# Presentation: 218547

## ENERGY STAR Criteria for CFLs Partner & Stakeholder Meeting

- U.S. Department of EnergyApril 29, 2003 ~ Washington, D.C.
- Richard Karney, U.S. Department of EnergyRon Lewis, U.S. Department of Energy

## Mission of the ENERGY STAR CFL Criteria

- To provide specific parameters and direction to produce high quality, highly efficient CFLs for residential applications that are steps above the norm.

## Why Revise the ENERGY STAR Criteria for CFLs Now?

- _Reason 1:_
- With the CFL qualified product list growing by leaps and bounds, the time is right to raise the bar

## Growth of ENERGY STAR Qualified CFLs

## Why Revise the ENERGY STAR Criteria for CFLs Now?

- _Reason 2:_
- ENERGY STAR wants to continue to drive the market to offer the highest quality products – keep the integrity of the what the label stands for
- _Reason 3:_
- Through the required qualification testing and 3rd party testing by PEARL, we are still finding issues with some CFLs meeting lumen maintenance and interim life time tests at 40% of life and rated lifetime.

## ENERGY STAR CFL Program and PEARL Testing

- PEARL testing provides clear picture to verify qualified CFLs in the marketplace are continuing to meet the ENERGY STAR Criteria requirements.
**Cycle 1:**  ENERGY STAR used the PEARL data as a “litmus test” – follow-up with partners that had poor results and encouraged product improvements to rectify problems.
**Cycle 2:** Products tested against the original and current ENERGY STAR Specifications (included 1,000-hour lumen maintenance & rapid cycle stress test).
- ENERGY STAR sent a letter to all partners to provide clear message program would act on poor PEARL results
- Sent letters to specific partners that had poor test results and strongly encouraged them to “voluntarily de-list” their product – 3 were unqualified and other partners submitted verification that the product’s issues were rectified.

## ENERGY STAR CFL Program and PEARL Testing, continued

**Cycle 3 and Beyond:**
- 	For Cycle 3, ENERGY STAR is contacting partners who had products tested to review the results and again, are encouraging partners to voluntarily remove poor performing products from carrying the ENERGY STAR logo.
- Partners who have products with extensive criteria failures, especially for the 40% lumen maintenance requirement, will be contacted and informed their product will be **immediately removed** from the CFL qualified product list.

## History of the ENERGY STAR CFL Specification 

- Program and Specification was established in 1999
- Initial Specification established the baseline for efficiency testing criteria since there is no federal regulation covering CFLs
- Most important data collected was:
- Efficacy (lumens/watt)
- Lumen Maintenance at 40% of the model’s rated life*
- Average Rated Lifetime Test*
- *Partners were given an 18-month grace period from their initial qualification date to complete these two tests

## History of the ENERGY STAR CFL Criteria Revision Process

- In March 2001, ENERGY STAR held a partner/stakeholder meeting to discuss upgrading the Specification
- Topics discussed were:
- lumen equivalency
- Efficacy
- Early failures on lumen maintenance and average rated life tests
- Protocol for “de-listing” a qualified model
- Based on the meeting and partner comments, the Criteria was updated and was put into effect in October 2001

## Important Additions to the 2001 Criteria Version

- _Required Testing Requirements:_
- Rapid Cycle Stress Test:
- Must meet 5 out of 6 cycles
- provides early warning for early life time failure
- 1,000 Hour Lumen Maintenance Test:
- Must meet or exceed 90% lumen maintenance at 1,000 hours
- Provides early warning for lumen maintenance issues
- Interim Lifetime Testing:
- Must have at least 8 out of 10 samples burning at 40% of rated life; 3 or more failures result in immediate unqualification

## ENERGY STAR Qualified CFLs – Current Criteria Development Process

- Criteria Development from December 2002 to today:
- Ongoing process – DOE is open to all partners’ views and thoughts on how to make the program better.
- Partner and stakeholder comments and thoughts were collected throughout the period.
- Criteria revisions include other comments and suggestions that were received in addition to the official comments that were submitted.

