SM
EPA
WaterSense
WaterSenseฎ Product Certification System
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WaterSense Product Certification System
Table of Contents
1.0 Introduction	1
2.0 Effective Date	2
3.0 Technical Requirements	2
3.1	Scope	2
3.2	References and Definitions	3
4.0 The Accreditation Body	4
4.1	Requirements	4
4.2	Application	4
5.0 The Product Certifying Body	4
5.1.	Requirements	4
5.2.	Accreditation	5
5.3.	Licensing	6
5.4 Testing and Evaluation Resources	8
6.0 Product Certification	10
6.1	Application	10
6.2	Initial Production Inspection and Product Testing	11
6.3	Authorization to Use the WaterSense Label	13
6.4	Extending a Certification	14
6.5	Reporting WaterSense Labeled Products to EPA	14
6.6	Surveillance	14
6.7	Misuse of the Certification or WaterSense Label	16
6.8	Suspension of the Use of the WaterSense Label on Products	17
6.9	Withdrawal of the WaterSense Label From Products	17
7.0 Amendments, Modifications, and Revisions	17
8.0 For More Information	18
Appendix A: Example Annual Market Surveillance Sampling Scheme	21
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1.0 Introduction
WaterSense, a partnership program sponsored by the U.S. Environmental Protection Agency
(EPA), seeks to protect the future of our nation's water supply by offering people a simple way
to use less water with water-efficient products, new homes, and services. To achieve the
mission of the WaterSense program, EPA establishes partnerships with interested stakeholders
such as product manufacturers, retailers, and water utilities. EPA provides and maintains the
WaterSense brand and develops national specifications for water-efficient products and
programs.
EPA requires all products bearing the WaterSense label to be assessed for conformance to the
relevant WaterSense product specification by an accredited, independent, third-party product
certifying body. EPA will license accredited product certifying bodies to certify that products
conform to applicable specifications and to authorize the use of the WaterSense label in
conjunction with the certified product.
The international criteria for the accreditation of product certifying bodies operating product
certification programs for tangible products, processes, and services are detailed in International
Organization for Standardization/International Electrotechnical Commission (ISO/IEC) Guide 65,
General requirements for bodies operating product certification systems and the International
Accreditation Forum (IAF) Guidance on the Application of ISO/IEC Guide 65.
This WaterSense Product Certification System (product certification system) specifies the
minimum requirements that EPA-licensed product certifying bodies (licensed certifying bodies)
shall observe when operating third-party certifications of product conformance to WaterSense
product specifications and authorizing the use of the WaterSense label. It provides specific
requirements in the application of ISO/IEC Guide 65 in order to satisfy the requirements implicit
in the certification of products for WaterSense and provides the basis for consistent application
of this product certification system by licensed certifying bodies.
This document, with respect to the certification and labeling of products for WaterSense, shall
be read in conjunction with ISO/IEC Guide 65 and IAF Guidance on the Application of ISO/IEC
Guide 65.
The requirements of this product certification system are applicable to EPA-approved
accreditation bodies (approved accreditation bodies), licensed certifying bodies, and the
manufacturers that are obtaining product certification. Figure 1 (at the end of this document)
portrays the key elements of this product certification process and the relationships between
EPA, the manufacturer, the licensed certifying body, and the accreditation organization.
Certification by a licensed certifying body is not a statement that the licensed certifying body
guarantees the efficiency and performance of a WaterSense labeled product. It is also not a
guarantee that all of the aspects of a relevant WaterSense product specification are being met
or will continue to be met at all times. The certification and labeling of a product for WaterSense
is a statement that a product has been demonstrated to conform to the relevant WaterSense
product specification, and that the validation and verification of conformance to the WaterSense
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product specification has been evaluated and determined to meet the necessary requirements.
It is also a statement of the product manufacturer's commitment to:
Manufacture water-efficient products in accordance with relevant WaterSense product
specifications.
Comply with requirements of the Manufacturer Partnership Agreement, WaterSense
Program Guidelines, and WaterSense Program Mark Guidelines.
2.0 Effective Date
Version 2.0 of this product certification system shall be effective on September 29, 2011.
Certifying bodies currently licensed by EPA to certify products in accordance with Version 1.0 of
this product certification system shall begin complying with Version 2.0 of this product
certification system by no later than September 29, 2012. EPA will hold in full force and effect
the existing licensing agreement between the certifying body and EPA; however, such licensed
certifying bodies shall obtain accreditation to Version 2.0 of this product certification system
from an approved accreditation body within one year of the effective date.
After the effective date, any new product certifying bodies shall obtain accreditation to Version
2.0 of this product certification system and become licensed by EPA to certify products for the
WaterSense program. Upon accreditation in accordance with Version 2.0 of this product
certification system, certifying bodies shall email a copy of the accreditation certificate to EPA at
watersense@epa.gov.
3.0	Technical Requirements
3.1	Scope
This product certification system applies to the certification of product conformance to the
technical and labeling requirements of relevant WaterSense product specifications and includes
all processes and services used to make a final product.
EPA develops WaterSense product specifications for various products or product categories.
Specifications detail the attributes products are required to have in order to bear the
WaterSense label. Current WaterSense product specifications are available in the compendium
of WaterSense product and program specifications, found on the WaterSense website at
http://www.epa.gov/WaterSense/partners/product program specs.html. EPA may modify the
compendium as necessary to incorporate any additional or revised WaterSense product
specifications, as well as any technical clarifications issued for existing WaterSense product
specifications.
This product certification system, product specifications, technical clarifications, the WaterSense
Program Guidelines, and the WaterSense Program Mark Guidelines provide the purpose and
the minimum requirements for certification by a licensed certifying body.
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3.2 References and Definitions
The following referenced documents are indispensable for the application of this product
certification system. Definitions within these documents are included by reference. Undated
references indicate that the latest edition of the referenced document applies.
WaterSense product specifications and technical clarifications developed and
maintained by EPA and contained in the online compendium.
WaterSense Program Guidelines developed and maintained by EPA.
Manufacturer Partnership Agreement between EPA and the manufacturer of
WaterSense labeled products.
Retailer/Distributor Partnership Agreement between EPA and the retailer or distributor of
WaterSense labeled products that are privately labeled, as described in the WaterSense
