[Federal Register: May 29, 1997 (Volume 62, Number 103)]
[Rules and Regulations]
[Page 29221-29241]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29my97-32]
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_______________________________________________________________________
Part III
Department of Energy
_______________________________________________________________________
Office of Energy Efficiency and Renewable Energy
_______________________________________________________________________
10 CFR Part 430
Energy Conservation Program for Consumer Products: Fluorescent and
Incandescent Lamp Test Procedures; Final Rule
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DEPARTMENT OF ENERGY
Office of Energy Efficiency and Renewable Energy
10 CFR Part 430
[Docket No. EE-RM-220-IF]
RIN 1904-AA61
Energy Conservation Program for Consumer Products; Fluorescent
and Incandescent Lamp Test Procedures
AGENCY: Office of Energy Efficiency and Renewable Energy, DOE.
ACTION: Final rule.
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SUMMARY: This Final Rule amends the currently effective Interim Final
Rule on test procedures for certain fluorescent and incandescent lamps
and promulgates new and revised regulatory definitions applicable to
lamps based on public comments. Lighting manufacturers must use these
test procedures to meet the lamp standards in the Energy Policy Act of
1992.
DATES: This rule is effective June 30, 1997. The incorporation by
reference of certain publications listed in the regulations is approved
by the Director of the Federal Register as of June 30, 1997.
ADDRESSES: Public comments on the Interim Final Rule and the documents
incorporated by reference may be viewed at the Department of Energy
Freedom of Information Reading Room, U.S. Department of Energy,
Forrestal Building, Room 1E-190, 1000 Independence Avenue, SW,
Washington, DC 20585, (202) 586-3142, between the hours of 9:00 a.m.
and 4:00 p.m., Monday through Friday, except Federal holidays.
The Department of Energy (DOE or the Department) is incorporating
by reference the following industry consensus test standards:
1. Illuminating Engineering Society of North America LM-16-1993,
``IESNA Practical Guide to Colorimetry of Light Sources.''
2. Illuminating Engineering Society of North America LM-20-1994,
``IESNA Approved Method for Photometric Testing of Reflector-Type
Lamps.''
3. Illuminating Engineering Society of North America LM-58-1994,
``IESNA Guide to Spectroradiometric Measurements.''
4. Illuminating Engineering Society of North America Lighting
Handbook, Reference and Application, 8th Edition, 1993, Chapter 6,
Light Sources.
5. American National Standards Institute C78.21-1989,
``Incandescent Lamps--PAR and R Shapes.''
6. American National Standards Institute C79.1-1994, ``Nomenclature
for Glass Bulbs--Intended for Use with Electric Lamps.''
Copies of the Illuminating Engineering Society of North America
(IESNA) standards may also be obtained from IESNA, Publications
Department, 120 Wall Street, Floor 17, New York, NY 10005-4001, (212)
248-5000. Copies of the American National Standards Institute (ANSI)
standards may also be obtained from ANSI, 11 West 42nd Street, New
York, NY 10036, (212) 642-4936.
FOR FURTHER INFORMATION CONTACT: Mr. Terrence L. Logee, U.S. Department
of Energy, Office of Energy Efficiency and Renewable Energy, Mail
Station EE-431, Forrestal Building, 1000 Independence Avenue, SW,
Washington, DC 20585-0121, (202) 586-1689 or Mr. Eugene Margolis, Esq.,
U.S. Department of Energy, Office of General Counsel, Mail Station GC-
72, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC
20585-0103, (202) 586-9507.
SUPPLEMENTARY INFORMATION:
I. Introduction
II. Background Information
III. Discussion of Comments and Changes to the Interim Final Rule
A. General Comments
(1) Compliance Statements and Certification Reports
(2) Recertification of 8-Foot Fluorescent Lamps
(3) Devaluation of the Lumen
(4) Monitoring Sales Data for Loopholes
(5) DOE and FTC Coordination on Testing and Labeling
B. 25-Watt Lamp
(1) Safety
(2) Relabeling of 40-Watt Halophosphate Lamps
(3) Rated Wattage
C. R, BR and ER Incandescent Lamps
D. Colored Lamps
(1) Chromaticity
(2) CRI and CCT
(3) Neodymium Lamps
(4) Plant Lamps
E. Rough or Vibration Service Lamps
F. Sampling Plan and Confidence Limits
(1) Sample Size
(2) Derating the Sample Mean
(3) Variability and Confidence Limits
(4) Derating Factor
(5) ``z'' Test
G. Rated Voltage Range
H. Test Voltage for Incandescent Lamps
I. Basic Model
J. Measures of Energy Consumption
K. CRI Testing
L. Lamp Test Period for New and Existing Lamp Models
M. Certification Data
N. Medium Base Compact Fluorescent Lamps and General Service
Incandescent Lamps
O. Test Procedures
P. Definitions
Q. National Voluntary Laboratory Accreditation Program (NVLAP)
R. Long-life Halogen Lamps
IV. Procedural Requirements
A. Review Under the National Environmental Policy Act of 1969
B. Review Under Executive Order 12866, ``Regulatory Planning and
Review''
C. Review Under the Regulatory Flexibility Act of 1980
D. Review Under Executive Order 12612, ``Federalism''
E. Review Under Executive Order 12630, ``Governmental Actions and
Interference with Constitutionally Protected Property Rights''
F. Review Under the Paperwork Reduction Act of 1980
G. Review Under Executive Order 12988, ``Civil Justice Reform''
H. Review Under Section 32 of the Federal Energy Administration Act
of 1974
I. Review Under Small Business Regulatory Enforcement Fairness Act
of 1996
J. Review Under the Unfunded Mandates Reform Act of 1995
SUPPLEMENTARY INFORMATION:
I. Introduction
Part B of Title III of the Energy Policy and Conservation Act, as
amended (EPCA or the Act), establishes the Energy Conservation Program
for Consumer Products Other Than Automobiles.1 The consumer
and commercial products currently subject to this program (covered
products) include general service fluorescent lamps and incandescent
reflector lamps, the subjects of today's Final Rule.
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\1\ Part B of Title III of EPCA, as amended, is referred to in
this Final Rule as the ``Act'', and provisions of the Act are
referred to either as ``Section __ of the Act'' or as ``Section
__.'' Part B of Title III is codified at 42 U.S.C. 6291-6309.
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The Act specifies that the Secretary of Energy shall prescribe test
procedures for fluorescent lamps and incandescent reflector lamps
taking into consideration the applicable IESNA or ANSI standards.
Section 323(b)(6) of EPCA, 42 U.S.C. 6293(b)(6). The IESNA and ANSI
test methods for these products have been reviewed by the National
Institute of Standards and Technology of the United States Department
of Commerce (NIST) in consultation with the National Electrical
Manufacturers Association (NEMA), which represents the lamp
manufacturers with the predominant market share. The Department has
determined that the referenced test procedures effectively measure lamp
efficacy and color rendering index, and they are not unduly burdensome
to conduct. Therefore, today's Final Rule incorporates by reference the
test methods found in IESNA standards LM-
[[Page 29223]]
16-1993, LM-20-1994, and LM-58-1994 for testing and measuring the
color rendering index and performance of fluorescent lamps and
incandescent reflector lamps. These revisions of IESNA standards LM-16,
LM-20, and LM-58 replace older standards incorporated by reference in
the Interim Final Rule on Test Procedures for Fluorescent and
Incandescent Lamps (the Interim Final Rule). 59 FR 49468, September 28,
1994. This Final Rule incorporates by reference Chapter 6 from the
IESNA Lighting Handbook which shows incandescent lamp filament
configurations. This Final Rule also incorporates by reference the
nomenclature for glass bulbs for lamps found in ANSI C79.1-1994 and the
PAR and R bulb shape descriptions found in ANSI C78.21-1989.
Additionally, today's rule extends the date for submission of
compliance statements and certification reports for existing lamps to 6
months from the publication of this rule, modifies the sampling plan,
and adds definitions for colored lamps, rated voltage, elliptical
reflector (ER) and bulged reflector (BR) lamps, and rough and vibration
service incandescent lamps.
II. Background Information
The Interim Final Rule added a new section in the Code of Federal
Regulations establishing test procedures for general service
fluorescent lamps, medium base compact fluorescent lamps, and general
service incandescent lamps. CFR Appendix R to Subpart B of Part 430.
The test procedures incorporated by reference ANSI Standards C78.1-
1991, C78.2-1991, C78.3-1991, C78.375-1991, C82.3-1983; IESNA Standards
LM-9-1988, LM-16-1984, LM-20-1982, LM-45-1991, LM-58-1983, LM-66-1991;
and the International Commission on Illumination, Publication 13.2-
1974. To provide consumer confidence in the test measurements, the
Interim Final Rule adopted a sampling plan based on a 99-percent
confidence limit for testing general service fluorescent lamps, general
service incandescent lamps, and medium base compact fluorescent lamps.
The sampling provisions required testing from a minimum sample of 20
lamps. The Interim Final Rule required that testing be done in a
laboratory that is accredited by the National Voluntary Laboratory
Accreditation Program (NVLAP), a division of NIST.
The energy conservation standards for general service fluorescent
and incandescent reflector lamps prescribed in the Act were included in
the Interim Final Rule. The Interim Final Rule also included
certification requirements and definitions of terms related to
standards and test procedures for lamps.
The Final Rule differs from the Interim Final Rule in the following
principal ways:
The sampling plan was revised from 20 to 21 lamps.
Confidence limits were set at 95 percent.
The derating factor was changed from 0.99 to 0.97.
The test voltage for incandescent lamps was changed to the
rated voltage as defined in this rule.
The definition of basic model was revised to be
independent of a lamp's photometric distribution (i.e., beam spread).
Definitions for rated wattage and for residential
straight-shaped lamp for fluorescent lamps were added.
The definition of cold temperature fluorescent lamp was
revised to require markings for cold temperature use on the lamp.
The calculations of annual operating costs and energy
consumption were revised to allow manufacturers to use any price and
operating hour assumptions if the assumptions are clearly and
accurately described.
A provision for use of the pre-1996 valuation for lumens
and definitions clarifying coverage of certain fluorescent lamps were
added.
Definitions for BR and ER incandescent lamps, for colored
lamps and for rough or vibration service incandescent lamps were added.
A requirement for manufacturers of new lamp models to
state they believe new lamps will meet energy efficiency standards was
added.
Additionally, today's rule provides for submission of
manufacturer's compliance statements for existing lamps 6 months from
the publication of today's rule. The rule also discusses the 25-watt
fluorescent lamp issues and describes the Department's rationale for
the residential straight-shaped lamp definition.
III. Discussion of Comments and Changes to the Interim Final Rule
The Department received 45 written comments in response to the
September 28, 1994, Interim Final Rule. The Department also held a
hearing on November 15, 1994, a workshop on July 19, 1995, and a public
meeting on March 5, 1996, to discuss issues raised by comments and
other issues that required clarification. Attendees represented lamp
importers, energy and environmental groups, state energy offices,
lighting consultants, NIST and most of the U.S. lamp manufacturers.
A. General Comments
(1) Compliance Statements and Certification Reports
NEMA requested that manufacturers be given a choice of testing by
industry protocols or by DOE test procedures. NEMA commented that this
choice would allow manufacturers flexibility in testing lamps for
compliance with energy conservation standards. NEMA proposed that if
testing is conducted in accordance with DOE test procedures, DOE should
extend the date for submission of compliance statements and
certification reports for existing lamps to 6 months from the
publication of this rule. NEMA requested that if DOE elects for a
period shorter than 12 months, DOE adjust the sampling rules in 10 CFR
Sec. 430.24(r)(1) and (2) (NEMA, No. 14 at 8.2)
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\2\ The Department assigned docket numbers and comment numbers
to comments we received on the Interim Final Rule.
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The Department has determined that compliance statements and
certification reports should be based only on DOE test procedures, as
amended by this Final Rule. DOE believes that manufacturers will be
able to complete their compliance statements and certification reports
within 6 months of the publication of this Final Rule. Under the
Interim Final Rule, manufacturers should have collected by November 1,
1995, all or most of the samples needed for testing. The revised
sampling plan requires three lamps per month for 7 out of 12 months.
The changes in the rule relating to testing and certification at rated
voltage for incandescent lamps and the derating factor have no effect
on sample selection. Therefore, the Department has decided that it will
consider as timely those compliance statements and certification
reports for existing lamps that manufacturers file within 6 months from
the publication of this Final Rule. Manufacturers will have one year to
file compliance and certification reports for new lamp models.
(2) Recertification of 8-Foot Fluorescent Lamps
NEMA asked the Department to clarify in the preamble to the Final
Rule that lamps tested prior to May 1, 1994, to meet standards that
went into effect on May 1, 1994, would not need to be retested nor
would compliance statements and certification reports need to be
resubmitted. (NEMA, No. 4 at 5.) NEMA referred to its letter to DOE
dated February 22, 1993, which outlined the procedures industry would
[[Page 29224]]
use to test and certify 8-foot fluorescent lamps to DOE. (NEMA, No. 14
at 8.)
The test procedures and sampling provisions for lamp efficacy and
color rendering index (CRI) in the NEMA letter dated February 22, 1993,
are in fact similar to those in the Interim Final Rule. The only
difference is that the sampling plan for CRI proposed in the letter
requires only 10 lamps from any two production lots from the 12 months,
whereas the sampling plan in the Interim Final Rule requires testing
for CRI from the same 20 lamps which were tested for lamp efficacy.
(NEMA, No. 23 at 1-8.)
The Department agrees with NEMA and will not require
recertification of 8-foot lamps. The Department concludes that CRI
determined from a 10-lamp subset of the 20-lamp sample used for the
lamp efficacy testing will be sufficient for testing 8-foot fluorescent
lamps. Therefore, manufacturers' compliance statements and
certification reports submitted in accordance with the test procedures
in the February 22, 1993 letter from NEMA are acceptable for
certification of existing 8-foot lamps. Furthermore, DOE will not
construe the Final Rule as requiring manufacturers to conduct new
testing or to resubmit compliance statements and certification reports
for basic models of 8-foot fluorescent lamps that the manufacturer
tested in accordance with those guidelines prior to May 1, 1994. New
products distributed for sale after today must be tested and certified
to today's rule.
(3) Devaluation of the Lumen
The lumen values in the lamp energy conservation standards in the
Act are based on a value established in 1975 for the lumen. In January
1996, NIST devalued the lumen by 1.1 percent to bring U.S. lumen
measurements into agreement with other industrialized countries. NEMA
requested that the Final Rule provide a separate adjustment factor for
the devaluation of the lumen so that the lamp efficacy measurements of
lumens per watt (W) are consistent with the value of the lumen used to
determine the lamp efficacy in the energy conservation standards. NEMA
and Litetronics recommended that lumen values derived from testing be
multiplied by 1.011 to account for the devaluation. (NEMA, No. 14 at 4;
Litetronics, No. 12 at 1.)
NIST has issued a notice to all users of lamp measurement standards
announcing a 1.1 percent lower realization (devaluation) of the lumen.
Since NIST calibrated all of the current standard lamps (see Section F
of this part for more on standard lamps) with the old lumen value, the
Department will require that all measurements be reported in 1995
lumens until such time as the reference lamps are recalibrated. The
Final Rule provides a conversion factor of 1.011 which is to be used to
multiply measurements made on equipment calibrated to the new lumen
standard. This is found in Appendix R at 10 CFR Part 430, Subpart B,
``Test Methods and Measurements.''
