[Federal Register Volume 59, Number 92 (Friday, May 13, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11234]
[[Page Unknown]]
[Federal Register: May 13, 1994]
_______________________________________________________________________
Part III
Federal Trade Commission
_______________________________________________________________________
16 CFR Part 305
Rules Concerning Disclosures of Information About Energy Consumption
and Water Use for Certain Home Appliances and Other Products Required
Under the Energy Policy and Conservation Act; Final Rule
FEDERAL TRADE COMMISSION
16 CFR Part 305
RIN 3084-AA26
Rules Concerning Disclosures of Information About Energy
Consumption and Water Use for Certain Home Appliances and Other
Products Required Under the Energy Policy and Conservation Act
AGENCY: Federal Trade Commission.
ACTION: Final rule.
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SUMMARY: The Federal Trade Commission (``Commission'') issues final
rules that add general service fluorescent lamps, medium base
(integrally ballasted) compact fluorescent lamps, and general service
incandescent lamps (both reflector and nonreflector) to the list of
products subject to provisions of the above referenced rule, commonly
referred to as the Appliance Labeling Rule (``Rule''). Lamps often are
referred to as ``light bulbs'' or ``electric lights.'' This action is
taken pursuant to the Energy Policy Act of 1992 (``EPA 92''), which
directed the Commission to prescribe, by April 25, 1994, rules
requiring such lamp products to be labeled with disclosures that will
enable purchasers to select the most energy efficient lamps that meet
their requirements. At the same time, the Commission temporarily stays
Sec. 305.8(a)(3) of the Rule, which requires manufacturers to file
annual reports, until the U.S. Department of Energy adopts test
procedures for lamps under EPA 92. The Commission also exempts from the
requirements of Secs. 305.11(e) and 305.14(d) of the Rule, which
require disclosures on labels and in catalogs, those lamp products that
will be eliminated from the market as of October 31, 1995, by minimum
efficiency standards specified in EPA 92.
EFFECTIVE DATE: May 15, 1995.
FOR FURTHER INFORMATION CONTACT: Kent C. Howerton, James G. Mills, or
Terrence J. Boyle, Attorneys, Federal Trade Commission, Bureau of
Consumer Protection, Division of Enforcement, Room S-4631, 601
Pennsylvania Ave., NW., Washington, DC 20580, telephone numbers 202-
326-3013, 202-326-3035, and 202-326-3016, respectively.
SUPPLEMENTARY INFORMATION:
I. Introduction
EPA 92\1\ amends in several respects the Energy Policy and
Conservation Act of 1975 (``EPCA''), which requires the Commission to
prescribe labeling rules for certain major household appliances and
other products.\2\ The EPA 92 amendments to EPCA direct the Commission,
within 18 months of the statute's enactment, to prescribe rules
requiring that certain types of lamp products be labeled with ``such
information as the Commission deems necessary to enable consumers to
select the most energy efficient lamps which meet their
requirements.''\3\ Pursuant to this statutory directive, the Commission
published a Notice of Proposed Rulemaking (``NPR'') on November 15,
1993, soliciting written public comments on proposed amendments to the
Appliance Labeling Rule (``Rule''), 16 CFR part 305 (1993), to include
these categories of lamp products.\4\ The Commission also conducted a
Public Workshop-Conference (``Workshop'') on January 19, 1994, to
discuss the proposed amendments, and accepted supplemental written
comments from the Workshop participants following the completion of the
Workshop.
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\1\Public Law 102-486, 106 Stat. 2776, 2817-2832 (Oct. 24, 1992)
(codified in 42 U.S.C. 6201, 6291-6309).
\2\42 U.S.C. 6291 et seq. EPCA also has been amended by the
National Energy Conservation Policy Act of 1978 (``NECPA''), Public
Law 95-619, 92 Stat. 3258 (1978); the National Appliance Energy
Conservation Act of 1987 (``NAECA 87''), Public Law 100-12, 101
Stat. 103 (1987); and the National Appliance Energy Conservation
Amendments of 1988 (``NAECA 88''), Public Law 100-357, 102 Stat. 671
(1988).
\3\42 U.S.C.A. 6294(a)(2)(C)(i) (West Supp. 1993). Pursuant to
other EPA 92 amendments to EPCA, the Commission also amended the
Rule to require the disclosure of water usage rates for certain
plumbing products. 58 FR 54955 (1993).
\4\58 FR 60147 (1993).
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After evaluating the written comments, the transcript of the
Workshop, and the supplemental comments, the Commission is amending the
rule to impose labeling and other disclosure requirements for the lamp
products referenced in EPA 92. The amendments are discussed in detail
in part IV, below. The amendments appear in ``Text of Amendments,''
below. The Commission also has determined that the final rules
announced today overlap certain provisions of the Commission's pre-
existing Light Bulb Rule pertaining to the required disclosure format
for wattage, light output, and laboratory life ratings and to the
voltage level at which those ratings are to be tested.\5\ Following
this proceeding, the Commission will consider whether any additional
action is necessary concerning the Light Bulb Rule.
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\5\Prior to EPA 92, the Commission issued a rule, known as the
``Light Bulb Rule,'' governing the most common types of incandescent
lamps. Trade Regulation Rule for the Incandescent Lamp (Light Bulb)
Industry, 16 CFR part 409 (1993); see 35 FR 11784 (1970). The
labeling rules announced in this notice duplicate certain
disclosures required by the Light Bulb Rule.
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II. Background
A. Overview of the Appliance Labeling Rule
EPCA, enacted in 1975, is generally designed to promote improved
energy efficiency of consumer products. 42 U.S.C. 6201 (1988). As
amended by EPA 92, it establishes energy consumption standards or water
use standards for certain categories of major home appliances and other
products, 42 U.S.C.A. 6295 (West Supp. 1993), and directs the U.S.
Department of Energy (``DOE'') to prescribe test procedures to measure
the energy consumption or water use of those products. 42 U.S.C.A. 6293
(West Supp. 1993). EPCA also directs the Commission to prescribe, or in
some cases to consider prescribing, rules requiring appliances and
other products to be labeled with disclosures of estimated annual
energy cost, another useful measure of energy usage or efficiency, or
of water use rates. 42 U.S.C.A. 6294 (West Supp. 1993).
Following enactment of EPCA in 1975, the Commission adopted the
Appliance Labeling Rule.\6\ The Rule requires that certain major home
appliances, including furnaces, refrigerators and air conditioners, be
labeled with EnergyGuides.\7\ In addition, the Rule requires
fluorescent lamp ballasts to be labeled or marked with the symbol ``E''
enclosed in a circle, to denote that the ballast meets an energy
efficiency standard established under EPCA.\8\ The Rule, as recently
amended, also requires showerheads, faucets, water closets and urinals
to be marked permanently and/or labeled with certain disclosures about
their water use.\9\
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\6\44 FR 66466 (1979). The Commission has amended the Rule on
several occasions to add labeling requirements for additional
product categories. 52 FR 46888 (1987) (adding a new product
category of central air conditioners and heat pumps and two
additional subcategories of furnaces, pulse combustion furnaces and
condensing furnaces); 54 FR 28031 (1989) (adding a new product
category of fluorescent lamp ballasts); and 58 FR 54955 (1993)
(adding new product categories of showerheads, faucets, water
closets and urinals).
\7\For example, labels for refrigerators, refrigerator-freezers,
freezers, clothes washers, dishwashers, and water heaters must
disclose the estimated annual operating cost (e.g., ``$240.00''). 16
CFR 305.11(a)(5)(i)(E). Labels for room air conditioners, central
air conditioners, heat pumps, and fact sheets for furnaces, by
contrast, must disclose the energy efficiency rating (e.g., ``10.5''
for a central air conditioner or ``96.5'' for a furnace). 16 CFR
305.11(a)(5)(i)(E), 305.11(a)(5)(iii)(C), 305.11(b)(3)(v). In two
separate proceedings, the Commission is considering proposals to
amend the current disclosure requirements for refrigerators,
refrigerator-freezers, freezers, clothes washers, dishwashers, water
heaters and room air conditioners, 53 FR 22106 (1988) and 58 FR
12818 (1993), and to issue labeling rules for pool heaters,
instantaneous water heaters, and heat pump water heaters, 58 FR 7852
(1993).
\8\16 CFR 305.11(d). A fluorescent lamp ballast is a device that
is used to start and operate fluorescent lamps by providing a
starting voltage and current and limiting the current during normal
operations. 16 CFR 305.3(j).
\9\58 FR at 54965-66; to be codified at 16 CFR 305.11(e).
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Except for fluorescent lamp ballasts, the Rule requires catalogs
and point-of-sale promotional materials for products covered by the
Rule to contain disclosures of required energy consumption and
efficiency information or water use information.\10\ Further, the Rule
requires, for furnaces, disclosure of energy usage information on fact
sheets, 16 CFR 305.11(b), and, for central air conditioners and heat
pumps, similar disclosures on fact sheets or in industry directories,
16 CFR 305.11(c). For fluorescent lamp ballasts, the Rule requires
catalogs and point-of-sale promotional materials to contain the same
symbol that is required on labels. 16 CFR 305.13(c), 305.14(c).
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\10\58 FR at 54964; to be codified at 16 CFR 305.13(a), .14(a)-
(b), (d).
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EPCA authorizes the Commission to assess monetary civil penalties
for violations of the Rule. 42 U.S.C. 6303(a), (d) (1988). The Rule
provides that manufacturers or private labelers who knowingly
distribute products covered by the Rule that are not properly labeled
are subject to a penalty of not more than $100 for each unit. 16 CFR
305.4(a)(1). Manufacturers, distributors, or retailers who knowingly
remove or make illegible a required label similarly are subject to a
penalty of not more than $100 for each unit. 16 CFR 305.4(a)(2).
Manufacturers or private labelers who fail to include required
disclosures in their catalog advertising are subject to a penalty of
not more than $100 per day. 16 CFR 305.4(b)(5). Manufacturers or
private labelers who fail to keep records or provide reports or product
samples as specified by the Rule also are subject to a penalty of not
more than $100 per day. 16 CFR 305.4(b)(2). EPCA also grants to the
U.S. District Courts authority to issue injunctions against such
violations. 42 U.S.C. 6304 (1988).
B. Lamp Labeling Amendments to Appliance Labeling Rule Required by EPA
92 Amendments to EPCA
The EPA 92 amendments to EPCA require that the Commission issue
labeling rules no later than April 25, 1994, for ``general service
fluorescent lamps,'' ``medium base compact fluorescent lamps,'' and
``general service incandescent lamps,'' as those terms are defined in
EPCA. 42 U.S.C.A. 6294(a)(2)(C)(i) (West Supp. 1993). These are the
lamps used in the majority of household and commercial settings. See
Part IV.A.1.-3, below. The lamp labeling rules must require conspicuous
disclosure on the packaging of the lamp of ``such information as the
Commission deems necessary to enable consumers to select the most
energy efficient lamps which meet their requirements.'' Id. The rules
must apply to lamp products manufactured after the twelve month period
beginning on the date of publication of the rule. Id. The Commission
also is requiring disclosures in catalogs from which these lamp
products can be ordered.
C. Requirements of Light Bulb Rule
The Light Bulb Rule covers, with some exceptions, the category of
general service incandescent (nonreflector) lamps.\11\ It does not
cover general service fluorescent lamps, medium base compact
fluorescent lamps, or general service incandescent reflector lamps. The
EPA 92 amendments require the Commission to issue labeling rules for
all of these lamps.\12\
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\11\16 CFR 409.1 n. 3.
\12\Thus, today's amendments apply to: (1) General service
incandescent (reflector and nonreflector) lamps; (2) medium base
(integrally ballasted) compact fluorescent lamps; and (3) general
service fluorescent lamps.
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The Light Bulb Rule requires that package containers disclose
clearly and conspicuously the enclosed bulb's electrical energy
consumption expressed in average initial wattage, light output
expressed in average initial lumens, and average laboratory life
expressed in hours.\13\ It specifies placement and size of the
disclosures on packages.\14\ It also requires that the disclosures of
the bulb's wattage, light output, and laboratory life be made in
accordance with the requirements of a specific federal purchase
specification, and that the disclosures be based upon ``generally
accepted and approved test methods and procedures.''\15\ Finally, the
Light Bulb Rule prohibits specific claims for these lamp products
unless certain conditions are met.\16\
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\13\16 CFR at 409.1(a). If lamps are sold without sleeves or
packaging, or are sold in universal or interchangeable sleeves or
packaging without the information listed above, then all these
disclosures must appear clearly and conspicuously on the lamps
themselves. Id. at 409.1(a)-(b).
\14\Id. at 409.1 n. 4.
\15\Id. at 409.1 n. 1. For multiple filament (``three-way'')
lamps, it requires that wattage and lumen ratings be disclosed for
operation at each level, and that the life rating be based on the
life of the first filament that fails. Because the federal purchase
specification cited in the Light Bulb Rule does not cover multiple
filament lamps, that Rule allows industry members to substantiate
wattage, light output, and laboratory life ratings using tests that
are based upon generally accepted and approved test methods. It
requires disclosure of the specific method used to determine the
life rating, for example, that the lamp is burned on all three
positions equally or that it is based on the life of the major
filament (medium light level) of the lamp. Id.
\16\Id. at 409.1(c)-(d). For example, Sec. 409.1(c) prohibits
representations that savings either in lamp cost or cost of light
will result from the use of certain lamps because of the lamps' life
or light output unless specific factors are taken into account and
clearly and conspicuously disclosed.
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The Light Bulb Rule remains effective notwithstanding the labeling
rules for lamp products that the Commission now adopts. The Commission
does, however, note two provisions of the Light Bulb Rule that are
different from the lamp labeling rules. The first concerns the format
requirements for disclosing the design wattage, light output and
laboratory life ratings of general service incandescent nonreflector
lamps. The second provision concerns the Light Bulb Rule's requirement
that the testing for, and required disclosures of, wattage, light
output and laboratory life ratings of general service nonreflector
lamps be at the lamp's design voltage. The rules announced today also
prescribe that these required ratings disclosures must be made in a
specified manner and must be based on testing at 120 volts, regardless
of the design voltage. Manufacturers are permitted to provide these
ratings based on the design voltage. Because these different rule
provisions are not contradictory, manufacturers will be able to comply
with both without incurring significant additional costs.\17\ Following
this proceeding, the Commission will decide what further action, if
any, it should take concerning the Light Bulb Rule.
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\17\The requirement to provide disclosures at 120 volts on lamps
that have a different design voltage affects a very small segment of
the market. Further, those manufacturers who make 125 or 130 volt
lamps have a market incentive to provide the ratings at their design
voltages whether or not it is required. Furthermore, the various
size specifications set by the Light Bulb Rule only prescribe
minimum sizes for these rating disclosures, which prevents the
disclosures specified by today's rules from becoming too small.
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D. Procedures Used in Rulemaking Proceeding
In the NPR, the Commission invited interested persons to submit by
December 30, 1993, written comments on any issue of fact, law or policy
that might have bearing upon the proposed lamp labeling rules. The
Commission also announced in the NPR that the Commission's staff would
conduct a Workshop, with the assistance of a neutral, third-party
facilitator, to afford Commission staff and interested parties an
opportunity to discuss issues raised in the rulemaking proceeding,
particularly areas of significant controversy or divergent opinions
that were raised in the written comments. The Commission announced that
the discussion during the Workshop would be transcribed and the
transcription would be placed on the public record. The NPR directed
persons interested in participating in the Workshop to notify the
Commission staff by December 15, 1993.18
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\1\858 FR at 60163.
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The Workshop was to focus primarily on considering what information
might be ``necessary to enable purchasers to select the most energy
efficient lamps which meet their requirements,'' where the disclosures
should be made, and the manner and layout for making the disclosures.
Participants in the Workshop also were to be afforded an opportunity to
address additional issues raised in the proceeding. The Workshop,
however, was not intended to achieve a consensus among participants or
between participants and Commission staff with respect to any issue
raised in the rulemaking proceeding. The Workshop instead was intended
to elicit information on the basis of which the Commission could
determine how to design the lamp labeling rules.
The Workshop took place at the Federal Trade Commission,
Pennsylvania Avenue and Sixth Street, NW., Washington, DC, on January
19, 1994. With the following exceptions, the proceeding was conducted
as explained in the NPR. First, because of the limited number of
parties who requested to participate in the Workshop, all parties who
timely submitted requests to participate, and timely filed written
comments, were selected. Second, the Commission allowed any interested
party who attended the Workshop to make limited oral presentations.
Third, in response to a petition from the National Electrical
Manufacturers' Association (``NEMA''),19 the Commission extended
the deadline for participants and others who made oral presentations
during the Workshop to submit supplemental written comments from 24
hours to one week following the close of the Workshop.20
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\1\9Petition dated December 15, 1993, from Mark L. Perlis,
Dickstein, Shapiro & Morin, counsel for NEMA.
\2\0Order dated Dec. 21, 1993, of Lewis R. Parker, Chief Judge,
FTC. See 58 FR at 60164.
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E. Identification of Parties Who Filed Written Comments
The Commission received comments responding to the NPR from
industry members, trade associations, energy and environmental interest
groups, federal and state agencies, utility companies, testing
laboratories, private standards-setting organizations, universities and
other interested parties. The following parties filed written
comments:21 (1) Angelo Brothers Company (``Angelo'') (G-1); (2)
American Council for an Energy-Efficient Economy (``ACEEE'') (GG-1);
(3) Inchcape Testing Services, ETL Testing Laboratories, Inc. (``ETL'')
(GG-2); (4) General Electric Company (``GE'') (G-2); (5) Henry
Gluckstern, Esq. (``Gluckstern'') (GG-3); (6) Green Seal (``Green
Seal'') (GG-4); (7) The Home Depot (``Home Depot'') (GG-5); (8)
Illuminating Engineering Society of North America (``IES'') (GG-6); (9)
Lawrence Berkeley Laboratory (``LBL''), University of California (GG-
7); (10) Massachusetts Office of the Attorney General (``MA AG'') (GG-
8); (11) Minnesota Department of Public Service (``MN DPS'') (GG-9);
(12) Missouri Department of Natural Resources (``MO DNR'') (GG-10);
(13) Dickstein, Shapiro & Morin, on behalf of National Electrical
Manufacturers Association (``NEMA'') (G-3); (14) New England Power
Service (``NEPS'') (GG-11); (15) Northwest Real Group (``NW REAL''), on
behalf of Eugene Water and Electric Board, Grays Harbor Public Utility
District, Idaho Department of Water Resources (Energy Division), Idaho
Power Company, NW Power Planning Council, Oregon Public Utility
Commission, PacifiCorp, Public Power Council, Puget Sound Power and
Light Company, Salem Electric, Seattle City Light, and Snohomish County
Public Utility District # 1 (GG-12); (16) Oregon Department of Energy
(``OR DOE'') (GG-13); (17) Oregon State University (``ORSU'') (GG-14);
(18) Osram Sylvania, Inc. (``Osram'') (G-4); (19) Philips Lighting
Company (``Philips'') (G-5); (20) Lighting Research Center (``LRC''),
Rensselaer Polytechnic Institute (GG-15); (21) Scientific Certification
Systems, Inc. (``SCS'') (GG-16); (22) Supreme Corporation (``Supreme'')
(G-6); (23) U.S. Environmental Protection Agency (``US EPA'') (GG-17);
(24) Washington State Energy Office (``WA SEO'') (GG-18); (25) Hubbell/
Lighting Division (``Hubbell'') (GG-19); (26) Scientific Certification
Systems, Inc. (``SCS'') (GG-20) (revised version of GG-16); (27)
Matsushita Electric Corporation of America (``Panasonic'') (G-7).
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\2\1All public documents are filed in the Commission's File No.
R611004. Staff submissions for the public record are filed in
category ``C. Miscellaneous Staff Materials Assembled After NPR
Filed.'' Industry comments are filed in category ``G. Lamp Products
Proceeding--Industry Comments.'' Other comments are filed in
category ``GG. Lamp Products Proceeding--Comments from Other
Sources.'' Documents are numbered sequentially, such as Document No.
G-1, Document No. G-2. In this notice, comments are cited by an
identification of the commentor, the comment number and the relevant
page number(s), e.g., ``Angelo, G-1, 1-3.'' Supplemental comments
are designated in addition as: ``(Supp.).'' The Workshop transcript
is filed in category ``L. Transcripts of Public Hearings.''
Discussion by more than one party in the transcript is cited by a
reference to the transcript and the relevant page number(s), e.g.,
``Tr., 15-20.'' Discussion by one party in the transcript is cited
by an identification of the party, a reference to the transcript and
the relevant page number(s), e.g., ``Osram (Tr.), 80-81.'' Although
the following comments were submitted shortly after the initial or
supplemental written comment due dates, the Commission has placed
them on the public record and considered them as part of the
rulemaking record of this proceeding: Panasonic, G-7; Hubbell, GG-
19; SCI, GG-20; and MA AG (Supp.), GG-23. One supplemental comment,
NEMA, G-17, was received on March 4. This comment has been placed on
the public record of this proceeding, but is not included as part of
the rulemaking record.
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Philips (G-14), Osram (G-15), and GE (G-16) also filed written
comments in response to the separate notice published by the Commission
concerning its request to OMB for approval of the collection of
information burden hours imposed by the proposed lamp labeling rules
under the Paperwork Reduction Act (``PRA'').22
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\2\258 FR 60652 (1993).
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F. Identification of Parties Who Participated in Workshop and Those Who
Filed Supplemental Written Comments
The following parties were selected as participants and attended
the Workshop:
(1) Steven Nadel, Deputy Director, ACEEE. ACEEE is a nonprofit
research organization that seeks to promote energy efficiency.
(2) Barton Pasternak, Vice President of Corporate Development,
Angelo. Angelo Brothers Company is the largest non-manufacturing seller
and distributor of incandescent light bulbs in the United States.
(3) W. Scott Seeley, Counsel, Gail Cohen, Product Manager for
incandescent and three-way lamps, Russ Churchill, Manager, GE Lighting
Institute, GE. GE is a full-line manufacturer of lamps.
(4) Arthur Weissman, Vice President of Standards and Planning,
Green Seal. Green Seal is a nonprofit environmental organization
involved in labeling and standards-setting. Green Seal recently issued
a standard for compact fluorescent lamps, and has certified several
products under that standard.
(5) Mark Eisen, Manager of Environmental Marketing, Home Depot.
Home Depot is a home center retailer.
(6) Rita Harrold, Director of Educational and Technical
Development, and Ed Robinson, Regional Vice President, IES. IES
disseminates information on the art and science of illumination,
through publications and educational programs.
(7) Barbara Atkinson, LBL. LBL operates an energy analysis program
that provides assistance to the U.S. Department of Energy about federal
policy options and the Energy Policy Act. LBL also conducts research on
lighting technologies.
(8) Bill McAvoy, Assistant Attorney General, MA AG. MA AG works
with utilities such as New England Power regarding conservation
programs.
(9) Mark Perlis, Counsel, NEMA. NEMA is a trade association that
includes manufacturers of lamp products.
(10) Meredith Miller, NEPS. NEPS is a service company for three
retail electric power companies in New England, Rhode Island, and
Massachusetts, and New Hampshire. NEPS provides incentives to
residential customers to encourage compact fluorescent lamp purchases.
(11) Peter Bleasby, Director of Industry Relations and Standards,
Osram. Osram manufactures most types of lamp products.
(12) Al Rousseau, Manager of Technical Relations, Philips. Philips
manufactures most types of lamp products.
(13) Bob Davis, Research Assistant Professor, LRC. LRC conducts an
efficient lighting research and development program.
(14) Bruce Siegal, President, Supreme. Supreme is a small family-
owned lamp manufacturer, specializing in the manufacture of long-life
lamps specifically designed for vibration service and rough surface
applications.
(15) William VonNeida, US EPA. US EPA conducts a ``Green Lights''
program as its flagship voluntary pollution prevention program to
reduce greenhouse gas emissions. In the program, US EPA encourages
businesses, government, and other organizations to use energy-efficient
lighting.
In addition to the participants listed above, Larry Galowin,
Laboratory Accreditation Program, National Voluntary Laboratory
Accreditation Program, National Institute of Standards and Technology
(``NIST''), U.S. Department of Commerce, also attended and made oral
presentations during the Workshop.
The following parties who made oral presentations during the
Workshop also filed supplemental written comments after the Workshop:
ACEEE (GG-21); Angelo (G-8); GE (G-9); LBL (GG-22); NEMA (G-10); Osram
(G-11); Philips (G-12); Supreme (G-13); MA AG (GG-24); and NIST (GG-
23).
III. Disclosures and Other Requirements Proposed in NPR
In informal communications with the Commission's staff during the
period after EPA 92 was enacted and before the Commission published the
NPR, representatives of several industry members and environmental
interest groups suggested various labeling requirements for lamps. Two
of the more specific suggestions were described in the NPR, along with
the Commission's proposals.23
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\2\358 FR at 60152-60.
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A. NEMA's Proposals
NEMA suggested that the Commission adopt particularized disclosure
requirements for different types of lamp products.24 For general
service fluorescent lamps and incandescent reflector lamps, for which
EPCA establishes energy conservation standards, NEMA suggested
disclosure only of the encircled capital letter ``E,'' similar to the
current requirement for fluorescent lamp ballasts.25 This symbol
would designate that the product meets the established energy
conservation standards. In support of this proposal, NEMA stated that
the performance of all the interchangeable general service fluorescent
lamps that will remain on the market after the energy conservation
standards established by EPA 92 become effective26 will vary only
slightly.
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\2\4NEMA, C-41, C-42.
\2\5See Part II.A, above.
\2\6The effective dates are April 30, 1995, for some lamp
products, and October 31, 1995 for other lamp products. 42 U.S.C.A.
6295(i)(1) (West Supp. 1993).
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NEMA suggested that the designation be indicated in the
manufacturer's catalogs and other printed material, and that the
encircled ``E'' be etched on the product itself, no smaller than the
lamp designation information for wattage. NEMA suggested that, if the
Commission cannot require etching on the product, it should require
that the packing carton containing one or more lamps be marked with the
encircled ``E,'' in color contrasting ink and no smaller than the
manufacturer's name or logo.
For general service incandescent lamps (other than reflector lamps)
and medium base compact fluorescent lamps, NEMA suggested that ``light
output'' (in lumens), watts, life, design volts, and bulb quantity
contents (i.e., number of bulbs in the package) be disclosed according
to specified format requirements on at least one panel of the outer
sleeve of the package. One or more of these items also could be
disclosed on the remaining panels. For general service incandescent
lamps (other than reflector lamps), the term ``lumens,'' in the
specified format, would follow beside or below the numerical value for
light output. For medium base compact fluorescent lamps, the term
``lumens (base-up)'' would be used instead of ``lumens.''27
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\2\7See note 136, below.
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NEMA also suggested that the labeling rules require an ``energy
efficiency index'' (consisting of ``lumens per watt,'' rounded to the
next highest number, and ``yearly energy cost'' of operating the lamp)
on packages of general service incandescent lamps (other than reflector
lamps) and medium base compact fluorescent lamps.28 The energy
efficiency index would include the disclosure: ``Lumens per watt.'' The
yearly energy cost would include the disclosure: ``At 4 hours per day
at $.10 per kilowatt-hour.''
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\2\8The ``energy efficiency index'' would be a square, at least
one inch by one inch, divided in the middle by a horizontal line.
The lumens per watt would appear in the top portion of the square,
and the yearly energy cost in the bottom. The letters and numbers
would be printed in black (or whatever dark color is used in
creating the Universal Product Code symbol). See Illustration 1, 58
FR at 60153.
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NEMA further suggested that, if the manufacturer elects to place
the energy efficiency label on a panel other than the primary display
panel of the package, it should be required to provide an additional
``energy flag'' on the primary display panel. The energy flag would
include only the ``energy index'' value (i.e., lumens per watt).29
The designation ``Energy Index'' would be printed with the energy index
value inside the flag, and a reference to ``See package back'' would be
printed immediately below the flag.
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\2\9The ``energy flag'' would be a right triangle one inch in
height and resting on a perpendicular side one and one-half inches
in length. See Illustration 2, 58 FR at 60154.
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NEMA also suggested that the Commission require that manufacturers
of all lamp products covered by the labeling rules include on the outer
(packing) cases in which the lamps are shipped a label or pre-printed
message stating: ``Product herein tested and labeled in compliance with
the Energy Policy Act of 1992'' or, alternatively, with an approved
symbol. NEMA suggested that the advisory statement be integrated with
or be placed adjacent to the usual case contents label and included
format recommendations.
B. ACEEE's Proposals
ACEEE also submitted specific labeling suggestions for discussion
purposes.30 ACEEE stated that because purchase patterns vary for
residential and commercial purchasers, different labeling approaches
would probably be warranted. It pointed out that commercial purchasers
generally have a greater technical understanding about lamp products,
whereas residential purchasers generally know very little about
lighting and need information that is non-technical and easily
understood. It also noted that residential purchases generally are made
through grocery, hardware, and other retail outlets, where products in
boxes or other packaging are selected by the purchaser off the shelf in
small quantities. ACEEE stated that, in contrast, commercial purchasers
generally order medium to large quantities of lamps from lighting
distributors, using information in catalogs and sales brochures, as
well as information provided orally by sales personnel. These
commercial purchases often are shipped in case quantities, and printed
packages for individual lamps are rare.
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\3\0ACEEE, C-40.
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ACEEE suggested that two types of information appear on labels for
residential purchasers: annual operating cost and relative light
output. It proposed that relative light output be measured by comparing
the lumen output of a product to a reference lamp, with a reference
lamp defined for each common type and wattage of lamp.31 It also
suggested that annual operating cost include both the purchase cost
(manufacturer's suggested list price prorated for an assumed annual
hours of operation) and annual electricity cost (for average operating
hours and electricity cost).32 ACEEE suggested that use of an
annual operating cost metric would allow purchasers to compare products
with different lives and costs.
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\3\1For example, ACEEE suggested a 60 watt standard incandescent
A-lamp as the reference lamp for a 15 watt compact fluorescent lamp.
The relative light output of the compact fluorescent lamp might be
88%, based on average light output.