## Current Criteria Review

- Ron Lewis
- U.S. Department of Energy

## ENERGY STAR® Program Requirements for CFLs Partner Commitments – Page 1

_**Opening Statement:**_
- The following are the terms of the ENERGY STAR Partnership Agreement as it pertains to the **manufacturing and/or distributing** of ENERGY STAR qualified CFLs.
_**Bullet 3:**_
- Qualify, or private label at least _one_ ENERGY STAR qualified CFL model within _one year_ of activating the CFL portion of the agreement.  When PARTNER qualifies the product, it must meet the criteria in effect at that time
_**Bullet 4:**_
- Once the PARTNER submits its first qualified model to ENERGY STAR, the PARTNER’s company name will be listed as an ENERGY STAR PARTNER (http://www.energystar.gov);

**Notes:**
Added “and/or distributing” to cover those partners who do not specifically manufacturer the products they list. The 8/9/01 version only had “pertains to the manufacturing of ENERGY STAR qualified CFLs”.
Bullets 3 & 4:
These requirements did not change – but wanted to point out the requirement of qualifying one product within the first year of partnership and after that – the company name will be added to the list of partners on the web site.
Bullet 4 – was incorporated 

## ENERGY STAR® Program Requirements for CFLs Partner Commitments – Page 1

_**Bullet 9 - Shipment Data:**_
- Provide to DOE, on a bi-annual basis, unit shipment data or other market indicators to assist in determining the market penetration of ENERGY STAR CFLs.  Specifically, PARTNER must submit the total number of ENERGY STAR qualified CFLs shipped (in units by model) or an equivalent measurement as agreed to in advance by DOE and PARTNER.  PARTNER is also encouraged to provide ENERGY STAR qualified unit shipment data segmented by meaningful product characteristics (e.g. bulb type/style) total unit shipments for each model in its product line, and percent of total unit shipments that qualify as ENERGY STAR.
- 	The data for each half of the calendar year should be submitted to DOE, preferably in electronic format, no later than March 31st  (for second half of the year) and July 31st  (for first half of the year),* *and may be provided directly from the PARTNER or through a third party.  The data will be used by DOE only for program evaluation purposes and will be closely controlled.  If requested under the Freedom of Information Act (FOIA), DOE will argue that the data is exempt.  Any information used will be masked by DOE so as to protect the confidentiality of the PARTNER;

## ENERGY STAR Eligibility CriteriaEnergy-Efficiency Specification – Page 3

- ENERGY STAR Eligibility CriteriaEnergy-Efficiency Specification – Page 3

_**Current Criteria – 8/9/01:**_
_**Scope:**_ This  ENERGY STAR CFL specification covers the requirements for self-ballasted, screw-based CFLs and lamp systems, comprising:
- A. _Single-based, bare compact_ fluorescent lamps with integral electronic ballasts;
- B. _Circle and square lamps with a maximum diameter of 9 inches_ or a maximum side length of 8 inches and having electronic ballast adapters that are tested and packaged with the lamp;
- C. _Single based compact fluorescent lamps_ with integral electronic ballasts and which have a translucent cover over the bare fluorescent tube. The cover may be globe, bullet, pear or other shape; D. _Single based compact fluorescent lamps_ with integral electronic ballasts and which have a reflector that may be open or enclosed. The lamp shall be primarily intended to replace wide beam incandescent reflector lamps.
_**Draft Criteria – 4/15/03:**__**Scope:**_  This ENERGY STAR CFL Criteria covers the requirements for self-ballasted, screw-based CFL and lamp systems, including:
- A. _Medium-based, compact fluorescent_ lamps with integral electronic ballasts;
- B. _Circline lamps with a maximum diameter of 9 inches and square lamps_, with a maximum side length of 8 inches with medium base electronic ballasts that are tested and packaged with the lamp.
- C. _Medium-based compact fluorescent lamps_ with integral electronic ballasts, which have a translucent cover over the bare fluorescent tube. The cover may be globe, bullet, pear, torpedo, or any other shape.
- D. _Medium-based compact fluorescent lamps_ with integral electronic ballasts, which have a reflector that may be open or enclosed. The lamp shall be primarily intended to replace wide beam incandescent reflector lamps.

