal Trade Commission which include 
the information specified in paragraph (a)(4) could serve in lieu of 
the certification report.
    (b) Model Modifications. (1) Any change to a basic model which 
affects energy consumption or water consumption (in the case of 
faucets, showerheads, water closets, and urinals) constitutes the 
addition of a new basic model. If such change reduces consumption, the 
new model shall be considered in compliance with the standard without 
any additional testing. If, however, such change increases consumption 
while still meeting the standard, all information required by paragraph 
(a)(4) of this section for the new basic model must be submitted, by 
certified mail, to: Department of Energy, Office of Energy Efficiency 
and Renewable Energy, Office of Codes and Standards, Forrestal 
Building, 1000 Independence Avenue, SW, Washington, DC 20585-0121.
    (2) Prior to or concurrent with the distribution of a new model of 
general service fluorescent lamp or incandescent reflector lamp, each 
manufacturer and private labeler shall submit a statement signed by a 
company official stating how the manufacturer or private labeler 
determined that the lamp meets or exceeds the energy conservation 
standards, including a description of any testing or analysis the 
manufacturer or private labeler performed. This statement shall also 
list the model number or descriptor, lamp wattage and date of 
commencement of manufacture. Manufacturers and private labelers of 
general service fluorescent lamps and incandescent reflector lamps 
shall submit the certification report required by paragraph (a)(4) of 
this section within one year after the date manufacture of that new 
model commences.
    (c) Discontinued model. When production of a basic model has ceased 
and it is no longer being distributed, this shall be reported, by 
certified mail, to: Department of Energy, Office of Energy Efficiency 
and Renewable Energy, Office of Codes and Standards, Forrestal 
Building, 1000 Independence Avenue, SW, Washington, DC 20585-0121. For 
each basic model, the report shall include: product type, product 
class, the manufacturer's name, the private labeler name(s), if 
applicable, and the manufacturer's model number. If the reporting of 
discontinued models coincides with the submittal of a certification 
report, such information can be included in the certification report.
    (d) Maintenance of records. The manufacturer or private labeler of 
any covered product subject to any of the energy performance standards, 
water performance standards (in the case of faucets, showerheads, water 
closets, and urinals), or procedures prescribed in this part shall 
establish, maintain, and retain the records of the underlying test data 
for all certification testing. Such records shall be organized and 
indexed in a fashion which makes them readily accessible for review by 
DOE upon request. The records shall include the supporting test data 
associated with tests performed on any test units to satisfy the 
requirements of this subpart. The records shall be retained by the 
manufacturer (private labeler) for a period of two years from the date 
that production of the applicable model has ceased.
    (e) Third party representation. A manufacturer or private labeler 
may elect to use a third party to submit the

[[Page 13321]]

certification report to DOE (for example a trade association or other 
authorized representative). Such certification reports shall include 
all the information specified in paragraph (a)(4) of this section. 
Third parties submitting certification reports shall include the names 
of the manufacturers or private labelers who authorized the submittal 
of the certification reports to DOE on their behalf. The third party 
representative also may submit discontinued model information on behalf 
of an authorizing manufacturer.


Sec. 430.63  [Amended]

    20. Section 430.63 of subpart F is amended in paragraph (a), by 
adding the phrase ``or water performance standard (in the case of 
faucets, showerheads, water closets, and urinals)'' after ``energy 
performance standard'' and revising ``Sec. 430.23'' to read 
``Sec. 430.24''.
    21. Section 430.70 of subpart F is amended by revising paragraphs 
(a)(1) introductory text, (a)(3) and (a)(6)(i), to read as follows:


Sec. 430.70  Enforcement.

