Appliance and Equipment Energy Efficiency Standards: Evaluation Criteria for the Voluntary Program To Provide Energy Efficiency Information for Luminaires

1. Authority

Part B of Title III of the Energy Policy and Conservation Act, Public Law 94-163, created the Energy Conservation Program for Consumer Products other than Automobiles. The most recent amendment, the Energy Policy Act of 1992 (EPACT), Public Law 102-486, identified several new categories of products and equipment for inclusion in various required and voluntary testing and information programs to promote energy efficiency. Voluntary programs were specified for commercial office equipment, windows, and luminaires. A luminaire is a complete lighting unit consisting of a fluorescent lamp(s), 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. Section 126 of EPACT directed the Secretary of Energy, after consulting with industry associations and other interested organizations, to provide technical and financial assistance to support a voluntary national testing and information program for those types of luminaires that are widely used, and for which there is a potential for significant energy savings as a result of such programs. Under section 126, such program would provide information that, when conveyed to consumers, will enable purchasers of the equipment to make more informed decisions about the energy efficiency and costs of competing products. The voluntary program would determine the luminaires to be covered; include specifications for testing procedures; and include information which may be disseminated through catalogs, trade publications, labels, or other mechanisms, that will allow consumers to assess the energy consumption and potential cost savings of competing products. Such program would be developed by an appropriate organization (composed of interested persons), according to commonly accepted procedures for the development of national testing procedures and labeling programs. Not later than three years after the date of enactment of EPACT (October 24, 1995), the Secretary shall make a determination as to whether the voluntary program is positioned to achieve the objectives established for the testing and rating of luminaires. If the Secretary determines that the voluntary program is not consistent with the objectives of the legislation, the Secretary shall, after consultation with the National Institute of Standards and Technology, develop test procedures for luminaires. One year later, the Federal Trade Commission would prescribe labeling rules.

2. Background

Since the passage of EPACT, the Department of Energy has monitored the efforts of the luminaire industry to develop a testing and information program through the National Lighting Collaborative (NLC or Collaborative), a working group composed of the National Electrical Manufacturers Association (NEMA), the American Lighting Association, lighting manufacturers, environmental organizations, designers, national laboratories, and other lighting professionals. The Department has provided technical and financial assistance to the Collaborative to help launch and publicize the program. On May 24, 1994, DOE held a public meeting, at which interested persons were invited to offer suggestions concerning methods of evaluation, and to obtain updates on the progress of the Collaborative's voluntary program. A transcript of the meeting was made available to the public, and comments were invited. Comments submitted at the meeting focused on several areas. Regarding the specifications for testing procedures, it was proposed by the National Lighting Collaborative that NEMA Standard LE5, the ``Procedure for Determining Luminaire Efficacy Ratings for Fluorescent Luminaires,'' be accepted as the standard testing and rating method for the program. This Luminaire Efficacy Rating known as ``LER'' is expressed in lumens per watt (the ratio of light output from the luminaire in lumens, to the energy input to the luminaire in watts), and is proposed to be reported in the voluntary consumer information program. The Collaborative reported that the selection of the Luminaire Efficacy Rating test procedure has received consensus support within the luminaire industry, having been balloted according to the formal standards-making balloting procedures per the by-laws of NEMA, as accredited by the American National Standards Institute (ANSI). Based on that consensus, the Department of Energy will accept the efficacy rating known as the ``LER'' as the fundamental comparative measure of the voluntary luminaire program. NEMA Standard LE5 also contains a suggested format for other information related to the luminaire and its photometric data, including luminaire efficiency (the percentage of light output from the luminaire compared with the light output from the lamp(s) without the luminaire). As noted by the New York State Energy Office, NEMA Standard LE5 will also permit the alternative of separate reporting of the luminaire lumen output by its components (luminaire efficiency, total lamp lumens, and ballast factor). Manufacturers will continue to report luminaire efficiency as part of their photometric reports. In addition to including an indicator for the luminaire category and the LER in lumens per watt, the International Association of Lighting Designers proposed that the LE5 reporting format be modified to include a measure for the quality of light. The Collaborative agreed, but since the quality of light metric needs to be developed, the LE5 will at first include an acknowledgement in the foreword that a numerical value for lighting quality will accompany the LER after the development of the measure is completed and balloted. The reporting format also provides information on the estimated annual lighting energy cost per 1,000 lumens of light output, assuming 3,000 luminaire operating hours per year, and 8 cents per kilowatt-hour electricity cost (the 1993 average commercial sector electricity rate). It was recommended by the Collaborative that luminaires be tested according to prescribed test procedures in laboratories that are accredited through the National Voluntary Laboratory Accreditation Program of the National Institute of Standards and Technology. The Collaborative identified the following luminaires as widely used, with a potential for significant energy

