[6450-01-P]

DEPARTMENT OF ENERGY 

Office of Energy Efficiency and Renewable Energy 

10 CFR Part 430 

[Docket No. EERE-2007-BT-TP-0013] 

RIN: 1904-AB72 

Energy Conservation Program: Test Procedures for General Service Fluorescent Lamps, 

Incandescent Reflector Lamps, and General Service Incandescent Lamps. 

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

ACTION: Notice of proposed rulemaking and public meeting. 

SUMMARY: The Department of Energy (DOE) is proposing amendments to its test procedures 

for fluorescent and incandescent lamps, which lamp manufacturers are required to use to certify 

compliance with energy conservation standards mandated under the Energy Policy and 

Conservation Act (EPCA). Specifically, these amendments update the citations and references to 

the most recent version of the industry standards currently referenced in DOE’s test procedures, 

as well as make a small number of technical modifications. DOE notes that this notice of 

proposed rulemaking (NOPR) is being issued concurrently with an energy conservation 

standards advance notice of proposed rulemaking (ANOPR) on general service fluorescent lamps 

(GSFL) and incandescent reflector lamps (IRL). The energy conservation standards ANOPR 

starts the process for evaluating the existing standards for certain GSFL and IRL to determine 

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EERE-2007-BT-TP-0013 COMMENT 03
whether higher standard levels would be technologically feasible and economically justified, and 

would result in significant conservation of energy. The ANOPR also discusses whether the 

scope of standards should be expanded to cover additional GSFL. In addition, the Energy 

Independence and Security Act of 2007 (EISA 2007) extended energy conservation standards 

coverage to general service incandescent lamps (GSIL). Accordingly, this notice also proposes 

other amendments to DOE’s test procedures for fluorescent and incandescent lamps in order to 

provide appropriate methods to test these additional lamps. DOE intends to use these 

amendments to the fluorescent lamp test procedure (with modifications possible based upon 

agency review of public comments), if it adopts standards for the additional lamps. In this 

document, DOE is also announcing a public meeting to receive comment on the issues presented 

in this notice. 

DATES: DOE will hold a public meeting in Washington, DC beginning on March 10, 2008, 

from 9:00 a.m. to 5:00 p.m., and continuing the following day March 11, 2008 (if necessary). 

The agenda for the public meeting will cover both this test procedure rulemaking and the 

concurrent energy conservation standards rulemaking for these lighting products. DOE must 

receive requests to speak at the meeting before 4:00 p.m., March 3, 2008. DOE must receive a 

signed original and an electronic copy of statements to be given at the public meeting before 4:00 

p.m., March 3, 2008. 

 DOE will accept comments, data, and information regarding the NOPR before or after 

the public meeting, but no later than [INSERT DATE 75 DAYS AFTER DATE OF 

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EERE-2007-BT-TP-0013 COMMENT 03
PUBLICATION IN THE FEDERAL REGISTER]. See Section IV, “Public Participation,” of 

this NOPR for details. 

ADDRESSES: The public meeting will be held at the U.S. Department of Energy, Forrestal 

Building, Room 8E-089, 1000 Independence Avenue, SW, Washington, DC 20585-0121. To 

attend the public meeting, please notify Ms. Brenda Edwards at (202) 586-2945. (Please note 

that foreign nationals participating in the public meeting are subject to advance security 

screening procedures. If a foreign national wishes to participate in the workshop, please inform 

DOE of this fact as soon as possible by contacting Ms. Brenda Edwards at (202) 586-2945 so 

that the necessary procedures can be completed.) 

 Any comments submitted must identify the Notice of Proposed Rulemaking on Test 

Procedures for General Service Fluorescent Lamps, Incandescent Reflector Lamps and General 

Service Incandescent Lamps, and provide the docket number EERE-2007-BT-TP-0013 and/or 

Regulation Identifier Number (RIN) 1904-AB72. Comments may be submitted using any of the 

following methods: 

Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for 

submitting comments. 

E-mail: Lamps_Test_Procedure@ee.doe.gov. Include the docket number EERE-2007-

BT-TP-0013 and/or RIN 1904-AB72 in the subject line of the message. 

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EERE-2007-BT-TP-0013 COMMENT 03
Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies 

Program, Mailstop EE-2J, 1000 Independence Avenue, SW, Washington, DC, 20585-

0121. Please submit one signed paper original. 

Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of Energy, Building 

Technologies Program, 6th Floor, 950 L’Enfant Plaza, SW, Washington, DC, 20024. 

Telephone: (202) 586-2945. Please submit one signed paper original. 

 For detailed instructions on submitting comments and additional information on the 

rulemaking process, see Section IV, “Public Participation,” of this document. 

 Docket: For access to the docket to read background documents or comments received, 

visit the U.S. Department of Energy, 6th Floor, 950 L’Enfant Plaza, SW, Washington, DC, 

20024, (202) 586-2945, between 9:00 a.m. and 4:00 p.m., Monday through Friday, except 

Federal holidays. Please call Ms. Brenda Edwards at (202) 586-2945 for additional information 

regarding visiting the Resource Room. 

FOR FURTHER INFORMATION CONTACT: Ms. Linda Graves, U.S. Department of 

Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, 

EE-2J, 1000 Independence Avenue, SW, Washington, DC 20585-0121. Telephone: (202) 586-

1851. E-mail: Linda.Graves@ee.doe.gov. 

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EERE-2007-BT-TP-0013 COMMENT 03
 Ms. Francine Pinto or Mr. Eric Stas, U.S. Department of Energy, Office of the General 

Counsel, GC-72, 1000 Independence Avenue, SW, Washington, DC 20585. Telephone: 

(202) 586-9507. E-mail: Francine.Pinto@hq.doe.gov or Eric.Stas@hq.doe.gov

 For information on how to submit or review public comments and on how to participate 

in the public meeting, contact Ms. Brenda Edwards, U.S. Department of Energy, Office of 

Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 

Independence Avenue, SW, Washington, DC 20585-0121. Telephone: (202) 586-2945. E-mail: 

Brenda.Edwards@ee.doe.gov. 

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Background 

II. Summary of the Proposal 

A. Updates to Standards Incorporated by Reference 

B. Technical Amendments 

C. Amendments Related to Testing of Potentially Added Coverage 

D. Off Mode and Standby Mode Energy Consumption 

III. Discussion 

A. Updates to Test Procedure References 

1. General Service Fluorescent Lamps 

2. Incandescent Reflector Lamps and General Service Incandescent Lamps 

3. Medium-Based Compact Fluorescent Lamps 

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EERE-2007-BT-TP-0013 COMMENT 03
4. General Information Standards 

B. High-Frequency Fluorescent Ballast Testing 

C. Calculation of Fluorescent Lamp Efficacy 

D. Measurement and Calculation of Correlated Color Temperature 

E. General Service Fluorescent Lamp Basic Model 

F. Reference Ballast Settings for Added Fluorescent Lamp Coverage 

1. 4-Foot Medium Bipin Lamps 

2. 2-Foot U-shaped Lamps 

3. 8-Foot Slimline Lamps 

4. 8-Foot High Output Lamps 

5. 8-Foot Very High Output Lamps 

6. T5 Fluorescent Lamps 

G. Test Procedures for Added General Service Incandescent Lamp Coverage 

H. Off Mode and Standby Mode Energy Consumption 

IV. Public Participation 

A. Attendance at Public Meeting 

B. Procedure for Submitting Requests to Speak 

C. Conduct of Public Meeting 

D. Submission of Comments 

E. Issues on Which DOE Seeks Comment 

1. Test Procedure Reference Updates 

2. High-frequency Fluorescent Ballast Testing 

3. Calculation of Fluorescent Lamp Efficacy 

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EERE-2007-BT-TP-0013 COMMENT 03
4. Measurement and Calculation of Correlated Color Temperature 

5. General Service Fluorescent Lamp Basic Model 

6. Reference Ballast Settings for Added Fluorescent Lamp Coverage 

7. Additions to the General Service Incandescent Lamp Test Procedure 

8. Off Mode and Standby Mode Energy Consumption 

V. Regulatory Review 

A. Executive Order 12866 

B. National Environmental Policy Act 

C. Regulatory Flexibility Act 

D. Paperwork Reduction Act 

E. Unfunded Mandates Reform Act of 1995 

F. Treasury and General Government Appropriations Act, 1999 

G. Executive Order 13132 

H. Executive Order 12988 

I. Treasury and General Government Appropriations Act, 2001 

J. Executive Order 13211 

K. Executive Order 12630 

L. Section 32 of the Federal Energy Administration Act of 1974 

VI. Approval of the Office of the Secretary 

I. Background 

 Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 et seq.; EPCA) sets 

forth a variety of provisions designed to improve energy efficiency. Part B of Title III (42 

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EERE-2007-BT-TP-0013 COMMENT 03
U.S.C. 6291–6309) establishes the “Energy Conservation Program for Consumer Products Other 

Than Automobiles.” The consumer and commercial products currently subject to this program 

(hereinafter referred to as “covered products”) include GSFL, IRL, and GSIL. Manufacturers of 

covered products are required to use the relevant DOE test procedures to certify compliance with 

the energy conservation standards adopted under EPCA. The statutory provisions of particular 

relevance to the present rulemaking are discussed immediately below. 

Under section 323(b) of EPCA, DOE is authorized to amend or establish new test 

procedures as appropriate for each of the covered products. (42 U.S.C. 6293(b)) EPCA states 

that “[a]ny test procedures prescribed or amended under this section shall be reasonably designed 

to produce test results which measure energy efficiency, energy use, water use (in the case of 

showerheads, faucets, water closets and urinals), or estimated annual operating cost of a covered 

product during a representative average use cycle or period of use, as determined by the 

Secretary [of Energy], and shall not be unduly burdensome to conduct.” (42 U.S.C. 6293(b)(3)) 

In addition, EPCA states that “... the Secretary shall determine, in the rulemaking carried out 

with respect to prescribing such procedure, to what extent, if any, the proposed test procedure 

would alter the measured energy efficiency, measured energy use, or measured water use of any 

covered product as determined under the existing test procedure.” (42 U.S.C. 6293(e)(1)) 

Of particular relevance to the present rulemaking, section 323(b)(6) of EPCA directs the 

Secretary of Energy (the Secretary) to prescribe test procedures for fluorescent lamps and IRL to 

which energy conservation standards are applicable, taking into consideration the applicable 

standards of the Illuminating Engineering Society of North America (IESNA) or American 

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EERE-2007-BT-TP-0013 COMMENT 03
National Standards Institute (ANSI). (42 U.S.C. 6293(b)(6)) The applicable test procedures 

appear at Title 10 of the Code of Federal Regulations (CFR) 430, Subpart B, Appendix R 

(“Uniform Test Method for Measuring Average Lamp Efficiency (LE) and Color Rendering 

Index (CRI) of Electric Lamps”). 

Furthermore, section 325(i)(5) of EPCA directs the Secretary to consider whether the 

standards in effect for fluorescent lamps and incandescent lamps should be amended so that they 

would be applicable to additional GSFL, and, if so, to adopt standards for such lamps. (42 

U.S.C. 6295(i)(5)) DOE is addressing these requirements concurrently in a separate energy 

conservation standard rulemaking for which an ANOPR is published in today’s Federal

Register.

1

 For those lamps being considered for coverage and for which DOE currently does 

not have test procedures, DOE is proposing test procedures for these products in this NOPR. 

 

To address the EPCA requirements for lamps discussed above, DOE undertook a number 

of rulemaking actions pertaining to test procedures. On September 28, 1994, DOE issued an 

Interim Final Rule on Test Procedures for Fluorescent and Incandescent Lamps (hereinafter 

referred to as the September 1994 Interim Final Rule), that established test procedures for GSFL, 

medium-based compact fluorescent lamps, and GSIL. 59 FR 49468 (September 28, 1994) 

(establishing 10 CFR Part 430, Subpart B, Appendix R). The test procedures incorporated by 

reference in the September 1994 Interim Final Rule are as follows: 

1

 Energy Conservation Standards for General Service Fluorescent Lamps and Incandescent Reflector Lamps; Docket 

No. EE-2006-STD-0131; RIN 1904-AA92. 

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EERE-2007-BT-TP-0013 COMMENT 03
ANSI Standards2

C78.1–1991, “Fluorescent Lamps–Rapid-Start Types–Dimensional and Electrical 

Characteristics”; 

C78.2–1991, “Fluorescent Lamps–Preheat-Start Types–Dimensional and Electrical 

Characteristics”; 

C78.3–1991, “Fluorescent Lamps–Instant-Start and Cold-Cathode Types–Dimensional 

and Electrical Characteristics”; 

C78.375–1991, “Fluorescent Lamps–Guide for Electrical Measurements”; and 

C82.3–1983, “Reference Ballasts for Fluorescent Lamps” 

International Commission on Illumination3

Publication 13.2–1974, corrected reprint 1993, “Method of Measuring and Specifying 

Color Rendering Properties of Light Sources” 

IESNA Standards4

LM–9–1988, “Approved Method for the Electrical and Photometric Measurements of 

Fluorescent Lamps”; 

LM–16–1984, “Practical Guide to Colorimetry of Light Sources”; 

LM–20–1982, “Approved Method for Photometric Measuring and Reporting Tests on 

Reflector Type Lamps”; 

 

2

 The ANSI standards listed may be obtained from the American National Standards Institute, 25 W. 43rd Street, 4th 

Floor, New York, NY 10036. Telephone: (212) 642–4900. 3

 The CIE standard listed in this paragraph may be obtained from the International Commission on Illumination, CIE 

Bureau Central, Kegelgasse 27, A-1030, Vienna, Austria. Telephone: +43 1 - 714 31 87 0. E-mail: 

ciecb@cie.co.at; website: http://www.cie.co.at/cie/. 4

 The IESNA standards listed may be obtained from the Illuminating Engineering Society of North America, 120 

Wall Street, Floor 17, New York, NY 10005-4001. Telephone: (212) 248-5000. 