\3\2ACEEE, C-40, 3, illustrated this as follows: Assuming 1,000
hours per year of operation and $.08 per kilowatt-hour unit
electricity cost, a 15 watt compact fluorescent lamp (with a $20
list price and 10,000 hour rated life) will have an annual operating
cost of $3.20 ([$20/{10,000 hour life/1,000 hours per year} + [15
watts X 1,000 hours per year/1,000 Wh/kWh X $.08 per kilowatt
hour]). In comparison, a standard 60 watt general service
incandescent A-lamp (with a $1.00 list price and 1,000 hour rated
life) will have an annual operating cost of $5.80.
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ACEEE further stated that a lumens-per-watt disclosure probably
should not be used for residential purchasers. ACEEE maintained that
such a disclosure could encourage residential purchasers to buy higher
wattage lamps that have higher lumens-per-watt ratings, when a lower
wattage lamp with a lower lumens-per-watt rating might provide
sufficient light for their needs and cost less to operate at the lower
wattage. For commercial purchasers, on the other hand, ACEEE suggested
that a lumens-per-watt rating probably would be acceptable because
catalog display space is likely to be very limited and commercial
purchasers are more sophisticated.
ACEEE supported disclosure of relevant information on lamp packages
and other point-of-sale materials that provide information on
particular products, such as fact sheets and special displays for
residential sales. For commercial sales, it suggested requiring the
information in catalogs and other sales materials that provide
information on specific products. Finally, ACEEE recommended that the
Commission specify label content and size, but that the Commission
allow manufacturers to develop their own customized designs, consistent
with Commission specifications.
C. Commission's Proposals
1. Disclosure Requirements
Based on the options discussed in the NPR about the kinds of
information purchasers need to select lamp products and the proposals
suggested by interested parties (as summarized above), the Commission
proposed requiring disclosure of two types of information for lamp
products covered by the labeling rules. One category included basic
performance information (such as light output, which is needed to
select lamp products that meet purchasers' requirements), and the other
category included various supplemental disclosures designed to further
facilitate selection of the most energy efficient lamp. Each category
is discussed below.
a. Basic disclosures. The Commission proposed requiring that lamp
package labels and catalogs conspicuously disclose the following
information: (1) Lumens (whether identified by that term, or another
such as ``brightness'' or ``light output''); (2) watts; (3) design
volts (if other than 120 volts); (4) average life (in hours); and (5)
number of items in the package.33 For multiple filament (``three-
way'') general service incandescent lamps, the Commission proposed
requiring that lumens, watts, and design volts be disclosed for
operation at each level, and that the life rating be based on the life
of the first filament that fails. Finally, the Commission proposed that
the following statement appear on package labels and in catalogs from
which the lamps could be ordered: ``More efficient lamps may have a
higher purchase price, but may cost you less overall.''
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\3\358 FR at 60154-56.
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b. Supplemental disclosures. The Commission proposed requiring, for
all lamps to be covered by the labeling rules, that package labels and
catalogs from which the lamps may be ordered also make a supplemental
disclosure. The Commission proposed two alternatives for primary
consideration: (1) A lumens-per-watt disclosure; or, (2) a disclosure
of the estimated energy cost of the lamp based on a specified unit
energy cost and use period.
The NPR explained that a lumens-per-watt disclosure (i.e., the
``Energy Index'' that had been suggested by NEMA) has the advantage of
simplicity. But, as ACEEE noted, such a disclosure could lead to lumen
over-purchasing because higher wattage bulbs often produce
disproportionately more lumens and thus often have a better energy
index although they use more energy. The Commission stated that this
drawback possibly could be avoided if the Commission required a
disclosure such as: ``Select the light output you require before
comparing the energy index of different bulbs.''
Alternatively, the Commission stated that it might require a
disclosure of the estimated monetary cost of the energy used by the
lamp, based on use for a specified usage period, such as a normal
average life in hours of a lamp or a length of time based on average
usage patterns. The advantage of an operating cost disclosure is that
it would reduce to monetary terms the energy cost of a lamp product. At
the same time, the Commission stated that it would consider carefully
whether such disclosures effectively communicate the extent to which a
higher initial bulb cost can be compensated for by lower operating
costs over the bulb's life.34
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\3\4See notes 106, 108, below.
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The Commission indicated that, although average or estimated usage
patterns (e.g., one year) could be used in a monetary cost of operation
disclosure, there are no established usage patterns and estimated use
will vary depending upon the location of the lamp. In addition, the
Commission noted that it would have to determine what unit cost for
electricity to use. The Commission explained that, to prevent possible
confusion, it might be appropriate to require disclosure of how the
estimated energy cost was determined.35 The Commission recognized,
however, that additional information could unduly complicate the label
and not be useful.
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\3\5Id.
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Because some purchasers may be interested in computing lamp costs
comprehensively, including consideration of the initial purchase price
and replacement cost, the Commission also proposed requiring that
information be provided to purchasers to enable them to determine the
``estimated total operating cost'' of the lamp for a standard time
period. But, recognizing that purchasers desiring such information
would need to make calculations for each bulb they were considering,
the Commission stated that it would consider carefully the extent to
which consumers actually would use the proposed disclosures in making a
purchase decision. The Commission noted that, as a practical matter,
consumers may disregard, or consider too complex, any disclosure
requiring computations of this sort, and that any such required
disclosures, therefore, may not be useful to consumers in their efforts
to choose an energy efficient bulb.
2. Where Disclosures Should Be Made
In the NPR, the Commission explained that residential purchasers
normally buy lamp products through retail outlets, such as hardware,
home center, and grocery stores. Residential purchasers, therefore,
normally have the opportunity to examine lamp product packaging prior
to purchase. The disclosures proposed for packaged product labels would
provide residential purchasers with the information they need to select
the most energy efficient lamps that meet their requirements.
According to industry representatives, however, some products, such
as general service fluorescent lamps, frequently are shipped without
individual lamp sleeves or packaging other than the bulk shipping case,
whether the shipment is to a commercial purchaser (who purchases
through a catalog) or to a local retail store for resale of unpackaged
individual lamps to residential purchasers. For these products, the
Commission suggested two options. Option One would require the basic
and supplemental disclosures (except for the number of items in each
package) on an adhesive, hang tag, or similar type of label, attached
to each unpackaged product. Option Two would require the manufacturer
to include, with each bulk shipping case, statements disclosing all the
required information for the enclosed products (except for the number
of items in each package). Option Two also would require the retailer
to post those statements conspicuously at the point of sale in
immediate proximity to the sales floor display of the lamp product.
Some sellers also sell lamp products to residential purchasers and
commercial purchasers through catalogs. These purchasers will not see
the disclosures on the product's packaging until the product is
delivered, and may rely primarily (or solely) on information in the
catalogs from which the lamps are ordered. For these purchasers, the
catalog serves the same informational function as a package does for a
retail purchaser. The Commission, therefore, proposed that the basic as
well as the supplemental disclosures be made both on package labels and
in catalogs each time each different lamp product is listed for sale.
3. Format of Disclosures
The Commission explained in the NPR that it could specify that
required disclosures be made through use of a flexible standard that
requires ``clear and conspicuous'' disclosures. Under this
``performance'' standard, complying firms would be free to design
disclosures as they wish in response to market considerations, as long
as the disclosures were clear and conspicuous. The Commission stated
that, alternatively, it could require that the disclosures comply with
a design format specified by the Commission.
The Commission indicated that, in choosing a format standard, it
would be guided by the need to direct the purchaser's attention to the
information that is most important, and the need for the information to
be organized so it could be easily understood and acted upon. For
example, the Commission stated that it would consider requiring that
those items deemed most important to purchasers be featured on the
front panel of a package label, perhaps within a graphic box, while
permitting other disclosures to be placed elsewhere.
4. Substantiation and Sampling Requirements
In the NPR, the Commission proposed requiring that manufacturers
follow testing and test specimen sampling procedures to be specified in
the final labeling rules to substantiate all disclosures they must make
on labels, catalogs and point-of-sale written materials. The Commission
stated that when DOE issues testing and sampling procedures for general
service fluorescent lamps and general service incandescent reflector
lamps, or for any additional lamp products, the Commission would
consider whether to adopt the DOE procedures as the required
substantiation under the labeling rules.36 The Commission
solicited comments about current industry testing and sampling
procedures, such as those issued by IES and the American National
Standards Institute (``ANSI''), that would be adequate in the interim
to substantiate the disclosures it proposed.
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\3\6EPA 92 amended EPCA to establish minimum energy efficiency
standards for general service fluorescent lamps and incandescent
(reflector) lamps. 42 U.S.C.A. 6295(i) (West Supp. 1993). The
amendments require DOE to issue specific testing procedures for
these lamp products. 42 U.S.C. 6293(b)(6) (West Supp. 1993). EPCA
does not establish energy conservation standards or require DOE to
issue test procedures for medium base compact fluorescent lamps or
general service incandescent lamps (other than incandescent
(reflector) lamps). However, DOE has authority to issue test
procedures for categories of products that are not specified in
EPCA, 42 U.S.C. 6292(b), 6393(b)(1)(B) (1988), and to set minimum
efficiency standards for those products, 42 U.S.C.A. 6295(l) (West
Supp. 1993).
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To enable the Commission to determine whether required disclosures
are accurate, the NPR also proposed requiring that manufacturers, upon
request by the Commission, submit, at the manufacturer's expense, a
reasonable number of products to any laboratory designated by the
Commission. Any charge levied by the laboratory for testing, however,
would be paid for by the Commission.37
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\3\7Based on EPCA, 42 U.S.C. 6296(b)(3) (1988), the Appliance
Labeling Rule, 16 CFR 305.16, applies this requirement to other
products.
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5. Recordkeeping and Reporting Requirements
The Commission proposed requiring that manufacturers of all covered
lamp products maintain records to substantiate each item that the final
rules required to be disclosed, and proposed requiring manufacturers to
submit those records to the Commission within 30 days of a request. The
Commission also proposed requiring that lamp manufacturers submit
annual reports on or before March 1 each year. As proposed, the yearly
reporting requirement would not become effective until after DOE issues
test procedures for specific lamp products covered by the labeling
rules. The Commission stated that it would publish a notice after DOE
had issued test procedures, announcing when the initial reports would
be due.
The Commission proposed requiring that each report contain the same
type of information that currently is required for other categories of
products covered by the Appliance Labeling Rule. To minimize the
burdens imposed by this reporting requirement, the Commission proposed
accepting trade association directories and similar submissions in lieu
of individual annual reports, as it does for other product categories.
6. Other Matters
The Commission proposed amending Sec. 305.1 of the Appliance
Labeling Rule, 16 CFR 305.1, which summarizes the Rule's coverage, to
include a description of the disclosures proposed for labels and
catalogs. The Commission also proposed amending Sec. 305.2 of the Rule,
16 CFR 305.2, which contains definitions of words used in EPCA, to
include definitions for additional words to be used in the Rule, based
on definitions in EPCA, as amended by EPA 92, 42 U.S.C.A. 6291(30)
(West Supp. 1993).
IV. Analysis of Disclosures and Other Requirements Adopted by the
Commission
The Commission received information from the public relating to
this rulemaking proceeding from three sources: written comments filed
in response to the NPR, testimony during the Workshop, and supplemental
written comments following the Workshop. The discussion below includes
information from all three sources, as well as documents placed on the
public record by the Commission's staff during the rulemaking
proceeding.
In some cases, participants in the proceeding modified their
position on one or more of the issues as the rulemaking progressed. In
instances in which the commentor's position on a particular issue
changed, the Commission has taken the commentor's most recent comments
as its final position on that issue. Similarly, whenever the Commission
refers to a commentor's position on a particular issue, if it has
changed since its original formulation, the Commission notes that
change.
A. Lamp Products Covered by Labeling Rules
EPCA specifically defines the lamp products that are covered by the
Commission's lamp labeling rules. Under EPCA, as amended by EPA 92, the
Commission's labeling rules apply only to ``general service fluorescent
lamps,'' ``medium base compact fluorescent lamps,'' and ``general
service incandescent lamps.'' 42 U.S.C.A. 6294(a)(2)(c)(i) (West Supp.
1993). These lamp products are described in more detail below.
1. General Service Fluorescent Lamps
The term ``fluorescent lamp'' means a lamp containing a low
pressure mercury electric-discharge source in which a fluorescing
coating transforms some of the ultra-violet energy generated by the
mercury discharge into light. 42 U.S.C.A. 6291(30)(A) (West Supp.
1993). EPCA includes only the following fluorescent lamps:
(i) 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.
(ii) 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.
(iii) 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
C78.1-1978 and related supplements.
(iv) 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-
1978 (R1984) and related supplement ANSI C78.3a-1985.
42 U.S.C.A. 6291(30)(A)(i)-(iv) (West Supp. 1993).
The term ``general service fluorescent lamp'' means fluorescent
lamps that can be used to satisfy the majority of fluorescent
applications. 42 U.S.C.A. 6291(30)(B) (West Supp. 1993). The definition
specifically excludes fluorescent lamps designed and marketed for
specific lighting applications.38
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\3\8The exclusions are: (i) Fluorescent lamps designed to
promote plant growth; (ii) fluorescent lamps specifically designed
for cold temperature installations; (iii) colored fluorescent lamps;
(iv) impact-resistant fluorescent lamps; (v) reflectorized or
aperture fluorescent lamps; (vi) fluorescent lamps designed for use
in reprographic equipment; (vii) fluorescent lamps primarily
designed to produce radiation in the ultra-violet region of the
spectrum; and (viii) fluorescent lamps with a color rendering index
of 82 or greater. 42 U.S.C.A. 6291(30)(B)(i)-(viii) (West Supp.
1993).
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2. General Service Incandescent Lamps
The term ``incandescent lamp'' means a lamp in which light is
produced by a filament heated to incandescence by an electric current.
42 U.S.C.A. 6291(30)(C) (West Supp. 1993). The definition includes only
the following incandescent lamps:
(i) Any lamp (commonly referred to as lower wattage nonreflector
general service lamps, including any tungsten-halogen lamp) that has
a rated wattage between 30 and 199 watts, has an E26 medium screw
base, has a rated voltage or voltage range that lies at least
partially within 115 and 130 volts, and is not a reflector lamp.
(ii) Any lamp (commonly referred to as a reflector lamp) 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, an R, PAR, or similar bulb shapes
(excluding ER or BR) with E26 medium screw bases, a rated voltage or
voltage range that lies at least partially within 115 and 130 volts,
a diameter which exceeds 2.75 inches, and is either--
(I) A low(er) wattage reflector lamp which has a rated wattage
between 40 and 205 watts; or
(II) A high(er) wattage reflector lamp which has a rated wattage
above 205 watts.
(iii) Any general service incandescent lamp (commonly referred
to as a high- or higher-wattage lamp) that has a rated wattage above
199 watts (above 205 watts for a high wattage reflector lamp).
42 U.S.C.A. 6291(30)(C)(i)-(iii) (West Supp. 1993).
The term ``general service incandescent lamp'' means any
incandescent lamp (other than a miniature or photographic lamp) that
has an E26 medium screw base, a rated voltage range at least partially
within 115 and 130 volts, and which can be used to satisfy the majority
of lighting applications. 42 U.S.C.A. 6291(30)(D) (West Supp. 1993).
The definition specifically excludes incandescent lamps designed and
marketed for specific lighting applications.39 Included within the
category of ``general service incandescent lamps'' are incandescent
reflector lamps. The term ``incandescent reflector lamp'' means a lamp
described in item (ii), above. 42 U.S.C.A. 6291(30)(F) (West Supp.
1993).
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\3\9EPCA excludes any ``general service incandescent lamp''
specifically designed for: (i) Traffic signal, or street lighting
service; (ii) airway, airport, aircraft, or other aviation service;
(iii) marine or marine signal service; (iv) photo, projection, sound
reproduction, or film viewer service; (v) stage, studio, or
television service; (vi) mill, saw mill, or other industrial process
service; (vii) mine service; (viii) headlight, locomotive, street
railway, or other transportation service; (ix) heating service; (x)
code beacon, marine signal, lighthouse, reprographic, or other
communication service; (xi) medical or dental service; (xii)
microscope, map, microfilm, or other specialized equipment service;
(xiii) swimming pool or other underwater service; (xiv) decorative
or showcase service; (xv) producing colored light; (xvi) shatter
resistance which has an external protective coating; or (xvii)
appliance service. 42 U.S.C.A. 6291(30)(D)(i)-(xvii) (West Supp.
1993).
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3. Medium Base Compact Fluorescent Lamps
The term ``medium base compact fluorescent lamp'' means an
integrally ballasted fluorescent lamp with a medium screw base and a
rated input voltage of 115 to 130 volts and which is designed as a
direct replacement for a general service incandescent lamp. 42 U.S.C.A.
6291(30)(S) (West Supp. 1993). Thus, the definition does not include
other types of compact fluorescent lamps that operate with a separate
ballast, even if the lamp or the separate ballast has a medium screw
base.
B. Disclosures for Lamps Generally
Several comments stated that the main purpose of energy labeling
for lamps is to encourage purchasers to move towards the purchase of
more energy efficient lighting like compact fluorescent lamps.40
The potential for energy savings through the use of more efficient
lighting is high, particularly in commercial settings where lighting is
the single largest source of electricity consumption. About 41 percent
of electricity, and 28 percent of total energy, consumed in the
commercial sector is for lighting.41 Fluorescent lamps consume
about 55 percent of lighting electricity in the commercial
sector,42 with incandescent reflector lamps consuming most of the
remainder. In the residential sector, energy use for lighting is small,
though not trivial, representing about seven percent of residential
energy use.43 Incandescent lamps provide most lighting in
residences.
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\4\0See, e.g., NEMA, G-3, 35; Gluckstern, GG-3, 1.
\4\1U.S. Congress, Office of Technology Assessment, Building
Energy Efficiency (hereinafter referred to as ``OTA Report''), OTA-
E-518 (Washington, DC; U.S. Government Printing Office, May 1992),
C-6, 50. Commercial buildings used 12.9 quads of energy at a cost of
$68 billion in 1989. About two-thirds of this energy was in the form
of electricity. In addition to lighting, space heating and space
cooling were the other principal end uses. Id. at 21.
\4\2Id. at 54.
\4\3Id. at 50-51.
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General service fluorescent lamps provide lighting through a system
known as a luminaire. Under EPCA, the term ``luminaire'' means a
complete lighting unit consisting of a fluorescent lamp or lamps,
together with parts designed to distribute the light, to position and
protect the lamps, and to connect the lamps to the power supply through
a ballast. 42 U.S.C.A. 6291(29)(F) (West Supp. 1993). Compact
fluorescent lamps also provide lighting through a system. For compact
fluorescent lamps, the system includes the fluorescent lamp and a
ballast. Some compact fluorescent lamps are sold for use with separate
ballasts. The lamp labeling rules, however, cover only those defined as
medium base compact fluorescent lamps, i.e., those that have an
integral ballast and medium screw base. Incandescent lamps also have
medium screw bases. They provide lighting by heating an internal
filament to incandescence by an electric current, and can be used, for
example, in table or floor lamp fixtures or in ceiling or wall
fixtures. Medium base (integrally ballasted) compact fluorescent lamps
are meant for use as replacements for incandescent lamps in these
applications.
Increasing the efficiency of a lighting system that currently uses
incandescent lamps can be accomplished by selecting a more efficient
incandescent lamp, such as a more efficient halogen incandescent lamp,
or a more efficient medium base compact fluorescent lamp. To the extent
the efficiency of general service fluorescent lighting systems can be
increased, it can be accomplished by increasing the efficiency of the
lamp, the ballast or the luminaire, or a combination of those separate
parts. In designing the disclosure requirements for these different
lamp types, therefore, the Commission has considered the effect of the
minimum energy efficiency standards specified by EPCA on the lamps that
will remain on the market after the standards become effective, and how
best to provide purchasers with the information necessary for them to
select the most efficient lamps that meet their requirements.
Several comments stated generally that any labeling requirements
for lamps should meet one or more of the following standards: Simple,
uniform, comprehensible, cost-effective and based on readily available
information.44 In response to a question in the NPR, some comments
favored different types of disclosures based on the category of
purchaser--residential or commercial. One comment, however,
specifically stated that the disclosures should be the same for both
categories.45 Most industry members supported a ``bifurcated''
approach to labeling (discussed in detail below), with a requirement
for detailed disclosures of performance characteristics on packaging
for general service incandescent lamps and compact fluorescent lamps
and a requirement for disclosure of only an encircled ``E'' on
packaging for general service incandescent reflector lamps and general
service fluorescent lamps.46 Several other comments, however,
favored requiring the same detailed disclosures of performance
characteristics on the packaging of all the lamp types covered by the
labeling rules.47
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\4\4GE, G-2, 4-5, (Tr.), 106; NEMA, G-3, 10-11; Osram, G-4, 2;
IES (Tr.), 62; MN DPS, GG-9, 1; OR DOE, GG-13, 1.
\4\5See 58 FR at 60158. Comments favoring different types of
disclosures: ACEEE, GG-1, 1; IES, GG-6, 1-2; OR DOE, GG-13, 2; WA
SEO, GG-18, 3. Specifically recommending identical disclosures for
both types: MN DPS, GG-9, 1.
\4\6See, e.g., NEMA, G-3; Osram, G-4; Philips, G-5; GE, G-2.
\4\7See, e.g., Angelo, G-1; ACEEE GG-1; LBL, GG-7; MN DPS, GG-9;
WA SEO, GG-18.
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Two of the three categories of lamps covered by the labeling rules
have medium size, screw-in bases that fit into standard screw-in lamp
receptacles.48 These are: General service incandescent (reflector
and nonreflector) lamps, and medium base compact fluorescent lamps. The
method of connection to the power source is the same for these types of
lamps, and the Commission is prescribing similar labeling requirements
for them. The Commission discusses the comments on the proposals for
general service incandescent (nonreflector) lamps and medium base
compact fluorescent lamps and the labeling rule requirements for them
together in Part IV.C, below. The Commission discusses the comments on,
and the requirements for, general service incandescent reflector lamps
in Part IV.D, below. The comments and final requirements respecting the
fourth type of lamp--general service fluorescent lamps--are described
in Part IV.E, below.
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\4\8The third category, general service fluorescent lamps, are
not screwed into lamp receptacles, but have prongs at either end of
the lamp tube or receptacles for prongs that are at either end of
the lamp fixture.
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C. Disclosures for Medium Base General Service Incandescent
(Nonreflector) Lamps and Compact Fluorescent Lamps
Virtually all the comments recommended that the Commission require
some version of the basic disclosures that the Commission proposed in
the NPR for both general service incandescent (nonreflector) lamps and
medium base compact fluorescent lamps.49 The disclosures the
Commission is requiring, each of which is discussed separately below,
are: design voltage (if other than 120 volts), energy used (in terms of
watts), light output (in average initial lumens), average laboratory
life (in hours), number of items in the package (if more than one), and
a supplemental disclosure, consisting of an advisory statement.50
Because the comments usually discussed recommendations regarding the
disclosures for these two types of medium screwbase lamps together, and
because these lamps are generally interchangeable, the Commission
discusses the comments and the final disclosure requirements for these
types of medium screw base lamps together in this section.
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\4\958 FR at 60154-55.
\5\0See 16 CFR 305.11(e), 305.14(d) in Text of Amendments,
below. For descriptions of the items recommended for required
disclosures, see, in particular, Angelo, G-1, 2; GE, G-2, 7, (Ans.),
1; NEMA, G-3, 39, (Supp.), G-10, 10-12; Osram, G-4, 2, (Supp.), G-
11, 1-2; Philips, G-5, 1-2, (Supp.), G-12, 1; Panasonic, G-7, 2;
ACEEE, GG-1, 1; OR DOE, GG-13, 7-8; LRC, GG-15, 2; WA SEO, GG-18, 1-
2.
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A few comments recommended that required labeling for compact
fluorescent lamps include additional information, such as the lamp's
incandescent wattage equivalency, color and temperature ratings, noise
and interference factors, and whether the lumen output of the lamp is
substantially different in a base-up or base-down installation.51
The Commission discusses these issues in Part IV.C.4, below.
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\5\1See, e.g., NW REAL, GG-12, 1; OR DOE, GG-13, 2-7, 7-8; ORSU,
GG-14, 2-3; LRC, GG-15, 1-2; MA AG (Supp.), GG-24, 2; Philips
(Supp.), G-12, 1; ACEEE (Supp.), GG-21, 3. See also note 136, below.
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1. Basic Disclosures
a. Voltage. Voltage refers to the electromotive force of
electricity.52 In the residential market, the voltage provided by
electric utilities in this country for lighting purposes is primarily
120 volts,53 but may range from approximately 115 to 125
volts.54 Voltage is not a characteristic of a lamp product, but
the operation of a lamp is affected by the voltage at which it
operates. For a given lamp, the higher the voltage, the higher the
light output in lumens, the higher the wattage, and the shorter the
life.55 In the NPR, the Commission proposed requiring that
manufacturers disclose voltage on packaging only if the product's
``design voltage,'' i.e., the voltage at which the lamp was designed to
operate, is other than 120 volts.
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\5\2The term ``volt'' (a unit of potential difference and of
electromotive force) is defined as the difference of electric
potential between two points of a conducting wire carrying a
constant current of one ampere, when the power dissipated between
those points is equal to one watt. U.S. Department of Commerce,
National Institute of Standards and Technology, ``The International
System of Units (SI),'' NIST Special Publication 330 (1991 edition),
August 1991 (hereinafter cited as ``NIST Publication 330''), at 19.
\5\3NEPS (Tr.), 37 (for residential consumers, voltage provided
by utilities for lighting is predominately 120 volts); ACEEE (Tr.),
38 (120 volts is normal for vast majority of homes); IES (Tr.), 62
(same). Utility companies in some parts of the country, however,
such as the Northwest, provide other voltages such as 125 volts, and
manufacturers ship lamps with those design voltages to those areas.
Osram (Tr.), 51-52 (ships 125-volt lamps to Northwest, which has
slightly higher line voltage); GE (Tr.), 60 (Northwest/TVA is 125
volts); Osram (Tr.), 64 (ships 125-volt lamps to Seattle and TVA).
In recognition of the predominant demand for lamps that operate at
120 volts, manufacturers design most incandescent lamps for
operation at that voltage. GE (Tr.), 37-38 (90% or more). See also
Osram (Tr.), 64-65 (no more than 10% of its incandescent lamps have
125 design voltage).
\5\4Even within a given locality, the voltage may vary by plus
or minus five percent. NEPS (Tr.), 37.
\5\5See, e.g., GE (Tr.), 35.
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During the proceeding, commentors explained that lamps produced for
use in this country fall into three basic categories, based on their
design voltage. The vast majority of lamps have a design voltage of
(i.e., are manufactured to operate at) 120 volts.56 A minority of
lamps are produced with a different design voltage because they are
intended for use in limited areas of the country, such as the
Northwest, in which the line voltage is 125.57 The last category
includes lamps with a design voltage of 130. These lamps typically are
produced with a heavier filament and have longer lives when used at 120
volts (though providing less light) than competing lamps with design
voltages of 120 volts. They are generally sold as ``long-life''
products58 and are marketed throughout the country, regardless of
the line voltage in the particular area.59
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\5\6See note 53, above.
\5\7Id.
\5\8See GE (Tr.), 35-36; Supreme (Tr.), 39.
\5\9See, e.g., ACEEE (Tr.), 202.
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The Commission's Light Bulb Rule currently requires manufacturers
to disclose watts, light output in lumens and average laboratory life
in hours for incandescent lamps, based on operation at the lamp's
stated design voltage.60 EPCA, as amended by EPA 92, on the other
hand, states that: ``Labeling information for incandescent lamps shall
be based on performance at 120 volts input, regardless of the rated
lamp voltage.'' 42 U.S.C.A. 6294(a)(2((C)(i) (West Supp. 1993).61
The statutory language and the comments received raise two issues that
the labeling rules must address concerning voltage. First, should the
rules require that the design voltage always be disclosed, or that the
design voltage be disclosed only if it is other than 120 volts? Second,
what labeling information (i.e., which disclosures) must be based on
tests conducted at 120 volts (regardless of the design voltage)?
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\6\016 CFR 409.1 n. 1.
\6\1Neither the EPA 92 amendments to EPCA nor the legislative
history of the EPA 92 amendments define more specifically the
labeling disclosures for incandescent lamps that must be based on
operation at 120 volts.
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Virtually all the comments that discussed voltage agreed that it is
an important element that affects operation of lamp products. Several
comments agreed with the Commission's proposal to require that voltage
be disclosed if the design voltage of the product (the voltage at which
the product was designed by the manufacturer to operate) is other than
120.62 None suggested that disclosure of voltage in labeling is
necessary for lamps with a design voltage of 120.63
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\6\2See, e.g., NEMA (Supp), G-10, 10-11; ACEEE (Tr.), 38; Osram
(Supp.), G-11, 1; Philips (Supp.), G-12, 1.
\6\3See, e.g., ACEEE, GG-1, 1.
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The issue of the voltage at which the required disclosures of
watts, light output, life and energy efficiency should be based was the
subject of considerable discussion during the Workshop.64 Several
industry representatives supported requiring disclosure of wattage,
light output in lumens, and average laboratory life based on operation
of the lamp at its design voltage, if the design voltage is other than
120.65 They suggested that only the energy index (i.e., lumens per
watt) should be disclosed at 120 volts regardless of the lamp's design
voltage. They argued that only the efficiency measure is covered by the
requirement in EPCA that labeling disclosures for incandescent lamps be
measured at 120 volts.66 Other commentors contended, however, that
for general service incandescent lamps the labeling rules should
require that wattage, light output, life and energy index disclosures
be made at 120 volts because most purchasers operate lamps at 120 volts
and performance claims should be based on a uniform standard.67
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\6\4See Tr., 35-65. The discussion of this issue throughout the
comments and Workshop transcript usually was directed specifically
at general service incandescent lamps. In some instances, it was
unclear whether the comments were meant to apply also to other lamp
types. But, there are no references to this issue specifically
pertaining to compact fluorescent lamps.
