[Federal Register Volume 62, Number 103 (Thursday, May 29, 1997)]
[Rules and Regulations]
[Pages 29222-29241]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13793]



[[Page 29221]]

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Part III





Department of Energy





_______________________________________________________________________



Office of Energy Efficiency and Renewable Energy



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10 CFR Part 430



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

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

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DEPARTMENT OF ENERGY

Office of Energy Efficiency and Renewable Energy

10 CFR Part 430

[Docket No. EE-RM-220-IF]
RIN 1904-AA61


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

AGENCY: Office of Energy Efficiency and Renewable Energy, DOE.

ACTION: Final rule.

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SUMMARY: This Final Rule amends the currently effective Interim Final 
Rule on test procedures for certain fluorescent and incandescent lamps 
and promulgates new and revised regulatory definitions applicable to 
lamps based on public comments. Lighting manufacturers must use these 
test procedures to meet the lamp standards in the Energy Policy Act of 
1992.

DATES: This rule is effective June 30, 1997. The incorporation by 
reference of certain publications listed in the regulations is approved 
by the Director of the Federal Register as of June 30, 1997.

ADDRESSES: Public comments on the Interim Final Rule and the documents 
incorporated by reference may be viewed at the Department of Energy 
Freedom of Information Reading Room, U.S. Department of Energy, 
Forrestal Building, Room 1E-190, 1000 Independence Avenue, SW, 
Washington, DC 20585, (202) 586-3142, between the hours of 9:00 a.m. 
and 4:00 p.m., Monday through Friday, except Federal holidays.
    The Department of Energy (DOE or the Department) is incorporating 
by reference the following industry consensus test standards:
    1. Illuminating Engineering Society of North America LM-16-1993, 
``IESNA Practical Guide to Colorimetry of Light Sources.''
    2. Illuminating Engineering Society of North America LM-20-1994, 
``IESNA Approved Method for Photometric Testing of Reflector-Type 
Lamps.''
    3. Illuminating Engineering Society of North America LM-58-1994, 
``IESNA Guide to Spectroradiometric Measurements.''
    4. Illuminating Engineering Society of North America Lighting 
Handbook, Reference and Application, 8th Edition, 1993, Chapter 6, 
Light Sources.
    5. American National Standards Institute C78.21-1989, 
``Incandescent Lamps--PAR and R Shapes.''
    6. American National Standards Institute C79.1-1994, ``Nomenclature 
for Glass Bulbs--Intended for Use with Electric Lamps.''
    Copies of the Illuminating Engineering Society of North America 
(IESNA) standards may also be obtained from IESNA, Publications 
Department, 120 Wall Street, Floor 17, New York, NY 10005-4001, (212) 
248-5000. Copies of the American National Standards Institute (ANSI) 
standards may also be obtained from ANSI, 11 West 42nd Street, New 
York, NY 10036, (212) 642-4936.

FOR FURTHER INFORMATION CONTACT: Mr. Terrence L. Logee, U.S. Department 
of Energy, Office of Energy Efficiency and Renewable Energy, Mail 
Station EE-431, Forrestal Building, 1000 Independence Avenue, SW, 
Washington, DC 20585-0121, (202) 586-1689 or Mr. Eugene Margolis, Esq., 
U.S. Department of Energy, Office of General Counsel, Mail Station GC-
72, Forrestal Building, 1000 Independence Avenue, SW, Washington, DC 
20585-0103, (202) 586-9507.

SUPPLEMENTARY INFORMATION:

I. Introduction

II. Background Information

III. Discussion of Comments and Changes to the Interim Final Rule

A. General Comments
    (1) Compliance Statements and Certification Reports
    (2) Recertification of 8-Foot Fluorescent Lamps
    (3) Devaluation of the Lumen
    (4) Monitoring Sales Data for Loopholes
    (5) DOE and FTC Coordination on Testing and Labeling
B. 25-Watt Lamp
    (1) Safety
    (2) Relabeling of 40-Watt Halophosphate Lamps
    (3) Rated Wattage
C. R, BR and ER Incandescent Lamps
D. Colored Lamps
    (1) Chromaticity
    (2) CRI and CCT
    (3) Neodymium Lamps
    (4) Plant Lamps
E. Rough or Vibration Service Lamps
F. Sampling Plan and Confidence Limits
    (1) Sample Size
    (2) Derating the Sample Mean
    (3) Variability and Confidence Limits
    (4) Derating Factor
    (5) ``z'' Test
G. Rated Voltage Range
H. Test Voltage for Incandescent Lamps
I. Basic Model
J. Measures of Energy Consumption
K. CRI Testing
L. Lamp Test Period for New and Existing Lamp Models
M. Certification Data
N. Medium Base Compact Fluorescent Lamps and General Service 
Incandescent Lamps
O. Test Procedures
P. Definitions
Q. National Voluntary Laboratory Accreditation Program (NVLAP)
R. Long-life Halogen Lamps

IV. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969
B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''
C. Review Under the Regulatory Flexibility Act of 1980
D. Review Under Executive Order 12612, ``Federalism''
E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights''
F. Review Under the Paperwork Reduction Act of 1980
G. Review Under Executive Order 12988, ``Civil Justice Reform''
H. Review Under Section 32 of the Federal Energy Administration Act 
of 1974
I. Review Under Small Business Regulatory Enforcement Fairness Act 
of 1996
J. Review Under the Unfunded Mandates Reform Act of 1995

SUPPLEMENTARY INFORMATION:

I. Introduction

    Part B of Title III of the Energy Policy and Conservation Act, as 
amended (EPCA or the Act), establishes the Energy Conservation Program 
for Consumer Products Other Than Automobiles.1 The consumer 
and commercial products currently subject to this program (covered 
products) include general service fluorescent lamps and incandescent 
reflector lamps, the subjects of today's Final Rule.
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    \1\ Part B of Title III of EPCA, as amended, is referred to in 
this Final Rule as the ``Act'', and provisions of the Act are 
referred to either as ``Section __ of the Act'' or as ``Section 
__.'' Part B of Title III is codified at 42 U.S.C. 6291-6309.
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    The Act specifies that the Secretary of Energy shall prescribe test 
procedures for fluorescent lamps and incandescent reflector lamps 
taking into consideration the applicable IESNA or ANSI standards. 
Section 323(b)(6) of EPCA, 42 U.S.C. 6293(b)(6). The IESNA and ANSI 
test methods for these products have been reviewed by the National 
Institute of Standards and Technology of the United States Department 
of Commerce (NIST) in consultation with the National Electrical 
Manufacturers Association (NEMA), which represents the lamp 
manufacturers with the predominant market share. The Department has 
determined that the referenced test procedures effectively measure lamp 
efficacy and color rendering index, and they are not unduly burdensome 
to conduct. Therefore, today's Final Rule incorporates by reference the 
test methods found in IESNA standards LM-

[[Page 29223]]

 16-1993, LM-20-1994, and LM-58-1994 for testing and measuring the 
color rendering index and performance of fluorescent lamps and 
incandescent reflector lamps. These revisions of IESNA standards LM-16, 
LM-20, and LM-58 replace older standards incorporated by reference in 
the Interim Final Rule on Test Procedures for Fluorescent and 
Incandescent Lamps (the Interim Final Rule). 59 FR 49468, September 28, 
1994. This Final Rule incorporates by reference Chapter 6 from the 
IESNA Lighting Handbook which shows incandescent lamp filament 
configurations. This Final Rule also incorporates by reference the 
nomenclature for glass bulbs for lamps found in ANSI C79.1-1994 and the 
PAR and R bulb shape descriptions found in ANSI C78.21-1989.
    Additionally, today's rule extends the date for submission of 
compliance statements and certification reports for existing lamps to 6 
months from the publication of this rule, modifies the sampling plan, 
and adds definitions for colored lamps, rated voltage, elliptical 
reflector (ER) and bulged reflector (BR) lamps, and rough and vibration 
service incandescent lamps.

II. Background Information

    The Interim Final Rule added a new section in the Code of Federal 
Regulations establishing test procedures for general service 
fluorescent lamps, medium base compact fluorescent lamps, and general 
service incandescent lamps. CFR Appendix R to Subpart B of Part 430. 
The test procedures incorporated by reference ANSI Standards C78.1-
1991, C78.2-1991, C78.3-1991, C78.375-1991, C82.3-1983; IESNA Standards 
LM-9-1988, LM-16-1984, LM-20-1982, LM-45-1991, LM-58-1983, LM-66-1991; 
and the International Commission on Illumination, Publication 13.2-
1974. To provide consumer confidence in the test measurements, the 
Interim Final Rule adopted a sampling plan based on a 99-percent 
confidence limit for testing general service fluorescent lamps, general 
service incandescent lamps, and medium base compact fluorescent lamps. 
The sampling provisions required testing from a minimum sample of 20 
lamps. The Interim Final Rule required that testing be done in a 
laboratory that is accredited by the National Voluntary Laboratory 
Accreditation Program (NVLAP), a division of NIST.
    The energy conservation standards for general service fluorescent 
and incandescent reflector lamps prescribed in the Act were included in 
the Interim Final Rule. The Interim Final Rule also included 
certification requirements and definitions of terms related to 
standards and test procedures for lamps.
    The Final Rule differs from the Interim Final Rule in the following 
principal ways:
     The sampling plan was revised from 20 to 21 lamps.
     Confidence limits were set at 95 percent.
     The derating factor was changed from 0.99 to 0.97.
     The test voltage for incandescent lamps was changed to the 
rated voltage as defined in this rule.
     The definition of basic model was revised to be 
independent of a lamp's photometric distribution (i.e., beam spread).
     Definitions for rated wattage and for residential 
straight-shaped lamp for fluorescent lamps were added.
     The definition of cold temperature fluorescent lamp was 
revised to require markings for cold temperature use on the lamp.
     The calculations of annual operating costs and energy 
consumption were revised to allow manufacturers to use any price and 
operating hour assumptions if the assumptions are clearly and 
accurately described.
     A provision for use of the pre-1996 valuation for lumens 
and definitions clarifying coverage of certain fluorescent lamps were 
added.
     Definitions for BR and ER incandescent lamps, for colored 
lamps and for rough or vibration service incandescent lamps were added.
     A requirement for manufacturers of new lamp models to 
state they believe new lamps will meet energy efficiency standards was 
added.
    Additionally, today's rule provides for submission of 
manufacturer's compliance statements for existing lamps 6 months from 
the publication of today's rule. The rule also discusses the 25-watt 
fluorescent lamp issues and describes the Department's rationale for 
the residential straight-shaped lamp definition.

III. Discussion of Comments and Changes to the Interim Final Rule

    The Department received 45 written comments in response to the 
September 28, 1994, Interim Final Rule. The Department also held a 
hearing on November 15, 1994, a workshop on July 19, 1995, and a public 
meeting on March 5, 1996, to discuss issues raised by comments and 
other issues that required clarification. Attendees represented lamp 
importers, energy and environmental groups, state energy offices, 
lighting consultants, NIST and most of the U.S. lamp manufacturers.

A. General Comments

(1) Compliance Statements and Certification Reports
    NEMA requested that manufacturers be given a choice of testing by 
industry protocols or by DOE test procedures. NEMA commented that this 
choice would allow manufacturers flexibility in testing lamps for 
compliance with energy conservation standards. NEMA proposed that if 
testing is conducted in accordance with DOE test procedures, DOE should 
extend the date for submission of compliance statements and 
certification reports for existing lamps to 6 months from the 
publication of this rule. NEMA requested that if DOE elects for a 
period shorter than 12 months, DOE adjust the sampling rules in 10 CFR 
Sec. 430.24(r)(1) and (2) (NEMA, No. 14 at 8.2)
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    \2\ The Department assigned docket numbers and comment numbers 
to comments we received on the Interim Final Rule.
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    The Department has determined that compliance statements and 
certification reports should be based only on DOE test procedures, as 
amended by this Final Rule. DOE believes that manufacturers will be 
able to complete their compliance statements and certification reports 
within 6 months of the publication of this Final Rule. Under the 
Interim Final Rule, manufacturers should have collected by November 1, 
1995, all or most of the samples needed for testing. The revised 
sampling plan requires three lamps per month for 7 out of 12 months. 
The changes in the rule relating to testing and certification at rated 
voltage for incandescent lamps and the derating factor have no effect 
on sample selection. Therefore, the Department has decided that it will 
consider as timely those compliance statements and certification 
reports for existing lamps that manufacturers file within 6 months from 
the publication of this Final Rule. Manufacturers will have one year to 
file compliance and certification reports for new lamp models.
(2) Recertification of 8-Foot Fluorescent Lamps
    NEMA asked the Department to clarify in the preamble to the Final 
Rule that lamps tested prior to May 1, 1994, to meet standards that 
went into effect on May 1, 1994, would not need to be retested nor 
would compliance statements and certification reports need to be 
resubmitted. (NEMA, No. 4 at 5.) NEMA referred to its letter to DOE 
dated February 22, 1993, which outlined the procedures industry would

[[Page 29224]]