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EERE-2007-BT-TP-0013 COMMENT 03
LM–45–1991, “Approved Method for Electrical and Photometric Measurements of 

General Service Incandescent Filament Lamps”; 

LM–58–1983, “Guide to Spectroradiometric Measurements”; and 

LM–66–1991, “Approved Method for the Electrical and Photometric Measurements of 

Single-Ended Compact Fluorescent Lamps” 

In addition, the September 1994 Interim Final Rule included the energy conservation 

standards for GSFL and IRL prescribed in EPCA section 325(i)(1)(A), (42 U.S.C. 

6295(i)(1)(A)), as well as definitions of terms related to standards and test procedures for lamps, 

and procedures for manufacturer compliance and certification with the standards. 

After considering public comments, on May 29, 1997, DOE published a final rule on Test 

Procedures for Fluorescent and Incandescent Lamps (hereinafter referred to as the May 1997 

Final Rule) that revised some of the definitions and calculation methods in the September 1994 

Interim Final Rule. 62 FR 29221 (May 29, 1997). In addition to (or in some cases in 

substitution for) those standards referenced above, the May 1997 Final Rule incorporated by 

reference the following standards: 

ANSI Standards

C78.21–1989, “Incandescent Lamps -- PAR and R Shapes”; and

C79.1–1994, “Nomenclature for Glass Bulbs -- Intended for Use with Electric Lamps”

IESNA Standards and Publications

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EERE-2007-BT-TP-0013 COMMENT 03
LM–16–1993, “Practical Guide to Colorimetry of Light Sources”; 

LM–20–1994, “Approved Method for Photometric Testing of Reflector-Type Lamps”; 

LM–58–1994, “ Guide to Spectroradiometric Measurements”; and 

Chapter 6 (Light Sources) of Illuminating Engineering Society of North America 

Lighting Handbook, Reference and Application, 8th Edition, 1993. 

The May 1997 Final Rule incorporated the IESNA Standard LM–66–1991 in its entirety, 

but removed the standard’s test requirement to use a reference ballast so that an integrally 

ballasted compact fluorescent lamp can be tested. 62 FR 29221, 29234 (May 29, 1997). 

 To implement recent amendments to EPCA contained in the Energy Policy Act of 2005 

(Pub. L. 109-58) (EPACT 2005), DOE published a final rule in the Federal Register

(hereinafter referred to as the December 2006 Final Rule), which prescribed test procedures for 

eleven types of products for which EPACT 2005 identified specific test procedures (including 

medium screw-based compact fluorescent lamps) on which the Federally-mandated test 

procedures are to be based. 71 FR 71340 (December 8, 2006). Specifically, the December 2006 

Final Rule incorporated test procedures for medium-based compact fluorescent lamps (CFL) by 

adopting the August 9, 2001 version of the ENERGY STAR program requirements for CFL 

(version 2.0). 

On December 19, 2007, the President signed the Energy Independence and Security Act of 

2007 (Pub. L. 110-140), which makes numerous amendments to EPCA and directs DOE to 

undertake several new rulemakings for appliance energy efficiency standards. EISA 2007 

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EERE-2007-BT-TP-0013 COMMENT 03
amends energy conservation standards for IRL and provides new energy conservation standards 

for GSIL. In addition, EISA 2007 provides several definitions related to products covered by 

this rulemaking. Furthermore, for all covered products, EISA 2007 directs DOE to amend its test 

procedure to incorporate a measure of standby mode and off mode energy consumption, if 

feasible. (42 U.S.C. 6295(gg)(2)) 

II. Summary of the Proposal 

 This NOPR proposes to modify DOE’s current test procedures for electric lamps in order 

to achieve three objectives: (1) to update a number of lighting industry standards incorporated by 

reference; (2) to adopt certain technical changes and clarifications; (3) to expand the test 

procedures to accommodate new classes of lamps being considered for coverage under an 

amended energy conservation standard or additional lamps for which EISA 2007 established 

energy conservation standards; and (4) to address the statutory requirement to expand test 

procedures to incorporate a measure of standby mode and off mode energy consumption. These 

proposed changes are summarized below. 

A. Updates to Standards Incorporated by Reference

 In seeking to implement recent amendments to EPCA, DOE determined that several of 

the lighting industry standards referenced in 10 CFR Part 430 have been superseded by new 

editions, have been withdrawn, and, in many cases, are no longer commercially available. 

Today’s NOPR discusses the proposed updates to standards applicable to the test procedures for 

GSFL, IRL, GSIL, and CFL, and it also describes DOE's basis for proposing to update the CFR 

with the most recent versions of certain industry testing references in its regulations to the most 

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EERE-2007-BT-TP-0013 COMMENT 03
recent versions. DOE requests comments on these proposed revisions, including any impacts 

associated with migration to the most recent version of standard currently incorporated by 

reference. 

Specifically, today’s notice proposes the incorporation by reference of the ANSI 

C78.375–1997, “American National Standard for Fluorescent Lamps—Guide for Electrical 

Measurements”; ANSI C78.81–2005, “American National Standard for Electric Lamps—

Double-Capped Fluorescent Lamps—Dimensional and Electrical Characteristics” and ANSI 

C78.901–2005, “American National Standard for Electric Lamps—Single-Based Fluorescent 

Lamps—Dimensional and Electrical Characteristics”; and ANSI C82.3–2002, “American 

National Standard for Reference Ballasts for Fluorescent Lamps.” These revisions of ANSI 

standards replace the older standards, C78.375-1991, C78.1-1991, C78.2-1991, C78.3-1991, and 

C82.3-1983, incorporated by reference in the September 1994 Interim Final Rule. 

This notice also proposes the incorporation by reference of the IESNA LM–9–1999 and 

IESNA LM–45–2000 for measuring the electrical and photometric attributes of fluorescent 

lamps and general service incandescent filament lamps, respectively. These versions of the 

IESNA standards would replace the older standards, IESNA LM–9–1988 and IESNA LM–45–

1991, that were incorporated by reference in the September 1994 Interim Final Rule. 

Additionally, this notice proposes to remove the reference to IESNA LM-16-1993, which 

is a guide to the colorimetry of light sources, and IESNA LM-66-1991, which concerns the 

testing of medium-based compact fluorescent lamps. Both of these standards were incorporated 

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EERE-2007-BT-TP-0013 COMMENT 03
by reference in the May 1997 Final Rule. DOE considers IESNA LM-66 testing standard 

superseded by the compact fluorescent lamp test method adopted in 10 CFR 430, Subpart B, 

Appendix W (“Uniform Test Method for Measuring the Energy Consumption of Medium Base 

Compact Fluorescent Lamps”) as part of the December 2006 Final Rule. 

This notice also proposes to incorporate by reference the method for measuring and 

specifying color rendering properties of light sources, found in the International Commission on 

Illumination (CIE) Publication 13.3–1995, which replaces the older publication, CIE Publication 

No. 13.2–1974 (corrected reprint 1993), incorporated by reference in the September 1994 

Interim Final Rule. 

B. Technical Amendments

In addition to incorporation by reference updates, this notice proposes to continue to 

require that testing of GSFL be based on low-frequency reference ballasts, except for those 

lamps which can only be tested on high-frequency ballasts. That is to say, where the newlyreferenced ANSI standards allow for both low- and high-frequency measurement, DOE proposes 

to require that manufacturers continue to report on the lamp performance using the lowfrequency reference ballast. By maintaining fluorescent lamp testing on low-frequency ballasts 

when possible, DOE believes that the proposed updates to more current ANSI standards would 

not alter the measured efficacy of fluorescent lamps. 

DOE is also proposing to amend certain provisions in its regulations for calculating and 

reporting lamp efficacy. Specifically, DOE proposes that lamp efficacy for GSFL be rounded to 

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EERE-2007-BT-TP-0013 COMMENT 03
the nearest tenth of a lumen per watt rather than the nearest whole number, as it is now. DOE 

notes that the fluorescent lamp standards established by EPACT 1992 set efficacy requirements 

that are to the tenths decimal place (e.g., 75.0 lumens per watt for 4-foot medium bipin lamps). 

DOE proposes changing the rounding practice for GSFL efficacy measurements to round to the 

nearest tenth of a lumen per watt for two reasons. First, the measured efficacy for the sample of 

lamps tested would be reported to the same degree of accuracy as the standard prescribed in 

EPACT 1992. Second, in conducting analyses for the energy conservation standards ANOPR, 

DOE found that in order to have standard levels for GSFL that are best able to maximize energy 

savings, it must utilize the tenths decimal place for the ANOPR analysis. Furthermore, DOE’s 

proposed approach would promote consistency with other lamp types already tested (e.g., lamp 

efficacy for IRL is rounded to the nearest tenth of a lumen per watt). 

Additionally, DOE is proposing in this NOPR to adopt a test method for the measurement 

and calculation of correlated color temperature (CCT) for fluorescent lamps and incandescent 

lamps. CCT is used as a metric to define “colored fluorescent lamp” in 10 CFR 430.2 and to 

define “colored incandescent lamp” in 42 U.S.C 6291(30)(EE). This proposed amendment 

supports the energy conservation standards rulemaking ANOPR published in today’s Federal

Register, in which DOE considers establishing separate product classes for fluorescent lamps 

based on their CCT. Also, in support of this consideration of separate product classes based on 

CCT, DOE is proposing in this NOPR to revise the definition of “basic model” such that all 

GSFL that are considered to be the same basic model have similar CCTs. 

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EERE-2007-BT-TP-0013 COMMENT 03
C. Amendments Related to Testing of Potentially Added Coverage

DOE is aware that the introduction of new 4-foot medium bipin and 2-foot U-shaped 

fluorescent lamps into the lighting market has effectively increased the number and types of 

lamps subject to DOE regulation under the existing definition of “fluorescent lamp.” In addition, 

DOE is aware that certain 8-foot slimline and 8-foot high output lamps, as well as 8-foot very 

high output lamps and T5 fluorescent lamps, are not presently part of DOE’s scope of coverage. 

In the energy conservation standards ANOPR published in today’s Federal Register, DOE 

discusses its consideration of whether to adopt energy conservation standards for some of these 

additional fluorescent lamps. In order not to delay the rulemaking process, in this test 

procedures rulemaking, DOE is proposing to adopt test procedures for all of these additional 

fluorescent lamps that are under consideration. 

DOE is also proposing to insert language in the CFR regarding the test procedure for 

GSIL. As stated earlier, EISA 2007 establishes energy conservation standards for GSIL. 

Consequently, the several necessary portions of the GSIL test procedure (e.g., specification of 

units to be tested and efficacy calculation methods) are not incorporated into DOE’s existing test 

procedure, as these lamp types were not previously regulated. Therefore, in this NOPR, DOE is 

proposing to include these GSIL test procedure provisions in a manner consistent with the 

existing IRL test procedure. 

D. Off Mode and Standby Mode Energy Consumption

As stated earlier, EISA 2007 directs DOE to amend its test procedure to incorporate a 

measure of off mode and standby mode energy consumption, if feasible. (42 U.S.C. 

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EERE-2007-BT-TP-0013 COMMENT 03
6295(gg)(2)) As discussed in further detail below, DOE believes that off mode and standby 

mode energy consumption of GSFL, IRL, and GSIL are inapplicable at the current state of the 

technologies. Because lamp operation in these two modes is not feasible, DOE proposes to not 

expand the test procedure to incorporate measurement methods for off mode or standby mode 

energy consumption of GSFL, IRL, and GSIL. 

III. Discussion 

A. Updates to Test Procedure References 

 As part of the DOE’s rulemaking regarding energy conservation standards for lamps, 

DOE held a public meeting on June 15, 2006, to present and discuss the Rulemaking Framework 

Document for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General 

Service Incandescent Lamps5

 (hereinafter Framework Document). 71 FR 30834 (May 31, 2006) 

(announcing public meeting and availability of Framework Document). Participants at the 

public meeting included energy and environmental groups, lamp manufacturers, State energy 

offices, electric utilities, and lighting consultants and designers. 

 In the Framework Document, DOE stated that it did not intend to update its test 

procedures in the lamps rulemaking. (Framework Document, No. 1.2 at pp. 8-9) At that time, 

DOE did not believe an update to the test procedures for lamps was necessary, as no stakeholder 

or manufacturer had raised this as an issue either directly with DOE or in the context of the 

certification reports submitted periodically for covered lamps. In Appendix D of the Framework 

 

5

 A copy of the Framework Document, “Rulemaking Framework Document for General Service Fluorescent 

Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps” can be found on DOE’s website 

at: http://www.eere.energy.gov/buildings/appliance_standards/residential/pdfs/lamps_framework.pdf. 

18

EERE-2007-BT-TP-0013 COMMENT 03
Document, however, DOE did provide a list of the industry standards incorporated by reference 

in its regulations, as codified in the CFR. 

In response to the Framework Document, the National Electrical Manufacturers 

Association (NEMA) commented that several of the methods and standards for test procedures 

listed in Appendix D of the Framework Document had been withdrawn and were no longer 

commercially available, while others had been superseded with new editions or updated in 

accordance with ANSI policy. NEMA urged DOE to update its regulations to use the current 

editions of the referenced test procedures, arguing that such action is important to minimize the 

administrative burden on those who conduct the testing. (NEMA, No. 8 at p. 2)6

 GE Consumer 

and Industrial (GE) also commented that DOE should update the testing standards incorporated 

by reference. GE stated that of the eleven standards incorporated by reference, three have been 

consolidated and superseded; one has been withdrawn; five have been superseded, and only two 

are still current. (Public Meeting Transcript, No. 4.5 at p. 30) GE asserted that having DOE 

regulations reference industry standards that are obsolete, withdrawn, revised, and consolidated 

makes compliance more problematic for regulated entities. (Public Meeting Transcript, No. 4.5 

at p. 29) 

 

6

 A notation in the form “NEMA, No. 8 at p. 2” identifies a written comment that DOE has received and has 

included in the docket of its energy conservation standards rulemaking for GSFL and IRL (Docket No. EE–2006–

STD–0131; RIN number 1904–AA92). This particular notation refers to a comment: (1) by the National Electrical 

Manufacturers Association; (2) in document number 8 in the docket of energy conservation standards rulemaking; 

and (3) appearing on page 2. 