\6\5NEMA (Tr.), 39-40, 54, (Supp.), G-10, 19-21 (the Commission
views these statements as NEMA's final position on the issue); Osram
(Tr.), 41, (Supp.), G-11, 2. See also Angelo, G-1, 2 (but note that
Angelo later recommends disclosures at 120 volts in the Workshop at
Tr. 57); GE, G-2, 7, (Ans.), 1; Osram (Tr.), 41, 58-59, (Supp.), G-
11, 2; ACEEE, GG-1, 1 (ACEEE, too, later recommends in the Workshop
that all disclosures be at 120 volts, (Tr.), 59); OR DOE, GG-13, 7;
WA SEO, GG-18, 1.
\6\6In its supplemental comment, NEMA stated:
A question was raised at the Workshop as to whether the last
sentence of section (sic) (324(a)(2)(C)(i) of EPCA) should be
interpreted to apply only to energy efficiency labeling or to all
items required to be disclosed under the Commission's regulations.
There is no published legislative history interpreting this
provision. However, NEMA representatives were involved in extensive
discussions with energy efficiency organizations and congressional
staff over the language of the Energy Policy Act. Throughout those
discussions, everyone's attention was focused on how best to educate
consumers to select the most energy efficient lamp. NEMA
representatives sought inclusion of the requirement that all lamps'
efficiency ratings be based on a comparable operation at 120 volts.
NEMA's objective was to prevent some manufacturers or importers from
disguising low efficiency lamps by claiming efficiency ratings at
voltages greater than 120 volts. NEMA was concerned that if a
consumer faced 120 and 130 volt lamps in the same store, it be clear
that the 130 volt lamp would be substantially less efficient when
operated at 120 volts (Tr. 40-41). NEMA did not intend to force
manufacturers to cease production or alter existing ratings of
higher voltage lamps for use in niche markets. Thus, in construing
section (sic) (324(a)(2)(C)(i)) of EPCA, NEMA urges that the
provision be fairly read in the context of the legislative
discussions and that congressional intent is best served by
requiring that only lumens per watt measurements be based on 120
volts operation.
NEMA (Supp.), G-10, 20-21. See also GE (Supp.), G-9, Ex. 4;
Osram (Tr.), 51-52 (most purchasers do not see mix of products based
on different voltages on store shelves, but purpose of the statute's
requirement was to require efficiency be based on constant voltage
for situations when mix of products were on shelves at same time).
But see NEMA, G-3, 45 (``Section 324(a)((2))(C)(i) of EPCA requires
that labeling information for incandescent lamps be based on
performance when operated at 120 volts input, regardless of the
rated lamp voltage. The Commission's regulations should expressly
require manufacturers of incandescent lamps to disclose all
performance characteristics when operated at 120 volts, regardless
of the rated voltage.'').
\6\7See MN DPS, GG-9, 2; NEPS (Tr.), 44; LRC (Tr.), 44, 54-55;
Angelo (Tr.), 57; ACEEE (Tr.), 59; IES (Tr.), 62.
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The Commission has determined that the final labeling rules should
require that all the specified disclosures be based on operation at 120
volts, but that it should not require disclosure of voltage unless the
design voltage is other than 120, since all required lamp disclosures
will be based on a uniform voltage.68 For the vast majority of
purchasers in the country, lamps will be operated at 120 volts,
regardless of the design voltage designated by the lamp manufacturer.
For these purchasers, who represent 90% or more of the market for these
lamps in the U.S., therefore, disclosures of the lamp's performance in
watts, lumens, life and energy efficiency at a different voltage, such
as 125 or 130 volts, would misrepresent the performance they receive in
actual use.69 The Commission realizes that, for those purchasers
whose line voltage is other than 120 volts, disclosure of these
performance characteristics at 120 volts will not represent the lamp
performance they will experience. These purchasers, however, represent
a small minority in the marketplace. For lamps with a design voltage of
130, but expected to be operated at 120 volts, the disclosures will be
accurate.70
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\6\8See 16 CFR 305.11(e)(1)(C) in Text of Amendments, below. If
a lamp's design voltage is other than 120 volts, the lamp's required
disclosures of wattage, light output, and life must each be followed
by the phrase ``at 120 volts.'' Manufacturers of such lamps may also
disclose the lamps' wattage, light output and life at the design
voltage. In such cases, the disclosures of wattage, light output,
and life must each be followed by a phrase indicating the voltage at
which the additional disclosures were measured, e.g., ``at 125
volts.''
\6\9See note 53, above.
\7\0See Angelo (Tr.), 63:
(P)eople may choose life or lumen output but if it's tested at
120 then there's no reason to go through the deception of saying
it's a 130-volt lamp. It's simply enough to say that this lamp is
going to produce less lumens[,] meaning it's going to have a
different filament and it has really nothing to do with design
wattage, it has to do with life and lumens. So in the circumstance
of the people who were buying it for that reason, why go through a
deception? Why not just tell them [it's] at 120 and let it be billed
as a 120-volt lamp with less lumens and more life?
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The final rules, therefore, require that the disclosures of watts,
lumens, and hours of life be based on operation of the lamp at 120
volts. Because medium base compact fluorescent lamps compete directly
with incandescent lamps, purchasers often will compare these different
lamp types when making purchasing decisions. Therefore, the Commission
also is requiring that the performance disclosures for medium base
compact fluorescent lamps be based on operation at 120 volts.
The labeling rules, however, allow manufacturers who distribute
lamps with different design voltages to provide additional information
based on the design voltage of the lamps when operated under those
other voltages. Because the Commission is allowing manufacturers to
provide additional information to purchasers whose line voltage varies
from 120 volts, there is no reason to believe that manufacturers will
cease production of lamps designed to operate at different voltages, as
NEMA speculated.71 See Secs. 305.11(e)(1)(A)(ii) and
305.11(e)(1)(C) in ``Text of Amendments,'' below.
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\7\1NEMA (Supp.), G-10, 21.
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b. Wattage. Watt ratings on lamps refer to the unit of electrical
power that the lamp will consume.72 In the NPR, the Commission
proposed requiring that watts be disclosed. There was no disagreement
during the proceeding regarding the need for or appropriateness of
requiring disclosure of wattage on labels for general service
incandescent (nonreflector) lamps and compact fluorescent lamps.73
This information is often used by residential purchasers as the basis
for selecting a lamp because they often associate light output with the
wattage ratings of the general service incandescent lamps they
currently use. But, wattage information also is important to know for
safety reasons. Lamp fixtures often are marked with the maximum wattage
lamp the fixture is designed to use. For incandescent lamp fixtures in
particular, use of a lamp with a higher wattage than that marked on the
fixture can result in a safety hazard created by the higher heat output
from the higher wattage lamp. Purchasers, therefore, need wattage
information in addition to lumen output when selecting the appropriate
lamp to meet their requirements.
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\7\2The term ``watt'' (a unit of power) is defined as the power
which in one second gives rise to energy of one joule. NIST Special
Publication 330, at 18. In EPCA, as amended by EPA 92, the term
``lamp wattage'' means ``the total electrical power consumed by a
lamp in watts, after the initial seasoning period referenced in the
appropriate IES standard test procedure and including, for
fluorescent, arc watts plus cathode watts.'' 42 U.S.C.A. 6291(30)(O)
(West Supp. 1993).
\7\3The Light Bulb Rule already requires a wattage disclosure
for incandescent lamps. 16 CFR 409.1(a)(1).
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Accordingly, the Commission is requiring disclosure of watts on
packages. In addition, to help purchasers understand the meaning of
watts, the Commission is requiring that the phrase ``energy used''
precede the wattage number and term ``watts.'' The juxtaposition of the
``watts'' and ``energy used'' disclosures, in conjunction with the
``lumens'' and ``light output'' disclosures, discussed in Part
IV.C.1.c.i, below, can help educate purchasers on the relationship
between the amount of light a lamp produces and the amount of energy
used to produce the light. These disclosures, along with the Advisory
Disclosure described in Part IV.C.2.c, below, will enable purchasers to
select the most energy efficient products that meet their lighting
needs. At the same time, the combined disclosures will provide retail
purchasers with the ``watt'' information they may be most accustomed to
using as the basis for their purchasing decisions, and which they may
need to avoid purchasing a lamp product that is inappropriate for the
lamp fixture in which it will be used. See Secs. 305.11(e)(1)(A)(iii)
and 305.11(e)(1)(B) in ``Text of Amendments,'' below.
c. Light output in lumens. The terms ``lumens,'' ``lumen output,''
or ``lumen rating'' refer to a lamp product's light output.74 This
information is designed to permit the purchaser to determine whether a
given lamp will provide sufficient light to meet the purchaser's
requirements and to compare the relative light output of competing lamp
products. Some retail purchasers may generally refer to this concept as
``brightness,'' but this term actually means something different from
light output, according to accepted industry definitions.75 In the
NPR, the Commission proposed requiring that packaging disclose lumens
(whether identified by that term, or another such as ``light output'').
There was agreement among the participants in the proceeding that light
output in lumens should be disclosed.
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\7\4Under EPCA, the term ``lumen output'' means ``total luminous
flux (power) of a lamp in lumens, as measured in accordance with
applicable IES standards as determined by the Secretary [of DOE].''
42 U.S.C.A. 6291(30)(Q) (West Supp. 1993). For incandescent lamps,
the Light Bulb Rule already requires that light output be disclosed
in lumens.
\7\5Brightness is measured in candelas and means the intensity
of the light, whereas light output, which is measured in lumens,
means amount of flow of light.
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i. Emphasis on light output in disclosures. Although light output
is the primary descriptor of whether a specific lamp will provide the
necessary lighting to meet a particular need, it appears that
residential purchasers, at least, often purchase lamps based on the
product's rated wattage.76 For these purchasers, different
wattages are associated with various lighting needs. There are lamp
products with substantially different wattage ratings, however, that
can provide almost the same light output in lumens. Stated another way,
by choosing lamps on the basis of light output, consumers could meet
their lighting needs and use less energy by selecting a lamp of a lower
wattage.77
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\7\6See Part IV.C.1.b, above.
\7\7For example, a general service incandescent halogen lamp can
provide a greater light output in lumens than a standard general
service incandescent lamp of the same wattage rating. In addition, a
compact fluorescent lamp can provide the same or greater light
output in lumens than a general service incandescent halogen lamp at
a significantly lower wattage rating.
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Four comments agreed that a key element in getting consumers to
purchase more energy efficient lamps is to encourage them to shop for
light output in lumens, rather than for energy usage in watts, as they
currently are more accustomed to do.78 Several comments favored
furthering this objective by making the disclosure of light output (in
lumens) as prominent as or more prominent than the wattage disclosure
on current packaging.79 Some comments also suggested that, because
residential consumers are often unfamiliar with the term ``lumen,'' the
disclosure of lumens should be accompanied by a descriptive phrase that
would be more familiar, such as ``light output'' or
``brightness.''80 There was, however, information presented at the
Workshop indicating that lumens is not an unfamiliar concept to many
consumers, even though wattage may be a more significant factor in
making purchase decisions.81
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\7\8Angelo, G-1, 2, (Tr.), 182-183; Osram, G-4, 2; Philips, G-5,
2-3; GE, G-2, 7, (Tr.), 181-182. See Part IV.C.1.b, above.
\7\9Angelo (Tr.), 182-183 (``make lumens more prominent''); GE,
G-2 (Ans.), 1 (``prominent''); Philips, G-5, 1-2 (``at least 50%
that of the wattage''); MO DNR, GG-10, 3 (``more prominently''); WA
SEO, GG-18, 1-2 (``of equal size and prominence''). But see GE (Tr.)
181-182 (the change in prominence should be gradual).
\8\0GE, G-2, (Ans.), 9 (``brightness (lumens)''); Philips, G-5,
2-3 (``light output''); ACEEE, GG-1, 3 (``light output: XX
Lumens''); MO DNR, GG-10, 3 (``brightness (lumens)''). But see OR
DOE, GG-13, 3 (``lumen disclosure should be in lumens, not
``brightness'' or ``light output'').
\8\1According to research conducted by Conway/Milliken &
Associates for GE in July 1992, 55% of all consumers understand the
meaning of lumens, even though they may purchase based on wattage.
GE (Tr.), 109-10. See GE (Supp.), G-9, 1, Ex. A. But see Angelo
(Tr.), 134-35 (disagrees and thinks that most consumers do not know
watts are a measurement of energy as opposed to a measurement of
light, because, up until now, they have purchased on the basis of
watts).
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The Commission agrees that the labeling rules should assist
purchasers in shopping for lamps on the basis of light output in lumens
rather than watts. Because competing lamp products may provide the same
lumen output at varying wattage ratings, purchasers can reduce their
energy costs for lighting by purchasing lamp products that provide the
lumens they need at the lowest wattage ratings. Current packaging
generally highlights wattage, and purchasers may be accustomed to
selecting lamp products based on wattage instead of lumens (e.g., they
simply replace a burned out 100 watt lamp with a new 100 watt lamp).
It is in the interest of energy efficiency, therefore, to design
labeling information to highlight the importance of light output in
lumens. Accordingly, the Commission is requiring that the lumens
disclosure be identified primarily as one of ``light output,'' and that
this light output disclosure be the first of the three basic
performance disclosures appearing on the primary display panel. In
addition, to remind consumers that wattage is not a measure of light
output, the wattage disclosure will be identified primarily as ``energy
used.''82 See Sec. 305.11(e)(1)(B) of the rule in ``Text of
Amendments,'' below. Coupled with the educational information currently
being provided by manufacturers, utility companies and others in the
marketplace, this increased emphasis in labeling on light output and
clarification of the meaning of wattage should help educate consumers
to save energy costs by purchasing the lowest wattage lamp that
provides the light output they need.
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\8\2The Commission is not specifying type size for these
disclosures because of the huge variety of packaging styles and
sizes, and the need to vary type size according to the package.
---------------------------------------------------------------------------
ii. Average initial lumens vs. average mean or average lumens. In
general, the light output in lumens of a given lamp product is greatest
at the beginning of its life (i.e., its ``initial lumens''). Light
output in lumens degrades over the lifetime of the lamp. According to
generally accepted industry standards, the light output for a lamp can
be measured and expressed in terms of average initial lumens (at or
near the beginning of the lamp's life), as average or mean lumens over
the duration of the lamp's real or projected lifetime, or as a range of
lumens. In determining the most appropriate lumen disclosure for each
type of lamp product, the Commission has considered the comments
concerning the effect of degradation on the different lamp types and
the measure of light output in lumens that will give purchasers the
most accurate and uniform information on which they can compare
competing products and make purchase decisions.
There was considerable discussion in the written comments and at
the Workshop about how and at what point or points in a lamp's
operation light output should be measured.83 Some comments
suggested that the required disclosure should be of mean or average
lifetime lumens,84 while others believed that lumens should be
expressed as initial lumens.85
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\8\3See, e.g., Tr., 66-86.
\8\4Philips (Tr.), 74 (a rating based on a long-term average of
tested lumens that would be rounded); NEPS (Tr.), 67, 72; SCS, GG-
16, 1-3 (details reasons for disclosing ``mean lumen output range,''
including differing lumen depreciation and lumen output values and
differences in lumen output from differences in fixtures,
installations, sensitivity to temperature, and/or ballasts).
\8\5See, e.g., Osram (Tr.), 68; NEMA (Supp.), G-10, 15-16;
Philips (Supp.), G-12, 2; LBL (Supp.), GG-22, 3.
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During the Workshop, representatives of GE and Osram explained in
some detail how lumens are measured under current industry methods. One
of the issues discussed was the extent to which lumens degrade (or
diminish) over the life of a lamp.86 There was general agreement
among most of the Workshop participants that the extent of degradation
of competing general service incandescent lamps and of medium base
compact fluorescent lamps over the average lifetime of a compact
fluorescent lamp (10,000 hours) is substantially the same.87
Accordingly, most Workshop participants concluded that it would be
appropriate for the Commission to require disclosure of average initial
lumens.88 Because it is easier to measure the light output of lamp
products as initial lumens, and a requirement to disclose light output
in initial lumens is consistent with the requirements of the Light Bulb
Rule, the Commission has determined to require disclosure of average
initial lumens on the packages of these products.89 See
Sec. 305.11(e)(1)(A)(iv) in ``Text of Amendments,'' below.
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\8\6See Tr., 66-86.
\8\7Because compact fluorescent lamps have longer lives than
incandescent lamps, this comparison requires that several general
service incandescent lamps be considered for the comparison.
Specifically:
Over the life span of a compact fluorescent product, generally
speaking, after the first hundred hours--and the initial lumens are
measured at one hundred hours burning--the product declines in
output slowly over a life of perhaps 10,000 hours. If you look at
what happens for the equivalent number of incandescent lamps, then
obviously every time you replace an incandescent lamp say after 750
hours, your light output goes up to the initial again, and then
drops off to some lower figure. If you take the difference in the
averages between what you get from that whole bunch of incandescent
lamps and what you get from the single curve with the compact
fluorescent, it is not a very big percentage. It is perhaps around
five percent. That is far less than you will get by differences in
light output from incandescent lamps due to fluctuating voltage.
Osram (Tr.), 80-81.
\8\8See GE (Tr.), 67 (``Whether I would want product A or
product B from a light output or an efficiency standpoint, you'll
still make the same decision.''); Osram (Tr.), 81 (``Our procedures,
both nationally and internationally for rating products at initial
value is something that we can live with as an industry, and
something that we can measure with some consistency, and can be
enforced.''); NEMA (Supp.), G-10, 15-15; LBL (Supp.), GG-22, 3
(``There was considerable discussion at the Workshop on whether
initial lumens, or mean or maintained lumens, should be reported on
lamp labels. LBL concurs with the position that the difference
between the lumen depreciation of general service incandescent lamps
and compact fluorescent lamps is small enough that initial lumens
(per the standard test procedure) are acceptable.''); Philips
(Supp.), G-12, 3. But see MA AG (Supp.), GG-24, 2, fn. 1
(``Manufacturers should disclose if a compact fluorescent lamp or an
energy efficient incandescent lamp's lumen degradation is faster or
further or both than the degradation of a conventional incandescent
lamp.'').
\8\9This requirement is consistent with the Light Bulb Rule. 16
CFR at 409.1(a)(2).
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d. Average lamp life. Lamp life refers to the lamp's average life
or lifetime, measured under laboratory conditions (i.e., average
laboratory life).90 In the NPR, the Commission proposed requiring
disclosure of average life (in hours). During the proceeding, two
issues emerged relating to the proposed requirement to disclose lamp
life: (1) How to determine the life of the product; and (2) whether to
express life in years (based on an average usage period, such as three
hours per day) or hours.
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\9\0In EPCA, as amended by EPA 92, the terms ``life'' and
``lifetime'' mean ``length of operating time of a statistically
large group of lamps between first use and failure of 50 percent of
the group in accordance with test procedures described in the IES
Lighting Handbook-Reference Volume.'' 42 U.S.C.A. 6291(30)(P) (West
Supp. 1993).
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i. How to measure lamp life. Laboratory lamp life is determined by
measuring the length of time (in hours) the lamp will operate before
burning out. The IES standard calls for the lamp to be operated
according to an on/off cycling schedule. The life of a lamp is the
number of burning hours to failure. Some industry members, however, to
save time, will use one or two variations of this standard. In one
case, they will use a ``steady burn,'' in which there is no on/off
cycle. In the other case, they will burn the lamp at much higher
voltages than normal and extrapolate the lamp's laboratory life from
the test results.91
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\9\1See Supreme (Tr.), 89-90.
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In the discussion of lamp life determination during the Workshop,
the participants agreed that consistency is of considerable
significance for this disclosure. Specifically, it is most important
that the estimated life of competing lamp products be measured in a
manner that yields comparable results. Participants did not, however,
agree that any particular test procedure should be required by the
labeling rules.
As discussed in Part IV.G, below, the Commission has determined at
this time not to require for any of the basic disclosures that any
specific test procedure be used. The Commission, however, is requiring
that manufacturers have a reasonable basis, consisting of competent and
reliable scientific tests, to substantiate these disclosures. To meet
this reasonable basis standard for substantiating light output and
laboratory life disclosures, manufacturers may rely on tests conducted
pursuant to the specific IES test procedure referenced in the Rule.
These test procedures, which comments recognized as appropriate test
standards used by the industry, require on/off cycling. The Commission
concludes that requiring manufacturers to have competent and reliable
scientific tests to substantiate laboratory life claims is sufficient
to ensure that manufacturers determine average laboratory life in a way
that will produce consistent results. See the discussion of
substantiation in Part IV.G, below.
ii. Years vs. hours. The other issue concerning lamp life pertained
to how the lifetime should be expressed. ACEEE originally recommended
that life be expressed in years, but later suggested requiring
disclosure of both years and hours.92 NEMA recommended that the
required disclosure of life be in hours, because a disclosure in years
would involve fractions of less than one year for some lamp products
and assumptions about average hours of use in a year.93 No
commentors were aware of any studies demonstrating average usage
periods for either commercial or residential users for particular types
of lamps or uses. The Light Bulb Rule currently requires that life of
incandescent lamps be disclosed in hours, 16 CFR 409.1(a)(3), and many
manufacturers express lamp life in hours for other lamps. Accordingly,
the Commission has determined to require a simple disclosure of average
laboratory life in hours, rather than years (or both hours and years).
The labeling rules, therefore, require that the average laboratory life
of lamp products be disclosed in hours. See Sec. 305.11(e)(1)(A)(v) in
``Text of Amendments,'' below.
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\9\2ACEEE, GG-1, 2, (Supp.), GG-21, 1 (``For example, a label
might read: Lamp Life: 1000 hours (0.9 years at 3 hours per
day).'').
\9\3NEMA (Supp.), G-10, 21 note *.
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e. Quantity of lamps in package. There was no disagreement with the
proposal to require the disclosure on packages of the number of bulbs
contained in the package if there were more than one. This requirement,
therefore, appears in the final labeling rules. See
Sec. 305.11(e)(1)(A)(i) in ``Text of Amendments,'' below.
2. Supplemental Disclosure Options
To supplement the disclosures of wattage, light output and
laboratory life, the Commission proposed in the NPR requiring
disclosure of an efficiency measure of each lamp's performance. The
Commission proposed two alternatives for primary consideration: (1) An
energy efficiency measure such as lumens per watt; and (2) a disclosure
of the estimated energy cost of the lamp based on a specified unit
energy cost and usage period. The NPR also described similar
suggestions made by ACEEE and NEMA. As is further set forth below, the
Commission has concluded that neither a lumens-per-watt disclosure nor
an operating cost disclosure is likely to increase consumers' abilities
to choose the most efficient lamp for their needs. Instead, the
Commission has concluded that the basic information required to be
disclosed should be supplemented by the Advisory Disclosure described
in Part IV.C.2.c, below.
a. Energy index. The Commission explained in the NPR that a lumens-
per-watt disclosure (i.e., the ``Energy Index'' that had been suggested
by NEMA), which would rate the efficiency of a lamp product in
converting electric energy into light output, has the advantage of
simplicity. It pointed out, however, that such a disclosure could
suffer from the drawback identified by ACEEE (i.e., because higher
wattage bulbs often have disproportionately greater light output, they
often will use more energy as well as have a better energy index).
Thus, a lumens-per-watt disclosure alone could lead to lumen and watt
over-purchasing. The Commission inquired whether this drawback could be
avoided by requiring that the Energy Index be accompanied by a
disclosure such as: ``Select the light output you require before
comparing the energy index of different bulbs.''
Most of the comments supported requiring a disclosure of the energy
efficiency of lamp products in the form of lumens per watt and that it
be called an ``energy index.''\94\ One participant compared this to a
miles per gallon disclosure for gasoline, which consumers presumably
understand.\95\ Although consumers could otherwise ascertain the
information from the separately required disclosures of lumens and
watts, the energy index reduces this information to a single
figure.\96\ Several comments favoring this disclosure also recommended
that it be no less than 50% of the size of the light output disclosure
and that it be accompanied by a definition or explanation of its
meaning on the same or another panel.\97\ Two comments recommended that
the Commission require disclosure of a ``range'' of energy indices for
available general service incandescent lamps and compact fluorescent
lamps like those the Commission requires for other products under the
Appliance Labeling Rule, with the performance of the labeled lamp
indicated on the range.\98\
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\94\See, e.g., NEMA, G-3, 34-35, (Supp.), G-10, 12; Osram (Tr.),
124, (Supp.), G-11, 2; Philips, G-5, 2, (Supp.), G-12, 1; Panasonic,
G-7, 2; LBL, GG-7, 1; MN DPS, GG-9, 2; OR DOE, GG-13, 2; LRC, GG-15,
2; US EPA, GG-17, 2-3; WA SEO, GG-18, 2; NEPS, GG-11, 3; GE (Tr.),
110, 140, 155, 198, (Supp.), G-9, 1 (GE would prefer that the
Commission require only a disclosure of lumens and watts and no
energy index, but would prefer an energy index disclosure over an
energy cost disclosure).
\95\Osram (Tr.), 124.
\96\See Id. at 125.
\97\NEMA (Supp.), G-10, 12; Osram (Supp.), G-11, 2; Philips
(Supp.), G-12, 1.
\98\LBL (Supp.), GG-22, 3; NIST (Supp.), GG-23, 2-3.
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Two comments opposed an energy index as unnecessary or
confusing.\99\ Other comments were concerned with the potential
overbuying problem identified by ACEEE (that the disclosure could
unintentionally force consumers to ``overbuy'' watts and lumens because
higher wattage incandescent lamps tend to have higher energy
indices.)\100\ Three comments, however, agreed with the Commission's
suggestion that the potential problem might be avoided by requiring the
prominent disclosure of wattage next to the energy index disclosure
and/or a definition or explanation that informs purchasers to look for
the lumens they want and then select the highest energy index.\101\ One
comment indicated that the potential overbuying problem was not likely
to be a significant one.\102\
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\99\IES, GG-6, 2; SCS, GG-16, 4.
\100\Angelo, G-1, 2; GE, G-2, (Ans.), 1-2; ACEEE, GG-1, 3,
(Supp.), GG-21, 1; MO DNR, GG-10, 2.
\101\LRC, GG-15, 2; WA SEO, GG-18, 2.
\102\OR DOE, GG-13, 2 (may be a problem for some lamps, but not
true in general).
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The Commission has determined not to require disclosure of a
lumens-per-watt index. Although support was expressed in the rulemaking
proceeding for this proposal, disclosing such an index could result in
consumers purchasing more watts than they need. This overbuying may
occur because a lumens-per-watt index will rise with wattage of
incandescent lamps. Thus, a consumer who buys the lamp with the highest
lumens-per-watt index may select a lamp that has a higher than required
light output and wattage. For example, overbuying may occur if a
consumer selects a 100-watt incandescent lamp with a 17 lumens-per-watt
index as a replacement for a 60-watt incandescent lamp with a 14
lumens-per-watt index or a 75-watt incandescent lamp with a 16 lumens-
per-watt index.
An energy index based on lumens per watt also could confuse
consumers who understand correctly that higher wattage lamps use more
energy. Because a lumens-per-watt index tends to increase with the
wattage of incandescent lamps, these consumers might be led to believe
that lamps with higher energy index numbers generally cost more to
operate. In that event, the much higher energy index numbers that would
appear on the labels of compact fluorescent lamps actually could
mislead some consumers into believing that these lamps were less energy
efficient.
In light of these potential disadvantages, the Commission has
determined not to adopt a lumen-per-watt index as a supplemental
disclosure. The Commission has concluded that the objectives of EPA 92
will be better achieved by supplementing the basic disclosures with the
Advisory Disclosure described in Part IV.C.2.c, below, which informs
consumers how to use the basic disclosures to select the most efficient
lamp for their needs.
b. Energy operating cost. Another proposal for conveying lamp
efficiency information was to require an energy operating cost
disclosure. As described in the NPR, ACEEE suggested requiring
disclosure of estimated annual operating cost.\103\ NEMA suggested
requiring disclosure of both an estimated annual operating cost and a
lumens-per-watt energy index.\104\ Based on these suggestions and other
considerations discussed in the NPR, the Commission proposed requiring
disclosure of estimated monetary cost of energy information, as an
alternative, or in addition to, a lumens-per-watt disclosure of the
lamp's energy efficiency.\105\
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\103\58 FR at 60154.
\104\Id. at 60153.
\105\Id. at 61055.
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In the NPR, the Commission stated that it might require a
disclosure of the estimated monetary cost of the energy used by a lamp
based on its use for a specified period, such as the lamp's life in
hours or a length of time based on average usage patterns. The
Commission explained that such a disclosure could be based on the
representative average unit cost of electricity, as specified in the
Appliance Labeling Rule, 16 CFR 305.9, or on an assumed unit cost. The
advantage of an operating cost disclosure is that it would reduce to
monetary terms the energy costs of competing lamp products. At the same
time, the Commission stated that it would consider carefully whether
such disclosures, particularly when the costs are prorated over a
period of time that is less than the life of a very energy efficient
bulb, communicate effectively the extent to which a higher initial lamp
cost can be compensated for by lower operating costs over the lamp's
life.\106\
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\106\For example, if a monetary cost of operation disclosure
were adopted, one usage period for which disclosures could be
calculated is 750 hours, which is approximately the life of general
service incandescent lamps with the shortest lifetimes. A second
option would be to set a longer period (e.g., 1000 hours). But,
where this period exceeds the average life of the lamp, the cost of
replacement of the lamp might come into play. A third option would
be to use a shorter period, such as one hour, 10 hours, or 100
hours. A shorter period, however, might be too small to illustrate
sufficiently energy cost differences among competing lamps.
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The Commission pointed out in the NPR that, if it adopted a
monetary cost of operation disclosure, it would have to base the
disclosure on an average or estimated usage pattern (e.g., one year).
The Commission noted, however, that there are no established usage
patterns, and estimated use will vary depending upon the location and
use of the lamp. In addition, the Commission would have to determine
what unit cost of electricity to use. The representative average unit
cost of electricity, as specified in the Appliance Labeling Rule (16
CFR 305.9), changes annually, and thus could result in consumer
confusion if lamps manufactured in different years were available for
sale at the same time. To avoid possible confusion, the Commission
explained that it might require manufacturers to include an explanation
of how the estimated energy cost was determined in immediate proximity
to the monetary cost estimate disclosure.\107\ The Commission
recognized, however, that the additional information could unduly
complicate the label, and therefore not be helpful to purchasers.