use to test and certify 8-foot fluorescent lamps to DOE. (NEMA, No. 14 
at 8.)
    The test procedures and sampling provisions for lamp efficacy and 
color rendering index (CRI) in the NEMA letter dated February 22, 1993, 
are in fact similar to those in the Interim Final Rule. The only 
difference is that the sampling plan for CRI proposed in the letter 
requires only 10 lamps from any two production lots from the 12 months, 
whereas the sampling plan in the Interim Final Rule requires testing 
for CRI from the same 20 lamps which were tested for lamp efficacy. 
(NEMA, No. 23 at 1-8.)
    The Department agrees with NEMA and will not require 
recertification of 8-foot lamps. The Department concludes that CRI 
determined from a 10-lamp subset of the 20-lamp sample used for the 
lamp efficacy testing will be sufficient for testing 8-foot fluorescent 
lamps. Therefore, manufacturers' compliance statements and 
certification reports submitted in accordance with the test procedures 
in the February 22, 1993 letter from NEMA are acceptable for 
certification of existing 8-foot lamps. Furthermore, DOE will not 
construe the Final Rule as requiring manufacturers to conduct new 
testing or to resubmit compliance statements and certification reports 
for basic models of 8-foot fluorescent lamps that the manufacturer 
tested in accordance with those guidelines prior to May 1, 1994. New 
products distributed for sale after today must be tested and certified 
to today's rule.
(3) Devaluation of the Lumen
    The lumen values in the lamp energy conservation standards in the 
Act are based on a value established in 1975 for the lumen. In January 
1996, NIST devalued the lumen by 1.1 percent to bring U.S. lumen 
measurements into agreement with other industrialized countries. NEMA 
requested that the Final Rule provide a separate adjustment factor for 
the devaluation of the lumen so that the lamp efficacy measurements of 
lumens per watt (W) are consistent with the value of the lumen used to 
determine the lamp efficacy in the energy conservation standards. NEMA 
and Litetronics recommended that lumen values derived from testing be 
multiplied by 1.011 to account for the devaluation. (NEMA, No. 14 at 4; 
Litetronics, No. 12 at 1.)
    NIST has issued a notice to all users of lamp measurement standards 
announcing a 1.1 percent lower realization (devaluation) of the lumen. 
Since NIST calibrated all of the current standard lamps (see Section F 
of this part for more on standard lamps) with the old lumen value, the 
Department will require that all measurements be reported in 1995 
lumens until such time as the reference lamps are recalibrated. The 
Final Rule provides a conversion factor of 1.011 which is to be used to 
multiply measurements made on equipment calibrated to the new lumen 
standard. This is found in Appendix R at 10 CFR Part 430, Subpart B, 
``Test Methods and Measurements.''
(4) Monitoring Sales Data for Loopholes
    The American Council for an Energy Efficient Economy (ACEEE) 
suggested that DOE set up a means of monitoring sales of lamp products 
exempt under the Energy Policy Act of 1992 (EPAct). Monitoring would 
apply to ER, BR, rough or vibration service, and colored incandescent 
lamps; as well as cold temperature, colored, and 4-foot fluorescent 
lamps less than 28 watts. This monitoring would determine if any of 
these categories undergo large increases in sales. ACEEE suggested that 
DOE collect the data or work with the Census Bureau to collect such 
data. If monitoring shows increases in sales of exempted products, DOE 
should investigate and develop regulations to better define these 
exemptions. (ACEEE, No. 16 at 4.)
    The Department believes that this suggestion has merit and will use 
statistics obtained from the Census Bureau and NEMA, if available, to 
monitor sales data to determine if exempted lamps are experiencing 
significant increases in market share beyond the growth forecast from 
pre-1992 data.
(5) DOE and FTC Coordination on Testing and Labeling
    NEMA requested that DOE state that its test procedures do not 
supplant Federal Trade Commission (FTC or the Commission) rules. NEMA 
further requested that DOE clarify that Sections 430.23 and 430.62 of 
10 CFR Part 430 only apply to manufacturers' compliance and 
certification for minimum efficacy and CRI standards and not to 
representations of lumens, watts, or life. NEMA stated that 
``enforcement of manufacturers' representations of performance 
criteria, such as lumens, watts, and life, requires consideration of 
additional factors that take account of measurement uncertainties and 
process and materials variations.'' (NEMA, No. 6 at 2-3.)
    The DOE measures of energy consumption in Sec. 430.23 of 10 CFR 
Part 430 apply to manufacturers' representations of lamp efficacy and 
CRI in the case of fluorescent lamps but not to representations of lamp 
lumens or watts. The DOE certification requirements in Sec. 430.62 of 
10 CFR Part 430 apply only to manufacturers' compliance and 
certification for minimum efficacy and CRI standards and the report of 
lamp lumens and wattage output as required by Sec. 325(i)(7) of EPCA, 
U.S.C. 6295(i)(7). Lumens and wattage are not measures of energy use 
(per Sec. 323(c) of EPCA, U.S.C. 6293(c)) and therefore neither the DOE 
sampling plan nor the test procedures apply to such representations.
    At the March 5, 1996, lamp workshop, NEMA stated that application 
of the sampling plan and confidence limits in the DOE test procedures 
should be strictly for determining lamp efficacy and CRI and not to be 
applied to representations in marketing brochures, advertising, etc. 
ACEEE cautioned the Department to let FTC determine the accuracy and 
sampling requirements for labeling and not to make an implied 
endorsement of current levels of accuracy. The FTC representative 
confirmed that the Commission would accept measurements from DOE test 
procedures, but that the use of DOE test procedures are not required by 
the Commission. (Lamp Meeting Transcript, March 5, 1996, at 232-261.)
    NEMA commented that representations require less accuracy than the 
certification reports and that the one-sided statistical test for 
confidence in meeting the minimum standards does not apply where a two-
sided statistical test should be used for representing the average 
value of lamp efficacy, lumens, or watts. NEMA claimed that FTC 
regulations allow manufacturers to use acceptable industry practice for 
determining the accuracy of lamp labels. Furthermore, NEMA claimed that 
DOE regulations on confidence limits should not apply until FTC 
requires the same confidence limits for test results appearing on 
labels. (Lamp Meeting Transcript, March 5, 1996, at 232-261.)
    The Department believes that the one-sided confidence limit reduces 
the testing burden on manufacturers and assures the consumer that lamp 
performance will meet or exceed the lamp efficacy standards. 
Furthermore, the Act requires that any manufacturer making 
representations of lamp efficacy and energy consumption must do so 
according to DOE test procedures and sampling plans. This ensures that 
consumers get lamp performance that is at least as good as represented.
    The Act prohibits manufacturers, retailers, distributors and 
private labelers from making any representations in writing (including

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labels) or in any advertisements with respect to energy use or 
efficiency or the cost of energy consumed unless the product under 
consideration has been tested in accordance with DOE test procedures, 
and unless the representations fairly disclose the results of the 
testing. Section 323(c) of EPCA, 42 U.S.C. 6293(c). Furthermore, the 
Act requires manufacturers to file with DOE a laboratory report 
certifying the average lumen output and wattage consumption for each 
lamp type. Section 325(i)(7) of EPCA, 42 U.S.C. 6295(i)(7). 
Consequently, manufacturers must use the Department's test procedures 
including calculation of sample means and confidence limits to certify 
lamp efficacy and CRI. Manufacturers also must use these procedures to 
measure lumen output and wattage consumption for the laboratory report. 
The Department believes that its test procedures for lamps will fulfill 
the FTC requirements for lamp testing.

B. 25-Watt Lamp

    The energy efficiency standards for 4-foot medium bi-pin 
fluorescent lamps are prescribed in Sec. 325(i)(1) of EPCA, 42 U.S.C. 
6295(i)(1). Lamps with a rated wattage of 28 or more must meet a 
minimum lamp efficacy of 75 lumens per watt. The standard precludes the 
manufacture of most 40-watt halophosphate (e.g., cool white, warm 
white) lamps and permits the use of 34-watt halophosphate lamps 
instead. In response to consumer demand and safety concerns, 
manufacturers have developed a lower wattage 4-foot lamp for 
residential use. These lamps typically have wattages of less than 28 
when used on low-power-factor residential ballasts. However, in a 
commercial application on high-power-factor ballasts, these lamps can 
operate at wattages as high as 40 and may not meet the applicable 
standards for covered lamps. The issues of safety, relabeling, rated 
wattage and exemption by low wattage are discussed below.
(1) Safety
    Manufacturers and NEMA commented that the reduced wattage lamp 
(i.e., 34-watt lamp) may overheat the ballast and cause damage if used 
with a low-power-factor ballast. Low-power-factor ballasts are used 
primarily in residential applications, but older ballasts of that type 
may still be in use in some commercial buildings. NEMA commented that a 
large number of low-power-factor ballasts exist in small office 
fixtures, in residential fixtures, and in shop-light fixtures. (NEMA, 
No. 18 at 1.) If the 40-watt lamp in these fixtures is replaced with a 
34-watt lamp, the ballast is subjected to a current about 35 percent 
higher than rated and an input wattage about 15 percent higher than 
rated. NEMA states that ``the increased current and wattage can cause 
ballasts to operate at a temperature significantly over the maximum 
temperature for which they were designed.'' (NEMA News Release, April 
10, 1995, page 1.) NEMA suggests that people should use 40-watt lamps 
unless the ballast label specifically allows the use of 34-watt energy-
saver lamps. (NEMA, No. 18 at 1.)
    The Department discussed the safety risks of the 34-watt energy-
saver lamp with the staff of the Consumer Product Safety Commission 
(CPSC). A CPSC representative attended the July 19, 1995, lamp workshop 
at which manufacturers, NEMA and energy advocates discussed safety 
concerns. In response, the CPSC representative recommended that 
industry provide a description of the problem and a corrective action 
plan. (Workshop Transcript, July 19, 1995, at 182.)
    At the July 19, 1995, lamp workshop, General Electric (GE) stated 
it had developed a 25-watt, 6,000 hour cool white lamp for low-power-
factor ballast applications. (Workshop Transcript, July 19, 1995, at 
182.) GE and Philips commented that the 25-watt lamp was developed to 
provide a safe alternative to the 34-watt energy-saver lamp. They 
claimed the new lamp is a cost effective replacement for the old shop-
light lamps and is specifically designed with a shorter life for use in 
residential shop-light fixtures. (GE, No. 33 at 1-6; Philips, No. 34 at 
1-3.)
    DOE believes using 34-watt lamps with low-power-factor ballasts is 
a safety hazard. This hazard can be eliminated by use of a properly 
designed 40-watt or 25-watt lamp because these lamps do not cause the 
lighting system to operate at higher current when used with a low-
power-factor ballast. Because the Department has allowed the sale of 
25-watt lamps for residential use only and manufacturers sell several 
types of 40-watt lamps which meet the standards, safe lamps are readily 
available to consumers, so the safety hazard is minimal.
(2) Relabeling of 40-Watt Halophosphate Lamps
    Osram Sylvania (OSI) claimed that imported 40-watt lamps could 
easily be relabelled as 25-watt lamps to avoid the standard. (OSI, No. 
11 at 1.) GE claimed that the risk of mislabeled 40-watt import 
products is very small because of shipping and handling costs, 
potential DOE penalties, and the small import market. (GE, No. 33 at 1-
6; Meeting Transcript, March 5, 1996, at 65.)
    At the lamp meeting on March 5, 1996, GE recommended that DOE adopt 
an approach the Canadian government is using to prevent relabeling. The 
Canadian definition of general service fluorescent lamp includes a 
clause that makes any lamp subject to standards if it is physically and 
electrically equivalent to a regulated lamp. OSI and Philips agreed 
with this recommendation. GE clarified its recommendation with a 
statement that if the lamp is physically and electrically equivalent--
and life, lumens, and watts are not altered--then the lamp is 
equivalent for labeling purposes. (Meeting Transcript, March 5, 1996, 
at 33, 84, 90, 288, and 309.)
    The Canadian government issued an amendment to its Energy 
Efficiency Regulations with respect to fluorescent lamps and 
incandescent reflector lamps on November 7, 1995. Among other changes 
to these regulations, the Canadian government revised the definition of 
``general service fluorescent lamp.'' The amended definition makes any 
fluorescent lamp subject to standards if it is a physical and 
electrical equivalent of one of the following four lamp types: (1) a 
48'' rapid-start lamp rated at 28 watts or more; (2) a rapid-start U-
shaped lamp rated at 28 watts or more; (3) a rapid-start, 96'', 0.800 
ampere, high-output lamp; or (4) an instant-start, 96'', slimline lamp 
rated at 52 watts or more.
    NEMA recommended in its November 4, 1996, letter that DOE not add a 
proposed fifth clause on lamp equivalency to the fluorescent lamp 
definition. In a later discussion, NEMA claimed that the proposed 
clause would create a new class of lamps which had not been reviewed by 
the stakeholder community. In its letter, NEMA proposed that the 
clarification of equivalent lamps be added to the preamble. (NEMA, No. 
45 at 1 and 2.)
    Based on consideration of the comments, the Department will not 
include a criterion for physical and electrical equivalency in its 
definition of fluorescent lamp in 10 CFR Sec. 430.2. However, by 
interpretation, the Department will consider a fluorescent lamp as a 
covered fluorescent lamp if it has substantially equivalent physical 
and electrical characteristics when operated on a covered fluorescent 
lamp's reference ballast.
(3) Rated Wattage
    The term ``rated wattage'' is used in the definition of fluorescent 
lamps in Sec. 321(a)(30)(A) of the Act, but it is not

[[Page 29226]]

defined in the statute. Furthermore, the statutory energy conservation 
standards do not apply to 4-foot medium bi-pin fluorescent lamps rated 
less than 28 watts. Section 321(a)(30)(A)(i) of the Act, 42 U.S.C. 
6291(a)(30(A)(i). Noting that Sec. 323(b)(6) of the Act requires the 
Secretary to prescribe test procedures that take into consideration the 
applicable IESNA or ANSI standard, the Department is defining ``rated 
wattage,'' for purposes of 4-foot fluorescent lamps, based on ANSI 
C78.1-1991.
    NEMA recommended that rated wattage, and thus lamp coverage, be 
determined by using the reference ballast specifications in the ANSI 
standards measured in accordance with either ANSI C78.375 or IESNA LM-
9. (NEMA, No. 35 at 7.) A proposed draft ANSI standard of lamp 
characteristics for the 25-watt fluorescent lamp was noted in several 
comments, and there was unanimity among manufacturers at the March 1996 
lamp meeting to use the ANSI C78.1 reference ballast characteristics to 
determine fluorescent lamp wattage. (Meeting Transcript, March 5, 1996, 
at 17-24; Philips, No. 34 at 1-3; OSI, No. 30 at 1-2.)
    The Alliance to Save Energy (ASE) recommended that the Department 
develop a simple regulation that states ``If a lamp can operate on a 
commercial (high-power-factor) ballast, it should be tested by the 
standards set up for lamps that operate on commercial ballasts.'' (ASE, 
No. 31 at 1-3.) GE claimed that mandating testing for compliance on a 
commercial ballast is unfair to manufacturers because the product was 
not designed for that use. (GE, No. 38 at 1-5.) OSI recommended that 
DOE adopt only the industry standards in effect at the time the statute 
became effective. (OSI, No. 30 at 1-2.)
    GE claimed that its 25-watt lamp is not subject to regulation 
because it is rated below the statutory limit. (GE, No. 33 at 1.) 
However, OSI claimed that the 25-watt lamp, when operated on high-
power-factor ballasts, is really a 40-watt cool white lamp and 
therefore must meet DOE standards. Furthermore, it cites DOE's letter 
of August 30, 1995, which states that lamp operating characteristics 
``are determined by testing with a reference ballast (per ANSI 
standards) and not by the lamp's use or application such as when 
connected to a low-power-factor ballast.'' (OSI, No. 17 at 1 and No. 30 
at 1.) The Alliance to Save Energy claimed that the 25-watt lamp does 
not meet DOE standards during operation on high-power-factor ballasts. 
(ASE, No. 31 at 1-3.)
    To reduce commercial crossover of its 25-watt lamp, GE stated it 
has designed the cathode used in the 25-watt lamp for an arc current of 
250 milliamperes (mA) versus the 430 mA arc current for lamps designed 
for use with commercial ballasts. GE states that operation of the 25-
watt lamp at the high current of a commercial ballast will cause severe 
overheating of the cathode which will result in a lamp life of not more 
than 6,000 hours. By contrast, GE claimed that the 34-watt cool white 
energy-saver lamp will operate 20,000 hours on a commercial ballast. 
(GE, No. 33 at 1-6.) Philips stated that its 25-watt lamp is designed 
with a cathode that will shorten lamp life to 6,000 hours and cause 
severe end darkening if it is used on a commercial, high-power-factor 
ballast. (Philips, No. 34 at 1-3.)
    Based on its statistics, GE claimed that lamp life greatly controls 
market distribution of fluorescent lamps. GE claimed that a 6,000-hour 
life would be a deterrent to use of the 25-watt lamp on high-power-
factor ballasts. However, OSI and environmentalists were skeptical that 
the 6,000 hour life would be short enough to discourage the use of the 
25-watt lamp on high-power-factor ballasts. (Meeting Transcript, March 
5, 1996, at 31.)
    GE calculated that the maximum number of previously sold 40-watt 
cool white lamps which may migrate to the new 25-watt shop-light is 14 
million, or 3.5 percent of the total market. (GE, No. 39 at 1-5.) OSI 
claimed that home center markets, where this 25-watt lamp would be 
sold, typically sell 50-60 percent of their lighting products to 
commercial users, so there is a high likelihood that these lamps would 
be put into commercial use. (OSI, No. 11 at 1.) OSI claimed that the 
lost energy savings for each four-lamp fixture, using 40-watt lamps 
instead of the 34-watt lamps intended by EPAct, are 60 kilowatt hours 
(kWh) per 3,000-hour year. (OSI, No. 11 at 1.) ASE claimed that up to 1 
billion kWh of energy savings could be lost. (ASE, No. 31 at 1-3.)
    In a June 26, 1996, letter to the GE Lighting Division, the 
Department restated its position on the 25-watt lamp. In that letter, 
the Department stated that lamps that have a wattage of 28 or more when 
used with a high-power-factor ballast are subject to regulation unless 
they are designed or marketed exclusively for residential applications. 
The letter explained that a lamp will be considered to be designed or 
marketed exclusively for residential applications if: (1) it will not 
function for more than 100 hours on a commercial high-power-factor 
ballast or (2) it has a life of 6,000 hours or less on a commercial 
high-power-factor ballast and (a) it is marked for residential 
applications only; (b) it is distributed only through consumer/
residential channels, (c) it is packaged and labeled in a manner that 
clearly states its applications; (d) it is distributed for retail sale 
in boxes of 30 lamps or less; (e) it is listed only in the 
manufacturer's consumer/residential catalogs or price lists or, if 
listed with commercial/industrial lamps, it is listed in a separate 
residential section and is clearly marked by notes or warnings about 
improper use on the same page; and (f) the manufacturer clearly states 
that improper use of the lamp voids any warranty, explicit or implied. 
(DOE, No. 41 at 1-2.)
    In response to the June 1996 DOE letter, GE claimed that the rated 
wattage of its lamp is less than 28 in its intended use. GE also 
claimed that the Shoplite is rated in accordance with industry practice 
using ANSI standards. Furthermore, GE claimed DOE's basis for coverage 
depends on the possible misapplication of the product, which has no 
precedent in the appliance program and exceeds DOE's authority. GE 
stated, however, that the company is contemplating the marketing and 
labeling requirements as prescribed to provide more assurance that the 
Shoplite will be used as intended. (GE, No. 42 at 1-2.)
    Also in response to the June 1996 DOE letter, OSI claimed that if a 
25-watt lamp is exempt from the lamp standards in EPAct, it is because 
the lamp's rated wattage is less than the 28 watt statutory minimum. 
OSI stated that DOE's requirements related to lamp life are not 
relevant to determining coverage. OSI commented that the DOE letter 
also failed to address the fact that the 1991 ANSI standard only 
defines reference ballast characteristics for a 40-watt lamp and, 
hence, there are no approved ANSI reference ballast characteristics for 
a 25-watt lamp. OSI also suggested that DOE add a reference to the 
draft ANSI standard for the 25-watt lamp to prevent other nominal lamp 
wattages from claiming an exemption. (OSI, No. 43 at 1-3.)
    NEMA agreed with DOE's proposal in its June 1996 letter to exclude 
25-watt lamps that are designed or marketed exclusively for residential 
use. It claimed that the exclusion should apply without limitations to 
all straight-shaped lamps less than 28 watts. NEMA claimed that the six 
marketing and labeling requirements were too detailed and it requested 
development of consistent exclusion guidelines. (NEMA, No. 44 at 1-3.)
    The Department is concerned there may be little discernable 
difference