(4) Monitoring Sales Data for Loopholes
The American Council for an Energy Efficient Economy (ACEEE)
suggested that DOE set up a means of monitoring sales of lamp products
exempt under the Energy Policy Act of 1992 (EPAct). Monitoring would
apply to ER, BR, rough or vibration service, and colored incandescent
lamps; as well as cold temperature, colored, and 4-foot fluorescent
lamps less than 28 watts. This monitoring would determine if any of
these categories undergo large increases in sales. ACEEE suggested that
DOE collect the data or work with the Census Bureau to collect such
data. If monitoring shows increases in sales of exempted products, DOE
should investigate and develop regulations to better define these
exemptions. (ACEEE, No. 16 at 4.)
The Department believes that this suggestion has merit and will use
statistics obtained from the Census Bureau and NEMA, if available, to
monitor sales data to determine if exempted lamps are experiencing
significant increases in market share beyond the growth forecast from
pre-1992 data.
(5) DOE and FTC Coordination on Testing and Labeling
NEMA requested that DOE state that its test procedures do not
supplant Federal Trade Commission (FTC or the Commission) rules. NEMA
further requested that DOE clarify that Sections 430.23 and 430.62 of
10 CFR Part 430 only apply to manufacturers' compliance and
certification for minimum efficacy and CRI standards and not to
representations of lumens, watts, or life. NEMA stated that
``enforcement of manufacturers' representations of performance
criteria, such as lumens, watts, and life, requires consideration of
additional factors that take account of measurement uncertainties and
process and materials variations.'' (NEMA, No. 6 at 2-3.)
The DOE measures of energy consumption in Sec. 430.23 of 10 CFR
Part 430 apply to manufacturers' representations of lamp efficacy and
CRI in the case of fluorescent lamps but not to representations of lamp
lumens or watts. The DOE certification requirements in Sec. 430.62 of
10 CFR Part 430 apply only to manufacturers' compliance and
certification for minimum efficacy and CRI standards and the report of
lamp lumens and wattage output as required by Sec. 325(i)(7) of EPCA,
U.S.C. 6295(i)(7). Lumens and wattage are not measures of energy use
(per Sec. 323(c) of EPCA, U.S.C. 6293(c)) and therefore neither the DOE
sampling plan nor the test procedures apply to such representations.
At the March 5, 1996, lamp workshop, NEMA stated that application
of the sampling plan and confidence limits in the DOE test procedures
should be strictly for determining lamp efficacy and CRI and not to be
applied to representations in marketing brochures, advertising, etc.
ACEEE cautioned the Department to let FTC determine the accuracy and
sampling requirements for labeling and not to make an implied
endorsement of current levels of accuracy. The FTC representative
confirmed that the Commission would accept measurements from DOE test
procedures, but that the use of DOE test procedures are not required by
the Commission. (Lamp Meeting Transcript, March 5, 1996, at 232-261.)
NEMA commented that representations require less accuracy than the
certification reports and that the one-sided statistical test for
confidence in meeting the minimum standards does not apply where a two-
sided statistical test should be used for representing the average
value of lamp efficacy, lumens, or watts. NEMA claimed that FTC
regulations allow manufacturers to use acceptable industry practice for
determining the accuracy of lamp labels. Furthermore, NEMA claimed that
DOE regulations on confidence limits should not apply until FTC
requires the same confidence limits for test results appearing on
labels. (Lamp Meeting Transcript, March 5, 1996, at 232-261.)
The Department believes that the one-sided confidence limit reduces
the testing burden on manufacturers and assures the consumer that lamp
performance will meet or exceed the lamp efficacy standards.
Furthermore, the Act requires that any manufacturer making
representations of lamp efficacy and energy consumption must do so
according to DOE test procedures and sampling plans. This ensures that
consumers get lamp performance that is at least as good as represented.
The Act prohibits manufacturers, retailers, distributors and
private labelers from making any representations in writing (including
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labels) or in any advertisements with respect to energy use or
efficiency or the cost of energy consumed unless the product under
consideration has been tested in accordance with DOE test procedures,
and unless the representations fairly disclose the results of the
testing. Section 323(c) of EPCA, 42 U.S.C. 6293(c). Furthermore, the
Act requires manufacturers to file with DOE a laboratory report
certifying the average lumen output and wattage consumption for each
lamp type. Section 325(i)(7) of EPCA, 42 U.S.C. 6295(i)(7).
Consequently, manufacturers must use the Department's test procedures
including calculation of sample means and confidence limits to certify
lamp efficacy and CRI. Manufacturers also must use these procedures to
measure lumen output and wattage consumption for the laboratory report.
The Department believes that its test procedures for lamps will fulfill
the FTC requirements for lamp testing.
B. 25-Watt Lamp
The energy efficiency standards for 4-foot medium bi-pin
fluorescent lamps are prescribed in Sec. 325(i)(1) of EPCA, 42 U.S.C.
6295(i)(1). Lamps with a rated wattage of 28 or more must meet a
minimum lamp efficacy of 75 lumens per watt. The standard precludes the
manufacture of most 40-watt halophosphate (e.g., cool white, warm
white) lamps and permits the use of 34-watt halophosphate lamps
instead. In response to consumer demand and safety concerns,
manufacturers have developed a lower wattage 4-foot lamp for
residential use. These lamps typically have wattages of less than 28
when used on low-power-factor residential ballasts. However, in a
commercial application on high-power-factor ballasts, these lamps can
operate at wattages as high as 40 and may not meet the applicable
standards for covered lamps. The issues of safety, relabeling, rated
wattage and exemption by low wattage are discussed below.
(1) Safety
Manufacturers and NEMA commented that the reduced wattage lamp
(i.e., 34-watt lamp) may overheat the ballast and cause damage if used
with a low-power-factor ballast. Low-power-factor ballasts are used
primarily in residential applications, but older ballasts of that type
may still be in use in some commercial buildings. NEMA commented that a
large number of low-power-factor ballasts exist in small office
fixtures, in residential fixtures, and in shop-light fixtures. (NEMA,
No. 18 at 1.) If the 40-watt lamp in these fixtures is replaced with a
34-watt lamp, the ballast is subjected to a current about 35 percent
higher than rated and an input wattage about 15 percent higher than
rated. NEMA states that ``the increased current and wattage can cause
ballasts to operate at a temperature significantly over the maximum
temperature for which they were designed.'' (NEMA News Release, April
10, 1995, page 1.) NEMA suggests that people should use 40-watt lamps
unless the ballast label specifically allows the use of 34-watt energy-
saver lamps. (NEMA, No. 18 at 1.)
The Department discussed the safety risks of the 34-watt energy-
saver lamp with the staff of the Consumer Product Safety Commission
(CPSC). A CPSC representative attended the July 19, 1995, lamp workshop
at which manufacturers, NEMA and energy advocates discussed safety
concerns. In response, the CPSC representative recommended that
industry provide a description of the problem and a corrective action
plan. (Workshop Transcript, July 19, 1995, at 182.)
At the July 19, 1995, lamp workshop, General Electric (GE) stated
it had developed a 25-watt, 6,000 hour cool white lamp for low-power-
factor ballast applications. (Workshop Transcript, July 19, 1995, at
182.) GE and Philips commented that the 25-watt lamp was developed to
provide a safe alternative to the 34-watt energy-saver lamp. They
claimed the new lamp is a cost effective replacement for the old shop-
light lamps and is specifically designed with a shorter life for use in
residential shop-light fixtures. (GE, No. 33 at 1-6; Philips, No. 34 at
1-3.)
DOE believes using 34-watt lamps with low-power-factor ballasts is
a safety hazard. This hazard can be eliminated by use of a properly
designed 40-watt or 25-watt lamp because these lamps do not cause the
lighting system to operate at higher current when used with a low-
power-factor ballast. Because the Department has allowed the sale of
25-watt lamps for residential use only and manufacturers sell several
types of 40-watt lamps which meet the standards, safe lamps are readily
available to consumers, so the safety hazard is minimal.
(2) Relabeling of 40-Watt Halophosphate Lamps
Osram Sylvania (OSI) claimed that imported 40-watt lamps could
easily be relabelled as 25-watt lamps to avoid the standard. (OSI, No.
11 at 1.) GE claimed that the risk of mislabeled 40-watt import
products is very small because of shipping and handling costs,
potential DOE penalties, and the small import market. (GE, No. 33 at 1-
6; Meeting Transcript, March 5, 1996, at 65.)
At the lamp meeting on March 5, 1996, GE recommended that DOE adopt
an approach the Canadian government is using to prevent relabeling. The
Canadian definition of general service fluorescent lamp includes a
clause that makes any lamp subject to standards if it is physically and
electrically equivalent to a regulated lamp. OSI and Philips agreed
with this recommendation. GE clarified its recommendation with a
statement that if the lamp is physically and electrically equivalent--
and life, lumens, and watts are not altered--then the lamp is
equivalent for labeling purposes. (Meeting Transcript, March 5, 1996,
at 33, 84, 90, 288, and 309.)
The Canadian government issued an amendment to its Energy
Efficiency Regulations with respect to fluorescent lamps and
incandescent reflector lamps on November 7, 1995. Among other changes
to these regulations, the Canadian government revised the definition of
``general service fluorescent lamp.'' The amended definition makes any
fluorescent lamp subject to standards if it is a physical and
electrical equivalent of one of the following four lamp types: (1) a
48'' rapid-start lamp rated at 28 watts or more; (2) a rapid-start U-
shaped lamp rated at 28 watts or more; (3) a rapid-start, 96'', 0.800
ampere, high-output lamp; or (4) an instant-start, 96'', slimline lamp
rated at 52 watts or more.
NEMA recommended in its November 4, 1996, letter that DOE not add a
proposed fifth clause on lamp equivalency to the fluorescent lamp
definition. In a later discussion, NEMA claimed that the proposed
clause would create a new class of lamps which had not been reviewed by
the stakeholder community. In its letter, NEMA proposed that the
clarification of equivalent lamps be added to the preamble. (NEMA, No.
45 at 1 and 2.)
Based on consideration of the comments, the Department will not
include a criterion for physical and electrical equivalency in its
definition of fluorescent lamp in 10 CFR Sec. 430.2. However, by
interpretation, the Department will consider a fluorescent lamp as a
covered fluorescent lamp if it has substantially equivalent physical
and electrical characteristics when operated on a covered fluorescent
lamp's reference ballast.
(3) Rated Wattage
The term ``rated wattage'' is used in the definition of fluorescent
lamps in Sec. 321(a)(30)(A) of the Act, but it is not
[[Page 29226]]
defined in the statute. Furthermore, the statutory energy conservation
standards do not apply to 4-foot medium bi-pin fluorescent lamps rated
less than 28 watts. Section 321(a)(30)(A)(i) of the Act, 42 U.S.C.
6291(a)(30(A)(i). Noting that Sec. 323(b)(6) of the Act requires the
Secretary to prescribe test procedures that take into consideration the
applicable IESNA or ANSI standard, the Department is defining ``rated
wattage,'' for purposes of 4-foot fluorescent lamps, based on ANSI
C78.1-1991.
NEMA recommended that rated wattage, and thus lamp coverage, be
determined by using the reference ballast specifications in the ANSI
standards measured in accordance with either ANSI C78.375 or IESNA LM-
9. (NEMA, No. 35 at 7.) A proposed draft ANSI standard of lamp
characteristics for the 25-watt fluorescent lamp was noted in several
comments, and there was unanimity among manufacturers at the March 1996
lamp meeting to use the ANSI C78.1 reference ballast characteristics to
determine fluorescent lamp wattage. (Meeting Transcript, March 5, 1996,
at 17-24; Philips, No. 34 at 1-3; OSI, No. 30 at 1-2.)
The Alliance to Save Energy (ASE) recommended that the Department
develop a simple regulation that states ``If a lamp can operate on a
commercial (high-power-factor) ballast, it should be tested by the
standards set up for lamps that operate on commercial ballasts.'' (ASE,
No. 31 at 1-3.) GE claimed that mandating testing for compliance on a
commercial ballast is unfair to manufacturers because the product was
not designed for that use. (GE, No. 38 at 1-5.) OSI recommended that
DOE adopt only the industry standards in effect at the time the statute
became effective. (OSI, No. 30 at 1-2.)
GE claimed that its 25-watt lamp is not subject to regulation
because it is rated below the statutory limit. (GE, No. 33 at 1.)
However, OSI claimed that the 25-watt lamp, when operated on high-
power-factor ballasts, is really a 40-watt cool white lamp and
therefore must meet DOE standards. Furthermore, it cites DOE's letter
of August 30, 1995, which states that lamp operating characteristics
``are determined by testing with a reference ballast (per ANSI
standards) and not by the lamp's use or application such as when
connected to a low-power-factor ballast.'' (OSI, No. 17 at 1 and No. 30
at 1.) The Alliance to Save Energy claimed that the 25-watt lamp does
not meet DOE standards during operation on high-power-factor ballasts.
(ASE, No. 31 at 1-3.)
To reduce commercial crossover of its 25-watt lamp, GE stated it
has designed the cathode used in the 25-watt lamp for an arc current of
250 milliamperes (mA) versus the 430 mA arc current for lamps designed
for use with commercial ballasts. GE states that operation of the 25-
watt lamp at the high current of a commercial ballast will cause severe
overheating of the cathode which will result in a lamp life of not more
than 6,000 hours. By contrast, GE claimed that the 34-watt cool white
energy-saver lamp will operate 20,000 hours on a commercial ballast.
(GE, No. 33 at 1-6.) Philips stated that its 25-watt lamp is designed
with a cathode that will shorten lamp life to 6,000 hours and cause
severe end darkening if it is used on a commercial, high-power-factor
ballast. (Philips, No. 34 at 1-3.)
Based on its statistics, GE claimed that lamp life greatly controls
market distribution of fluorescent lamps. GE claimed that a 6,000-hour
life would be a deterrent to use of the 25-watt lamp on high-power-
factor ballasts. However, OSI and environmentalists were skeptical that
the 6,000 hour life would be short enough to discourage the use of the
25-watt lamp on high-power-factor ballasts. (Meeting Transcript, March
5, 1996, at 31.)
GE calculated that the maximum number of previously sold 40-watt
cool white lamps which may migrate to the new 25-watt shop-light is 14
million, or 3.5 percent of the total market. (GE, No. 39 at 1-5.) OSI
claimed that home center markets, where this 25-watt lamp would be
sold, typically sell 50-60 percent of their lighting products to
commercial users, so there is a high likelihood that these lamps would
be put into commercial use. (OSI, No. 11 at 1.) OSI claimed that the
lost energy savings for each four-lamp fixture, using 40-watt lamps
instead of the 34-watt lamps intended by EPAct, are 60 kilowatt hours
(kWh) per 3,000-hour year. (OSI, No. 11 at 1.) ASE claimed that up to 1
billion kWh of energy savings could be lost. (ASE, No. 31 at 1-3.)
In a June 26, 1996, letter to the GE Lighting Division, the
Department restated its position on the 25-watt lamp. In that letter,
the Department stated that lamps that have a wattage of 28 or more when
used with a high-power-factor ballast are subject to regulation unless
they are designed or marketed exclusively for residential applications.
