Thursday

May 29, 1997

I

Part III

Department of

Energy

Office of Energy Efficiency and

Renewable Energy

10 CFR Part 430

Energy Conservation Program for

Consumer Products: Fluorescent and

Incandescent Lamp Test Procedures;

Final Rule

29221

 EE-RM-94-220-IF COMMENT 46
29222 Federal Register / Vol. 62, No. 103 / Thursday, May 29, 1997 / Rules and Regulations

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.

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-43 1,

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:

1. 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

1. 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

0. 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:

1. 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. I 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.

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 LMI 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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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, LM58-1983, 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 § 430.24(r) (1) and (2) (NEMA,

No. 14 at 8.2)

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

2 The Department assigned docket numbers and

comment numbers to comments we received on the

Interim Final Rule.

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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 (VV)

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 pre1992 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 § 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 § 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 § 325 (i) (7)

of EPCA, U.S.C. 6295(i)(7). Lumens and

wattage are not measures of energy use

(per § 323(c) of SPCA, 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 232-26 1.)

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 twosided 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 onesided confidence limit reduces the

testing burden on manufacturers and

assures the consumer that lamp

performance will meet or exceed the

lamp efficacy standards. Furthermore,

the Act requires that any manufacturer

making representations of lamp efficacy

and energy consumption must do so

according to DOE test procedures and

sampling plans. This ensures that

consumers get lamp performance that is

at least as good as represented.

The Act prohibits manufacturers,

retailers, distributors and private

labelers from making any

representations in writing (including

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labels) or in any advertisements with

respect to energy use or efficiency or the

cost of energy consumed unless the

product under consideration has been

tested in accordance with DOE test

procedures, and unless the

representations fairly disclose the

results of the testing. Section 323(c) of

EPCA, 42 U.S.C. 6293(c). Furthermore,

the Act requires manufacturers to file

with DOE a laboratory report certifying

the average lumen output and wattage

consumption for each lamp type.

Section 325(i)(7) of EPCA, 42 U.S.C.

6295(i)(7). Consequently, manufacturers

must use the Department's test

procedures including calculation of

sample means and confidence limits to

certify lamp efficacy and CRI,

Manufacturers also must use these

procedures to measure lumen output

and wattage consumption for the

laboratory report. The Department

believes that its test procedures for

lamps will fulfill the FTC requirements

for lamp testing.

B. 25-Watt Lamp

The energy efficiency standards for 4-

foot medium bi-pin fluorescent lamps

are prescribed in § 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-powerfactor 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. Lowpower-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 lowpower-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 shoplight 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-powerfactor 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 rapidstart, 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 § 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

§ 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)(1). Noting

that § 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 highpower-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 highpower-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 straightshaped 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

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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-powerfactor 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-powerfactor 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

§ 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 welldefined 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

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29228 Federal Register / Vol. 62, No. 103 / Thursday, May 29, 1997 / Rules and Regulations

standards; (4) OSI sells a special highefficiency 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 DuroTest proposed two options for BR30

wattages: exactly 85 or less than 66.

They also proposed a maximum of 120

W for the BR40lamp. (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 BR30lamps

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 § 430.2.

D. Colored Lamps

In the Notice of Proposed Rulmaking,

the Department defined colored

fluorescent and colored incandescent

lamps because § 321(30) (B) (iii) of EPCA,

42 U.S.C. 6291(30)(B)(iii), and

§ 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 noncolored 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.)

(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

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,

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

 EE-RM-94-220-IF COMMENT 46
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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. DuroTest 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

§ 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 C17 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 C 11, 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 C 11, C 17 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 (XIPW) be divided by 0.98 to

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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:

Xlpw -ZO.

95(o/yn)

0.95

where zo.95 = 1.645 and sigma (a) 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

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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

§ 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 § 430.2.

H. Test Voltage for Incandescent Lamps

Neither the definition of incandescent

lamp in § 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

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marked with a voltage shall be tested at

120 V (see the definitions of "Design

Voltage" and "Rated Voltage" in 10 CFR

§ 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.

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, § 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 § 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:

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

FLUORESCENT LAMP BASIC MODEL #1

Lamp Lamp Lamp

lumen Lamp Lamp

designation wattage output CCT K 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 lu

Lamp

men

Lamp Lamp

designation wattage output CCT K 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

designation

Lamp

wattage

Lamp

lumen

output

Beam

spread

PAR30 Type A ........................................................................................................................................... 1 75 I 975 1 spot.

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INCANDESCENT REFLECTOR LAMP BASIC MODEL #1-Continued

Lamp Lamp lumen Beam

designation wattage output spread

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 § 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 16-2 1.)

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 § 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 § 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 § 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

§ 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 § 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 lumenper-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

§ 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

§ 325(1)(7) of the Act, 42 U.S.C.

6295(1)(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,

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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 § 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 § 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 § 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 § 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

§ 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.

0. 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 . I 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,

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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 LM45 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, § 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, § 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 § 430.2.

This omission creates a difference from

the statutory language of § 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 § 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 § 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

§ 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

29235

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

 EE-RM-94-220-IF COMMENT 46
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provide an express exemption for longlife 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. § 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, § 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 § 3(a), § 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 § 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 § 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 § 301 of the Department of

Energy Organization Act (Pub. L. 95-

91), the Department of Energy is

required to comply with § 32 of the

Federal Energy Authorization Act

(FEAA), as amended by § 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-

 EE-RM-94-220-IF COMMENT 46
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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

§ 32(b). The Department was unable to

conclude whether development of these

standards fully complied with § 32(b)

regarding the manner of public

participation.

As required by § 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:

§ 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 BR30lamp has a

lamp wattage of 85 or less than 66 and

a BR40lamp has a lamp wattage of 120

or less.

* * * * *

Cold temperature fluorescent lamp

means a fluorescent lamp specifically

designed to start at - 20°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.

* * * * *

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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 highor 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 11 5V

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 straightshaped 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 electricdischarge 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

ap lications.

(11) 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 highpower-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-powerfactor 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

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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:

§ 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 TypesDimensional and Electrical

Characteristics"

2. ANSI C78.2-1991, "for Fluorescent

Lamps-Preheat-Start TypesDimensional 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-45-9 1, "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 SingleEnded 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:

§ 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 kilowatthours per year, shall be the product of

the input power in kilowatts as

29239

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:

§ 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.,

x-to.95

where:

0.97

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29240 Federal Register / Vol. 62, No. 103 / Thursday, May 29, 1997 / Rules and Regulations

x=the mean luminous efficacy of the

sample

s=the sample standard deviation

to.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.,

s

x - t 0.95

Fn

0.97

where:

:R=the mean color rendering index of

the sample

s=the sample standard deviation

to.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:

§ 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:

§ 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 § 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 § 1.2 of IESNA LM-9, § 3.0

of IESNA LM-20, § 2 of IESNA LM-45,

§ 2 of IESNA LM-58, § 1.2 of IESNA LM66 and § 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 § 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).

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Federal Register / Vol. 62, No. 103 / Thursday, May 29, 1997 / Rules and Regulations

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 burnin) 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 § 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 § 8 of IESNA LM-45

(see 10 CFR § 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 § 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 § 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 § 6.0

of IESNA LM-20. Lamp electrical power

input in watts shall be measured and

recorded.

29241

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 § 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 LM66. 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

 EE-RM-94-220-IF COMMENT 46