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\107\This would allow purchasers to compare the energy costs of
competing products with different lifetimes based on a time line
that is within the lifetime of all the competing products and is
large enough to illustrate clearly the differences among energy
costs and, therefore, of energy efficiencies. In the alternative,
the Commission explained that it could require that monetary cost of
operation estimates be based upon a constant unit cost of
electricity, such as 10 cents per hour, which although not fully
accurate for all purchasers, would facilitate lamp-to-lamp
comparisons.
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Because some purchasers may be interested in computing lamp costs
comprehensively, including the initial purchase price, the Commission
proposed requiring information to enable them to make the necessary
calculations to determine the ``estimated total operating cost'' of the
lamp for a standard time period.\108\ But, recognizing that purchasers
would need to make calculations for each lamp they considered, the
Commission stated that it would consider carefully the extent to which
purchasers actually would use the proposed disclosures in making a
purchase decision. As a practical matter, the Commission noted that
purchasers, particularly retail consumers, may disregard, or consider
too complex, any disclosure requiring computations of this sort, and
therefore that such required disclosures may not be useful to
purchasers in their efforts to choose an energy efficient lamp. The NPR
solicited comments on both the annual operating and total operating
cost disclosures proposed by the Commission.\109\
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\108\Specifically, the Commission proposed requiring the
following statement:
IMPORTANT: Energy efficient lamps may have a higher purchase
price, but could cost you less overall due to energy savings. The
estimated total operating cost of this lamp for 750 hours of use is:
([Figure A] x the purchase price for one light) + [Figure B]).
Compare this cost to the estimated total operating costs you
calculate for other lamps that provide the same or similar lumens.
The manufacturer would determine and preprint Figure A and Figure B
in this disclosure. The NPR explained how the manufacturer would
calculate these figures and included examples. The Commission
proposed a more detailed disclosure for multiple filament general
service incandescent lamps.
\109\See Questions 3 (``Disclosure of Monetary Cost of
Operation'') and 4 (``Disclosure of Estimated Total Operating
Cost''), 58 FR at 60158-59.
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The 17 comments that addressed cost disclosures were evenly
divided. Seven comments recommended that the Commission require some
kind of cost disclosure.\110\ Seven comments opposed such a
requirement.\111\ Two commentors initially supported cost disclosures,
but later recommended against them.\112\ One comment stated that if
cost disclosures were required, the NEMA proposal described in the NPR
for estimated annual operating cost along with an energy index would be
the best.\113\
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\110\ACEEE, GG-1, 1-2, (Tr.), 113-114, 149, (Supp.), GG-21, 1;
Gluckstern, GG-3, 1; MN DPS, GG-9, 2; MO DNR, GG-10, 2; NEPS, GG-11,
2-3; LRC, GG-15, 2-3; US EPA, GG-17, 3.
\111\GE, G-2, 7, (Tr.), 170; NEMA, G-3, 35-38, (Tr.), 131, 133,
139. (Supp.), 13, 23-26; OR DOE, GG-13, 3-5; Osram (Tr.), 131,
(Supp.), 3; Philips (Supp.), G-12, 1; Green Seal (Tr.), 159; SCS,
GG-16, 4-5.
\112\Angelo, G-1, 3 (support), (Tr.), 136, 157, 158 (oppose);
LBL, GG-7, 1-2 (support), (Supp.), G-22, 4 (oppose).
\113\WA SEO, GG-18, 2.
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Of the comments favoring a cost disclosure, only one recommended
including the purchase price of the lamp in the cost
disclosure.114 Most comments that supported cost disclosures, as
well as some comments in opposition and some additional comments,
opposed requiring disclosure of the ``estimated total operating
cost.''115 The objection most often offered was that manufacturers
have no control over the retail price of the products they manufacture,
which would make it impossible to disclose on packages a meaningful
operating cost figure that includes purchase price.
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\1\14NEPS, GG-11, 2-3. But see NEPS (Tr.), 199 (``I have put it
in my comments as something to be considered, and I am very willing
to back off on [life-cycle cost disclosure].'').
\1\15See Angelo, G-1, 3; Osram, G-4, 2; Philips, G-5, 2;
Panasonic, G-7, 2; ACEEE, GG-1, 1-2, 4 (retail prices vary too much
to require disclosure of estimated total operating cost); MN DPS,
GG-9, 2 (price based cost too complicated unless Commission
prescribes a table with several fixed prices for both bulb types);
MO DNR, GG-10, 2; LRC, GG-15, 2-3 (cost based on purchase price is
practically useless); US EPA, GG-17, 3 (life-cycle cost would be the
best, but it's too complicated; thus, estimated annual operating
cost over a standard time period is the best compromise).
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The comments supporting disclosure of estimated annual operating
cost favored the approach because they believe that consumers
understand dollars and that operating cost would provide useful
information.116 Most of these comments recommended using a fixed
unit cost for electricity, rather than the national average cost
figures published annually by DOE, and a fixed usage period.117
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\1\16See, e.g., ACEEE (Tr.), 149 (``We think you really need a
dollar cost disclosure. People understand dollars.'')
\1\17See, e.g., ACEEE (Supp.), GG-21, 1 (But see ACEEE, GG-1, 1-
2, in which ACEEE advocated earlier the use of a rounded version of
the DOE annual energy cost.); MN DPS, GG-9, 2; MO DNR, GG-10, 2;
LRC, GG-15, 2-3; US EPA, GG-17, 3. Even Philips, which opposed cost
disclosure requirements, agreed that, if they were required, they
should be based on a fixed energy cost. Philips, G-5, 2.
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Of those comments opposing required disclosure of operating cost,
most contended that cost disclosures would be difficult to develop and
would make disclosures too complicated, regardless of whether annual or
total costs were used.118 Several comments remarked that cost
disclosures in U.S. dollars would result in crowded labels and consumer
confusion because of the United States' increased trade with Canada and
Mexico under the North American Free Trade Agreement
(``NAFTA'').119
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\1\18See, e.g., SCS, GG-16, 4-5 (``Given that the most accurate
presentation of operating costs is utility district based (due to
utility rates (affecting operating cost) and rebates (affecting
purchase cost)) rather than national, printing operating costs
directly on the product package is problematic.'')
\1\19IES, GG-6, 2 (``Will labeling requirements necessitate bi-
and tri-language packaging to explain the (U.S. cost)
information?''); Osram (Tr.), 121; (Supp.), G-11, 3; GE, G-2,
(Ans.), 4, (Tr.), 140 (``The result of dollar cost operation on
package would force manufacturers to make country-specific
packaging. Country-specific packaging means that we are less
efficient and we are not as able to meet consumer demands in the
three (national) markets.''), 141 (noting that there could be
special problems with products bound for Canada, which would need
bi-lingual labels and, if cost were required, cost disclosures in
both US and Canadian dollars).
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Some comments that opposed mandatory cost disclosures recognized
that manufacturers might want to disclose some cost information
voluntarily in point-of-sale materials.120 Several comments
recommended that the Commission regulate how cost disclosures on
packaging or in point-of-sale materials should be made, if the
manufacturer wishes to make them. Of these, some recommended that the
Commission require manufacturers to disclose the product usage period
and energy cost assumptions upon which their cost claims were
based.121 Other comments suggested that the Commission should
prescribe standardized assumptions for any voluntarily-made operating
cost disclosures.122
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\1\20Osram (Supp.), G-11, 2; LBL (Supp.), GG-22, 4 (contending
that the information necessary to make informed purchasing decisions
between two lamps of different efficiencies and price takes two
forms: Total operating costs, and total life-cycle costs. ``Since
electricity rates vary considerably by region, hours of lamp usage
vary by consumer, and retail price depends on factors outside the
manufacturers' influence, it is difficult to present this
information on a product label. However, guidelines should be
established by the Commission for presentation of these quantities
in point-of-purchase information to avoid confusing or inaccurate
claims in product advertising.''); SCS, GG-16, 4-5.
\1\21NEMA (Supp.), G-10, 25 note ** (``NEMA believes that the
Commission should not mandate specific assumptions that must be used
in voluntary cost disclosures. Rather, the Commission should require
that manufacturers who choose to make disclosures must disclose
their assumptions about the cost of electricity and annual hours of
lamp use.''); Philips (Supp.), G-12, 1 (``Any such (voluntary
operating cost) disclosures should be based on substantiated test
data and any assumptions (should be) disclosed on the package.'').
\1\22See Angelo (Tr.), 136, 157 (suggesting that the Commission
set a standard to avoid one manufacturer using 10 cents per kWh and
another using 15 cent per kWh), 158; GE (Tr.), 170 (``We do agree
that if cost of operation is going to be optionally claimed on a
package, then it is a good idea to have a standard set of
assumptions.''), 170-72 (cautioning that, unless the required
assumptions are keyed into flexible marketplace standards, there is
a risk of their becoming outdated, which would undermine credibility
and inhibit the main goal: Consumers switching from general service
incandescent lamps to compact fluorescent lamps); Green Seal (Tr.),
159 (``* * * I think it makes sense, therefore, to lay out what the
assumptions are and once that is done, there is a standard.'');
Osram (Supp.), G-11, 2 (supports development of a common set of
criteria for operating cost disclosures on lamp packages where the
manufacturer chooses to display them, and suggests basing
disclosures in meantime on 1100 hours use per year and 10 cents per
kilowatt-hour).
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The Commission has determined not to require disclosure of
operating cost information for general service incandescent
(nonreflector) lamps and medium base compact fluorescent lamps. The
Commission agrees that fluctuations in retail purchase prices for lamp
products and utility company rebates make it a practical impossibility
for manufacturers to disclose a meaningful total operating cost that
includes purchase price.123 The Commission also agrees that
varying energy rates and consumer usage patterns would make it
necessary to require computation of annual operating cost on the basis
of questionable assumptions.124 This would make it difficult, if
not impossible, to provide current, accurate and meaningful annual
operating cost information for prospective lamp purchasers.125
Because purchasing decisions are likely to be made very quickly for
lamps, which are relatively low-priced items, complicated disclosures
involving operating costs are unlikely to be heeded by purchasers at
the point of sale and may possibly be confusing.126 Therefore, a
required energy operating cost disclosure would not be useful in
helping buyers make purchasing decisions.127
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\1\23To encourage the use of compact fluorescent lamps, some
utility companies offer significant rebates to their customers for
purchasing them. These offers usually accompany the consumers'
utility bills, and include explanations of why compact fluorescent
lamps can save energy and money.
\1\24Various studies have shown that 1100 operating hours per
year is the average figure for a lamp in a residential setting.
Osram (Tr.), 122. To use this average where the lamp a consumer
actually purchases only has a 750 hour life, however, could be
confusing. GE (Tr.), 155. See notes 106, 108, above.
\1\25Also, because the dollar cost figure on the package will
not relate to what the consumer is paying for the lamp, it is likely
to be confusing to consumers. Tr., 132-33, 138-39.
\1\26See, e.g., NEMA, G-3, 36-37. According to GE, of industry
sales of all incandescent lamps to residential purchasers in 1992,
36% were sold through mass merchants, 31% through food and grocery
outlets, 22% through hardware and home center stores, 7% through
drug stores and 4% through all other outlets. GE (Tr.), 105(4).
Seventy eight percent of all these lamps are purchased by
residential consumers walking themselves through the purchase
decision, without expert assistance. GE (Tr.), 105(5). In addition,
the average residential consumer spends 53 minutes total for all
purchases per stop in grocery or food stores, GE (Tr.), 108, so the
consumer obviously spends little time deciding which lamp to
purchase in these stores.
\1\27In contrast, information disseminated to consumers in other
ways, such as utility company bill inserts, may be more useful.
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The labeling rules do not prohibit manufacturers from disclosing
operating cost information, if they choose to do so. The Commission has
determined not to prescribe standardized assumptions for these
disclosures. The final labeling rules, however, require that, if
manufacturers voluntarily choose to make operating cost disclosures on
packaging labels, in catalogs or in point-of-sale printed materials,
they disclose the unit energy cost, usage patterns, purchase price, and
other assumptions upon which the operating cost claims are based. See
Secs. 305.11(e)(3), 305.13(a)(2) and 305.14(d)(2) in ``Text of
Amendments,'' below.
c. Advisory disclosure. As discussed above, the Commission has
determined to require that packaging and catalogs contain an Advisory
Disclosure that advises consumers how to select the most efficient lamp
for their needs. The Advisory Disclosure is:
To save energy costs, find the bulbs with the light output you
need, then choose the one with the lowest watts.
This statement advises consumers how to use the lumen and wattage
disclosures that will be on the packages to make energy efficient
choices. It has the benefits of the explanatory statement that would
have accompanied the Energy Index, without the potential overbuying
drawback of the index number itself. Like the proposed Energy Index, it
may alert consumers to consider lamps, such as halogen incandescent
lamps or compact fluorescent lamps, which have lower wattages but
produce comparable amounts of light output as higher-wattage
incandescent lamps.
3. Additional Disclosures for Multiple Filament Incandescent Lamps
For multiple filament (``three-way'') general service incandescent
lamps (i.e., incandescent lamps with two filaments of different wattage
that can be burned either separately or together, producing three
different light output levels), the Commission proposed requiring that
design voltage, wattage, light output and an efficiency measure be
disclosed for operation at each level. It proposed that the life rating
be based on the life of the first filament that fails. The Commission
solicited comments on whether and how proposed operating cost
disclosures should apply to multiple filament lamps.128
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\1\28See 58 FR at 60155, and Questions 3 and 4, at 60158-59.
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Five comments addressed how to disclose wattage, light output,
laboratory life and the energy index for these lamp products.129
There was general agreement among these comments that the Commission
should require disclosure of watts and lumens for all three settings,
and that the required disclosure of the laboratory life of the lamp
should be determined on the basis of the major filament.130 One
comment recommended requiring use of the average wattage ``as used'' in
calculating an estimated operating cost.131
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\1\29NEMA, G-3, 45, (Tr.), 206-207, (Supp.), G-10, 14; GE (Tr.),
211; Osram (Supp.), G-11, 3; Philips (Supp.), G-12, 1; OR DOE, GG-
13, 7.
\1\30Id.
\1\31ACEEE, GG-1, 3.
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Based on the discussion in Part IV.C.1.a-e, above, the Commission
has determined to require, for multiple filament lamps, the same
disclosures required for a single filament lamp, i.e., energy used (in
terms of wattage), light output (in lumens), laboratory life (in hours)
and the Advisory Disclosure. Consistent with the Light Bulb Rule, the
Commission has determined to require disclosure of wattage and light
output for each light output level of a multiple filament lamp. The
Commission has determined to require disclosure of average laboratory
life on the basis of the filament that fails first, rather than on the
major filament, as suggested by the comments.132 If the secondary
filament routinely fails before the major filament, basing the life
estimate on the major filament would not be helpful to purchasers. For
the reasons explained in Part IV.C.2.b, above, the Commission has
determined not to require energy operating cost information for
multiple filament lamps. See Sec. 305.11(e)(1)(G) in ``Text of
Amendments,'' below.
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\1\32This is consistent with the Light Bulb Rule. 16 CFR 409.1
n. 1.
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4. Additional Disclosures Recommended for Compact Fluorescent Lamps
Several comments recommended requiring disclosures for compact
fluorescent lamps that would be unique to this type of lamp. These
suggestions are discussed below.
a. Equivalence claims. In its proposal described in the NPR, ACEEE
suggested that the relative light output of a compact fluorescent lamp
be measured by comparing it to an incandescent reference lamp, with an
incandescent reference lamp being defined for each common type and
wattage of compact fluorescent lamp.133 Presumably, this would
provide those purchasers who use watts when buying incandescent lamps
with light output information they could use in deciding which compact
fluorescent lamp would provide the most comparable replacement for that
incandescent reference lamp. Responding to this suggestion, some
comments recommended against requiring that the lumens of compact
fluorescent lamps be expressed as a percentage of the light output of
an incandescent reference lamp.134 Others favored such an
approach.135
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\1\3358 FR at 60154.
\1\34LBL (Supp.), GG-21, 2 (``CFL package information should not
claim equivalent light output based on incandescent wattage'').
\1\35MN DPS, GG-9, 2 (``It would be confusing to express light
output of a lamp as a percent of a reference lamp. Comparison with
reference lamps is an excellent approach, but the comparison should
be simply stated in watts, lumens per watt and lumens. It would be
especially helpful in encouraging the sale of compact fluorescent
lamps to have a comparable light output compact fluorescent lamp as
the reference lamp for incandescent lamps and vice-versa.''); LRC,
GG-15, 2; MA AG (Supp.), GG-24, 2.
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The Commission believes that the disclosure of wattage, light
output in lumens, and the other factors required by the final labeling
rules, will be sufficient to allow purchasers to compare competing
products when making purchasing decisions, without the necessity of
tying a compact fluorescent lamp to a specific incandescent reference
lamp. Therefore, the Commission has decided not to require disclosure
of an equivalent reference lamp for each compact fluorescent lamp.
Manufacturers may voluntarily choose to make equivalence claims,
however.
b. Base-up/base-down measurement. Most comments that specifically
addressed the light output performance of compact fluorescent lamps
suggested that lumen measurements for these products vary depending on
whether the lamp is tested in a base-up or base-down position.136
For example, there was testimony at the Workshop to the effect that
there could be as much as a 20 to 30 percent variation in light output
between a base-down and a base-up configuration, depending on the lamp
and its installation.137 The comments also state that no test
procedure has yet been developed to measure lumens accurately for
compact fluorescent lamps in a base-down position.138
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\1\36See, e.g., ACEEE, GG-1, 3, (Tr.), 234, (Supp.), GG-21, 3;
OR DOE, GG-13, 10; LRC, GG-15, 2, (Tr.), 235; US EPA, GG-17, 2;
Osram (Tr.), 233, 242; GE (Tr.), 236; NEMA (Tr.), 272; Philips
(Supp.), G-12, 1; LBL (Supp.), GG-22, 2. Compact fluorescent lamps
normally are tested for light output ratings with the base facing
upward. On the other hand, compact fluorescent lamps used as
replacements for incandescent lamps normally are used with the base
facing downward. This difference in position may result in a
different light output. In addition, the temperature of the
environment surrounding the compact fluorescent lamp also affects
light output. When compact fluorescent lamps are used in enclosed
luminaires with internal temperatures that are elevated above room
temperature, the result may be reduced light output. The same is
true when compact fluorescent lamps are operated outdoors at low
temperatures. Rensselaer Polytechnic Institute, Lighting Research
Center, National Lighting Product Information Program, Specifier
Reports: Screwbase Compact Fluorescent Lamp Products (``Rensselaer
Report''), Vol. 1, Issue 6, April 1993, C-3, at 6.
\1\37See, e.g., US EPA, GG-17, 2; Osram (Tr.), 233; LRC (Tr.),
235.
\1\38See ACEEE (Supp.), GG-21, 3; LBL (Supp.), GG-22, 2; OR DOE,
GG-13, 10.
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There was general agreement among these comments that the fact that
lumens will vary between base-up and base-down applications should be
addressed in the disclosure requirements. Most comments also agreed
that, if there were more than a five percent difference between base-up
and base-down lumens, manufacturers should be required to disclose each
separately, disclosing base-down lumens to the best of their
ability.139 The Commission agrees that, to the extent the base-up/
base-down positioning of compact fluorescent lamps affects the light
output of the lamps significantly, those differences in light output
should be disclosed. The Commission finds that a difference of more
than five percent in lumen output is significant, and has determined
that the labeling rules shall require disclosure of light output in
lumens for both base-up and base-down positions when the manufacturer
has reason to believe that the difference between the two disclosures
would be more than five percent. Therefore, if the manufacturer has
reason to believe the light output at a base-down position would be
more than 5% different, the label also must disclose the light output
at the base-down position or, if no test data for the base-down
position exist, that the light output for a base-down position might be
more than 5% less. See Sec. 305.11(e)(1)(E) in ``Text of Amendments,''
below.
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\1\39LRC (Tr.), 235; ACEEE (Tr.), 239, (Supp.), GG-21, 3 (would
prefer that a test procedure for base-down lumens be developed but
supports disclosure based on multiplier in interim); NEMA (Tr.),
272; Philips (Supp.), G-12, 1.
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c. CRI and CCT. Some comments suggested that the Commission require
the disclosure of the color rendering index (``CRI'') and the
correlated color temperature (``CCT'') for compact fluorescent
lamps.140 These two measurements are used by the industry to
describe the color of the light that compact fluorescent lamps produce.
The record on whether these factors should be disclosed is insufficient
for the Commission to prescribe labeling requirements. Although these
are useful disclosures for commercial consumers and for some
knowledgeable residential consumers, they are not necessary for them or
other purchasers to select the most energy efficient lamps to fill
their lighting needs. Additionally, it would be difficult to explain
the meaning and use of these items in concise and simple terms on the
limited space available on lamp packaging. To the extent such
information is important, it is likely that manufacturers, utility
companies and other interested parties voluntarily will provide that
information on packaging or by other means. If they do not and
consumers are dissatisfied with the performance of compact fluorescent
lamps, they will not make repeat purchases of compact fluorescent
lamps. Consequently, the Commission is not requiring the disclosure of
CRI or CCT for compact fluorescent lamps.
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\1\40WA SEO, GG-18, 3; MA AG, GG-8, 3, (Supp.), GG-24, 1-2; OR
DOE, GG-13, 5-7, 7-8; ORSU, GG-14, 2-3. EPCA defines these two terms
as follows:
The term ``color rendering index'' or ``CRI'' means the measure
of the degree of color shift objects undergo when illuminated by a
light source as compared with the color of those same objects when
illuminated by a reference source of comparable color temperature.
42 U.S.C.A. 6291(30)(J) (West Supp. 1993).
The term ``correlated color temperature'' means the absolute
temperature of a blackbody whose chromaticity most nearly resembles
that of the light source. 42 U.S.C.A. 6291(30)(K) (West Supp. 1993).
The NPR proposed including these definitions of CRI and CCT in
the Rule because they are terms that will often be used in
connection with the marketing of fluorescent lamp products and
because DOE may include them in its standards or test procedure
rules.
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d. Operating temperature. OR DOE recommended that the Commission
require disclosure of the effect of operating temperature on compact
fluorescent lamps. OR DOE stated that many fluorescent products do not
start or operate well at very low temperatures, such as in outdoor
lighting in cold temperatures, and do not provide full light output at
very low or very high temperatures.141 The record does not contain
sufficient specific information for the Commission to conclude how
significant and extensive the effects of temperature are on compact
fluorescent lamps in actual practice and to determine what specific
disclosures are needed. Moreover, it appears that manufacturers already
disclose the temperature factor in some instances on compact
fluorescent lamp packages. To keep the required disclosures simple and
concise, therefore, while fulfilling the statutory mandate concerning
the important information the labeling rules should provide, the
Commission has determined not to require disclosures concerning the
operation of compact fluorescent lamps under these operating
conditions.
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\1\41OR DOE, GG-13, 5-6. OR DOE's comment directed this concern
to all fluorescent lamp products. Because general service
fluorescent lamps are purchased overwhelmingly for commercial use,
and most commercial purchasers are more knowledgeable about the
factors affecting performance of those lamp products, the Commission
is addressing this issue primarily as it concerns compact
fluorescent lamps purchased by residential consumers.
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e. Noise and interference factors. Several comments suggested
requiring disclosure of warning-type information, such as the
possibility that compact fluorescent lamps will interfere with some
remote control and other electronic devices.142 One comment
recommended requiring the disclosure of power quality and noise
factors.143 Although noise interference warnings appear on
packaging for at least some compact fluorescent lamps, there was
insufficient information presented on the rulemaking record about how
significant these factors are. In light of this, as well as the
practical necessity to limit required disclosures to the most important
information consumers need, the Commission has determined not to
require disclosure of these factors. To the extent manufacturers wish
to disclose information about any of these factors in a truthful and
non-deceptive way, they will be free to do so.
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\1\42MA AG, GG-8, 1-3, (Supp.), GG-24, 1-2; NEPS, GG-11, 3; LBL,
GG-7, 2.
\1\43ORSU, GG-14, 3.
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5. Location and Format of Packaging Disclosures
a. Location. As described in the NPR, NEMA proposed that the
disclosures discussed above for general service incandescent
(nonreflector) lamps and medium base compact fluorescent lamps appear
on at least one panel of the outer sleeve of lamp packages. NEMA
suggested that the Commission specify both type size and relative size
specifications for the disclosures, and that the Commission require
that the supplemental disclosures NEMA proposed (the energy index and
estimated annual operating cost) be disclosed in a square at least one
inch by one inch.144
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\1\4458 FR at 60153-54.
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ACEEE's suggestions, as described in the NPR, did not contain
specific format recommendations. ACEEE suggested, however, that the
Commission specify label content and size, while allowing manufacturers
flexibility to design their own customized labels within the specified
parameters.145
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\1\45Id. at 60154.
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The Commission did not propose specific formats in the NPR for the
size or location of the disclosures under consideration. The Commission
stated, however, that it would consider requiring that the principal
disclosures be featured on the front panel of a package label, perhaps
within a graphic box, while permitting other disclosures to be placed
elsewhere.146
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\1\46Id. at 60156.
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Accordingly, the Commission has determined to require that the
basic disclosures147 and the Advisory Disclosure be made on the
principal display panel of packages for these two types of lamps. The
comments that addressed where these disclosures should be made agreed
that key disclosures should be on the front panel, or on ``at least one
panel.''148 The Commission has determined that it is unnecessary
to prescribe exact specifications for all aspects of the required
disclosures. But, to ensure prominent display of the light output
figure as well as the word, ``lumens,'' the Commission is specifying
format requirements for these and the other performance
disclosures.149 See Secs. 305.11(e)(1)(A) and 305.11(e)(1)(B) in
``Text of Amendments,'' below.
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\1\47The basic disclosures are: design voltage (if other than
120), energy used (expressed in watts), light output (expressed in
lumens), life (expressed in hours), and number of bulbs in package
(if more than one).
\1\48See, e.g., OR DOE, GG-13, Enclosure (showing proposed
disclosures for front and back package panels); Osram (Supp.), G-11,
1 (disclosures should be made on the main panel); Philips (Supp.),
G-12, 1 (disclosures should be on at least one panel of the lamp
package); NEMA, G-3, 39, (Supp.), G-10, 10 (the main disclosures
should be on at least one panel of the package). Although its
comment was directed at the disclosure of an energy efficiency
range, NIST's remarks on disclosure location are pertinent:
The side of the package is not in a prominent display situation
since the customer must remove the package in order to examine the
sidebar information. That is probably too late in the decision
process for many purchasers. It would seem to be more advantageous
to show such information on the front of the package. Then the buyer
could more readily determine that there is another option before
removing from the shelf. As GE noted, the crowded display areas can
become confusing, if not overwhelming, for a wise choice to be made
from the many offerings displayed. Therefore, it seems to be even
more important to get the information displayed up front.
NIST (Supp.), GG-23, 2.
\1\49See NEMA, G-3, 6 (package design plays an important part in
the sale of lamps, package has limited space, specific words and
formats matter greatly).
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b. Type size, pominence, and graphic enclosures. Many comments
stressed the importance of making the light output disclosure with
prominence that is equal or similar to the energy used (wattage)
disclosure. These comments agreed that, to encourage consumers to shop
for lamps based on efficiency, the disclosure requirements should
direct consumers' attention to light output in lumens. To accomplish
this, the comments generally recommended that the lumens number be
disclosed in a size that is at least 50% as large as the wattage number
and that it be disclosed with prominence equal to the disclosure of
watts.150
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\1\50See, e.g., Angelo (Tr.), 156; GE, G-2, 7, (Ans.), 9. (Tr.),
179 (does not believe that lumens should be larger than watts on the
package); NEMA, G-3, 39 (wherever wattage is displayed, light output
must be disclosed in close proximity, in type that is at least 50
percent the size of the wattage figure); 42 (Commission should
consider requiring all disclosures of wattage be accompanied by a
reference to light output of equal size and prominence), (Supp.), G-
10, 12 (disclosure of light output in lumens should be at least the
same size and no less prominent that the disclosure of wattage);
Philips, G-5, 2 (the words Light Output should appear in close
proximity to the wattage, in print at least 50% that of the
wattage); MO DNR, GG-10, 3 (brightness (lumens), yearly energy
costs, and lamp life should be more prominent than other required
information such as watts, volts, and size); WA SEO, GG-18, 1-2 (to
begin steering consumers to lumens, lumens disclosure should be
larger in comparison to watts than is presently required; it should
perhaps be of equal size and prominence); Osram (Supp.), G-11, 1
(light output disclosure should be no smaller than the wattage
disclosure); ACEEE (Supp.), GG-21, 1 (agrees with the proposal
forwarded by Angelo that the lamp package have both lumens and watts
printed in equal size).
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The Commission agrees that the requirements should direct consumers
to the lumen disclosure, and facilitate consumers' understanding of the
meaning of the various terms. In the Commission's experience, this will
be facilitated by using simple, understandable language and putting the
most important information first. Accordingly, the amended rule
specifies that the required disclosures appear in the following order:
(1) The term ``light output'' followed by the lumens figure, and,
in close proximity to either of these, the term ``lumens;''
(2) The term ``energy used'' followed by the wattage figure, and,
in close proximity to either of these, the word ``watts;'' and
(3) The term ``life'' followed by the life in hours figure and, in
close proximity to either of these, the word ``hours.''
In addition, the disclosures must conform to the following type
size requirements:
(1) The three numerical figures must be of equal size;
(2) The terms ``light output,'' ``energy used'' and ``life'' must
be of equal size; and,
(3) The terms ``lumens,'' ``watts,'' and ``hours,'' must be of
equal size but only approximately 50% of the size of the terms ``light
output,'' ``energy used,'' and ``life,'' while still clear and
conspicuous.
See Sec. 305.11(e)(1)(B) and appendix K in ``Text of Amendments,''
below.
The rules require that lamp packages contain an Advisory Disclosure
to educate purchasers how to select the most efficient lamp that meets
their needs. The required Advisory Disclosure is:
To save energy costs, find the bulbs with the light output you
need, then choose the one with the lowest watts.