[[Page 29227]]

between a fluorescent lamp subject to the Act's requirements (e.g., a 
40-watt cool white) and a lamp rated at less than 28 watts and 
``intended'' for residential use (e.g., a 25-watt shop-light). The 
Department believes these products can be used in a commercial 
application without any appreciable difference in utility unless 
consumers and distributors are well aware of their short life. The 
Department has determined that rated wattage is based on testing with a 
reference ballast having characteristics similar to a high-power-factor 
commercial ballast unless the manufacturer demonstrates the lamp is 
being used in residential applications only. A manufacturer can show 
this by using lamp technology that would result in a life of 100 hours 
or less when used on a high-power-factor ballast or by using a shorter 
life lamp (6,000 hour life or less on a high-power-factor ballast) 
marked for residential use only and by marketing strategies that will 
restrict the lamp to residential applications. The Department is 
defining such a lamp as a residential straight-shaped lamp. In its 
letter of November 4, 1996, NEMA agreed with DOE's definition of 
``residential straight-shaped lamp.''
    The precise wording of the permanent lamp marking is not 
prescribed, but manufacturers should clearly indicate that the intended 
use is exclusively for residential applications. Furthermore, the test 
for a 6,000 hour life on a residential straight-shaped lamp when used 
with a commercial high-power-factor ballast shall be based on competent 
and reliable scientific determinations made in accordance with 
generally accepted industry test practice.
    NEMA also proposed that ``rated wattage, with respect to 4-foot 
medium bi-pin lamps, is less than 28 watts if the wattage of the lamp 
on the reference ballast for which it is specified is less than 28 
watts and the lamp is specifically designated and exclusively marketed 
based on the operating characteristics of the lamp on such reference 
ballast.'' (NEMA, No. 45 at 2.) Based on recommendations in the record 
to use industry test procedures, the Department is defining ``rated 
wattage'' for four foot fluorescent lamps as the nominal wattage found 
in ANSI C78.1-1991 based on the description of rated wattage in Annex 
A.2 of ANSI C78.1-1991 (concerning 34-and 40-watt lamps). If the lamp 
is a residential straight-shaped lamp that is not found in Annex A-2 of 
ANSI C78.1-1991, the rated wattage is determined by the wattage 
consumed when the lamp is operated at the reference conditions under 
which the lamp was designed to operate. For lamps that are not found in 
ANSI C78.1-1991 and that are not residential straight-shaped lamps 
(defined in item (4) of this part), rated wattage is determined by 
testing in accordance with ANSI C78.375-1991, using the lamp data 
sheets in ANSI C78.1-1991 for T8, T10 or T12 lamps as appropriate. If a 
manufacturer believes that application of this definition of rated 
wattage to a particular lamp is inappropriate, it may request a waiver 
from the test procedure (see 10 CFR Sec. 430.27).
    The Department believes that its testing, marketing and labeling 
requirements are sufficient to prevent most of the crossover of this 
lamp and similar lamps into the commercial market. However, DOE may 
monitor the sale and distribution of lamps that are labeled as 25-watt 
lamps to determine whether these conditions are effective. If the 
Department finds 25-watt lamps or similar lamps are being used in 
significant numbers for applications where they will perform within the 
covered range of wattages in spite of the conditions imposed by today's 
rule, the Department will consider whether further limitations are 
needed.

C. R, BR and ER Incandescent Lamps

    Section 321(30)(C)(ii) of the Act, 42 U.S.C. 6291(30)(C)(ii), 
contains exemptions for several types of incandescent reflector lamps 
including those for ER (elliptical reflector) and BR (bulged reflector) 
bulb shapes. The industry differentiates the ER and BR lamps from R 
(reflector) lamps by their shape characteristics. Since the ER is a 
specialty lamp used in recessed lighting applications, its shape is 
unique. However, the BR lamp shape is not well defined, so the 
Department believes it is necessary to describe this lamp by shape and 
wattage characteristics to avoid misuse of the exemption.
    At the July 19, 1995, workshop, Philips distributed copies of ANSI 
C79.1-1994, which shows a line sketch of the ER and BR bulb shapes and 
some text describing the ``B'' and ``E'' modifiers. (Workshop 
Transcript, July 19, 1995, at 157.) NEMA claimed that ER and BR lamps 
should be defined by reference to ANSI C79.1-1994. (NEMA, No. 14 at 8.)
    In its notice reopening the comment period on the Interim Final 
Rule, the Department stated it believed the definitions in ANSI C79.1-
1994 were new definitions because earlier versions of the document did 
not describe these bulb shapes and additional descriptive criteria were 
needed such as dimensions for a longer neck, a reflective coating, and 
a reduced wattage filament. 61 FR 7431 (February 28, 1996).
    At the lamp meeting on March 5, 1996, OSI provided descriptions and 
examples of the R, BR, and ER lamps. OSI noted that the R lamp will not 
meet the lamp efficacy standards and compared the R lamp to the exempt 
BR and ER lamps. OSI stated the BR lamp has a bulge around the neck and 
it has a secondary curved reflector in the neck area, which reflects 
the light forward into the beam. This reflector reduces the light that 
gets trapped by the neck of the bulb. OSI claimed the shape first 
appeared in ANSI C79.1-1980 as a reference in the appendix, and 
therefore ANSI C79.1-1994 only clarifies the bulb shape. OSI stated the 
bulbs have universal application; that is, they can be used anywhere an 
R lamp would be used. OSI claimed, however, that to the untrained 
observer, the R and BR bulb shapes are nearly indistinguishable.
    OSI stated the ER lamp has two foci: one at the back of the lamp 
and the other about two inches in front of the lens. This means the 
light passes through the focus point in front of the lens before it 
spreads. OSI claimed this lamp is used in deep fixtures or small 
aperture fixtures because less light is lost in the fixture. OSI stated 
the ER lamp has a long neck because the filament is placed at the rear 
focus and more length is needed for the stem configuration. It also has 
a long neck because it is a replacement for the 150-watt R lamp. The ER 
lamp has a well-defined shape that is readily apparent. (Meeting 
Transcript, March 5, 1996, at 172-176.)
    In its comments, ACEEE attached a copy of a September 17, 1991, 
draft of the EPAct legislation, which did not include any BR or ER 
exemptions. ACEEE claimed these exemptions were added to protect a 
small manufacturer. (ACEEE, No. 16 at 2.) In a memo to ACEEE, OSI noted 
the exemption protects special markets and claimed the exemptions will 
be used by manufacturers to avoid standards. (ACEEE, No. 16, Attached 
Memo.) ACEEE requested that DOE restore the original intent of EPAct by 
defining ER and BR lamps so applications of these lamps are limited to 
their original purposes. (ACEEE, No. 16 at 2.)
    To correct some mistakes in the record, OSI claimed: (1) the BR 
lamp is not marketed for recessed applications; (2) the BR lamp is more 
efficient than the rough/vibration service R lamp; (3) the BR lamp is a 
less costly lamp for the residential reflector lamp market than the 
halogen parabolic aluminized reflector lamp (PAR), which usually meets 
or exceeds the lamp efficacy

[[Page 29228]]

standards; (4) OSI sells a special high-efficiency 65-watt BR lamp that 
meets the efficacy standards; and (5) the ANSI C79.1-1994 bulb shape 
specification is a result of the mandatory ANSI 5-year revision cycle, 
and it is fundamental to all lamp/fixture interchangeability. (OSI, No. 
22 at 1.)
    At the lamp meeting in March 1996, NEMA, ACEEE, Duro-Test, and 
Philips recommended that DOE use the lamp bulb shapes in ANSI C79.1-
1994 as the basis for the definition of BR and ER lamps. NEMA and Duro-
Test suggested that ANSI C78.21-1989 would provide a more complete 
definition and some dimensions of the ER bulb shape. In the Reopening 
Notice, DOE proposed a maximum wattage, in addition to bulb shape, as a 
defining criterion for BR lamps. In response, NEMA accepted the DOE 
proposal. There was no suggestion from manufacturers or interested 
parties that DOE incorporate any reflector requirements into its 
definition. (Meeting Transcript, March 5, 1996, at 166-98.)
    In their comments, NEMA and Duro-Test proposed two options for BR30 
wattages: exactly 85 or less than 66. They also proposed a maximum of 
120 W for the BR40 lamp. (NEMA, No. 35 at 5; Duro-Test, No. 32 at 2.) 
NEMA proposed that any BR lamp that meets the standard should be 
allowed. (NEMA, No. 35 at 5.) The Department accepts wattage limits on 
the BR30 and BR40 reflector lamps since they have the largest market 
share. Wattage limits will also help to maintain energy savings that 
could otherwise be lost if full wattage BR lamps are substituted for 
PAR and R lamps which must meet the energy standards.
    Given the shape characteristics in ANSI C79.1-1994 and ANSI C78.21-
1989, the Department is convinced that ER lamps are a specialty product 
which need no further definition. The Department believes it is 
necessary to describe BR lamps by the shape characteristics given in 
Figure 1 on page 7 of ANSI C79.1-1994 and by wattage characteristics 
because the BR shape is not well defined in ANSI C79.1-1994 and it is 
easy for manufacturers to substitute BR lamps for R lamps. Since BR 
lamps are less expensive than the halogen lamps that meet the 
standards, the substitution of BR lamps for R lamps would severely 
reduce the energy savings potential of the law. NEMA, the efficiency 
advocates, and manufacturers agreed that maximum wattage limits should 
be included in the definition of BR lamps which have the largest market 
share. Therefore, BR30 and BR40 lamps are exempt if they comply with 
the DOE wattage limits. Exempt BR30 lamps include only lamps with rated 
wattages of 85 or less than 66, and exempt BR40 lamps will include only 
lamps with a maximum rated wattage of 120. If a BR lamp meets the 
energy efficiency standards and a manufacturer chooses to file a 
certification of compliance with the Department, such lamps are not 
subject to the wattage limits. The definitions for BR and ER lamps are 
in 10 CFR Sec. 430.2.

D. Colored Lamps

    In the Notice of Proposed Rulmaking, the Department defined colored 
fluorescent and colored incandescent lamps because Sec. 321(30)(B)(iii) 
of EPCA, 42 U.S.C. 6291(30)(B)(iii), and Sec. 321(30)(C)(ii) of EPCA, 
42 U.S.C. 6291(30)(C)(ii), contain exemptions for colored lamps without 
defining what a colored lamp is. These exemptions are needed since 
colored lamps are inherently less efficient than non-colored lamps and 
colored lamps use tinting and filters to produce light with a certain 
spectral composition, causing the absorption or reflection, or both, of 
a significant amount of light. In the Interim Final Rule, the 
Department defined a colored fluorescent lamp as a fluorescent lamp 
with a CRI less than 30 or color correlated temperatures (CCT) below 
2,500 Kelvin (K) or above 7,000 K. Colored incandescent lamps were 
defined by a CRI less than 50 or a CCT below 2,500 K or above 7,000 K. 
59 FR 49478, September 28, 1994.
    The following discussion of colored lamps is divided into the 
subtopics of (1) chromaticity, (2) CRI and CCT, (3) neodymium lamps and 
(4) plant lamps.
(1) Chromaticity
    In its Reopening Notice, the Department sought comment on a colored 
lamp definition using x and y chromaticity 3 coordinates 
that lie outside of the area on a chromaticity diagram. 61 FR 7431. 
NEMA withdrew its proposal for a test related to chromaticity because 
the CCT and CRI values proposed by DOE in its Reopening Notice fairly 
define colored lamps. (NEMA, No. 35 at 5 and 6.)
---------------------------------------------------------------------------

    \3\ Chromaticity is a descriptive characteristic of the color of 
a light specified by the coordinates x, y, and z, which are the 
ratios of each of the tristimulus values to their sum. The 
tristimulus values of a light are the amounts of each of the three 
primary colors required to match the color of the light.
---------------------------------------------------------------------------

(2) CRI and CCT
    In its Reopening Notice, the Department proposed revised colored 
lamp definitions based on CRI or CCT. A colored fluorescent lamp would 
be defined as a lamp with a CRI value less than 40 or a CCT not above 
2,500 K for red and yellow colors or not below 6,600 K for blue and 
green colors, and a colored incandescent lamp would be defined as a 
lamp with CRI values below 50 or a CCT not above 2,500 K for red and 
yellow colors or not below 4,600 K for blue and green colors. 61 FR 
7431.
    At the lamp meeting on March 5, 1996, and in written comments, NEMA 
endorsed the Department's proposal for the definition of colored lamps 
using the CCT and CRI values proposed in the Reopening Notice. NEMA 
asked the Department to clarify that either a CCT value or a CRI value 
is sufficient to determine that a lamp is colored. (Meeting Transcript, 
March 5, 1996, at 124-132; NEMA, No. 35 at 6.)
    The colored lamp definition in the Notice of Proposed Rulmaking 
caused confusion due to undefined CCT for some colored lamps. The 
mathematical procedures for computing CCT don't work for some values of 
x and y chromaticity (blue colors, etc.) because these procedures try 
to project to a point on the blackbody locus equal to infinite color 
temperature. It was also difficult to compute CCT for purple colors 
that lie below the blackbody locus, because the curve of the locus 
results in more than one CCT value for a single chromaticity. As a 
result, the CCT portion of the definition has been revised so that a 
lamp would be considered colored as long as the CCT is outside of a 
given range. 59 FR 49478.
    The revision of the CRI values and CCT ranges proposed in the 
Reopening Notice is based on comments from Duro-Test and NEMA regarding 
the appropriate boundary points that separate non-colored lamps from 
lightly tinted lamps. Raising the maximum CRI for colored fluorescent 
lamps from 30 to 40 will include the gold lamp as a colored lamp but 
will not allow exempt status for any non-colored lamps. By narrowing 
the range for non-colored fluorescent lamp CCT to 2500-6600 K, green 
fluorescent lamps will qualify as colored lamps. And by narrowing the 
range for non-colored incandescent lamp CCT to 2500-4600 K, green and 
blue incandescent lamps will qualify as colored lamps.
    The Department believes the CCT and the CRI methods are both valid 
indicators of the color characteristics of lamps, although they are 
slightly different. Some lamps may be considered colored according to 
both methods, whereas others may be considered colored according to one 
or the other. However, meeting either criteria is sufficient to 
demonstrate the colored characteristic. Also, two

[[Page 29229]]

methods give the manufacturers flexibility to use the test method that 
is least burdensome.
    Therefore, the Department is defining a colored fluorescent lamp as 
a lamp with a CRI value less than 40 or a color correlated temperature 
less than 2,500 K for red and yellow colors or not greater than 6,600 K 
for blue and green colors. Colored incandescent lamps are defined as 
lamps with CRI values below 50 or a lamp color correlated temperature 
less than 2,500 K for red and yellow colors or greater than 4,600 K for 
blue and green colors. These lamps must be designated and marketed 
specifically as colored lamps.
(3) Neodymium Lamps
    In its Reopening Notice, the Department proposed that incandescent 
lamps with lens filters containing 5 percent or more neodymium are 
colored lamps. The Neodymium filter adjusts the light spectrum for 
reptile lighting applications. 61 FR 7431. NEMA and Duro-Test agreed 
with the Department's proposal for exempting lamps containing 5 percent 
or more Neodymium in the lens. (Duro-Test, No. 32 at 2; NEMA, No. 35 at 
6.) In today's rule, the Department is exempting Neodymium lamps 
containing 5 percent or more Neodymium in the lamp lens.
(4) Plant Lamps
    In its Reopening Notice, the Department proposed that incandescent 
lamps used for growing plants would be specifically exempted and must 
be designated as such on the lamp and in marketing materials. 61 FR 
7431. Duro-Test proposed an exemption for incandescent plant lamps that 
are specifically designated and marketed for growing plants. It defined 
a plant light as an incandescent lamp with a filter used to suppress 
the yellow and green portions of the spectrum. (Duro-Test, No. 32 at 
2.) The Department is exempting incandescent plant lamps that contain a 
filter to suppress the yellow and green portion of the spectrum. Plant 
lamps must be specifically designated and marketed for plant growing 
applications.