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EERE-2007-BT-TP-0013 COMMENT 03
As part of its comments, NEMA prepared a table which listed each of the ANSI Lamp 

and Ballast Standards, IESNA Test Methods,7

 and CIE Technical Reports and Guides that DOE 

included in Appendix D of the Framework Document. NEMA then listed the current relevant 

standard, method, or guide being used by industry today. (NEMA, No. 12 at pp. 3-4) This 

comment very clearly presented the changes NEMA was requesting to the lighting test 

procedures incorporated by reference in the CFR. Specifically, NEMA identified the following 

references as needing revision or deletion: (1) ANSI C78.1–1991 (“For Fluorescent LampsRapid Start Types- Dimensional and Electrical Characteristics”); (2) ANSI C78.2–1991 (“For 

Fluorescent Lamps–Preheat Start Types– Dimensional and Electrical Characteristics”); (3) ANSI 

C78.3–1991 (“For Fluorescent Lamps–Instant-Start and Cold-Cathode Types– Dimensional and 

Electrical Characteristics”); (4) ANSI C78.375–1991 (“For Fluorescent Lamps– Guide for 

Electrical Measurements”); (5) ANSI C82.3– 1983 (“Reference Ballasts for Fluorescent 

Lamps”); (6) IESNA LM–9–88 (“IES Approved Method for the Electrical and Photometric 

Measurements of Fluorescent Lamps”); (7) IESNA LM–16–1993 (“IESNA Practical Guide to 

the Colorimetry of Light Sources”); (8) IESNA LM–45–1991 (“IES Approved Method for 

Electrical and Photometric Measurements of General Service Incandescent Filament Lamps”); 

and (9) the CIE Publication No. 13.2 1974, corrected reprint 1993 (“Method of Measuring and 

Specifying Color Rendering Properties of Light Sources, ISBN 3 900 734 39 9”). (NEMA, No. 

12 at p. 2 and pp. 3-4) Finally, NEMA also identified a referenced standard for compact 

fluorescent lamps, IESNA LM–66–1991 (“Electrical and Photometric Measurements of Single 

Ended Compact Fluorescent Lamps”) which requires updating. NEMA noted that EPACT 2005 

 

7

 In its table, NEMA also included an IESNA testing standard for medium-based compact fluorescent lamps, which, 

though not included by DOE in Appendix D of the Framework Document, is incorporated by reference in DOE’s 

test procedures for Electric Lamps. (10 CFR 430, Subpart B, Appendix R, paragraph 4.4) 

20

EERE-2007-BT-TP-0013 COMMENT 03
established minimum standards for single ended CFL, and the IESNA LM-66 reference needs to 

be updated as part of this process. (NEMA, No. 12 at p. 4) 

In response, DOE has tentatively decided to update several industry standards 

incorporated by reference in DOE’s lighting regulations in order to ensure their availability and 

to facilitate testing. DOE notes that various industry lighting standards are referenced in its 

regulations, as codified in 10 CFR 430.2 and 430.22 and 10 CFR Part 430, Subpart B, Appendix 

R. Although references to incorporated industry standards are generally found in the test 

procedures contained in DOE’s regulations, this rulemaking document also addresses other 

provisions of DOE’s lighting regulations where references to the identical standards require 

updating. Initiating such changes at one time in the context of this test procedure rulemaking is 

more efficient and promotes consistency across DOE’s lighting regulations. However, where it 

was determined that updating to a more recent version of an incorporated industry standard 

would effect a significant change in the scope of coverage of the regulation or other compliance 

requirements (e.g., changing the definition of “rated wattage” in 10 CFR 430.2), DOE reserved 

consideration of such updates for the standard-setting ANOPR because it believes that 

rulemaking to be the appropriate context for making substantive changes to energy conservation 

standard levels and their scope of coverage. 

When considering an updated standard, DOE examines each one to ensure that a revision 

to DOE’s regulations would not result in a test procedure that is unduly burdensome to conduct. 

DOE also examines an updated standard to determine whether the amended test procedure would 

significantly change the measured lamp efficacy (thereby necessitating amendments to the 

21

EERE-2007-BT-TP-0013 COMMENT 03
energy conservation standard itself). Unless otherwise stated, DOE has determined that none of 

the referenced test procedures is burdensome to conduct, nor would they result in a change in 

measured energy efficiency. Thus, DOE proposes to update the standards incorporated by 

reference to the more recent versions recommended by stakeholders. The updated references are 

discussed in detail below. 

1. General Service Fluorescent Lamps

NEMA commented that the ANSI C78.1–1991, C78.2–1991, and C78.3–1991 have been 

collectively superseded by the 2005 edition of ANSI C78.81. These 1991 standards are 

referenced in DOE’s definitions of “cold-temperature fluorescent lamp,” “fluorescent lamp,” and 

“rated wattage.” (See 10 CFR 430.2) In addition, the test methods and measurements for GSFL 

incorporate elements of each of these standards. (See 10 CFR 430, Subpart B, Appendix R, 

paragraph 4.1.1) 

Since the time of their incorporation, these industry standards have undergone several 

rounds of revision. The 1991 standards were consolidated in 2001 as ANSI C78.81 and ANSI 

C78.901. ANSI C78.81 was later revised in 2003. Both ANSI C78.81 and ANSI C78.901 were 

then revised in 2005. ANSI C78.81-2005, addressing dimensional and electrical characteristics 

for double-capped fluorescent lamps, combines and is an updated version of ANSI C78.2-1991 

(which addresses dimensional and electrical characteristics for preheat start fluorescent lamps), 

ANSI C78.3-1991 (which addresses dimensional and electrical characteristics for instant start 

and cold-cathode types fluorescent lamps), and portions of ANSI C78.1-1991 (which addresses 

dimensional and electrical characteristics for rapid start fluorescent lamps). ANSI C78.901-2005 

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EERE-2007-BT-TP-0013 COMMENT 03
provides dimensional and electrical characteristics for single-based fluorescent lamps and 

incorporates specifications for the U-shaped lamps that were previously covered by ANSI C78.1-

1991. 

In a review and comparison of the 1991 and 2005 ANSI standards, DOE found that both 

ANSI C78.81–2005 and ANSI C78.901–2005 add a requirement that the average wattage not 

exceed the rated wattage by 5 percent plus 0.5 watts. In the 1991 ANSI standards, the 

relationship between the average and rated wattage was not defined. The new ANSI standards, 

with this tolerance on average wattage, would allow a lamp listed in a catalogue as being 

nominally 32 watts (rated at 32.5 watts in ANSI C78.81) to actually have a power as high as 34.6 

watts and still be listed as nominally 32 watts. However, DOE notes that manufacturers do not 

use the rated wattage when calculating efficacy. Instead, they use the measured (or “average”) 

wattage, following the steps in DOE’s test procedure. Therefore, this new requirement that the 

average wattage shall not exceed the rated wattage by 5 percent plus 0.5 watts would not change 

the represented efficacy of lamps tested. In other words, the efficacy represented by a lamp 

tested under the 1991 ANSI standards and under the 2005 ANSI standards would not differ due 

to this new tolerance requirement on rated wattage. 

A noteworthy difference between ANSI C78.1 and ANSI C78.81 is each document’s 

content under Annex A.2, which is referenced in DOE’s definition of “rated wattage”8

 (See 10 

 

8

 10 CFR 430.2 defines “rated wattage” as: “Rated wattage, with respect to 4-foot medium bi-pin T8, T10 or T12 

lamps, means: (1) If the lamp is listed in ANSI C78.1–1991, the nominal wattage of a lamp determined by the lamp 

designation in Annex A.2 of ANSI C78.1–1991; or (2) If the lamp is a residential straight-shaped lamp, the wattage 

a lamp consumes when operated on a reference ballast for which the lamp is designed; or (3) If the lamp is neither 

listed in ANSI C78.1–1991 nor a residential straight-shaped lamp, the wattage a lamp consumes when using 

reference ballast characteristics of 236 volts, 0.43 amps and 439 ohms for T10 or T12 lamps or reference ballast 

characteristics of 300 volts, 0.265 amps and 910 ohms for T8 lamps.” 

23

EERE-2007-BT-TP-0013 COMMENT 03
CFR 430.2). As mentioned earlier, in the context of “rated wattage,” this difference could result 

in a change in coverage under the energy conservation standards. Specifically, Annex A.2 of 

ANSI C78.1 indicates that the lamp abbreviation may include either the rated wattage or nominal 

wattage for a particular lamp. However, Annex A.2 of ANSI C78.81 no longer refers to the 

rated wattage, specifying that the lamp abbreviation incorporates only the nominal wattage. 

Although Annex A.2 of ANSI C78.81 does not provide a definition of rated wattage, Clause 11.1 

of the standard does identify rated wattage by referring to the rated values in the specific lamp 

data sheets contained in ANSI C78.81. Because the rated wattage values referred to in Annex 

A.2 of the outdated ANSI C78.1-1991 are different from those values identified by either Annex 

A.2 or Clause 11.1 of ANSI 78.81-2005, implementing this reference update in the definition of 

“rated wattage” (i.e., substituting ANSI C78.1 with ANSI C78.81) would substantively change 

that definition. Due to the fact that rated wattage is used in the definition of “fluorescent lamps,” 

updating ANSI C78.1 to ANSI C78.81 would alter the scope of coverage for fluorescent lamps 

under the applicable DOE regulations (scope may increase or decrease, depending on the 

nominal and rated wattage of the fluorescent lamp). For this reason, DOE is not proposing to 

update the relevant incorporation by reference in the definition of “rated wattage” in the context 

of this test procedure NOPR. Instead, DOE discusses potential revisions to the “rated wattage” 

definition in the energy conservation standards rulemaking, for which an ANOPR is published in 

today’s Federal Register. In the ANOPR, DOE has a section where it discusses scope of 

coverage, including the updating of the reference from ANSI C78.1 to C78.81 in the definition of 

“rated wattage.” 

 

24

EERE-2007-BT-TP-0013 COMMENT 03
 It is important to note that while DOE is not proposing to update the ANSI C78.1-1991 

reference in the definition of “rated wattage” in 10 CFR 430.2, the term “rated wattage” is not 

used in DOE’s fluorescent and incandescent lamp test procedure. Therefore, the updated 

fluorescent and incandescent lamp test procedure, as proposed in this NOPR, would incorporate 

all the most up-to-date industry standards and practices. 

For several covered lamps listed in ANSI C78.1-1991, the updated ANSI C78.81–2005 

adds high-frequency reference ballast settings for lamps without cathode heating. Because DOE 

references ANSI standard C78.1 in the test methods and measurements of GSFL, this additional 

option for testing may introduce a significant change in the test procedure and change in the 

measured efficacy. (See 10 CFR 430, Subpart B, Appendix R, paragraph 4.1.1) Fluorescent 

lamp operation without cathode heating generally results in a higher measured efficacy than 

operation with cathode heating. In addition, DOE recognizes that lamp operation on a highfrequency ballast results in significantly different lamp efficacy than lamp operation on a lowfrequency ballast. Due to the fact that these lamps can be operated on both low- and highfrequency ballasts, DOE is proposing to require all lamps have their efficacy tested using the 

low-frequency reference ballasts. This proposal is consistent with the existing test procedure and 

referenced 1991 ANSI standard and will ensure that all testing will result in consistent lamp 

efficacy measurements. For those lamps which can only be tested on a high-frequency reference 

ballast (e.g., 86-Watt 8-foot T8 high output or T5 fluorescent lamps, though neither are currently 

covered products), DOE is proposing that manufacturers would test and report their performance 

using the high-frequency reference ballast settings contained in the updated 2005 ANSI standard. 

25

EERE-2007-BT-TP-0013 COMMENT 03
This issue of lamp testing on high-frequency ballasts is discussed in detail in Section III.B of this 

NOPR. 

Finally, in 10 CFR 430.2, paragraphs (3) and (4) of the definition of “fluorescent lamp” 

define the scope of coverage for such lamps that are subject to energy efficiency standards by 

referencing the lamps contained in ANSI C78.1 and ANSI C78.3. In paragraph (3) of the 

definition, the scope of “8-foot high output lamps” is limited to those lamps identified in ANSI 

C78.1-1991. Substituting ANSI C78.1-1991 with ANSI C78.81-2005 in paragraph (3) would not 

alter the scope of coverage of 8-foot high output lamps, as no additional lamps of this type are 

listed in ANSI C78.81. Therefore, DOE proposes in this NOPR to replace the reference to ANSI 

C78.1-1991 with a reference to ANSI C78.81-2005 in paragraph (3) of DOE’s definition of a 

“fluorescent lamp.” 