This statement must appear on the primary display panel of the lamp
package, along with the required disclosures of lumens, watts and life.
The Commission is not specifying the type size or style of this
reference, but it must be clearly and conspicuously displayed. See
Sec. 305.11(e)(1)(F) in ``Text of Amendments,'' below.
6. Disclosures in Catalogs
In the NPR, the Commission proposed that required information be
disclosed both on packages and in catalogs from which the lamp products
may be purchased.151 EPCA authorizes the Commission to require
that information required on labels be contained in catalogs. 42 U.S.C.
4296(a) (1988). For consumers who purchase lamps through catalogs for
either residential or commercial use, the catalog serves the same
informational function as a package does for those who purchase the
product off a store shelf.
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\1\5158 FR at 60154-56.
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Most of those who commented on this issue generally supported the
Commission's proposal. NEMA originally recommended against the
Commission's proposal, arguing that the disclosures that NEMA had
proposed were uniquely suited to the size and space constraints of
packages, and did not necessarily translate well to disclosures in
catalogs.152 In its final comment, however, NEMA recommended
requiring disclosure of all required information in catalogs, except
lumens per watt and number of bulbs in the package.153 OR DOE and
WA SEO recommended that all required disclosures be required in
ordering catalogs.154 Home Depot recommended that the Commission
clearly define ``catalog'' to differentiate between manufacturers'
catalogs and retailers' advertising catalogs or circulars from which
lamps can be ordered.155
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\1\52NEMA, G-3, 46-47.
\1\53NEMA (Supp.), G-10, 14.
\1\54OR DOE, GG-13, 9 (labeling disclosures for all products
should also be required in catalogs from which these products are
sold, whether at retail or wholesale; where a labeling requirement
applies to entire categories of products in the catalog, the
disclosure could be made once, prominently, at the very least on
each page); WA SEO, GG-18, 4.
\1\55Home Depot, GG-5, 2.
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The Commission has concluded that the required disclosures are
important to both commercial and residential purchasers of these two
types of lamps, whether they are purchasing the lamps in a store or
through a catalog. The Commission has determined, therefore, to require
that all disclosures that Sec. 305.11(e) requires on packaging be made
clearly and conspicuously in catalogs from which the lamps can be
ordered, with the exception of the number of lamps in a package. The
Commission is not requiring this last disclosure in catalogs because
catalogs often offer lamps packaged in different ways. In some cases,
lamps are offered in cartons containing smaller packages of several
bulbs apiece. In others, lamps are offered in bulk quantities and the
lamps are not shipped in retail-store-type packages. In both cases, the
catalogs clearly disclose price and quantity with respect to the lamps
described on their pages. In contrast, in some instances at point of
sale, without actually opening a package, it is not clear how many
lamps are inside.
For catalogs not distributed to consumers for making purchases for
personal use or consumption by individuals, the disclosures need not
comply with the format provisions of Sec. 305.11(e)(1)(B), but must
only be disclosed clearly and conspicuously. The Commission also agrees
with OR DOE's recommendation that, in cases in which the same
disclosure applies to entire categories of products in the catalog, it
is only necessary for the required disclosure to be made once on each
page on which such products appear. Accordingly, the labeling rules
allow this accommodation. See Sec. 305.14(d)(1) in ``Text of
Amendments,'' below. The Rule also requires that, if manufacturers make
operating cost claims in catalogs, they disclose, clearly and
conspicuously, the assumptions (unit cost of electricity, usage period,
purchase price, etc.) that were used. See Sec. 305.14(d)(2) in ``Text
of Amendments,'' below.
7. Disclosures in Point-of-Sale Printed Materials
In the NPR, ACEEE suggested that the required disclosures for
residential purchasers be disclosed on point-of-sale materials as well
as on packages.156 The Commission proposed that, as one option for
disclosures for lamps sold in bulk without individual packages,
manufacturers be required to include the prescribed information in
written materials in shipping cartons and retailers be required to
disclose it at point of sale.157 This proposal was based on EPCA,
which authorizes the Commission to require disclosure, in written
materials displayed or distributed at point of sale, of any information
required on labels. 42 U.S.C. 6294(c)(4) (1988). In the ``Questions for
Comment'' section of the NPR, the Commission solicited comment on the
appropriateness of point-of-sale requirements.158
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\1\5658 FR at 60154.
\1\57Id. at 60155.
\1\58Id. at 60159.
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The comments were divided on whether the Commission should require
disclosures in point-of-sale materials for general service incandescent
lamps and compact fluorescent lamps. ACEEE consistently recommended
that the Commission require disclosure of annual operating and life-
cycle cost information in point-of-sale materials.159 Although
initially neutral on this point, NEMA ultimately opposed mandatory
disclosures at point of sale in favor of a requirement that
manufacturers be required to disclose only the assumptions upon which
any voluntary point-of-sale disclosures are based.160 GE stated
that, if the Commission wished to provide additional information
explaining the meaning and use of the lumens-per-watt energy index
disclosure, the method most suited for such disclosures is in point-of-
sale materials.161 LBL suggested that the Commission either
prescribe the assumptions upon which operating cost disclosures are
based (such as cost of electricity and hours of use) or, at least,
require that manufacturers disclose whatever assumptions they use in
point-of-sale materials.162 Osram supported the disclosure of
operating costs only at point of sale and recommended that the
Commission prescribe specific cost and use assumptions for those
disclosures.163 Home Depot and SCS recommended that the Commission
issue no requirements relating to point-of-sale disclosures, but that
it allow such disclosures voluntarily.164
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\1\59ACEEE, GG-1, 3-4, (Tr.), 169, 188, 201, (Supp.), GG-21, 1.
ACEEE recommended charts disclosing several lumens-per-watt
efficiencies cross-referenced to various operating costs based on
different unit costs for electricity. LBL appeared to support this
approach, but recommended disclosing different wattages in place of
lumens per watt. LRC (Tr.), 188-189.
\1\60Initial neutrality: NEMA, G-3, 40-42, 47. Later opposition:
NEMA (Tr.), 190-192, (Supp.), G-10, 14, 26.
\1\61GE (Ans.), G-2, 1.
\1\62LBL (Supp.), GG-22, 1, 4.
\1\63Osram (Supp.), G-11, 2.
\1\64Home Depot, GG-5, 2 (Tr.), 196.
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The Commission has determined not to mandate particular disclosures
at the point of sale (other than the disclosures on packaging). The
Commission's requirements for disclosures on packages and in catalogs
will provide purchasers of general service incandescent lamps and
compact fluorescent lamps with information sufficient to enable them to
select the most energy efficient lamps to fill their lighting needs.
Several comments suggested that the Commission also require
disclosure of energy cost information, or at least specify the bases
(i.e., the unit energy cost and usage patterns) on which any
voluntarily made energy cost claims are calculated. The Commission
declines to do so, for the same reasons the Commission determined not
to require disclosure of energy cost information on packaging or to
prescribe the assumptions on which voluntary energy cost information is
provided. The Commission has concluded, however, that it is important
that consumers be made aware of the assumptions on which any energy
cost claims on packaging or in point-of-sale written materials are
based. Therefore, the final labeling rules require that the assumptions
(unit cost of electricity, purchase price, hours of use, patterns of
use, etc.) on which any voluntary claims about energy operating cost
are made be clearly and conspicuously disclosed in connection with such
claims on packaging or in point-of-sale written materials.165 See
Sec. 305.11(a)(2) in ``Text of Amendments,'' below.
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\1\65See Part IV.C.2.b, above.
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D. Disclosures for General Service Incandescent Reflector Lamps
In the NPR, the Commission stated that incandescent reflector lamps
would be within the category of general service incandescent lamps
under the Commission's proposed labeling rules.166 As such, the
rule amendments would have required manufacturers of these products to
disclose design voltage (if other than 120), wattage, light output
(expressed in lumens), life (expressed in hours), a supplemental
disclosure (either lumens per watt or operating cost), and number of
bulbs in the package (if more than one).167 ACEEE's proposal, as
outlined by the Commission in the NPR, would also apply equally to
reflector and nonreflector general service incandescent lamps. In
contrast, as discussed in the NPR, NEMA recommended that general
service incandescent reflector lamps be subject to disclosure
requirements that would be substantially different from those required
for other general service incandescent lamps. Specifically, NEMA
recommended requiring, for incandescent reflector lamps, the same
disclosure it proposed for general service fluorescent lamps (i.e.,
disclosure only of the encircled capital letter ``E,'' as the Rule
presently requires for fluorescent lamp ballasts, 16 CFR 305.11(d)).
This would designate that the product meets the energy conservation
standards established in EPCA.168 NEMA suggested that the
designation be indicated in the manufacturer's catalogs and other
printed material, and that the encircled ``E'' be etched on the
products themselves.169
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\1\6658 FR at 60151.
\1\67Id. at 60154-55.
\1\6842 U.S.C.A. 6295(i)(1)(A) (West Supp. 1993).
\1\6958 FR at 60152-53.
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1. Disclosures on Packaging and in Catalogs
Fourteen of the participants commented on what type of disclosures
the Commission should require for general service incandescent
reflector lamps. Five comments supported limiting the required
disclosures for these lamps to an encircled ``E,'' as NEMA
suggested.170 Six supported a requirement to disclose the basic
elements and efficiency index proposed by the Commission.171 Three
favored a requirement to disclose the encircled ``E,'' but with
additional limited disclosures.172
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\1\70NEMA, G-3, 29, (Supp.), G-10, 28; IES, GG-6, 2; GE, G-2, 6,
(Ans.), 1, 2; Philips, G-5, 2; Supreme (Supp.), G-13, 1.
\1\71LBL, GG-7, 1; MN DPS, GG-9, 1-2; MO DNR, GG-10, 1; OR DOE,
GG-13, 2-7, 7-8; WA SEO, GG-18, 2; Angelo, G-1, 2. The basic
elements are: Voltage (if other than 120), wattage, light output
(expressed in lumens), laboratory life (in hours), and number of
bulbs in the package (if more than one).
\1\72Osram, G-4, 2, (Supp.), G-11, 4; ACEEE, GG-1, 3, (Supp.),
GG-21, 2; LRC, GG-15, 3, (Tr.), 312.
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Those supporting an encircled ``E'' disclosure for general service
incandescent reflector lamps argued that the minimum efficiency
standards added to EPCA by EPA 92 for these lamps173 would
eliminate all but the efficient models,174 leaving purchasers with
little choice among the remaining models in terms of energy
efficiency.175 They also contended that, because the products are
purchased for the specialized purpose of directing a focused beam of
light onto an area or object, purchasers are primarily interested in
the pattern (or spread) and the intensity of the beam.176 NEMA and
Philips, moreover, maintained that manufacturers are already disclosing
the elements that are relevant to purchasers of these lamps--wattage,
voltage, life, beam intensity and beam spread.177 NEMA added that
the Commission can rely on marketing pressures to compel manufacturers
to continue making disclosures of pertinent lighting characteristics
without a mandate.178 These comments concluded that the Commission
does not have to require most of the elements proposed for other
general service incandescent lamps and compact fluorescent lamps for
purchasers to be able to select a general service incandescent
reflector lamp.
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\1\7342 U.S.C.A. 6295(i)(1)(A) (West Supp. 1993).
\1\74NEMA (Supp.), G-10, 28; Philips (Supp.), G-12, 2.
\1\75Osram (Supp.), G-11, 3.
\1\76GE, G-2, 3, 6, (Ans,), 2, 9, (Tr.), 301, 304; NEMA, G-3,
19-21, 30; Osram (Tr.), 295 (``When you purchase a reflector
incandescent lamp, you are interested in how it concentrates the
light on the particular object or task that you bought the lamp to
illuminate. And that typically is characterized * * * in terms of
beam spread and beam performance.''); IES, GG-6, 2.
\1\77NEMA, G-3, 29-30, (Supp.), G-10, 29; Philips, G-5, 2
(Philips limited its remarks to beam characteristics).
\1\78NEMA, G-3, 31.
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Three comments supporting disclosure of all the basic elements for
general service incandescent reflector lamps did not agree that the
EPCA standards would eliminate variation among the efficiencies of
these products.179 LBL contended that the variation is actually
likely to increase in the future.180 The supporting comments
generally stated that purchasers should be provided with information
that will enable them to distinguish between the lamps that meet the
standards and those that exceed them.181 One comment also
suggested requiring the disclosure of beam spread for these
products.182
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\1\79Angelo (Supp.), G-8, 2 (``To presume, as NEMA does, that
halogen PAR lamps, which already meet the standards, will simply
capture the entire market, belittles the attempts of others to meet
the efficiency standards with less expensive technology.''); ACEEE
(Supp.), GG-21, 2 (``* * * the ``circle E'' alone does not reflect
the substantial variations in efficacy among incandescent reflector
products that exceed [EPA 92] efficiency standards.'') LBL (Supp.),
GG-22, 3 (``While the minimum efficacy required by [EPA 92] for
incandescent reflector lamps in effect mandates halogen reflector
lamps or better, there are more efficacious options on the market,
such as halogen infrared and compact fluorescent reflector lamps.
Future technology may bring even more lamps with higher
efficiencies.'').
\1\80LBL (Supp.), GG-22, 3.
\1\81Angelo, G-1, 2; ACEEE (Supp.), GG-21, 2; LBL, GG-7, 1; MN
DPS, GG-9, 1-2; MO DNR, GG-10, 1; WA SEO, GG-18, 2.
\1\82WA SEO, GG-18, 3.
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Some commentors changed their positions on this issue. Although
initially opposing the NEMA recommendation (i.e., for the encircled
``E''), ACEEE later stated that publishing an encircled ``E'' on
incandescent reflector lamp packaging would be acceptable as long as
wattage, life, and lumens per watt were included in catalogs.183
LRC originally supported the encircled ``E'' requirement alone, but, at
the Workshop, added that its support was dependent on a requirement to
include wattage and life disclosures (presumably on packages), with
which NEMA agreed.184 Osram supported the NEMA recommendation in
its initial comment and, in its post-Workshop comment, continued to
support an encircled ``E'' disclosure, along with an additional
recommendation that beam performance information (in accordance with
ANSI standards) and average life also be disclosed on packages.185
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\1\83ACEEE, GG-1, 3; (Supp.), GG-21, 4.
\1\84LRC, GG-15, 3; (Tr.), 312.
\1\85Osram, G-4, 2; (Supp.), G-11, 4.
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The Commission has determined to require disclosure of an encircled
``E'' on packages and in catalogs186 for those general service
incandescent reflector lamps that meet or exceed the minimum efficiency
standards set by EPCA. But, to inform purchasers of the meaning and
significance of this information, the Commission is requiring that a
brief explanatory statement also appear on the packages for the lamps
and in catalogs from which they can be ordered. Specifically,
manufacturers must disclose clearly and conspicuously the encircled
``E'' on the principal display panel of packaging for these lamps. On
the principal display panel or on another panel, manufacturers also
must disclose clearly and conspicuously the statement, ``(The encircled
``E'' logo, followed by:) means this bulb meets Federal minimum
efficiency standards.'' The encircled ``E'' and the explanatory
statement must be linked by asterisks. In catalogs from which general
service incandescent reflector lamps can be ordered by purchasers,
manufacturers also must disclose clearly and conspicuously the
encircled ``E'' in close proximity to each entry for a covered general
service incandescent reflector lamp. On each page in such a catalog
upon which the encircled ``E'' appears, manufacturers also must
disclose, clearly and conspicuously at least once, the statement:
``(The encircled ``E'' logo, followed by:) means this bulb meets
Federal minimum efficiency standards.'' See Sec. 305.11(e)(2) in ``Text
of Amendments,'' below.
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\1\86The record indicates that manufacturers of general service
incandescent (reflector) lamps sell many of their products through
catalogs, especially to commercial and industrial customers, and
many commentors believed that disclosures should appear in catalogs.
See, e.g., NEMA, G-3, 29, 31, (Supp.), G-10, 29; Osram, G-4, 2;
ACEEE, GG-1, 3-4, (Supp.), GG-21, 2; LBL (Supp.), GG-22, 3; OR DOE,
GG-13, 9; WA SEO, GG-18, 4; Hubbell, GG-9, 1.
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The Commission also has concluded, however, that the encircled
``E'' disclosure and explanatory statement alone will not provide
purchasers of general service incandescent reflector lamps with enough
information to select the most energy efficient products to fill their
lighting needs. Several comments show that there will continue to be a
range of choice among different general service incandescent reflector
lamps with varying efficiencies after the DOE standards become
effective.187 Moreover, the record shows that some manufacturers
generally already disclose some of several other factors for these
lamps--design voltage, wattage, laboratory life, beam spread, and beam
intensity.188 One industry member, Angelo, suggested that it would
work no hardship on sellers for the Commission to mandate the same
disclosures as those proposed for general service incandescent
lamps.189
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\1\87Angelo (Supp.), G-8, 2; ACEEE (Supp.), GG-21, 2; LBL
(Supp.), GG-22, 3.
\1\88NEMA, G-3, 29-30, (Supp.), G-10, 29; Philips, G-5, 2; LRC
(Tr.), 307.
\1\89Angelo, G-1, 2.
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The Commission has determined, therefore, to require that
manufacturers of general service incandescent reflector lamps disclose,
on packages and in catalogs, the following elements: design voltage (if
other than 120), wattage, light output (expressed in average initial
lumens),190 average laboratory life (expressed in hours), the
Advisory Disclosure and, on packages only, number of bulbs in package
(if more than one).191 For the reasons explained in Part IV.C.1.a,
above, the disclosure of wattage, lumens, and life must be based on
operation at 120 volts regardless of the lamp's design voltage. The
format requirement for these disclosures will be the same as they are
for general service incandescent lamps and compact fluorescent lamps.
See Secs. 305.11(e)(1)(A)-(D) and 305.14(d)(1) in ``Text of
Amendments,'' below.
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\1\90Because of the unique nature of the light output of general
service incandescent (reflector) lamps, the amendments require that
light output (in lumens) for these products be measured for only the
beam spread of the lamp, as determined by industry standards.
\1\91The reasons for the specific versions of these elements
have already been discussed in Part IV.C.1.a-2.c, above. The
Commission will not, therefore, repeat the discussion here.
---------------------------------------------------------------------------
2. Disclosures in Point-of-Sale Materials
Two comments addressed the issue of disclosures in point-of-sale
materials for general service incandescent reflector lamps. ACEEE
recommended that average annual operating cost and average lifetime
indicators be included on both packaging and point-of-sale displays for
sales to residential purchasers.192 LBL thought that efficacy
(i.e., efficiency) information should be included in point-of-sale
materials for residential purchasers.193
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\1\92ACEEE, GG-1, 3-4.
\1\93LBL (Supp.), GG-22, 3.
---------------------------------------------------------------------------
The Commission has already discussed its position generally
respecting required disclosures in point-of-sale materials in Part
IV.C.7, above. The Commission's position is the same respecting point-
of-sale materials for general service incandescent reflector lamps.
Accordingly, the Commission is not requiring specific disclosures for
these products at point of sale. But, as for the other lamp products,
if point-of-sale operating cost disclosures are voluntarily made, the
assumptions used (cost of electricity, hours of use, etc.) must be
disclosed.194 See Sec. 305.13(a)(2) in ``Text of Amendments,''
below.
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\1\94See Part IV.C.2.b, above.
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3. Vibration Service and Rough Service Reflector Lamps
Angelo raised a concern at the Workshop about a type of
incandescent reflectorized lamp that is produced for use under
conditions involving rough service or service in which they will be
subjected to vibration, such as industrial or construction site use.
These lamps are manufactured with more durable filaments to withstand
such service, which also results in their having a significantly longer
life. Angelo pointed out that these lamps appear to be excluded from
the definition of ``incandescent reflector lamp'' in the EPA 92
amendments to EPCA.195 As such, they would not be required to meet
the minimum efficiency standards or bear the disclosures required for
other incandescent reflector lamps by the Rule.
---------------------------------------------------------------------------
\1\95Angelo (Tr.), 310. See 42 U.S.C.A. 6291(30)(C) (West Supp.
1993).
---------------------------------------------------------------------------
Angelo contended that these products, many of which are imported,
are significantly less efficient than incandescent reflector lamps that
will have to meet the new minimum standards, but that they may be
marketed to compete directly with these more efficient lamps at a
reduced retail price.196 According to Angelo, the price
differential will lead residential consumers into purchasing them
without realizing that they are receiving a much less efficient product
for their money, and ``cheap lamps will drive out good lamps at the
consumer level.''197 Angelo's recommended solution is to require
that manufacturers of rough and vibration service incandescent
reflectorized lamps be required to disclose, on their packages, the
fact that the lamps are for rough service and do not meet the federal
minimum efficiency standards for other similar lamps designed for
ordinary household use.198 Angelo's concerns and proposed solution
were shared by three other participants, including a company that
produces rough and vibration service incandescent reflector
lamps.199
---------------------------------------------------------------------------
\1\96Angelo (Tr.), 310-11, 314-15, 315-16, (Supp.), G-8, 4.
\1\97Id.
\1\98Angelo (Tr.), 315-16, (Supp.), G-8, 4.
\1\99Supreme (Tr.), 313, (Supp.), G-13, 1; Osram (Supp.), G-11,
4 (``This labeling should include that the product is designed for
Rough Service (or Vibration Service) applications only, has a low
light output and costs more to operate than similar products
available in the marketplace.''); ACEEE (Supp.), GG-21, 2 (``These
products have an efficacy of 12 lumens per watt or less. Requiring
disclosure of lumens per watt is the only way to inform consumers of
the overwhelming energy penalty associated with purchasing these
lamps and in essence to thwart these manufacturers' attempts to get
around the [EPA 92] requirements.'').
---------------------------------------------------------------------------
EPCA defines ``incandescent lamp,'' in part, as ``a lamp in which
light is produced by a filament heated to incandescence by an electric
current, including only the following:
* * * * *
(i) Any lamp (commonly referred to as lower wattage nonreflector
general service lamps, including any tungsten-halogen lamp) that has
a rated wattage between 30 and 199 watts, has an E26 medium screw
base, has a rated voltage or voltage range that lies at least
partially within 115 and 130 volts, and is not a reflector lamp.
(ii) Any lamp (commonly referred to as a reflector lamp) which
is not colored or designed for rough or vibration service
applications (emphasis supplied), that contains an inner reflective
coating on the outer bulb to direct the light, an R, PAR, or similar
bulb shapes (excluding ER or BR) with E26 medium screw bases, a
rated voltage or voltage range that lies at least partially within
115 and 130 volts, a diameter which exceeds 2.75 inches, and is
either--
(I) A low(er) wattage reflector lamp which has a rated wattage
between 40 and 205 watts; or
(II) A high(er) wattage reflector lamp which has a rated wattage
above 205 volts.''200
---------------------------------------------------------------------------
\2\0042 U.S.C.A. 6291(30)(C) (West Supp. 1993).
---------------------------------------------------------------------------
* * * * *
EPCA defines ``incandescent reflector lamp'' as ``a lamp described in
subparagraph (C)(ii).''201
---------------------------------------------------------------------------
\2\0142 U.S.C.A. 6291(30)(F) (West Supp. 1993).
---------------------------------------------------------------------------
Based on the language of the statute, the Commission concludes that
it does not have the authority to treat incandescent reflectorized
lamps designed for rough or vibration service applications as
``incandescent reflector lamps'' under the labeling rules. As part of
the process of developing test protocols for incandescent reflector
lamps, DOE will define what is meant by ``rough or vibration service
applications'' because such lamps will be excluded from the test
protocols. Angelo speculated, however, that the definition DOE adopts
for such lamps may allow manufacturers to make lamps that meet the DOE
exclusionary definition, but then market them, not as rough or
vibration service lamps, but simply as spot or flood lamps to compete
with the incandescent reflector lamps that are subject to the minimum
efficiency standards. The gist of Angelo's concern appears to be
twofold. First, manufacturers of incandescent reflector lamps who must
meet the DOE standards (and whose products, as a result, will likely
cost more to manufacture) will be at a competitive disadvantage because
rough or vibration service reflectorized lamps will have a
significantly lower retail price. Second, consumers will not be aware
that these less expensive lamps are significantly less efficient and
will cost more to operate over time. EPCA authorizes DOE to add
products to the list of products for which EPCA mandates minimum
efficiency standards.202 Therefore, if the exclusion of these
lamps from coverage under the labeling rules as ``incandescent
reflector lamps'' results in unfair competition, consumer confusion, or
other problems, DOE can reconsider its definition of general service
incandescent reflectorized lamps ``for rough or vibration service.'' In
the alternative, DOE can consider whether to add general service
incandescent reflectorized lamps ``for rough or vibration service'' as
a specific type of consumer product covered under EPCA to remedy the
situation.
---------------------------------------------------------------------------
\2\0242 U.S.C. 6292(a)(19) (1988).
---------------------------------------------------------------------------
E. Disclosures for General Service Fluorescent Lamps
In the NPR, the Commission proposed requiring the disclosure of the
same six factors for general service fluorescent lamps as it proposed
for the other types of lamps.203 Similarly, ACEEE's suggestions
for disclosures did not distinguish between general service fluorescent
lamps and other types of lamps. Instead, ACEEE suggested that the
Commission prescribe different requirements based on the type of
purchaser--residential or commercial--at which the disclosure was to be
targeted.204
---------------------------------------------------------------------------
\2\0358 FR at 60154-55. These were: (1) Lumens; (2) watts; (3)
design voltage (if other than 120); (4) average life (expressed in
hours); (5) number of items in the package; and, (6) a supplemental
disclosure (lumens per watt or operating cost).
\2\0458 FR at 60154.
---------------------------------------------------------------------------
In contrast, NEMA suggested that, for the two types of lamps for
which Congress established minimum efficiency standards in the EPA 92
amendments to EPCA--general service incandescent reflector lamps and
general service fluorescent lamps--the Commission require the
disclosure of only an encircled ``E'' on packages, in catalogs and
etched on the product itself.205 The encircled ``E'' would
designate that the product meets the established energy conservation
standards. In support of this recommendation, NEMA stated that
interchangeable general service fluorescent lamps that will remain on
the market after the energy conservation standards set by EPA 92 become
effective (April 30, 1994, for some lamp products, and October 31,
1995, for other lamp products) will have a range of output of only plus
or minus four percent.206
---------------------------------------------------------------------------
\2\05Id. at 60152-54. The minimum efficiency standards for these
products are prescribed in section 325(i) of EPCA. 42 U.S.C. 6295(i)
(West Supp. 1993).
\2\06Id. at 60152.
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1. Disclosures for General Service Fluorescent Lamps Generally
Fifteen comments addressed the issue of what disclosures the
Commission should require for general service fluorescent lamps. Seven
recommended prescribing disclosure of the same elements for these lamps
as were proposed by the Commission in the NPR.207 Eight comments
supported NEMA's recommendation that the Commission require disclosure
only of the encircled ``E.''208 ACEEE originally opposed limiting
the disclosure of information for any lamps to the encircled ``E,''
favoring instead the ``basic disclosures'' (without lumens-per-watt)
for all types.209 At the Workshop and in its post-Workshop
comment, however, ACEEE appeared to have changed its views, and to
accept the idea of limiting disclosures to the encircled ``E'' on
packaging for general service fluorescent lamps as long as the other
elements (or some of them) are disclosed in catalogs offering the lamps
for sale.210
---------------------------------------------------------------------------
\2\07LBL, GG-7, 1; MN DPS, GG-9, 1-2; MO DNR, GG-10, 1; OR DOE,
GG-13, 2-7, 7-8; US EPA, GG-17, 2; WA SEO, GG-18, 2-3.
\2\08Angelo, G-1, 1; GE, G-2, 5, (Ans.), 1, 2, (Tr.), 324; NEMA,
G-3, 24, (Tr.), 316-317, (Supp.), G-10, 29; Philips, G-5, 3,
(Supp.), G-12, 2; Osram (Supp.), G-11, 4; ETL, GG-2, 1-2; IES, GG-6,
2; LRC, GG-15, 3, (Tr.), 318.
\2\09ACEEE, GG-1, 1, 3.
\2\10ACEEE (Tr.), 328-29, (Supp.), GG-21, 2.
---------------------------------------------------------------------------
Most of the comments that recommended the same disclosures for all
lamp types, including general service fluorescent lamps, did so on the
basis that purchasers could thereby have enough information to choose
among lamps that will most economically meet their lighting
needs.211 Some specifically opposed limiting the disclosure for
these lamps to an encircled ``E,'' most contending that this disclosure
alone would not provide purchasers with sufficient information to
compare competing lamps.212 Some recommended additional
disclosures, such as the effect of different ballasts on lamp operation
or color/temperature disclosures.213 Several favored the inclusion
of operating cost information.214
---------------------------------------------------------------------------
\2\11See, e.g., MN DPS, GG-9, 1-2.
\2\12See MO DNR, GG-10, 1; US EPA, GG-17, 2; WA SEO, GG-18, 3.
\2\13See LBL, GG-7, 1 (the effect of different ballasts); OR
DOE, GG-13, 5-7 (operating temperature and color temperature); WA
SEO, GG-18, 3 (color rendering index and correlated color
temperature).
\2\14See, e.g., ACEEE, GG-1, 1; LBL, GG-7, 1; MO DNR, GG-10, 1.
---------------------------------------------------------------------------
The comments that recommended limiting disclosure requirements for
general service fluorescent lamps to an encircled ``E'' on packages and
in catalogs gave several reasons for their position. A principal reason
was that the EPA 92 minimum efficiency standards will eliminate all but
a few general service fluorescent lamps that are very similar in their
energy efficiency characteristics. Those remaining on the market would
not necessarily be interchangeable because such lamps are part of a
lamp/ballast/fixture system. Accordingly, comparative disclosures for
products that are not interchangeable are not necessary.
NEMA said that disclosure of lumens per watt for general service
fluorescent lamps would not provide a meaningful basis for comparison
because lumens-per-watt measurements will not vary significantly among
comparable products after the EPA 92 standards take effect. NEMA
contended that, after the energy efficiency standards take effect,
remaining models of general service fluorescent lamps will differ in
light output (for a given nominal wattage) by a very small percentage,
if placed in the same lighting system. Only the color of light emitted
due to different phosphors would vary, resulting in slight variations
in measurements of light output.215
---------------------------------------------------------------------------
\2\15NEMA, G-3, 14-16 (``Once the system is set, replacement
lamps are picked to match the old lamps and cannot be purchased to
increase lamp or system efficiency.''), 25-26, (Tr.), 321, (Supp.),
G-10, 29-30.
