§ 431.327 - 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 equipment covered by this subpart and subject to an energy conservation standard set forth in this part, shall certify by means of a compliance statement and a certification report that each basic model meets the applicable energy conservation standard.

(2) Each manufacturer or private labeler of a basic model of metal halide lamp ballast shall file a compliance statement and its first certification report with DOE on or before March 9, 2011.

(3) Amendment of information. If information in a compliance statement or certification report previously submitted to the Department under this section is found to be incorrect, each manufacturer or private labeler (or an authorized representative) must submit the corrected information to the Department at the address and in the manner described in this section.

(4) Third-party representatives. Each manufacturer or private labeler shall notify the Department when designating a third-party representative and shall notify the Department of any changes of third-party representatives which is to be sent to the Department at the address and in the manner described in this section.

(5) Compliance statement. Each manufacturer or private labeler need submit its compliance statement once. Such statement shall include all required information specified in the format set forth in Appendix A of this subpart and shall certify, with respect to each basic model currently produced by the manufacturer and all new basic models it introduces in the future, that:

(i) Each basic model complies and will comply with the applicable energy conservation standard;

(ii) All representations as to efficiency in the manufacturer's certification report(s) are and will be based on testing conducted in accordance with the applicable test requirements prescribed in this subpart;

(iii) All information reported in the certification report(s) is and will be 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.

(6) Certification report. Each manufacturer must submit to DOE a certification report for each of its metal halide lamp ballast basic models. The certification report (for which a suggested format is set forth in Appendix B of this subpart) shall include for each basic model the product type, product class, manufacturer's name, private labeler's name(s) (if applicable), the manufacturer's model number(s), and the ballast efficiency in percent. A single certification report may be used to report required information for multiple basic models.

(7) Copies of reports to the Federal Trade Commission that include the information specified in paragraph (a)(6) of this section could serve in lieu of the certification report.

(b) Model modifications. Any change to a basic model that affects energy consumption constitutes the addition of a new basic model. If such a change reduces energy consumption, the new model shall be considered in compliance with the standard without any additional testing. If, however, such a change increases energy consumption while meeting the standard, then the manufacturer must submit all information required by paragraph (a)(6) of this section for the new basic model.

(c) Discontinued models. A manufacturer shall report to the Department a basic model whose production has ceased and is no longer being distributed. For each basic model, the report shall include: equipment type, equipment class, the manufacturer's name, the private labeler's 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) Third-party representation. A manufacturer or private labeler may elect to use a third party (such as a trade association or other authorized representative) to submit the certification report to DOE. Such certification reports shall include all the information specified in paragraph (a)(6) 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 model modification information, as specified in paragraph (b) of this section, and discontinued model information, as specified in paragraph (c) of this section, on behalf of an authorizing manufacturer or private labeler.

(e) Submission instructions. All reports and notices required by this section shall be sent by certified mail to: U.S. Department of Energy, Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121, or by e-mail to the Department at: [e-mail]. If submitting by e-mail, the compliance statement must be provided in PDF format (which shows the original signature).