E. Rough or Vibration Service Lamps

    In the Notice of Proposed Rulemaking, the Department proposed to 
define rough or vibration service incandescent lamps because 
Sec. 321(30)(C)(ii) of the Act contains an exemption for these lamps 
without providing a definition. These lamps are inherently less 
efficient than normal service lamps because the lamps have stronger 
filament mounting configurations with more supports that conduct heat 
away from the filament causing a lower filament temperature, and, thus, 
lower luminous efficacy. In its proposed definition, the Department 
defined a rough or vibration service lamp by a filament configuration 
of C-17 or C-22 or the ability to pass a vibration test. 59 FR 49478. 
The vibration test consisted of subjecting the lamp to vibrations at 
frequencies ranging from 5 Hertz (Hz) to 33 Hz, at specified 
amplitudes. Some manufacturers expressed concern that the vibration 
test was too easy to pass, and might allow exemptions for lamps not 
meant for vibration service. The Department initiated a discussion on a 
revised vibration test at the March 5, 1996, meeting. (Meeting 
Transcript, March 5, 1996, at 207-210.)
    In written comments regarding the March 1996 meeting, NEMA, Duro-
Test and Litetronics supported a prescriptive definition of a rough or 
vibration service lamp that defines such a lamp with a C11 (5 support), 
C17 (8 support), or C22 (16 support) filament configuration, excluding 
lead wires, as depicted in chapter six of the IESNA Lighting Handbook. 
NEMA and Duro-Test recommended that rough or vibration service lamps 
should be designated and marketed specifically for rough or vibration 
service applications. NEMA and Litetronics also recommended that DOE 
continue to work on an alternative performance-based vibration test for 
other rough or vibration service lamps but advised DOE to promulgate 
rules with only the prescriptive definitions. (NEMA, No. 35 at 8, Duro-
Test, No. 32 at 3 and Litetronics, No. 36 at 2.) L.D., Inc., commented 
that a C11 (5 support) filament exemption would allow manufacture of a 
two-piece outdoor PAR lamp with 5-7 times the life of a standard PAR 
lamp, which will save cost and labor by requiring fewer lamp 
replacements. (L.D., Inc., No. 38 at 1.)
    There is a consensus among manufacturers that C11, C17 and C22 
filament configurations are rough or vibration service incandescent 
reflector lamps. Based on consideration of the comments, DOE believes 
that a C11 filament configuration also provides adequate support for 
rough or vibration service and has included C11, C17 and C22 filaments 
in today's Final Rule. In addition, DOE has included a requirement that 
the lamp be designated and marketed specifically for rough and 
vibration service.
    Therefore, the Department has taken a prescriptive approach to the 
definition of a rough or vibration service incandescent reflector lamp. 
Since this approach may limit a manufacturer's flexibility to design 
for some applications, the Department will continue to evaluate the 
parameters for a vibration test for incandescent reflector lamps. DOE 
will invite input from manufacturers, NEMA and other interested 
parties. Any new vibration test parameters will be promulgated in 
future rulemakings.

F. Sampling Plan and Confidence Limits

    The Interim Final Rule required a minimum sample size of 20 lamps 
per year and a confidence limit based on a ``t'' test with a one-sided 
confidence limit of 99 percent. The sample size was selected to promote 
statistically valid results without imposing an undue testing burden on 
the manufacturers. The 99-percent confidence limit was selected on the 
assumption that lamp variability within a single basic model was not 
very large. 59 FR 49468. The discussion of sampling plan and confidence 
limits is divided into the following subtopics: (1) sample size, (2) 
derating the sample mean, (3) variability and confidence limits, (4) 
derating factor, and (5) ``z'' Test.
(1) Sample Size
    NEMA proposed several clarifications to the sample size given in 
the Interim Final Rule. First, it proposed that the minimum sample size 
be raised from 20 to 21 lamps. Second, it proposed a minimum of three 
lamps for each month of seven months. Third, it suggested the lamps be 
divided as evenly as ``practicable'' among the months of ``planned'' 
production to attain a minimum sample of 21 lamps. This change would 
apply only to instances where lamps are manufactured for fewer than 7 
months of the year. (NEMA, No. 4 at 24.) Philips also favored the 
revised sampling plan outlined in the NEMA comments. (Philips, No. 3 at 
2.)
    Based on the comments, the Department is revising the sample size 
to 21 lamps because the addition of one lamp to the sample will improve 
the statistical results with little additional testing burden. The 
Department will require that manufacturers sample a minimum of three 
lamps per month for 7 months of a 12-month period if production occurs 
for 7 or more months in the 12-month period. If production occurs for 
fewer than 7 months during a 12-month period, the Department will allow 
manufacturers to divide the total required sample as evenly as 
practicable among the months of planned production to attain a minimum 
sample of 21 lamps.
(2) Derating the Sample Mean
    NEMA proposed that the mean of the sample (Xlpw) be 
divided by 0.98 to

[[Page 29230]]

account for a 2 percent uncertainty from the NIST standard lamp and 
secondary standard lamps developed by manufacturers. (NEMA, No. 14 at 
2.) The Department will not allow use of a 0.98 factor to derate the 
average lumen per watt measurement because the NIST uncertainty in the 
lumen output of the standard lamps is randomly distributed.
(3) Variability and Confidence Limits
    NEMA commented that measurements from lamp testing are subject to 
several types of variability or uncertainty and that process and 
material variations will cause differences in the performance of each 
lamp. It claimed that testing variability is not sufficiently addressed 
by the DOE requirements for sample size and confidence limits. NEMA 
stated that ``the resulting variabilities in test measurements 
necessitate special tolerances for purposes of enforcing the EPCA 
standards.'' (NEMA, No. 4 at 27)
    NEMA claimed there are also inherent variations in measurements due 
to uncertainty in the lumen output of standard lamps traceable to NIST. 
(NEMA, No. 4 at 27.) Lamp lumen measurements are made by comparison to 
a standard lamp traceable to NIST. Standard lamps from NIST have 
certificates of error attached to them. When manufacturers calibrate a 
secondary or working standard lamp from the NIST standard lamp 
additional errors are introduced. NEMA includes a table of estimated 
cumulative errors from the NIST standard lamp to the calibrated working 
standard lamp which lists an error in the measurement from 1.75 percent 
for an incandescent PAR lamp to 2.95 percent for a 96'' high output 
fluorescent lamp. (NEMA, No. 4, Supplement at 2-3.)
    NEMA provided an estimate of the cumulative tolerance factor for 
general service fluorescent lamps of 2.95 percent in the supplemental 
comments. It clarified the term ``tolerance factor'' by showing that a 
2.95 percent tolerance factor applied to a lumen-per-watt standard of 
80 would permit any sample test measurement greater than or equal to 
77.64 lumens per watt to meet the standard. NEMA recommended that DOE 
specify a cumulative tolerance factor for all lamps subject to efficacy 
standards. NEMA also stated that the same lamp measured in different 
laboratories in an NVLAP proficiency test can have up to a 7 percent 
variability in lumens per watt. (NEMA, No. 4 Supplement at 2-3.) ACEEE 
commented that the NEMA proposals seem based on the worst case 
situation in which every conceivable factor would cause the most error 
possible in lamp efficacy. It recommended that DOE account for the 
probability of both overestimating and underestimating measurements and 
the way these probabilities affect the confidence of an estimate. Since 
there is currently considerable variation in test results among 
laboratories, ACEEE recommended that DOE provide for expected 
improvements in testing as the NVLAP program matures. (ACEEE, No. 16 at 
1.) NEMA requested that the confidence limits be reduced from the 
proposed 99 percent to 95 percent due to manufacturing variability. 
(NEMA, No. 4 at 25.) NEMA, Duro-Test and Litetronics recommended that 
DOE prescribe a 95-percent confidence limit and a derating factor of 
0.97. (NEMA, No. 35 at 3; Duro-Test, No. 32 at 1; Litetronics, No. 36 
at 1.)
    The Department believes that all variability can be accounted for 
by the confidence limit equation using the ``t'' test and the derating 
factor. DOE and NIST staff reviewed NEMA data that show the variability 
in lamp test measurements for representative fluorescent and 
incandescent lamp types. The NEMA data support a 0.97 derating factor, 
based upon the demonstrated uncertainties in the NIST standard lamps 
and the estimated uncertainty due to transfer of those standards to 
secondary standards and laboratory measurements. Therefore, today's 
Final Rule includes the Department's revised statistical test for 
confidence limits which incorporate a 95-percent confidence limit and a 
derating factor of 0.97.
(4) Derating Factor
    NEMA commented that it has demonstrated the need for a further 
adjustment to the confidence limit derating factor of 0.97 which it 
proposed on February 8, 1995. (NEMA, No. 14 at 2.) NEMA representatives 
and NIST and DOE staff met on August 23, 1995, to discuss the 
measurement uncertainties. NEMA representatives provided data showing 
that several lamps would fail to meet the standard if the 99-percent 
confidence limit and the 0.99 derating factor is applied. NEMA 
cautioned that it could not determine whether smaller manufacturers 
would be penalized by a 95-percent confidence limit and a 0.97 derating 
factor. (NEMA, No. 24 at 1-9.) During the meeting, NEMA claimed that 
these data support a 95-percent confidence limit and 0.95 derating 
factor. (DOE Memo to File, August 29, 1995, No. 19 at 1.) NEMA 
suggested that further adjustments of the derating factor may be needed 
to account for bias in the NIST standard lamps and uncertainties in 
manufacturing and measurement processes. (NEMA, No. 24 at 1-9.)
    Litetronics preferred to have a lower derating factor (i.e., 0.95) 
because it claimed that its test equipment was not as sophisticated as 
that of the large manufacturers, and it cannot afford the $40 million 
state-of-the-art production lines (which reduce product variability) 
that large manufacturers have. (Meeting Transcript, March 5, 1996, at 
109.) NEMA, Duro-Test and Litetronics state that a special derating 
factor of 0.95 should be applied to small manufacturers with revenues 
less than $75 million and with sales less than 10 percent of total 
industry sales of covered general service incandescent or fluorescent 
lamps. (NEMA, No. 35 at 3; Duro-Test, No. 32 at 1; Litetronics, No. 36 
at 1.)
    There does not appear to be a valid reason for having separate 
derating factors based on the size of the manufacturer. The equipment 
needed to conduct these measurements is not prohibitively expensive for 
a manufacturer that has laboratory facilities. Moreover, manufacturers 
can use independent laboratories if desired. No data were submitted to 
support the claim that product variability is greater for smaller 
manufacturers.
(5) ``z'' Test
    NEMA requested that the confidence limits in the Interim Final Rule 
be specified as formulas using a ``z'' test based on a historically 
derived standard deviation. (NEMA, No. 4 at 25.) The ``z'' test is 
similar to the ``t'' test, except that it uses the population standard 
deviation rather than the sample standard deviation and a different 
table of statistical values. Philips commented that these statistical 
estimates provide adequate protection for the consumer without undue 
burden on the manufacturer. (Philips, No. 3 at 2.)
    In subsequent comments, NEMA proposed that the confidence limit 
equation use a ``z'' test and be derated by 0.95. The equation is given 
as:
[GRAPHIC] [TIFF OMITTED] TR29MY97.000

    where z0.95 = 1.645 and sigma () is derived 
from the manufacturer's historical test experience. (NEMA, No. 14 at 
2.) In its Reopening Notice, the Department proposed the standard 
deviation for the ``z'' test should be derived from a minimum test data 
sample of 60 or more lamps of the same basic model; and statistical 
data for lamps must be measured by accredited laboratories. 61 FR 7431. 
NEMA argued

[[Page 29231]]

for a sample size of 50 lamps, and it claimed that most of the 
historical data had not been developed at accredited laboratories 
because the accreditation program was so new. (Lamp Meeting Transcript, 
March 5, 1996, at 107-108.)
    In written comments, NEMA withdrew its request for a ``z'' test for 
the confidence limit. (NEMA, No. 35 at 3.) While the ``z'' test has 
some advantages, the Department will not implement it in this rule for 
the following reasons. First, the relevant measurements must be 
conducted by accredited laboratories, and most of the available data 
were not collected that way. Second, determining population standard 
deviation at accredited laboratories would require a large number of 
measurements--on the order of 60 units--to be valid. This could be a 
significant testing burden.

G. Rated Voltage Range

    In its notice reopening the comment period on the Interim Final 
Rule, the Department proposed that lamps with voltages within 
10 percent of the 115-130 V range (i.e., voltages greater 
than or equal to 103.5 and less than or equal to 143.0) were ``at least 
partially within a rated voltage range of 115-130 V,'' and thus subject 
to the energy efficiency standards. 61 FR 7431.
    With respect to ``rated voltage range,'' the definition of 
``incandescent reflector lamp'' in the Act refers to a ``rated voltage 
or voltage range that lies at least partially within 115 to 130 V.'' 
Section 321(30)(C)(ii) of EPCA, 42 U.S.C. 6291(30)(C)(ii). The Interim 
Final Rule also uses the same definition in 10 CFR Sec. 430.2. NEMA 
recommended expansion of the voltage range given in the statute to a 
range of 100-150 V, asserting that the statutory limit could 
unintentionally allow evasion of the standards requirements for certain 
products. Under the language in the statute, for example, a product 
rated at 131 V would not be subject to the standard. Yet this product 
would perform acceptably in a 130 V environment and could be sold for 
such applications. (NEMA, No. 4 at 15 and No. 14 at 5.)
    GE and NEMA commented that the Department's proposal to increase 
the 115-130 V range 10 percent would be unacceptable 
because manufacturers do not represent their incandescent lamps with a 
10 percent voltage tolerance as the Department suggests in 
its notice. Instead NEMA, GE, Phillips and OSI prefer the Department 
use a range of 100-150 V. (Meeting Transcript, March 5, 1996, at 133-
64.)
    Bleasby recommended that DOE use the NEMA voltage range of 100-150 
instead of the current definition of 115-130 because Natural Resources 
Canada uses the 100-150 range in its definition. Additionally, he 
claimed that the 115-130 V range has caused lamp designs of 114 V to 
avoid labeling and standards. However, lamp designs of 99 V would have 
a very short life and, likewise, designs of 151 V would have very low 
light output on nominal 120 V circuits. (P. Bleasby, No. 26 at 1.)
    OSI and ASE claimed that an incandescent lamp can operate over a 
wide voltage range, wider in fact than 100-150 V. However, at voltages 
greater than the design voltage, the lamp light output increases but 
the life is reduced by 7 percent for each 1 percent increase in lamp 
operating voltage. A similar relationship holds for voltages below the 
design voltage. In this instance, the lamp light output decreases, but 
lamp life increases by 7 percent for each 1 percent reduction in 
voltage. For practical reasons, manufacturers would not be able to 
market lamps designed for 99 V or 151 V because consumers would have 
little use for them. (Meeting Transcript, March 5, 1996, at 133-64.)
    The Department believes that incandescent lamps have an assumed 
range of use over different line voltages, due to the variations in 
line voltage typically encountered throughout the United States. This 
fact is incorporated into the definition of rated voltage in ANSI 
C78.21-1989, which states that the ``voltage range is a series of rated 
voltages related to commonly available supply lines.'' DOE believes 
that the statutory definition of incandescent lamp, which refers to a 
voltage ``that lies at least partially in the range of 115 to 130 V,'' 
was intended to include the operational range of voltages in most U.S. 
homes and businesses. The Department also believes that there is a 
large possibility for evasion of the efficiency standards by 
manufacturers who rate lamps outside the statutory range although these 
lamps are intended for operation within the range. These lamps could 
substantially damage markets of companies producing lamps which meet 
the standards and would result in lost energy savings. Therefore, 
general service incandescent lamps and incandescent reflector lamps 
with a voltage rating greater than or equal to 100 V and less than or 
equal to 150 V are subject to the standards according to DOE's 
definition of rated voltage. This interpretation is found in the 
definition of rated voltage in 10 CFR Sec. 430.2.