---------------------------------------------------------------------------
In its initial comment, LRC agreed with NEMA's position,216
adding later in the Workshop that these lamps are a small part of the
residential consumer market, and that any additional savings realized
after the efficiency standards went into effect would be minor and
would not justify labeling requirements.217 GE stated that,
because consumers do not consider replacing A-line bulbs with general
service fluorescent lamps or A-line table lamps with overhead general
service fluorescent lamp fixtures, labels disclosing the elements
proposed in the NPR by the Commission would be useless on general
service fluorescent lamps that meet the efficiency standards.218
Osram concurred with NEMA's position:
---------------------------------------------------------------------------
\2\16LRC, GG-15, 3.
\2\17LRC (Tr.), 318.
\2\18GE, G-2, 2, 3 (``Labels mandated by the Commission should
only be required on products that are interchangeable and should
only contain information that facilitates comparisons among those
products.''), 6 (contending that lumens, lumens per watt and other
energy cost information of the type suggested by the Commission will
not encourage energy efficient choices and that such disclosures
could mislead consumers by suggesting that (1) fluorescent lamp
performance is not dependent on ballasts and fixtures and (2) that
all fluorescent lamp types are interchangeable). See GE's detailed
explanation of the system-oriented nature of these lamps and how
they will be affected by the EPA 92 minimum efficiency standards at
Tr., 321-24 (the chart to which GE refers is found as Exhibit ``G''
to NEMA's supplemental comment (NEMA (Supp.), G-10, Exhibit
``G.'')).
As explained at the Public Workshop, fluorescent lamps are one
component of a system whose wattage, light output, and efficiency
variations are wide, dependent on the ballast and fixture used, and
on the ambient temperature. EPCA removes a number of fluorescent
lamps from the marketplace, leaving within interchangeable types a
smaller range of efficiency available to the consumer. Of the types
that remain, choice is typically by color, either to match the
remainder of an installation, or to accord with a consumers
preference. Any choice will result in exactly the same energy
consumption, since that is controlled by the system.219
---------------------------------------------------------------------------
\2\19Osram (Supp.), G-11, 4.
ACEEE and LBL disagreed with the contention that choice among
general service fluorescent lamps of different efficiencies will be
eliminated by the EPA 92 minimum efficiency standards. LBL said that
there was some interchangeability that could result in a 13% increase
in efficacy.220 It was not clear, however, how often the lamp
substitutions described in the comment take place in actual practice.
---------------------------------------------------------------------------
\2\20ACEEE (Supp.), GG-21, 2 (``There are also significant
differences between general service fluorescent lamp products
meeting the EPAct efficiency standards. For example, 32 watt T8
general service fluorescent lamps have an efficacy of about 91
lumens per watt, approximately 10% better than the 82 lumens per
watt of 34 watt T12 cool white lamps.''); LBL (Supp.), GG-21, 3
(``While these lamps are already regulated under the Energy Policy
Act of 1992, there is a range of efficacy available even within each
ballast type. While it is true that efficacy varies within a small
range for T-12 lamps, T-10 lamps, which substitute for T-12s, have
about 13 percent higher lamp efficacy than 34 W T-12s. It is
possible that future technology developments will provide other
options that widen the range of efficacy.'')
---------------------------------------------------------------------------
The Commission finds that general service fluorescent lamps are
unique among the products considered in this proceeding because they
are a separate part of an integrated lighting system consisting of a
lamp, an appropriate ballast, and a fixture, or luminaire, in which the
lamp and ballast are installed. On balance, the Commission finds that
the preponderance of evidence on the record has established that,
because these lamps are part of a system, they are not interchangeable
with other types of lamps, and are not readily interchangeable with
other general service fluorescent lamps that do not match with the
ballast and/or the luminaire in the system of which they are a part.
Consequently, after the standards become effective, from an energy
efficiency point of view, there will not be a meaningful choice among
competing products that will fill the purchaser's lighting needs. The
Commission concludes, therefore, that a requirement to disclose the
basic elements (and/or a supplemental disclosure) on general service
fluorescent lamp package labels will not assist purchasers of these
products as contemplated by EPA 92.
The Commission instead has determined to require an encircled ``E''
on packages and in catalogs for general service fluorescent lamps that
meet or exceed the minimum efficiency standards set by EPCA. This
disclosure will be useful to purchasers because it will assure them
that the lamps so marked meet or exceed the federal minimum efficiency
standards. To ensure that purchasers understand that the encircled
``E'' means that the products meet the minimum efficiency standards
established by EPCA, the Commission also has determined to require that
a brief explanatory statement appear on the packages for the lamps and
in catalogs from which they can be ordered.221 Specifically, the
amendments now adopted require that on each package for general service
fluorescent lamps, manufacturers must disclose conspicuously the
encircled ``E'' on the principal display panel. The encircled ``E''
will be considered ``conspicuous,'' in terms of size, if it appears at
least as large as either the manufacturer's name or logo or another
logo disclosed on the package, such as the ``UL'' or ``ETL'' logos,
whichever is larger. On the principal display panel or on another
panel, manufacturers also must disclose conspicuously the statement,
``(The encircled ``E'' logo, followed by:) means this bulb meets
Federal minimum efficiency standards.'' See Sec. 305.11(e)(2) in ``Text
of Amendments,'' below.
---------------------------------------------------------------------------
\2\21Catalogs are discussed below in Part IV.E.3., below.
---------------------------------------------------------------------------
2. Disclosures for Products Without Individual Packaging
In the NPR, the Commission proposed two approaches for disclosures
for those products (which are usually general service fluorescent
lamps) manufacturers might choose to sell without individual packaging
or without packaging other than bulk shipping cases.222 Option One
would have required manufacturers to label the products with
disclosures on a hang tag or adhesive label attached to each unpackaged
product; Option Two would have required manufacturers to include the
required information on statements included in each shipping case, and
would have required retailers to post the information at point of sale.
In addition to these proposals, the Commission asked generally, in
``Questions for Comment,'' whether it should require that labels be
attached to individual unpackaged products.223
---------------------------------------------------------------------------
\2\2258 FR 60156. ``Some lamp products, however, are not sold in
individual packages. According to industry representatives, for
example, general service fluorescent lamps frequently are shipped
only in bulk containers, without individual lamp sleeves or
packaging, whether the shipment is to a commercial purchaser (who
purchases through a catalog) or to a local retail store for resale
of unpackaged individual lamps to residential purchasers.'' Id.
\2\23Id. at 60159.
---------------------------------------------------------------------------
Four comments addressed this issue as it related to general service
fluorescent lamps. NEMA and GE suggested that the Commission require
that an encircled ``E'' be etched on the general service fluorescent
lamps themselves.224 Osram specifically opposed the labeling of
individual products with stickers or hang tags.225 OR DOE
recommended against labels on individual lamps in favor of disclosures
on the bulk packaging.226
---------------------------------------------------------------------------
\2\24NEMA, G-3, 24; GE, G-2 (Ans.), 8 (``The Commission should
not require that individual lamps contain disclosures on any
adhesive label hang tag or other kind of label. Such labels will add
cost which does not result in any meaningful disclosure being made.
GEL has suggested that general service fluorescent lamps be marked
with the symbol ``E'' enclosed in a circle to indicate to purchasers
that such lamps meet the energy efficiency requirements of the EPA-
92. It is feasible to require limited amounts of information to be
marked [etched] on products. The ``E'' enclosed with a circle is an
example of such disclosure that fits easily on a product.'').
\2\25Osram (Supp.), G-11, 5.
\2\26OR DOE, GG-13, 8.
---------------------------------------------------------------------------
EPCA mandates that the Commission's rules shall provide that the
labeling shall indicate the information required by the Commission ``on
the packaging of the lamp.''227 The Commission, therefore, does
not have authority under EPCA to require marking directly on lamp
products. But, purchasers of general service fluorescent lamps that are
not packaged should be informed that the products meet the minimum
efficiency standards. The Commission has determined that proposed
Option Two would not in many situations result in the required
disclosure actually reaching purchasers because the statements enclosed
in shipping cases could be lost and a separate requirement in the rules
that retailers post them would be difficult to enforce.
---------------------------------------------------------------------------
\2\2742 U.S.C.A. 6294(a)(2)(C)(ii) (West Supp. 1993).
---------------------------------------------------------------------------
The Commission recognizes that manufacturers regularly etch
products with voltage, wattage, and other information, which is the
disclosure method that NEMA and GE recommended for the encircled
``E.''228 The Commission concludes that if the encircled ``E'' is
permanently marked on the lamps, the objectives of EPA 92, as they
apply to general service fluorescent lamps, can be achieved at a
reduced compliance burden on those manufacturers who choose to sell
lamps that bear no labels, whether packaging labels, hang tags or
adhesive labels. Manufacturers need not etch on such products the
explanatory statement otherwise required to accompany the encircled
``E.'' On the product itself, the statement may be difficult to read
and may not be used or needed by most consumers of these products (who
primarily are more knowledgeable commercial purchasers). See
Sec. 305.11(e)(2)(B) in ``Text of Amendments,'' below.
---------------------------------------------------------------------------
\2\28The Commission also notes that the labeling rules do not
prohibit manufacturers from marking their products in this manner.
---------------------------------------------------------------------------
3. Catalogs
Eight comments recommended that whatever disclosures the Commission
requires for general service fluorescent lamps appear in catalogs from
which these products can be ordered for purchase.229 There was no
opposition to this recommendation. Therefore, these amendments require
that, in addition to disclosing the encircled ``E'' on packaging,
manufacturers must disclose clearly and conspicuously the encircled
``E'' in close proximity to each entry for a covered general service
fluorescent lamp in catalogs from which the lamps can be ordered by
purchasers.230 On each catalog page upon which the encircled ``E''
appears, manufacturers also must disclose, prominently and
conspicuously at least once, the statement: ``(The encircled ``E''
logo, followed by:) means this bulb meets Federal minimum efficiency
standards.'' See Sec. 305.14(d)(1) in ``Text of Amendments,'' below.
---------------------------------------------------------------------------
\2\29GE, G-2, 5; NEMA, G-3, 24, 26-27, (Supp.), G-10, 30; Osram,
G-4, 2, (Supp.), G-11, 4; Philips, G-5, 3; ACEEE, GG-1, 3-4, (Tr.),
328-329, (Supp.), GG-21, 2; OR DOE, GG-13, 9; SCS, GG-16, 4; WA SEO,
GG-18, 4.
\2\30This requirement also applies to general service
incandescent reflector lamps.
---------------------------------------------------------------------------
4. Point-of-Sale Printed Materials
Four comments addressed the issue of disclosures in point-of-sale
materials for general service fluorescent lamps. GE suggested that the
Commission may want retailers to make specific disclosures available in
point-of-sale written materials, to the extent that such disclosures
may be necessary to help consumers choose the most energy efficient
products that meet their requirements.231 ACEEE recommended that
average annual operating cost and average lifetime indicators be
included on both packaging and point-of-sale displays for sales to
residential purchasers.232 LBL stated that efficacy (efficiency)
information should be included in point-of-sale materials for
residential purchasers.233 SCS contended that the best way to
disclose both the energy index and operating cost information would be
through voluntary point-of-sale materials prepared on a regional
basis.234
---------------------------------------------------------------------------
\2\31GE (Ans.), G-2, 8.
\2\32ACEEE, GG-1, 3-4.
\2\33LBL (Supp.), GG-22, 3.
\2\34SCS, GG-16, 4-5.
---------------------------------------------------------------------------
The Commission has already discussed its position and its
determination not to require disclosures in point-of-sale materials, in
Part IV.C.7, above. The Commission's position is the same for point-of-
sale materials for general service fluorescent lamps. Accordingly, the
Commission is not requiring specific disclosures for these products at
point of sale. As with the other lamp products covered by the labeling
rules, however, manufacturers and other sellers must disclose the
assumptions they use (cost of electricity, hours of use, etc.) if they
voluntarily make point-of-sale operating cost disclosures.235 See
Sec. 305.13(a)(2) in ``Text of Amendments,'' below.
---------------------------------------------------------------------------
\2\35See Part IV.C.2.b, above.
---------------------------------------------------------------------------
F. Other Issues
1. Request for Exemption for Products To Be Eliminated by EPCA's Energy
Conservation Standards
EPCA's minimum efficiency standards for 4-foot medium bi-pin and 2-
foot U-shaped general service fluorescent lamps and all incandescent
reflector lamps will not become effective until October 31,
1995,236 approximately six months after the labeling rules become
effective. Because of the burdens new labeling requirements would
impose, NEMA, GE and Osram requested an exemption under EPCA, 42
U.S.C.A. 6294(a)(2)(C)(ii) (West Supp. 1993), from the labeling
requirements for lamp products that will be eliminated from the market
on October 31, 1995.237 This section states that if the Secretary
of DOE determines that compliance with the minimum efficiency standards
specified in EPCA for any lamp will result in the discontinuance of its
manufacture, the Commission may exempt such lamp from the labeling
rules. The exemption would be limited to those lamps that may no longer
be manufactured after the minimum efficiency standards become
effective. DOE has made this determination.238 Hence, the
Commission has the discretion to exempt these lamp products from the
new labeling rules. Given that these products will be manufactured for
only six months after the new labeling rules go into effect, it does
not appear appropriate to require manufacturers to go to the expense of
redesigning their labels. Accordingly, those general service
fluorescent lamps and incandescent reflector lamps covered by the
minimum efficiency standards that become effective on October 31, 1995,
under 42 U.S.C.A. 6295(i)(1)(A) (West Supp. 1993), that do not meet
those minimum efficiency standards are exempted from the labeling
rules.239
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\2\3642 U.S.C.A. 6295(i)(1)(A)-(B) (West Supp. 1993).
\2\37NEMA, G-3, 10, 14-15, 44, (Supp.), G-10, 5 fn. *; Osram, G-
4, 2. See GE, G-2, 10.
\2\38Letter dated April 18, 1994, to Janet Steiger, Chairman,
FTC, from Hazel R. O'Leary, Secretary, DOE.
\2\39As of November 1, 1995, any manufacturer who continues to
manufacture these lamps could be subject to action by DOE for
selling lamps in violation of the minimum efficiency standards.
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2. ``Gray Market'' Problem
NEMA and Philips raised concerns about lamps legally produced for
export (that do not comply with the EPCA minimum efficiency standards)
being illegally imported back into the country (presumably still marked
with the manufacturer's identification) for sale in a ``gray'' market
by parties other than the manufacturers.240 NEMA and Philips
recommended that, to provide manufacturers with protection against
enforcement actions for this domestic re-sale of these products, the
Commission require that products that do not comply with the standards
that are manufactured for export be marked indelibly with a symbol
connoting that the product was produced exclusively for export.241
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\2\40Philips, G-5, 4; NEMA (Tr.), 326.
\2\41Philips suggested an ``X'' etched on the product. Philips,
G-5, 4.
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There is insufficient evidence on the record for the Commission to
determine how serious this problem might be, and to prescribe a
labeling or marking requirement. Manufacturers who are concerned about
the issue, however, can protect themselves by marking their products in
such a way that it is clear that they were manufactured for export.
3. Disclosures on Outer Shipping Containers
NEMA, Osram, and Philips recommended that the Commission require
disclosure, on the outer shipping cartons of lamp products, of a symbol
or statement indicating compliance with the minimum efficiency
standards and labeling regulations mandated by EPCA.242 During the
discussion of this proposal at the Workshop, NEMA clarified that its
recommendation was for a disclosure on the corrugated carton in which
the manufacturer ships the products, and not the larger and sturdier
shipping container that would be loaded on a ship and that could
contain cartons of lamps on one occasion and cartons of other products
on another.243 While NEMA's and Philip's original proposals
appeared to be limited to general service fluorescent lamps and general
service incandescent reflector lamps, Osram said that the requirement
should apply to ``all [lamp] products covered by the Energy Policy
Act.''244 Philips and NEMA pointed out that this requirement would
facilitate inspection of foreign products by the U.S. Customs
Service.245 The record contains no evidence of opposition to this
suggestion.
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\2\42NEMA, G-3, 27, 32, (Tr.), 327-28; NEMA's suggestions in the
NPR also recommended this requirement (58 FR at 60154); Philips, G-
5, 3; Osram (Tr.), 328. Angelo agreed with this recommendation.
Angelo (Tr.), 328. NEMA suggested a symbol, or a statement such as:
``These lamps are tested and labeled in compliance with federal
energy efficiency requirements.'' NEMA, G-3, 27, 32.
\2\43See Tr., 327-28.
\2\44Osram (Tr.), 328.
\2\45Philips, G-5, 3; NEMA, G-3, 27, 32, (Tr.), 327.
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The Commission agrees that a statement such as the one suggested by
NEMA and the other commentors would be helpful to the enforcement
efforts of both the U.S. Customs Service and the Commission. Today's
amendments, therefore, require that the following disclosure appear
conspicuously at least once on the outer surface of all cartons in
which lamp products covered by the Rule are shipped domestically or
imported: ``These lamps comply with Federal energy efficiency labeling
requirements.'' See Sec. 305.11(e)(4) in ``Text of Amendments,'' below.
G. Substantiation of Disclosures
In the NPR, the Commission proposed requiring that manufacturers
follow procedures to be specified in the final labeling rules to
substantiate all required disclosures. It also proposed requiring that
manufacturers comply with specific sampling procedures in selecting the
product samples for the required substantiation testing. The
substantiation and sampling procedure requirements are connected. The
substantiation requirement is directed at ensuring that the disclosures
are accurate and based on uniform standards. The sampling procedure
requirement is directed at ensuring that the samples tested are
representative of the product being produced.
For other products, the Rule requires that substantiation of energy
efficiency ratings (and water usage rates) be based on the test
procedures specified by EPCA or DOE.246 For those products,
Sec. 305.6 of the Rule specifies that the sampling procedures adopted
in the DOE test procedures must be used in selecting the product
specimens to be tested.247
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\2\4616 CFR 305.5. The DOE test procedures for products already
covered by the Rule are found at 10 CFR part 430, subpart B.
\2\4716 CFR 305.6. The DOE sampling procedures for products
already covered by the Rule are found in 10 CFR 430, subpart B.
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EPCA, as amended by EPA 92, requires DOE to issue test procedures
to determine certain performance characteristics relating to the energy
efficiency standards specified in EPCA for general service fluorescent
lamps and incandescent reflector lamps, taking into consideration the
applicable IES or ANSI standards. 42 U.S.C.A. 6293(b)(6) (West Supp.
1993). EPCA authorizes, but does not require, DOE to issue test
procedures for nonreflector general service incandescent lamps and
medium screw base integrally ballasted compact fluorescent lamps. 42
U.S.C. 6293(b)(1)(B) (West Supp. 1993).
The Commission sought comments in the NPR regarding what test
procedures would be acceptable to substantiate the required labeling
disclosures, and what sampling procedures should be followed in
selecting the lamps to be tested. The Commission stated that, when DOE
issues testing and sampling procedures for any of the lamp products
covered by the lamp labeling rules, the Commission would consider
whether to adopt the DOE testing and sampling procedures as the
necessary substantiation for the required labeling disclosures. DOE has
not yet issued testing or sampling procedures for any of the lamp
products covered by the labeling rules the Commission adopts today.
The labeling rules the Commission has adopted require manufacturers
of all lamps covered by the labeling rules to have substantiation for
all the required labeling disclosures. The Commission has determined,
however, not to prescribe particular test methods or sampling
procedures that must be used. Instead, the labeling rules specify that
the required substantiation for medium base screw-in lamps is a
reasonable basis consisting of competent and reliable scientific tests
that substantiate the required disclosures.248 For general service
fluorescent lamps, the required substantiation is a reasonable basis
consisting of competent and reliable scientific evidence that
substantiates the claim made by the encircled ``E,'' that the lamps
meet the minimum energy efficiency standards established under EPCA.
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\2\48For medium base screw-in lamps, the required disclosures
are of the lamp's design voltage if other than 120 volts, average
initial wattage, average initial light output, average laboratory
life and the Advisory Disclosure. For general service incandescent
reflector lamps, the disclosures must include the encircled ``E''
and the explanatory statement.
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To provide guidance to manufacturers about test procedures the
Commission considers adequate to meet the reasonable basis standard,
however, the labeling rules include specific examples of test
procedures the Commission deems to be adequate (i.e., ``safe
harbors''). Specifically, for light output and average laboratory life
claims, the labeling rules state that the Commission will accept as a
reasonable basis competent and reliable scientific tests conducted
under particular IES test protocols.249 The specific IES test
protocols referenced in the labeling rules are recognized throughout
the lamp industry as authoritative.250 Further, for incandescent
lamps, the current Light Bulb Rule's requirements are consistent with
the IES test procedures.251 If, in the future, DOE issues test
procedures different from these IES protocols, or in addition to them,
the Commission will consider testing performed according to the DOE
procedures as meeting the reasonable basis standard. Further, if it
appears necessary or appropriate, the Commission may initiate a
proceeding to consider amending the labeling rules to require use of
the DOE test procedures to ensure nationwide consistency.
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\2\49It is not necessary to specify particular test procedures,
or safe harbors, for the measurement of design voltage or wattage,
because they are elementary measurements.
\2\50Philips (Tr.), 91-92; GE (Tr.), 101-02. NEMA has
recommended that DOE adopt these IES test procedures when it issues
its test methods. NEMA, G-3, 49.
\2\5116 CFR 409.1 n. 1. The Light Bulb Rule states that, for
lamps covered by that Rule, the ``average initial wattage, average
initial lumen and average laboratory life disclosures required by
this section shall be in accordance with the requirements of interim
Federal Specification, Lamp, Incandescent (Electric, Large,
Tungsten-Filament) W-L-00101 G and shall be based upon generally
accepted and approved test methods and procedures.'' In 1977, that
specification ceased being interim and is now known as Federal
Specification, Lamp, Incandescent (Electric, Large, Tungsten-
Filament) W-L-101H/GEN. This specification refers to pertinent ANSI
test protocols, which are consistent with the IES protocols.
---------------------------------------------------------------------------
The labeling rules, therefore, state that the Commission will
accept as adequate substantiation light output and laboratory life
claims based on competent and reliable scientific tests performed
according to the following IES test procedures:
For measuring light output (in lumens): 0
General Service Fluorescent--IES LM 9
Compact Fluorescent--IES LM 66
General Service Incandescent (Other than Reflector Lamps)--IES
LM 45
General Service Incandescent (Reflector Lamps)--IES LM 20
For measuring laboratory life (in hours):
General Service Fluorescent--IES LM 40
Compact Fluorescent--IES LM 65
General Service Incandescent (Other than Reflector Lamps)--IES
LM 49
General Service Incandescent (Reflector Lamps)--IES LM 49
Although the lamp industry generally uses these IES test
procedures, when measuring the laboratory life of their lamps, industry
members sometimes vary the IES methods to save time. For example,
manufacturers might use accelerated tests, in which lamps being tested
are operated at a much higher voltage than their design
voltage.252 Once the test lamps fail, their laboratory life at
their design voltage is calculated mathematically. Industry members
also might routinely measure laboratory life by operating test lamps
continuously, rather than as specified in the IES methods.253
Under the lamp labeling rules, such variations on the IES protocols
will fall within the safe harbor if manufacturers can demonstrate that
they produce results as accurate as those produced following the IES
test methods. See Sec. 305.5(b) in ``Text of Amendments,'' below.
---------------------------------------------------------------------------
\2\52Supreme (Tr.), 87-88; Philips, (Tr.), 90-91.
\2\53Philips (Tr.), 91.
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The above IES test procedures, however, do not include
specifications governing the selection of the lamp specimens for
testing. The Commission, therefore, has amended Sec. 305.6 of the Rule
to specify that manufacturers must use competent and reliable
scientific sampling procedures for testing lamp products. The Rule also
provides, as a safe harbor, the sampling procedures contained in
Military Standard 105 Sampling Procedures and Tables for Inspection by
Attributes. Mil-Std-105E is the sampling standard referenced in the
federal specification cited by the Commission's existing Light Bulb
Rule.254 If DOE adopts a sampling standard of its own as part of
its test procedures for lamps covered by the labeling rules, the
Commission will deem use of that sampling standard as meeting the
competent and reliable scientific standard. See Sec. 305.6(b) in ``Text
of Amendments,'' below.
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\2\5416 CFR 409.1 n. 1.
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H. Other Requirements for All Lamp Products
1. Recordkeeping and Submission of Data
In the NPR, the Commission proposed requiring that manufacturers
maintain records that substantiate each of the items the final rules
require be disclosed. It also proposed requiring them to submit those
records to the Commission within 30 days of a request. These
requirements are imposed directly by EPCA, which requires manufacturers
to keep on file, for a period specified in the Rule, the data from
which the information included on the label and required by the
labeling rules was derived. 42 U.S.C. 6296(b)(2) (1988).
One comment stated simply that the proposed requirements were
acceptable.255 Another recommended that the Commission not mandate
recordkeeping requirements, but instead rely on the recordkeeping
requirements imposed by DOE as part of its test procedures.256 Two
comments recommended that the manufacturer be given 60 days instead of
30 to produce the records.257
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\2\55Panasonic, G-7, 2.
\2\56NEMA, G-3, 28-29, 33, 43.
\2\57NEMA, G-3, 51; Philips, G-5, 3.
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The current Rule requires that manufacturers maintain, for a period
of two years after production of the specific lamp product has been
terminated, records sufficient to show a reasonable basis consisting of
competent and reliable scientific evidence that the required
disclosures they make on labels and in catalogs are accurate. The
recordkeeping requirement is necessary to enable the Commission to
determine whether the required disclosures are substantiated and
accurate. See 16 CFR 305.15(a).
DOE has not yet specified test procedures or recordkeeping
requirements for any lamp products. The Commission, therefore, cannot
determine at this time whether the recordkeeping requirements that DOE
may specify in the future would be adequate to determine if the
manufacturer's rule-required disclosures are substantiated and
accurate. The Commission has, however, designed the recordkeeping
requirement to minimize the burden it imposes by requiring that
manufacturers maintain only those records that are sufficient to
demonstrate the accuracy of the required labeling disclosures. After
DOE issues test procedures and recordkeeping requirements for lamp
products covered by the labeling rules, the Commission will consider
whether the DOE recordkeeping requirements are sufficient to satisfy
the recordkeeping requirement imposed by the labeling rules.
The final labeling rules also require that manufacturers submit the
required records to the Commission within 30 days of a request. This
requirement is statutory, imposed directly by EPCA. 42 U.S.C.
6296(b)(2) (1988). The Commission, however, will consider a request for
a reasonable extension of this time period, based on a satisfactory
showing of the burden imposed by the 30 days requirement on a
particular manufacturer. See Sec. 305.15(b) in ``Text of Amendments,''
below.
2. Reporting
In the NPR, the Commission proposed requiring that lamp
manufacturers submit annual reports, containing specific information,
on or before March 1 each year. The Commission stated that this
requirement would not become effective until after DOE has issued test
procedures for specific lamp products. The proposed reporting
requirements were based on EPCA, 42 U.S.C.A. 6296(b) (West Supp. 1993),
which requires manufacturers of lamp products for which DOE has issued
test procedures under section 323 of EPCA, as amended by EPA 92, 42
U.S.C.A. 6293 (West Supp. 1993), to supply the Commission annually with
relevant information respecting energy consumption.
The Commission proposed requiring that each report contain the
following information: (1) Name and address of manufacturer; (2) all
trade names under which the lamps are marketed; (3) model or other
identification numbers; (4) starting serial number, date code, or other
means of identifying the date of manufacture (date of manufacture
information must be included with only the first submission for each
basic model or type); and (5) test results measured according to the
DOE test procedures for the lamps' wattage, light output ratings and
Energy Index and, in addition, for all covered fluorescent lamps, the
test results for the lamps' color rendering index. This type of
information is currently required for other categories of products
covered by the Appliance Labeling Rule. To minimize the burdens imposed
by this proposed reporting requirement, the Commission proposed
accepting trade association directories and similar submissions in lieu
of individual annual reports, as it does for other product categories.
One comment basically agreed with the proposed reporting
requirements, but urged the Commission to minimize the burden of annual
reporting.258 Four commenters contended that the NPR
underestimated both the number of affected models and the time required
to prepare required reports for each model.259 Three of these
commenters stated that annual submissions are unnecessary and overly
burdensome and recommended that the Commission develop a reporting
procedure jointly with DOE.260 One comment stated that
manufacturers are prepared to report test reports for basic models of
lamps if basic models are described in terms of performance rather than
labels or brand names. This comment urged that reporting requirements
be imposed only once with respect to any model with particular
performance characteristics. It urged the Commission not to require
date-coding, because manufacturers do not routinely label each lamp
type with serial numbers or date codes and such a requirement would be
very costly and disruptive to manufacturers of certain types of
lamps.261
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\2\58Panasonic, G-7, 2.
\2\59GE, G-16, 1-2; Osram, G-15, 1-2; Philips, G-14, 1; NEMA, G-
3, 28-29, 33, 43. The specific burden estimates contained in these
comments are discussed in Part VI, below.
\2\60Osram, G-4, 3, G-15, 1-2; Philips, G-5, 1, G-12, 4; NEMA,
G-3, 28-29, 33, 43, 50.
\2\61NEMA, G-3, 50 (manufacturers may produce many versions of
lamps with common performance characteristics, differing only in
brand name, distribution channels or packaging).
