Conditions and Criteria for Recognition of Certification Bodies
for the ENERGY STAR® Program
In order to be recognized as a Certification Body (CB) for the ENERGY STAR Program, a CB
shall agree in writing to the following requirements:
1) General Requirements and Responsibilitiesa) Maintain accreditation to ISO/IEC 17065, “Conformity Assessment: Requirements forbodies certifying products, processes, and services,” by a signatory to the International
Accreditation Forum (IAF) Multilateral Recognition Agreement (MLA) that covers
accreditation of product certification bodies and operates in accordance with ISO/IEC
17011.
b) Noteworthy elements of ISO/IEC 17065 include requirements that the CB shall:i) Operate in a non-discriminatory manner so as not to impede or inhibit access byapplicants.
ii) Make its services accessible to all applicants whose activities fall within its declared
field of operation, independent of the size or membership status of the applicant.
iii) Ensure that the relationship between it and each organization providing test data does
not compromise the CB’s independence.
iv) Be responsible for decisions relating to its granting, maintaining, suspending, andwithdrawing of certification, and make these decisions impartially.
v) Decide whether or not to certify a product on the basis of the information gathered
during the evaluation process.
vi) Have a legally enforceable agreement for the provision of certification activities to itsclients. Contract and agreements for certification shall take into account theresponsibilities of the parties.
vii) Provide, regularly update, and make available upon request by EPA a directory of theproducts it has certified, and their suppliers.
c) Demonstrate to EPA’s satisfaction adequate availability of personnel to the Agency andthe ability to provide requested information in a timely manner.
d) Apply the same conditions to the review of test reports from all EPA-recognizedlaboratories from which the CB has agreed to accept data, regardless of the ownership ofthe laboratory.
e) Make available in written format to current or prospective clients all relevant aspects of
the CB’s certification program, and submit this information to EPA upon request. At aminimum, these shall include:i) A copy of the form or template which serves as the legally enforceable agreement forthe provision of certification activities to the CB’s client; and,ii) A description of the certification program.
f) Make available in written format to EPA a description of the management ofcompetencies of personnel involved in the certification process.

Rev. Dec. 20211g) Maintain test reports for certified products for at least the longer of five years or theduration of certification, and permit EPA to examine any information used in making
certification decisions, including test data.
h) Participate in meetings with EPA as EPA deems necessary to discuss changes toENERGY STAR product specifications or third-party certification requirements relevant
to certified products. EPA and the CB will jointly determine whether the meeting shouldtake place remotely (for example, by telephone) or in-person.
i) Forward any questions related to ENERGY STAR product specifications, including test
methods and eligibility criteria, to EPA for resolution, and abide by the decisions of EPA
relative to the resolution of those questions.
j) Allow EPA, at its discretion, to audit product certification and verification activities.
k) Notify EPA and any ENERGY STAR partner whose product(s) the CB has certified, ofany suspension or withdrawal of the CB’s accreditation or recognition.
l) Not use its own mark to indicate that a product is ENERGY STAR qualified.
m) Comply with EPA written policies, including FAQs, directives, and other written
instructions.
2) ENERGY STAR Qualificationa) Provide EPA with a description of the CB’s data review cycle time in order to allow theestimation of its potential impact on ENERGY STAR partners’ product introduction
cycles.
b) Abide by the Standard Operating Procedure for Certification of Products to ENERGYSTAR Specifications. Noteworthy elements of the SOP include:i) Determine qualification by assessing whether the product meets the performanceparameters described in the relevant ENERGY STAR product specification. Thisassessment shall comprise a review of the test report of each model intended for
ENERGY STAR qualification.
ii) In the case of ENERGY STAR product specifications that permit the qualification ofa group of models based on the test report of a representative model, the CB shallhave a procedure to verify ENERGY STAR partner claims as to:(1) Which models are part of a single family; and,
(2) Which model may be considered a representative model of that family.1iii) Confirm that all data in the test report originated from a laboratory EPA has
recognized for the relevant ENERGY STAR specification. EPA-recognizedlaboratories include the following:(1) All laboratories EPA has formally recognized as currently meeting the“Conditions and Criteria for Recognition of Laboratories for the ENERGY STARProgram.” The terms of this document include accreditation to ISO/IEC 17025 by
an EPA-recognized Accreditation Body. EPA maintains an online list of theselaboratories. Therefore, confirming data have originated with such a laboratory
shall consist of confirming the presence of the laboratory on this list.
(2) All laboratories participating in the CB’s witnessed or supervised manufacturers’
testing laboratory (WMTL/SMTL) program per the requirements described in1

The CB shall verify all such claims against EPA’s definition of what constitutes a family and a representativemodel. These definitions are included in the relevant ENERGY STAR product specifications.