Similarly, paragraph (4) of the definition of “fluorescent lamp” defines “8-foot slimline 

lamps” by referencing ANSI C78.3-1991. The updated ANSI C78.81-2005 provides lamp 

specification data for one additional fluorescent lamp if the reference to ANSI C78.3 was 

substituted with the 2005 ANSI standard in paragraph (4) of the definition. Specifically, ANSI 

C78.81–2005 provides lamp specification data for a 59-watt, 8-foot, T8, single pin, instant start 

fluorescent lamp that would fall under the definition of “8-foot slimline lamps.” Thus, if DOE 

were to update this reference to ANSI C78.3-1991 by substituting it with ANSI C78.81-2005, 

DOE would be expanding its scope of coverage to additional 8-foot slimline lamps. Therefore, 

DOE is not proposing in this proposed rule to update the referencing of ANSI C78.3-1991 in 

paragraph (4) of the definition of “fluorescent lamp” in this rulemaking proceeding. However, in 

26

EERE-2007-BT-TP-0013 COMMENT 03
this test procedure NOPR, DOE is proposing to update all references to ANSI C78.3-1991 

appearing in 10 CFR 430, Subpart B, Appendix R.9

 Today’s proposal, if adopted, would ensure 

that DOE has a test procedure for fluorescent lamps incorporating all the most up-to-date 

industry standards. DOE is considering the issue of the reference to the outdated ANSI C78.3-

1991 in the definition of “fluorescent lamp” (and the associated expansion of coverage) in the 

energy conservation standard ANOPR for GSFL, IRL, and GSIL published in today’s Federal

Register. 

For all the reasons set forth in the preceding paragraphs, DOE is proposing to incorporate 

by reference ANSI C78.81–2005 and ANSI C78.901–2005 and to delete the references to ANSI 

C78.1–1991 in the definition of “cold-temperature fluorescent lamp” and in paragraph (3) of the 

definition of “fluorescent lamp” in 10 CFR 430.2. In addition, DOE proposes to incorporate by 

reference ANSI C78.81-2005 and ANSI C78.901-2005. DOE also proposes to delete the 

references to ANSI C78.1, ANSI C78.2, and ANSI C78.3 in the test methods and measurements 

of GSFL. (10 CFR 430, Subpart B, Appendix R, paragraph 4.1.1) DOE believes that by 

continuing to require that all lamps be tested on low-frequency ballasts (except those that cannot 

be), the revisions proposed above would not result in any additional testing burden or significant 

change in measured lamp efficacy. 

 NEMA commented that ANSI C78.375-1991 has been updated to ANSI C78.375-1997. 

(NEMA, No. 12 at p. 3) ANSI C78.375-1991, which is incorporated by reference, describes 

procedures for obtaining electrical measurements for these lamps. (See 10 CFR 430, Subpart B, 

 

9

 By referencing ANSI C78.81 and ANSI C78.901 in 10 CFR 430, Subpart B, Appendix R, DOE recognizes that the 

GSFL test procedure provides testing methods for all GSFL currently regulated by DOE as well as other lamps not 

included in the scope of coverage of DOE’s regulations. 

27

EERE-2007-BT-TP-0013 COMMENT 03
Appendix R) DOE reviewed the test procedure and the ANSI updates, and it was found that the 

1997 revision provides less restrictive requirements for supply voltage than the 1991 version, and 

it removes specifications for instrumentation usage and correction determination. These updates 

are based on changes in technology, and DOE believes that these revisions would not change the 

measured lamp efficacy. The revised 1997 ANSI standard requires that lamp testing be 

performed in a draft-free environment and that the test instruments are of true root mean square 

type.10 DOE has tentatively concluded that both of these updates would help to reduce errors 

and produce more consistent, accurate representations of lamp performance, without resulting in 

any additional testing burden or change in measured lamp efficacies. Therefore, DOE is 

proposing to amend the reference to ANSI C78.375-1991 by replacing it with ANSI C78.375-

1997 in 10 CFR 430.22 and 10 CFR Part 430, Subpart B, Appendix R. 

 Next, NEMA suggested that DOE amend references to ANSI C82.3-1983, which 

provides design features and operating characteristics for fluorescent lamp reference ballasts, by 

replacing it with the latest version of that standard, ANSI C82.3-2002. (NEMA, No. 12 at p. 3) 

ANSI C82.3-1983 is currently referenced in the test methods and measurements section of the 

GSFL test procedure (see 10 CFR Part 430, Subpart B, Appendix R, paragraph 4.1.1). ANSI 

C82.3-2002 updates instrument/calibration requirements reflective of the changes over time in 

the instrumentation used to test lamps. Instrumentation used today no longer requires many of 

the calibrations and adjustments dictated in the 1983 standard. DOE believes that the revised 

ANSI standard (ANSI C82.3-2002), though simplifying calibration and adjustment techniques, 

does not alter the measured efficacies of lamps tested vis-à-vis those reported in ANSI C82.3-

 

10 These instruments directly calculate the root mean square from the measured waveform, rather than basing the 

calculation on the assumption that the waveform is sinusoidal. 

28

EERE-2007-BT-TP-0013 COMMENT 03
1983. In addition, ANSI C82.3-2002 introduces high-frequency (i.e., 25 kHz) specifications for 

reference test ballasts. However, as stated above, DOE is proposing to require all lamps to be 

tested using low-frequency ballasts (except those which can only be tested with high-frequency 

ballasts). Because all currently covered lamps have corresponding low-frequency ballast 

specifications provided, DOE concludes that this revision to the ANSI standard does not affect 

the efficacy measurement for the relevant lamps or introduce any additional testing burden. 

Therefore, DOE is proposing to replace the reference to ANSI C82.3-1983 with ANSI C82.3-

2002 in 10 CFR 430.22 and 10 CFR Part 430, Subpart B, Appendix R. 

Furthermore, NEMA commented that IESNA LM–9–99 is the current version of IESNA 

LM-9-88, and that the references to LM-9-88 in 10 CFR Part 430, Subpart B, Appendix R should 

be updated to the more recent version of the IESNA standard. (NEMA, No. 12 at p. 3) These 

two standards describe the procedures for assessing electrical and photometric characteristics of 

fluorescent lamps. The 1999 version of IESNA LM–9 adds specifications for self-absorption 

correction when taking light output measurements. Although this addition could raise efficacy 

by as much as 5 or 10 percent, the degree of this change depends on the integrating-sphere 

configuration and the laboratory conducting the testing. However, because some laboratories 

already account for self-absorption in their light output measurements, these added specifications 

would only affect those laboratories not presently performing this practice. If DOE adopts this 

revision and concludes that the update does significantly affect measured lamp efficacy, then in 

accordance with 42 U.S.C. 6293(e), DOE would be required to “amend the applicable energy 

conservation standard during the rulemaking carried out with respect to such test procedure.” In 

this case, DOE will revise and develop new or amended efficacy standards for fluorescent lamps 

29

EERE-2007-BT-TP-0013 COMMENT 03
in its energy conservation standards rulemaking, taking into consideration the updated standard, 

IESNA LM-9-1999. DOE invites comment on this issue. 

Another difference between IESNA LM-9-1999 and the earlier version of that standard 

concerns the electrical settings used during lamp measurements. The updated IESNA standard 

allows measurements to be taken with the lamp operating and stabilized under one of three 

conditions: (1) at the specified input voltage to the reference circuit; (2) at the rated lamp power; 

or (3) at a specified current. In contrast, the 1988 version of the IESNA standard requires that 

measurements be taken at the input voltage specified by the reference circuit. Though all three 

measurement techniques are valid methods to test fluorescent lamps, DOE believes that testing 

under each of the three measurement techniques could result in significantly different efficacies. 

Therefore, in order to ensure consistent lamp efficacy measurements, DOE proposes to limit the 

testing of lamps by using one particular method, with the lamp operating and stabilized at the 

specified input voltage to the reference circuit. By retaining this single method of testing lamps, 

DOE makes certain that updating to IESNA LM-9-1999 will not change the measured lamp 

efficacy or cause additional testing burden. Other changes to the revised version standardize 

methods of testing by providing clearer guidelines. DOE believes that these updates will result 

in more consistent and accurate efficacy measuring and reporting. Therefore, DOE proposes to 

update the references to IESNA LM–9 in 10 CFR 430.22 and 10 CFR Part 430, Subpart B, 

Appendix R, by substituting the test method in IESNA LM–9–1999, with a limitation that the 

testing conditions are to be that the lamp must be operating and stabilized at the specified input 

voltage to the reference circuit. 

30

EERE-2007-BT-TP-0013 COMMENT 03
2. Incandescent Reflector Lamps and General Service Incandescent Lamps

NEMA commented that IESNA LM–45–1991 is out of date and has been updated to 

IESNA LM–45–2000. (NEMA, No. 12 at pp. 3-4) IESNA LM–45-1991, which is incorporated 

by reference in 10 CFR Part 430, Subpart B, Appendix R, describes the procedures to be 

followed for measurement of the electrical and photometric characteristics of general service 

incandescent filament lamps. In addition, IESNA LM-20 (the referenced standard regarding the 

photometric testing of reflector-type lamps) incorporates IESNA LM-45-1991 by reference. 

DOE’s review of these testing standards indicates that revising the test procedure to incorporate 

IESNA LM-45-2000 by reference would update testing instrumentation specifications, test 

procedure information, and mechanisms for determining measurement errors. 

DOE believes that substituting IESNA LM-45-2000 for the version currently 

incorporated would provide clarification in the test procedure, which would reduce variability 

without significantly affecting measured lamp efficacy. Specifically, the revised IESNA 

standard provides a detailed procedure for establishing lamp stabilization. The revised IESNA 

standard also explains the origin of measurement errors caused by the deviation in system 

response from the photopic luminous efficacy function (V()) when determining illuminance and 

total luminous flux. Furthermore, the revised IESNA standard requires a tighter bound of 

uncertainty measurements for voltage and current. It is DOE’s understanding that these 

modifications could reduce uncertainty and variability in efficacy measurements. DOE believes 

that the changes are necessary because the previous methodology incorporates measurement 

techniques that could result in different efficacy values for the same lamp. In addition, DOE 

believes that testing under an amended test procedure that incorporates the 2000 version of the 

31

EERE-2007-BT-TP-0013 COMMENT 03
IESNA standard would not be unduly burdensome to conduct. Therefore, DOE is proposing to 

incorporate by reference IESNA LM–45–2000 under 10 CFR 430.22 and 10 CFR Part 430, 

Subpart B, Appendix R. 

3. Medium-Based Compact Fluorescent Lamps

DOE is proposing to delete references to test procedures for medium-based compact 

fluorescent lamps from 10 CFR Part 430, Subpart B, Appendix R, because test procedures 

conforming with EPACT 2005 were added by the December 2006 Final Rule. Section 

323(b)(12)(A) of EPCA, as amended, requires test procedures for medium-based CFL to be 

based on the August 9, 2001, version of the ENERGY STAR program requirements for CFL 

(version 2.0). Accordingly, the December 2006 Final Rule incorporated the version 2.0 as 

DOE’s test procedure for CFL. (10 CFR Part 430, Subpart B, Appendix W) This statutory 

directive supersedes the testing procedures adopted by the September 1994 Interim Final Rule. 

Therefore, DOE proposes to delete references to testing medium-based compact fluorescent 

lamps from 10 CFR 430.22 and 10 CFR Part 430, Subpart B, Appendix R. In addition, DOE 

proposes to reference Appendix W of Subpart B instead of Appendix R of Subpart B in 10 CFR 

Part 430 when indicating the appropriate test procedure for medium base compact fluorescent 

lamps. 

4. General Information Standards

NEMA commented that IESNA LM–16–1993, a guide to colorimetry of light sources, 

has been withdrawn and is commercially unavailable. Accordingly, NEMA requested that this 

reference be eliminated from DOE’s regulations. (NEMA, No. 12 at pp. 3-4) IESNA LM-16-

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EERE-2007-BT-TP-0013 COMMENT 03
1993, which is referenced in 10 CFR Part 430, Subpart B, Appendix R, is not a specific test 

method and does not provide any detail associated with the test procedures contained in 

Appendix R. IESNA LM–16 provides only educational information and refers to testing 

standards already referenced by other incorporated ANSI, IESNA, and CIE references. 

Therefore, DOE is proposing to delete the reference to IESNA LM–16-1993 from Appendix R 

because it has been withdrawn by industry and is superfluous to DOE’s test procedure. 

Correspondingly, DOE is proposing to delete the reference to IESNA LM–16-1993 from 10 CFR 

430.22(b)(2). DOE believes that these amendments would not result in any change in the testing 

method or measured efficacies of fluorescent or incandescent lamps. 

In its comments, NEMA urged DOE to incorporate by reference CIE Publication 13.3–

1995, which is the updated version of CIE Publication 13.2–1974 (corrected reprint 1993). CIE 

Publication 13.2 is cited in 10 CFR 430.2, 10 CFR 430.22(b)(3), and 10 CFR Part 430, Subpart 

B, Appendix R. CIE Publication 13.2 is referenced in the definition of “colored fluorescent 

lamp” (10 CFR 430.2) and in the test methods and measurements of GSFL (10 CFR 430, Subpart 

B, Appendix R, paragraph 4.5.1).11 CIE Publication 13.2 presents the procedure for measuring 

and specifying color rendering properties of light sources. Relative to CIE Publication 13.2, data 

tables have been modified in CIE Publication 13.3 to be representative of current 

spectroradiometric practices. A smaller interval for the color rendering index (CRI) is required 

due to changes in current practices. However, the technical method for determining CRI has not 

changed from the 1974 edition of the CIE publication. DOE believes the proposed amendments 

 

11 CIE Publication 13.2 is also referenced in the DOE definition of “colored incandescent lamp” as developed and 

codified in the May 1997 Final Rule. 62 FR 29221,29228 (May 29, 1997) However, section 321(a)(1) of EISA 

2007 establishes a new definition (superseding DOE’s previous definition) that references the updated CIE 

Publication 13.3. 

33

EERE-2007-BT-TP-0013 COMMENT 03
to this document would not significantly impact the measurement of lamp efficacy or add 

additional testing burden because these changes have already been widely adopted in practice 

and are now standardized across laboratories. Therefore, DOE is proposing to update the 

relevant CFR provisions to incorporate by reference CIE Publication 13.3–1995, in place of CIE 

Publication 13.2-1974 (corrected reprint 1993). 