Program Guidelines.
WaterSense Program Mark Guidelines developed and maintained by EPA.
Response to Public Comments Received on June 2011 WaterSense Draft Revised
Product Certification System, September 29, 2011 developed by EPA. Note this
document may be useful for interpreting requirements contained in this product
certification system.
ISO/I EC Guide 65, General requirements for bodies operating product certification
systems. Note: This reference will be superseded by ISO/I EC 17065 once published.
I SO/I EC 17000, Conformity assessment-Vocabulary and general principles.
ISO/I EC 17011, Conformity assessment-General requirements for accreditation bodies
accrediting conformity assessment bodies.
ISO/I EC 17025, General requirements for the competence of calibration and testing
laboratories.
I SO/I EC 17043, Conformity assessment-General requirements for proficiency testing.
IAF Guidance on the Application of ISO/I EC Guide 65.
Other definitions applicable to this product certification system include:
Independent Testing Laboratory: A laboratory independent of manufacturing interests
that has been recognized by the licensed certifying body to test specified categories of
products and issue test reports.
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Supervised Manufacturer's Testing Laboratory (SMTL): A manufacturer's laboratory
being used by the licensed certifying body to conduct agreed upon testing within
categories of products for which the manufacturer has design and production
responsibility, generally with licensed certifying body supervision of tests and quality
processes. All product testing done as part of the product's certification is supervised by
a competent member of the licensed certifying body's staff. Supervision includes a
review and auditing of the laboratory procedures, including periodic (but not necessarily
100 percent) witnessing of product testing.
Witnessed Manufacturer's Testing Laboratory (WMTL): A manufacturer's laboratory
being used for 100 percent witnessed testing by the licensed certifying body. All product
testing done as part of the product's certification is directly witnessed by a competent
member of the licensed certifying body's staff.
4.0	The Accreditation Body
4.1	Requirements
Accreditation of product certifying bodies in accordance with this product certification system
shall be offered by a WaterSense-approved, U.S.-domiciled accreditation body that:
Operates in accordance with the requirements of ISO/I EC 17011, General requirements
for accreditation bodies accrediting conformity assessment bodies.
Offers accreditation services to ISO/I EC Guide 65 and the IAF Guidance on the
Application of ISO/I EC Guide 65.
Is an IAF Multilateral Recognition Agreement (MLA) signatory for products.
Has procedures for recognizing and accepting accreditations for licensed certifying
bodies previously accredited by another EPA-approved accreditation body. This shall
include a process for disclosing these procedures and associated costs to certifying
bodies at the time of application or upon any subsequent changes to the procedures.
4.2	Application
Accreditation bodies intending to accredit product certifying bodies for WaterSense shall apply
to EPA for approval via an application letter. The applicant shall demonstrate in its application
that it has met the criteria outlined in Section 4.1 and shall provide proof of its IAF MLA for
products. EPA will enter into a Memorandum of Understanding (MOU) with the approved
accreditation body, which will describe the roles and responsibilities of both parties.
5.0 The Product Certifying Body
5.1. Requirements
Certification of products in accordance with this product certification system shall be offered by
a certifying body that:
Is accredited and licensed in accordance with Sections 5.2 and 5.3, respectively.
Has policies and procedures in place to comply with the evaluation resources
requirements in accordance with Section 5.4.
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Is responsible for the impartiality of its certification activities and does not allow
commercial, financial, or other pressures to compromise its impartiality.
Identifies risks to its impartiality on an ongoing basis and demonstrates how it eliminates
or minimizes such risks to an acceptable level.
Does not design, manufacture, install, distribute, maintain, or act as an advocate for the
certified product in the marketplace, or provide consultancy to its clients related to the
products it certifies.1
5.2. Accreditation
Product certifying bodies shall be accredited in accordance with ISO/I EC Guide 65 and IAF
Guidance on the Application of ISO/I EC Guide 65 to operate this product certification system
and certify products to the relevant WaterSense product specifications contained in the
compendium posted online.
The accreditation shall be issued by an approved accreditation body. A list of approved
accreditation bodies that are authorized to provide accreditation services in accordance with this
product certification system is available on the WaterSense website.
Product certifying bodies can seek accreditation for any or all of the WaterSense product
specifications contained in the online compendium. The product certifying body shall have listed
in its scope of accreditation the specific WaterSense product specifications relevant to the
products it intends to certify. The licensed certifying body is only required to update its scope of
accreditation to include a revised specification for a specific product category when major
changes to the test methods identified in the relevant WaterSense product specification are
made, as indicated by EPA.
In the event an accreditation body loses EPA approval to accredit product certifying bodies for
WaterSense, EPA will notify the affected licensed certifying bodies and will provide them with a
transition period of one year (from the termination date of the approval of its accreditation body)
to seek and obtain accreditation by another currently approved accreditation body and to
reapply to EPA to certify products for WaterSense. After this transition period, if a licensed
certifying body does not obtain accreditation by an approved accreditation body and reapply to
EPA for licensure, EPA may terminate the certifying body's licensing agreement.
The licensed certifying body shall have procedures in place to accept the certification for a
manufacturer's products that were previously certified by another EPA licensed certifying body.
This should generally include the acceptance of all data and information generated from the
certification, so as to reduce or eliminate requirements for product reevaluation. This
acceptance is contingent upon the manufacturer's good standing with its previous licensed
certifying body and its licensed certifying body's loss of accreditation as a result of its
accreditation body losing its status as an EPA approved accreditation body.
1 This requirement also applies to any part of the licensed certifying body's same legal entity and any
entities under the licensed certifying body's control.
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5.3. Licensing
The product certifying body shall sign a licensing agreement with EPA after receiving
accreditation to certify and label products for WaterSense but prior to issuing any authorization
to use the WaterSense label. This shall include a separate licensing agreement amendment
identifying each product specification for which it is accredited and is seeking licensure to
certify. This licensing agreement shall provide the conditions for authorizing the use of the
WaterSense label to manufacturers of certified products.
As part of the responsibilities for certifying products and authorizing the use of the
WaterSense label, the licensed certifying body shall allow EPA or its agents to accompany the
