Submission Statement of Data 10 CFR Part 430.62

§ 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.
(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 §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.
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(iii) Clothes washers, the energy factor in ft /kWh/cycle and capacity in ft .
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(iv) Clothes dryers, the energy factor in lbs/kWh, capacity in ft , 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 ft3 .
(xiii) Room air conditioners, the energy efficiency ratio and capacity in Btu/hour.
(xiv) Showerheads, the maximum water use in gpm (L/min) with a listing of accompanied showerheads by
manufacturer's model numbers.
(xv) Urinals, the maximum water use in gpf (Lpf).
(xvi) Water closets, the maximum water use in gpf (Lpf).
(xvii) Water heaters, the energy factor and rated storage volume in gallons.
(5) Copies of reports to the Federal Trade Commission which include the information specified in paragraph
(a)(4) could serve in lieu of the certification report.
(b) Model Modifications. (1) Any change to a basic model which affects energy consumption or water
consumption (in the case of faucets, showerheads, water closets, and urinals) constitutes the addition of a
new basic model. If such change reduces consumption, the new model shall be considered in compliance
with the standard without any additional testing. If, however, such change increases consumption while still
meeting the standard, all information required by paragraph (a)(4) of this section for the new basic model
must be submitted, by certified mail, to: Department of Energy, Office of Energy Efficiency and Renewable
Energy, Office of Codes and Standards, Forrestal Building, 1000 Independence Avenue, SW, Washington,
DC 20585–0121.
(2) Prior to or concurrent with the distribution of a new model of general service fluorescent lamp or
incandescent reflector lamp, each manufacturer and private labeler shall submit a statement signed by a
company official stating how the manufacturer or private labeler determined that the lamp meets or exceeds
the energy conservation standards, including a description of any testing or analysis the manufacturer or
private labeler performed. This statement shall also list the model number or descriptor, lamp wattage and
date of commencement of manufacture. Manufacturers and private labelers of general service fluorescent
lamps and incandescent reflector lamps shall submit the certification report required by paragraph (a)(4) of
this section within one year after the date manufacture of that new model commences.
(c) Discontinued model. When production of a basic model has ceased and it is no longer being distributed,
this shall be reported, by certified mail, to: Department of Energy, Office of Energy Efficiency and
Renewable Energy, Office of Codes and Standards, Forrestal Building, 1000 Independence Avenue, SW,
Washington, DC 20585–0121. For each basic model, the report shall include: product type, product class,
the manufacturer's name, the private labeler name(s), if applicable, and the manufacturer's model number. If
the reporting of discontinued models coincides with the submittal of a certification report, such information
can be included in the certification report.
(d) Maintenance of records. The manufacturer or private labeler of any covered product subject to any of the
energy performance standards, water performance standards (in the case of faucets, showerheads, water
closets, and urinals), or procedures prescribed in this part shall establish, maintain, and retain the records of

the underlying test data for all certification testing. Such records shall be organized and indexed in a fashion
which makes them readily accessible for review by DOE upon request. The records shall include the
supporting test data associated with tests performed on any test units to satisfy the requirements of this
subpart. The records shall be retained by the manufacturer (private labeler) for a period of two years from
the date that production of the applicable model has ceased.
(e) Third party representation. A manufacturer or private labeler may elect to use a third party to submit the
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]