The letter explained that a lamp will be considered to be designed or
marketed exclusively for residential applications if: (1) it will not
function for more than 100 hours on a commercial high-power-factor
ballast or (2) it has a life of 6,000 hours or less on a commercial
high-power-factor ballast and (a) it is marked for residential
applications only; (b) it is distributed only through consumer/
residential channels, (c) it is packaged and labeled in a manner that
clearly states its applications; (d) it is distributed for retail sale
in boxes of 30 lamps or less; (e) it is listed only in the
manufacturer's consumer/residential catalogs or price lists or, if
listed with commercial/industrial lamps, it is listed in a separate
residential section and is clearly marked by notes or warnings about
improper use on the same page; and (f) the manufacturer clearly states
that improper use of the lamp voids any warranty, explicit or implied.
(DOE, No. 41 at 1-2.)
In response to the June 1996 DOE letter, GE claimed that the rated
wattage of its lamp is less than 28 in its intended use. GE also
claimed that the Shoplite is rated in accordance with industry practice
using ANSI standards. Furthermore, GE claimed DOE's basis for coverage
depends on the possible misapplication of the product, which has no
precedent in the appliance program and exceeds DOE's authority. GE
stated, however, that the company is contemplating the marketing and
labeling requirements as prescribed to provide more assurance that the
Shoplite will be used as intended. (GE, No. 42 at 1-2.)
Also in response to the June 1996 DOE letter, OSI claimed that if a
25-watt lamp is exempt from the lamp standards in EPAct, it is because
the lamp's rated wattage is less than the 28 watt statutory minimum.
OSI stated that DOE's requirements related to lamp life are not
relevant to determining coverage. OSI commented that the DOE letter
also failed to address the fact that the 1991 ANSI standard only
defines reference ballast characteristics for a 40-watt lamp and,
hence, there are no approved ANSI reference ballast characteristics for
a 25-watt lamp. OSI also suggested that DOE add a reference to the
draft ANSI standard for the 25-watt lamp to prevent other nominal lamp
wattages from claiming an exemption. (OSI, No. 43 at 1-3.)
NEMA agreed with DOE's proposal in its June 1996 letter to exclude
25-watt lamps that are designed or marketed exclusively for residential
use. It claimed that the exclusion should apply without limitations to
all straight-shaped lamps less than 28 watts. NEMA claimed that the six
marketing and labeling requirements were too detailed and it requested
development of consistent exclusion guidelines. (NEMA, No. 44 at 1-3.)
The Department is concerned there may be little discernable
difference
[[Page 29227]]
between a fluorescent lamp subject to the Act's requirements (e.g., a
40-watt cool white) and a lamp rated at less than 28 watts and
``intended'' for residential use (e.g., a 25-watt shop-light). The
Department believes these products can be used in a commercial
application without any appreciable difference in utility unless
consumers and distributors are well aware of their short life. The
Department has determined that rated wattage is based on testing with a
reference ballast having characteristics similar to a high-power-factor
commercial ballast unless the manufacturer demonstrates the lamp is
being used in residential applications only. A manufacturer can show
this by using lamp technology that would result in a life of 100 hours
or less when used on a high-power-factor ballast or by using a shorter
life lamp (6,000 hour life or less on a high-power-factor ballast)
marked for residential use only and by marketing strategies that will
restrict the lamp to residential applications. The Department is
defining such a lamp as a residential straight-shaped lamp. In its
letter of November 4, 1996, NEMA agreed with DOE's definition of
``residential straight-shaped lamp.''
The precise wording of the permanent lamp marking is not
prescribed, but manufacturers should clearly indicate that the intended
use is exclusively for residential applications. Furthermore, the test
for a 6,000 hour life on a residential straight-shaped lamp when used
with a commercial high-power-factor ballast shall be based on competent
and reliable scientific determinations made in accordance with
generally accepted industry test practice.
NEMA also proposed that ``rated wattage, with respect to 4-foot
medium bi-pin lamps, is less than 28 watts if the wattage of the lamp
on the reference ballast for which it is specified is less than 28
watts and the lamp is specifically designated and exclusively marketed
based on the operating characteristics of the lamp on such reference
ballast.'' (NEMA, No. 45 at 2.) Based on recommendations in the record
to use industry test procedures, the Department is defining ``rated
wattage'' for four foot fluorescent lamps as the nominal wattage found
in ANSI C78.1-1991 based on the description of rated wattage in Annex
A.2 of ANSI C78.1-1991 (concerning 34-and 40-watt lamps). If the lamp
is a residential straight-shaped lamp that is not found in Annex A-2 of
ANSI C78.1-1991, the rated wattage is determined by the wattage
consumed when the lamp is operated at the reference conditions under
which the lamp was designed to operate. For lamps that are not found in
ANSI C78.1-1991 and that are not residential straight-shaped lamps
(defined in item (4) of this part), rated wattage is determined by
testing in accordance with ANSI C78.375-1991, using the lamp data
sheets in ANSI C78.1-1991 for T8, T10 or T12 lamps as appropriate. If a
manufacturer believes that application of this definition of rated
wattage to a particular lamp is inappropriate, it may request a waiver
from the test procedure (see 10 CFR Sec. 430.27).
The Department believes that its testing, marketing and labeling
requirements are sufficient to prevent most of the crossover of this
lamp and similar lamps into the commercial market. However, DOE may
monitor the sale and distribution of lamps that are labeled as 25-watt
lamps to determine whether these conditions are effective. If the
Department finds 25-watt lamps or similar lamps are being used in
significant numbers for applications where they will perform within the
covered range of wattages in spite of the conditions imposed by today's
rule, the Department will consider whether further limitations are
needed.
C. R, BR and ER Incandescent Lamps
Section 321(30)(C)(ii) of the Act, 42 U.S.C. 6291(30)(C)(ii),
contains exemptions for several types of incandescent reflector lamps
including those for ER (elliptical reflector) and BR (bulged reflector)
bulb shapes. The industry differentiates the ER and BR lamps from R
(reflector) lamps by their shape characteristics. Since the ER is a
specialty lamp used in recessed lighting applications, its shape is
unique. However, the BR lamp shape is not well defined, so the
Department believes it is necessary to describe this lamp by shape and
wattage characteristics to avoid misuse of the exemption.
At the July 19, 1995, workshop, Philips distributed copies of ANSI
C79.1-1994, which shows a line sketch of the ER and BR bulb shapes and
some text describing the ``B'' and ``E'' modifiers. (Workshop
Transcript, July 19, 1995, at 157.) NEMA claimed that ER and BR lamps
should be defined by reference to ANSI C79.1-1994. (NEMA, No. 14 at 8.)
In its notice reopening the comment period on the Interim Final
Rule, the Department stated it believed the definitions in ANSI C79.1-
1994 were new definitions because earlier versions of the document did
not describe these bulb shapes and additional descriptive criteria were
needed such as dimensions for a longer neck, a reflective coating, and
a reduced wattage filament. 61 FR 7431 (February 28, 1996).
At the lamp meeting on March 5, 1996, OSI provided descriptions and
examples of the R, BR, and ER lamps. OSI noted that the R lamp will not
meet the lamp efficacy standards and compared the R lamp to the exempt
BR and ER lamps. OSI stated the BR lamp has a bulge around the neck and
it has a secondary curved reflector in the neck area, which reflects
the light forward into the beam. This reflector reduces the light that
gets trapped by the neck of the bulb. OSI claimed the shape first
appeared in ANSI C79.1-1980 as a reference in the appendix, and
therefore ANSI C79.1-1994 only clarifies the bulb shape. OSI stated the
bulbs have universal application; that is, they can be used anywhere an
R lamp would be used. OSI claimed, however, that to the untrained
observer, the R and BR bulb shapes are nearly indistinguishable.
OSI stated the ER lamp has two foci: one at the back of the lamp
and the other about two inches in front of the lens. This means the
light passes through the focus point in front of the lens before it
spreads. OSI claimed this lamp is used in deep fixtures or small
aperture fixtures because less light is lost in the fixture. OSI stated
the ER lamp has a long neck because the filament is placed at the rear
focus and more length is needed for the stem configuration. It also has
a long neck because it is a replacement for the 150-watt R lamp. The ER
lamp has a well-defined shape that is readily apparent. (Meeting
Transcript, March 5, 1996, at 172-176.)
In its comments, ACEEE attached a copy of a September 17, 1991,
draft of the EPAct legislation, which did not include any BR or ER
exemptions. ACEEE claimed these exemptions were added to protect a
small manufacturer. (ACEEE, No. 16 at 2.) In a memo to ACEEE, OSI noted
the exemption protects special markets and claimed the exemptions will
be used by manufacturers to avoid standards. (ACEEE, No. 16, Attached
Memo.) ACEEE requested that DOE restore the original intent of EPAct by
defining ER and BR lamps so applications of these lamps are limited to
their original purposes. (ACEEE, No. 16 at 2.)
To correct some mistakes in the record, OSI claimed: (1) the BR
lamp is not marketed for recessed applications; (2) the BR lamp is more
efficient than the rough/vibration service R lamp; (3) the BR lamp is a
less costly lamp for the residential reflector lamp market than the
halogen parabolic aluminized reflector lamp (PAR), which usually meets
or exceeds the lamp efficacy
[[Page 29228]]
standards; (4) OSI sells a special high-efficiency 65-watt BR lamp that
meets the efficacy standards; and (5) the ANSI C79.1-1994 bulb shape
specification is a result of the mandatory ANSI 5-year revision cycle,
and it is fundamental to all lamp/fixture interchangeability. (OSI, No.
22 at 1.)
At the lamp meeting in March 1996, NEMA, ACEEE, Duro-Test, and
Philips recommended that DOE use the lamp bulb shapes in ANSI C79.1-
1994 as the basis for the definition of BR and ER lamps. NEMA and Duro-
Test suggested that ANSI C78.21-1989 would provide a more complete
definition and some dimensions of the ER bulb shape. In the Reopening
Notice, DOE proposed a maximum wattage, in addition to bulb shape, as a
defining criterion for BR lamps. In response, NEMA accepted the DOE
proposal. There was no suggestion from manufacturers or interested
parties that DOE incorporate any reflector requirements into its
definition. (Meeting Transcript, March 5, 1996, at 166-98.)
In their comments, NEMA and Duro-Test proposed two options for BR30
wattages: exactly 85 or less than 66. They also proposed a maximum of
120 W for the BR40 lamp. (NEMA, No. 35 at 5; Duro-Test, No. 32 at 2.)
NEMA proposed that any BR lamp that meets the standard should be
allowed. (NEMA, No. 35 at 5.) The Department accepts wattage limits on
the BR30 and BR40 reflector lamps since they have the largest market
share. Wattage limits will also help to maintain energy savings that
could otherwise be lost if full wattage BR lamps are substituted for
PAR and R lamps which must meet the energy standards.
Given the shape characteristics in ANSI C79.1-1994 and ANSI C78.21-
1989, the Department is convinced that ER lamps are a specialty product
which need no further definition. The Department believes it is
necessary to describe BR lamps by the shape characteristics given in
Figure 1 on page 7 of ANSI C79.1-1994 and by wattage characteristics
because the BR shape is not well defined in ANSI C79.1-1994 and it is
easy for manufacturers to substitute BR lamps for R lamps. Since BR
lamps are less expensive than the halogen lamps that meet the
standards, the substitution of BR lamps for R lamps would severely
reduce the energy savings potential of the law. NEMA, the efficiency
advocates, and manufacturers agreed that maximum wattage limits should
be included in the definition of BR lamps which have the largest market
share. Therefore, BR30 and BR40 lamps are exempt if they comply with
the DOE wattage limits. Exempt BR30 lamps include only lamps with rated
wattages of 85 or less than 66, and exempt BR40 lamps will include only
lamps with a maximum rated wattage of 120. If a BR lamp meets the
energy efficiency standards and a manufacturer chooses to file a
certification of compliance with the Department, such lamps are not
subject to the wattage limits. The definitions for BR and ER lamps are
in 10 CFR Sec. 430.2.
D. Colored Lamps
In the Notice of Proposed Rulmaking, the Department defined colored
fluorescent and colored incandescent lamps because Sec. 321(30)(B)(iii)
of EPCA, 42 U.S.C. 6291(30)(B)(iii), and Sec. 321(30)(C)(ii) of EPCA,
42 U.S.C. 6291(30)(C)(ii), contain exemptions for colored lamps without
defining what a colored lamp is. These exemptions are needed since
colored lamps are inherently less efficient than non-colored lamps and
colored lamps use tinting and filters to produce light with a certain
spectral composition, causing the absorption or reflection, or both, of
a significant amount of light. In the Interim Final Rule, the
Department defined a colored fluorescent lamp as a fluorescent lamp
with a CRI less than 30 or color correlated temperatures (CCT) below
2,500 Kelvin (K) or above 7,000 K. Colored incandescent lamps were
defined by a CRI less than 50 or a CCT below 2,500 K or above 7,000 K.
59 FR 49478, September 28, 1994.
The following discussion of colored lamps is divided into the
subtopics of (1) chromaticity, (2) CRI and CCT, (3) neodymium lamps and
(4) plant lamps.
(1) Chromaticity
In its Reopening Notice, the Department sought comment on a colored
lamp definition using x and y chromaticity 3 coordinates
that lie outside of the area on a chromaticity diagram. 61 FR 7431.
NEMA withdrew its proposal for a test related to chromaticity because
the CCT and CRI values proposed by DOE in its Reopening Notice fairly
define colored lamps. (NEMA, No. 35 at 5 and 6.)
---------------------------------------------------------------------------
\3\ Chromaticity is a descriptive characteristic of the color of
a light specified by the coordinates x, y, and z, which are the
ratios of each of the tristimulus values to their sum. The
tristimulus values of a light are the amounts of each of the three
primary colors required to match the color of the light.
---------------------------------------------------------------------------
(2) CRI and CCT
In its Reopening Notice, the Department proposed revised colored
lamp definitions based on CRI or CCT. A colored fluorescent lamp would
be defined as a lamp with a CRI value less than 40 or a CCT not above
2,500 K for red and yellow colors or not below 6,600 K for blue and
green colors, and a colored incandescent lamp would be defined as a
lamp with CRI values below 50 or a CCT not above 2,500 K for red and
yellow colors or not below 4,600 K for blue and green colors. 61 FR
7431.
At the lamp meeting on March 5, 1996, and in written comments, NEMA
endorsed the Department's proposal for the definition of colored lamps
using the CCT and CRI values proposed in the Reopening Notice. NEMA
asked the Department to clarify that either a CCT value or a CRI value
is sufficient to determine that a lamp is colored. (Meeting Transcript,
March 5, 1996, at 124-132; NEMA, No. 35 at 6.)
The colored lamp definition in the Notice of Proposed Rulmaking
caused confusion due to undefined CCT for some colored lamps. The
mathematical procedures for computing CCT don't work for some values of
x and y chromaticity (blue colors, etc.) because these procedures try
to project to a point on the blackbody locus equal to infinite color
temperature. It was also difficult to compute CCT for purple colors
that lie below the blackbody locus, because the curve of the locus
results in more than one CCT value for a single chromaticity. As a
result, the CCT portion of the definition has been revised so that a
lamp would be considered colored as long as the CCT is outside of a
given range. 59 FR 49478.
The revision of the CRI values and CCT ranges proposed in the
Reopening Notice is based on comments from Duro-Test and NEMA regarding
the appropriate boundary points that separate non-colored lamps from
lightly tinted lamps. Raising the maximum CRI for colored fluorescent
lamps from 30 to 40 will include the gold lamp as a colored lamp but
will not allow exempt status for any non-colored lamps. By narrowing
the range for non-colored fluorescent lamp CCT to 2500-6600 K, green
fluorescent lamps will qualify as colored lamps. And by narrowing the
range for non-colored incandescent lamp CCT to 2500-4600 K, green and
blue incandescent lamps will qualify as colored lamps.