approved accreditation body on any routine or follow-up assessments of the licensed certifying
body's accreditation, including any testing laboratories, as it relates to the WaterSense
program.
EPA reserves the right to terminate the licensing agreement for any certifying body that does not
maintain an active accreditation for the relevant product category as outlined in this product
certification system.
5.3.1 Transitional Approval
As a part of the process for obtaining accreditation to certify specific products for the
WaterSense program, interested product certifying bodies may seek transitional approval and
licensing from EPA if they wish to certify products to the relevant WaterSense product
specifications. EPA will offer this transitional approval initially as final product specifications are
released and prior to the product certifying body's ability to obtain accreditation and the
appropriate scope extension to certify the relevant products for WaterSense, as required in
Section 5.2 of this product certification system.
5.3.1.1 Transitional Approval Eligibility
In order to be eligible to certify products under this transitional approval process, product
certifying bodies shall:
Be currently accredited and licensed to certify products in accordance with this product
certification system.
Use only those test facilities that demonstrate compliance to ISO/I EC 17025.
Comply with the requirements of the WaterSense Program Mark Guidelines.
Demonstrate competence to perform certification by one of three methods:
o Provide proof of an existing accreditation to certify products in accordance with
the test methods used in the relevant WaterSense product specification,
o Attend training on the test methods to be used in the relevant WaterSense
product specification,
o Participate in the development of the test method for the relevant WaterSense
product specification.
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5.3.1.2	Transitional Approval Requirements
Upon EPA's written notification that the transitional approval and licensing for the relevant
WaterSense product specification is available, interested and qualified product certifying bodies
may submit an application letter to EPA that includes appropriate supporting information as
follows:
Documentation of its application to the appropriate accreditation body for a scope
extension to include the relevant WaterSense product specification.
•	A declaration of competence. In addition to the general requirements for demonstration
of competence outlined above under Section 5.3.1.1, EPA will identify any specific
components of this declaration that are necessary for each relevant product
specification.
The name and contact information for the responsible official that will be in charge of
product certification (this should be the same point of contact that will be listed on the
WaterSense website).
•	A signed licensing agreement amendment identifying the relevant WaterSense product
specification to which it wishes to certify products.
5.3.1.3	EPA Transitional Approval and Licensing
EPA will notify product certifying bodies that are approved under this transitional process and
will sign and return the executed licensing agreement amendment signifying the product
certifying body's approval to begin certifying products to the relevant product specification. This
transitional process will remain in effect for a period of time, specified by EPA, from the date
EPA opens the transitional approval and licensing process for a specific product category, or
until the certifying body obtains and submits to EPA documentation of the appropriate scope
extension from its accreditation body for the relevant WaterSense product specification,
whichever occurs first.
Once the licensed certifying body submits to EPA documentation of the appropriate scope
extension from its accreditation body for the relevant WaterSense product specification, EPA
will remove the transitional status from the certifying body's records and the certifying body will
continue to be eligible to offer certifications for the relevant product as outlined in this product
certification system. The existing licensing agreement amendment signed under the transitional
approval will remain in full force and effect.
5.3.1.4	Conditions for Transitional Licensing Termination
EPA reserves the right to terminate the licensing agreement for any certifying body that is
approved and licensed under this transitional process, but that does not obtain the appropriate
scope extension from its accreditation body for the relevant WaterSense product specification
within the timeframe specified.
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5.3.1.5 Eligibility of Product Certifying Bodies Not Meeting Transitional
Requirements
At any time, any product certifying body that wishes to certify products to a WaterSense product
specification, but that does not meet the requirements for transitional approval and licensing,
may still apply for licensure from EPA once it has obtained accreditation and the appropriate
scope extension from an approved accreditation body for the relevant WaterSense product
specification, as outlined in Section 5.2 of this product certification system.
5.4 Testing and Evaluation Resources
The licensed certifying body shall determine the means it will use to generate and/or accept
test data. All resources used to generate test data (e.g., testing laboratories) shall
demonstrate compliance with ISO/I EC 17025 and the relevant WaterSense product
specification, and meet the relevant requirements outlined in this section. In addition, all test
reports generated shall be accompanied by the following statement, located either on the
test report or an attached cover sheet:
"I understand that intentionally submitting false information to the U. S. government or its
agent is a criminal violation of the False Statements Act, Title 18 U.S.C. section 1001."
5.4.1	Internal Resources
If the licensed certifying body performs testing activities with its own resources it shall ensure
that the personnel conducting the testing have the necessary competence and expertise.
5.4.2	External Resources (Outsourcing)2
Licensed certifying bodies may operate a testing program to accept data from the following
types of testing laboratories:
•	Independent testing laboratories meeting the requirements in this Section.
•	Manufacturers' laboratories that participate in a WMTL meeting the additional
requirements outlined in Section of 5.4.2.1
•	Manufacturers' laboratories that participate in an SMTL program meeting the additional
requirements outlined in Section 5.4.2.2.
When using an external resource to perform testing activities, the licensed certifying body
shall:
•	Ensure that the personnel conducting the testing have the necessary competence and
expertise.
•	Assure that the evaluation activities are managed in a manner that provides confidence
in the results and that records are available to justify such confidence.
•	Have a legally binding contract with the external resource, including requirements for
maintaining confidentiality and avoiding conflicts of interest.
•	Take responsibility for all evaluation activities outsourced.
2 For the purpose of this product certification system, the terms "outsourcing" and "subcontracting" are
synonymous. Evaluation activities can be outsourced to other product certifying bodies.
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•	Ensure that the external resource that conducts the outsourced evaluation activities,
and the personnel that it uses, conform to the applicable requirements of ISO/I EC
Guide 65 and this product certification system.
•	Ensure that the external resource and the personnel that it uses are not involved in
such a way that could compromise the credibility of the results.