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The reporting requirement in EPCA is concerned primarily with
ensuring that the Commission has sufficient information to determine
whether ranges of comparability for major appliances should be changed
annually. Because the lamp labeling rules do not require disclosure of
ranges of comparability, the Commission has determined that it does not
need complete annual reports from lamp manufacturers. To minimize
burdens imposed on manufacturers, therefore, the Commission is
requiring that reports contain only the following information: (1) Name
and address of manufacturer; (2) all trade names under which the lamps
are marketed; (3) model or other identification numbers; (4) starting
serial number, date code, or other means of identifying the date of
manufacture (date of manufacture information must be included with only
the first submission for each basic model or type); and (5) test
results for the wattage and light output ratings of each lamp model or
type and, in addition, for each model or type of covered fluorescent
lamp, test results for the color rendering index, measured according to
the DOE test procedure.262 The reports will be due on March 1 of
each year, coinciding with the due date for reports on fluorescent lamp
ballasts, beginning March 1, 1996. Although reports must be submitted
each year, to further minimize the burdens imposed by the reporting
requirements, the Commission will accept subsequent annual reports that
identify the reporting entity but provide only data about new, changed,
or discontinued products, without repeating information on products
that have not changed since the earlier report. In addition, the
Commission will accept manufacturers' reports in any format that
contains the necessary information. These could be catalogs with cover
letters, industry directories, copies of reports to DOE or other
federal or state regulatory authorities, or original reports, as long
as the required information is included.
---------------------------------------------------------------------------
\2\62Lamps differing only in matters not relevant to the
specified ratings (i.e., color, brand name) may be grouped as a
basic model.
---------------------------------------------------------------------------
Because DOE has not yet issued test procedures for any lamp
products, however, the Commission is staying the reporting requirements
pending DOE's issuance of test procedures. No reports will be due until
after DOE issues test procedures for any of the lamps covered by the
labeling rules. Once DOE has issued test procedures, the Commission
will publish a notice announcing when the initial reports will be due.
See Secs. 305.8(a)(3) and 305.8(b) in ``Text of Amendments,'' below.
3. Submission of Product Samples to Designated Laboratory
In the NPR, the Commission proposed requiring that manufacturers,
upon request by the Commission, submit at the manufacturer's expense, a
reasonable number of products to any laboratory designated by the
Commission. The Commission proposed including this requirement in the
labeling rules so that manufacturers would be aware of their duties and
responsibilities under EPCA, which requires manufacturers to do this.
Under EPCA, however, any charge levied by the laboratory for testing
will be paid for by the Commission. 42 U.S.C. 6296(b)(3) (1988).
One comment agreed with the proposal, which allows the Commission
to determine whether required disclosures are accurate, but urged that
care be taken to minimize the expense of spot-check testing.263
Two commenters stated that the tests should be performed in a NVLAP
accredited laboratory.264 One of these commenters added that the
testing should be performed based on the procedures outlined in NIST
Handbook 150-01.265
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\2\63Panasonic, G-7, 2.
\2\64Philips, G-5, 3, G-12, 3 (all testing should be performed
in NVLAP accredited laboratory); NEMA, G-3, 49 (regulation should
require compliance testing only at NVLAP certified laboratories).
\2\65Philips, G-12, 3. See NIST Handbook 150-01, C-17.
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The current Rule repeats the standard specified in EPCA, i.e.,
manufacturers, upon request by the Commission, must submit at the
manufacturer's expense, a reasonable number of products to any
laboratory designated by the Commission.266 Any charge levied by
the laboratory for testing will be paid for by the Commission. The
Commission has determined that this requirement is sufficient for lamp
products and, therefore, is not amending the Rule in this regard. See
16 CFR 305.16.
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\2\66Although the labeling rules do not require the Commission
to use NVLAP accredited laboratories, as suggested by some comments,
the Commission will select labs for testing services that have
appropriate credentials to conduct the required testing and will
consider using labs accredited by NVLAP, when appropriate.
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V. Regulatory Flexibility Act
The Commission stated in the NPR that the provisions of the
Regulatory Flexibility Act requiring a regulatory analysis were not
applicable to the proposed amendments because they would not have ``a
significant economic impact on a substantial number of small
entities.'' The Commission stated that it believed any economic cost
imposed on small entities are primarily statutorily imposed and the
proposed regulations would impose few, if any, independent additional
costs.
None of the commentors specifically addressed the effect of the
proposed labeling rules on small entities. Based on the discussion in
Parts IV.H.1-2, above and VI, below, the Commission concludes that the
information collection burdens imposed by the recordkeeping and
reporting requirements of the final labeling rules on all entities
within the affected industry will be de minimis, and therefore, will
not have ``a significant economic impact on a substantial number of
small entities,'' for purposes of the Regulatory Flexibility Act.
VI. Paperwork Reduction Act
In the NPR, the Commission stated that the proposed amendments
contained provisions that constitute ``collection of information'' as
defined by the regulations of the Office of Management and Budget
(``OMB''), 5 CFR 1320.7(c)(1)(1992), under the Paperwork Reduction Act
(``PRA''), 44 U.S.C. 3501 et seq. The NPR proposed requiring that
manufacturers of lamp products covered by the labeling rules for which
DOE has issued test procedures under section 323 of EPCA, 42 U.S.C.A.
6293 (West Supp. 1993), submit annual reports to the Commission. In
addition, the NPR proposed that manufacturers of all lamp products
covered by the labeling rules, whether or not DOE has issued test
procedures for specific lamp products, maintain records that
substantiate required disclosures. The Commission estimated in the NPR
that approximately 50 manufacturers would be affected by the proposed
lamp labeling requirements and that it would take each company fewer
than five hours to comply with the proposed recordkeeping and reporting
requirements, for a maximum of 250 hours.
The Commission sought comments on the extent of the paperwork
burden in the NPR and in a separate request for comments under the
PRA.267 In the separate notice, the Commission stated that the
estimated burden was small because manufacturers already maintain some
of the required records in the normal course of business.268
Records that are likely to be retained by industry members during the
normal course of business are excluded from the ``burden'' for PRA
purposes.269
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\2\6758 FR 60652.
\2\68Id.
\2\69See 5 CFR 1320.7(b)(1).
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One manufacturer agreed with the estimate of five hours per
manufacturer.270 Three manufacturers and a trade association,
however, commented that the Commission had underestimated the number of
hours it would take to process, format, check, and prepare the proposed
reports for each model of lamp product.271 Those three
manufacturers stated that it would take from 41 to over 97 hours for
them to prepare and file the proposed annual reports.272 Two of
these manufacturers and the trade association recommended that the FTC
consider developing a reporting procedure jointly with DOE and that
reports be required only once as opposed to once a year.273
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\2\70Panasonic, G-7, 2.
\2\71GE, G-16, 1-2; Osram, G-15, 1-2; Philips, G-14, 1; NEMA, G-
3, 28-29, 33, 43.
\2\72Philips, G-14, 1 (minimum of 41 hours); Osram, G-15, 1-2
(not less than 60 hours); GE, G-16, 1-2 (exceed 97 hours).
\2\73Osram, G-4, 3, G-15, 1-2; Philips, G-5, 1, (Supp.), G-12,
4; NEMA, G-3, 28-29, 33, 43, 50.
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The comments, however, did not appear to take into account that the
Commission's estimate excluded some hours because of the presumption
that manufacturers would be maintaining some of the records in the
normal course of business. Nevertheless, in response to these comments,
the Commission has revised the recordkeeping and reporting requirements
in the final labeling rules to minimize their burdens on manufacturers.
Specifically, the final labeling rules require only that manufacturers
maintain, for a period of two years after production of the specific
lamp product has been terminated, records sufficient to demonstrate
they have a reasonable basis consisting of competent and reliable
scientific evidence that the required disclosures they make on labeling
and in catalogs are accurate. The recordkeeping requirement is imposed
directly by EPCA, which authorizes the Commission to specify the period
for which the records must be kept. 42 U.S.C. 6296(b)(2) (1988). As
previously stated, the two-year requirement is identical to the
recordkeeping requirement for the other products covered by the
Appliance Labeling Rule. In addition, the final rules require that
manufacturers submit reports containing only basic information, and
submit the information for each different lamp product only
once.274 Further, the Commission will accept manufacturers'
reports in any format that contains the necessary information. These
could be catalogs with cover letters, industry directories, copies of
reports to DOE or other federal or state regulatory authorities, or
original reports, as long as the required information is included.
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\2\74The final rules require manufacturers to submit an initial
report containing the following information: (1) Name and address of
manufacturer; (2) all trade names under which the lamps are
marketed; (3) model or other identification numbers; (4) starting
serial number, date code, or other means of identifying the date of
manufacture (date of manufacture information must be included with
only the first submission for each basic model or type); and (5)
test results for the wattage and light output ratings of each lamp
model or type and, in addition, for each model or type of covered
fluorescent lamp, test results for the color rendering index,
measured according to the DOE test procedure. In subsequent years,
manufacturers will be required only to submit reports containing
data about new, changed or discontinued lamp products. Further, the
Commission will accept manufacturers' reports in any format that
contains the necessary information. The reporting requirement will
not become effective until after DOE issues test procedures for
specific lamp products. The Commission will publish a notice at a
later date, after DOE has issued test procedures, announcing when
the initial reports and subsequent annual reports will be due.
---------------------------------------------------------------------------
Because of the changes the Commission has made to the recordkeeping
and reporting requirements, and taking into account the fact that many
of these records are maintained in the normal course of business, the
Commission has determined not to revise its burden estimate. While the
initial effort involved in developing a report may, for some companies,
take more than the original estimate of five hours per manufacturer,
the Commission believes that the time involved in complying with the
reporting and recordkeeping requirements, as those requirements have
been modified, will nonetheless result in an average of five hours per
manufacturer. In light of the revised information collection
requirements in the final rules, OMB approved the Commission's request
for clearance of the requirements under OMB Control Number 3084-
0092.275
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\2\75Notice of Office of Management and Budget Action dated
April 1, 1994.
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VII. Regulatory Review
In accordance with the Commission's ongoing regulatory review
program, the Commission sought comments about the impact of the
proposed requirements for manufacturers and other sellers of lamp
products, and their costs and benefits. Based on the comments and
discussion in Parts V and VI, above, the Commission concludes that the
amended rule will not have a significant economic impact on parties
covered by the labeling rules. The Commission has drafted the final
labeling rules to minimize burdens imposed on all covered industry
members.
VIII. Metric Measurement
In accordance with the Omnibus Trade and Competitiveness Act
(OTCA), 15 U.S.C. 205, the Commission must consider metric measurements
in addition to inch-pound measurements in measurement sensitive
regulations.276 Although the Commission sought comments from the
public on this issue in the NPR, none was received. The Commission has
concluded that the units of measurement the Commission is requiring in
the labeling rules for lamp products comply with the requirements of
the Metric Conversion Act. First, lumens, watts, and volts are metric
derived units. Second, the metric terms (lumens, watts, and volts) that
the Commission is requiring be disclosed should already be familiar to
the consumers because they currently are used on packaging of lamp
products.
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\2\76See also Executive Order 12770 (``Metric Usage in Federal
Government Programs'').
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IX. Discussion of Lamp Labeling Amendments Being Adopted
Each amendment the Commission is adopting today is described below.
A. Section 305.2--Definitions
This section contains definitions of twenty-two terms used in both
EPCA and the Rule. The Commission is amending it to add (as twelve new
subsections) eleven definitions of terms that EPCA uses for the three
categories of lamp products that EPA 92 added to EPCA and a new
definition for a term (``consumer product'') that the amended Rule uses
when requiring disclosure of energy consumption data in lamp labeling.
The Commission is also revising two existing definitions (``consumer
appliance product'' and ``covered product'') to clarify how the Rule's
disclosure requirements apply to lamps. Lastly, the Commission is
amending this section to group together all the definitions that are
pertinent to lamps and placing them immediately following the two
existing definitions relating to fluorescent lamp ballasts. The three
definitions relating to plumbing products disclosures that had
previously been designated (r) and (u)-(v) are now designated (dd)
through (ff).
B. Section 305.3--Description of Covered Products To Which This Part
Applies
This section lists the fourteen categories of appliances now
covered by EPCA and the Rule. The Commission is amending it to add (as
three new subsections) the descriptions taken from section 321(30) of
EPCA, as amended by EPA 92, 42 U.S.C.A. 6291(30) (West Supp. 1993), for
the three categories of lamps (i.e., fluorescent lamps, medium base
compact fluorescent lamps, and incandescent lamps) that EPA 92 added to
EPCA.
C. Section 305.4--Prohibited Acts
This section makes it unlawful to distribute in commerce any
covered product not marked and/or labeled and advertised as prescribed
by the Rule. Failing to maintain and make available certain records and
product samples as prescribed by the Rule is also prohibited. The
Commission is amending subsection (e), which identifies the various
effective dates of the Rule for the different categories of covered
products, to establish the effective date of the Rule for covered lamp
products. EPA 92 directed the Commission to prescribe, by April 25,
1994, labeling rules for lamp products and provided that such rules
shall apply to those covered lamp products manufactured after the 12-
month period beginning on the date of publication of the rules in final
form. The effective date for these lamp labeling rule amendments is
therefore twelve months following publication of this Notice.
D. Section 305.5--Determinations of Estimated Annual Energy Cost and
Energy Efficiency Rating and of Water Use Rate
This section specifies what test procedures are to be used for
measuring the water use and energy consumption and efficiency of the
various categories of products covered by the Rule. The Commission is
adding to this section a new subsection for covered lamps specifying
that manufacturers and private labelers of covered lamps must, for any
representation of the design voltage, wattage, light output or life of
any covered medium base compact fluorescent lamp or general service
incandescent lamp, including any incandescent reflector lamp, or for
any representation made by the encircled ``E'' that any covered general
service fluorescent or incandescent reflector lamp is in compliance
with a minimum energy efficiency standard, possess and rely upon a
reasonable basis consisting of competent and reliable scientific tests
that substantiate the representation. The new subsection also states
that for establishing the light output and life ratings of covered
compact fluorescent lamps and general service incandescent lamps,
including incandescent reflector lamps, the Commission will accept as a
reasonable basis the results of competent and reliable scientific tests
conducted pursuant to certain IES testing protocols that substantiate
those ratings.
E. Section 305.6--Sampling
This section specifies that any representation with respect to or
based upon a measure or measures of energy consumption shall be based
on certain DOE approved sampling procedures. Inasmuch as DOE has not
yet adopted sampling procedures for the covered lamp products, the
Commission is adding to this section a new subsection for covered lamps
specifying that any representation of design voltage, wattage, light
output or life, or any representation made by the encircled ``E'' that
a lamp is in compliance with a minimum energy efficiency standard,
shall be based upon testing using competent and reliable scientific
sampling procedures. The new subsection also states that the Commission
will accept sampling conducted in accordance with ``Military Standard
105--Sampling Procedures and Tables for Inspection by Attributes'' as
competent and reliable scientific sampling procedures.
F. Section 305.8--Submission of Data
This section requires manufacturers of covered products to submit
to the Commission, in the form of annual reports, certain information
about their products. Section 326(b)(1) of EPCA, 42 U.S.C. 6296(b)(1),
requires manufacturers to notify the Commission of all their existing
product model numbers within 60 days after a rule covering them takes
effect and all their future product model numbers prior to commencement
of production. Section 326(b)(4) of EPCA, 42 U.S.C. 6296(b)(4),
requires manufacturers to supply annually to the Commission, at times
to be specified by the Commission, relevant data respecting their
products' energy consumption. The Commission is amending Sec. 305.8 of
the Rule to require manufacturers of covered lamp products for which
DOE has issued test procedures under EPCA to submit to the Commission
by March 1, 1996, and annually thereafter, reports disclosing each
company's name and address and the trade names, the model numbers, and
the energy consumption data (i.e., for all covered lamps for which DOE
has issued test procedures, the test results for the lamps' light
output in lumens and energy usage in watts and, in addition, for all
covered fluorescent lamps, the test results for the lamps' color
rendering index) for each of its covered lamp products. This reporting
requirement is, however, being stayed pending DOE's adoption of test
procedures for these products. Manufacturers of covered lamp products
are not being required to submit any more information than
manufacturers of other products covered by the Rule.
G. Section 305.11--Labeling For Covered Products
This section contains five subsections specifying labeling
requirements for the Rule's covered products.\277\ The Commission is
amending this provision by adding a new subsection to address the
labeling requirements that EPA 92 has directed the Commission to issue
for lamps. This new subsection is designated (e) and placed immediately
after the existing subsection (d) that pertains to fluorescent lamp
ballasts. The subsection that pertains to plumbing products, which was
subsection (e), is being redesignated (f).
---------------------------------------------------------------------------
\277\The first subsection applies to all the covered products
heretofore included in the Rule except fluorescent lamp ballasts,
showerheads, faucets, water closets and urinals; the second concerns
only furnaces and central air conditioners; the third only central
air conditioners; the fourth only fluorescent lamp ballasts; and the
fifth only showerheads, faucets, water closets and urinals.
---------------------------------------------------------------------------
The new subsection (e) specifies the information that must be
disclosed on the labels of the three categories of lamps that EPA 92
has added to EPCA and consists of three subsections. Subsection
(e)(1)(A) states that all covered compact fluorescent lamps and general
service incandescent lamps, including incandescent reflector lamps
(i.e., all covered lamps other than general service fluorescent lamps)
must disclose clearly and conspicuously on their labels' principal
display panel the following information:
(1) The number of lamps included in the package, if more than one;
(2) The design voltage of each lamp included in the package, if
other than 120 volts;
(3) The light output of each lamp included in the package,
expressed in average initial lumens;
(4) The electrical power consumed (energy used) by each lamp
included in the package, expressed in average initial wattage; and
(5) The life of each lamp included in the package, expressed in
hours.
Subsection (e)(1)(B) specifies that the light output, energy usage,
and life ratings of any covered compact fluorescent and general service
incandescent lamp must appear in that order and with equal clarity and
conspicuousness on the product's principal display panel. The light
output, energy usage and life ratings must be disclosed in terms of
``lumens,'' ``watts,'' and ``hours'' respectively, with the lumens,
watts and hours rating numbers each appearing in the same type style
and size and with the words ``lumens,'' ``watts,'' and ``hours'' each
appearing in the same type style and size. The words ``light output,''
``energy used,'' and ``life'' must precede and have the same
conspicuousness as both the rating numbers and the words ``lumens,''
``watts,'' and ``hours,'' except that the letters of the words
``lumens,'' ``watts,'' and ``hours'' shall be approximately 50% of the
sizes of those used for the words ``light output,'' ``energy used,''
and ``life.''
Subsection (e)(1)(C) specifies that a lamp's light output, energy
usage, and life are to be measured at 120 volts, regardless of the
lamps' design voltage. If a lamp's design voltage is other than 120
volts, the lamp's required disclosures of light output, energy usage,
and life must in each instance be followed by the phrase ``at 120
volts.'' The rule amendment allows, but does not require, labels for
lamps with design voltages other than 120 volts also to disclose the
lamps' light output, energy usage, and life at the design voltage
(e.g., ``Light Output 1710 Lumens at 125 volts'').
Subsection (e)(1)(D) specifies that for all covered general service
incandescent reflector lamps the required disclosures of light output
are to be given for the lamps' beam spread and followed clearly and
conspicuously by the phrase ``at beam spread.''
Subsection (e)(1)(E) specifies that, for all covered compact
fluorescent lamps, the required disclosures of light output shall be
measured at a base-up position, but provides that, if the manufacturer
or private labeler has reason to believe any lamp's light output at a
base-down position would be more than 5% different, the label must also
disclose the lamp's light output at the base-down position or, if no
test data for the base-down position exist, the fact that at a base-
down position the lamp's light output might be more than 5% less.
Subsection (e)(1)(F) requires that for all covered compact
fluorescent lamps and general service incandescent lamps, including
incandescent reflector lamps, there shall be clearly and conspicuously
disclosed on the principal display panel the following Advisory
Disclosure statement:
To save energy costs, find the bulbs with the light output you need,
then choose the one with the lowest watts.
Subsection (e)(1)(G) specifies that, for any covered general
service incandescent lamp that operates with multiple filaments, the
principal display panel shall disclose clearly and conspicuously, in
the manner required by paragraph (e)(1) (A)-(C) and (F) of this section
of the Rule, the lamp's energy usage in watts and light output in
lumens at each of the lamp's levels of light output and the lamp's life
in hours at the filament that fails first.
Subsection (e)(2) states that all covered general service
fluorescent lamps and incandescent reflector lamps shall be labeled
clearly and conspicuously with a capital letter ``E'' printed within a
circle and followed by an asterisk. The label shall also clearly and
conspicuously disclose, either in close proximity to that asterisk or
elsewhere on the label, the following statement:
*(The encircled ``E'') means this bulb meets Federal minimum
efficiency standards.
If the statement is not disclosed on the principal display panel, that
asterisk shall be followed by a clear and conspicuous disclosure of the
following:
*See (side, top, back) panel for details.
Subsection (e)(2)(A), for purposes of this section of the Rule,
states that on labels of general service fluorescent lamps the
encircled capital letter ``E'' shall be clearly and conspicuously
disclosed in color-contrasting ink and will be deemed ``conspicuous,''
in terms of size, if it appears in typeface at least as large as either
the manufacturer's name or logo or another logo disclosed on the label,
such as the ``UL'' or ``ETL'' logos, whichever is larger.
Subsection (e)(2)(B) states that manufacturers and private labelers
who would otherwise not put labels on covered general service
fluorescent lamps may, instead of labeling such lamps with the
encircled ``E'' and the statement described in paragraph (e)(2)(A),
meet the disclosure requirement of that paragraph by permanently
marking such lamps clearly and conspicuously with the encircled ``E.''
Subsection (e)(3) states that, if energy operating cost claims are
made in the labeling of any covered lamp, that representation must in
connection therewith clearly and conspicuously disclose the assumptions
(e.g., purchase price, unit cost of electricity, hours of use, patterns
of use) upon which they are based.
Subsection (e)(4) states that all cartons in which any covered
products that are general service fluorescent lamps, medium base
compact fluorescent lamps, or general service incandescent lamps,
including incandescent reflector lamps, are shipped within the United
States or imported into the United States shall disclose clearly and
conspicuously the following statement:
These lamps comply with Federal energy efficiency labeling
requirements.
H. Section 305.13--Promotional Material Displayed or Distributed at
Point of Sale
This section has two subsections, the first of which requires all
promotional materials for all covered products (other than fluorescent
lamp ballasts, showerheads, faucets, water closets and urinals) that
are displayed at the point of sale to disclose clearly and
conspicuously the following statement: ``Before purchasing this
appliance, read important energy cost and efficiency information
available from your retailer,'' and the second of which requires all
promotional materials for all covered showerheads, faucets, water
closets and urinals to disclose clearly and conspicuously the product's
water flow rate.
The Commission is amending this section to add a third subsection
specifying that, if in such promotional materials any energy operating
cost claims are made for any covered lamp product, the representation
must in connection therewith clearly and conspicuously disclose the
assumptions (e.g., purchase price, unit cost of electricity, hours of
use, patterns of use) upon which they are based. This new subsection is
designated (b) and the former subsection (b), which concerns plumbing
products, is redesignated (c).
I. Section 305.14--Catalogs
This section has four subsections, the first two of which concern
required disclosures in catalogs from which any covered product (other
than fluorescent lamp ballasts, showerheads, faucets, water closets and
urinals) may be purchased, the third of which concerns such required
disclosures for fluorescent lamp ballasts, and the fourth of which
concerns such required disclosures for showerheads, faucets, water
closets and urinals.
The Commission is amending this section to add a fifth subsection
requiring all such catalog advertising for covered lamps to bear the
same disclosures that Sec. 305.11(e) of the Rule requires in the lamps'
labeling, except for the number of items contained in the package, and
specifying that, if in such catalog advertising any energy operating
cost claims are made for any covered lamp product, the representation
must in connection therewith clearly and conspicuously disclose the
assumptions (e.g., purchase price, unit cost of electricity, hours of
use, patterns of use) upon which they are based. This subsection
provides that, for catalogs not distributed to consumers for making
purchases for personal use or consumption by individuals, the light
output, energy usage and life disclosures need not comply with the
format provisions of Sec. 305.11(e)(1)(B), but must only be disclosed
clearly and conspicuously. This new subsection is designated (d) and
the former subsection (d) pertaining to plumbing products is
redesignated (e).
J. Section 305.15--Test Data Records
This section requires manufacturers and private labelers, upon
notification by the Commission or its designated representative to
provide, within 30 days notice, the underlying test data from which the
estimated annual energy cost or energy efficiency rating for each basic
model was derived. The Commission is amending this section to require
that manufacturers and private labelers of lamps provide the Commission
upon request with the underlying test data from which the light output,
energy usage and life ratings and, for fluorescent lamps, the color
rendering index, for each basic model or lamp type, was derived.
List of Subjects in 16 CFR Part 305
Advertising, Consumer protection, Energy conservation, Household
appliances, Labeling, Lamp products, Penalties, Reporting and
recordkeeping requirements.
Text of Amendments
For the reasons set out in the preamble, 16 CFR part 305 is amended
as follows:
PART 305--RULE CONCERNING DISCLOSURES OF INFORMATION ABOUT ENERGY
CONSUMPTION AND WATER USE FOR CERTAIN HOME APPLIANCES AND OTHER
PRODUCTS REQUIRED UNDER THE ENERGY POLICY AND CONSERVATION ACT
1. The authority citation for part 305 continues to read as
follows:
Authority: 42 U.S.C. 6294.
2. Section 305.2 is amended by revising paragraphs (n) through (v)
and by adding paragraphs (w) through (hh) to read as follows:
Sec. 305.2 Definitions.
* * * * *
(n) Consumer product means any article (other than an automobile,
as ``automobile'' is defined in section 2001(1) of Title 15 (section
501(1) of the Motor Vehicle Information and Cost Savings Act) of a
type--
(1) Which in operation consumes, or is designed to consume, energy
or, with respect to showerheads, faucets, water closets, and urinals,
water; and
(2) Which, to any significant extent, is distributed in commerce
for personal use or consumption by individuals; without regard to
whether such article or such type is in fact distributed in commerce
for personal use or consumption by an individual, except that such term
includes fluorescent lamp ballasts, general service fluorescent lamps,
medium base compact fluorescent lamps, general service incandescent
lamps (including incandescent reflector lamps), showerheads, faucets,
water closets, and urinals distributed in commerce for personal or
commercial use or consumption.
(o) Consumer appliance product means any of the following consumer
products, excluding those products designed solely for use in
recreational vehicles and other mobile equipment:
(1) Refrigerators, refrigerator-freezers, and freezers which can be
operated by alternating current electricity, excluding--
(i) Any type designed to be used without doors; and
(ii) Any type which does not include a compressor and condenser
unit as an integral part of the cabinet assembly.
(2) Dishwashers.
(3) Water heaters.
(4) Room air conditioners.
(5) Clothes washers.
(6) Clothes dryers.
(7) Central air conditioners and central air conditioning heat
pumps.
(8) Furnaces.
(9) Direct heating equipment.
(10) Pool heaters.
(11) Kitchen ranges and ovens.
(12) Television sets.
(13) Fluorescent lamp ballasts.
(14) General service fluorescent lamps.
(15) Medium base compact fluorescent lamps.
(16) General service incandescent lamps, including incandescent
reflector lamps.
(17) Showerheads.
(18) Faucets.
(19) Water closets.
(20) Urinals.
(21) Any other type of consumer product which the Department of
Energy classifies as a covered product under section 322(b) of the Act
(42 U.S.C. 6292).
(p) Covered product means any consumer product or consumer
appliance product described in Sec. 305.3 of the Rule.
(q) Luminaire means a complete lighting unit consisting of a
fluorescent lamp or lamps, together with parts designed to distribute
the light, to position and protect such lamps, and to connect such
lamps to the power supply through the ballast.
(r) Ballast efficacy factor means the relative light output divided
by the power input of a fluorescent lamp ballast, as measured under
test conditions specified in American National Standards Institute
standard C82.2-1984, or as may be prescribed by the Secretary of
Energy.
(s) Bulb shape means the shape of the lamp, especially the glass
portion.
(t) Base for lamps means the portion of the lamp which screws into
the socket.
(u) Color rendering index or CRI for lamps means the measure of the
degree of color shift objects undergo when illuminated by a light
source as compared with the color of those same objects when
illuminated by a reference source of comparable color temperature.
(v) Correlated color temperature for lamps means the absolute
temperature of a blackbody whose chromaticity most nearly resembles
that of the light source.
(w) Lamp type means all lamps designated as having the same
electrical and lighting characteristics and made by one manufacturer.
(x) Wattage for lamps means the total electrical power consumed by
a lamp in watts, after an initial seasoning period and including, for
fluorescent lamps, arc watts plus cathode watts.
(y) Light output for lamps means the total luminous flux (power) of
a lamp in lumens.
(z) Life and lifetime for lamps mean length of operating time of a
statistically large group of lamps between first use and failure of 50
percent of the group.
(aa) Lamp efficacy means the light output of a lamp divided by its
wattage, expressed in lumens per watt (LPW).
(bb) Average lamp efficacy means the lamp efficacy readings taken
over a statistically significant period of manufacture with the
readings averaged over that period.
(cc) IES means the Illuminating Engineering Society of North
America and, as used herein, is the prefix for test procedures adopted
by IES.
(dd) ASME means the American Society of Mechanical Engineers and,
as used herein, is the prefix for national standards and codes adopted
by ASME.
(ee) ANSI means the American National Standards Institute and, as
used herein, is the prefix for national standards and codes adopted by
ANSI.
(ff) Water use means the quantity of water flowing through a
showerhead, faucet, water closet, or urinal at point of use, determined
in accordance with test procedures under section 323 of the Act, 42
U.S.C. 6293.
(gg) Flushometer valve means a valve attached to a pressured water
supply pipe and so designed that, when actuated, it opens the line for
direct flow into the fixture at a rate and quantity to operate properly
the fixture, and then gradually closes to provide trap reseal in the
fixture in order to avoid water hammer. The pipe to which this device
is connected is in itself of sufficient size that, when opened, will
allow the device to deliver water at a sufficient rate of flow for
flushing purposes.
(hh) Flow restricting or controlling spout end device means an
aerator used in a faucet.
3. Section 305.3 is amended by revising paragraphs (k) through (n)
and by adding paragraphs (o) through (q) to read as follows:
Sec. 305.3 Description of covered products to which this part applies.