The Department believes the CCT and the CRI methods are both valid
indicators of the color characteristics of lamps, although they are
slightly different. Some lamps may be considered colored according to
both methods, whereas others may be considered colored according to one
or the other. However, meeting either criteria is sufficient to
demonstrate the colored characteristic. Also, two
[[Page 29229]]
methods give the manufacturers flexibility to use the test method that
is least burdensome.
Therefore, the Department is defining a colored fluorescent lamp as
a lamp with a CRI value less than 40 or a color correlated temperature
less than 2,500 K for red and yellow colors or not greater than 6,600 K
for blue and green colors. Colored incandescent lamps are defined as
lamps with CRI values below 50 or a lamp color correlated temperature
less than 2,500 K for red and yellow colors or greater than 4,600 K for
blue and green colors. These lamps must be designated and marketed
specifically as colored lamps.
(3) Neodymium Lamps
In its Reopening Notice, the Department proposed that incandescent
lamps with lens filters containing 5 percent or more neodymium are
colored lamps. The Neodymium filter adjusts the light spectrum for
reptile lighting applications. 61 FR 7431. NEMA and Duro-Test agreed
with the Department's proposal for exempting lamps containing 5 percent
or more Neodymium in the lens. (Duro-Test, No. 32 at 2; NEMA, No. 35 at
6.) In today's rule, the Department is exempting Neodymium lamps
containing 5 percent or more Neodymium in the lamp lens.
(4) Plant Lamps
In its Reopening Notice, the Department proposed that incandescent
lamps used for growing plants would be specifically exempted and must
be designated as such on the lamp and in marketing materials. 61 FR
7431. Duro-Test proposed an exemption for incandescent plant lamps that
are specifically designated and marketed for growing plants. It defined
a plant light as an incandescent lamp with a filter used to suppress
the yellow and green portions of the spectrum. (Duro-Test, No. 32 at
2.) The Department is exempting incandescent plant lamps that contain a
filter to suppress the yellow and green portion of the spectrum. Plant
lamps must be specifically designated and marketed for plant growing
applications.
E. Rough or Vibration Service Lamps
In the Notice of Proposed Rulemaking, the Department proposed to
define rough or vibration service incandescent lamps because
Sec. 321(30)(C)(ii) of the Act contains an exemption for these lamps
without providing a definition. These lamps are inherently less
efficient than normal service lamps because the lamps have stronger
filament mounting configurations with more supports that conduct heat
away from the filament causing a lower filament temperature, and, thus,
lower luminous efficacy. In its proposed definition, the Department
defined a rough or vibration service lamp by a filament configuration
of C-17 or C-22 or the ability to pass a vibration test. 59 FR 49478.
The vibration test consisted of subjecting the lamp to vibrations at
frequencies ranging from 5 Hertz (Hz) to 33 Hz, at specified
amplitudes. Some manufacturers expressed concern that the vibration
test was too easy to pass, and might allow exemptions for lamps not
meant for vibration service. The Department initiated a discussion on a
revised vibration test at the March 5, 1996, meeting. (Meeting
Transcript, March 5, 1996, at 207-210.)
In written comments regarding the March 1996 meeting, NEMA, Duro-
Test and Litetronics supported a prescriptive definition of a rough or
vibration service lamp that defines such a lamp with a C11 (5 support),
C17 (8 support), or C22 (16 support) filament configuration, excluding
lead wires, as depicted in chapter six of the IESNA Lighting Handbook.
NEMA and Duro-Test recommended that rough or vibration service lamps
should be designated and marketed specifically for rough or vibration
service applications. NEMA and Litetronics also recommended that DOE
continue to work on an alternative performance-based vibration test for
other rough or vibration service lamps but advised DOE to promulgate
rules with only the prescriptive definitions. (NEMA, No. 35 at 8, Duro-
Test, No. 32 at 3 and Litetronics, No. 36 at 2.) L.D., Inc., commented
that a C11 (5 support) filament exemption would allow manufacture of a
two-piece outdoor PAR lamp with 5-7 times the life of a standard PAR
lamp, which will save cost and labor by requiring fewer lamp
replacements. (L.D., Inc., No. 38 at 1.)
There is a consensus among manufacturers that C11, C17 and C22
filament configurations are rough or vibration service incandescent
reflector lamps. Based on consideration of the comments, DOE believes
that a C11 filament configuration also provides adequate support for
rough or vibration service and has included C11, C17 and C22 filaments
in today's Final Rule. In addition, DOE has included a requirement that
the lamp be designated and marketed specifically for rough and
vibration service.
Therefore, the Department has taken a prescriptive approach to the
definition of a rough or vibration service incandescent reflector lamp.
Since this approach may limit a manufacturer's flexibility to design
for some applications, the Department will continue to evaluate the
parameters for a vibration test for incandescent reflector lamps. DOE
will invite input from manufacturers, NEMA and other interested
parties. Any new vibration test parameters will be promulgated in
future rulemakings.
F. Sampling Plan and Confidence Limits
The Interim Final Rule required a minimum sample size of 20 lamps
per year and a confidence limit based on a ``t'' test with a one-sided
confidence limit of 99 percent. The sample size was selected to promote
statistically valid results without imposing an undue testing burden on
the manufacturers. The 99-percent confidence limit was selected on the
assumption that lamp variability within a single basic model was not
very large. 59 FR 49468. The discussion of sampling plan and confidence
limits is divided into the following subtopics: (1) sample size, (2)
derating the sample mean, (3) variability and confidence limits, (4)
derating factor, and (5) ``z'' Test.
(1) Sample Size
NEMA proposed several clarifications to the sample size given in
the Interim Final Rule. First, it proposed that the minimum sample size
be raised from 20 to 21 lamps. Second, it proposed a minimum of three
lamps for each month of seven months. Third, it suggested the lamps be
divided as evenly as ``practicable'' among the months of ``planned''
production to attain a minimum sample of 21 lamps. This change would
apply only to instances where lamps are manufactured for fewer than 7
months of the year. (NEMA, No. 4 at 24.) Philips also favored the
revised sampling plan outlined in the NEMA comments. (Philips, No. 3 at
2.)
Based on the comments, the Department is revising the sample size
to 21 lamps because the addition of one lamp to the sample will improve
the statistical results with little additional testing burden. The
Department will require that manufacturers sample a minimum of three
lamps per month for 7 months of a 12-month period if production occurs
for 7 or more months in the 12-month period. If production occurs for
fewer than 7 months during a 12-month period, the Department will allow
manufacturers to divide the total required sample as evenly as
practicable among the months of planned production to attain a minimum
sample of 21 lamps.
(2) Derating the Sample Mean
NEMA proposed that the mean of the sample (Xlpw) be
divided by 0.98 to
[[Page 29230]]
account for a 2 percent uncertainty from the NIST standard lamp and
secondary standard lamps developed by manufacturers. (NEMA, No. 14 at
2.) The Department will not allow use of a 0.98 factor to derate the
average lumen per watt measurement because the NIST uncertainty in the
lumen output of the standard lamps is randomly distributed.
(3) Variability and Confidence Limits
NEMA commented that measurements from lamp testing are subject to
several types of variability or uncertainty and that process and
material variations will cause differences in the performance of each
lamp. It claimed that testing variability is not sufficiently addressed
by the DOE requirements for sample size and confidence limits. NEMA
stated that ``the resulting variabilities in test measurements
necessitate special tolerances for purposes of enforcing the EPCA
standards.'' (NEMA, No. 4 at 27)
NEMA claimed there are also inherent variations in measurements due
to uncertainty in the lumen output of standard lamps traceable to NIST.
(NEMA, No. 4 at 27.) Lamp lumen measurements are made by comparison to
a standard lamp traceable to NIST. Standard lamps from NIST have
certificates of error attached to them. When manufacturers calibrate a
secondary or working standard lamp from the NIST standard lamp
additional errors are introduced. NEMA includes a table of estimated
cumulative errors from the NIST standard lamp to the calibrated working
standard lamp which lists an error in the measurement from 1.75 percent
for an incandescent PAR lamp to 2.95 percent for a 96'' high output
fluorescent lamp. (NEMA, No. 4, Supplement at 2-3.)
NEMA provided an estimate of the cumulative tolerance factor for
general service fluorescent lamps of 2.95 percent in the supplemental
comments. It clarified the term ``tolerance factor'' by showing that a
2.95 percent tolerance factor applied to a lumen-per-watt standard of
80 would permit any sample test measurement greater than or equal to
77.64 lumens per watt to meet the standard. NEMA recommended that DOE
specify a cumulative tolerance factor for all lamps subject to efficacy
standards. NEMA also stated that the same lamp measured in different
laboratories in an NVLAP proficiency test can have up to a 7 percent
variability in lumens per watt. (NEMA, No. 4 Supplement at 2-3.) ACEEE
commented that the NEMA proposals seem based on the worst case
situation in which every conceivable factor would cause the most error
possible in lamp efficacy. It recommended that DOE account for the
probability of both overestimating and underestimating measurements and
the way these probabilities affect the confidence of an estimate. Since
there is currently considerable variation in test results among
laboratories, ACEEE recommended that DOE provide for expected
improvements in testing as the NVLAP program matures. (ACEEE, No. 16 at
1.) NEMA requested that the confidence limits be reduced from the
proposed 99 percent to 95 percent due to manufacturing variability.
(NEMA, No. 4 at 25.) NEMA, Duro-Test and Litetronics recommended that
DOE prescribe a 95-percent confidence limit and a derating factor of
0.97. (NEMA, No. 35 at 3; Duro-Test, No. 32 at 1; Litetronics, No. 36
at 1.)
The Department believes that all variability can be accounted for
by the confidence limit equation using the ``t'' test and the derating
factor. DOE and NIST staff reviewed NEMA data that show the variability
in lamp test measurements for representative fluorescent and
incandescent lamp types. The NEMA data support a 0.97 derating factor,
based upon the demonstrated uncertainties in the NIST standard lamps
and the estimated uncertainty due to transfer of those standards to
secondary standards and laboratory measurements. Therefore, today's
Final Rule includes the Department's revised statistical test for
confidence limits which incorporate a 95-percent confidence limit and a
derating factor of 0.97.
(4) Derating Factor
NEMA commented that it has demonstrated the need for a further
adjustment to the confidence limit derating factor of 0.97 which it
proposed on February 8, 1995. (NEMA, No. 14 at 2.) NEMA representatives
and NIST and DOE staff met on August 23, 1995, to discuss the
measurement uncertainties. NEMA representatives provided data showing
that several lamps would fail to meet the standard if the 99-percent
confidence limit and the 0.99 derating factor is applied. NEMA
cautioned that it could not determine whether smaller manufacturers
would be penalized by a 95-percent confidence limit and a 0.97 derating
factor. (NEMA, No. 24 at 1-9.) During the meeting, NEMA claimed that
these data support a 95-percent confidence limit and 0.95 derating
factor. (DOE Memo to File, August 29, 1995, No. 19 at 1.) NEMA
suggested that further adjustments of the derating factor may be needed
to account for bias in the NIST standard lamps and uncertainties in
manufacturing and measurement processes. (NEMA, No. 24 at 1-9.)
Litetronics preferred to have a lower derating factor (i.e., 0.95)
because it claimed that its test equipment was not as sophisticated as
that of the large manufacturers, and it cannot afford the $40 million
state-of-the-art production lines (which reduce product variability)
that large manufacturers have. (Meeting Transcript, March 5, 1996, at
109.) NEMA, Duro-Test and Litetronics state that a special derating
factor of 0.95 should be applied to small manufacturers with revenues
less than $75 million and with sales less than 10 percent of total
industry sales of covered general service incandescent or fluorescent
lamps. (NEMA, No. 35 at 3; Duro-Test, No. 32 at 1; Litetronics, No. 36
at 1.)
There does not appear to be a valid reason for having separate
derating factors based on the size of the manufacturer. The equipment
needed to conduct these measurements is not prohibitively expensive for
a manufacturer that has laboratory facilities. Moreover, manufacturers
can use independent laboratories if desired. No data were submitted to
support the claim that product variability is greater for smaller
manufacturers.
(5) ``z'' Test
NEMA requested that the confidence limits in the Interim Final Rule
be specified as formulas using a ``z'' test based on a historically
derived standard deviation. (NEMA, No. 4 at 25.) The ``z'' test is
similar to the ``t'' test, except that it uses the population standard
deviation rather than the sample standard deviation and a different
table of statistical values. Philips commented that these statistical
estimates provide adequate protection for the consumer without undue
burden on the manufacturer. (Philips, No. 3 at 2.)
In subsequent comments, NEMA proposed that the confidence limit
equation use a ``z'' test and be derated by 0.95. The equation is given
as:
[GRAPHIC] [TIFF OMITTED] TR29MY97.000
where z0.95 = 1.645 and sigma () is derived
from the manufacturer's historical test experience. (NEMA, No. 14 at
2.) In its Reopening Notice, the Department proposed the standard
deviation for the ``z'' test should be derived from a minimum test data
sample of 60 or more lamps of the same basic model; and statistical
data for lamps must be measured by accredited laboratories. 61 FR 7431.
NEMA argued
[[Page 29231]]
for a sample size of 50 lamps, and it claimed that most of the
historical data had not been developed at accredited laboratories
because the accreditation program was so new. (Lamp Meeting Transcript,
March 5, 1996, at 107-108.)
In written comments, NEMA withdrew its request for a ``z'' test for
the confidence limit. (NEMA, No. 35 at 3.) While the ``z'' test has
some advantages, the Department will not implement it in this rule for
the following reasons. First, the relevant measurements must be
conducted by accredited laboratories, and most of the available data
were not collected that way. Second, determining population standard
deviation at accredited laboratories would require a large number of
measurements--on the order of 60 units--to be valid. This could be a
significant testing burden.
G. Rated Voltage Range
In its notice reopening the comment period on the Interim Final
Rule, the Department proposed that lamps with voltages within
10 percent of the 115-130 V range (i.e., voltages greater
than or equal to 103.5 and less than or equal to 143.0) were ``at least
partially within a rated voltage range of 115-130 V,'' and thus subject
to the energy efficiency standards. 61 FR 7431.
With respect to ``rated voltage range,'' the definition of
``incandescent reflector lamp'' in the Act refers to a ``rated voltage
or voltage range that lies at least partially within 115 to 130 V.''
Section 321(30)(C)(ii) of EPCA, 42 U.S.C. 6291(30)(C)(ii). The Interim
Final Rule also uses the same definition in 10 CFR Sec. 430.2. NEMA
recommended expansion of the voltage range given in the statute to a
range of 100-150 V, asserting that the statutory limit could
unintentionally allow evasion of the standards requirements for certain
products. Under the language in the statute, for example, a product
rated at 131 V would not be subject to the standard. Yet this product
would perform acceptably in a 130 V environment and could be sold for
such applications. (NEMA, No. 4 at 15 and No. 14 at 5.)
GE and NEMA commented that the Department's proposal to increase
the 115-130 V range 10 percent would be unacceptable
because manufacturers do not represent their incandescent lamps with a
10 percent voltage tolerance as the Department suggests in
its notice. Instead NEMA, GE, Phillips and OSI prefer the Department
use a range of 100-150 V. (Meeting Transcript, March 5, 1996, at 133-
64.)