savings for inclusion in the program: (1) Recessed Lensed 2'x4' (4 lamps); (2) Recessed Lensed 2'x4' (3 lamps); (3) Recessed 2'x4' (2 lamps); (4) Recessed Parabolic Louvered 2'x4' (4 lamps); (5) Recessed Parabolic Louvered 2'x4' (3 lamps); (6) Recessed Parabolic Louvered 2'x4' (2 lamps); (7) Wraparound (2 and 4 lamps); (8) Strip (1 lamp); (9) Strip (2 lamps); and (10) Industrial (2 lamps). The Department supports the Collaborative's suggestion that the covered luminaires should collectively represent approximately 80 percent of the fluorescent luminaire market to satisfy EPACT's requirement to cover luminaires that are ``widely used.'' If the data submitted to the Department in the program description support previous claims that these categories represent 80 percent of the fluorescent luminaire market, and show potential for significant energy savings, their selection appears to provide a reasonable base for the initial phase of the program. The American Council for an Energy-Efficient Economy (Council) addressed issues concerning the long-term operation of the voluntary program, and the ability to confirm market targets and percentages. With respect to the information to be provided to consumers, it said that information in catalogs and other marketing materials should explain that the use of lower-efficacy lamps as replacements in luminaires would lower the energy efficiency. Regarding the selection of luminaires to be included in the program, the Council urged that a mechanism be established to add new luminaire types that gain market share in the future. The Council also brought up data collection and tracking energy efficiency trends as possible areas of information needed. Finally, it urged that the voluntary program meet specified percentage targets of manufacturer participation over time: 25 percent of luminaires covered by the program after the first year, 50 percent the second year, and 75 percent the third year. The Department agrees that participation levels should be included in the report on the voluntary luminaire program. These issues are addressed in the evaluation criteria, infra. Other public meeting comments centered on how to verify that 80 percent of the fluorescent luminaire market is covered by the 10 categories selected for the program, and how to evaluate whether the new energy efficiency information is reaching its target audiences. To address these issues, the Collaborative submitted a revised program description on July 28, 1994. It proposed that NEMA would collect data on luminaire market shares from manufacturers to verify that the categories selected for the program represent 80 percent of the market. Regarding future data collection on sales of LER-rated luminaires, it was suggested that manufacturers provide sales data to the Bureau of Census. NEMA would also inform DOE of the number of companies whose catalogs show the new energy information. The International Association of Lighting Designers, a member of the Collaborative, would be responsible for tracking press coverage, and would develop a survey on awareness of the program to be used by manufacturers' representatives, distributors, and specifiers. The Department views these data collection methods as appropriate for tracking the development of the program. On January 5, 1995, DOE held another public meeting to discuss the Department's proposed evaluation criteria with persons interested in the development of the voluntary program. Members of the National Lighting Collaborative asked that the means by which manufacturer participation would be measured be clarified in the evaluation criteria. That section has been changed to reflect the suggestions of the Collaborative that manufacturer participation be measured as a percentage of the sales of LE5-tested fixtures (measured in dollars) to the total sales of listed products covered by the program.

3. Evaluation Criteria and Procedures

The Department of Energy will evaluate voluntary consumer information programs for luminaires against the following criteria. In order to make its determination, the Department is requesting that any program description be submitted to the Department no later than July 14, 1995. The submitted description should include information explaining how the voluntary national testing and information program for luminaires addresses each of the elements described below. a. Program Organization: Since the Energy Policy Act specifies that the voluntary program should be developed by an ``appropriate organization (composed of interested parties),'' the Department will assess the composition and procedures of the group developing the program to determine if it reflects a consensus position within a broad spectrum of the lighting community. b. Coverage: In order to determine which luminaires are widely used and show a potential for significant energy savings, the Department will require data supporting the selection of the specific luminaire categories to be included in the initial phase of the voluntary program, and for verifying the stated market coverage with documented data sources. Those luminaires selected shall comprise approximately 80 percent of the fluorescent luminaire market. In anticipation of new products gaining market share and replacing some of those included in the initial phase of the program, a plan should be shown for including new products in the future. c. Testing and Rating: In order to evaluate the program's testing procedures, the Department will compare the proposed test procedures to existing test procedures, such as those published by the Illuminating Engineering Society (IES), and the American National Standards Institute (ANSI), to verify the accuracy and validity of the procedures. The proposed testing and rating program should provide consumers with a consistent standard of measurement for comparing the energy efficiency of the luminaires covered by the program. d. Information Program: In order to assess the effectiveness of the energy efficiency information provided to consumers, the Department will evaluate the implementation plan to determine how different audiences, such as managerial, technical, and procurement, have been targeted. Provisions in the program for the use of catalogs, labels, or other materials shall be explained. Concerns over the possible substitution of lower-efficacy replacement lamps and other components shall be addressed. Examples of new energy efficiency information materials shall be submitted. e. Manufacturer Participation: In order to assess whether the voluntary program proposed is a broad-based, national program, the Department will require some indication of manufacturer participation. Recognizing that a national program takes both time and resources to achieve its objective, it is reasonable to establish targets of manufacturer participation, which would gradually increase as the program expands over time. Expectations are that approximately 25 percent of the industry wide shipments (measured in dollars) of the listed products (total) will have energy efficiency information published in the supporting sales literature by one year from the date of publication of this notice. The percentage would become approximately 50 percent in 2 years, and approximately 75 percent in 3 years. A plan for documenting the

participation levels shall be submitted by July 14, 1995. f. Publicity: If the voluntary program is to be effective, a companion effort must be made to inform a wide range of lighting decision-makers of the new energy efficiency rating for luminaires. The Department will assess what strategies have been developed and launched to promote the program. A plan for evaluating professional awareness of the program shall be submitted. g. Market Data: To establish a baseline and provide a means to track luminaire efficacy over time, a system for data collection and reporting, such as reporting to the Bureau of Census, should be established. A plan for this data collection and reporting shall be submitted, along with recommendations for ways DOE might evaluate energy savings and energy efficiency trends in the industry. h. Continuation of the Program: A plan should be established that will enable the luminaire testing and information program to be self- perpetuating, and to include new products as they become significant in the marketplace. A second evaluation by DOE in 1 to 2 years may be necessary to monitor the progress of the program.

Issued in Washington, DC, on June 12, 1995. Christine A. Ervin, Assistant Secretary, Energy Efficiency and Renewable Energy. [FR Doc. 95-14703 Filed 6-14-95; 8:45 am] BILLING CODE 6450-01-P