In addition, DOE is also proposing in this notice to delete the reference to TLA Lighting 

Consultants from 10 CFR 430.22(b)(3), and instead is inserting both an email address and 

website for CIE. DOE is proposing this amendment for the following reasons: (1) DOE no 

longer believes it is necessary to list a private company as the source of CIE documents when 

CIE documents can be purchased online directly from CIE; and (2) as discussed in 10 CFR 

430.22(a)(2), the CIE document and all referenced standards are made publicly available through 

both the National Archives and Records Administration and the U.S. Department of Energy 

headquarters in Washington, DC. 

B. High-Frequency Fluorescent Ballast Testing

 As discussed in Section III.A above, DOE is proposing to incorporate by reference ANSI 

C78.81 and ANSI C78.901 (which replaced ANSI C78.1, ANSI C78.2, and ANSI C78.3) in 10 

CFR Part 430, Subpart B, Appendix R, paragraph 4.1.1. ANSI C78.81 allows several lamps to 

be tested on high-frequency ballasts. Philips commented that the same lamp tested on different 

reference ballasts may have different reported efficacies. (Philips, No. 11 at p. 3) The Philips 

comment raises a significant point. DOE believes that having a fluorescent lamp efficacy 

standard which allows manufacturers to determine compliance by using either of two different 

34

EERE-2007-BT-TP-0013 COMMENT 03
methods would introduce inconsistencies in the measured efficacies for those products. At this 

time, while high-frequency testing specifications are available for some lamps, they are not yet 

available for all of DOE’s covered fluorescent lamp types. ANSI C78.81 does provide lowfrequency reference ballast specifications for all of DOE’s covered fluorescent lamps. 

Therefore, consistent with the current test procedure, DOE is proposing in this NOPR to require 

testing of GSFL using low-frequency reference ballasts when possible. If, as discussed in the 

energy conservation standards ANOPR, DOE were to extend its coverage to certain additional 

fluorescent lamps for which only high-frequency reference ballast specifications are available, 

then DOE proposes to require that testing of those lamps would be conducted using the specified 

high-frequency reference ballast. By continuing to test fluorescent lamps on low-frequency 

ballasts when possible, DOE ensures consistent and repeatable efficacy measurements. In 

addition, as this proposal does not represent a divergence from the current testing practices, DOE 

believes that the proposed test procedure would neither increase testing burden nor alter the 

measured efficacy of fluorescent lamps. 

DOE is aware that the fluorescent ballast market is shifting toward high-frequency (i.e., 

electronic) ballasts. Therefore, if industry standards are amended in the future so as to provide 

high-frequency testing specifications for a more comprehensive list of covered lamps, DOE will 

consider reevaluating its test procedures. In such a case, DOE may propose allowing 

manufacturers the option of choosing either low-frequency reference balance testing or highfrequency reference ballast testing. DOE notes that if it allows manufacturers to test and 

represent the efficacy of their lamps using a high-frequency reference ballast, DOE would need 

to adjust the table of fluorescent lamp efficacy requirements (which currently includes low35

EERE-2007-BT-TP-0013 COMMENT 03
frequency ballasts efficacy levels) so as to also include high-frequency ballast efficacy levels, in 

accordance with 42 U.S.C 6293(e). In other words, DOE would scale its efficacy requirements 

to reflect the performance of a lamp on a low-frequency ballast to that same lamp’s performance 

on a high-frequency ballast. DOE invites stakeholders to comment on this issue. 

C. Calculation of Fluorescent Lamp Efficacy

 DOE’s current test procedures for fluorescent and incandescent lamps contain an 

inconsistency between the definition of “lamp efficacy” and the minimum efficacy standards 

established by the Energy Policy Act of 1992 (Pub. L. 102-486) (EPACT 1992). Under 10 CFR 

Part 430, Subpart B, Appendix R, paragraph 2.6, lamp efficacy for all lamps is defined as: “the 

ratio of measured lamp lumen output in to the measured lamp electrical power input in watts, 

rounded to the nearest whole number, in units of lumens per watt.” Similarly, the GSFL test 

procedure states that lamp efficacy measurements should be rounded to the nearest lumen per 

watt (10 CFR 430.23(r)(2)). However, in 10 CFR 430.23(r)(3), lamp efficacy for IRL is defined 

as the ratio of lumens emitted over watts consumed, rounded to the nearest tenth of a lumen per 

watt. DOE believes that accuracy of efficacy measurements is crucial in order to maximize 

energy savings under DOE regulations. DOE further notes that average lamp efficacy 

requirements for GSFL, as listed in EPCA, are specified to the nearest tenth of a lumen per watt. 

(42 U.S.C 6295(i)(1)(A)) Therefore, DOE is proposing to revise the GSFL test procedure (10 

CFR 430.23(r)(2)) and the test procedure definition of “lamp efficacy” (10 CFR Part 430, 

Subpart B, Appendix R, paragraph 2.6), such that all efficacy measurements for lamps are 

rounded to the nearest tenth of a lumen per watt. This proposal is consistent with DOE’s 

approach in the May 1997 Final Rule regarding the rounding practice required for the calculation 

36

EERE-2007-BT-TP-0013 COMMENT 03
of IRL efficacy. In the May 1997 Final Rule, DOE stated that IRL lamp efficacy should be 

rounded to the nearest tenth of a lumen per watt in order to retain the significant figures in the 

EPCA standard for IRL. (42 U.S.C 6295(i)(1)(A)) 62 FR 29221, 29234 (May 29, 1997) This 

proposed revision to the efficacy rounding practice for GSFL does not alter the method of taking 

test measurements, but only the calculation of lamp efficacy. Therefore, DOE believes that 

requiring average lamp efficacy measurements of GSFL be rounded to the nearest tenth of a 

lumen per watt would not be unduly burdensome. 

In sum, DOE believes that these amendments to the test procedure would neither be 

unduly burdensome to implement nor alter the measured efficacy of covered fluorescent lamps. 

DOE invites stakeholders to comment on this issue. 

D. Measurement and Calculation of Correlated Color Temperature

DOE uses CCT as a metric to define “colored fluorescent lamp” and “colored 

incandescent lamp.”12 In both cases, CCT is used to determine whether a lamp that operates 

with a particular CCT should be classified as a colored lamp, and therefore not be subjec

regulation as a covered product. The existing test procedures for fluorescent and incandescent 

lamps in the CFR do not provide guidance or methodologies for determining or calculating CCT. 

In today’s Federal Register, DOE is publishing an ANOPR for the energy conservation 

standards rulemaking on GSFL and IRL that takes into consideration CCT. In the energy 

conservation standards ANOPR, DOE is requesting comment on the development of separate 

t to 

 

12 The following is the definition of “colored fluorescent lamp” set forth in 10 CFR 430.2: “Colored fluorescent 

lamp means a fluorescent lamp designated and marketed as a colored lamp, and with either of the following 

characteristics: a CRI less than 40, as determined according to the method given in CIE Publication 13.2 (see 10 

CFR 430.22), or a lamp correlated color temperature less than 2,500K or greater than 6,600K.” 

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EERE-2007-BT-TP-0013 COMMENT 03
product classes and efficacy standards for fluorescent lamps based on CCT. In order that 

manufacturers may all use the same reference document for determining their fluorescent lamp 

CCT values, DOE is proposing to incorporate by reference in this proceeding IESNA LM-9-

1999, titled “IESNA Approved Method for the Electrical and Photometric Measurements of 

Fluorescent Lamps.” IESNA LM-9-1999 provides a clear and adequate methodology for the 

measurement and calculation of the CCT of a fluorescent lamp. Under IESNA LM-9-1999, CCT 

is determined by measuring the spectral power distribution and then calculating the chromaticity 

coordinates which correspond to a particular CCT. DOE does not believe the adoption of this 

IESNA standard imposes an additional burden on fluorescent lamp manufacturers because 

manufacturers already calculate chromaticity coordinates to report an industry-standardized CCT 

for these lamps in their product catalogs and marketing literature. Therefore, DOE is proposing 

to include IESNA LM-9-1999 in the definition of “colored fluorescent lamp” under 10 CFR 

430.2 and in 10 CFR Part 430, Subpart B, Appendix R as a test method for the measurement and 

calculation of CCT for fluorescent lamps. 

Section 321(a)(1)(B) of EISA 2007 introduces a new statutory definition for “colored 

incandescent lamp,” stating that a colored incandescent lamp is, in part, an incandescent lamp 

with “a correlated color temperature less than 2,500K, or greater than 4,600K, where correlated 

temperature is computed according to the Journal of Optical Society of America, Vol. 58, pages 

1528-1595 (1986).”13 As this statutory definition explicitly prescribes the method for calculation 

of CCT for incandescent lamps, in this NOPR, DOE proposes to incorporate this same reference 

into the incandescent lamp test procedure. DOE does not consider this action to be unduly 

 

13 This statutory definition supersedes the previous definition for “colored incandescent lamp” which DOE 

developed and incorporated into 10 CFR 430.2 in the May 1997 Final Rule. 62 FR 29221, 29228 (May 29, 1997) 

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EERE-2007-BT-TP-0013 COMMENT 03
burdensome, as no manufacturer is required to determine the CCT of their incandescent lamps. 

However, if a manufacturer intends to seek an exclusion from the regulatory requirements 

because a particular lamp is less than 2500K or greater than 4600K, then the manufacturer would 

need to use the Journal of Optical Society of America, Vol. 58, pages 1528-1595 (1968)14 in 

order to make that determination. 

E. General Service Fluorescent Lamp Basic Model

 As mentioned above, in today’s Federal Register, DOE is publishing an ANOPR for the 

energy conservation standards rulemaking that considers separate product classes and efficacy 

standards for GSFL based on CCT. In order to demonstrate compliance to that potential efficacy 

standard, manufacturers would have to test and report on a basic model. A “basic model” 

involves defining a lamp or class of lamps which do not have any differentiating electrical, 

physical, or functional features that affect efficacy. In the May 1997 Final Rule, DOE stated that 

the definition of “basic model” for GSFL includes all lamps with essentially identical light 

output, power input, and luminous efficacy, regardless of their CCT. 62 FR 29221, 29232 (May 

29, 1997). However, given DOE’s consideration in the ANOPR of establishing product classes 

based on CCT, in this NOPR, DOE proposes to amend the definition of “basic model” for GSFL 

in 10 CFR 430.2 so as to require that the lamps have similar CCTs. DOE invites comment from 

stakeholders on this revision to the definition of “basic model.” 

 

14 DOE notes that the publication year of the referenced article in the definition of “colored incandescent lamp,” as 

printed in section 321(a)(1)(B) of EISA, contains a typographical error. When incorporating this reference into the 

CFR, DOE makes the technical correction of replacing “1986” with “1968.” 

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EERE-2007-BT-TP-0013 COMMENT 03
F. Reference Ballast Settings for Added Fluorescent Lamp Coverage

 DOE is aware that the recent introduction of new 4-foot medium bipin and 2-foot Ushaped fluorescent lamps into the lighting market has effectively expanded DOE’s scope of 

regulation under the existing definition of “fluorescent lamp.” In addition, in the energy 

conservation standards ANOPR published in today’s Federal Register, DOE is considering 

expanding coverage of the fluorescent lamp standard to include additional 4-foot medium bipin, 

2-foot U-shaped, 8-foot single pin slimline, and 8-foot recessed double contact high output 

lamps. Some of the recently introduced fluorescent lamps or the additional fluorescent lamps 

require additional test procedure specifications (i.e., reference ballast settings) because the 

current test procedure is not adequate for this purpose. Specifically, DOE is proposing to adopt a 

process for determining ballast settings for those lamps which are covered but do not yet have 

ANSI-approved reference ballast settings. Accordingly, in this document, DOE is proposing test 

procedures for these additional lamps not contained in the industry test procedures incorporated 

by reference in DOE’s test procedure. The proposed test procedure amendments are as follows: 

1. 4-Foot Medium Bipin Lamps

The current test procedure for 4-foot medium bipin fluorescent lamps does not specify 

reference ballast settings for lamps that are not included in ANSI C78.1-1991. DOE is aware of 

several 4-foot medium bipin lamps that have been introduced since 1991 and, therefore, are not 

covered in ANSI C78.1-1991. Therefore, DOE proposes to add reference ballast settings for 

these lamps. For any 4-foot medium bipin lamp not listed in ANSI C78.81-2005 (i.e., the 

updated version DOE is proposing to adopt in this notice), the lamp should be tested using the 

following reference ballast settings: 

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EERE-2007-BT-TP-0013 COMMENT 03
T10 and T12 lamps: 236 volts, 0.430 amps, and 439 ohms. 

T8 lamps: 300 volts, 0.265 amps, and 910 ohms. 

DOE invites comment on these proposed reference ballast settings for 4-foot medium 

bipin lamps. 

2. 2-Foot U-shaped Lamps

 Similarly, for 2-foot U-shaped lamps, DOE is aware of several products that have been 

introduced since 1991 and are not covered in ANSI 78.1-1991. Therefore, DOE is proposing to 

also add reference ballast settings for these lamps. For T12 and T8 lamps, DOE determines the 

appropriate lamp replacement that exists in the C78.901-2005 (i.e., the updated version that 

contains U-shaped lamps and that DOE is proposing to adopt in this NOPR), and then uses the 

corresponding reference ballast settings for all lamps that fall into that category. For lamps not 

listed in ANSI C78.901-2005, these lamps should be tested using the following reference ballast 

settings: 

 T12 lamps: 236 volts, 0.430 amps, and 439 ohms. 

 T8 lamps: 300 volts, 0.265 amps, and 910 ohms. 

 DOE invites comment on these proposed reference ballast settings for 2-foot U-shaped 

lamps. 