Bleasby recommended that DOE use the NEMA voltage range of 100-150
instead of the current definition of 115-130 because Natural Resources
Canada uses the 100-150 range in its definition. Additionally, he
claimed that the 115-130 V range has caused lamp designs of 114 V to
avoid labeling and standards. However, lamp designs of 99 V would have
a very short life and, likewise, designs of 151 V would have very low
light output on nominal 120 V circuits. (P. Bleasby, No. 26 at 1.)
OSI and ASE claimed that an incandescent lamp can operate over a
wide voltage range, wider in fact than 100-150 V. However, at voltages
greater than the design voltage, the lamp light output increases but
the life is reduced by 7 percent for each 1 percent increase in lamp
operating voltage. A similar relationship holds for voltages below the
design voltage. In this instance, the lamp light output decreases, but
lamp life increases by 7 percent for each 1 percent reduction in
voltage. For practical reasons, manufacturers would not be able to
market lamps designed for 99 V or 151 V because consumers would have
little use for them. (Meeting Transcript, March 5, 1996, at 133-64.)
The Department believes that incandescent lamps have an assumed
range of use over different line voltages, due to the variations in
line voltage typically encountered throughout the United States. This
fact is incorporated into the definition of rated voltage in ANSI
C78.21-1989, which states that the ``voltage range is a series of rated
voltages related to commonly available supply lines.'' DOE believes
that the statutory definition of incandescent lamp, which refers to a
voltage ``that lies at least partially in the range of 115 to 130 V,''
was intended to include the operational range of voltages in most U.S.
homes and businesses. The Department also believes that there is a
large possibility for evasion of the efficiency standards by
manufacturers who rate lamps outside the statutory range although these
lamps are intended for operation within the range. These lamps could
substantially damage markets of companies producing lamps which meet
the standards and would result in lost energy savings. Therefore,
general service incandescent lamps and incandescent reflector lamps
with a voltage rating greater than or equal to 100 V and less than or
equal to 150 V are subject to the standards according to DOE's
definition of rated voltage. This interpretation is found in the
definition of rated voltage in 10 CFR Sec. 430.2.
H. Test Voltage for Incandescent Lamps
Neither the definition of incandescent lamp in Sec. 321(30)(C) of
the Act, 42 U.S.C. 6291(30)(C), nor the Illumination Engineering
Society LM-20, ``Approved Method for Photometric Testing of Reflector-
Type Lamps,'' defines the test voltage. Therefore, since the Act
required labeling at 120 V, the Department required testing of all
incandescent lamps at 120 V in the Interim Final Rule. 59 FR 49468.
In its comments, NEMA asked the Department to allow testing of
incandescent lamps at their design voltage. Otherwise, NEMA commented,
certain 125 and 130 V lamps would be banned from the market by failing
to meet the standards if tested at 120 V. NEMA also claimed that 125
and 130 V lamps serve two market niches: regions in the country where
power line voltage is greater than the nominal 120 volts (V); and
applications requiring long-life lamps. (NEMA, No. 7 at 1-4 and No. 14
at 4.) Manufacturers claim they would be forced to sell lamps with
decidedly shorter lives than the 125 and 130 V lamps currently in the
marketplace if DOE requires compliance with the standards at 120 V.
(Trojan, No. 15 at 2; Litetronics, No. 12 at 1.) Bleasby recommended
that DOE allow testing at design voltages of 120, 125 and 130 V. He
claimed that this testing regime is needed for harmonization with
international test procedures. (P. Bleasby, No. 26 at 1.)
In its notice reopening the comment period, the Department
requested comments on a proposal to test incandescent lamps at the
voltage marked on the lamp, or at the mean of the voltage range marked
on the lamp. 61 FR 7431. NEMA supported this proposal. NEMA also
recommended that DOE adopt the International Electrotechnical
Commission definition of rated voltage from Standard 432-1. (NEMA, No.
35 at 4.)
The Department believes that lamps manufactured to comply with
standards at 120 V will have a shorter life when applied on power
systems with voltages greater than 120. This would result in the
removal of most 125 and 130 V lamps from the marketplace because these
lamps would not offer any longer life to consumers and because the
longer life filaments would not meet the lamp efficacy standards at 120
V. Therefore, the Department will allow testing of incandescent lamps
at the rated voltage, as defined in today's rule, or at the mean of the
rated voltage range. Incandescent lamps with voltages between 100 and
115, and including 100 and 115, shall be tested at 115 V if the lamp
can operate at 115 V, and incandescent lamps with voltages between 130
and 150, and including 130 and 150, shall be tested at 130 V if the
lamp can operate at 130 V. Lamps not
[[Page 29232]]
marked with a voltage shall be tested at 120 V (see the definitions of
``Design Voltage'' and ``Rated Voltage'' in 10 CFR Sec. 430.2). This
approach provides for testing incandescent lamps at a known voltage for
certification to the lamp efficacy standards while accommodating the
FTC requirements for labeling, which allow testing and labeling at the
design voltage. The approach is also less confusing for enforcement
testing because the test voltage is either marked on the lamp or fixed
at 115 V or 130 V.
I. Basic Model
The definition of basic model involves defining a class of lamps
that are similar in design and performance to the extent that their
performance can be determined by a representative sample. The lamps
included in a specific basic model need not be entirely identical,
particularly regarding characteristics that are not subject to
performance standards. However, lamp characteristics of lumens, watts
and CRI, which are measured to determine regulatory compliance, should
be designed to be the same for all of the lamps included in a basic
model.
NEMA requested that the definition of ``basic model'' use the
phrase ``similar light output'' instead of ``essentially identical'' to
avoid ambiguity in classifying lamp models due to inherent variations
in manufacturing. (NEMA, No. 14 at 5.) The Department disagrees with
the NEMA request to replace ``essentially identical'' with ``similar''
because it interprets the phrase ``essentially identical'' to allow
some variation and flexibility in light output and electrical and color
characteristics.
NEMA asked the Department to remove the requirements for
photometric characteristics in the definitions of basic models for both
general service fluorescent and general service incandescent lamps.
NEMA stated that lamps with different beam spreads would require
distinct basic models since photometric characteristics refer to the
directional distribution of the light from the lamp. NEMA claimed lamp
photometry does not directly bear on energy efficiency. (NEMA, No. 14
at 5.) The Department has deleted the word ``photometric'' and replaced
it with the words ``light output'' so that the basic model will not be
restricted to lamps of a specific beam spread.
NEMA also recommended that the Department include a reference to
total forward lumens for reflector lamps in the basic model definition.
(NEMA, No. 14 at 5.) The definition for basic model of a general
service incandescent lamp does not need to contain the phrase ``total
forward lumens for reflector lamps'' because Appendix R, Sec. 4.3.2,
states that lumen output shall be determined as total forward lumens,
and the IESNA test procedure LM-20 is designed to measure only forward
lumens.
NEMA asked the Department to illustrate the revised definition of
basic model for a general service fluorescent lamp in the preamble to
the Final Rule by reference to a family of 40-watt general service
fluorescent lamps, with similar light output and lumens per watt
characteristics, but with different color temperatures. Also, NEMA
requested a similar illustration for a basic model of an incandescent
reflector lamp by reference to two reflector lamps of the same type and
with similar total forward lumens and wattage, but with different beam
angles. NEMA asserted that these two reflector lamps should be the same
basic model. (NEMA, No. 4 at 14.)
DOE has revised the definition of basic model for general service
fluorescent lamps to include all lamps with essentially identical light
output, power input, and luminous efficacy, regardless of their
photometric distribution or CCT. Fluorescent lamps with similar CRIs
are included if the CRI meets or exceeds the minimum standards. The
definitions of general service fluorescent lamp and incandescent
reflector lamp can be found in 10 CFR Sec. 430.2. The following
examples are offered to illustrate two families of general service
fluorescent lamps that have the same lumen output but different CRI and
therefore must be considered as two basic models:
Fluorescent Lamp Basic Model #1
----------------------------------------------------------------------------------------------------------------
Lamp Lamp lumen
Lamp designation wattage output Lamp CCT K Lamp CRI
----------------------------------------------------------------------------------------------------------------
F40T12 Type A............................................... 40 3200 3000 70
F40T12 Type B............................................... 40 3200 4000 70
F40T12 Type C............................................... 40 3200 5000 70
----------------------------------------------------------------------------------------------------------------
Fluorescent Lamp Basic Model #2
----------------------------------------------------------------------------------------------------------------
Lamp Lamp lumen
Lamp designation wattage output Lamp CCT K Lamp CRI
----------------------------------------------------------------------------------------------------------------
F40T12 Type D............................................... 40 3200 3000 80
F40T12 Type E............................................... 40 3200 4000 80
F40T12 Type F............................................... 40 3200 5000 80
----------------------------------------------------------------------------------------------------------------
Similarly, all of the lamps in a family of incandescent reflector
lamps would be considered to be the same basic model if they produced
the same total lumen output and used the same power input, even if
their photometric distributions (i.e., beam spreads) differed. The
following example is given:
Incandescent Reflector Lamp Basic Model #1
------------------------------------------------------------------------
Lamp Lamp lumen
Lamp designation wattage output Beam spread
------------------------------------------------------------------------
PAR30 Type A.................. 75 975 spot.
[[Page 29233]]
PAR30 Type B.................. 75 975 flood.
------------------------------------------------------------------------
J. Measures of Energy Consumption
In the Interim Final Rule, the Department described the methods for
calculating the estimated operating costs or energy consumption of
lamps, based on a comparative use cycle of 1,000 hours per year. The
comparative use cycle was intended to be used similarly to the way it
was used with fluorescent lamp ballasts, whereby estimated annual
operating cost can be multiplied by a factor that represents the
anticipated use of the product.
NEMA requested these calculation methods be deleted because FTC
does not require annual operating costs or energy consumption on lamp
labels since it was determined that such information would not be
useful to consumers. (NEMA, No. 4 at 16.) NEMA also commented the
procedures for estimating annual energy consumption and operating costs
exceeded the Department's authority under Sec. 323(c) of the Act, 42
U.S.C. 6293(c). NEMA further asserted that the Department should
subscribe to the FTC findings on annual energy consumption and
operating costs because estimated lamp usage is variable and there are
no established usage patterns. Therefore, NEMA claimed, computations of
annual operating costs or energy consumption based on a comparative use
cycle of 1,000 hours per year would be questionable. (NEMA, No. 4 at
16-21.) Texas Gas Transmission Corporation (TGTC) commented that it
``strongly supported'' reporting energy consumption as the estimated
annual operating cost expressed in dollars per year but gave no
reasons. (TGTC, No. 2 at 4.).
The Department did not require reporting of operating costs or
energy consumption information in its Interim Final Rule. Methods for
calculating those quantities were given for use in manufacturer
representations of energy efficacy, CRI, and energy consumption for
general service fluorescent lamps and for incandescent reflector lamps.
Since FTC determined that operating costs would not be useful, the
Department will delete the calculation of annual operating costs for
all lamps. The provisions of Sec. 324(c)(7) of the Act, 42 U.S.C.
6294(c)(7), do not prevent the Department from prescribing calculation
methods for representations of energy consumption or lamp efficacy for
covered lamps. The Department will continue to require that
representations of lamp efficacy and annual energy consumption use data
measured by the DOE test procedures. Any number of operating hours may
be used to calculate annual energy consumption if the hours and other
assumptions are clearly and accurately described in the representation.
(See 10 CFR 430.23(r).)
K. CRI Testing
NEMA commented that the sample size for CRI could be smaller than
the 20 units tested for lumens and watts. (NEMA, No. 4 at 25.) The
Department believes that CRI testing of the same lamps as selected for
the lumen and wattage tests is necessary to correlate the average CRI
with the average lumens per watt. Furthermore, the Department does not
believe a substantial testing burden will result from this level of CRI
testing. Therefore, the Department will require that the same sample of
21 lamps tested for luminous efficacy be used for the CRI Test.
L. Lamp Test Period for New and Existing Lamp Models
NEMA stated its understanding that the provision in 10 CFR
Sec. 430.24 pertaining to sampling rules for lamps manufactured for
fewer than 7 of 12 preceding months applies to existing models only.
NEMA believes that 10 CFR Sec. 430.24 should be clarified to allow new
models manufactured after November 1, 1995, to be tested over the full
12-month period following such manufacture. (NEMA, No. 4 at 8.)
The Department believes that 10 CFR Sec. 430.24 clearly applies to
all basic models of lamps whether new or existing, and it rejects
NEMA's attempt to limit application of this section to existing lamps.
However, the Department revised 10 CFR Sec. 430.24(r) to clarify
sampling requirements for lamps manufactured during fewer than 7 of 12
months within a 12-month period. In this case, manufacturers shall
distribute as evenly as possible the random selection of lamps among
the months when production occurs.
At the July 19, 1995, workshop, DOE asked whether a shorter test
period would be adequate to determine whether fluorescent and
incandescent reflector lamps could meet the lumen-per-watt standards
for the initial testing of existing lamps. (Workshop Transcript, July
19, 1995, at 240-261.) In response, NEMA proposed a 6-month test period
for existing and future lamps if the month-by-month sampling rules are
modified. (NEMA, No. 14 at 10.) The Department declines to adopt NEMA's
proposal for a 6-month test period for future lamp products because the
statute requires a 12-month test period.
M. Certification Data
NEMA commented that 10 CFR Sec. 430.62(c) requires a compliance
statement and certification report to be submitted to DOE for new
models of covered products prior to or concurrent with any distribution
of such model. NEMA claimed that this provision is inconsistent with
the last sentence of Sec. 325(i)(7) of the Act, 42 U.S.C. 6295(i)(7),
which states that manufacturers have 12 months from the commencement of
production of new lamp models to send a report of the lumen output and
wattage consumption to DOE. (NEMA, No. 4 at 7.)
NEMA commented that manufacturers must be permitted to sell new
models of lamps prior to submission of a certification report based on
testing during the first 12 months of manufacturing. NEMA also proposed
that the certification report be submitted within 1 month after the 12
month test period. NEMA suggests that a statement of good faith
compliance could be submitted prior to distribution of new basic lamp
models if the Department is concerned that manufacturers could use the
test period to distribute substandard lamps. (NEMA, No. 14 at 10.)
Section 325(i)(7) of EPCA, 42 U.S.C. 6295(i)(7), provides that lamp
manufacturers shall have 12 months from the commencement of production
to test new products and to certify that they comply with the energy
conservation standards. During this test period, however, new lamps
that are sold shall meet the applicable standards. The Department will
require a statement from manufacturers that new lamp products meet the
applicable standards based on information, testing, and analysis such
as design analysis,
[[Page 29234]]
prototype and initial production tests. The statement must be signed by
a responsible company official and contain the date of commencement of
manufacturing for each basic model of lamp. A certification report will
be required within 1 month following the end of the 12-month testing
period. The statement and clarification of the allowance for 12 months'
testing of new or existing products is reflected in 10 CFR Sec. 430.62,
Submission of Data.
N. Medium Base Compact Fluorescent Lamps and General Service
Incandescent Lamps
In its Interim Final Rule, the Department stated that ``covered
product'' includes medium base compact fluorescent lamps, to be
consistent with the labeling requirements in Sec. 324(a)(2)(C)(i) of
EPCA, 42 U.S.C. 6294(a)(2)(C)(i). Furthermore, the Department included
the statutory definition for medium base compact fluorescent lamps in
the Interim Final Rule. It also expressly included a requirement to
calculate the lamp efficacy in 10 CFR Sec. 430.23(r)(2). 59 FR 49468.