H. Test Voltage for Incandescent Lamps

    Neither the definition of incandescent lamp in Sec. 321(30)(C) of 
the Act, 42 U.S.C. 6291(30)(C), nor the Illumination Engineering 
Society LM-20, ``Approved Method for Photometric Testing of Reflector-
Type Lamps,'' defines the test voltage. Therefore, since the Act 
required labeling at 120 V, the Department required testing of all 
incandescent lamps at 120 V in the Interim Final Rule. 59 FR 49468.
    In its comments, NEMA asked the Department to allow testing of 
incandescent lamps at their design voltage. Otherwise, NEMA commented, 
certain 125 and 130 V lamps would be banned from the market by failing 
to meet the standards if tested at 120 V. NEMA also claimed that 125 
and 130 V lamps serve two market niches: regions in the country where 
power line voltage is greater than the nominal 120 volts (V); and 
applications requiring long-life lamps. (NEMA, No. 7 at 1-4 and No. 14 
at 4.) Manufacturers claim they would be forced to sell lamps with 
decidedly shorter lives than the 125 and 130 V lamps currently in the 
marketplace if DOE requires compliance with the standards at 120 V. 
(Trojan, No. 15 at 2; Litetronics, No. 12 at 1.) Bleasby recommended 
that DOE allow testing at design voltages of 120, 125 and 130 V. He 
claimed that this testing regime is needed for harmonization with 
international test procedures. (P. Bleasby, No. 26 at 1.)
    In its notice reopening the comment period, the Department 
requested comments on a proposal to test incandescent lamps at the 
voltage marked on the lamp, or at the mean of the voltage range marked 
on the lamp. 61 FR 7431. NEMA supported this proposal. NEMA also 
recommended that DOE adopt the International Electrotechnical 
Commission definition of rated voltage from Standard 432-1. (NEMA, No. 
35 at 4.)
    The Department believes that lamps manufactured to comply with 
standards at 120 V will have a shorter life when applied on power 
systems with voltages greater than 120. This would result in the 
removal of most 125 and 130 V lamps from the marketplace because these 
lamps would not offer any longer life to consumers and because the 
longer life filaments would not meet the lamp efficacy standards at 120 
V. Therefore, the Department will allow testing of incandescent lamps 
at the rated voltage, as defined in today's rule, or at the mean of the 
rated voltage range. Incandescent lamps with voltages between 100 and 
115, and including 100 and 115, shall be tested at 115 V if the lamp 
can operate at 115 V, and incandescent lamps with voltages between 130 
and 150, and including 130 and 150, shall be tested at 130 V if the 
lamp can operate at 130 V. Lamps not

[[Page 29232]]

marked with a voltage shall be tested at 120 V (see the definitions of 
``Design Voltage'' and ``Rated Voltage'' in 10 CFR Sec. 430.2). This 
approach provides for testing incandescent lamps at a known voltage for 
certification to the lamp efficacy standards while accommodating the 
FTC requirements for labeling, which allow testing and labeling at the 
design voltage. The approach is also less confusing for enforcement 
testing because the test voltage is either marked on the lamp or fixed 
at 115 V or 130 V.

I. Basic Model

    The definition of basic model involves defining a class of lamps 
that are similar in design and performance to the extent that their 
performance can be determined by a representative sample. The lamps 
included in a specific basic model need not be entirely identical, 
particularly regarding characteristics that are not subject to 
performance standards. However, lamp characteristics of lumens, watts 
and CRI, which are measured to determine regulatory compliance, should 
be designed to be the same for all of the lamps included in a basic 
model.
    NEMA requested that the definition of ``basic model'' use the 
phrase ``similar light output'' instead of ``essentially identical'' to 
avoid ambiguity in classifying lamp models due to inherent variations 
in manufacturing. (NEMA, No. 14 at 5.) The Department disagrees with 
the NEMA request to replace ``essentially identical'' with ``similar'' 
because it interprets the phrase ``essentially identical'' to allow 
some variation and flexibility in light output and electrical and color 
characteristics.
    NEMA asked the Department to remove the requirements for 
photometric characteristics in the definitions of basic models for both 
general service fluorescent and general service incandescent lamps. 
NEMA stated that lamps with different beam spreads would require 
distinct basic models since photometric characteristics refer to the 
directional distribution of the light from the lamp. NEMA claimed lamp 
photometry does not directly bear on energy efficiency. (NEMA, No. 14 
at 5.) The Department has deleted the word ``photometric'' and replaced 
it with the words ``light output'' so that the basic model will not be 
restricted to lamps of a specific beam spread.
    NEMA also recommended that the Department include a reference to 
total forward lumens for reflector lamps in the basic model definition. 
(NEMA, No. 14 at 5.) The definition for basic model of a general 
service incandescent lamp does not need to contain the phrase ``total 
forward lumens for reflector lamps'' because Appendix R, Sec. 4.3.2, 
states that lumen output shall be determined as total forward lumens, 
and the IESNA test procedure LM-20 is designed to measure only forward 
lumens.
    NEMA asked the Department to illustrate the revised definition of 
basic model for a general service fluorescent lamp in the preamble to 
the Final Rule by reference to a family of 40-watt general service 
fluorescent lamps, with similar light output and lumens per watt 
characteristics, but with different color temperatures. Also, NEMA 
requested a similar illustration for a basic model of an incandescent 
reflector lamp by reference to two reflector lamps of the same type and 
with similar total forward lumens and wattage, but with different beam 
angles. NEMA asserted that these two reflector lamps should be the same 
basic model. (NEMA, No. 4 at 14.)
    DOE has revised the definition of basic model for general service 
fluorescent lamps to include all lamps with essentially identical light 
output, power input, and luminous efficacy, regardless of their 
photometric distribution or CCT. Fluorescent lamps with similar CRIs 
are included if the CRI meets or exceeds the minimum standards. The 
definitions of general service fluorescent lamp and incandescent 
reflector lamp can be found in 10 CFR Sec. 430.2. The following 
examples are offered to illustrate two families of general service 
fluorescent lamps that have the same lumen output but different CRI and 
therefore must be considered as two basic models:

                                         Fluorescent Lamp Basic Model #1                                        
----------------------------------------------------------------------------------------------------------------
                                                                  Lamp     Lamp  lumen                          
                      Lamp  designation                         wattage       output    Lamp  CCT K   Lamp  CRI 
----------------------------------------------------------------------------------------------------------------
F40T12 Type A...............................................           40         3200         3000           70
F40T12 Type B...............................................           40         3200         4000           70
F40T12 Type C...............................................           40         3200         5000           70
----------------------------------------------------------------------------------------------------------------


                                         Fluorescent Lamp Basic Model #2                                        
----------------------------------------------------------------------------------------------------------------
                                                                  Lamp     Lamp  lumen                          
                      Lamp  designation                         wattage       output    Lamp  CCT K   Lamp  CRI 
----------------------------------------------------------------------------------------------------------------
F40T12 Type D...............................................           40         3200         3000           80
F40T12 Type E...............................................           40         3200         4000           80
F40T12 Type F...............................................           40         3200         5000           80
----------------------------------------------------------------------------------------------------------------

    Similarly, all of the lamps in a family of incandescent reflector 
lamps would be considered to be the same basic model if they produced 
the same total lumen output and used the same power input, even if 
their photometric distributions (i.e., beam spreads) differed. The 
following example is given:

               Incandescent Reflector Lamp Basic Model #1               
------------------------------------------------------------------------
                                    Lamp     Lamp  lumen                
       Lamp  designation          wattage       output     Beam  spread 
------------------------------------------------------------------------
PAR30 Type A..................           75          975  spot.         

[[Page 29233]]

                                                                        
PAR30 Type B..................           75          975  flood.        
------------------------------------------------------------------------

J. Measures of Energy Consumption

    In the Interim Final Rule, the Department described the methods for 
calculating the estimated operating costs or energy consumption of 
lamps, based on a comparative use cycle of 1,000 hours per year. The 
comparative use cycle was intended to be used similarly to the way it 
was used with fluorescent lamp ballasts, whereby estimated annual 
operating cost can be multiplied by a factor that represents the 
anticipated use of the product.
    NEMA requested these calculation methods be deleted because FTC 
does not require annual operating costs or energy consumption on lamp 
labels since it was determined that such information would not be 
useful to consumers. (NEMA, No. 4 at 16.) NEMA also commented the 
procedures for estimating annual energy consumption and operating costs 
exceeded the Department's authority under Sec. 323(c) of the Act, 42 
U.S.C. 6293(c). NEMA further asserted that the Department should 
subscribe to the FTC findings on annual energy consumption and 
operating costs because estimated lamp usage is variable and there are 
no established usage patterns. Therefore, NEMA claimed, computations of 
annual operating costs or energy consumption based on a comparative use 
cycle of 1,000 hours per year would be questionable. (NEMA, No. 4 at 
16-21.) Texas Gas Transmission Corporation (TGTC) commented that it 
``strongly supported'' reporting energy consumption as the estimated 
annual operating cost expressed in dollars per year but gave no 
reasons. (TGTC, No. 2 at 4.).
    The Department did not require reporting of operating costs or 
energy consumption information in its Interim Final Rule. Methods for 
calculating those quantities were given for use in manufacturer 
representations of energy efficacy, CRI, and energy consumption for 
general service fluorescent lamps and for incandescent reflector lamps. 
Since FTC determined that operating costs would not be useful, the 
Department will delete the calculation of annual operating costs for 
all lamps. The provisions of Sec. 324(c)(7) of the Act, 42 U.S.C. 
6294(c)(7), do not prevent the Department from prescribing calculation 
methods for representations of energy consumption or lamp efficacy for 
covered lamps. The Department will continue to require that 
representations of lamp efficacy and annual energy consumption use data 
measured by the DOE test procedures. Any number of operating hours may 
be used to calculate annual energy consumption if the hours and other 
assumptions are clearly and accurately described in the representation. 
(See 10 CFR 430.23(r).)

K. CRI Testing

    NEMA commented that the sample size for CRI could be smaller than 
the 20 units tested for lumens and watts. (NEMA, No. 4 at 25.) The 
Department believes that CRI testing of the same lamps as selected for 
the lumen and wattage tests is necessary to correlate the average CRI 
with the average lumens per watt. Furthermore, the Department does not 
believe a substantial testing burden will result from this level of CRI 
testing. Therefore, the Department will require that the same sample of 
21 lamps tested for luminous efficacy be used for the CRI Test.

L. Lamp Test Period for New and Existing Lamp Models

    NEMA stated its understanding that the provision in 10 CFR 
Sec. 430.24 pertaining to sampling rules for lamps manufactured for 
fewer than 7 of 12 preceding months applies to existing models only. 
NEMA believes that 10 CFR Sec. 430.24 should be clarified to allow new 
models manufactured after November 1, 1995, to be tested over the full 
12-month period following such manufacture. (NEMA, No. 4 at 8.)
    The Department believes that 10 CFR Sec. 430.24 clearly applies to 
all basic models of lamps whether new or existing, and it rejects 
NEMA's attempt to limit application of this section to existing lamps. 
However, the Department revised 10 CFR Sec. 430.24(r) to clarify 
sampling requirements for lamps manufactured during fewer than 7 of 12 
months within a 12-month period. In this case, manufacturers shall 
distribute as evenly as possible the random selection of lamps among 
the months when production occurs.
    At the July 19, 1995, workshop, DOE asked whether a shorter test 
period would be adequate to determine whether fluorescent and 
incandescent reflector lamps could meet the lumen-per-watt standards 
for the initial testing of existing lamps. (Workshop Transcript, July 
19, 1995, at 240-261.) In response, NEMA proposed a 6-month test period 
for existing and future lamps if the month-by-month sampling rules are 
modified. (NEMA, No. 14 at 10.) The Department declines to adopt NEMA's 
proposal for a 6-month test period for future lamp products because the 
statute requires a 12-month test period.

M. Certification Data

    NEMA commented that 10 CFR Sec. 430.62(c) requires a compliance 
statement and certification report to be submitted to DOE for new 
models of covered products prior to or concurrent with any distribution 
of such model. NEMA claimed that this provision is inconsistent with 
the last sentence of Sec. 325(i)(7) of the Act, 42 U.S.C. 6295(i)(7), 
which states that manufacturers have 12 months from the commencement of 
production of new lamp models to send a report of the lumen output and 
wattage consumption to DOE. (NEMA, No. 4 at 7.)
    NEMA commented that manufacturers must be permitted to sell new 
models of lamps prior to submission of a certification report based on 
testing during the first 12 months of manufacturing. NEMA also proposed 
that the certification report be submitted within 1 month after the 12 
month test period. NEMA suggests that a statement of good faith 
compliance could be submitted prior to distribution of new basic lamp 
models if the Department is concerned that manufacturers could use the 
test period to distribute substandard lamps. (NEMA, No. 14 at 10.)
    Section 325(i)(7) of EPCA, 42 U.S.C. 6295(i)(7), provides that lamp 
manufacturers shall have 12 months from the commencement of production 
to test new products and to certify that they comply with the energy 
conservation standards. During this test period, however, new lamps 
that are sold shall meet the applicable standards. The Department will 
require a statement from manufacturers that new lamp products meet the 
applicable standards based on information, testing, and analysis such 
as design analysis,

[[Page 29234]]

prototype and initial production tests. The statement must be signed by 
a responsible company official and contain the date of commencement of 
manufacturing for each basic model of lamp. A certification report will 
be required within 1 month following the end of the 12-month testing 
period. The statement and clarification of the allowance for 12 months' 
testing of new or existing products is reflected in 10 CFR Sec. 430.62, 
Submission of Data.