•	Have documented policies and procedures for the qualifying, assessing, and
monitoring of all external resources that provide outsourced evaluation activities.
•	Require its external resources to participate in proficiency testing in accordance with
the licensed certifying body's policies and procedures, when deemed necessary by
EPA or the accreditation body.
•	Maintain a list of all external resources used and make this list available for EPA or
the accreditation body to review.
5.4.2.1	Witnessed Manufacturer's Testing Laboratory Programs
When operating a WMTL program, the licensed certifying body shall:
Ensure that all tests are carried out in accordance with the relevant WaterSense
product specification.
Witness and check all critical aspects of the test.
Witness the final data acquisition.
Ensure that the licensed certifying body personnel that witness the test have the
necessary competence and expertise.
Verify that all test reports provided by the WMTL record the name and address of the
laboratory used and identify the manufacturer's qualified tester and the licensed
certifying body's witness.
5.4.2.2	Supervised Manufacturer's Testing Laboratory Programs
To be eligible to participate in an SMTL program, a manufacturer shall have a contractual
relationship with the licensed certifying body for at least two years and:
Be currently enrolled in an SMTL program with the licensed certifying body for the
relevant product category; OR
Participate in a WMTL program for the relevant product category for at least two years.
When operating a SMTL program, the licensed certifying body shall:
Document its confidence in the SMTL's quality processes. As the experience of the
SMTL develops, and confidence in the management of the laboratory grows, the focus
of supervision visits may shift gradually away from the witnessing of tests towards the
examination and improvement of the overall quality process.
Ensure that the manufacturer maintains responsibility for the product and its continued
compliance with the relevant requirements contained in the relevant WaterSense
product specification.
Verify that the manufacturer's laboratory operates independently of other departments
within the organization (e.g., production, marketing).
Ensure that the staff employed in testing at the manufacturer's laboratory report to senior
managers within the laboratory and are not subject to influence or conflict of interest
outside of the laboratory management structure.
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Ensure that all tests are carried out in accordance with the relevant WaterSense
product specification.
Ensure that the manufacturer's laboratory has adequate resources (e.g., trained and
qualified personnel, calibrated equipment, proper testing location) to conduct the
testing in accordance with the relevant WaterSense product specification.
• Audit the SMTL's procedures onsite against the requirements of ISO/I EC 17025 and the
applicable test method(s) at least once per year by, at a minimum:
o Supervising product testing,
o Reviewing relevant test reports in progress.
Maintain records of the dates and elements of performed supervision, including what
tests were observed, observations made, and advice provided to the SMTL during visits.
Provide an independent review of all test reports prepared by the SMTL.
Verify that all test reports provided by the SMTL record the name and address of the
laboratory used and identify the manufacturer's qualified tester.
6.0	Product Certification
6.1	Application
Manufacturers seeking WaterSense certification and the WaterSense label for their products
shall apply directly to a product certifying body that is accredited for the relevant WaterSense
product specification and is licensed by EPA. A list of licensed certifying bodies and the
WaterSense product specifications for which they have been accredited to provide product
certification services will be maintained on the WaterSense website. The application shall be
accompanied by an executed copy of the Manufacturer's Partnership Agreement, signed by
both EPA and the applicant manufacturer.
The application to the licensed certifying body shall contain, at a minimum, all of the required
information contained in the relevant product notification template available on the WaterSense
website. Where applicable, this information shall match the information that identifies the
WaterSense labeled product on the product packaging or other point-of-purchase materials
purchasers will see.
The application shall relate to the specific product or group of products for which certification is
requested by the applicant.
6.1.1 Private Labeled/Rebranded Products
If at any time a manufacturer intends to have its products private labeled or rebranded under a
separate organization/brand from the manufacturer's, it shall notify the licensed certifying body.
The licensed certifying body shall collect, at a minimum, information pertaining to the private
labeler/private labeled product as indicated on the relevant product notification template
available on the WaterSense website. This shall match the information that identifies the
WaterSense labeled product on the product packaging or other point-of-purchase materials
purchasers will see. The licensed certifying body shall also verify that the private labeler has a
partnership agreement signed by both EPA and the private labeler in place.
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6.2 Initial Production Inspection and Product Testing
6.2.1	General
Upon confirmation of the acceptance of the application, the licensed certifying body shall make
the necessary arrangements with the manufacturer for the initial evaluation in accordance with
this product certification system.
The licensed certifying body is responsible for all activities included in the product certification
system, including product sampling and testing, assessment of the production process or
quality system, if applicable, and the surveillance of certified products.
6.2.2	Initial Production Inspection
The WaterSense program does not require an initial production inspection (i.e., audit of
production process and quality management system). If the licensed certifying body has no
prior certification relationship with the manufacturer in the specific product area, the licensed
certifying body may conduct an initial production inspection at its own discretion to audit the
manufacturer's capability for production and quality management. The purpose of this
inspection is to give the licensed certifying body confidence that the manufacturer's system
has the capability to mass produce products that conform to the technical requirements of the
WaterSense product specification.
6.2.3	Initial Product Testing
6.2.3.1	Selection of Samples
Samples for testing and examination shall be selected in accordance with the requirements
specified in the relevant WaterSense product specification and this product certification
system.
The licensed certifying body shall determine the appropriate method for the selection of
samples of products for testing that are representative of the model to be certified and made
using components and subassemblies identical to those used in production. The samples
selected shall be made from production tools and assembled using methods established for
the production run.
6.2.3.2	Conduct of Initial Testing
The initial testing shall be carried out in accordance with the relevant WaterSense product
specification and with this product certification system. The licensed certifying body shall only
use evaluation resources that comply with the requirements outlined in Section 5.4.
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6.2.4	Product Evaluation
6.2.4.1	Preparation for Evaluation
Prior to initiating product testing or a production inspection, if applicable, the licensed certifying