3. 8-Foot Slimline Lamps

In the energy conservation standards ANOPR published in today’s Federal Register, 

DOE is considering expansion of coverage of GSFL to include “8-foot, single pin, instant start, 

slimline lamps, with a rated wattage  52, not defined in ANSI Standard C78.3-1991.” If DOE 

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EERE-2007-BT-TP-0013 COMMENT 03
decides to adopt standards for these lamps, amendments to the existing test procedures will be 

required for them as well. However, since these lamps are not contained in ANSI C78.3-1991, 

there are no reference ballast settings available with which to test them. Therefore, DOE is 

proposing to develop reference ballast settings for these lamps, which may be used in the event 

they become “covered products” (i.e., covered by standards). For any 8-foot slimline lamp not 

listed in the updated ANSI C78.81-2005, DOE is proposing the following reference ballast 

settings: 

T12 lamps: 625 volts, 0.425 amps, and 1280 ohms. 

T8 lamps: 625 volts, 0.260 amps, and 1960 ohms. 

DOE invites comment on these proposed reference ballast settings for 8-foot slimline 

lamps. 

4. 8-Foot High Output Lamps

Similarly, for 8-foot high output lamps, in the energy conservation standards ANOPR, 

DOE is considering expansion of coverage of GSFL to include “8-foot, recessed double-contact, 

rapid start, HO lamps, not defined in ANSI Standard C78.1-1991.” If DOE decides to adopt 

standards for these lamps, amendments to the existing test procedures will be required for them 

as well. However, since these lamps are not contained in ANSI C78.1-1991, there are no 

reference ballast settings available with which to test them. Therefore, DOE is proposing to 

develop reference ballast settings for these lamps, which may be used in the event they become 

covered products. For any 8-foot HO lamp not listed in the updated ANSI C78.81-2005, DOE is 

proposing testing the lamp using the following reference ballast settings: 

T12 lamps: 400 volts, 0.800 amps, and 415 ohms. 

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EERE-2007-BT-TP-0013 COMMENT 03
T8 lamps: 450 volts, 0.395 amps, and 595 ohms. 

DOE invites comment on these proposed reference ballast settings for 8-foot HO lamps. 

5. 8-Foot Very High Output Lamps

For the reasons explained in today’s energy conservation standards ANOPR, DOE is not 

considering expansion of coverage of the energy conservation standards to 8-foot recessed 

double contact very high output (VHO) fluorescent lamps. However, if DOE decides to cover 

these lamps during a future energy conservation standards rulemaking, a test procedure to 

accommodate them would be required. Therefore, DOE reviewed the existing DOE test 

procedure and updated industry test procedures to determine if the current test procedures for 

GSFL are adequate for 8-foot VHO lamps. With regard to the specifications of the physical and 

electrical characteristics of these lamps, DOE notes that ANSI C78.81-2005, which DOE 

proposes to incorporate by reference through this document, already includes the ballast setting 

specifications for some VHO lamps. For other VHO lamps that are not listed in ANSI C78.81-

2005, DOE is proposing reference ballast settings which could be used if these lamps become 

covered products. Thus, for any VHO lamp not listed in ANSI C78.81-2005, DOE proposes 

testing the lamp using the following reference ballast settings: 

T12 lamps: 400 volts, 1.500 amps, and 215 ohms. 

DOE invites comment on these proposed reference ballast settings for VHO lamps. 

6. T5 Fluorescent Lamps

For the reasons explained in today’s energy conservation standards ANOPR, DOE is not 

considering expansion of coverage of the energy conservation standards to T5 fluorescent lamps. 

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EERE-2007-BT-TP-0013 COMMENT 03
However, if DOE decides to cover these lamps during a future energy conservation standards 

rulemaking, a test procedure to accommodate them would be required. Therefore, DOE 

reviewed the existing DOE test procedure and updated industry test procedures and determined 

that the current test procedures for GSFL are adequate for some T5 lamps. In addition, with 

regard to the specifications of the physical and electrical characteristics of T5 lamps, DOE notes 

that ANSI C78.81-2005, which DOE is already proposing to incorporate by reference, includes 

the ballast setting specifications for some T5 lamps. However, for other T5 lamps not listed in 

ANSI C78.81-2005, DOE is proposing reference ballast settings which could be used if these 

lamps become covered products. Thus, for any normal or high output T5 lamp with a nominal 

length of four feet that is not listed in ANSI C78.81-2005, DOE proposes testing the lamp using 

the following reference ballast settings: 

Normal Ouptut T5: 329 volts, 0.170 amps, and 950 ohms. 

High Output T5: 235 volts, 0.460 amps, and 255 ohms. 

Should DOE decide to extend coverage to and evaluate energy conservation standards for 

other T5 lamps that may subsequently be developed, DOE would establish reference ballast 

settings in the same manner as normal output and high output T5 lamps addressed above, 

namely, deriving the reference ballast settings from International Electrotechnical Commission 

(IEC) 60081.15 DOE would determine the appropriate lamp replacement that exists in the 

industry standard and use the corresponding reference ballast settings for all lamps that fall into 

 

15 IEC 60081 is a publication of the International Electrotechnical Commission in Switzerland. This technical 

publication is cross-referenced by ANSI C78.81-2005 as the source for reference ballast settings of T5 lamps that 

are not listed in ANSI C78.81-2005. The title of IEC 60081 is Double-capped fluorescent lamps - Performance 

specifications, Available for purchase from http://webstore.iec.ch. 

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EERE-2007-BT-TP-0013 COMMENT 03
that category. DOE invites comment on this issue and the proposed reference ballast settings for 

T5 lamps. 

G. Test Procedures for Added General Service Incandescent Lamp Coverage

As stated earlier, EISA 2007 established energy conservation standards for GSIL. 

Currently, for the purpose of Federal Trade Commission (FTC) labeling requirements, a limited 

test procedure for GSIL is provided in the CFR. In this NOPR, DOE proposes to amend the 

existing test procedure in order to: (1) specify the units to be tested in 10 CFR 430.24(r)(1); (2) 

define the “basic model” for GSIL in 10 CFR 430.2; and (3) provide a method for calculating 

GSIL annual energy consumption and efficacy in 10 CFR 430.23(r). Because of the similarity in 

technology of GSIL and IRL, DOE is proposing that the above additions to the GSIL test 

procedure be implemented in the same manner as the corresponding IRL test procedure. DOE 

invites comment on the proposed amendments to the GSIL test procedure. 

H. Off Mode and Standby Mode Energy Consumption

Section 310(3) of EISA 2007 directs DOE to amend its test procedures for all covered 

products to incorporate a measure of off mode and standby mode energy consumption, if 

feasible. (42 U.S.C. 6295(gg)(2)) After careful review, DOE has preliminarily concluded that 

for the GSFL, IRL, and GSIL which are the subject of this rulemaking, current technologies for 

these products do not employ a standby mode or off mode. Therefore, DOE believes 

establishing a test procedure for such features, is infeasible. Given EISA 2007’s definitions of 

“active mode,” “off mode,” and “standby mode,16” the lamp must be entirely disconnected from 

 

16 In amending 42 U.S.C. 6295(gg)(1)(a)(i), (ii), and (iii), EISA 2007 defines “active mode,” “off mode,” and 

“standby mode” as follows: “ The term ‘active mode’ means the condition in which an energy-using product—(I) is 

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EERE-2007-BT-TP-0013 COMMENT 03
the main power source (i.e., the lamp is switched off) in order to not provide any active mode 

function (i.e., emit light), thereby meeting the second provision in the definition of “off mode.” 

However, if the lamp is disconnected from the main power source, the lamp clearly does not 

satisfy the requirements of operating in off mode. In addition, DOE believes that all covered 

products that meet the definitions of “GSFL,” “IRL,” and “GSIL” are single-function products 

and do not offer any secondary user-oriented or protective functions. Therefore, DOE believes 

that it is not feasible to incorporate off mode or standby mode energy use into its test procedures 

for GSFL, IRL, and GSIL. DOE invites stakeholder comment on the issue of off mode and 

standby mode energy consumption for the products addressed in this rulemaking. 

IV. Public Participation 

A. Attendance at Public Meeting 

 The time and date of the public meeting are listed in the DATES section at the beginning 

of this NOPR. The public meeting will be held at the U.S. Department of Energy, Forrestal 

Building, Room 8E-089, 1000 Independence Avenue, SW, Washington, DC 20585-0121. To 

attend the public meeting, please notify Ms. Brenda Edwards at (202) 586-2945. (Please note 

that foreign nationals participating in the public meeting are subject to advance security 

screening procedures. If a foreign national wishes to participate in the workshop, please inform 

DOE of this fact as soon as possible by contacting Ms. Brenda Edwards at the number above so 

that the necessary procedures can be completed.) 

 

connected to a main power source; (II) has been activated; and (III) provides 1 or more main functions.” “ The term 

‘off mode’ means the condition in which an energy-using product— (I) is connected to a main power source; and 

(II) is not providing any stand-by or active mode function.” “The term ‘standby mode’ means the condition in 

which an energy-using product-- (I) is connected to a main power source; and (II) offers 1 or more of the following 

user-oriented or protective functions: (aa) To facilitate the activation or deactivation of other functions (including 

active mode) by remote switch (including remote control), internal sensor, or timer. (bb) Continuous functions 

including information or status displays (including clocks) or sensor-based functions.” 

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EERE-2007-BT-TP-0013 COMMENT 03
B. Procedure for Submitting Requests to Speak

Any person who has an interest in the topics addressed in this notice, or who is a 

representative of a group or class of persons that has an interest in these issues, may request an 

opportunity to make an oral presentation at the public meeting. Such persons may hand-deliver 

requests to speak, to the address shown in the ADDRESSES section at the beginning of this 

notice between 9:00 a.m. and 4:00 p.m., Monday through Friday, except Federal holidays. 

Requests may also be sent by mail or email to: Ms. Brenda Edwards, U.S. Department of 

Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, SW, Washington, DC 

20024, or Brenda.Edwards@ee.doe.gov. Persons who wish to speak should include in their 

request a computer diskette or CD in WordPerfect, Microsoft Word, PDF, or text (ASCII) file 

format that briefly describes the nature of their interest in this rulemaking and the topics they 

wish to discuss. This person should also provide a daytime telephone number where he or she 

can be reached. DOE requests that those persons who are scheduled to speak submit a copy of 

their statements at least two weeks prior to the public meeting. DOE may permit any person who 

cannot supply an advance copy of this statement to participate, if that person has made 

alternative arrangements with the Building Technologies Program in advance. When necessary, 

the request to give an oral presentation should ask for such alternative arrangements. 

C. Conduct of Public Meeting

DOE will designate a DOE official to preside at the public meeting and may also employ 

a professional facilitator to aid discussion. The public meeting will be conducted in an informal, 

conference style. The meeting will not be a judicial or evidentiary public hearing, but DOE will 

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EERE-2007-BT-TP-0013 COMMENT 03
conduct it in accordance with 5 U.S.C. 553 and section 336 of EPCA (42 U.S.C. 6306). There 

shall not be discussion of proprietary information, costs or prices, market share, or other 

commercial matters regulated by U.S. anti-trust laws. 

DOE reserves the right to schedule the order of presentations and to establish the 

procedures governing the conduct of the public meeting. A court reporter will record the 

proceedings and prepare a transcript. 

At the public meeting, DOE will present summaries of comments received before the 

public meeting, allow time for presentations by participants, and encourage all interested parties 

to share their views on issues affecting this rulemaking. Each participant may present a prepared 

general statement (within time limits determined by DOE) before the discussion of specific 

topics. Other participants may comment briefly on any general statements. At the end of all the 

prepared statements, participants may clarify their statements briefly and comment on statements 

made by others. Participants should be prepared to answer questions from DOE and other 

participants. DOE representatives may also ask questions about other matters relevant to this 

rulemaking. The official conducting the public meeting will accept additional comments or 

questions from those attending, as time permits. The presiding official will announce any further 

procedural rules or modification of procedures needed for the proper conduct of the public 

meeting. 

DOE will make the entire record of this proposed rulemaking, including the transcript 

from the public meeting, available for inspection at the U.S. Department of Energy, 6th Floor, 

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EERE-2007-BT-TP-0013 COMMENT 03
950 L'Enfant Plaza, SW., Washington, DC 20024, (202) 586– 9127, between 9:00 a.m. and 4:00 

p.m., Monday through Friday, except Federal holidays. Anyone may purchase a copy of the 

transcript from the transcribing reporter. 

D. Submission of Comments

 DOE will accept comments, data, and information regarding this notice, the proceeding 

of the public meeting, or any aspect of the rulemaking, no later than the date provided at the 

beginning of this notice. Comments, data, and information submitted to DOE’s e-mail address 

for this rulemaking should be provided in WordPerfect, Microsoft Word, PDF, or text (ASCII) 

file format. Stakeholders should avoid the use of special characters or any form of encryption, 

and wherever possible, comments should include the electronic signature of the author. Absent 

an electronic signature, comments submitted electronically must be followed and authenticated 

by submitting a signed original paper document to the address provided at the beginning of this 

notice. Comments, data, and information submitted to DOE via mail or hand delivery/courier 

should include one signed original paper copy. No telefacsimiles (faxes) will be accepted. 

 According to 10 CFR 1004.11, any person submitting information that he or she believes 

to be confidential and exempt by law from public disclosure should submit two copies: one copy 

of the document including all the information believed to be confidential, and one copy of the 

document with the information believed to be confidential deleted. DOE will make its own 

determination as to the confidential status of the information and treat it according to its 

determination. 

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EERE-2007-BT-TP-0013 COMMENT 03
 Factors of interest to DOE when evaluating requests to treat submitted information as 

confidential include: (1) a description of the items; (2) whether and why such items are 

customarily treated as confidential within the industry; (3) whether the information is generally 

known or available from public sources; (4) whether the information has previously been made 

available to others without obligation concerning its confidentiality; (5) an explanation of the 

competitive injury to the submitting person which would result from public disclosure; (6) a date 

after which such information might no longer be considered confidential; and (7) why disclosure 

of the information would be contrary to the public interest. 