NEMA commented that the Department did not have authority under
EPCA, as amended, to issue test procedures for medium base compact
fluorescent or non-reflector general service incandescent lamps because
these products are not covered products. Therefore, NEMA proposed that
covered product be revised to include medium base compact fluorescent
lamps and general service incandescent lamps. It requested the
Department revise the definition of ``general service fluorescent
lamp'' to expressly include medium base compact fluorescent lamps.
Additionally, NEMA suggested the Department revise the definition of
``medium base compact fluorescent lamp'' to exclude the 4-foot straight
and 2-foot U-shaped lamps with wattages greater than 28, and 8-foot
slimline and high-output lamps. NEMA also suggested that a change was
needed at 10 CFR Sec. 430.62(r)(2) to expressly exclude medium base
compact fluorescent lamps from certification reporting. (NEMA, No. 4 at
2, 10 and 11.)
The Department believes that a revision to the definition of medium
base compact fluorescent lamp to exclude clauses 1-4 in the definition
of fluorescent lamp is unnecessary because a medium base compact
fluorescent lamp is not a fluorescent lamp in the context of this
regulation; it is a substitute for an incandescent general service
lamp. The Department has removed the reference to medium base compact
fluorescent lamps and general service incandescent lamps in 10 CFR
Sec. 430.23(r)(2), but no other changes are needed in that section
because the definitions of basic model adequately delineate which
products are subject to standards. Consequently, the Department will
not require a certification or compliance report on general service
incandescent lamps which are not reflector lamps or on medium base
compact fluorescent lamps.
The Department believes that products such as general service
incandescent lamps and medium base compact fluorescent lamps that are
subject to labeling are covered products. Therefore, the Department has
included test procedures for general service incandescent lamps to
provide a basis for possible future energy efficiency standards. The
Act directs the Department to initiate a rulemaking within 24 months of
the effective date of the labeling rule to determine if standards
should be promulgated for additional general service incandescent
lamps. Section 325(i)(5) of EPCA, 42 U.S.C. 6295(i)(5). Furthermore,
the Department has included test procedures for medium base compact
fluorescent lamps because the statute considers these lamps as a
``direct replacement for general service incandescent lamps'' by
definition. Section 321(30)(S) of EPCA, 42 U.S.C. 6291(30)(S). Given
the Department's future need for data to determine whether or not to
establish standards, the Department will prescribe test procedures for
general service incandescent lamps and medium base compact fluorescent
lamps.
O. Test Procedures
NEMA requested that the efficacy measurements for incandescent
reflector and general service incandescent lamps be rounded to the
nearest .5 lumens per watt rather than the nearest .1 lumens per watt
to be consistent with the way the standards were specified. (NEMA, No.
4 at 26.) The Department will continue rounding to the nearest tenth of
a lumen per watt to be consistent with conventional practice, to ensure
consistency in converting test data into final results, and to retain
the significant figures in the standard. For example, if the measured
lumens per watt lies between 11.0 and 11.1, and is 11.05 or greater,
the value shall be rounded up and reported as 11.1 lumens per watt; if
the measured lumens per watt is less than 11.05, the value shall be
rounded down and reported as 11.0 lumens per watt.
In the Interim Final Rule, the Department requested comments on the
likelihood of greater measurement variations when testing medium base
compact fluorescent lamps without a reference ballast. 59 FR 49468. In
response, NEMA stated that industry experience suggested it was
appropriate to specify the same confidence limits and sample sizes for
medium base compact fluorescent lamps as for general service
fluorescent lamps. (NEMA, No. 4 at 27.) The Department will not change
its sampling plan to account for testing a medium base compact
fluorescent lamp without a reference ballast.
The Interim Final Rule incorporated IESNA standard LM-20-1982,
incandescent reflector lamp test methods. NEMA, Philips, and IESNA
recommended that the Department incorporate by reference the revised
1994 version of LM-20. (NEMA, No. 4 at 28; IESNA, No. 1 at 1; Philips,
No. 3 at 2.) Furthermore, IESNA commented that IESNA documents LM-16
(colorimetry of light sources), LM-20 (incandescent reflector lamp test
methods) and LM-58 (spectroradiometric measurements) had later
publication dates than those listed. (IESNA, No. 1 at 1.) Likewise,
NEMA requested that these publication dates be updated. (NEMA, No. 4 at
29.)
The Department has amended the dates of LM-16, LM-20 and LM-58 to
the latest published dates. The revision for LM-16 adds state of the
art radiometry sensors, and the revisions for LM-58 reorganize the
document, add new equations and add diode array sensing. The revisions
for LM-20 will make testing of incandescent reflector lamps easier
because manufacturers may now use the integrating sphere measurement
technique. These revised industry test standards are listed at 10 CFR
430.22(b). Also note that DOE revised section 430.22 to list the
industry test standards by the respective standards issuing
organizations to make the referenced standards easier to locate.
NEMA requested that subparagraph 4.3.2. of Appendix R, Subpart B,
of 10 CFR Part 430 incorporate the entire text of LM-66 for compact
fluorescent lamps rather than only Sections 11 and 13. (NEMA, No. 4 at
29.) Philips commented that the Department must remove the requirement
for a reference ballast so that an integrally ballasted compact
fluorescent lamp can be tested. (Philips, No. 3 at 2.) The Department
does not require or use measurements with a reference ballast because
that would require separation of the bulb and ballast, which is not
possible with an integrally ballasted lamp. However,
[[Page 29235]]
since LM-66 contains no provision for measuring integrally ballasted
compact fluorescent lamps, the Department will clearly state that it is
excepting the requirement for a reference ballast. The Department has
incorporated the entire LM-66 because it refers to Sections 1, 2, 3, 7,
11 and 13. However, the Department modified the test requirements in
LM-66 to use an integral ballast instead of a reference ballast in its
regulations. (See Part 430, Subpart B, Appendix R, paragraph 4.4.)
In their comments regarding the Interim Final Rule, NEMA and
Philips stated that the Department incorrectly required the use of
alternating current with the IESNA LM-45 test procedure for testing
incandescent lamps. (NEMA, No. 4 at 30; Philips, No. 3 at 2.) The
Department notes that the IESNA LM-45 standard allows measurements to
be performed using direct current or alternating current. Therefore,
the Department will modify Appendix R to allow testing with either
direct current or alternating current at the rated lamp voltage. (See
10 CFR, Part 430, Subpart B, Appendix R, paragraph 4.2.1.)
NEMA requested the Department amend paragraph 4.3.2 of Appendix R,
Subpart B, of 10 CFR Part 430 to permit manufacturers to use the
spherical photometry method in accordance with the revised IESNA LM-20-
1994. (Spherical photometry was expressly prohibited in 10 CFR, Subpart
B, Appendix R, Sec. 4.3.2.) NEMA further stated that light output for
incandescent reflector lamps should be measured as total forward
lumens. (NEMA, No. 4 at 31.)
The Department lifted its prohibition on the use of the integrating
sphere and is referencing IESNA LM-20-1994, which allows the spherical
photometry method. IESNA LM-20 was revised so that the measurement
procedure for total flux measurement using an integrating sphere,
Sec. 7.2, would properly measure only the forward lumens emitted by a
reflector lamp, with special care taken to determine sphere photometric
calibration using a reference source with similar beam distribution.
In its comments regarding the Interim Final Rule, NEMA requested
deletion of selective references to IESNA LM-45 for testing
incandescent lamps and inclusion of the entire LM-45. (NEMA, No. 4 at
33.) Although the Interim Final Rule incorporates IESNA LM-45 in its
entirety, there are several instances where terms are defined
differently within IESNA LM-45. Selective references are necessary to
ensure that the most precise definitions are applied to the DOE test
procedures.
P. Definitions
In its comments regarding the Interim Final Rule, NEMA stated that
the word ``only'' was omitted from the definition of fluorescent lamp
in 10 CFR Sec. 430.2. This omission creates a difference from the
statutory language of Sec. 321(30)(A) of EPCA, 42 U.S.C. 6291 (30)(A).
(NEMA, No. 4 at 11.) The Department has revised the definition to
include the word ``only.''
In comments regarding the Interim Final Rule, NEMA suggested that
the definition of a cold temperature fluorescent lamp should include a
requirement to etch the lamp ``FOR COLD TEMPERATURE USE'' and a
requirement for a similar designation in marketing materials. (NEMA,
No. 4 at 12.) The Department believes that marking the lamp for cold
temperature use and designating it as such in marketing materials will
restrict this lamp's use to exempt applications. Therefore, the
Department will require manufacturers to expressly designate the lamp
for cold temperatures with markings on the lamp and in marketing
materials; however, the Department is not specifying the exact
language.
Q. National Voluntary Laboratory Accreditation Program (NVLAP)
In the laboratory accreditation program at 10 CFR Sec. 430.25(b),
the Department references NVLAP Handbook 150-01, July 1994, ``Energy
Efficient Lighting Products.'' The Department has determined that NVLAP
Handbook 150-01 is not adequate for laboratory accreditation to DOE
test procedures because the handbook does not specifically require
laboratory accreditation to the DOE test procedures. This is of
particular concern to DOE where international agreements allow NVLAP to
recognize foreign accrediting organizations without any requirement to
accredit laboratories to the DOE test procedures. Consequently, NVLAP
has issued a DOE supplement to Handbook 150-01 which changes Sec. 5,
and Appendices B, C, and G. The new DOE supplement will be used to
accredit lighting laboratories to the DOE test procedures. (NVLAP
Handbook 150-1 Supplement.)
The Department has changed 10 CFR Sec. 430.25 to state that test
laboratories must be accredited to perform the DOE test procedures.
This includes foreign laboratories accredited by foreign accrediting
bodies who may have mutual recognition agreements with NVLAP.
R. Long-life Halogen Lamps
Litetronics commented it has developed a line of 5,000-hour halogen
lamps, which are direct competitors to the exempt BR and ER lamps. It
claimed these halogen lamps are 20 percent more efficient than ER and
BR reflector lamps. However, these lamps will not meet the energy
efficiency standards. The lamps are designed for high ceiling
applications such as hotel lobbies and shopping malls where it is very
expensive to change lamps. Litetronics requested the Department provide
an exemption or some other consideration for these lamps in the Final
Rule. (Litetronics, No. 12 at 2.)
The advantages of a long-life halogen PAR lamp over the BR and ER
exempt lamps were discussed at the lamp workshop on July 19, 1995.
Litetronics claimed this lamp is 20 percent more efficient than BR or
ER lamps. Angelo Brothers cautioned that an exemption for a long-life
halogen lamp would create another loophole for less efficient PAR
halogen lamps. OSI stated that several of the lamp manufacturers could
take existing halogen lamps, extend their life, and argue for
exemption. (Workshop Transcript, July 19, 1995, at 159.)
In further comments, Litetronics claimed long-life halogen lamps
were developed after the passage of EPAct assuming halogen lamps would
automatically meet the standards. Litetronics claimed it spent
resources to develop an energy efficient long-life halogen lamp which
has an average life greater than 4,000 hours and will almost meet the
minimum lumen per watt requirements in the incandescent reflector lamp
standards. Furthermore, Litetronics proposed an interpolation of the
lumen per watt and wattage levels by one watt increments since it
claimed that all incandescent lamp efficacies change in direct
proportion to wattage. Litetronics presented a table showing how
closely its 4,000 hour halogen lamps meets its revised lumen per watt
number. (Litetronics, No. 21 at 1.) The Litetronics lumen per watt data
on its long-life halogen lamps was evaluated by NIST. NIST found the
long-life halogen lamp does not meet the standards although it is more
efficient than incandescent long-life lamps. Based on the NIST report,
DOE concluded that the Litetronics long-life halogen lamp does not meet
the energy efficiency standards. DOE also evaluated the interpolation
scheme and determined that an interpolation large enough to include
these long-life halogen lamps would significantly reduce average lamp
efficacy levels below the minimums required by the statute.
Since the exemptions in the statute are for specific applications
and do not
[[Page 29236]]
provide an express exemption for long-life halogen lamps, the
Department can not provide any exemption for these lamps. The
Department can only amend standards in a future rulemaking. Although
life testing is possible, DOE has decided that this exemption would be
difficult to enforce due to test times that exceed 10,000 hours and the
need for large samples. However, the Department may reconsider these
lamps in a future lamp rulemaking.
IV. Procedural Requirements
A. Review Under the National Environmental Policy Act of 1969
In this rule, the Department will finalize test procedures that
will implement statutorily mandated energy conservation standards for
incandescent and fluorescent lamps. These test procedures were
published as an Interim Final Rule on September 28, 1994, at 59 FR
49468. The Department determined that the Interim Final Rule was
covered under the Categorical Exclusion found at paragraph A.6 of
Appendix A to Subpart D, 10 CFR Part 1021, which applies to the
establishment of procedural rulemakings. This Final Rule is also a
procedural rulemaking and its implementation will not affect the
quality or distribution of energy usage and therefore will not result
in any environmental impacts. Accordingly, neither an environmental
assessment nor an environmental impact statement is required.
B. Review Under Executive Order 12866, ``Regulatory Planning and
Review''
This regulatory action is not a significant regulatory action under
Executive Order 12866, ``Regulatory Planning and Review.'' 58 FR 51735
(October 4, 1993). Accordingly, this action is not subject to review
under the Executive Order by the Office of Information and Regulatory
Affairs.
C. Review Under the Regulatory Flexibility Act of 1980
The Regulatory Flexibility Act of 1980, 5 U.S.C. Sec. 603, requires
the preparation of an initial regulatory flexibility analysis for every
rule which by law must be proposed for public comment, unless the
agency certifies that the rule, if promulgated, will not have a
significant economic impact on a substantial number of small entities.
The Department provided the required certification when it published
its Interim Final Rule on September 28, 1994, at 59 FR 49468.
Consequently, no further action is required for this rulemaking.
D. Review Under Executive Order 12612, ``Federalism''
Executive Order 12612, ``Federalism,'' 52 FR 41685 (October 30,
1987), requires that regulations, rules, legislation, and any other
policy actions be reviewed for any substantial direct effect on States,
on the relationship between the National Government and States, or in
the distribution of power and responsibilities among various levels of
government. If there are substantial effects, then the Executive Order
requires preparation of a federalism assessment to be used in all
decisions involved in promulgating and implementing a policy action.
The rule published today would not regulate the States. It
primarily would affect the manner in which DOE promulgates energy
conservation standards for residential and commercial products, water
conservation standards, test procedures, and certification of
compliance by manufacturers prescribed under the Energy Policy and
Conservation Act. State regulation in this area is largely preempted by
the Energy Policy and Conservation Act. Today's rule would not alter
DOE's authority and responsibility to regulate in this area.
Accordingly, DOE has determined that preparation of a federalism
assessment is unnecessary.
E. Review Under Executive Order 12630, ``Governmental Actions and
Interference With Constitutionally Protected Property Rights''
It has been determined pursuant to Executive Order 12630,
``Governmental Actions and Interference with Constitutionally Protected
Property Rights,'' 52 FR 8859 (March 18, 1988), that this regulation
would not result in any takings which might require compensation under
the Fifth Amendment to the United States Constitution.
