1 

### F REQUENTLY 

### A SKED 

### Q UESTIONS



### – C ERTIFICATION 

### C ONSUMER 

### P RODUCTS


### U PDATED 

### J ANUARY 

### 29, 2010

Manufacturers and/or private labelers who have not submitted a certification report and compliance statement for the products identified in Question 1 are in violation of Federal regulations and are subject to enforcement, including civil penalties and injunctive action to prohibit distribution of covered products in commerce in the United States. You should submit the required documents immedi ately in order to limit potential civil penalties.

The information provided below is intended to help companies understand their responsibilities under the energy efficiency/wat er conservation regula tions, with respect to the requirement to certify compliance with th e regulations. It is not intended to create or remove any rights or duties, nor is it inte nded to affect any othe r aspect of EPCA or DOE regulations. You should consult 10 CFR 430.62
, and other sections cited below for complete information.

1) Who is required to submit a certifi cation report and compliance statement?

 Which products are subject to these certification requirements?

 What is a manufacturer?

 What is a private labeler?

 Are fluorescent lamp ballasts subjec t to these reporting requirements? 2) What is the purpose of these reporting requirements? 3) What information is required to be included in the certification report? 4) What information is required to be included in the compliance statement ? 5) May I have a third party submit my certification report and compliance
statement?

 I am a third party representati ve. What do I need to submit? 6) How do I submit the required information? 7) What if I have never filed a certi fication report or compliance statement? 8) Do international companies need to report? 9) I participate in the ENERGY STAR program. Do I still need to submit certification reports and compliance statements? 10) I manufacture/import/label general service fluorescent lamps and/ or incandescent reflector lamps. What information should I provide?

 Where can I get a list of NVLAP test laboratories?

 How do I certify new models since I do not have 12-month test data? 11) I heard manufacturers will be required to submit certification reports and compliance statements for products that ha d not been subject to the certification requirements before. Is that true?

 What additional consumer products w ill be subject to the certification requirements?

 When is my certification repor t and compliance statement due?

 What information must I submit?2 1) Who is required to submit a certifi cation report and compliance s tatement?

Both manufacturers and private labelers of so me covered consumer products are required to submit certification reports and compliance statements.

 Which products are subject to these certification requirements?

(1) Central air conditioners (2) Central air conditioning heat pumps (3) Clothes washers (4) Clothes dryers (5) Direct heating equipment (6) Dishwashers (7) Faucets (8) Furnaces (9) General service fluorescent lamps (10) Incandescent reflector lamps (11) Pool heaters (12) Refrigerators, refrige rator-freezers, and freezers (13) Room air conditioners (14) Showerheads (15) Urinals (16) Water closets (17) Water heaters

As of July 6, 2010: (18) Ceiling fans (19) Ceiling fan light kits with sockets for medium screw base lamps or pin-based fluorescent lamps (20) Ceiling fan light kits with sockets other than medium screw base lamps or pin-based fluorescent lamps (21) Compact fluorescent lamps (Medium base) (22) Dehumidifiers (23) External power supplies (Class A only), including switch- selectable singlevoltage voltage exte rnal power supplies (24) Torchieres

 What is a manufacturer?

For purposes of the certification requ irements, any person who manufactures, produces, assembles, or imports a co nsumer product is a “manufacturer.”

 What is a private labeler?3 A “private labeler” is the owner of a brand or trademark on the label of a consumer product which bears a private labe l. A product is cons idered to “bear a private label” if the product or its contai ner is labeled with the brand or trademark of a person other than the manufactur er and the manufacturer’s brand or trademark is not on the product or container.

In other words, a private labeler is a company that sells consumer products under its name, but does not produce them.

 Are fluorescent lamp ballasts subjec t to these reporting requirements?

Fluorescent lamp ballasts are not currently s ubject to the reporting requirements.

2) What is the purpose of these reporting requirements?

A certification report provides information to DOE to help us verify a manufacturer’s (or private labeler’s) compliance with the applicab le energy efficiency or water conservation standard and helps us develop information rega rding the products in the marketplace. A manufacturer must provide a certification re port for each basic model. A certification report should be filed every time a new ba sic model is introduced. In addition, a manufacturer is required to report when produc tion of a basic model has ceased and is no longer being distributed.

A compliance statement is the actual certificat ion by the manufacturer or private labeler that its basic models comply with the applicab le standards; that it performed the required testing in conformance with the specified testing procedures; that the information it reported in its certification repor t(s) is true, accurate and comp lete; and that it is aware of the penalties it faces fo r noncompliance and/or making false statements.

3) What information is required to be included in the certification report?

In general, the certification report m ust include, for each basic model:

 the product type

 the product class (please see 10 CFR 430.32 for more information on the product classes) – be sure product classes are identified exactly as specified in 430.32

 the manufacturer’s name

 the private labeler’s name(s) (if applicable)

 the manufacturer’s model number(s).