**Notes:**
Removed the term “single-based”
Changed B. to clarify the differences between circline and square lamps

## ENERGY STAR CFL Eligibility CriteriaReference Standards – Page 4

| ANSI C78.901-2001 | American National Standard for Electric Lamps – Single Base Fluorescent Lamps – Dimensional and Electrical Characteristics  |
| --- | --- |
| ANSI C78.4-1995 | Fluorescent Lamps – Self-Supporting Single-based Compact Types  |
| ANSI C78.5 – 1997 | Specifications for Performance of Self-Ballasted Compacted Fluorescent Lamps |
| ANSI C78.375 – 1997 | Guide for Electrical Measurements of Fluorescent Lamps |
| ANSI/IEEEC62.41–1991 | Surge Voltages in Low-Voltage AC Power Circuits, Recommended Practice for
 |
| CIE Publication No. 13.3 – 1995 | Method of Measuring and Specifying Color Rendering of Light Sources |
| IESNA LM-9 – 1999 | Electric & Photometric Measurement of Fluorescent Lamps |
| IESNA LM-40 –  2001 | Approved Method for Life Performance Testing of Fluorescent Lamps |
| IESNA LM-65 – 2001 | Life Testing of Single-ended Compact Fluorescent Lamps |
| IESNA LM-66-00 – 2000
 | Electrical and Photometric Measurements of Single Ended Compact Fluorescent Lamps |
| UL 1993 – 1993 | Standard for Self-Ballasted Lamps and Lamp Adapters |

**Notes:**
This table shows the Specification reference standards.
The purple highlighted items are those that have been updated, as you can see in your copy of the Specification.
The gray highlighted items are those that have been deleted.

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

| Lamp Power (Watts) & Configuration | Minimum Efficacy:  Lumens/watt 
(Based upon initial lumen data2)  |
| --- | --- |
| Bare lamp:
Lamp power < 15 
Lamp power > 15  |  
45.0
60.0  |
| Covered lamp (no reflector):
Lamp power < 15 
15 > lamp power < 19 
19  > lamp power < 25 
Lamp power > 25  |  
40.0
48.0
50.0
55.0  |
| W/Reflector:
Lamp power <  20 
Lamp power >  20  |  
33.0
40.0  |

**EFFICACY LEVELS:**Efficacy Levels in 3/15/03 draft remain the same as current criteria.

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

- SAMPLE SIZE REVIEW:

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

- 1,000-HOUR LUMEN MAINTENANCE:

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

- CORRELATED COLOR TEMPERATURE:

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

- LUMEN MAINTENANCE AT 40% OF RATED LIFE:

## ENERGY STAR CFL Eligibility CriteriaPhotometric Requirements – Page 5

- FOOTNOTE**2** - EFFICACY:

## ENERGY STAR CFL Eligibility CriteriaElectrical Requirements – Page 6

**TRANSIENT PROTECTION:**

_**4/15/03 Draft Text:**_
- Per ANSI/IEEE C62.41, Category A, 7 strikesNote: one failure to meet 7 strikes will result in test failure and therefore, failure to meet the Criteria.
**Sample Size:**A minimum of five (5) lamps tested in the _base up_ position unless the product is labeled as a position-restricted by the manufacturer.  If position restricted, test lamps in specified position *Must be unique sample for this test only.*
**Laboratory Requirement:**Use NVLAP or A2LA4 accredited labs.