F. Review Under the Paperwork Reduction Act of 1980
No new information or recordkeeping requirements are imposed by
this rulemaking. Accordingly, no OMB clearance is required under the
Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
G. Review Under Executive Order 12988, ``Civil Justice Reform''
With respect to the review of existing regulations and the
promulgation of new regulations, Sec. 3(a) of Executive Order 12988,
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on
executive agencies the following requirements: (1) eliminate drafting
errors and ambiguity; (2) write regulations to minimize litigation; and
(3) provide a clear legal standard for affected conduct rather than a
general standard and promote simplification and burden reduction. With
regard to the review required by Sec. 3(a), Sec. 3(b) of the Executive
Order specifically requires that Executive agencies make every
reasonable effort to ensure that the regulation: (1) clearly specifies
the preemptive effect, if any; (2) clearly specifies any effect on
existing Federal law or regulation; (3) provides a clear legal standard
for affected conduct while promoting simplification and reducing
burdens; (4) specifies the retroactive effect, if any; (5) adequately
defines key terms; and (6) addresses other important issues affecting
clarity and general draftsmanship under any guidelines issued by the
Attorney General. Section 3(c) of the Executive Order requires
Executive agencies to review regulations in light of applicable
standards in Sec. 3(a) and 3(b) to determine whether they are met or it
is unreasonable to meet one or more of them. DOE reviewed today's Final
Rule under the standards of Sec. 3 of the Executive Order and
determined that, to the extent permitted by law, it meets the
requirements of those standards.
H. Review Under Section 32 of the Federal Energy Administration Act of
1974
Pursuant to Sec. 301 of the Department of Energy Organization Act
(Pub. L. 95-91), the Department of Energy is required to comply with
Sec. 32 of the Federal Energy Authorization Act (FEAA), as amended by
Sec. 9 of the Federal Energy Administration Authorization Act of 1977
(Pub. L. 95-70). Section 32 provides in essence that, where a proposed
or Final Rule involves or uses commercial standards, the rulemaking
must inform the public of the use and background of such standards.
This Final Rule incorporates by reference Illuminating Engineering
Society of North America and American National Standards Institute
commercial test procedures to measure the efficacy of general service
fluorescent and incandescent lamps, medium base compact fluorescent
lamps and the color rendering index of fluorescent lamps. The
commercial standards are: IESNA LM-16-1993, IESNA LM-20-1994, IESNA LM-
58-1994 and the Illuminating Engineering Society Lighting Handbook,
Chapter 6, and American National Standards Institute standards C78.21-
1989 and C79.1-1994.
The Department of Energy has evaluated IESNA Standards LM-16-
[[Page 29237]]
1993, LM-20-1994 and LM-58-1994 and the Illuminating Engineering
Society of North America Lighting Handbook, Chapter 6, and American
National Standards Institute standards C78.21-1989 and C79.1-1994 in
light of the public participation criteria of Sec. 32(b). The
Department was unable to conclude whether development of these
standards fully complied with Sec. 32(b) regarding the manner of public
participation.
As required by Sec. 32(c), the Department of Energy has consulted
with the Attorney General and the Chairman of the Federal Trade
Commission concerning the impact of these standards on competition
prior to prescribing final test procedures. Neither the Attorney
General nor the FTC Chairman rejected any of these industry test
standards for anticompetitive reasons.
I. Review Under Small Business Regulatory Enforcement Fairness Act of
1996
As required by 5 U.S.C. 801, DOE will report to Congress
promulgation of the rule prior to its effective date. 5 U.S.C. 801. The
report will state that it has been determined that the rule is not a
``major rule'' as defined by 5 U.S.C. 804(3).
J. Review Under the Unfunded Mandates Reform Act of 1995
Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded
Mandates Act'') (signed into law on March 22, 1995) requires that the
Department prepare a budgetary impact statement before promulgating a
rule that includes a Federal mandate that may result in expenditure by
state, local, and tribal governments, in the aggregate, or by the
private sector, of $100 million or more in any one year. The budgetary
impact statement must include: (1) identification of the Federal law
under which the rule is promulgated; (2) a qualitative and quantitative
assessment of anticipated costs and benefits of the Federal mandate and
an analysis of the extent to which such costs to state, local, and
tribal governments may be paid with Federal financial assistance; (3)
if feasible, estimates of the future compliance costs and of any
disproportionate budgetary effects the mandate has on particular
regions, communities, non-Federal units of government, or sectors of
the economy; (4) if feasible, estimates of the effect on the national
economy; and (5) a description of the Department's prior consultation
with elected representatives of state, local, and tribal governments
and a summary and evaluation of the comments and concerns presented.
The Department has determined that the action proposed today does
not include a Federal mandate that may result in estimated costs of
$100 million or more to state, local, or tribal governments in the
aggregate or to the private sector. Therefore, the requirements of
Sections 203 and 204 of the Unfunded Mandates Act do not apply to this
action.
List of Subjects in 10 CFR Part 430
Administrative practice and procedure, Energy conservation,
Fluorescent and Incandescent lamps, Incorporation by reference.
Issued in Washington, DC, on April 21, 1997.
Christine A. Ervin,
Assistant Secretary, Energy Efficiency and Renewable Energy.
For the reasons set forth in the preamble, Part 430 of Chapter II
of Title 10, Code of Federal Regulations, is amended as set forth
below.
PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS
1. The authority citation for Part 430 continues to read as
follows:
Authority: 42 U.S.C. 6291-6309.
2. Section 430.1 is revised to read as follows:
430.1 Purpose and scope.
This part establishes the regulations for the implementation of
part B of title III (42 U.S.C. 6291-6309) of the Energy Policy and
Conservation Act (Pub. L. 94-163), as amended by Pub. L. 95-619, Pub.
L. 100-12, Pub. L. 100-357, and Pub. L. 102-486 which establishes an
energy conservation program for consumer products other than
automobiles.
3. Section 430.2 of Subpart A is amended by revising paragraphs
(15) and (16) in the definition ``Basic model,'' by revising the
definitions for ``Cold temperature fluorescent lamp,'' ``Fluorescent
lamp,'' and ``Incandescent lamp,'' and by adding new definitions for
``BR incandescent reflector lamp,'' ``Colored fluorescent lamp,''
``Colored incandescent lamp,'' ``Correlated color temperature,''
``Design voltage,'' ``ER incandescent reflector lamp,'' ``Incandescent
reflector lamp,'' ``Rated voltage,'' ``Rated wattage,'' ``Residential
straight-shaped lamp,'' ``Rough or vibration service incandescent
reflector lamp,'' and ``Voltage range.'' These amendments occur in
alphabetical order, to read as follows:
Sec. 430.2 Definitions.
* * * * *
Basic model * * *
* * * * *
(15) With respect to general service fluorescent lamps, means lamps
that have essentially identical light output and electrical
characteristics--including lumens per watt and color rendering index
(CRI)--and that do not have any differing physical or functional
characteristics that affect energy consumption or efficacy.
(16) With respect to incandescent reflector lamps, means lamps that
have essentially identical light output and electrical
characteristics--including lumens per watt--and that do not have any
differing physical or functional characteristics that affect energy
consumption or efficacy.
* * * * *
BR incandescent reflector lamp means a reflector lamp that has a
bulged section below the bulb's major diameter and above its
approximate base line as shown in Figure 1 (RB) on page 7 of ANSI
C79.1-1994. A BR30 lamp has a lamp wattage of 85 or less than 66 and a
BR40 lamp has a lamp wattage of 120 or less.
* * * * *
Cold temperature fluorescent lamp means a fluorescent lamp
specifically designed to start at -20 deg.F when used with a ballast
conforming to the requirements of ANSI Standard C78.1-1991, and is
expressly designated as a cold temperature lamp both in markings on the
lamp and in marketing materials, including but not limited to catalogs,
sales literature, and promotional material.
* * * * *
Colored fluorescent lamp means a fluorescent lamp designated and
marketed as a colored lamp, and with either of the following
characteristics: a CRI less than 40, as determined according to the
method given in CIE Publication 13.2 (see 10 CFR 430.22), or a lamp
correlated color temperature less than 2,500K or greater than 6,600K.
Colored incandescent lamp means an incandescent lamp designated and
marketed as a colored lamp that has a CRI less than 50, as determined
according to the method given in CIE Publication 13.2 (see 10 CFR
430.22); has a correlated color temperature less than 2,500K or greater
than 4,600K; has a lens containing 5 percent or more neodymium oxide;
or contains a filter to suppress yellow and green portions of the
spectrum and is specifically designed, designated and marketed as a
plant light.
* * * * *
[[Page 29238]]
Correlated color temperature means the absolute temperature of a
blackbody whose chromaticity most nearly resembles that of the light
source.
* * * * *
Design voltage with respect to an incandescent lamp means:
(1) The voltage marked as the intended operating voltage;
(2) The mid-point of the voltage range if the lamp is marked with a
voltage range; or
(3) 120 V if the lamp is not marked with a voltage or voltage
range.
* * * * *
ER incandescent reflector lamp means a reflector lamp with an
elliptical section below the bulb's major diameter and above its
approximate baseline as shown in Figure 1 (RE) on page 7 of ANSI C79.1-
1994 (see 10 CFR 430.22) and a finished size and shape shown in ANSI
C78.21-1989 including the referenced reflective characteristics in part
7 of ANSI C78.21-1989 (see 10 CFR 430.22).
* * * * *
Fluorescent lamp means a low pressure mercury electric-discharge
source in which a fluorescing coating transforms some of the
ultraviolet energy generated by the mercury discharge into light,
including only the following:
(1) Any straight-shaped lamp (commonly referred to as 4-foot medium
bi-pin lamps) with medium bi-pin bases of nominal overall length of 48
inches and rated wattage of 28 or more.
(2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped
lamps) with medium bi-pin bases of nominal overall length between 22
and 25 inches and rated wattage of 28 or more.
(3) Any rapid start lamp (commonly referred to as 8-foot high
output lamps) with recessed double contact bases of nominal overall
length of 96 inches and 0.800 nominal amperes, as defined in ANSI
C78.1-1991.
(4) Any instant start lamp (commonly referred to as 8-foot slimline
lamps) with single pin bases of nominal overall length of 96 inches and
rated wattage of 52 or more, as defined in ANSI C78.3-1991.
* * * * *
Incandescent lamp means a lamp in which light is produced by a
filament heated to incandescence by an electric current, including only
the following:
(1) Any lamp (commonly referred to as lower wattage non-reflector
general service lamps, including any tungsten halogen lamp) that has a
rated wattage between 30 and 199, has an E26 medium screw base, has a
rated voltage or voltage range that lies at least partially in the
range of 115 and 130 volts, and is not a reflector lamp.
(2) Any incandescent reflector lamp.
(3) Any general service incandescent lamp (commonly referred to as
a high-or higher-wattage lamp) that has a rated wattage above 199
(above 205 for a high wattage reflector lamp).
Incandescent reflector lamp (commonly referred to as a reflector
lamp) means any lamp in which light is produced by a filament heated to
incandescence by an electric current, which: is not colored or designed
for rough or vibration service applications that contains an inner
reflective coating on the outer bulb to direct the light; has an R, PAR
or similar bulb shape (excluding ER or BR) with an E26 medium screw
base; has a rated voltage or voltage range that lies at least partially
in the range of 115 and 130 volts; has a diameter that exceeds 2.75
inches; and is either a low(er)-wattage reflector lamp that has a rated
wattage between 40 and 205; or a high(er)-wattage reflector lamp that
has a rated wattage above 205.
* * * * *
Rated voltage with respect to incandescent lamps means:
(1) The design voltage if the design voltage is 115 V, 130 V or
between 115V and 130 V:
(2) 115 V if the design voltage is less than 115 V and greater than
or equal to 100 V and the lamp can operate at 115 V; and
(3) 130 V if the design voltage is greater than 130 V and less than
or equal to 150 V and the lamp can operate at 130 V.
* * * * *
Rated wattage, with respect to 4-foot medium bi-pin T8, T10 or T12
lamps, means:
(1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage
of a lamp determined by the lamp designation in Annex A.2 of ANSI
C78.1-1991; or
(2) If the lamp is a residential straight-shaped lamp, the wattage
a lamp consumes when operated on a reference ballast for which the lamp
is designed; or
(3) If the lamp is neither listed in ANSI C78.1-1991 nor a
residential straight-shaped lamp, the wattage a lamp consumes when
using reference ballast characteristics of 236 volts, 0.43 amps and 439
ohms for T10 or T12 lamps or reference ballast characteristics of 300
volts, 0.265 amps and 910 ohms for T8 lamps.
* * * * *
Residential straight-shaped lamp means a low pressure mercury
electric-discharge source in which a fluorescing coating transforms
some of the ultraviolet energy generated by the mercury discharge into
light, including a straight-shaped fluorescent lamp with medium bi-pin
bases of nominal overall length of 48 inches and is either designed
exclusively for residential applications; or designed primarily and
marketed exclusively for residential applications.
(1) A lamp is designed exclusively for residential applications if
it will not function for more than 100 hours with a commercial high-
power-factor ballast.
(2) A lamp is designed primarily and marketed exclusively for
residential applications if it:
(i) Is permanently and clearly marked as being for residential use
only;
(ii) Has a life of 6,000 hours or less when used with a commercial
high-power-factor ballast;
(iii) Is not labeled or represented as a replacement for a
fluorescent lamp that is a covered product; and
(iv) Is marketed and distributed in a manner designed to minimize
use of the lamp with commercial high-power-factor ballasts.
(3) A manufacturer may market and distribute a lamp in a manner
designed to minimize use of the lamp with commercial high-power-factor
ballasts by:
(i) Packaging and labeling the lamp in a manner that clearly
indicates the lamp is for residential use only and includes appropriate
instructions concerning proper and improper use; if the lamp is
included in a catalog or price list that also includes commercial/
industrial lamps, listing the lamp in a separate residential section
accompanied by notes about proper use on the same page; and providing
as part of any express warranty accompanying the lamp that improper use
voids such warranty; or
(ii) Using other comparably effective measures to minimize use with
commercial high-power-factor ballasts.
* * * * *
Rough or vibration service incandescent reflector lamp means a
reflector lamp: in which a C-11 (5 support), C-17 (8 support), or C-22
(16 support) filament is mounted (the number of support excludes lead
wires); in which the filament configuration is as shown in Chapter 6 of
the 1993 Illuminating Engineering Society of North America Lighting
Handbook, 8th Edition (see 10 CFR 430.22); and that is designated and
marketed specifically for rough or vibration service applications.
* * * * *
Voltage range means a band of operating voltages as marked on an
[[Page 29239]]
incandescent lamp, indicating that the lamp is designed to operate at
any voltage within the band.
* * * * *
4. Section 430.22 of Subpart B, is amended by revising the heading
for paragraph (a), revising paragraphs (a)(1) and (a)(2)(ii), removing
paragraphs (a)(3) and (a)(4), redesignating paragraph (b) as (c),
adding a new paragraph (b) and revising redesignated paragraph (c)(1),
to read as follows:
Sec. 430.22 Reference sources.
(a) Industry Test Standards Incorporated by Reference.
(1) General. The following standards, which are not otherwise set
forth in part 430, are incorporated by reference and made a part of
part 430. The standards listed in this section have been approved for
incorporation by reference by the Director of the Federal Register. The
specified versions of the standards are incorporated, and any
subsequent amendment to a standard by the standard-setting organization
will not affect the DOE test procedures unless and until those test
procedures are amended by DOE.
(2) * * *
(ii) U.S. Department of Energy, Office of Energy Efficiency and
Renewable Energy, Hearings and Dockets, Forrestal Building, 1000
Independence Ave, SW, Washington, DC 20585.
(b) List of Sources and Standards Incorporated by Reference.