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Appendix A. The terms of this include assessment to ISO/IEC 17025 by an EPArecognized CB. Ensuring data have originated with such a laboratory shall consistof the CB confirming the presence of the laboratory on its internal list ofWMTLs/SMTLs.
c) Report accurate and complete product data on certified products to EPA using XMLbased web services. CBs should refer to product-specific XML schema to ensure they arecollecting all necessary data fields. Also, CBs must be able to successfully complete atest submission using the relevant XML service for any new product category before theymay expand their EPA recognition to that category.
3) ENERGY STAR Verificationa) Verification Testingi) Operate an ENERGY STAR partner-funded verification testing procedure that fulfills
the verification testing requirements enumerated as follows:(1) Ensure products meet all product performance parameters as described in therelevant ENERGY STAR product specification.
(2) Number of products:(a) On a twelve-month cycle, test an EPA-determined representative percentage
of all ENERGY STAR qualified models, per product specification,2 that theCB has certified or registered. The CB shall document its testing cycle
schedule within its quality system documentation.
(b) When determining the number of models subject to verification testing, theCB shall consider product families as defined in the relevant productspecification.
(c) EPA may advise the CB to modify the number of models tested in subsequent
years. The minimum number of products tested may differ by productspecification.
(3) Products shall be selected by the CB according to the following general
guidelines:(a) When the CB is ready to select models for a round of verification testing, it
shall contact EPA for Agency selections and include these selections in thatround of testing;(b) EPA and the CB shall select models in consideration of the following:(i) Whether an ENERGY STAR partner has experienced a previous
verification testing failure, and has other models qualified to that productspecification;(ii) Referrals from third parties such as consumers, consumer groups orregulatory agencies regarding the accuracy of ratings; and,(c) Models with high sales volumes if this data is available. The remaining
models to be tested shall be randomly selected; although, the more recently amodel has undergone verification or challenge testing, the less likely it should
be selected in this random selection process.
(4) Procurement of unit(s) for testing:2

Refer to “Verification Testing by Product Category” document as listed on the Verification TestingResponsibilities webpage.

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(a) The CB shall procure or obtain the unit(s) for testing, prioritizing the source of
those units in the following order (from most to least favored)(i) Off-the-shelf (i.e., from the open market);(ii) Warehouse (i.e., from a storage depot); or(iii)Off-the-line (i.e., from the manufacturing facility).
NOTE: Consistent with Directive #2011-06, off-the-line procurement ortesting is only appropriate when procuring products from the shelf or from awarehouse is not feasible. Examples include products is prohibitively
expensive to purchase and/or transport, is made-to-order, or is otherwise
unavailable through normal retail channels.
(b) The CB shall be responsible for obtaining the unit for testing, and shall notallow the ENERGY STAR partner to choose the testing sample.
(c) Partners whose products are selected for verification testing are required to:(i) In the case of off-the-shelf procurement, provide a list of at least threelocations where a unit(s) of the product(s) to be tested may be obtained; or(ii) In the case of warehouse or off-the-line procurement, provide access to theCB to select a unit(s) of the product(s) for testing.
(iii)Comply with verification testing requests in a timely manner.
(d) The CB shall report to EPA any partners that do not comply with verification
testing requirements.
(5) Location of verification testing:(a) Verification testing shall be performed at an EPA-recognized, third-party
laboratory; or,(b) If the unit is obtained off-the-line from the manufacturing facility, theverification testing may be performed at an EPA-recognized, first-party3
laboratory provided that qualified CB personnel witness the test.
b) Re-evaluation in the Event of Significant Changesi) Have procedures to re-evaluate product performance in the event of changes that
could affect the ENERGY STAR qualification status of a product the CB has
certified.4 Consistent with this, the CB shall:(1) Require the ENERGY STAR partner responsible for a product the CB has
certified to inform the CB about any changes to that product that could result in it
no longer meeting the requirements of the relevant ENERGY STAR productspecification.
(2) Require, and evaluate the results of, retesting of the product’s relevantperformance.
c) Challenge Testingi) Have in place a challenge testing procedure, and contractual provisions for challenge
testing, that includes a process for establishing if a challenge has merit.
3

For the purpose of the ENERGY STAR program, EPA defines a first-party laboratory as a laboratory that is owned
and/or operated by the manufacturer or private labeler of the product being tested.
4
A laboratory’s change in accreditation or WMTL/SMTL status would be considered relevant to the qualification
status of products the laboratory tested only during the effective period of the factor(s) that led to the change in thelaboratory’s status.