_**Current Specification Text:**_
- Per ANSI/IEEE C62.41, Category A, 7 strikes
**Sample Size:**A minimum of five (5) lamps tested in the _base up_ position unless the product is labeled as a position-restricted by the manufacturer.  If position restricted, test lamps in specified position. *Must be unique sample for this test only*.
**Laboratory Requirement:**Use NVLAP or A2LA4 accredited labs or manufacturer may self test and self certify.

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**WARRANTY INFORMATION:**

_**Current Specification Text:**_At least 12 months from date ofpurchase, and an 800 number, or address for consumer complaint resolution.

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**LABELING/PRODUCT PACKAGING INFORMATION:**

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**CFL/INCANDESCENT EQUIVLANCY****9****:**

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**CFL/INCANDESCENT EQUIVLANCY****9****:**
- 9 If displaying an incandescent equivalence for commonly used A-shaped bulbs, the CFL’s initial luminous flux must meet the following levels.  The table shows typical luminous flux for A-shaped, soft white, incandescent bulbs.  Based on research conducted by NLPIP, luminous flux varies considerably among bulbs.  The table below is intended to aid in consumer choice and in no way supercedes or replaces any requirement for product performance contained in this specification.
- If the luminous flux falls outside of the range, either do not display an incandescent equivalence or display the lower incandescent wattage equivalence.
- IF displaying an incandescent equivalent for Globe, Reflector, or Decorative type bulbs, the initial luminous flux for both the CFL and the appropriate Globe, Reflector, or Decorative incandescent bulb must be displayed side by side in a comparison panel, along with the wattage ratings for both the CFL and incandescent bulb.

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

| A-Shaped Incandescent bulb (Watts) | Typical Luminous Flux (Lumens)†
† Lumens must be 100 hr, initial values for CFLs |
| --- | --- |
| 40 | Minimum of 450 |
| 60 | Minimum of 800 |
| 75 | Minimum of 1,100 |
| 100 | Minimum of 1,600 |
| 150 | Minimum of 2,600 |

**CFL/INCANDESCENT EQUIVALANCY TABLE:**

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**RAPID CYCLE STRESS TEST:**

**Notes:**
Rapid cycle stress test –
Same requirement as current criteria. Most of the 1st round of comments stated they supported keeping this in the criteria because it was a strong indicator to show quality of product and its rated lifetime.

This test had been suggested for removal in the 1st draft – because of the suggestion of full qualification submission requirement.

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**INTERIM LIFE TEST:**

## ENERGY STAR CFL Eligibility CriteriaLifetime Performance Requirements – Page 7

**AVERAGE RATED LAMP LIFE TEST:**

**Notes:**
Average Rated Lamp Life Test -
Same requirement as current criteria, although the program removed the option of using statistical methods to confirm lifetime claims when completing the lifetime at 80% of rated life.

## ENERGY STAR CFL Eligibility CriteriaCertification – Page 8

_**4/15/03 Draft Text:**_Manufacturers shall certify that ENERGY STAR qualified compact fluorescent lamps sold using the ENERGY STAR label have:1) Been tested and third party listed to UL Standard 1993 for Self-Ballasted Lamps and Lamp Adapters by a Nationally Recognized Testing Laboratory (NRTL) accredited by Occupational, Safety, and Health Administration (OSHA),2) Meet the manufacturers’ declared performance and use criteria that is found on the packaging,3) Meet or exceed the minimum performance criteria contained in this ENERGY STAR Specification for the characteristics shown above.

_**Current Specification Text:**_

- Manufacturers shall certify that ENERGY STAR qualified compact fluorescent lamps and lamp systems sold using the ENERGY STAR label have:1) Been tested and third party listed to UL Standard 1993 by a Nationally Recognized Testing Laboratory (NRTL) accredited by Occupational, Safety, and Health Administration (OSHA),2) Met the manufacturers’ declared performance criteria,3) Meet or exceed the minimum performance criteria contained in this ENERGY STAR specification for the characteristics shown above.