N. Medium Base Compact Fluorescent Lamps and General Service 
Incandescent Lamps

    In its Interim Final Rule, the Department stated that ``covered 
product'' includes medium base compact fluorescent lamps, to be 
consistent with the labeling requirements in Sec. 324(a)(2)(C)(i) of 
EPCA, 42 U.S.C. 6294(a)(2)(C)(i). Furthermore, the Department included 
the statutory definition for medium base compact fluorescent lamps in 
the Interim Final Rule. It also expressly included a requirement to 
calculate the lamp efficacy in 10 CFR Sec. 430.23(r)(2). 59 FR 49468.
    NEMA commented that the Department did not have authority under 
EPCA, as amended, to issue test procedures for medium base compact 
fluorescent or non-reflector general service incandescent lamps because 
these products are not covered products. Therefore, NEMA proposed that 
covered product be revised to include medium base compact fluorescent 
lamps and general service incandescent lamps. It requested the 
Department revise the definition of ``general service fluorescent 
lamp'' to expressly include medium base compact fluorescent lamps. 
Additionally, NEMA suggested the Department revise the definition of 
``medium base compact fluorescent lamp'' to exclude the 4-foot straight 
and 2-foot U-shaped lamps with wattages greater than 28, and 8-foot 
slimline and high-output lamps. NEMA also suggested that a change was 
needed at 10 CFR Sec. 430.62(r)(2) to expressly exclude medium base 
compact fluorescent lamps from certification reporting. (NEMA, No. 4 at 
2, 10 and 11.)
    The Department believes that a revision to the definition of medium 
base compact fluorescent lamp to exclude clauses 1-4 in the definition 
of fluorescent lamp is unnecessary because a medium base compact 
fluorescent lamp is not a fluorescent lamp in the context of this 
regulation; it is a substitute for an incandescent general service 
lamp. The Department has removed the reference to medium base compact 
fluorescent lamps and general service incandescent lamps in 10 CFR 
Sec. 430.23(r)(2), but no other changes are needed in that section 
because the definitions of basic model adequately delineate which 
products are subject to standards. Consequently, the Department will 
not require a certification or compliance report on general service 
incandescent lamps which are not reflector lamps or on medium base 
compact fluorescent lamps.
    The Department believes that products such as general service 
incandescent lamps and medium base compact fluorescent lamps that are 
subject to labeling are covered products. Therefore, the Department has 
included test procedures for general service incandescent lamps to 
provide a basis for possible future energy efficiency standards. The 
Act directs the Department to initiate a rulemaking within 24 months of 
the effective date of the labeling rule to determine if standards 
should be promulgated for additional general service incandescent 
lamps. Section 325(i)(5) of EPCA, 42 U.S.C. 6295(i)(5). Furthermore, 
the Department has included test procedures for medium base compact 
fluorescent lamps because the statute considers these lamps as a 
``direct replacement for general service incandescent lamps'' by 
definition. Section 321(30)(S) of EPCA, 42 U.S.C. 6291(30)(S). Given 
the Department's future need for data to determine whether or not to 
establish standards, the Department will prescribe test procedures for 
general service incandescent lamps and medium base compact fluorescent 
lamps.

O. Test Procedures

    NEMA requested that the efficacy measurements for incandescent 
reflector and general service incandescent lamps be rounded to the 
nearest .5 lumens per watt rather than the nearest .1 lumens per watt 
to be consistent with the way the standards were specified. (NEMA, No. 
4 at 26.) The Department will continue rounding to the nearest tenth of 
a lumen per watt to be consistent with conventional practice, to ensure 
consistency in converting test data into final results, and to retain 
the significant figures in the standard. For example, if the measured 
lumens per watt lies between 11.0 and 11.1, and is 11.05 or greater, 
the value shall be rounded up and reported as 11.1 lumens per watt; if 
the measured lumens per watt is less than 11.05, the value shall be 
rounded down and reported as 11.0 lumens per watt.
    In the Interim Final Rule, the Department requested comments on the 
likelihood of greater measurement variations when testing medium base 
compact fluorescent lamps without a reference ballast. 59 FR 49468. In 
response, NEMA stated that industry experience suggested it was 
appropriate to specify the same confidence limits and sample sizes for 
medium base compact fluorescent lamps as for general service 
fluorescent lamps. (NEMA, No. 4 at 27.) The Department will not change 
its sampling plan to account for testing a medium base compact 
fluorescent lamp without a reference ballast.
    The Interim Final Rule incorporated IESNA standard LM-20-1982, 
incandescent reflector lamp test methods. NEMA, Philips, and IESNA 
recommended that the Department incorporate by reference the revised 
1994 version of LM-20. (NEMA, No. 4 at 28; IESNA, No. 1 at 1; Philips, 
No. 3 at 2.) Furthermore, IESNA commented that IESNA documents LM-16 
(colorimetry of light sources), LM-20 (incandescent reflector lamp test 
methods) and LM-58 (spectroradiometric measurements) had later 
publication dates than those listed. (IESNA, No. 1 at 1.) Likewise, 
NEMA requested that these publication dates be updated. (NEMA, No. 4 at 
29.)
    The Department has amended the dates of LM-16, LM-20 and LM-58 to 
the latest published dates. The revision for LM-16 adds state of the 
art radiometry sensors, and the revisions for LM-58 reorganize the 
document, add new equations and add diode array sensing. The revisions 
for LM-20 will make testing of incandescent reflector lamps easier 
because manufacturers may now use the integrating sphere measurement 
technique. These revised industry test standards are listed at 10 CFR 
430.22(b). Also note that DOE revised section 430.22 to list the 
industry test standards by the respective standards issuing 
organizations to make the referenced standards easier to locate.
    NEMA requested that subparagraph 4.3.2. of Appendix R, Subpart B, 
of 10 CFR Part 430 incorporate the entire text of LM-66 for compact 
fluorescent lamps rather than only Sections 11 and 13. (NEMA, No. 4 at 
29.) Philips commented that the Department must remove the requirement 
for a reference ballast so that an integrally ballasted compact 
fluorescent lamp can be tested. (Philips, No. 3 at 2.) The Department 
does not require or use measurements with a reference ballast because 
that would require separation of the bulb and ballast, which is not 
possible with an integrally ballasted lamp. However,

[[Page 29235]]

since LM-66 contains no provision for measuring integrally ballasted 
compact fluorescent lamps, the Department will clearly state that it is 
excepting the requirement for a reference ballast. The Department has 
incorporated the entire LM-66 because it refers to Sections 1, 2, 3, 7, 
11 and 13. However, the Department modified the test requirements in 
LM-66 to use an integral ballast instead of a reference ballast in its 
regulations. (See Part 430, Subpart B, Appendix R, paragraph 4.4.)
    In their comments regarding the Interim Final Rule, NEMA and 
Philips stated that the Department incorrectly required the use of 
alternating current with the IESNA LM-45 test procedure for testing 
incandescent lamps. (NEMA, No. 4 at 30; Philips, No. 3 at 2.) The 
Department notes that the IESNA LM-45 standard allows measurements to 
be performed using direct current or alternating current. Therefore, 
the Department will modify Appendix R to allow testing with either 
direct current or alternating current at the rated lamp voltage. (See 
10 CFR, Part 430, Subpart B, Appendix R, paragraph 4.2.1.)
    NEMA requested the Department amend paragraph 4.3.2 of Appendix R, 
Subpart B, of 10 CFR Part 430 to permit manufacturers to use the 
spherical photometry method in accordance with the revised IESNA LM-20-
1994. (Spherical photometry was expressly prohibited in 10 CFR, Subpart 
B, Appendix R, Sec. 4.3.2.) NEMA further stated that light output for 
incandescent reflector lamps should be measured as total forward 
lumens. (NEMA, No. 4 at 31.)
    The Department lifted its prohibition on the use of the integrating 
sphere and is referencing IESNA LM-20-1994, which allows the spherical 
photometry method. IESNA LM-20 was revised so that the measurement 
procedure for total flux measurement using an integrating sphere, 
Sec. 7.2, would properly measure only the forward lumens emitted by a 
reflector lamp, with special care taken to determine sphere photometric 
calibration using a reference source with similar beam distribution.
    In its comments regarding the Interim Final Rule, NEMA requested 
deletion of selective references to IESNA LM-45 for testing 
incandescent lamps and inclusion of the entire LM-45. (NEMA, No. 4 at 
33.) Although the Interim Final Rule incorporates IESNA LM-45 in its 
entirety, there are several instances where terms are defined 
differently within IESNA LM-45. Selective references are necessary to 
ensure that the most precise definitions are applied to the DOE test 
procedures.

P. Definitions

    In its comments regarding the Interim Final Rule, NEMA stated that 
the word ``only'' was omitted from the definition of fluorescent lamp 
in 10 CFR Sec. 430.2. This omission creates a difference from the 
statutory language of Sec. 321(30)(A) of EPCA, 42 U.S.C. 6291 (30)(A). 
(NEMA, No. 4 at 11.) The Department has revised the definition to 
include the word ``only.''
    In comments regarding the Interim Final Rule, NEMA suggested that 
the definition of a cold temperature fluorescent lamp should include a 
requirement to etch the lamp ``FOR COLD TEMPERATURE USE'' and a 
requirement for a similar designation in marketing materials. (NEMA, 
No. 4 at 12.) The Department believes that marking the lamp for cold 
temperature use and designating it as such in marketing materials will 
restrict this lamp's use to exempt applications. Therefore, the 
Department will require manufacturers to expressly designate the lamp 
for cold temperatures with markings on the lamp and in marketing 
materials; however, the Department is not specifying the exact 
language.

Q. National Voluntary Laboratory Accreditation Program (NVLAP)

    In the laboratory accreditation program at 10 CFR Sec. 430.25(b), 
the Department references NVLAP Handbook 150-01, July 1994, ``Energy 
Efficient Lighting Products.'' The Department has determined that NVLAP 
Handbook 150-01 is not adequate for laboratory accreditation to DOE 
test procedures because the handbook does not specifically require 
laboratory accreditation to the DOE test procedures. This is of 
particular concern to DOE where international agreements allow NVLAP to 
recognize foreign accrediting organizations without any requirement to 
accredit laboratories to the DOE test procedures. Consequently, NVLAP 
has issued a DOE supplement to Handbook 150-01 which changes Sec. 5, 
and Appendices B, C, and G. The new DOE supplement will be used to 
accredit lighting laboratories to the DOE test procedures. (NVLAP 
Handbook 150-1 Supplement.)
    The Department has changed 10 CFR Sec. 430.25 to state that test 
laboratories must be accredited to perform the DOE test procedures. 
This includes foreign laboratories accredited by foreign accrediting 
bodies who may have mutual recognition agreements with NVLAP.

R. Long-life Halogen Lamps

    Litetronics commented it has developed a line of 5,000-hour halogen 
lamps, which are direct competitors to the exempt BR and ER lamps. It 
claimed these halogen lamps are 20 percent more efficient than ER and 
BR reflector lamps. However, these lamps will not meet the energy 
efficiency standards. The lamps are designed for high ceiling 
applications such as hotel lobbies and shopping malls where it is very 
expensive to change lamps. Litetronics requested the Department provide 
an exemption or some other consideration for these lamps in the Final 
Rule. (Litetronics, No. 12 at 2.)
    The advantages of a long-life halogen PAR lamp over the BR and ER 
exempt lamps were discussed at the lamp workshop on July 19, 1995. 
Litetronics claimed this lamp is 20 percent more efficient than BR or 
ER lamps. Angelo Brothers cautioned that an exemption for a long-life 
halogen lamp would create another loophole for less efficient PAR 
halogen lamps. OSI stated that several of the lamp manufacturers could 
take existing halogen lamps, extend their life, and argue for 
exemption. (Workshop Transcript, July 19, 1995, at 159.)
    In further comments, Litetronics claimed long-life halogen lamps 
were developed after the passage of EPAct assuming halogen lamps would 
automatically meet the standards. Litetronics claimed it spent 
resources to develop an energy efficient long-life halogen lamp which 
has an average life greater than 4,000 hours and will almost meet the 
minimum lumen per watt requirements in the incandescent reflector lamp 
standards. Furthermore, Litetronics proposed an interpolation of the 
lumen per watt and wattage levels by one watt increments since it 
claimed that all incandescent lamp efficacies change in direct 
proportion to wattage. Litetronics presented a table showing how 
closely its 4,000 hour halogen lamps meets its revised lumen per watt 
number. (Litetronics, No. 21 at 1.) The Litetronics lumen per watt data 
on its long-life halogen lamps was evaluated by NIST. NIST found the 
long-life halogen lamp does not meet the standards although it is more 
efficient than incandescent long-life lamps. Based on the NIST report, 
DOE concluded that the Litetronics long-life halogen lamp does not meet 
the energy efficiency standards. DOE also evaluated the interpolation 
scheme and determined that an interpolation large enough to include 
these long-life halogen lamps would significantly reduce average lamp 
efficacy levels below the minimums required by the statute.
    Since the exemptions in the statute are for specific applications 
and do not

[[Page 29236]]

provide an express exemption for long-life halogen lamps, the 
Department can not provide any exemption for these lamps. The 
Department can only amend standards in a future rulemaking. Although 
life testing is possible, DOE has decided that this exemption would be 
difficult to enforce due to test times that exceed 10,000 hours and the 
need for large samples. However, the Department may reconsider these 
lamps in a future lamp rulemaking.

IV. Procedural Requirements

A. Review Under the National Environmental Policy Act of 1969

    In this rule, the Department will finalize test procedures that 
will implement statutorily mandated energy conservation standards for 
incandescent and fluorescent lamps. These test procedures were 
published as an Interim Final Rule on September 28, 1994, at 59 FR 
49468. The Department determined that the Interim Final Rule was 
covered under the Categorical Exclusion found at paragraph A.6 of 
Appendix A to Subpart D, 10 CFR Part 1021, which applies to the 
establishment of procedural rulemakings. This Final Rule is also a 
procedural rulemaking and its implementation will not affect the 
quality or distribution of energy usage and therefore will not result 
in any environmental impacts. Accordingly, neither an environmental 
assessment nor an environmental impact statement is required.

B. Review Under Executive Order 12866, ``Regulatory Planning and 
Review''

    This regulatory action is not a significant regulatory action under 
Executive Order 12866, ``Regulatory Planning and Review.'' 58 FR 51735 
(October 4, 1993). Accordingly, this action is not subject to review 
under the Executive Order by the Office of Information and Regulatory 
Affairs.

C. Review Under the Regulatory Flexibility Act of 1980

    The Regulatory Flexibility Act of 1980, 5 U.S.C. Sec. 603, requires 
the preparation of an initial regulatory flexibility analysis for every 
rule which by law must be proposed for public comment, unless the 
agency certifies that the rule, if promulgated, will not have a 
significant economic impact on a substantial number of small entities. 
The Department provided the required certification when it published 
its Interim Final Rule on September 28, 1994, at 59 FR 49468. 
Consequently, no further action is required for this rulemaking.

D. Review Under Executive Order 12612, ``Federalism''

    Executive Order 12612, ``Federalism,'' 52 FR 41685 (October 30, 
1987), requires that regulations, rules, legislation, and any other 
policy actions be reviewed for any substantial direct effect on States, 
on the relationship between the National Government and States, or in 
the distribution of power and responsibilities among various levels of 
government. If there are substantial effects, then the Executive Order 
requires preparation of a federalism assessment to be used in all 
decisions involved in promulgating and implementing a policy action.
    The rule published today would not regulate the States. It 
primarily would affect the manner in which DOE promulgates energy 
conservation standards for residential and commercial products, water 
conservation standards, test procedures, and certification of 
compliance by manufacturers prescribed under the Energy Policy and 
Conservation Act. State regulation in this area is largely preempted by 
the Energy Policy and Conservation Act. Today's rule would not alter 
DOE's authority and responsibility to regulate in this area. 
Accordingly, DOE has determined that preparation of a federalism 
assessment is unnecessary.

E. Review Under Executive Order 12630, ``Governmental Actions and 
Interference With Constitutionally Protected Property Rights''

    It has been determined pursuant to Executive Order 12630, 
``Governmental Actions and Interference with Constitutionally Protected 
Property Rights,'' 52 FR 8859 (March 18, 1988), that this regulation 
would not result in any takings which might require compensation under 
the Fifth Amendment to the United States Constitution.

F. Review Under the Paperwork Reduction Act of 1980

    No new information or recordkeeping requirements are imposed by 
this rulemaking. Accordingly, no OMB clearance is required under the 
Paperwork Reduction Act (44 U.S.C. 3501 et seq.).

G. Review Under Executive Order 12988, ``Civil Justice Reform''

    With respect to the review of existing regulations and the 
promulgation of new regulations, Sec. 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on 
executive agencies the following requirements: (1) eliminate drafting 
errors and ambiguity; (2) write regulations to minimize litigation; and 
(3) provide a clear legal standard for affected conduct rather than a 
general standard and promote simplification and burden reduction. With 
regard to the review required by Sec. 3(a), Sec. 3(b) of the Executive 
Order specifically requires that Executive agencies make every 
reasonable effort to ensure that the regulation: (1) clearly specifies 
the preemptive effect, if any; (2) clearly specifies any effect on 
existing Federal law or regulation; (3) provides a clear legal standard 
for affected conduct while promoting simplification and reducing 
burdens; (4) specifies the retroactive effect, if any; (5) adequately 
defines key terms; and (6) addresses other important issues affecting 
clarity and general draftsmanship under any guidelines issued by the 
Attorney General. Section 3(c) of the Executive Order requires 
Executive agencies to review regulations in light of applicable 
standards in Sec. 3(a) and 3(b) to determine whether they are met or it 
is unreasonable to meet one or more of them. DOE reviewed today's Final 
Rule under the standards of Sec. 3 of the Executive Order and 
determined that, to the extent permitted by law, it meets the 
requirements of those standards.