Rev. Dec. 20214ii) The CB shall not oblige the challenger to convey the details of the challenge to thechallengee.
iii) Upon the failure of a product to meet the performance requirements of the relevant
ENERGY STAR product specification, the CB shall notify the ENERGY STAR
partner and EPA within two business days.
d) Changes in Product Performance:i) Have in place a procedure to resolve discrepancies between data resulting fromproduct re-testing, that is, verification testing, re-evaluation in the event of significant
changes, or challenge testing, and the data previously certified by the CB.
ii) Report to EPA any changes in product performance, including new test data.
(1) If the changes do not impact the ability of the product to qualify for ENERGY
STAR, the CB shall report the relevant data to EPA on the same schedule as
information on newly certified products.
(2) If initial test results indicate the product does not meet the performancerequirements of the relevant ENERGY STAR product specification, the CB shallnotify EPA within two business days, and report to EPA the test results that arerelevant to ENERGY STAR qualification.5 If EPA considers the test results final,the CB shall, in addition to the preceding steps, decertify the product for
ENERGY STAR, likewise within two business days.
(3) A CB may notify a manufacturer of a model’s verification or challenge testing
failure only upon or after notifying EPA of the failure.

5When the CB reports this data to EPA, it shall follow the rounding and qualification rules enumerated in theapplicable ENERGY STAR specification.

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Appendix A: Requirements for the operation of a Witnessed Manufacturers’ Testing
Laboratory (WMTL) or Supervised Manufacturers’ Testing Laboratory (SMTL) program
A CB, per ISO/IEC 17065, may operate a testing program to accept test data from amanufacturer’s first-party laboratory that participates in a WMTL or a SMTL program only if theCB adheres to the requirements enumerated below. Note, the CB shall not enroll as a WMTL any
laboratory EPA has formally recognized as currently meeting the “Conditions and Criteria forRecognition of Laboratories for the ENERGY STAR Program,” since this recognition obviates
the need to establish confidence in the laboratory via the level of witnessing inherent to a WMTL
program. Instead, the CB shall enroll such a laboratory as an SMTL, and the procedure the CB
follows to do so shall entail fewer steps than in the case of non-accredited laboratories.
EPA laboratory recognition may also extend to customer test facilities where tests are performedby qualified CB testing laboratory staff and/or local technical representatives, provided that theCB participates in the IEC System of Conformity Assessment Schemes for ElectrotechnicalEquipment and Components (IECEE) and follows operational document OD-2048 (or currentversion).
To operate a testing program to accept test data from a manufacturer’s first-party laboratory thatparticipates in a WMTL or a SMTL program, the CB shall:
1) General Requirements:a) Ensure through an on-site initial assessment and periodic auditing that the WMTL orSMTL is able to demonstrate its facilities are in compliance with all relevant requirementsof ISO/IEC 17025 and the applicable test method(s), and that the laboratory personnel
conducting the testing have the necessary competence and expertise. Consistent with this,the CB shall have and follow written procedures for evaluating laboratory facilities;
environmental controls; personnel and training; testing and calibration equipment types
and accuracy; calibration procedures; written test procedures, set-up, measurement
technique(s) and documentation systems; quality assurance programs; and other elements
as required in the relevant ENERGY STAR product specification;b) Document and maintain reports of its assessments and periodic auditing of theWMTLs/SMTLs in the programs it operates;c) Have and follow procedures to monitor the impartiality of WMTLs/SMTLs on anongoing basis. Document review, consistent with the requirements of ISO/IEC 17025,
shall include but may not be limited to the following:i) Organization chart showing that the responsibilities, authorities, and interrelationships of all personnel who manage, perform or verify laboratory results arefree from influence that may adversely affect the quality of their work;ii) Dates of internal audits, audit findings, and any corrective actions taken;iii) Any customer complaints and corrective action taken;iv) Original testing records containing sufficient information for repeatability, including
the names of staff who participated;

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6Y)Evidence that mechanisms for reporting and responding to attempts to  exert undue influence on test results are in place; and,vL) Other measures as appropriate to ensure the impartial conduct of laboratory staff.
d Maintain records that demonstrate the test data originating with the WMTL/SMTL areunbiased.
e Operate proficiency testing when EPA/DOE deems it necessary to ensure consistent
results between the WMTL/SMTL and an EPA-recognized third-party laboratory.
Provide EPA with a list of each WMTL/SMTL enrolled in its program to test products
for ENERGY STAR, and updates to this list on an ongoing basis.
I Assume full responsibility for the validity of the test results.
2) Requirements specific to the operation of a WMTL program:a) Supervise and check all critical aspects of the tests;b) Witness the final data acquisition;c) Ensure that the CB personnel who witness the test(s) have the necessary competence andexpertise to carry out tests to the relevant ENERGY STAR product specification; and,d) Ensure that all tests are carried out by personnel of the WMTL in accordance with theapplicable requirements.
3) Requirements specific to the operation of an SMTL program:a) Witness testing and all other elements that contribute to the establishment of confidence
in the SMTL’s quality processes;b) As the CB gains experience with and confidence in the SMTL, supervision may graduallyshift away from witnessing tests;c) At least once per year, audit the SMTL’s procedures on-site against the requirements ofISO/IEC 17025 and the applicable test method(s). During visits, the CB shall:i) Supervise product testing; and,ii) Review relevant test reports in progress; and,d) Maintain records of:i) The dates and elements of performed supervision, including what tests wereobserved; and,ii) Observations made and advice provided to the SMTL during visits.

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