body shall complete a comprehensive review of quality management documentation, product
literature, and schematics to ensure that there is substantiated evidence to show that the
product is manufactured in accordance with the relevant WaterSense product specification,
and that a proper production system and quality management system are established. In
addition, in preparation for the evaluation, the licensed certifying body shall verify that the
manufacturer's application was completed in accordance with Section 6.1, including the
availability of partnership agreements signed by both EPA and the applicant manufacturer and
any private labelers.
6.2.4.2	Evaluation
The licensed certifying body shall carry out the product evaluation by determining if the
evaluation criteria are satisfactorily met and that the results of the initial product testing meet
the requirements of this product certification system and the relevant WaterSense product
specification. If an initial production inspection is conducted, the licensed certifying body may
also use the information developed during the initial production inspection in the certification
decision.
6.2.4.3	Evaluation Report
The licensed certifying body shall inform the applicant on the outcome of the initial evaluation.
If the licensed certifying body is not satisfied that all of the requirements have been fulfilled, it
shall inform the manufacturer of the aspects for which it does not comply. If the manufacturer
shows that corrective action has been taken to meet the requirements within a time limit
specified by the licensed certifying body in the evaluation report, the licensed certifying body
shall repeat only those aspects of the initial evaluation it deems necessary.
6.2.5	Licensed Certifying Body's WaterSense Labeled Product Listing
As part of the responsibilities for certifying products and authorizing the use of the WaterSense
label, the licensed certifying body shall maintain on its website a WaterSense labeled product
listing (certification listing) for each manufacturer, which shall only include WaterSense labeled
products. The certification listing shall contain, at a minimum, all of the information that is
required to be displayed on the certification listing as indicated in the relevant product
notification template, available on the WaterSense website. In addition, for products that have
prefixes or suffixes that can be added to a base model number to denote variations in color,
finish, or other non-performance related attributes, the licensed certifying body shall include a
key or legend on its certification listing. This key or legend shall define what the identified
prefixes and suffixes mean. EPA will utilize the licensed certifying body's certification listing to
create the information that is included on the public listing of WaterSense labeled products
(WaterSense product registry).
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If separate certification listings are necessary for the manufacturer and the private labeler(s),
the licensed certifying body shall keep a record of the linkage between the certification listings
and provide the cross-referenced list of brand names and model numbers to EPA upon
request. This information will be kept confidential if requested by the licensed certifying body.
6.2.6 Agreement Between Licensed Certifying Body and Manufacturer
When the certification decision and report have been made, the licensed certifying body shall
provide a certification decision to the manufacturer and authorize the use of the WaterSense
label in conjunction with that certified product, if applicable. The manufacturer and the licensed
certifying body shall enter into a licensing agreement, which shall outline the terms and
conditions for certification and authorization to use the WaterSense label in accordance with
the relevant WaterSense product specification, this product certification system, and the
WaterSense Program Mark Guidelines.
The licensed certifying body shall adhere to the following conditions for issuing the certification
and authorizing the use of the WaterSense label:
Verify that the manufacturer and any private labelers have in place a partnership
agreement signed by both EPA and the manufacturer/private labelers.
Ensure that the manufacturer and private labelers of a WaterSense labeled product
abides by the policies outlined in the WaterSense Program Mark Guidelines.
As part of the agreement between the licensed certifying body and the manufacturer, the
manufacturer shall maintain responsibility for product certification, including submitting the
product for certification to a licensed certifying body, receiving authorization to use the
WaterSense label, and adhering to any ongoing surveillance required by the licensed certifying
body. Upon notice of certification, the manufacturer and any private labelers listed may both be
authorized to use the WaterSense label under the original manufacturer's agreement with the
licensed certifying body. The manufacturer is responsible for ensuring the label is used
properly in accordance with the WaterSense Program Mark Guidelines. In all cases, a
WaterSense labeled product shall bear the name of a WaterSense partner that holds or is
included on a licensed certifying body's certification listing.
6.3 Authorization to Use the WaterSense Label
Upon licensure, EPA will provide to the licensed certifying body a copy of the WaterSense label
it shall authorize manufacturers to use in conjunction with certified products. The label shall
contain the licensed certifying body's registered name or official acronym, which will be
formatted and centered directly beneath the WaterSense label. The identifier shall be legible
and shall be no wider than the WaterSense label itself.
The licensed certifying body shall provide the appropriate WaterSense label artwork to the
manufacturer of a certified product and shall ensure that the manufacturer applies and uses the
WaterSense label in accordance with the WaterSense Program Mark Guidelines. At a minimum,
the licensed certifying body shall evaluate how the manufacturer and its private labelers intend
to use the WaterSense label prior to its use on products in the marketplace. Use of the
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WaterSense label by a manufacturer is mandatory as described in the WaterSense Program
Mark Guidelines.
The manufacturer of a certified product shall have the right to publicize the fact that it has been
authorized to apply the WaterSense label to its certified products.
6.4	Extending a Certification
Manufacturers shall apply to the licensed certifying body to obtain an extension of an existing
certification for additional types or models of products or intended modifications to previously
certified models. The licensed certifying body, based on engineering judgment, shall determine
if the additional types or models of products are significantly different from the base model
covered by the existing certification, to the extent that the modifications to the design would
impact conformance to the relevant WaterSense product specification. Based on this
determination, the licensed certifying body shall decide whether to require additional testing to
the relevant WaterSense product specifications and/or an assessment of the manufacturer's
production process or quality system.
6.5	Reporting WaterSense Labeled Products to EPA
The licensed certifying body shall notify EPA of the products that it has certified once per month.
This notification shall be made using the relevant product notification template available on the
WaterSense website or, if necessary, a similar form supplied by the licensed certifying body. If
the licensed certifying body supplies the information on its own form, the form must contain all of