    (a) Performance standard--(1) Test notice. Upon receiving 
information in writing concerning the energy performance or water 
performance (in the case of faucets, showerheads, water closets, and 
urinals) of a particular covered product of a particular manufacturer 
or private labeler which indicates that the covered product may not be 
in compliance with the applicable energy performance standard or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals), the Secretary may conduct testing of that 
covered product under this subpart by means of a test notice addressed 
to the manufacturer in accordance with the following requirements:
* * * * *
    (3) Sampling. The determination that a manufacturer's basic model 
complies with the applicable energy performance standard or water 
performance standard (in the case of faucets, showerheads, water 
closets, and urinals) shall be based on the testing conducted in 
accordance with the statistical sampling procedures set forth in 
appendix B of this subpart and the test procedures set forth in subpart 
B of this part.
* * * * *
    (6) Testing at manufacturer's option. (i) If a manufacturer's basic 
model is determined to be in noncompliance with the applicable energy 
performance standard or water performance standard (in the case of 
faucets, showerheads, water closets, and urinals) at the conclusion of 
DOE testing in accordance with the double sampling plan specified in 
appendix B of this subpart, the manufacturer may request that DOE 
conduct additional testing of the model according to procedures set 
forth in appendix B of this subpart.
* * * * *


Sec. 430.73  [Amended]

    22. Section 430.73 of subpart F is amended by adding the phrase 
``or water conservation standard (in the case of faucets, showerheads, 
water closets, and urinals)'' after ``energy conservation standard'' in 
the introductory paragraph.
    23. Appendix A to subpart F of Part 430 is revised to read as 
follows:

Appendix A To Subpart F of Part 430--Compliance Statement and 
Certification Report

COMPLIANCE STATEMENT

Product:---------------------------------------------------------------
Manufacturer's or Private Labeler's Name and Address:
----------------------------------------------------------------------

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

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

    This compliance statement and all certification reports 
submitted are in accordance with 10 CFR Part 430 (Energy or Water 
Conservation Program for Consumer Products) and the Energy Policy 
and Conservation Act, as amended. The compliance statement is signed 
by a responsible official of the above named company. The basic 
model(s) listed in certification reports comply with the applicable 
energy conservation standard or water (in the case of faucets, 
showerheads, water closets, and urinals) conservation standard. All 
testing on which the certification reports are based was conducted 
in conformance with applicable test requirements prescribed in 10 
CFR part 430 subpart B. All information reported in the 
certification report(s) is true, accurate, and complete. The company 
is aware of the penalties associated with violations of the Act, the 
regulations thereunder, and is also aware of the provisions 
contained in 18 U.S.C. 1001, which prohibits knowingly making false 
statements to the Federal Government.
Name of Company Official:----------------------------------------------
Signature:-------------------------------------------------------------
Title:-----------------------------------------------------------------
Firm or Organization:--------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------
Date:------------------------------------------------------------------

Third Party Representation (if applicable)

    For certification reports prepared and submitted by a third 
party organization under the provisions of Sec. 430.62 of 10 CFR 
part 430, the company official who authorized said third party 
representation is:

Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

    The third party organization submitting the certification report 
on behalf of the company is:

Third Party Organization:----------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

CERTIFICATION REPORT

Date:------------------------------------------------------------------
Product Type:----------------------------------------------------------
Product Class:---------------------------------------------------------
Manufacturer:----------------------------------------------------------
Private Labeler (if applicable):---------------------------------------
Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Address:---------------------------------------------------------------
Telephone Number:------------------------------------------------------
Facsimile Number:------------------------------------------------------

    For Existing, New, or Modified Models \1\:
---------------------------------------------------------------------------

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

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

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

    24. Appendix B to Subpart F of Part 430 is revised as follows:

Appendix B To Subpart F of Part 430--Sampling Plan For Enforcement 
Testing

Double Sampling

    Step 1. The first sample size (n1) must be four or 
more units.
    Step 2. Compute the mean (x1) of the measured energy 
performance or water performance (in the case of faucets, 
showerheads, water closets, and urinals) of the n1 units 
in the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.010

 where (x1) is the measured energy efficiency, energy or 
water (in the case of faucets, showerheads, water closets, and 
urinals) consumption of unit I.
    Step 3. Compute the standard deviation (s1) of the 
measured energy or water performance of the (n1) units in 
the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.011

    Step 4. Compute the standard error (SX1) of 
the measured energy or water performance of the n1 units 
in the first sample as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.012

    Step 5. Compute the upper control limit (UCL1) and 
lower control limit (LCL1) for the mean of the first 
sample using the applicable DOE energy or water performance standard 
(EPS) as the desired mean and a probability level of 95 percent 
(two-tailed test) as follows:

[[Page 13322]]

[GRAPHIC] [TIFF OMITTED] TR18MR98.013


[GRAPHIC] [TIFF OMITTED] TR18MR98.014

where t is a statistic based on a 95 percent two-tailed probability 
level and a sample size of n1.
    Step 6(a). For an Energy Efficiency Standard, compare the mean 
of the first sample (x1) with the upper and lower control 
limits (UCL1 and LCL1) to determine one of the 
following:
    (1) If the mean of the first sample is below the lower control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (2) If the mean of the first sample is equal to or greater than 
the upper control limit, then the basic model is in compliance and 
testing is at an end. (Do not go on to any of the steps below.)
    (3) If the sample mean is equal to or greater than the lower 
control limit but less than the upper control limit, then no 
determination of compliance or noncompliance can be made and a 
second sample size is determined by Step 7(a).
    Step 6(b). For an Energy or Water Consumption Standard, compare 
the mean of the first sample (x1) with the upper and 
lower control limits (UCL1 and LCL1) to 
determine one of the following:
    (1) If the mean of the first sample is above the upper control 
limit, then the basic model is in noncompliance and testing is at an 
end. (Do not go on to any of the steps below.)
    (2) If the mean of the first sample is equal to or less than the 
lower control limit, then the basic model is in compliance and 
testing is at an end. (Do not go on to any of the steps below.)
    (3) If the sample mean is equal to or less than the upper 
control limit but greater than the lower control limit, then no 
determination of compliance or noncompliance can be made and a 
second sample size is determined by Step 7(b).
    Step 7(a). For an Energy Efficiency Standard, determine the 
second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.015

    where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy efficiency standard and 95 percent of the 
standard, where 95 percent of the standard is taken as the lower 
control limit. This procedure yields a sufficient combined sample 
size (n1+n2) to give an estimated 97.5 percent 
probability of obtaining a determination of compliance when the true 
mean efficiency is equal to the applicable standard. Given the 
solution value of n2, determine one of the following:
    (1) If the value of n2 is less than or equal to zero 
and if the mean energy efficiency of the first sample 
(x1) is either equal to or greater than the lower control 
limit (LCL1) or equal to or greater than 95 percent of 
the applicable energy efficiency standard (EES), whichever is 
greater, i.e., if n2  0 and x1 
 max (LCL1, 0.95 EES), the basic model is in 
compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero 
and the mean energy efficiency of the first sample (x1) 
is less than the lower control limit (LCL1) or less than 
95 percent of the applicable energy efficiency standard (EES), 
whichever is greater, i.e., if n2  0 and 
x1  max (LCL1, 0.95 EES), the basic 
model is in noncompliance and testing is at an end.
    (3) If the value of n2 is greater than zero, then 
value of the second sample size is determined to be the smallest 
integer equal to or greater than the solution value of n2 
for equation (6a). If the value of n2 so calculated is 
greater than 20-n1, set n2 equal to 
20-n1.
    Step 7(b). For an Energy or Water Consumption Standard, 
determine the second sample size (n2) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.016

 where s1 and t have the values used in Steps 4 and 5, 
respectively. The term ``0.05 EPS'' is the difference between the 
applicable energy or water consumption standard and 105 percent of 
the standard, where 105 percent of the standard is taken as the 
upper control limit. This procedure yields a sufficient combined 
sample size (n1+n2) to give an estimated 97.5 
percent probability of obtaining a determination of compliance when 
the true mean consumption is equal to the applicable standard. Given 
the solution value of n2, determine one of the following:
    (1) If the value of n2 is less than or equal to zero 
and if the mean energy or water consumption of the first sample 
(x1) is either equal to or less than the upper control 
limit (UCL1) or equal to or less than 105 percent of the 
applicable energy or water performance standard (EPS), whichever is 
less, i.e., if n2  0 and x1 
 min (UCL1, 1.05 EPS), the basic model is in 
compliance and testing is at an end.
    (2) If the value of n2 is less than or equal to zero 
and the mean energy or water consumption of the first sample 
(x1) is greater than the upper control limit 
(UCL1) or more than 105 percent of the applicable energy 
or water performance standard (EPS), whichever is less, i.e., if 
n2  0 and x1 > min 
(UCL1, 1.05 EPS), the basic model is in noncompliance and 
testing is at an end.
    (3) If the value of n2 is greater than zero, then the 
value of the second sample size is determined to be the smallest 
integer equal to or greater than the solution value of n2 
for equation (6b). If the value of n2 so calculated is 
greater than 20-n1, set n2 equal to 
20-n1.
    Step 8. Compute the combined mean (x2) of the 
measured energy or water performance of the n1 and 
n2 units of the combined first and second samples as 
follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.017