 After the public meeting and the expiration of the period for submission of written 

statements, DOE will begin conducting the analyses as discussed at the public meeting and 

reviewing the comments received. 

E. Issues on Which DOE Seeks Comment

 Although comments are welcome on all aspects of this rulemaking, DOE is particularly 

interested in receiving comments and views of interested parties concerning the following issues: 

1. Test Procedure Reference Updates 

 DOE seeks comment on the proposed test procedure reference updates, specifically, 

whether these updates to ANSI, IESNA, and CIE standards would introduce an additional testing 

burden or change the measurement of lamp efficacy. (See Section III.A for further detail.) 

2. High-frequency Fluorescent Ballast Testing

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EERE-2007-BT-TP-0013 COMMENT 03
 DOE seeks comment on whether it should limit fluorescent lamp testing to low-frequency 

ballasts when both low- and high-frequency reference ballast settings are available in ANSI 

C78.81-2005 or ANSI C78.901. (See Section III.B for further detail.) 

3. Calculation of Fluorescent Lamp Efficacy

 DOE seeks comment on whether fluorescent lamp efficacy should be calculated to the 

nearest tenth of a lumen per watt. (See Section III.C for further detail.) 

4. Measurement and Calculation of Correlated Color Temperature

 DOE seeks comment on the proposed incorporation by reference of the industry standard 

LM-9-1999 for measuring and determining CCT for fluorescent lamps. (See Section III.D for 

further detail.) 

5. General Service Fluorescent Lamp Basic Model

 DOE seeks comment on the proposed requirement that all GSFL that are considered to be 

the same basic model must have similar CCTs. (See Section III.E for further detail.) 

6. Reference Ballast Settings for Added Fluorescent Lamp Coverage

 DOE seeks comment on the proposed reference ballast settings for 4-foot medium bipin 

lamps, 2-foot U-shaped lamps, 8-foot single pin slimline lamps, 8-foot high output lamps, 8-foot 

very high output lamps, and T5 fluorescent lamps. (See Section III.F for further detail.) 

7. Additions to the General Service Incandescent Lamp Test Procedure

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EERE-2007-BT-TP-0013 COMMENT 03
 DOE seeks comment on the proposed additions to the GSIL test procedure: (1) specifying 

the units to be tested in 10 CFR 430.24(r)(1), (2) defining the “basic model” for GSIL in 10 CFR 

430.2, and (3) providing a method for calculating GSIL annual energy consumption and efficacy 

in 10 CFR 430.23(r). (See Section III.G for further detail.) 

8. Off Mode and Standby Mode Energy Consumption

DOE seeks comment on its proposal to not include test procedures off mode and standby 

mode energy consumption of GSFL, IRL, and GSIL. (See Section III.H for further detail.) 

V. Regulatory Review 

A. Executive Order 12866

Today’s proposed rule has been determined to not be a “significant regulatory action” 

under Executive Order 12866, “Regulatory Planning and Review,” 58 FR 51735 (October 4, 

1993). Accordingly, this action was not subject to review under that Executive Order by the 

Office of Information and Regulatory Affairs of the Office of Management and Budget. 

B. National Environmental Policy Act

 DOE has determined that this proposed rule is covered under the Categorical Exclusion 

A6 found in DOE’s National Environmental Policy Act regulation at Appendix A to Subpart D, 

10 CFR Part 1021, which applies because this rule is establishing revisions to existing test 

procedures that will not affect the quality or distribution of energy and will not result in any 

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EERE-2007-BT-TP-0013 COMMENT 03
environmental impacts.17 Accordingly, neither an environmental assessment nor an 

environmental impact statement is required. 

C. Regulatory Flexibility Act

 The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial 

regulatory flexibility analysis for any rule that by law must be proposed for public comment, 

unless the agency certifies that the rule, if promulgated, will not have a significant economic 

impact on a substantial number of small entities. As required by Executive Order 13272, 

“Proper Consideration of Small Entities in Agency Rulemaking,” 67 FR 53461 (August 16, 

2002), DOE published procedures and policies on February 19, 2003, to ensure that the potential 

impacts of its rules on small entities are properly considered during the DOE rulemaking 

process. 68 FR 7990. DOE has made its procedures and policies available on the Office of the 

General Counsel’s website: http://www.gc.doe.gov. 

 EPACT 2005 amended EPCA to incorporate into DOE’s energy conservation program 

certain consumer products and commercial and industrial equipment, including the products for 

which DOE is proposing test procedures in this notice. On October 18, 2005, DOE published in 

the Federal Register a technical amendment to place in the CFR the energy conservation 

standards, and related definitions, that Congress prescribed in EPACT 2005. 70 FR 60407. 

Today, DOE is publishing further technical amendments to certain energy conservation standards 

for lamps previously published in the Federal Register on May 29, 1997. 

 

17 Categorical Exclusion A6 provides, “Rulemakings that are strictly procedural, such as rulemaking (under 48 

CFR part 9) establishing procedures for technical and pricing proposals and establishing contract clauses and 

contracting practices for the purchase of goods and services, and rulemaking (under 10 CFR part 600) establishing 

application and review procedures for, and administration, audit, and closeout of, grants and cooperative 

agreements.” 

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 DOE has reviewed today’s proposed rule under the provisions of the Regulatory 

Flexibility Act and the policies and procedures published on February 19, 2003. As part of this 

rulemaking, DOE examined the existing compliance costs already borne by manufacturers and 

compared them to the revised compliance costs, based on the proposed revisions to the test 

procedure. DOE does not find that the costs imposed by the revisions proposed in this document 

would result in any significant increase in testing or compliance costs. On the basis of the 

foregoing, DOE tentatively concludes and certifies that this proposed rule would not have a 

significant impact on a substantial number of small entities. Accordingly, DOE has not prepared 

a regulatory flexibility analysis for this rulemaking. DOE’s certification and supporting 

statement of factual basis will be provided to the Chief Counsel for Advocacy of the Small 

Business Administration pursuant to 5 U.S.C. 605(b). 

D. Paperwork Reduction Act

 Under the Paperwork Reduction Act of 1995 (PRA)(44 U.S.C. 3501 et seq.), a person is 

not required to respond to a collection of information unless the collection displays a valid OMB 

control number. This NOPR would not impose any new information or recordkeeping 

requirements, since it does not change the existing manufacturer certification and reporting 

requirements adopted in DOE’s May 29, 1997, final rule. Accordingly, no OMB clearance is 

required under the PRA. 

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E. Unfunded Mandates Reform Act of 1995

 Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. L. 104-4) requires 

each Federal agency to assess the effects of Federal regulatory actions on State, local, and Tribal 

governments and the private sector. For proposed regulatory actions likely to result in a rule that 

may cause expenditures by State, local, and Tribal governments, in the aggregate, or by the 

private sector of $100 million or more (adjusted annually for inflation), section 202 of UMRA 

requires a Federal agency to publish estimates of the resulting costs, benefits, and other effects 

on the national economy (2 U.S.C. 1532(a), (b)). The UMRA also requires a Federal agency to 

develop an effective process to permit timely input by elected officers of State, local, and Tribal 

governments on a proposed “significant intergovernmental mandate.” UMRA also requires an 

agency plan for giving notice and opportunity for timely input to small governments that may be 

affected before establishing a requirement that might significantly or uniquely affect them. On 

March 18, 1997, DOE published a statement of policy on its process for intergovernmental 

consultation under UMRA (62 FR 12820) (also available at http://www.gc.doe.gov). Today’s 

proposed rule contains neither an intergovernmental mandate, nor a mandate that may result in 

the expenditure of $100 million or more in any year, so these requirements do not apply. 

F. Treasury and General Government Appropriations Act, 1999

 Section 654 of the Treasury and General Government Appropriations Act, 1999 

(Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any 

proposed rule that may affect family well-being. Today’s proposed rule would not have any 

impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has 

concluded that it is unnecessary to prepare a Family Policymaking Assessment. 

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G. Executive Order 13132

 Executive Order 13132, “Federalism,” 64 FR 43255 (August 4, 1999) imposes certain 

requirements on agencies formulating and implementing policies or regulations that preempt 

State law or that have Federalism implications. Agencies are required to examine the 

constitutional and statutory authority supporting any action that would limit the policymaking 

discretion of the States and to carefully assess the necessity for such actions. DOE has examined 

this proposed rule and has determined that it would not preempt State law and would not have a 

substantial direct effect on the States, on the relationship between the national government and 

the States, or on the distribution of power and responsibilities among the various levels of 

government. No further action is required by Executive Order 13132. 

H. Executive Order 12988

 With respect to the review of existing regulations and the promulgation of new 

regulations, section 3(a) of Executive Order 12988, “Civil Justice Reform,” 61 FR 4729 

(February 7, 1996), imposes on Federal agencies the general duty to adhere to the following 

requirements: (1) eliminate drafting errors and ambiguity; (2) write regulations to minimize 

litigation; (3) provide a clear legal standard for affected conduct rather than a general standard; 

and promote simplification and burden reduction. With regard to the review required by Section 

3(a), Section 3(b) of Executive Order 12988 specifically requires that Executive agencies make 

every reasonable effort to ensure that the regulation: (1) clearly specifies the preemptive effect, 

if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear 

legal standard for affected conduct while promoting simplification and burden reduction; (4) 

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EERE-2007-BT-TP-0013 COMMENT 03
specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other 

important issues affecting clarity and general draftsmanship under any guidelines issued by the 

Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review 

regulations in light of applicable standards in sections 3(a) and 3(b) to determine whether they 

are met or it is unreasonable to meet one or more of them. DOE has completed the required 

review and determined that, to the extent permitted by law, the proposed rule meets the relevant 

standards of Executive Order 12988. 

I. Treasury and General Government Appropriations Act, 2001

 The Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) 

provides for agencies to review most disseminations of information to the public under 

guidelines established by each agency pursuant to general guidelines issued by OMB. 

OMB’s guidelines were published at 67 FR 8452 (February 22, 2002), and DOE’s 

guidelines were published at 67 FR 62446 (October 7, 2002). DOE has reviewed today’s 

proposed rule under the OMB and DOE guidelines and has concluded that it is consistent with 

applicable policies in those guidelines. 

J. Executive Order 13211

 Executive Order 13211, “Actions Concerning Regulations That Significantly Affect 

Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001) requires Federal agencies to 

prepare and submit to OMB, a Statement of Energy Effects for any proposed significant energy 

action. A “significant energy action” is defined as any action by an agency that promulgated or 

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is expected to lead to promulgation of a final rule, and that: (1) is a significant regulatory action 

under Executive Order 12866, or any successor order; and (2) is likely to have a significant 

adverse effect on the supply, distribution, or use of energy; or (3) is designated by the 

Administrator of OIRA as a significant energy action. For any proposed significant energy 

action, the agency must give a detailed statement of any adverse effects on energy supply, 

distribution, or use should the proposal be implemented, and of reasonable alternatives to the 

action and their expected benefits on energy supply, distribution, and use. Today’s regulatory 

action would not have a significant adverse effect on the supply, distribution, or use of energy, 

and is therefore, not a significant energy action. Accordingly, DOE has not prepared a Statement 

of Energy Effects. 

K. Executive Order 12630

 Pursuant to Executive Order 12630, “Governmental Actions and Interference with 

Constitutionally Protected Property Rights,” 53 FR 8859 (March 15, 1988), DOE has determined 

that this rule would not result in any takings that might require compensation under the Fifth 

Amendment to the United States Constitution. 

L. Section 32 of the Federal Energy Administration Act of 1974

Under section 301 of the Department of Energy Organization Act (Pub. L. 95–91), the 

Department of Energy must comply with section 32 of the Federal Energy Administration Act of 

1974 (Pub. L. 93-275), as amended by the Federal Energy Administration Authorization Act of 

1977 (Pub. L. 95-70). 15 U.S.C. 788. Section 32 provides, in essence that, where a proposed 

rule authorizes or requires use of commercial standards, the notice of proposed rulemaking must 

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inform the public of the use and background of such standards. In addition, section 32(c) 

requires DOE to consult with the Department of Justice (DOJ) and the FTC concerning the 

impact of the commercial or industry standards on competition. 

The amendments and revisions proposed in this notice incorporate updates to certain 

commercial standards already codified in the CFR. The Department has evaluated these revised 

standards and is unable to conclude whether they fully comply with the requirements of section 

32(b) of the Federal Energy Administration Act, (i.e., that they were developed in a manner that 

fully provides for public participation, comment, and review). DOE will consult with the 

Attorney General and the Chairman of the FTC concerning the impact of these test procedures 

on competition, prior to prescribing a final rule. 

VI. Approval of the Office of the Secretary 

 The Secretary of Energy has approved publication of this proposed rule. 

List of Subjects in 10 CFR Part 430 

 Administrative practice and procedure, Confidential business information, Energy 

conservation, Household appliances, Imports, Intergovernmental relations, Small businesses.

 Issued in Washington, DC on 

 _________________________________ 

 Alexander A. Karsner 

Assistant Secretary 

 Energy Efficiency and Renewable Energy 

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For the reasons stated in the preamble, DOE is proposing to amend 10 CFR Part 430 as 

follows: 

PART 430–ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS 

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

Authority: 42 U.S.C. 6291-6309; 28 U.S.C. 2461 note. 

2. Section 430.2 is amended by: 

a. Revising paragraph (15), adding a new paragraph (16), and renumbering paragraphs (16) 

through (26) in the definition for “Basic Model,” 

b. Revising the definition for “Cold temperature fluorescent lamp,” 

c. Revising the definition for “Colored fluorescent lamp,” 

d. Revising paragraph (3) in the definition for “Fluorescent lamp.” 

The revisions and additions red as follows: 

§430.2 Definitions. 