the information required by the relevant product notification template available on the
WaterSense website. The notification shall contain the required product information for all
WaterSense labeled products currently listed on the licensed certifying body's certification
listing, including information for private labeled products. EPA will use this information to update
its WaterSense product registry. It is incumbent upon the manufacturer to ensure that the
information provided to the licensed certifying body that is subsequently reported to WaterSense
is accurate.
If there are no updates or changes to any of its certification listings during the month the
licensed certifying body does not have submit a notification to EPA for that month.
6.6	Surveillance
To ensure that products continue to conform to the relevant WaterSense product specifications
and that manufacturers are properly using the WaterSense label, EPA requires licensed
certifying bodies to conduct periodic production inspection and market surveillance of products
as described below.
6.6.1 Periodic Production Inspection
The licensed certifying body shall, at a minimum, on an annual basis, audit the production
process and quality management of each manufacturer of a certified product(s). The purpose of
this audit shall be to:
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Verify that the manufacturer continues to operate production and quality
management in a manner that will maintain a product's conformance with relevant
WaterSense product specifications.
Consider and take appropriate action where changes to the manufacturer's
operations are made that may impact a product's conformance with relevant
WaterSense product specifications.
6.6.2 Market Surveillance of Products
Except when the WaterSense product specification indicates otherwise, the licensed certifying
body shall conduct annual market surveillance, including product retesting and surveillance of
the label use for the products it has certified. The licensed certifying body shall appoint an
inspector to conduct market surveillance of products. At the licensed certifying body's discretion,
samples for market surveillance shall be obtained from the retail outlet/distribution center or
project site where the product is being sold or used, from the manufacturer's warehouse, or
from off the line. Samples may only be selected from off the line only when it is not feasible to
obtain products from another source. Where purchase of the product is required, the
manufacturer shall pay for the product.
The licensed certifying body shall conduct annual market surveillance on at least 15 percent of
all of the models it has certified for each relevant product category (e.g., tank-type toilets,
lavatory faucets, flushing urinals, showerheads). Note that not every manufacturer will have
models retested each year. The number of models requiring retesting shall be based on the
following criteria:
Only models that have not been tested or retested within the previous two years may be
subject to retesting.
Privately labeled models shall not be counted as separate models from the original
manufacturer's models for this determination.
Base models or families of products that demonstrate the same efficiency and
performance, but that may have variations in color, finish, or other non-performance
related attributes may be counted as a single model for this determination. Only one of
the models covered by the base model would be subject to retesting.
Of the 15 percent of eligible models, up to half (i.e., 7.5 percent of the eligible models) may be
designated for retesting by EPA based on the following criteria:
Models that have previously failed market surveillance.
Preferred location, such as a retail outlet/distribution center.
Referrals from third parties, such as consumers, consumer groups, or regulatory
agencies regarding the accuracy of certifications.
Models with high sales volumes, if this data is available to WaterSense.
The remainder of the eligible models required to comprise the 15 percent shall be randomly
selected for retesting by the licensed certifying body.
The licensed certifying body shall retest a minimum of one model or the appropriate number of
models required to comprise the 15 percent retesting requirement, rounded to the nearest whole
number, whichever is greater. If the licensed certifying body determines that no products are
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eligible for annual retesting (e.g., all products have been tested within the previous two years),
the licensed certifying body does not need to retest any products.
The licensed certifying body shall determine and notify EPA of the number of models requiring
retesting by September 30 of each year for all annual market surveillance activities to be
conducted between October 1 of that year and September 30 of the following year. EPA will in
turn notify the licensed certifying body by November 1 of that year of the details of its allotted
designation.
An example annual market surveillance sampling scheme is provided in Appendix A.
6.6.2.1	Product Retesting
All products selected for market surveillance shall be retested for conformance with the relevant
WaterSense product specification in accordance with Section 6.2.3 of this product certification
system. All retesting shall be done by a licensed certifying body's internal resources or by an
independent testing laboratory or WMTL as described in Sections 5.4. Use of an SMTL is not
permitted for product retesting.
6.6.2.2	Surveillance of Label Use
All products selected for market surveillance shall also be assessed for proper use of the
WaterSense label on product packaging and in advertising materials, as described in the
WaterSense Program Mark Guidelines.
6.7 Misuse of the Certification or WaterSense Label
The licensed certifying body shall take appropriate action, which can include label suspension or
withdrawal, when a product is found not to conform to the relevant WaterSense product
specification or when a manufacturer of a product it has certified engages in unauthorized,
incorrect, or misleading use of the certification or WaterSense label, whether the issue is
discovered by the licensed certifying body or is brought to its attention by another party.
Circumstances for unauthorized, incorrect, or misleading use of the certification or WaterSense
label are described in this product certification system, the WaterSense Program Guidelines,
and the WaterSense Program Mark Guidelines.
When issues related to product nonconformity or misuse of the WaterSense label come to
EPA's attention, EPA shall notify the licensed certifying body that authorized the use of
WaterSense label for the product in question. The licensed certifying body shall then engage in
investigation and resolution of the complaint in accordance with ISO/I EC Guide 65, IAF
Guidance on the Application of ISO/I EC Guide 65, and the licensed certifying body's policies
and procedures.
The licensed certifying body shall bring to EPA's attention any instances of unauthorized use of
a WaterSense label by a manufacturer of a product that it has not certified. EPA will engage in
appropriate corrective action with the infringing manufacturer.
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Figure 2 (at the end of this document) outlines the mechanisms for identifying label misuse and
the party responsible for handling corrective actions (e.g., the licensed certifying body or EPA).
6.8	Suspension of the Use of the WaterSense Label on Products
The licensed certifying body shall determine when the use of the WaterSense label shall be
suspended due to product nonconformance, misuse of the WaterSense label, or infringement of
the product certification system. Label suspension can occur for a limited period of time as