H. Review Under Section 32 of the Federal Energy Administration Act of 
1974

    Pursuant to Sec. 301 of the Department of Energy Organization Act 
(Pub. L. 95-91), the Department of Energy is required to comply with 
Sec. 32 of the Federal Energy Authorization Act (FEAA), as amended by 
Sec. 9 of the Federal Energy Administration Authorization Act of 1977 
(Pub. L. 95-70). Section 32 provides in essence that, where a proposed 
or Final Rule involves or uses commercial standards, the rulemaking 
must inform the public of the use and background of such standards.
    This Final Rule incorporates by reference Illuminating Engineering 
Society of North America and American National Standards Institute 
commercial test procedures to measure the efficacy of general service 
fluorescent and incandescent lamps, medium base compact fluorescent 
lamps and the color rendering index of fluorescent lamps. The 
commercial standards are: IESNA LM-16-1993, IESNA LM-20-1994, IESNA LM-
58-1994 and the Illuminating Engineering Society Lighting Handbook, 
Chapter 6, and American National Standards Institute standards C78.21-
1989 and C79.1-1994.
    The Department of Energy has evaluated IESNA Standards LM-16-

[[Page 29237]]

 1993, LM-20-1994 and LM-58-1994 and the Illuminating Engineering 
Society of North America Lighting Handbook, Chapter 6, and American 
National Standards Institute standards C78.21-1989 and C79.1-1994 in 
light of the public participation criteria of Sec. 32(b). The 
Department was unable to conclude whether development of these 
standards fully complied with Sec. 32(b) regarding the manner of public 
participation.
    As required by Sec. 32(c), the Department of Energy has consulted 
with the Attorney General and the Chairman of the Federal Trade 
Commission concerning the impact of these standards on competition 
prior to prescribing final test procedures. Neither the Attorney 
General nor the FTC Chairman rejected any of these industry test 
standards for anticompetitive reasons.

I. Review Under Small Business Regulatory Enforcement Fairness Act of 
1996

    As required by 5 U.S.C. 801, DOE will report to Congress 
promulgation of the rule prior to its effective date. 5 U.S.C. 801. The 
report will state that it has been determined that the rule is not a 
``major rule'' as defined by 5 U.S.C. 804(3).

J. Review Under the Unfunded Mandates Reform Act of 1995

    Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded 
Mandates Act'') (signed into law on March 22, 1995) requires that the 
Department prepare a budgetary impact statement before promulgating a 
rule that includes a Federal mandate that may result in expenditure by 
state, local, and tribal governments, in the aggregate, or by the 
private sector, of $100 million or more in any one year. The budgetary 
impact statement must include: (1) identification of the Federal law 
under which the rule is promulgated; (2) a qualitative and quantitative 
assessment of anticipated costs and benefits of the Federal mandate and 
an analysis of the extent to which such costs to state, local, and 
tribal governments may be paid with Federal financial assistance; (3) 
if feasible, estimates of the future compliance costs and of any 
disproportionate budgetary effects the mandate has on particular 
regions, communities, non-Federal units of government, or sectors of 
the economy; (4) if feasible, estimates of the effect on the national 
economy; and (5) a description of the Department's prior consultation 
with elected representatives of state, local, and tribal governments 
and a summary and evaluation of the comments and concerns presented.
    The Department has determined that the action proposed today does 
not include a Federal mandate that may result in estimated costs of 
$100 million or more to state, local, or tribal governments in the 
aggregate or to the private sector. Therefore, the requirements of 
Sections 203 and 204 of the Unfunded Mandates Act do not apply to this 
action.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Energy conservation, 
Fluorescent and Incandescent lamps, Incorporation by reference.

    Issued in Washington, DC, on April 21, 1997.
Christine A. Ervin,
Assistant Secretary, Energy Efficiency and Renewable Energy.

    For the reasons set forth in the preamble, Part 430 of Chapter II 
of Title 10, Code of Federal Regulations, is amended as set forth 
below.

PART 430--ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

    1. The authority citation for Part 430 continues to read as 
follows:

    Authority: 42 U.S.C. 6291-6309.

    2. Section 430.1 is revised to read as follows:


430.1  Purpose and scope.

    This part establishes the regulations for the implementation of 
part B of title III (42 U.S.C. 6291-6309) of the Energy Policy and 
Conservation Act (Pub. L. 94-163), as amended by Pub. L. 95-619, Pub. 
L. 100-12, Pub. L. 100-357, and Pub. L. 102-486 which establishes an 
energy conservation program for consumer products other than 
automobiles.
    3. Section 430.2 of Subpart A is amended by revising paragraphs 
(15) and (16) in the definition ``Basic model,'' by revising the 
definitions for ``Cold temperature fluorescent lamp,'' ``Fluorescent 
lamp,'' and ``Incandescent lamp,'' and by adding new definitions for 
``BR incandescent reflector lamp,'' ``Colored fluorescent lamp,'' 
``Colored incandescent lamp,'' ``Correlated color temperature,'' 
``Design voltage,'' ``ER incandescent reflector lamp,'' ``Incandescent 
reflector lamp,'' ``Rated voltage,'' ``Rated wattage,'' ``Residential 
straight-shaped lamp,'' ``Rough or vibration service incandescent 
reflector lamp,'' and ``Voltage range.'' These amendments occur in 
alphabetical order, to read as follows:


Sec. 430.2  Definitions.

* * * * *
    Basic model * * *
* * * * *
    (15) With respect to general service fluorescent lamps, means lamps 
that have essentially identical light output and electrical 
characteristics--including lumens per watt and color rendering index 
(CRI)--and that do not have any differing physical or functional 
characteristics that affect energy consumption or efficacy.
    (16) With respect to incandescent reflector lamps, means lamps that 
have essentially identical light output and electrical 
characteristics--including lumens per watt--and that do not have any 
differing physical or functional characteristics that affect energy 
consumption or efficacy.
* * * * *
    BR incandescent reflector lamp means a reflector lamp that has a 
bulged section below the bulb's major diameter and above its 
approximate base line as shown in Figure 1 (RB) on page 7 of ANSI 
C79.1-1994. A BR30 lamp has a lamp wattage of 85 or less than 66 and a 
BR40 lamp has a lamp wattage of 120 or less.
* * * * *
    Cold temperature fluorescent lamp means a fluorescent lamp 
specifically designed to start at -20 deg.F when used with a ballast 
conforming to the requirements of ANSI Standard C78.1-1991, and is 
expressly designated as a cold temperature lamp both in markings on the 
lamp and in marketing materials, including but not limited to catalogs, 
sales literature, and promotional material.
* * * * *
    Colored fluorescent lamp means a fluorescent lamp designated and 
marketed as a colored lamp, and with either of the following 
characteristics: a CRI less than 40, as determined according to the 
method given in CIE Publication 13.2 (see 10 CFR 430.22), or a lamp 
correlated color temperature less than 2,500K or greater than 6,600K.
    Colored incandescent lamp means an incandescent lamp designated and 
marketed as a colored lamp that has a CRI less than 50, as determined 
according to the method given in CIE Publication 13.2 (see 10 CFR 
430.22); has a correlated color temperature less than 2,500K or greater 
than 4,600K; has a lens containing 5 percent or more neodymium oxide; 
or contains a filter to suppress yellow and green portions of the 
spectrum and is specifically designed, designated and marketed as a 
plant light.
* * * * *

[[Page 29238]]

    Correlated color temperature means the absolute temperature of a 
blackbody whose chromaticity most nearly resembles that of the light 
source.
* * * * *
    Design voltage with respect to an incandescent lamp means:
    (1) The voltage marked as the intended operating voltage;
    (2) The mid-point of the voltage range if the lamp is marked with a 
voltage range; or
    (3) 120 V if the lamp is not marked with a voltage or voltage 
range.
* * * * *
    ER incandescent reflector lamp means a reflector lamp with an 
elliptical section below the bulb's major diameter and above its 
approximate baseline as shown in Figure 1 (RE) on page 7 of ANSI C79.1-
1994 (see 10 CFR 430.22) and a finished size and shape shown in ANSI 
C78.21-1989 including the referenced reflective characteristics in part 
7 of ANSI C78.21-1989 (see 10 CFR 430.22).
* * * * *
    Fluorescent lamp means a low pressure mercury electric-discharge 
source in which a fluorescing coating transforms some of the 
ultraviolet energy generated by the mercury discharge into light, 
including only the following:
    (1) Any straight-shaped lamp (commonly referred to as 4-foot medium 
bi-pin lamps) with medium bi-pin bases of nominal overall length of 48 
inches and rated wattage of 28 or more.
    (2) Any U-shaped lamp (commonly referred to as 2-foot U-shaped 
lamps) with medium bi-pin bases of nominal overall length between 22 
and 25 inches and rated wattage of 28 or more.
    (3) Any rapid start lamp (commonly referred to as 8-foot high 
output lamps) with recessed double contact bases of nominal overall 
length of 96 inches and 0.800 nominal amperes, as defined in ANSI 
C78.1-1991.
    (4) Any instant start lamp (commonly referred to as 8-foot slimline 
lamps) with single pin bases of nominal overall length of 96 inches and 
rated wattage of 52 or more, as defined in ANSI C78.3-1991.
* * * * *
    Incandescent lamp means a lamp in which light is produced by a 
filament heated to incandescence by an electric current, including only 
the following:
    (1) Any lamp (commonly referred to as lower wattage non-reflector 
general service lamps, including any tungsten halogen lamp) that has a 
rated wattage between 30 and 199, has an E26 medium screw base, has a 
rated voltage or voltage range that lies at least partially in the 
range of 115 and 130 volts, and is not a reflector lamp.
    (2) Any incandescent reflector lamp.
    (3) Any general service incandescent lamp (commonly referred to as 
a high-or higher-wattage lamp) that has a rated wattage above 199 
(above 205 for a high wattage reflector lamp).
    Incandescent reflector lamp (commonly referred to as a reflector 
lamp) means any lamp in which light is produced by a filament heated to 
incandescence by an electric current, which: is not colored or designed 
for rough or vibration service applications that contains an inner 
reflective coating on the outer bulb to direct the light; has an R, PAR 
or similar bulb shape (excluding ER or BR) with an E26 medium screw 
base; has a rated voltage or voltage range that lies at least partially 
in the range of 115 and 130 volts; has a diameter that exceeds 2.75 
inches; and is either a low(er)-wattage reflector lamp that has a rated 
wattage between 40 and 205; or a high(er)-wattage reflector lamp that 
has a rated wattage above 205.
* * * * *
    Rated voltage with respect to incandescent lamps means:
    (1) The design voltage if the design voltage is 115 V, 130 V or 
between 115V and 130 V:
    (2) 115 V if the design voltage is less than 115 V and greater than 
or equal to 100 V and the lamp can operate at 115 V; and
    (3) 130 V if the design voltage is greater than 130 V and less than 
or equal to 150 V and the lamp can operate at 130 V.
* * * * *
    Rated wattage, with respect to 4-foot medium bi-pin T8, T10 or T12 
lamps, means:
    (1) If the lamp is listed in ANSI C78.1-1991, the nominal wattage 
of a lamp determined by the lamp designation in Annex A.2 of ANSI 
C78.1-1991; or
    (2) If the lamp is a residential straight-shaped lamp, the wattage 
a lamp consumes when operated on a reference ballast for which the lamp 
is designed; or
    (3) If the lamp is neither listed in ANSI C78.1-1991 nor a 
residential straight-shaped lamp, the wattage a lamp consumes when 
using reference ballast characteristics of 236 volts, 0.43 amps and 439 
ohms for T10 or T12 lamps or reference ballast characteristics of 300 
volts, 0.265 amps and 910 ohms for T8 lamps.
* * * * *
    Residential straight-shaped lamp means a low pressure mercury 
electric-discharge source in which a fluorescing coating transforms 
some of the ultraviolet energy generated by the mercury discharge into 
light, including a straight-shaped fluorescent lamp with medium bi-pin 
bases of nominal overall length of 48 inches and is either designed 
exclusively for residential applications; or designed primarily and 
marketed exclusively for residential applications.
    (1) A lamp is designed exclusively for residential applications if 
it will not function for more than 100 hours with a commercial high-
power-factor ballast.
    (2) A lamp is designed primarily and marketed exclusively for 
residential applications if it:
    (i) Is permanently and clearly marked as being for residential use 
only;
    (ii) Has a life of 6,000 hours or less when used with a commercial 
high-power-factor ballast;
    (iii) Is not labeled or represented as a replacement for a 
fluorescent lamp that is a covered product; and
    (iv) Is marketed and distributed in a manner designed to minimize 
use of the lamp with commercial high-power-factor ballasts.
    (3) A manufacturer may market and distribute a lamp in a manner 
designed to minimize use of the lamp with commercial high-power-factor 
ballasts by:
    (i) Packaging and labeling the lamp in a manner that clearly 
indicates the lamp is for residential use only and includes appropriate 
instructions concerning proper and improper use; if the lamp is 
included in a catalog or price list that also includes commercial/
industrial lamps, listing the lamp in a separate residential section 
accompanied by notes about proper use on the same page; and providing 
as part of any express warranty accompanying the lamp that improper use 
voids such warranty; or
    (ii) Using other comparably effective measures to minimize use with 
commercial high-power-factor ballasts.
* * * * *
    Rough or vibration service incandescent reflector lamp means a 
reflector lamp: in which a C-11 (5 support), C-17 (8 support), or C-22 
(16 support) filament is mounted (the number of support excludes lead 
wires); in which the filament configuration is as shown in Chapter 6 of 
the 1993 Illuminating Engineering Society of North America Lighting 
Handbook, 8th Edition (see 10 CFR 430.22); and that is designated and 
marketed specifically for rough or vibration service applications.
* * * * *
    Voltage range means a band of operating voltages as marked on an

[[Page 29239]]

incandescent lamp, indicating that the lamp is designed to operate at 
any voltage within the band.
* * * * *
    4. Section 430.22 of Subpart B, is amended by revising the heading 
for paragraph (a), revising paragraphs (a)(1) and (a)(2)(ii), removing 
paragraphs (a)(3) and (a)(4), redesignating paragraph (b) as (c), 
adding a new paragraph (b) and revising redesignated paragraph (c)(1), 
to read as follows:


Sec. 430.22  Reference sources.

    (a) Industry Test Standards Incorporated by Reference.
    (1) General. The following standards, which are not otherwise set 
forth in part 430, are incorporated by reference and made a part of 
part 430. The standards listed in this section have been approved for 
incorporation by reference by the Director of the Federal Register. The 
specified versions of the standards are incorporated, and any 
subsequent amendment to a standard by the standard-setting organization 
will not affect the DOE test procedures unless and until those test 
procedures are amended by DOE.
    (2) * * *
    (ii) U.S. Department of Energy, Office of Energy Efficiency and 
Renewable Energy, Hearings and Dockets, Forrestal Building, 1000 
Independence Ave, SW, Washington, DC 20585.
    (b) List of Sources and Standards Incorporated by Reference.
    (1) American National Standards Institute (ANSI). The ANSI 
standards listed in this paragraph may be obtained from the American 
National Standards Institute, 1430 Broadway, New York, NY 10018, (212) 
642-4900.