* * * * * 

 Basic Model* * * 

(15) With respect to general service fluorescent lamps, means lamps that have essentially 

identical light output and electrical characteristics—including lumens per watt, color rendering 

index (CRI), and correlated color temperature (CCT)—and that do not have any differing 

physical or functional characteristics that affect energy consumption or efficacy. 

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(16) With respect to general service incandescent lamps, means lamps that have essentially 

identical light output and electrical characteristics—including lumens per watt—and that do not 

have any differing physical or functional characteristics that affect energy consumption or 

efficacy.* * * 

* * * * * 

Cold temperature fluorescent lamp means a fluorescent lamp specifically designed to 

start at 20 °F when used with a ballast conforming to the requirements of ANSI Standard 

C78.81– 2005 and C78.901–2005 (see 10 CFR 430.22), and is expressly designated as a cold 

temperature lamp both in markings on the lamp and in marketing materials, including but not 

limited to catalogs, sales literature, and promotional material. 

Colored fluorescent lamp means a fluorescent lamp designated and marketed as a colored 

lamp, and with either of the following characteristics: a CRI less than 40, as determined 

according to the method given in CIE Publication 13.3 (see 10 CFR 430.22), or a lamp correlated 

color temperature less than 2,500K or greater than 6,600K, as determined according to the 

method set forth in IESNA LM-9-99 (see 10 CFR 430.22). 

* * * * * 

Fluorescent lamp * * * 

(3) Any rapid start lamp (commonly referred to as 8-foot high output lamps) with recessed 

double contact bases of nominal overall length of 96 inches and 0.800 nominal amperes, as 

defined in ANSI C78.81–2005 (see 10 CFR 430.22). * * * 

* * * * * 

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3. Section 430.22 is amended by revising paragraphs (b)(1), (b)(2), and (b)(3) and adding a new 

paragraph (b)(12). These revisions and additions read as follows:: 

§430.22 Reference Sources. 

* * * * * 

 (b)(1) American National Standards Institute (ANSI). The ANSI standards listed in this 

paragraph may be obtained from the American National Standards Institute, 25 W. 43rd Street, 

4th Floor, New York, NY 10036, (212) 642-4900. 

1. ANSI C78.1–1991, “for Fluorescent Lamps—Rapid-Start Types—Dimensional and 

Electrical Characteristics” 

2. ANSI C78.3–1991, “for Fluorescent Lamps—Instant-Start and Cold-Cathode Types—

Dimensional and Electrical Characteristics” 

3. ANSI C78.375–1997, “for Fluorescent Lamps—Guide for Electrical Measurements” 

4. ANSI C78.81–2005, “for Electric Lamps—Double-Capped Fluorescent Lamps—

Dimensional and Electrical Characteristics” 

5. ANSI C78.901–2005, “for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional 

and Electrical Characteristics” 

6. ANSI C82.3–2002 “for Reference Ballasts for Fluorescent Lamps” 

7. ANSI C79.1–1994, “Nomenclature for Glass Bulbs—Intended for Use with Electric Lamps” 

8. ANSI C78.21–1989, “Incandescent Lamps—PAR and R Shapes” 

9. ANSI Standard Z21.56–1994, “Gas-Fired Pool Heaters,” section 2.9 

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(2) Illuminating Engineering Society of North America (IESNA). The IESNA 

standards listed in this paragraph may be obtained from the Illuminating Engineering Society of 

North America, 120 Wall Street, Floor 17, New York, NY 10005-4001, (212) 248-5000. 

1. Illuminating Engineering Society LM–9–99, “IES Approved Method for the Electrical and 

Photometric Measurements of Fluorescent Lamps” 

2. Illuminating Engineering Society of North America LM–20–1994, “IESNA Approved 

Method for Photometric Testing of Reflector-Type Lamps” 

3. Illuminating Engineering Society of North America LM–45–00, “IES Approved Method for 

Electrical and Photometric Measurements of General Service Incandescent Filament Lamps” 

4. Illuminating Engineering Society of North America LM–58–1994, “IESNA Guide to 

Spectroradiometric Measurements” 

5. Illuminating Engineering Society of North America Lighting Handbook, Reference and 

Application, 8th Edition, 1993, Chapter 6, Light Sources 

(3) International Commission on Illumination (CIE). The CIE standard listed in this 

paragraph may be obtained from the International Commission on Illumination, CIE Bureau 

Central, Kegelgasse 27, A-1030, Vienna, Austria; Telephone: +43 1 - 714 31 87 0; e-mail: 

ciecb@cie.co.at; website: http://www.cie.co.at/cie/. 

1. International Commission on Illumination (CIE) Publication No. 13.3-1995, “Method of 

Measuring and Specifying Color Rendering Properties of Light Sources,” ISBN 3 900 734 57 7 

* * * * * 

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(12) Optical Society of America (OSA). The OSA journal article listed in this 

paragraph may be obtained from the Optical Society of America, 2010 Massachusetts Ave., 

N.W., Washington, D.C. 20036-1012, (202) 223-8130; website: http://www.osa.org/. 

1. Journal of Optical Society of America, Vol. 58, pages 1528-1595 (1968). 

* * * * * 

4. Section 430.23 is amended by revising the title of §430.23(r), revising paragraphs (r)(1), 

(r)(2), and (r)(4), adding a new paragraph (r)(3), and by redesignating paragraphs (r)(3) and 

(r)(4) as (r)(4) and (r)(5). These revisions and additions read as follows: 

§430.23 Test procedures for the measurement of energy and water consumption. 

* * * * * 

 (r) General Service Fluorescent Lamps, General Service Incandescent Lamps, and 

Incandescent Reflector Lamps. (1) The estimated annual energy consumption for general service 

fluorescent lamps, general service incandescent lamps, and incandescent reflector lamps, 

expressed in kilowatt-hours per year, shall be the product of the input power in kilowatts as 

determined in accordance with section 4 of Appendix R to this subpart and an average annual use 

specified by the manufacturer, with the resulting product rounded off to the nearest kilowatt-hour 

per year. Manufacturers must provide a clear and accurate description of the assumptions used 

for the estimated annual energy consumption. 

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 (2) The lamp efficacy for general service fluorescent lamps shall be equal to the average 

lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of 

this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt. 

 (3) The lamp efficacy for general service incandescent lamps shall be equal to the 

average lumen output divided by the average lamp wattage as determined in section 4 of 

Appendix R of this subpart, with the resulting quotient rounded off to the nearest tenth of a 

lumen per watt. 

 (4) The lamp efficacy for incandescent reflector lamps shall be equal to the average 

lumen output divided by the average lamp wattage as determined in section 4 of Appendix R of 

this subpart, with the resulting quotient rounded off to the nearest tenth of a lumen per watt. 

 (5) The color rendering index and correlated color temperature of a general service 

fluorescent lamp shall be tested and determined in accordance with section 4.4 of Appendix R of 

this subpart and rounded off to the nearest unit. 

* * * * * 

5. Section 430.24 is revised to read as follows: 

§430.24 Units to be tested. 

* * * * * 

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(r)(1) For each basic model of general service fluorescent lamp, general service 

incandescent lamp, and incandescent reflector lamp samples of production lamps shall be tested 

and the results for all samples shall be averaged for a 12-month period. * * * 

* * * * * 

5. Section 430.25 is revised to read as follows: 

§430.25 Laboratory Accreditation Program. 

The testing for general service fluorescent lamps, general service incandescent lamps, and 

incandescent reflector lamps shall be performed in accordance with Appendix R to this subpart. 

The testing for medium base compact fluorescent lamps shall be performed in accordance with 

Appendix W of this subpart. This testing shall be conducted by test laboratories accredited by the 

National Voluntary Laboratory Accreditation Program (NVLAP) or by an accrediting 

organization recognized by NVLAP. NVLAP is a program of the National Institute of Standards 

and Technology, U. S. Department of Commerce. NVLAP standards for accreditation of 

laboratories that test for compliance with standards for lamp efficacy and CRI are set forth in 15 

CFR part 285 as supplemented by NVLAP Handbook 150–01, “Energy Efficient Lighting 

Products, Lamps and Luminaires.” A manufacturer's or importer's own laboratory, if accredited, 

may conduct the applicable testing. 

6. Appendix R to Subpart B of Part 430 is amended by: 

a. Revising the title of Appendix R 

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b. Revising section 1 and 2.1; 

c. Removing in section 2.6 “whole number” and add in its place “tenth decimal place”; 

d. Removing in section 2.9, “and in IESNA LM-66 for medium base compact fluorescent 

lamps.”; 

e. Removing section 3.4; 

f. Revising sections 4.1.1; 

g. Designating section 4.1.2 as 4.1.3; 

h. Adding new sections 4.1.2, 4.1.2.1, 4.1.2.2, 4.1.2.3, 4.1.2.4, 4.1.2.5, and 4.1.2.6; 

i. Revising section 4.2.2; 

j. Removing section 4.4; and 

k. Designating section 4.5 as 4.4 and revise the title for redesignated Section 4.4 and text for 

redesignated Sections 4.4.1 and 4.4.2. 

The revisions and additions read as follows: 

APPENDIX R TO SUBPART B OF PART 430—UNIFORM TEST METHOD FOR MEASURING 

AVERAGE LAMP EFFICACY (LE), COLOR RENDERING INDEX (CRI), AND CORRELATED COLOR 

TEMPERATURE (CCT) OF ELECTRIC LAMPS

1. Scope: This appendix applies to the measurement of lamp lumens, electrical 

characteristics, CRI, and CCT for general service fluorescent lamps, and to the measurement of 

lamp lumens, electrical characteristics for general service incandescent lamps and incandescent 

reflector lamps. 

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2. Definitions

2.1 To the extent that definitions in the referenced IESNA and CIE standards do not 

conflict with the DOE definitions, the definitions specified in §1.2 of IESNA LM–9, §3.0 of 

IESNA LM–20, §1.2 and the Glossary of IESNA LM–45, §2 of IESNA LM–58, and Appendix 1 

of CIE Publication No. 13.3 shall be included. 

* * * * * 

4. Test Methods and Measurements

* * * 

4.1 General Service Fluorescent Lamps

4.1.1 The measurement procedure shall be as described in IESNA LM–9, except that 

lamps shall be operated at the appropriate voltage and current conditions as described in ANSI 

C78.375 and in ANSI C78.81 or C78.901, and lamps shall be operated using the appropriate 

reference ballast at input voltage specified by the reference circuit as described in ANSI C82.3 

(see 10 CFR 430.22). If, for a lamp, both low-frequency and high-frequency reference ballast 

settings are included in the ANSI standard, the lamp shall be operated using the low-frequency 

reference ballast. 

4.1.2 For lamps not listed in ANSI C78.81 nor in C78.901, the lamp shall be operated 

using the following reference ballast settings: 

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4.1.2.1 4-Foot medium bi-pin lamps shall be operated using the following reference 

ballast settings: T10 or T12 lamps are to use 236 volts, 0.43 amps, and 439 ohms; T8 lamps are 

to use 300 volts, 0.265 amps, and 910 ohms. 

4.1.2.2 2-Foot U-shaped lamps shall be operated using the following reference ballast 

settings: T12 lamps are to use 236 volts, 0.430 amps, and 439 ohms; T8 lamps are to use 300 

volts, 0.265 amps, and 910 ohms. 

4.1.2.3 8-Foot high output lamps shall be operated using the following reference ballast 

settings: T12 lamps are to use 400 volts, 0.800 amps, and 415 ohms; T8 lamps are to use 450 

volts, 0.395 amps, and 595 ohms. 

4.1.2.4 8-Foot slimline lamps shall be operated using the following reference ballast 

settings: T12 lamps are to use 625 volts, 0.425 amps, and 1280 ohms; T8 lamps are to use 625 

volts, 0.260 amps, and 1960 ohms. 

4.1.2.5 8-Foot very high output lamps shall be operated using the following reference 

ballast settings: T12 lamps are to use 400 volts, 1.500 amps, and 215 ohms. 

4.1.2.6 Nominal 4-Foot T5 lamps shall be operated using the following reference ballast 

settings: normal output lamps are to use 329 volts, 0.170 amps, and 950 ohms; high output lamps 

are to use 235 volts, 0.460 amps, and 255 ohms. 

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4.1.3 Lamp lumen output (lumens) and lamp electrical power input (watts), at the 

reference condition, shall be measured and recorded. Lamp efficacy shall be determined by 

computing the ratio of the measured lamp lumen output and lamp electrical power input at 

equilibrium for the reference condition. 

4.2 General Service Incandescent Lamps 

* * * * * 

4.2.2 The test procedure shall conform with sections 5 and 9 of IESNA LM–45 and the 

lumen output of the lamp shall be determined in accordance with section 9 of IESNA LM–45. 

Lamp electrical power input in watts shall be measured and recorded. Lamp efficacy shall be 

determined by computing the ratio of the measured lamp lumen output and lamp electrical power 

input at equilibrium for the reference condition. The test report shall conform to §11 of IESNA 

LM–45 (see 10 CFR §430.22). 

* * * * * 

4.4 Determination of Color Rendering Index and Correlated Color Temperature

4.4.1 The CRI shall be determined in accordance with the method specified in CIE 

Publication 13.3 for general service fluorescent lamps. The CCT shall be determined in 

accordance with the method specified in IESNA LM-9 for general service fluorescent lamps. 

The CCT shall be determined in accordance with the Journal of Optical Society of America, Vol. 

58, pages 1528-1595 (1968) for incandescent lamps. The required spectroradiometric 

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71

measurement and characterization shall be conducted in accordance with the methods set forth in 

IESNA LM–58 (see 10 CFR 430.22). 

4.4.2 The test report shall include a description of the test conditions, equipment, 

measured lamps, spectroradiometric measurement results, and CRI and CCT determinations.

EERE-2007-BT-TP-0013 COMMENT 03