specified by the licensed certifying body. During the period of suspension, the manufacturer is
prohibited from using the WaterSense label in conjunction with any product associated with the
suspended WaterSense label.
The licensed certifying body shall provide the manufacturer of a suspended WaterSense label
the conditions under which the suspension can be removed (i.e., corrective actions that shall be
taken). At the end of the suspension period, the licensed certifying body shall investigate
whether the indicated conditions for reinstating the WaterSense label have been fulfilled. Upon
receiving proof of fulfillment of these conditions, the licensed certifying body shall notify the
manufacturer that the suspension has been removed. The licensed certifying body shall notify
EPA within 30 days of both WaterSense label suspension and reinstatement.
6.9	Withdrawal of the WaterSense Label From Products
In more severe or repeated instances of product nonconformity, misuse of the WaterSense
label, failure to meet the requirements for reinstatement of a suspended WaterSense label, or
failure to maintain an active certification listing, the licensed certifying body shall withdraw the
product's certification and the use of the WaterSense label. The licensed certifying body shall
inform the manufacturer that the certification and WaterSense label are being withdrawn via a
withdrawal notification. If the WaterSense label is withdrawn from a product for any reason, the
licensed certifying body shall ensure that the manufacturer and its wholesalers, distributors, and
retailers immediately cease to use the mark in conjunction with that product, and the label is to
be eliminated from product packaging and promotional materials within six months from the date
of withdrawal notification. The licensed certifying body shall immediately notify EPA of any
product label withdrawals, and EPA shall decide whether termination of the partnership
agreement or other corrective action is warranted. The WaterSense label may not be used for
any reason by—or in conjunction with any product produced by—a manufacturer with a
terminated partnership agreement.
7.0 Amendments, Modifications, and Revisions
EPA reserves the right to amend these rules of procedure, which may include amending or
revising this product certification system, revising any of the WaterSense product specifications,
or issuing technical clarifications as provided in the compendium of WaterSense product and
program specifications available on the WaterSense website.
Revisions to any of the WaterSense product specifications can occur due to technological
and/or market changes that affect the usefulness of current specifications to consumers,
industry, or the environment or to clarify vague requirements.
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Major revisions to product specifications will generally include changes to the water efficiency or
performance requirements and/or related test methods. Major revisions will only be made
following an open public process, including discussion with industry and other interested
partners. Major revisions will typically require recertification of currently certified models to the
new specifications. The transition period will be identified in the relevant product specification,
but will normally be one year.
Minor revisions to product specifications will generally be more editorial in nature and serve to
clarify vague or unclear requirements. Minor revisions will typically not require recertification of
currently certified models. EPA will notify stakeholders when product specification revisions are
considered major or minor.
As deemed necessary, EPA also reserves the right to modify these rules of procedure as they
apply to specific categories of products. Any modifications will be identified at the release of the
product specification for the relevant product category.
To facilitate version control, EPA will designate a title, version number, and date for all of the
relevant documents it produces, as indicated below:
WaterSense Specification for [Product Category] or WaterSense Product Certification
System
Version X.Y
Month, Day, Year
8.0 For More Information
Please visit the compendium of WaterSense product and program specifications page at
http://www.epa.gov/WaterSense/partners/product program specs.html for a complete listing of
current WaterSense product specifications and technical clarifications.
For inquiries or other questions related to this product certification system or any WaterSense
product specifications, please contact the WaterSense Helpline at (866) WTR-SENS (987-7367)
or watersense@epa.gov.
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Figure 1. WaterSense Product Certification Process Flow Diagram
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Figure 2. WaterSense Label Policing and Corrective Action Decision Diagram for
Products
Mechanisms for Identifying Label Misuse
EPA
Licensed Certifying Body
•	Literature/website reviews
•	Review of media clips
•	Review of pre-print materials
•	Partner alerts
•	Google image searches
•	Reports from licensed certifying bodies
•	Annual post-market product
surveillance—facility/warehouse audits,
product retesting, retail outlet audits
•	Review of pre-print materials
•	Manufacturer alerts
•	Reports from EPA
Label Misuse Issue
EPA
Handles Corrective Action
Licensed Certifying Body
Handles Corrective Action
•	A manufacturer without any certified
products uses the label in conjunction with
an uncertified product (e.g., the licensed
certifying body is not identified on the
label)
•	Label used to indicate EPA's
endorsement
•	Label used incorrectly by a wholesaler,
distributor or retailer in promotional
materials
•	Label used in conjunction with an
uncertified product by a manufacturer with
other certified products (e.g., the licensed
certifying body's name is identified)
•	Label used on products for which
certification has been
suspended/withdrawn
•	Label used prior to manufacturer's
authorization/certification
•	Label used to indicate a licensed
certifying body's endorsement
•	Label used by the manufacturer on
general water-efficient promotional
material (e.g., not directly associated with
a certified product)
•	Label altered from the original provided by
the licensed certifying body
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Appendix A: Example Annual Market Surveillance Sampling Scheme
To illustrate how the annual market surveillance requirements outlined in Section 6.6.2 would
work, EPA is providing an example sampling scheme for tank-type toilets. Licensed certifying
bodies should apply the methodology outlined in this example scheme to the selection of
samples for market surveillance of certified products for all relevant product categories.
Under this example, the licensed certifying body has certified 27 individual product models by
three different manufacturers and two private labelers. Mock licensed certifying body
certification listings for each manufacturer are shown in Table 1.
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Table 1. Example Licensed Certifying Body Certification Listings for Three Manufacturers
Certification Listing for
Certification Listing for
Certification Listing for
Manufacturer 1:
Manufacturer 2:
Manufacturer 3:
Certified Models:
Certified Models:
Certified Models:
• ABC Toilet (certified January
• XYZ Toilet (certified October
• A0B Toilet (certified January 3,
18, 2007)
9, 2008)
2007)
• DEF Toilet (certified March 2,
• TUV Toilet (certified July 1,
• A1B Toilet (certified February 8,
2008)
2009)
2007)
• HIJ Toilet (w-White, b-Black, o-
• QRS Toilet (certified August
• A2B Toilet (certified November
Off white) (certified May 14,
5, 2010)
23, 2007)
2008)
• NOP Toilet (certified July 19,
• A3B Toilet (certified March 16,
• KLM (certified September 3,
2011)
2008)
2009)