**Notes:**
Certification –
The draft and current criteria are the same. The only change as a NOTE addition that was added in the 12/12/02 version.

## ENERGY STAR CFL Eligibility CriteriaQualification Process – Page 8-9

_**4/15/03 Draft Text:**_Manufacturers can submit their CFL for ENERGY STAR qualification by the following 2-step procedure:
- Initial Qualification (submission of all tests up to 40% of rated life)- Full Qualification (submission of completed average rated lamp life test)

_**Current Specification Text:**__**Alternative 1: Full Qualification.**_  Manufacturer may submit, _up front_, all data indicating that a new or previously tested, listed, or labeled model meets the specification._**Alternative 2: Early Labeling.**_  This alternative requires _three_ testing stages, Initial, Interim, and Full qualification, but allows the manufacturer to label the model after pre-qualification testing results have been verified.

**Notes:**
Based on all of the thorough comments from the first round, ENERGY STAR has suggested a compromise from the full qualification or early labeling – which is requiring submission of completed tests up to 40% of rated life.

In the current Specification, manufacturers have two options on how to submit their CFL for ENERGY STAR qualification.
Stage 1:  Pre-Qualification -- For new models, and/or models not previously tested, listed, or labeled, manufacturers must provide data indicating that the model meets:
         All pre-qualification photometric, electrical, and life time specifications (see tables)
         Rapid cycle stress test
         1,000-hour lumen maintenance
Manufacturers’ properly accredited laboratories and properly accredited third-party testing facilities must certify to the authenticity and integrity of the test data and are encouraged to complete the ENERGY STAR CFL Qualification Form (available from your account manager) to expedite the process. 
Stage 2:  Interim Testing -- At 40% of rated life, the manufacturer must provide an update on lamp life (quantity of lamps still operating) and the results of the lumen maintenance test from the initial population (10 samples; 5 base-up and 5 base-down).  For the lamp life update, given a 10-product sample, one failure will pass, while two failures will require justification, and three failures will result in immediate de-listing.
Stage 3:  Final Qualification – Upon completing the average rated life test or at 80% of rated life as declared on the manufacturer’s packaging, the manufacturer may report the quantity of sample lamps still operating in the life test. 

For the new suggested qualification process:
STEP 1: Initial Qualification
Partners must submit a report that includes the following completed tests (see below for specific list of tests) from either their properly accredited laboratories or properly accredited third-party testing facilities, which must certify to the authenticity and integrity of the test data.
must complete PAGE 1- the accredited laboratories must complete PAGE 2 the ENERGY STAR CFL Qualification Form
Partners must complete the following tests before they will be considered for INITIAL ENERGY STAR qualification:
o        Efficacy (which includes 100-hour lumen output)
o        Rapid Cycle Stress Test
o        1,000-hour lumen maintenance
o        Color Rendering (CRI)
o        Correlated Color Temperature (CCT)
o        Power Factor
o        Run-up Time
o        Starting Time
o        Transient Protection
o        Operating Frequency
o        Electromagnetic Interference
o        Lumen maintenance at 40% of rated life
o        Interim Life Time Test at 40% of rated life
o        Submission of product packaging

STEP 2: Full Qualification
Manufacturers will be given a due date in their initial qualification letter to submit the final average rated life time test report to complete their ENERGY STAR CFL qualification process and fulfill the Full Qualification requirements. 

## ENERGY STAR CFL Eligibility CriteriaPrivate Labeling Products – Page 9

## ENERGY STAR CFL Eligibility CriteriaLabeling & Product Packaging Review – Page 9

## ENERGY STAR CFL Eligibility CriteriaLabeling & Product Packaging Review – Page 9

_**4/15/03 Draft Text Packaging Addition:**_
**Commercial packaging of products** - Qualified CFL products that will be bulk packaged for commercial sales must submit a package proof for the container that the qualified products will be shipped in and that clearly displays all of the required criteria to fulfill the packaging requirements for ENERGY STAR.
- _Note:_  Those partners found distributing qualified CFL products in unidentified packaging or white boxes will be contacted immediately and may immediately have that specific model unqualified from the program.