* * * * *
(k) Fluorescent lamp: (1) Means a low pressure mercury electric-
discharge source in which a fluorescing coating transforms some of the
ultra-violet energy generated by the mercury discharge into light,
including only the following:
(i) 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;
(ii) 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;
(iii) 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
C78.1-1978 and related supplements; and
(iv) 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 C78.3-1978
(R1984) and related supplement ANSI C78.3a-1985; but
(2) Fluorescent lamp does not mean any lamp excluded by the
Department of Energy, by rule, as a result of a determination that
standards for such lamp would not result in significant energy savings
because such lamp is designed for special applications or has special
characteristics not available in reasonably substitutable lamp types;
and
(3) General service fluorescent lamp means a fluorescent lamp which
can be used to satisfy the majority of fluorescent applications, but
does not mean any lamp designed and marketed for the following
nongeneral lighting applications:
(i) Fluorescent lamps designed to promote plant growth;
(ii) Fluorescent lamps specifically designed for cold temperature
installations;
(iii) Colored fluorescent lamps;
(iv) Impact-resistant fluorescent lamps;
(v) Reflectorized or aperture lamps;
(vi) Fluorescent lamps designed for use in reprographic equipment;
(vii) Lamps primarily designed to produce radiation in the ultra-
violet region of the spectrum; and
(viii) Lamps with a color rendering index of 82 or greater.
(l) Medium base compact fluorescent lamp means an integrally
ballasted fluorescent lamp with a medium screw base and a rated input
voltage of 115 to 130 volts and which is designed as a direct
replacement for a general service incandescent lamp.
(m) Incandescent lamp: (1) means a lamp in which light is produced
by a filament heated to incandescence by an electric current, including
only the following:
(i) Any lamp (commonly referred to as lower wattage nonreflector
general service lamps, including any tungsten-halogen lamp) that has a
rated wattage between 30 and 199 watts, has an E26 medium screw base,
has a rated voltage or voltage range that lies at least partially
within 115 and 130 volts, and is not a reflector lamp;
(ii) Any lamp (commonly referred to as a reflector lamp) 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, an R, PAR, or similar bulb shapes (excluding ER or BR) with
E26 medium screw bases, a rated voltage or voltage range that lies at
least partially within 115 and 130 volts, a diameter which exceeds 2.75
inches, and is either--
(A) A low(er) wattage reflector lamp which has a rated wattage
between 40 and 205 watts; or
(B) A high(er) wattage reflector lamp which has a rated wattage
above 205 watts;
(iii) Any general service incandescent lamp (commonly referred to
as a high- or higher-wattage lamp) that has a rated wattage above 199
watts (above 205 watts for a high wattage reflector lamp); but
(2) Incandescent lamp does not mean any lamp excluded by the
Secretary, by rule, as a result of a determination that standards for
such lamp would not result in significant energy savings because such
lamp is designed for special applications or has special
characteristics not available in reasonably substitutable lamp types;
and
(3) General service incandescent lamp means any incandescent lamp
(other than a miniature or photographic lamp), including an
incandescent reflector lamp, that has an E26 medium screw base, a rated
voltage range at least partially within 115 and 130 volts, and which
can be used to satisfy the majority of lighting applications, but does
not include any lamp specifically designed for:
(i) Traffic signal, or street lighting service;
(ii) Airway, airport, aircraft, or other aviation service;
(iii) Marine or marine signal service;
(iv) Photo, projection, sound reproduction, or film viewer service;
(v) Stage, studio, or television service;
(vi) Mill, saw mill, or other industrial process service;
(vii) Mine service;
(viii) Headlight, locomotive, street railway, or other
transportation service;
(ix) Heating service;
(x) Code beacon, marine signal, lighthouse, reprographic, or other
communication service;
(xi) Medical or dental service;
(xii) Microscope, map, microfilm, or other specialized equipment
service;
(xiii) Swimming pool or other underwater service;
(xiv) Decorative or showcase service;
(xv) Producing colored light;
(xvi) Shatter resistance which has an external protective coating;
or
(xvii) Appliance service; and
(4) Incandescent reflector lamp means a lamp described in paragraph
(m)(1)(ii) of this section; and
(5) Tungsten-halogen lamp means a gas-filled tungsten filament
incandescent lamp containing a certain proportion of halogens in an
inert gas.
(n) Showerhead means any showerhead (including a handheld
showerhead), except a safety shower showerhead.
(o) Faucet means a lavatory faucet, kitchen faucet, metering
faucet, or replacement aerator for a lavatory or kitchen faucet.
(p) Water closet means a plumbing fixture having a water-containing
receptor which receives liquid and solid body waste and, upon
actuation, conveys the waste through an exposed integral trap seal into
a gravity drainage system, except such term does not include fixtures
designed for installation in prisons.
(q) Urinal means a plumbing fixture which receives only liquid body
waste and, on demand, conveys the waste through a trap seal into a
gravity drainage system, except such term does not include fixtures
designed for installation in prisons.
4. Section 305.4 is amended by revising paragraphs (e)(2) and
(e)(3) to read as follows:
Sec. 305.4 Prohibited acts.
* * * * *
(e) * * *
(2) Any covered product, other than central air conditioners, pulse
combustion and condensing furnaces, fluorescent lamp ballasts,
fluorescent lamps, medium base compact fluorescent lamps, incandescent
lamps (including incandescent reflector lamps), showerheads, faucets,
water closets, and urinals, if the manufacture of the product was
completed prior to May 19, 1980. Any central air conditioner or any
pulse combustion or condensing furnace if its manufacture was completed
prior to June 7, 1988. Any fluorescent lamp ballast if its manufacture
was completed prior to January 1, 1990. Any fluorescent lamp, medium
base compact fluorescent lamp, or incandescent lamp (including any
incandescent reflector lamp), if its manufacture was completed prior to
May 15, 1995. Any showerhead, faucet, water closet or urinal if its
manufacture was completed prior to October 24, 1994.
(3) Any catalog or point-of-sale printed material pertaining to any
covered products, other than central air conditioners, pulse combustion
and condensing furnaces, fluorescent lamp ballasts, fluorescent lamps,
medium base compact fluorescent lamps, incandescent lamps (including
incandescent reflector lamps), showerheads, faucets, water closets, and
urinals, that were distributed prior to May 19, 1980, and any catalog
or point-of-sale printed material pertaining to any central air
conditioners and pulse combustion and condensing furnaces that were
distributed prior to June 7, 1988, and any catalog or point-of-sale
printed material pertaining to any fluorescent lamp ballasts that were
distributed prior to June 23, 1989, and any catalog or point-of-sale
printed material pertaining to fluorescent lamps, medium base compact
fluorescent lamps, or incandescent lamps (including incandescent
reflector lamps), that were distributed prior to May 15, 1995, and any
catalog or point-of-sale printed material pertaining to any
showerheads, faucets, water closets and urinals that were distributed
prior to October 24, 1994, except that if representations respecting
the energy consumption or energy efficiency or water use of any covered
product or other consumer appliance product or cost of energy consumed
or water used by such product are included, they are subject to the
requirements of paragraph (d) of this section.
* * * * *
5. Section 305.5 is revised to read as follows:
Sec. 305.5 Determinations of estimated annual energy cost and energy
efficiency rating and of water use rate.
(a) Procedures for determining the estimated annual energy costs,
the energy efficiency ratings, and the power and efficacy factors of
covered products are those found in 10 CFR part 430, subpart B, in the
following sections:
(1) Refrigerators and refrigerator-freezers--430.22(a).
(2) Freezers--Sec. 430.22(b).
(3) Dishwashers--Sec. 430.22(c).
(4) Water heaters--Sec. 430.22(e).
(5) Room air conditioners--Sec. 430.22(f).
(6) Clothes washers--Sec. 430.22(j).
(7) Central air conditioners and heat pumps--Sec. 430.22(m).
(8) Furnaces--Sec. 430.22(n).
(9) Fluorescent lamp ballasts--Sec. 430.22(q).
(b) Manufacturers and private labelers of any covered product that
is a general service fluorescent lamp, medium base compact fluorescent
lamp, or general service incandescent lamp (including an incandescent
reflector lamp), must, for any representation of the design voltage,
wattage, light output or life of such lamp or for any representation
made by the encircled ``E'' that such a lamp is in compliance with an
applicable standard established by section 325 of the Act, possess and
rely upon a reasonable basis consisting of competent and reliable
scientific tests substantiating the representation. For representations
of the light output and life ratings of any covered product that is a
medium base compact fluorescent lamp or general service incandescent
lamp (including an incandescent reflector lamp), the Commission will
accept as a reasonable basis competent and reliable scientific tests
conducted according to the following applicable IES test protocols that
substantiate the representations:
For measuring light output (in lumens):
General Service Fluorescent.............................. IES LM 9
Compact Fluorescent...................................... IES LM 66
General Service Incandescent (Other than Reflector Lamps) IES LM 45
General Service Incandescent (Reflector Lamps)........... IES LM 20
For measuring laboratory life (in hours):
General Service Fluorescent.............................. IES LM 40
Compact Fluorescent...................................... IES LM 65
General Service Incandescent (Other than Reflector Lamps) IES LM 49
General Service Incandescent (Reflector Lamps)........... IES LM 49
(c) Procedures for determining the water use rates of covered
products are those found in the following standards:
(1) Showerheads and faucets--ASME A112.18.1M-1989, Plumbing Fixture
Fittings. This incorporation by reference was approved by the Director
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR
part 51. Copies of ASME A112.18.1M may be obtained from the American
Society of Mechanical Engineers, 345 East 47th Street, New York, NY
10017, or may be inspected at the Federal Trade Commission, room 130,
600 Pennsylvania Avenue, NW., Washington, DC, or at the Office of the
Federal Register, suite 700, 800 North Capitol Street, NW., Washington,
DC.
(2) Water closets and urinals--ASME A112.19.2M-1990, Vitreous China
Plumbing Fixtures. This incorporation by reference was approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR part 51. Copies of ASME A112.19.2M may be obtained from the
American Society of Mechanical Engineers, 345 East 47th Street, New
York, NY 10017, or may be inspected at the Federal Trade Commission,
room 130, 600 Pennsylvania Avenue, NW., Washington, DC, or at the
Office of the Federal Register, suite 700, 800 North Capitol Street,
NW., Washington, DC.
6. Section 305.6 is revised to read as follows:
Sec. 305.6 Sampling.
(a) For any covered product (except fluorescent lamps, medium base
compact fluorescent lamps, and incandescent lamps, including
incandescent reflector lamps), any representation with respect to or
based upon a measure or measures of energy consumption incorporated
into Sec. 305.5 shall be based upon the sampling procedures set forth
in Sec. 430.23 of 10 CFR part 430, subpart B.
(b) For any covered product that is a medium base compact
fluorescent lamp or a general service incandescent lamp (including an
incandescent reflector lamp), any representation of design voltage,
wattage, light output or life and, for any covered product that is a
general service fluorescent lamp or incandescent reflector lamp, any
representation made by the encircled ``E'' that such lamp is in
compliance with an applicable standard established by section 325 of
the Act shall be based upon tests using a competent and reliable
scientific sampling procedure. The Commission will accept ``Military
Standard 105--Sampling Procedures and Tables for Inspection by
Attributes'' as such a sampling procedure.
7. Section 305.8 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 305.8 Submission of data.
(a) (1) Each manufacturer of a covered product, except
manufacturers of fluorescent lamp ballasts, fluorescent lamps, medium
base compact fluorescent lamps, incandescent lamps (including
incandescent reflector lamps), showerheads, faucets, water closets or
urinals, shall submit annually to the Commission a report listing the
kilowatt-hour use per year (for refrigerators, refrigerator-freezers
and freezers), the energy factor (for clothes washers, dishwashers and
water heaters) or the energy efficiency rating (for room air
conditioners, central air conditioners, heat pumps and furnaces) for
each basic model in current production, determined according to
Sec. 305.5 and statistically verified according to Sec. 305.6. The
report must also list, for each basic model in current production: The
model number; the total energy consumption, determined in accordance
with Sec. 305.5, used to calculate the kilowatt-hour per year, energy
factor, or energy efficiency rating; the number of tests performed; and
its capacity, determined in accordance with Sec. 305.7. For those
models that use more than one energy source or more than one cycle,
each separate amount of energy consumption, or energy cost, measured in
accordance with Sec. 305.5, shall be listed in the report. Appendix J
of this part illustrates a suggested reporting format. Starting serial
numbers or other numbers identifying the date of manufacture of covered
products shall be submitted whenever a new basic model is introduced in
the market.
(2) Each manufacturer of a covered fluorescent lamp ballast shall
submit annually to the Commission a report for each basic model of
fluorescent lamp ballast in current production. The report shall
contain the following information:
(i) Name and address of manufacturer;
(ii) All trade names under which the fluorescent lamp ballast is
marketed;
(iii) Model number;
(iv) Starting serial number, date code or other means of
identifying the date of manufacture (date of manufacture information
must be included with only the first submission for each basic model);
(v) Nominal input voltage and frequency;
(vi) Ballast efficacy factor; and
(vii) Type (F40T12, F96T12 or F96T12HO) and number of lamp or lamps
with which the fluorescent lamp ballast is designed to be used.
(3) Each manufacturer of a covered product that is a fluorescent
lamp, medium base compact fluorescent lamp, or incandescent lamp
(including an incandescent reflector lamp), shall submit annually to
the Commission a report for each lamp type in current production. The
report shall contain the following information:
(i) Name and address of manufacturer;
(ii) All trade names under which the lamp is marketed;
(iii) Model number;
(iv) Starting serial number, date code or other means of
identifying the date of manufacture (date of manufacture information
must be included with only the first submission for each lamp type);
and
(v) For all covered lamps, the test results for the lamp's wattage
and light output ratings and, in addition, for all covered fluorescent
lamps, the test results for the lamp's color rendering index.
(4) Each manufacturer of a covered showerhead, faucet, water closet
or urinal shall submit annually to the Commission a report for each
basic model of such products in current production. The report shall
contain the following information:
(i) Name and address of manufacturer;
(ii) All trade names under which the product is marketed;
(iii) Model number;
(iv) Starting serial number, date code or other means of
identifying the date of manufacture (date of manufacture information
must be included with only the first submission for each basic model);
(v) The product's water use, expressed in gallons and liters per
flush (gpf/Lpf) or gallons and liters per minute (gpm/Lpm) or per cycle
(gpc/Lpc) as determined in accordance with Sec. 305.5.
(b) All data required by Sec. 305.8(a) except serial numbers, shall
be submitted to the Commission annually, on or before the following
dates:
------------------------------------------------------------------------
Deadline
Products for data
submission
------------------------------------------------------------------------
Refrigerators.............................................. Aug. 1.
Refrigerator-freezers...................................... Aug. 1.
Freezers................................................... Aug. 1.
Central air conditioners................................... July 1.
Heat pumps................................................. July 1.
Dishwashers................................................ June 1.
Water heaters.............................................. May 1.
Room air conditioners...................................... May 1.
Furnaces................................................... May 1.
Clothes washers............................................ Mar. 1.
Fluorescent lamp ballasts.................................. Mar. 1.
Fluorescent lamps.......................................... Mar. 1.
[Stayed]
Medium Base Compact Fluorescent Lamps...................... Mar. 1.
[Stayed]
Incandescent Lamps, incl. Reflector Lamps.................. Mar. 1.
[Stayed]
Showerheads................................................ Mar. 1.
Faucets.................................................... Mar. 1.
Water closets.............................................. Mar. 1.
Urinals.................................................... Mar. 1.
------------------------------------------------------------------------
All revisions to such data (both additions to and deletions from the
preceding data) shall be submitted to the Commission as part of the
next annual report period. Serial number reports for new covered
products are due sixty days after the annual effective mandatory
labeling date for each product.
* * * * *
8. Section 305.11 is amended by revising the heading of paragraph
(a), by revising paragraph (e), and by adding paragraph (f) to read as
follows:
Sec. 305.11 Labeling for covered products.
(a) Labels for covered products other than fluorescent lamp
ballasts, fluorescent lamps, medium base compact fluorescent lamps,
incandescent lamps (including incandescent reflector lamps),
showerheads, faucets, water closets and urinals--. * * *
* * * * *
(e) Lamps. (1) (i) Any covered product that is a compact
fluorescent lamp or general service incandescent lamp (including an
incandescent reflector lamp), shall be labeled clearly and
conspicuously on the product's principal display panel with the
following information:
(A) The number of lamps included in the package, if more than one;
(B) The design voltage of each lamp included in the package, if
other than 120 volts;
(C) The light output of each lamp included in the package,
expressed in average initial lumens;
(D) The electrical power consumed (energy used) by each lamp
included in the package, expressed in average initial wattage;
(E) The life of each lamp included in the package, expressed in
hours.
(ii) The light output, energy usage and life ratings of any covered
product that is a medium base compact fluorescent lamp or general
service incandescent lamp (including an incandescent reflector lamp),
shall appear in that order and with equal clarity and conspicuousness
on the product's principal display panel. The light output, energy
usage and life ratings shall be disclosed in terms of ``lumens,''
``watts'' and ``hours'' respectively, with the lumens, watts and hours
rating numbers each appearing in the same type style and size and with
the words ``lumens,'' ``watts'' and ``hours'' each appearing in the
same type style and size. The words ``light output,'' ``energy used''
and ``life'' shall precede and have the same conspicuousness as both
the rating numbers and the words ``lumens,'' ``watts'' and ``hours,''
except that the letters of the words ``lumens,'' ``watts'' and
``hours'' shall be approximately 50% of the sizes of those used for the
words ``light output,'' ``energy used'' and ``life'' respectively.
(iii) The light output, energy usage and life ratings of any
covered product that is a medium base compact fluorescent lamp or
general service incandescent lamp (including an incandescent reflector
lamp), shall be measured at 120 volts, regardless of the lamp's design
voltage. If a lamp's design voltage is other than 120 volts, the
disclosures of the wattage, light output and life ratings shall in each
instance be followed by the phrase ``at 120 volts.'' Labels for lamps
with design voltages other than 120 volts also may disclose the lamps'
wattage, light output and life at the designed voltage (e.g., ``Light
Output 1710 Lumens at 125 volts'').
(iv) For any covered product that is an incandescent reflector
lamp, the required disclosure of light output shall be given for the
lamp's beam spread and be followed clearly and conspicuously by the
phrase ``at beam spread.''
(v) For any covered product that is a compact fluorescent lamp, the
required light output disclosure shall be measured at a base-up
position; but, if the manufacturer or private labeler has reason to
believe that the light output at a base-down position would be more
than 5% different, the label also shall disclose the light output at
the base-down position or, if no test data for the base-down position
exist, the fact that at a base-down position the light output might be
more than 5% less.
(vi) For any covered product that is a compact fluorescent lamp or
a general service incandescent lamp (including an incandescent
reflector lamp), there shall be clearly and conspicuously disclosed on
the principal display panel the following statement:
To save energy costs, find the bulbs with the light output you need,
then choose the one with the lowest watts.
(vii) For any covered product that is a general service
incandescent lamp and operates with multiple filaments, the principal
display panel shall disclose clearly and conspicuously, in the manner
required by paragraph (e)(1) (i)-(iii) and (vi) of this section of the
Rule, the lamp's wattage and light output at each of the lamp's levels
of light output and the lamp's life measured on the basis of the
filament that fails first.
(2) Any covered product that is a general service fluorescent lamp
or an incandescent reflector lamp shall be labeled clearly and
conspicuously with a capital letter ``E'' printed within a circle and
followed by an asterisk. The label shall also clearly and conspicuously
disclose, either in close proximity to that asterisk or elsewhere on
the label, the following statement:
*[The encircled ``E''] means this bulb meets Federal minimum
efficiency standards.
If the statement is not disclosed on the principal display panel, the
asterisk shall be followed by the following statement:
*See [Back, Top, Side] panel for details.
(i) For purposes of this section of the Rule, the encircled capital
letter ``E'' shall be clearly and conspicuously disclosed in color-
contrasting ink on the label of any covered product that is a general
service fluorescent lamp and will be deemed ``conspicuous,'' in terms
of size, if it appears in typeface at least as large as either the
manufacturer's name or logo or another logo disclosed on the label,
such as the ``UL'' or ``ETL'' logos, whichever is larger.
(ii) Instead of labeling any covered product that is a general
service fluorescent lamp with the encircled ``E'' and with the
statement described in paragraph (e)(2) of this section of the Rule, a
manufacturer or private labeler who would not otherwise put a label on
such a lamp may meet the disclosure requirements of that paragraph by
permanently marking the lamp clearly and conspicuously with the
encircled ``E.''
(3) Any manufacturer or private labeler who makes any
representation on a label of any covered product that is a general
service fluorescent lamp, medium base compact fluorescent lamp, or
general service incandescent lamp (including an incandescent reflector
lamp), regarding the cost of operation of such lamp shall clearly and
conspicuously disclose in close proximity to such representation the
assumptions upon which it is based, including, e.g., purchase price,
unit cost of electricity, hours of use, patterns of use.
(4) Any cartons in which any covered products that are general
service fluorescent lamps, medium base compact fluorescent lamps, or
general service incandescent lamps (including incandescent reflector
lamps), are shipped within the United States or imported into the
United States shall disclose clearly and conspicuously the following
statement:
These lamps comply with Federal energy efficiency labeling
requirements.
(f) Plumbing fixtures--(1) Showerheads and faucets. Showerheads and
faucets shall be marked and labeled as follows:
(i) Each showerhead and flow restricting or controlling spout end
device shall bear a permanent legible marking indicating the flow rate,
expressed in gallons per minute (gpm) or gallons per cycle (gpc), and
the flow rate value shall be the actual flow rate or the maximum flow
rate specified by the standards established in subsection (j) of
section 325 of the Act, 42 U.S.C. 6295(j). Except where impractical due
to the size of the fitting, each flow rate disclosure shall also be
given in liters per minute (Lpm) or liters per cycle (Lpc). For
purposes of this section, the marking indicating the flow rate will be
deemed ``legible,'' in terms of placement, if it is located in close
proximity to the manufacturer's identification marking.
(ii) Each showerhead and faucet shall bear a permanent legible
marking to identify the manufacturer. This marking shall be the trade
name, trademark, or other mark known to identify the manufacturer. Such
marking shall be located where it can be seen after installation.
(iii) Each showerhead and faucet shall be marked ``A112.18.1M'' to
demonstrate compliance with the applicable ASME standard. The marking
shall be by means of either a permanent mark on the product, a label on
the product, or a tag attached to the product.
(iv) The package for each showerhead and faucet shall disclose the
manufacturer's name and the model number.
(v) The package or any label attached to the package for each
showerhead or faucet shall contain at least the following:
``A112.18.1M'' and the flow rate expressed in gallons per minute (gpm)
or gallons per cycle (gpc), and the flow rate value shall be the actual
flow rate or the maximum flow rate specified by the standards
established in subsection (j) of section 325 of the Act, 42 U.S.C.
6295(j). Each flow rate disclosure shall also be given in liters per
minute (Lpm) or liters per cycle (Lpc).
(2) Water closets and urinals. Water closets and urinals shall be
marked and labeled as follows:
(i) Each such fixture (and flushometer valve associated with such
fixture) shall bear a permanent legible marking indicating the flow
rate, expressed in gallons per flush (gpf), and the water use value
shall be the actual water use or the maximum water use specified by the
standards established in subsection (k) of section 325 of the Act, 42
U.S.C. 6295(k). Except where impractical due to the size of the
fixture, each flow rate disclosure shall also be given in liters per
flush (Lpf). For purposes of this section, the marking indicating the
flow rate will be deemed ``legible,'' in terms of placement, if it is
located in close proximity to the manufacturer's identification
marking.
(ii) Each water closet (and each component of the water closet if
the fixture is comprised of two or more components) and urinal shall be
marked with the manufacturer's name or trademark or, in the case of
private labeling, the name or registered trademark of the customer for
whom the unit was manufactured. This mark shall be legible, readily
identified, and applied so as to be permanent. The mark shall be
located so as to be visible after the fixture is installed, except for
fixtures built into or for a counter or cabinet.
(iii) Each water closet (and each component of the water closet if
the fixture is comprised of two or more components) and urinal shall be
marked at a location determined by the manufacturer with the
designation ``ASME A112.19.2M'' to signify compliance with the
applicable standard. This mark need not be permanent, but shall be
visible after installation.
(iv) The package, and any labeling attached to the package, for
each water closet and urinal shall disclose the flow rate, expressed in
gallons per flush (gpf), and the water use value shall be the actual
water use or the maximum water use specified by the standards
established in subsection (k) of section 325 of the Act, 42 U.S.C.
6295(k). Each flow rate disclosure shall also be given in liters per
flush (Lpf).
(v) With respect to any gravity tank-type white 2-piece toilet
offered for sale or sold before January 1, 1997, which has a water use
greater than 1.6 gallons per flush (gpf), any printed matter
distributed or displayed in connection with such product (including
packaging and point-of-sale material, catalog material, and print
advertising) shall include, in a conspicuous manner, the words ``For
Commercial Use Only.''
(3) Annual operating cost claims for covered plumbing products.
Until such time as the Commission has prescribed a format and manner of
display for labels conveying estimated annual operating costs of
covered showerheads, faucets, water closets, and urinals or ranges of
estimated annual operating costs for the types or classes of such
plumbing products, the Act prohibits manufacturers from making such
representations on the labels of such covered products. 42 U.S.C.
6294(c)(8). If, before the Commission has prescribed such a format and
manner of display for labels of such products, a manufacturer elects to
provide for any such product a label conveying such a claim, it shall
submit the proposed claim to the Commission so that a format and manner
of display for a label may be prescribed.
9. Section 305.13 is amended by revising paragraph (a) to read as
follows:
Sec. 305.13 Promotional materials displayed or distributed at point of
sale.
(a) (1) Any manufacturer, distributor, retailer, or private labeler
who prepares printed material for display or distribution at point of
sale concerning a covered product (except fluorescent lamp ballasts,
fluorescent lamps, medium base compact fluorescent lamps, incandescent
lamps including incandescent reflector lamps, showerheads, faucets,
water closets, and urinals) shall clearly and conspicuously include in
such printed material the following required disclosure:
Before purchasing this appliance, read important energy cost and
efficiency information available from your retailer.
(2) Any manufacturer, distributer, retailer, or private labeler who
prepares printed material for display or distribution at point of sale
concerning a covered product that is a general service fluorescent
lamp, medium base compact fluorescent lamp, or general service
incandescent lamp (including an incandescent reflector lamp), and who
makes any representation in such promotional material regarding the
cost of operation of such lamp shall clearly and conspicuously disclose
in close proximity to such representation the assumptions upon which it
is based, including, e.g., purchase price, unit cost of electricity,
hours of use, patterns of use.
(3) Any manufacturer, distributor, retailer, or private labeler who
prepares printed material for display or distribution at point of sale
concerning a covered showerhead, faucet, water closet, or urinal shall
clearly and conspicuously include in such printed material the
product's water use, expressed in gallons and liters per minute (gpm/
Lpm) or per cycle (gpc/Lpc) or gallons and liters per flush (gpf/Lpf)
as specified in Sec. 305.11(e).
* * * * *
10. Section 305.14 is amended by revising paragraph (a)
introductory text, by revising paragraph (d), and by adding paragraph
(e), to read as follows:
Sec. 305.14 Catalogs.
(a) Any manufacturer, distributor, retailer, or private labeler who
advertises in a catalog a covered product (except fluorescent lamp
ballasts, fluorescent lamps, medium base compact fluorescent lamps,
incandescent lamps including incandescent reflector lamps, showerheads,
faucets, water closets or urinals) shall include in such catalog, on
each page that lists the covered product, the following information
required to be disclosed on the label:
* * * * *
(d) (1) Any manufacturer, distributor, retailer, or private labeler
who advertises in a catalog a covered product that is a general service
fluorescent lamp, medium base compact fluorescent lamp, or general
service incandescent lamp (including an incandescent reflector lamp),
shall disclose clearly and conspicuously in such catalog:
(i) On each page listing any covered product that is a compact
fluorescent lamp or a general service incandescent lamp (including an
incandescent reflector lamp), all the information concerning that lamp,
except for the number of units in the package, required by
Sec. 305.11(e)(1) of this Rule to be disclosed on the lamp's label;
provided, however, that, for a catalog not distributed to consumers for
making purchases for personal use or consumption by individuals, the
disclosures need not comply with the format provisions of Sec. 305.11
(e)(1)(ii) of this Rule, but must be clear and conspicuous; and (ii) On
each page listing a covered product that is a general service
fluorescent lamp or an incandescent reflector lamp, all the information
required by Sec. 305.11(e)(2) of this Rule to be disclosed on the
lamp's label according to the following format:
(A) The encircled ``E'' shall appear with each lamp entry; and
(B) The accompanying statement shall appear at least once on the
page.
(2) Any manufacturer, distributer, retailer, or private labeler who
advertises a covered product that is a general service fluorescent
lamp, medium base compact fluorescent lamp, or general service
incandescent lamp (including an incandescent reflector lamp), in a
catalog who makes any representation in such catalog regarding the cost
of operation of such lamp shall clearly and conspicuously disclose in
close proximity to such representation the assumptions upon which it is
based, including, e.g., purchase price, unit cost of electricity, hours
of use, patterns of use.
(e) Any manufacturer, distributor, retailer, or private labeler who
advertises a covered showerhead, faucet, water closet or urinal in a
catalog, from which it may be purchased, shall include in such catalog,
on each page that lists the covered product, the product's water use,
expressed in gallons and liters per minute (gpm/Lpm) or per cycle (gpc/
Lpc) or gallons and liters per flush (gpf/Lpf) as specified in
Sec. 305.11(e).
11. Section 305.15 is amended by revising paragraph (b) to read as
follows:
Sec. 305.15 Test data records.
* * * * *
(b) Upon notification by the Commission or its designated
representative, a manufacturer or private labeler shall provide, within
30 days of the date of such request, the underlying test data from
which the water use or energy consumption rate, the estimated annual
cost of using each basic model, or the light output, energy usage and
life ratings and, for fluorescent lamps, the color rendering index for
each basic model or lamp type was derived.
* * * * *
12. Further, appendix K to part 305 of 16 CFR is amended by the
addition of six Illustrations at the end, as follows:
* * * * *
BILLING CODE 6750-01-P
TR13MY94.000
TR13MY94.001
TR13MY94.002
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