Energy Conservation Program for Consumer Products; Fluorescent and Incandescent Lamp Test Procedures

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

[[Page 29225]]

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

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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