    Step 9. Compute the standard error (Sx1) of the 
measured energy or water performance of the n1 and 
n2 units in the combined first and second samples as 
follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.018

    Note: s1 is the value obtained in Step 3.

    Step 10(a). For an Energy Efficiency Standard, compute the lower 
control limit (LCL2) for the mean of the combined first 
and second samples using the DOE energy efficiency standard (EES) as 
the desired mean and a one-tailed probability level of 97.5 percent 
(equivalent to the two-tailed probability level of 95 percent used 
in Step 5) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.019

where the t-statistic has the value obtained in Step 5.
    Step 10(b). For an Energy or Water Consumption Standard, compute 
the upper control limit (UCL2) for the mean of the 
combined first and second samples using the DOE energy or water 
performance standard (EPS) as the desired mean and a one-tailed 
probability level of 102.5 percent (equivalent to the two-tailed 
probability level of 95 percent used in Step 5) as follows:
[GRAPHIC] [TIFF OMITTED] TR18MR98.020

where the t-statistic has the value obtained in Step 5.
    Step 11(a). For an Energy Efficiency Standard, compare the 
combined sample mean (x2) to the lower control limit 
(LCL2) to find one of the following:
    (1) If the mean of the combined sample (x2) is less 
than the lower control limit (LCL2) or 95 percent of the 
applicable energy efficiency standard (EES), whichever is greater, 
i.e., if x2 < 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.

Manufacturer-Option Testing

    If a determination of non-compliance is made in Steps 6, 7 or 
11, the manufacturer may request that additional testing be 
conducted, in accordance with the following procedures.
    Step A. The manufacturer requests that an additional number, 
n3, of units be tested,

[[Page 13323]]

with n3 chosen such that 
n1+n2+n3 does not exceed 20.
    Step B. Compute the mean energy or water performance, standard 
error, and lower or upper control limit of the new combined sample 
in accordance with the procedures prescribed in Steps 8, 9, and 10, 
above.
    Step C. Compare the mean performance of the new combined sample 
to the revised lower or upper control limit to determine one of the 
following:
    a.1. For an Energy Efficiency Standard, if the new combined 
sample mean is equal to or greater than the lower control limit or 
95 percent of the applicable energy efficiency standard, whichever 
is greater, the basic model is in compliance and testing is at an 
end.
    a.2. For an Energy or Water Consumption Standard, if the new 
combined sample mean is equal to or less than the upper control 
limit or 105 percent of the applicable energy or water consumption 
standard, whichever is less, the basic model is in compliance and 
testing is at an end.
    b.1. For an Energy Efficiency Standard, if the new combined 
sample mean is less than the lower control limit or 95 percent of 
the applicable energy efficiency standard, whichever, is greater, 
and the value of n1+n2+n3 is less 
than 20, the manufacturer may request that additional units be 
tested. The total of all units tested may not exceed 20. Steps A, B, 
and C are then repeated.
    b.2. For an Energy or Water Consumption Standard, if the new 
combined sample mean is greater than the upper control limit or 105 
percent of the applicable energy or water consumption standard, 
whichever is less, and the value of 
n1+n2+n3 is less than 20, the 
manufacturer may request that additional units be tested. The total 
of all units tested may not exceed 20. Steps A, B, and C are then 
repeated.
    c. Otherwise, the basic model is determined to be in 
noncompliance.

[FR Doc. 98-6997 Filed 3-17-98; 8:45 am]
BILLING CODE 6450-01-P