1. ANSI C78.1-1991, ``for Fluorescent Lamps--Rapid-Start Types--
Dimensional and Electrical Characteristics''
2. ANSI C78.2-1991, ``for Fluorescent Lamps--Preheat-Start Types--
Dimensional and Electrical Characteristics of Fluorescent Lamps''
3. ANSI C78.3-1991, ``for Fluorescent Lamps--Instant-Start and Cold-
Cathode Types--Dimensional and Electrical Characteristics''
4. ANSI C78.375-1991, ``for Fluorescent Lamps--Guide for Electrical 
Measurements''
5. ANSI C82.3-1983 ``for Reference Ballasts for Fluorescent Lamps''
6. ANSI C79.1-1994, ``Nomenclature for Glass Bulbs--Intended for Use 
with Electric Lamps''
7. ANSI C78.21-1989, ``Incandescent Lamps--PAR and R Shapes''

    (2) Illuminating Engineering Society of North America (IESNA). The 
IESNA standards listed in this paragraph may be obtained from the 
Illuminating Engineering Society of North America, 120 Wall Street, 
Floor 17, New York, NY 10005-4001, (212) 248-5000.

1. Illuminating Engineering Society LM-9-88, ``IES Approved Method 
for the Electrical and Photometric Measurements of Fluorescent 
Lamps''
2. Illuminating Engineering Society of North America LM-16-1993, 
``IESNA Practical Guide to Colorimetry of Light Sources''
3. Illuminating Engineering Society of North America LM-20-1994, 
``IESNA Approved Method for Photometric Testing of Reflector-Type 
Lamps''
4. Illuminating Engineering Society of North America LM-45-91, ``IES 
Approved Method for Electrical and Photometric Measurements of 
General Service Incandescent Filament Lamps''
5. Illuminating Engineering Society of North America LM-58-1994, 
``IESNA Guide to Spectroradiometric Measurements''
6. Illuminating Engineering Society of North America LM-66-1991, 
``IES Approved Method for the Electrical and Photometric 
Measurements of Single-Ended Compact Fluorescent Lamps''
7. Illuminating Engineering Society of North America Lighting 
Handbook, Reference and Application, 8th Edition, 1993, Chapter 6, 
Light Sources

    (3) International Commission on Illumination (CIE). The CIE 
standards listed in this paragraph may be obtained from the 
International Commission on Illumination, CIE Bureau Central, 
Kegelgasse 27, A-1030, Vienna, Austria. CIE publications are also 
available from TLA Lighting Consultants, 7 Pond Street, Salem, MA 
10970, (508) 745-6870.

1. International Commission on Illumination (CIE) Publication No. 
13.2 1974, corrected reprint 1993, ``Method of Measuring and 
Specifying Color Rendering Properties of Light Sources,'' ISBN 3 900 
734 39 9

    (c) Reference Standards. (1) General. The standards listed in this 
paragraph are referred to in the DOE test procedures and elsewhere in 
10 CFR part 430 but are not incorporated by reference. These sources 
are given here for information and guidance.
* * * * *
    5. Section 430.23(r) is revised to read as follows:


Sec. 430.23  Test procedures for measures of energy consumption.

* * * * *
    (r) General Service Fluorescent Lamps and General Service 
Incandescent Lamps.
    (1) The estimated annual energy consumption for general service 
fluorescent lamps and incandescent reflector lamps, expressed in 
kilowatt-hours per year, shall be the product of the input power in 
kilowatts as determined in accordance with section 4 of Appendix R to 
this subpart and an average annual use specified by the manufacturer, 
with the resulting product rounded off to the nearest kilowatt-hour per 
year. Manufacturers must provide a clear and accurate description of 
the assumptions used for the estimated annual energy consumption.
    (2) The lamp efficacy for general service fluorescent lamps shall 
be equal to the average lumen output divided by the average lamp 
wattage as determined in section 4 of Appendix R of this subpart, with 
the resulting quotient rounded off to the nearest lumen per watt.
    (3) The lamp efficacy for incandescent reflector lamps shall be 
equal to the average lumen output divided by the average lamp wattage 
as determined in section 4 of Appendix R of this subpart, with the 
resulting quotient rounded off to the nearest tenth of a lumen per 
watt.
    (4) The color rendering index of a general service fluorescent lamp 
shall be tested and determined in accordance with section 4.5 of 
Appendix R of this subpart and rounded off to the nearest unit.
    6. Section 430.24(r) is revised to read as follows:


Sec. 430.24  Units to be tested.

* * * * *
    (r)(1) For each basic model of general service fluorescent lamp and 
incandescent reflector lamp, samples of production lamps shall be 
tested and the results for all samples shall be averaged for a 12-month 
period. A minimum sample of 21 lamps shall be tested. The manufacturer 
shall randomly select a minimum of three lamps from each month of 
production for a minimum of 7 out of the 12-month period. In the 
instance where production occurs during fewer than 7 of such 12 months, 
the manufacturer shall randomly select a 3 or more lamps from each 
month of production, where the number of lamps selected for each month 
shall be distributed as evenly as practicable among the months of 
production to attain a minimum sample of 21 lamps. Any represented 
value of lamp efficacy of a basic model shall be based on the sample 
and shall be no greater than the lower of the mean of the sample or the 
lower 95-percent confidence limit of the true mean (XL) 
divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.001

where:


[[Page 29240]]


    x=the mean luminous efficacy of the sample
    s=the sample standard deviation
    t0.95=the t statistic for a 95-percent confidence limit 
for n-1 degrees of freedom (from statistical tables)
    n=sample size

    (2) For each basic model of general service fluorescent lamp, the 
color rendering index (CRI) shall be measured from the same lamps 
selected for the lumen output and watts input measurements in paragraph 
(r)(1) of this section, i.e., the manufacturer shall measure all lamps 
for lumens, watts input, and CRI. The CRI shall be represented as the 
average of a minimum sample of 21 lamps and shall be no greater than 
the lower of the mean of the sample or the lower 95-percent confidence 
limit of the true mean (XL) divided by 0.97, i.e.,
[GRAPHIC] [TIFF OMITTED] TR29MY97.002

where:

    x=the mean color rendering index of the sample
    s=the sample standard deviation
    t0.95=the t statistic for a 95-percent confidence limit 
for n-1 degrees of freedom (from statistical tables)
    n=sample size

    7. Section 430.25 is revised to read as follows:


Sec. 430.25  Laboratory Accreditation Program.

    The testing for general service fluorescent lamps, general service 
incandescent lamps, incandescent reflector lamps, and medium base 
compact fluorescent lamps, shall be performed in accordance with 
Appendix R to this subpart and shall be conducted by test laboratories 
accredited by the National Voluntary Laboratory Accreditation Program 
(NVLAP) or by an accrediting organization recognized by NVLAP. NVLAP is 
a program of the National Institute of Standards and Technology, U. S. 
Department of Commerce. NVLAP standards for accreditation of 
laboratories that test for compliance with standards for lamp efficacy 
and CRI are given in 15 CFR part 285 as supplemented by NVLAP Handbook 
150-01, ``Energy Efficient Lighting Products, Lamps and Luminaires.'' A 
manufacturer's or importer's own laboratory, if accredited, may conduct 
the applicable testing.
    8. Sections 430.62(b) and (c) are revised to read as follows:


Sec. 430.62   Submission of data.

* * * * *
    (b) Initial reporting requirements. (1) Except as provided in 
paragraph (b)(2) of this section, all data required by paragraph (a) of 
this section shall be submitted on or before the effective date of the 
applicable energy conservation standard as prescribed in section 325 of 
the Act. For each basic model of a covered product to be distributed in 
commerce, each manufacturer and private labeler, or a representative of 
each manufacturer and private labeler, shall file a compliance 
statement and certification report, by certified mail, to Department of 
Energy, Office of Energy Efficiency and Renewable Energy, Office of 
Codes and Standards, Forrestal Building, 1000 Independence Avenue, SW, 
Washington, DC 20585-0121.
    (2) Manufacturers of a basic model of a covered general service 
fluorescent lamp or incandescent reflector lamp shall file a compliance 
and certification report to DOE within 6 months from May 29, 1997.
    (c) New models. (1) Except as provided in paragraph (c)(2) of this 
section, all information required by paragraph (a)(2) of this section 
shall be submitted for each new model prior to or concurrent with any 
distribution of such model. Any change to a basic model that affects 
energy consumption may constitute the addition of a new basic model 
subject to the requirements of Sec. 430.61 of this part. If such change 
does not alter compliance with the applicable energy conservation 
standard for the basic model, the new model shall be considered 
certified without additional testing. In all cases, the information on 
the new model required by paragraph (a)(2) of this section shall be 
submitted, by certified mail, to: Department of Energy, Office of 
Energy Efficiency and Renewable Energy, Office of Codes and Standards, 
Forrestal Building, 1000 Independence Avenue, SW, Washington, DC 20585-
0121. If a manufacturer discontinues a model, the manufacturer shall 
report such discontinuation by certified mail to the Department of 
Energy.
    (2) Prior to or concurrent with the distribution of a new model of 
general service fluorescent lamp or an incandescent reflector lamp, a 
manufacturer shall submit a statement signed by a company official 
stating how the manufacturer determined that the lamp meets or exceeds 
the energy conservation standards, including a description of any 
testing or analysis the manufacturer performed. This statement shall 
also list the model number or descriptor, lamp wattage and date of 
commencement of manufacture. Manufacturers of general service 
fluorescent lamps and incandescent reflector lamps shall submit the 
information required by paragraph (a)(2) of this section within one 
year after the date manufacture of that new model commences.
* * * * *
    9. Appendix R to Subpart B of Part 430--Uniform Test Method for 
Measuring Average Lamp Efficacy (LE) and Color Rendering Index (CRI) 
of Electric Lamps is revised to read as follows:
    1. Scope: This appendix applies to the measurement of lamp 
lumens, electrical characteristics and CRI for general service 
fluorescent lamps, and to the measurement of lamp lumens and 
electrical characteristics for general service incandescent lamps, 
incandescent reflector lamps and medium base compact fluorescent 
lamps.
    2. Definitions

2.1  To the extent that definitions in the IESNA and CIE standards 
do not conflict with the DOE definitions, the definitions specified 
in Sec. 1.2 of IESNA LM-9, Sec. 3.0 of IESNA LM-20, Sec. 2 of IESNA 
LM-45, Sec. 2 of IESNA LM-58, Sec. 1.2 of IESNA LM-66 and Sec. IV of 
CIE Publication No. 13.2 shall be included.
2.2  ANSI Standard means a standard developed by a committee 
accredited by the American National Standards Institute (ANSI).
2.3  CIE means the International Commission on Illumination.
2.4  CRI means Color Rendering Index as defined in Sec. 430.2.
2.5  IESNA means the Illuminating Engineering Society of North 
America.
2.6  Lamp efficacy means the ratio of measured lamp lumen output in 
lumens to the measured lamp electrical power input in watts, rounded 
to the nearest whole number, in units of lumens per watt.
2.7  Lamp lumen output means the total luminous flux produced by the 
lamp, at the reference condition, in units of lumens.
2.8  Lamp electrical power input means the total electrical power 
input to the lamp, including both arc and cathode power where 
appropriate, at the reference condition, in units of watts.
2.9  Reference condition means the test condition specified in IESNA 
LM-9 for general service fluorescent lamps, in IESNA LM-20 for 
incandescent reflector lamps, in IESNA LM-45 for general service 
incandescent lamps and in IESNA LM-66 for medium base compact 
fluorescent lamps (see 10 CFR 430.22).


[[Page 29241]]


    3. Test Conditions

3.1  General Service Fluorescent Lamps: For general service 
fluorescent lamps, the ambient conditions of the test and the 
electrical circuits, reference ballasts, stabilization requirements, 
instruments, detectors, and photometric test procedure and test 
report shall be as described in the relevant sections of IESNA LM-9 
(see 10 CFR 430.22).
3.2  General Service Incandescent Lamps: For general service 
incandescent lamps, the selection and seasoning (initial burn-in) of 
the test lamps, the equipment and instrumentation, and the test 
conditions shall be as described in IESNA LM-45 (see 10 CFR 430.22).
3.3  Incandescent Reflector Lamps: For incandescent reflector lamps, 
the selection and seasoning (initial burn-in) of the test lamps, the 
equipment and instrumentation, and the test conditions shall conform 
to sections 4.2 and 5.0 of IESNA LM-20 (see 10 CFR 430.22).
3.4  Medium Base Compact Fluorescent Lamps: For medium base compact 
fluorescent lamps, the selection, seasoning and stabilization of the 
test lamps, and the test conditions, shall be as described in 
Sections 1, 2, 3, and 7 of IESNA LM-66 (see 10 CFR 430.22).

    4. Test Methods and Measurements

    All lumen measurements made with instruments calibrated to the 
devalued NIST lumen after January 1, 1996, shall be multiplied by 
1.011.

4.1  General Service Fluorescent Lamps
4.1.1  The measurement procedure shall be as described in IESNA LM-
9, except that lamps shall be operated at the appropriate voltage 
and current conditions as described in ANSI C78.375 and in ANSI 
C78.1, C78.2 or C78.3, and lamps shall be operated using the 
appropriate reference ballast as described in ANSI C82.3 (see 10 CFR 
430.22).
4.1.2  Lamp lumen output (lumens) and lamp electrical power input 
(watts), at the reference condition, shall be measured and recorded. 
Lamp efficacy shall be determined by computing the ratio of the 
measured lamp lumen output and lamp electrical power input at 
equilibrium for the reference condition.
4.2  General Service Incandescent Lamps
4.2.1  The measurement procedure shall be as described in IESNA LM-
45 (see 10 CFR 430.22). Lamps shall be operated at the rated voltage 
as defined in Sec. 430.2.
4.2.2  The test procedure shall conform with section 7 of IESNA LM-
45 and the lumen output of the lamp shall be determined in 
accordance with Sections 4.2a or 4.2b of IESNA LM-45 at the 
reference condition. Lamp electrical power input in watts shall be 
measured and recorded. Lamp efficacy shall be determined by 
computing the ratio of the measured lamp lumen output and lamp 
electrical power input at equilibrium for the reference condition. 
The test report shall conform to Sec. 8 of IESNA LM-45 (see 10 CFR 
Sec. 430.22).
4.3  Incandescent Reflector Lamps
4.3.1  The measurement procedure shall be as described in IESNA LM-
20 (see 10 CFR 430.22). Lamps shall be operated at the rated voltage 
as defined in Sec. 430.2.
4.3.2.  Lamp lumen output shall be determined as total forward 
lumens, and may be measured in an integrating sphere at the 
reference condition in accordance with Sec. 7.2 of IESNA LM-20 (see 
10 CFR 430.22) or from an average intensity distribution curve 
measured at the reference condition specified in Sec. 6.0 of IESNA 
LM-20. Lamp electrical power input in watts shall be measured and 
recorded.
4.3.3  Lamp efficacy shall be determined by computing the ratio of 
the measured lamp lumen output and lamp electrical power input at 
equilibrium for the reference condition. The test report shall 
conform to section 10.0 of IES LM-20 (see Sec. 430.22).
4.4  Medium Base Compact Fluorescent Lamps
4.4.1  The measurement procedure shall be as described in IESNA LM-
66 (see 10 CFR 430.22) except that the provisions of IESNA LM-66 
which refer to operation of the lamp using a reference ballast do 
not apply to the testing of integrally ballasted compact fluorescent 
lamps. Lamps shall be operated at 120 V and 60 Hertz. Lamp lumen 
output shall be measured with the integral ballast according to 
section 11.3 of IESNA LM-66. Lamp electrical power input in watts 
shall be measured and recorded.
4.4.2  Lamp efficacy shall be determined by computing the ratio of 
the measured lamp lumen output and lamp electrical power input at 
equilibrium for the reference condition. The test report shall 
conform to section 13 of IESNA LM-66 (see 10 CFR 430.22).
4.5  Determination of Color Rendering Index
4.5.1  The CRI shall be determined in accordance with the method 
specified in CIE Publication 13.2 for general service fluorescent 
lamps. The required spectroradiometric measurement and 
characterization shall be conducted in accordance with the methods 
given in IESNA LM-58 and IESNA LM-16 (see 10 CFR 430.22).
4.5.2  The test report shall include a description of the test 
conditions, equipment, measured lamps, spectroradiometric 
measurement results and CRI determination.

[FR Doc. 97-13793 Filed 5-28-97; 8:45 am]
BILLING CODE 6450-01-P