(1) American National Standards Institute (ANSI). The ANSI
standards listed in this paragraph may be obtained from the American
National Standards Institute, 1430 Broadway, New York, NY 10018, (212)
642-4900.
1. ANSI C78.1-1991, ``for Fluorescent Lamps--Rapid-Start Types--
Dimensional and Electrical Characteristics''
2. ANSI C78.2-1991, ``for Fluorescent Lamps--Preheat-Start Types--
Dimensional and Electrical Characteristics of Fluorescent Lamps''
3. ANSI C78.3-1991, ``for Fluorescent Lamps--Instant-Start and Cold-
Cathode Types--Dimensional and Electrical Characteristics''
4. ANSI C78.375-1991, ``for Fluorescent Lamps--Guide for Electrical
Measurements''
5. ANSI C82.3-1983 ``for Reference Ballasts for Fluorescent Lamps''
6. ANSI C79.1-1994, ``Nomenclature for Glass Bulbs--Intended for Use
with Electric Lamps''
7. ANSI C78.21-1989, ``Incandescent Lamps--PAR and R Shapes''
(2) Illuminating Engineering Society of North America (IESNA). The
IESNA standards listed in this paragraph may be obtained from the
Illuminating Engineering Society of North America, 120 Wall Street,
Floor 17, New York, NY 10005-4001, (212) 248-5000.
1. Illuminating Engineering Society LM-9-88, ``IES Approved Method
for the Electrical and Photometric Measurements of Fluorescent
Lamps''
2. Illuminating Engineering Society of North America LM-16-1993,
``IESNA Practical Guide to Colorimetry of Light Sources''
3. Illuminating Engineering Society of North America LM-20-1994,
``IESNA Approved Method for Photometric Testing of Reflector-Type
Lamps''
4. Illuminating Engineering Society of North America LM-45-91, ``IES
Approved Method for Electrical and Photometric Measurements of
General Service Incandescent Filament Lamps''
5. Illuminating Engineering Society of North America LM-58-1994,
``IESNA Guide to Spectroradiometric Measurements''
6. Illuminating Engineering Society of North America LM-66-1991,
``IES Approved Method for the Electrical and Photometric
Measurements of Single-Ended Compact Fluorescent Lamps''
7. Illuminating Engineering Society of North America Lighting
Handbook, Reference and Application, 8th Edition, 1993, Chapter 6,
Light Sources
(3) International Commission on Illumination (CIE). The CIE
standards listed in this paragraph may be obtained from the
International Commission on Illumination, CIE Bureau Central,
Kegelgasse 27, A-1030, Vienna, Austria. CIE publications are also
available from TLA Lighting Consultants, 7 Pond Street, Salem, MA
10970, (508) 745-6870.
1. International Commission on Illumination (CIE) Publication No.
13.2 1974, corrected reprint 1993, ``Method of Measuring and
Specifying Color Rendering Properties of Light Sources,'' ISBN 3 900
734 39 9
(c) Reference Standards. (1) General. The standards listed in this
paragraph are referred to in the DOE test procedures and elsewhere in
10 CFR part 430 but are not incorporated by reference. These sources
are given here for information and guidance.
* * * * *
5. Section 430.23(r) is revised to read as follows:
Sec. 430.23 Test procedures for measures of energy consumption.
* * * * *
(r) General Service Fluorescent Lamps and General Service
Incandescent Lamps.
(1) The estimated annual energy consumption for general service
fluorescent lamps and incandescent reflector lamps, expressed in
kilowatt-hours per year, shall be the product of the input power in
kilowatts as determined in accordance with section 4 of Appendix R to
this subpart and an average annual use specified by the manufacturer,
with the resulting product rounded off to the nearest kilowatt-hour per
year. Manufacturers must provide a clear and accurate description of
the assumptions used for the estimated annual energy consumption.
(2) The lamp efficacy for general service fluorescent lamps shall
be equal to the average lumen output divided by the average lamp
wattage as determined in section 4 of Appendix R of this subpart, with
the resulting quotient rounded off to the nearest lumen per watt.
(3) The lamp efficacy for incandescent reflector lamps shall be
equal to the average lumen output divided by the average lamp wattage
as determined in section 4 of Appendix R of this subpart, with the
resulting quotient rounded off to the nearest tenth of a lumen per
watt.
(4) The color rendering index of a general service fluorescent lamp
shall be tested and determined in accordance with section 4.5 of
Appendix R of this subpart and rounded off to the nearest unit.
6. Section 430.24(r) is revised to read as follows:
Sec. 430.24 Units to be tested.
* * * * *
(r)(1) For each basic model of general service fluorescent lamp and
incandescent reflector lamp, samples of production lamps shall be
tested and the results for all samples shall be averaged for a 12-month
period. A minimum sample of 21 lamps shall be tested. The manufacturer
shall randomly select a minimum of three lamps from each month of
production for a minimum of 7 out of the 12-month period. In the
instance where production occurs during fewer than 7 of such 12 months,
the manufacturer shall randomly select a 3 or more lamps from each
month of production, where the number of lamps selected for each month
shall be distributed as evenly as practicable among the months of
production to attain a minimum sample of 21 lamps. Any represented
value of lamp efficacy of a basic model shall be based on the sample
and shall be no greater than the lower of the mean of the sample or the
lower 95-percent confidence limit of the true mean (XL)
divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.001
where:
[[Page 29240]]
x=the mean luminous efficacy of the sample
s=the sample standard deviation
t0.95=the t statistic for a 95-percent confidence limit
for n-1 degrees of freedom (from statistical tables)
n=sample size
(2) For each basic model of general service fluorescent lamp, the
color rendering index (CRI) shall be measured from the same lamps
selected for the lumen output and watts input measurements in paragraph
(r)(1) of this section, i.e., the manufacturer shall measure all lamps
for lumens, watts input, and CRI. The CRI shall be represented as the
average of a minimum sample of 21 lamps and shall be no greater than
the lower of the mean of the sample or the lower 95-percent confidence
limit of the true mean (XL) divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.002
where:
x=the mean color rendering index of the sample
s=the sample standard deviation
t0.95=the t statistic for a 95-percent confidence limit
for n-1 degrees of freedom (from statistical tables)
n=sample size
7. Section 430.25 is revised to read as follows:
Sec. 430.25 Laboratory Accreditation Program.
The testing for general service fluorescent lamps, general service
incandescent lamps, incandescent reflector lamps, and medium base
compact fluorescent lamps, shall be performed in accordance with
Appendix R to this subpart and shall be conducted by test laboratories
accredited by the National Voluntary Laboratory Accreditation Program
(NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP is
a program of the National Institute of Standards and Technology, U. S.
Department of Commerce. NVLAP standards for accreditation of
laboratories that test for compliance with standards for lamp efficacy
and CRI are given in 15 CFR part 285 as supplemented by NVLAP Handbook
150-01, ``Energy Efficient Lighting Products, Lamps and Luminaires.'' A
manufacturer's or importer's own laboratory, if accredited, may conduct
the applicable testing.
8. Sections 430.62(b) and (c) are revised to read as follows:
Sec. 430.62 Submission of data.
* * * * *
(b) Initial reporting requirements. (1) Except as provided in
paragraph (b)(2) of this section, all data required by paragraph (a) of
this section shall be submitted on or before the effective date of the
applicable energy conservation standard as prescribed in section 325 of
the Act. For each basic model of a covered product to be distributed in
commerce, each manufacturer and private labeler, or a representative of
each manufacturer and private labeler, shall file a compliance
statement and certification report, 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) Manufacturers of a basic model of a covered general service
fluorescent lamp or incandescent reflector lamp shall file a compliance
and certification report to DOE within 6 months from May 29, 1997.
(c) New models. (1) Except as provided in paragraph (c)(2) of this
section, all information required by paragraph (a)(2) of this section
shall be submitted for each new model prior to or concurrent with any
distribution of such model. Any change to a basic model that affects
energy consumption may constitute the addition of a new basic model
subject to the requirements of Sec. 430.61 of this part. If such change
does not alter compliance with the applicable energy conservation
standard for the basic model, the new model shall be considered
certified without additional testing. In all cases, the information on
the new model required by paragraph (a)(2) of this section shall 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. If a manufacturer discontinues a model, the manufacturer shall
report such discontinuation by certified mail to the Department of
Energy.
(2) Prior to or concurrent with the distribution of a new model of
general service fluorescent lamp or an incandescent reflector lamp, a
manufacturer shall submit a statement signed by a company official
stating how the manufacturer determined that the lamp meets or exceeds
the energy conservation standards, including a description of any
testing or analysis the manufacturer performed. This statement shall
also list the model number or descriptor, lamp wattage and date of
commencement of manufacture. Manufacturers of general service
fluorescent lamps and incandescent reflector lamps shall submit the
information required by paragraph (a)(2) of this section within one
year after the date manufacture of that new model commences.
* * * * *
9. Appendix R to Subpart B of Part 430--Uniform Test Method for
Measuring Average Lamp Efficacy (LE) and Color Rendering Index (CRI)
of Electric Lamps is revised to read as follows:
1. Scope: This appendix applies to the measurement of lamp
lumens, electrical characteristics and CRI for general service
fluorescent lamps, and to the measurement of lamp lumens and
electrical characteristics for general service incandescent lamps,
incandescent reflector lamps and medium base compact fluorescent
lamps.
2. Definitions
2.1 To the extent that definitions in the IESNA and CIE standards
do not conflict with the DOE definitions, the definitions specified
in Sec. 1.2 of IESNA LM-9, Sec. 3.0 of IESNA LM-20, Sec. 2 of IESNA
LM-45, Sec. 2 of IESNA LM-58, Sec. 1.2 of IESNA LM-66 and Sec. IV of
CIE Publication No. 13.2 shall be included.
2.2 ANSI Standard means a standard developed by a committee
accredited by the American National Standards Institute (ANSI).
2.3 CIE means the International Commission on Illumination.
2.4 CRI means Color Rendering Index as defined in Sec. 430.2.
2.5 IESNA means the Illuminating Engineering Society of North
America.
2.6 Lamp efficacy means the ratio of measured lamp lumen output in
lumens to the measured lamp electrical power input in watts, rounded
to the nearest whole number, in units of lumens per watt.
2.7 Lamp lumen output means the total luminous flux produced by the
lamp, at the reference condition, in units of lumens.
2.8 Lamp electrical power input means the total electrical power
input to the lamp, including both arc and cathode power where
appropriate, at the reference condition, in units of watts.
2.9 Reference condition means the test condition specified in IESNA
LM-9 for general service fluorescent lamps, in IESNA LM-20 for
incandescent reflector lamps, in IESNA LM-45 for general service
incandescent lamps and in IESNA LM-66 for medium base compact
fluorescent lamps (see 10 CFR 430.22).
[[Page 29241]]
3. Test Conditions
3.1 General Service Fluorescent Lamps: For general service
fluorescent lamps, the ambient conditions of the test and the
electrical circuits, reference ballasts, stabilization requirements,
instruments, detectors, and photometric test procedure and test
report shall be as described in the relevant sections of IESNA LM-9
(see 10 CFR 430.22).
3.2 General Service Incandescent Lamps: For general service
incandescent lamps, the selection and seasoning (initial burn-in) of
the test lamps, the equipment and instrumentation, and the test
conditions shall be as described in IESNA LM-45 (see 10 CFR 430.22).
3.3 Incandescent Reflector Lamps: For incandescent reflector lamps,
the selection and seasoning (initial burn-in) of the test lamps, the
equipment and instrumentation, and the test conditions shall conform
to sections 4.2 and 5.0 of IESNA LM-20 (see 10 CFR 430.22).
3.4 Medium Base Compact Fluorescent Lamps: For medium base compact
fluorescent lamps, the selection, seasoning and stabilization of the
test lamps, and the test conditions, shall be as described in
Sections 1, 2, 3, and 7 of IESNA LM-66 (see 10 CFR 430.22).
4. Test Methods and Measurements
All lumen measurements made with instruments calibrated to the
devalued NIST lumen after January 1, 1996, shall be multiplied by
1.011.
4.1 General Service Fluorescent Lamps
4.1.1 The measurement procedure shall be as described in IESNA LM-
9, except that lamps shall be operated at the appropriate voltage
and current conditions as described in ANSI C78.375 and in ANSI
C78.1, C78.2 or C78.3, and lamps shall be operated using the
appropriate reference ballast as described in ANSI C82.3 (see 10 CFR
430.22).
4.1.2 Lamp lumen output (lumens) and lamp electrical power input
(watts), at the reference condition, shall be measured and recorded.
Lamp efficacy shall be determined by computing the ratio of the
measured lamp lumen output and lamp electrical power input at
equilibrium for the reference condition.
4.2 General Service Incandescent Lamps
4.2.1 The measurement procedure shall be as described in IESNA LM-
45 (see 10 CFR 430.22). Lamps shall be operated at the rated voltage
as defined in Sec. 430.2.
4.2.2 The test procedure shall conform with section 7 of IESNA LM-
45 and the lumen output of the lamp shall be determined in
accordance with Sections 4.2a or 4.2b of IESNA LM-45 at the
reference condition. Lamp electrical power input in watts shall be
measured and recorded. Lamp efficacy shall be determined by
computing the ratio of the measured lamp lumen output and lamp
electrical power input at equilibrium for the reference condition.
The test report shall conform to Sec. 8 of IESNA LM-45 (see 10 CFR
Sec. 430.22).
4.3 Incandescent Reflector Lamps
4.3.1 The measurement procedure shall be as described in IESNA LM-
20 (see 10 CFR 430.22). Lamps shall be operated at the rated voltage
as defined in Sec. 430.2.
4.3.2. Lamp lumen output shall be determined as total forward
lumens, and may be measured in an integrating sphere at the
reference condition in accordance with Sec. 7.2 of IESNA LM-20 (see
10 CFR 430.22) or from an average intensity distribution curve
measured at the reference condition specified in Sec. 6.0 of IESNA
LM-20. Lamp electrical power input in watts shall be measured and
recorded.
4.3.3 Lamp efficacy shall be determined by computing the ratio of
the measured lamp lumen output and lamp electrical power input at
equilibrium for the reference condition. The test report shall
conform to section 10.0 of IES LM-20 (see Sec. 430.22).
4.4 Medium Base Compact Fluorescent Lamps
4.4.1 The measurement procedure shall be as described in IESNA LM-
66 (see 10 CFR 430.22) except that the provisions of IESNA LM-66
which refer to operation of the lamp using a reference ballast do
not apply to the testing of integrally ballasted compact fluorescent
lamps. Lamps shall be operated at 120 V and 60 Hertz. Lamp lumen
output shall be measured with the integral ballast according to
section 11.3 of IESNA LM-66. Lamp electrical power input in watts
shall be measured and recorded.
4.4.2 Lamp efficacy shall be determined by computing the ratio of
the measured lamp lumen output and lamp electrical power input at
equilibrium for the reference condition. The test report shall
conform to section 13 of IESNA LM-66 (see 10 CFR 430.22).
4.5 Determination of Color Rendering Index
4.5.1 The CRI shall be determined in accordance with the method
specified in CIE Publication 13.2 for general service fluorescent
lamps. The required spectroradiometric measurement and
characterization shall be conducted in accordance with the methods
given in IESNA LM-58 and IESNA LM-16 (see 10 CFR 430.22).
4.5.2 The test report shall include a description of the test
conditions, equipment, measured lamps, spectroradiometric
measurement results and CRI determination.
[FR Doc. 97-13793 Filed 5-28-97; 8:45 am]
BILLING CODE 6450-01-P