• A4B Toilet (w-White, i-lvory)

Additional Companies/Listees:
(certified May 25, 2008)


• A5B Toilet (certified December
Additional
None
12, 2008)
Companies/Listees/Private

• A6B Toilet(certified February 16,
Labelers:

2009)


• A7B Toilet (certified April 1,
Private Labeler 1

2009)


• A8BToilet (certified June 19,
• 123 Toilet (corresponds to ABC

2009)
Toilet)*

• A9B Toilet (certified August 21,
• 456 Toilet (corresponds to DEF

2009)
Toilet)*

• B1B Toilet (certified September
• 789 Toilet (corresponds to KLM

12, 2009)
Toilet)*



Additional


Companies/Listees/Private


Labelers:


Private Labeler 2


• 987A Toilet (corresponds to


A1B Toilet) *


654A Toilet (corresponds to A3B


Toilet) *
*Note that EPA does not require the licensed certifying body to identify on its certification listing the
specific original certified model number with which each private labeled product corresponds, though the
licensed certifying body should have this information available in its records.
Using the examples provided above in Table 1, of the 27 certified models, the following 17
models would be eligible for retesting as of September 29, 2011:
•	ABC Toilet (or 123 Toilet)
•	DEF Toilet (or 456 Toilet)
•	HI J Toilet (white, black, or off white)
•	KLM Toilet (or 789 Toilet)
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TUV Toilet

XYZ Toilet

AOB Toilet

A1B Toilet (or 987A
Toilet)
A2B Toilet

A3B Toilet (or 654A
Toilet)
A4B Toilet (white or
ivory)
A5B Toilet

A6B Toilet

A7B Toilet

A8B Toilet

A9B Toilet

B1B Toilet

Models QRS and NOP are not eligible for retesting as of September 29, 2011 because they
were initially tested within the previous two years.
For models HIJ and A4B, which represent a family of models with variations in toilet color, only
one of the models within each of those families would be eligible for retesting.
Models 123, 456, 789, 987A, and 654A are privately labeled models and should not be counted
as separate models from the original manufacturers' models. They may, however, be selected
for sampling to represent their respective original manufacturers' models.
From this list of 17 eligible models, three total models must be selected for retesting:
17 models * 15 percent = 2.55, which is rounded to 3 models
Of these three models, EPA reserves the right to designate one model for retesting:
17 models * 7.5 percent (half of the 15 percent total) = 1.3, which is rounded to 1 model
The licensed certifying body would randomly select the additional two models for retesting to
account for the remainder of the total number of models required to comprise the 15 percent:
3 total models for retesting - 1 model designated by EPA = 2 models randomly selected
by the licensed certifying body
Note: The licensed certifying body should not base the number of models it must retest on the
remaining percent of eligible products left after EPA's designation (e.g., 7.5 percent).
If EPA does not designate a model for retesting, the licensed certifying body would randomly
select all three models for retesting.
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Figure 3 below illustrates how the licensed certifying body determines the number of models
that are eligible for annual market surveillance, how many models EPA may designate, and how
many models it is responsible for selecting.
Figure 3. Calculating Number of Models Selected for Annual Market Surveillance
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