[Code of Federal Regulations]
[Title 10, Volume 3]
[Revised as of January 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 10CFR430.62]

[Page 375-377]
 
                            TITLE 10--ENERGY
 
                    CHAPTER II--DEPARTMENT OF ENERGY
 
PART 430_ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS--Table of 
Contents
 
                 Subpart F_Certification and Enforcement
 
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 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.

[[Page 376]]

    (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 expressed in cycles per 
kilowatt-hour.
    (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,

[[Page 377]]

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 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.

[63 FR 13319, Mar. 18, 1998, as amended at 68 FR 51903, Aug. 29, 2003]