In addition , each covered product requires specific additional information. Refer to 10 CFR 430.62(a)(4)(i)-(xxii) for greater detail, incl uding the form in which measurements should be presented. An abbreviated summary follows:

 Central air conditioners —seasonal energy efficiency ratio; model number of ducted air mover (if applicable)4  Central air conditioning heat pumps —seasonal energy efficiency ratio; heating seasonal performance factor; model number of ducted air mover (if applicable)

 Clothes washers —energy factor; capacity

 Clothes dryers —energy factor; voltage

 Direct heating equipment —annual fuel utilization efficiency; capacity

 Dishwashers —energy factor

 Faucets —maximum water use for each fau cet; or maximum water use for each flow control mechanism with a listing of accompanied faucets by model number

 Furnaces —annual fuel utilization efficiency

 General service fluorescent lamps —testing lab’s NVLAP identification number or other NVLAP-approved accreditation iden tification; production date codes; 12- month average lamp efficacy; lamp wa ttage; 12-month average Color Rendering
Index

 Incandescent reflector lamps —testing lab’s NVLAP identification number or other NVLAP-approved accreditation identi fication; production date codes; 12- month average lamp efficacy; lamp wattage

 Pool heaters —thermal efficiency

 Refrigerators, refrigerator-freezers, and freezers —annual energy use; total adjusted volume

 Room air conditioners —energy efficiency ratio; capacity

 Showerheads —maximum water use; list of ac companied showerheads by model
numbers

 Urinals —maximum water use

 Water closets —maximum water use

 Water heaters —energy factor; rate d storage volume

As of July 6, 2010:

 Ceiling fans —model number

 Ceiling fan light kits with sockets for medium screw base lamps or pin-based fluorescent lamps —efficacy

 Ceiling fan light kits with sockets othe r than medium screw base lamps or pinbased fluorescent lamps —m odel number

 Medium base compac t fluorescent lamps —minimum initial efficacy; lumen maintenance at 1,000 hours; lumen maintenance at 40 percent of rated life; rapid cycle stress test; lamp life

 Dehumidifiers —energy factor; capacity

 Class A external power supplies —active mode efficiency percentage; no-load mode power consumption; nameplate output power; if missing from nameplate, output current of highest- and lowest- voltage models within design family

 Class A switch-selectable single-volt age voltage external power supplies

— average active mode efficiency percenta ge; no-load mode power consumption at lowest and highest selectable output vo ltage; nameplate output power; if missing from nameplate, output current

 Torchieres —model number5 4) What information is required to be included in the co mpliance statement ?

For consumer products, the compliance statemen t must contain all the information and be
filed in the format set forth in Appendix A to Subpart F of Part 430 . Please refer to that appendix to see the format for the statement. The compliance statement must certify:

 The basic model complies with the app licable energy conservation or water
conservation standard.

 All required testing has been conducted in accordance with the test requirements

in Subpart B of Part 430

.

 All information in the certification report is true, accurate, and complete.

 The manufacturer/private labeler submitting the certification report is aware of the penalties associated with violation of the Act, including the penalties for knowingly filing a false statement to the government.

Please note that the complianc e statement MUST be signed.

5) May I have a third party submit my certification report and compliance
statement?

You may elect to use a third party to submit the certification repor t, in accordance with 430.62(e) . However, you may not use a third part y to submit your compliance statement. If a third party submits a certification report on your behalf, you should submit a compliance statement in accordance with 430.62(a) that states that the information reported in the certification report submitted on [date] (or covering [x] models) by [name of your third party representative] is true, accurate and complete.

 I am a third party representative. What do I need to submit?

You must submit all the information require d on a certification re port (see Question 3 above). You must also include the name(s) of the manufacturers or private labelers who authorized you to submit their certif ication report(s) on their behalf.

6) How do I submit the required information?

Please use certified mail and submit to: Appliance Standards Program (EE-2J) U.S. Department of Energy 1000 Independence Ave., SW Washington, DC 20585-0121

7) What if I have never filed a certifi cation report or compliance statement?

You should file a certificati on report for each basic model th at is currently in production
and/or in distribution.6 8) Do international companies need to report?

Yes, if your company imports and sells cove red products in the United States, you must comply with 10 CFR Part 430 . Any person who imports a covered product is considered a “manufacturer” under Part 430. Covered prod ucts that are not in compliance may be refused admission into the customs territory of the United States. DOE will pursue enforcement actions against foreign manufact urers who distribute covered products in the United States and who fail to comply with the applicable regulations.

9) I participate in the ENERGY STAR program. Do I still need to submit certification reports and compliance statements?

Yes, you still need to submit certification reports and compliance statements to DOE
under part 430 . ENERGY STAR is a voluntary program managed by the EPA. A product listed in the ENERGY STAR program obviously should meet the minimum federal standards. The requirements to submit certification reports and compliance statements are separate, however, and you must file these documents with DOE to fulfill your obligations under part 430

.

10) I manufacture/import/label general service fluorescent lamps and/ or incandescent reflector lamps. Wh at information should I provide?

The certification report for general service fl uorescent lamps and incandescent reflector lamps should include

 The testing laboratory’s National Volunt ary Laboratory Accreditation Program (NVLAP) identification number or other NVLAP-approved accreditation identification;

 Production date codes (and accompanying decoding scheme);

 12-month average lamp efficacy in lumens per watt;

 Lamp wattage; and

 For general service fluorescent lamps only, 12-month average Color Rendering
Index.

 Where can I get a list of NVLAP test laboratories?

A list of laboratories accredited to perform en ergy efficiency testing for lighting products
is available online at http://ts.nist.gov/Standa rds/scopes/eelit. htm

.

 How do I certify new models since I do not have 12-month test data?

The regulations provide different certificati on procedures for new models of general service fluorescent lamps and incan descent reflector lamps. See 430.62(b)(2) for detailed
instructions.7 11) I heard manufacturers will be required to submit certification reports and compliance statements for products that ha d not been subject to the certification requirements before. Is that true?

Yes. On January 5, 2010, DOE published a final rule that adopted certification requirements for 6 additional consumer product types.

 What additional consumer products w ill be subject to the certification requirements?

(1) Ceiling fans (2) Ceiling fan light kits (3) Medium base compact fluorescent lamps (4) Dehumidifiers (5) External power supplies, Class A (6) Torchieres

 When is my certification repor t and compliance statement due?

You must submit your certifica tion report and compliance stat ement no later than July 6,

2010.

 What information must I submit?

See Question 3 and Question 4 above.