## ENERGY STAR CFL Eligibility CriteriaQuality Assurance/Retirement of Products – Page 10

## ENERGY STAR CFL Eligibility CriteriaQuality Assurance/Retirement of Products – Page 10

_**CLARIFICATIONS FROM 12/12/02 VERSION:**_
- Should a product be unqualified, or de-listed, the manufacturer, distributor, or retailer must cease use of the ENERGY STAR logo on the model’s packaging, product’s web site, and other marketing materials. Partners found with unqualified product out in the market still identified as ENERGY STAR will receive a logo use violation letter and may face the possible termination of the partner’s Partnership Agreement.
**Removed:** When a product is unqualified, the partner has a 60-day “grace period” from the date of notice to complete any utility or Regional Energy-Efficiency Program Sponsor (REPS) rebate program, or begin to phase out the specific model from any utility or REPS rebate if special deal promotion will run longer than 60 days. The partner is responsible for resolving any resulting issues with retailers and REPS after this 60-day grace period has ended.
-  Result: No grace period means once a model is identified as unqualified, then it is unqualified, no questions asked.

## ENERGY STAR CFL Eligibility CriteriaQuality Assurance/Retirement of Products – Page 10

_**ADDITION FROM 12/12/02 VERSION:**_
**Retirement/Discontinuation of Products:** Partners who are discontinuing or retiring a model need to submit to their ENERGY STAR account representative a formal letter stating the specific date this model will be out of the marketplace so it can be identified on the qualified product list as “unqualified”, since it will no longer be available.

## ENERGY STAR CFL Eligibility CriteriaEffective Date – Page 10

- ENERGY STAR CFL Eligibility CriteriaEffective Date – Page 10

_**4/15/03 Draft Text:**_
- The effective date for the ENERGY STAR Program Requirements for CFLs will be determined at a later date and replaces all previous versions.  On TBD, those partners who qualified products based on the older version of the CFL Criteria and have outstanding test data still due will be required to continue testing based on issued due dates they received in their initial qualification letter.  Any partner who fails to submit test data according to their due dates for specific model(s) will have their products immediately removed from the qualified product list for failure to complete the full qualification process.
- At this time, partners who have products that have met full qualification under the former Criteria and received a full qualification from ENERGY STAR will remain qualified.

_**Current Specification Text:**_ The effective date for the Energy Star Program Requirements for CFLs is **October 1, 2001**, and replaces all previous versions.  At this time, manufacturers that qualified products that meet the former specification must submit average rated life and lumen maintenance data by their **18-month due date or by** **July 1, 2002** *(whichever date comes first)* in order to remain qualified.  Manufacturers that have received full Energy Star qualification prior to October 1, 2001, will be considered in compliance with the new Specification and therefore, do not need to submit any new testing data.

## ENERGY STAR CFL Eligibility CriteriaEffective Date – Page 10

- Suggested Timing of new Criteria Roll-out:
- Official Comments due to DOE by May 16th
- DOE Review of comments through May 31st
- 3rd and final draft criteria distributed on June 2nd
- Effective Date – October 1, 2003
- Models still in process of testing would follow older criteria version – complete their submission process
- Other thoughts?

## ENERGY STAR CFL CriteriaNext Steps

- Overview of the topics discussed during this meeting will be developed and distributed to all partners for their use
- Any official partner and stakeholder comments can be submitted to DOE – by May 31th to:
**Richard Karney, Richard.karney@ee.doe.gov****	**
**Ron Lewis, Ronald.lewis@ee.doe.gov**
**Susan Gardner, sgardner@drintl.com**
- After review of this meeting’s discussion and official comments, the 3rd draft criteria distributed the first week of June
- DOE may follow-up with specific partners and/or stakeholders if further clarification or additional information is needed to finalize part of the version of the criteria