1 

 [6450-01-P]

DEPARTMENT OF ENERGY

10 CFR Part 430 

[Docket No. EERE-2011-BT-TP-0012] 

RIN: 1904-AC45

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

General Service Incandescent Lamps, and Incandescent Reflector Lamps 

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

ACTION: Notice of proposed rulemaking and announcement of public meeting.

SUMMARY: The U.S. Department of Energy (DOE) is proposing to revise its test procedures 

for general service fluorescent lamps (GSFLs) and general service incandescent lamps (GSILs) 

established under the Energy Policy and Conservation Act (EPCA). DOE is not proposing 

changes to the existing test procedure for incandescent reflector lamps (IRLs) established under 

EPCA. For GSFLs and GSILs, DOE is proposing to update several citations and references to 

the industry standards currently referenced in DOE’s test procedures. DOE is also proposing to 

establish a lamp lifetime test procedure for GSILs. Additionally, in this NOPR, DOE is 

requesting comments on all aspects of the GSFL, GSIL, and IRL test procedures and whether 

any further amendments are necessary. DOE’s review of the GSFL, GSIL, and IRL test 

procedures fulfills the EPCA requirement that DOE review test procedures for all covered 
2 

products at least once every seven years. Finally, DOE is proposing to extend the compliance 

certification date for GSILs so as to be consistent with the compliance date of the amended test 

procedure. DOE is also announcing a public meeting to discuss and receive comments on the 

issues presented in this rulemaking. 

DATES: Meeting

V

: DOE will hold a public meeting on October 4, 2011, from 9:00 a.m. to 5:00 

p.m., in Washington, DC, for both this rulemaking on test procedures for GSFLs, GSILs, and 

IRLs, as well as the rulemaking on GSFL and IRL energy conservation standards. The meeting 

will also be broadcast as a webinar. See section , “Public Participation,” for webinar 

registration information, participant instructions, and information about the capabilities available 

to webinar participants. 

Comments

V

: DOE will accept comments, data, and information regarding this notice of proposed 

rulemaking (NOPR) before and after the public meeting, but no later than [INSERT DATE 75 

DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL REGISTER]. See section 

, “Public Participation,” for details. 

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

Building, Room 1E-245, 1000 Independence Avenue, SW., Washington, DC 20585. To attend, 

please notify Ms. Brenda Edwards at (202) 586–2945. Please note that foreign nationals visiting 

DOE Headquarters are subject to advance security screening procedures. Any foreign national 

wishing to participate in the meeting should advise DOE as soon as possible by contacting Ms. 

Brenda Edwards at the phone number above to initiate the necessary procedures. 

Any comments submitted must identify the NOPR for Test Procedures for General 

Service Fluorescent Lamps, General Service Incandescent Lamps, and Incandescent Reflector 
3 

Lamps and provide docket number EERE-2011-BT-TP-0012 and/or regulatory information 

number (RIN) 1904-AC45. Comments may be submitted using any of the following methods: 

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

submitting comments. 

2. E-mail: Lamps-2011-TP-0012@ee.doe.gov. Include the docket number and/or RIN 

1904-AC45 in the subject line of the message. 

3. Postal Mail

4.

: Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies 

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

0121. If possible, please submit all items on a compact disc (CD), in which case it is not 

necessary to include printed copies. 

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

Technologies Program, 950 L’Enfant Plaza, SW., Suite 600, Washington, DC, 20024. 

Telephone: (202) 586-2945. If possible, please submit all items on a CD, in which case it 

is not necessary to include printed copies. 

No telefacsimilies (faxes) will be accepted. For detailed instructions on submitting 

comments and additional information on the rulemaking process, see section V of this document 

(Public Participation).

Docket: The docket is available for review at www.regulations.gov, including Federal

Register notices, public meeting attendee lists and transcripts, comments, and other supporting 

documents/materials. All documents in the docket are listed in the www.regulations.gov index. 
4 

However, not all documents listed in the index may be publicly available, such as information 

that is exempt from public disclosure. 

A link to the docket web page on the regulations.gov site can be found at:

www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html. The 

www.regulations.gov web page contains simple instructions on how to access all documents, 

including public comments, in the docket. See section V, “Public Participation,” for information 

on how to submit comments through www.regulations.gov. 

For further information on how to submit a comment, review other public comments and 

the docket, or participate in the public meeting, please contact Ms. Brenda Edwards at (202) 586-

2945 or email: Brenda.Edwards@ee.doe.gov. 

FOR FURTHER INFORMATION CONTACT: 

Dr. Tina Kaarsberg, 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) 287-1393. E-mail: 

Tina.Kaarsberg@ee.doe.gov. 

Mr. Eric Stas, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 

Independence Avenue, SW., Washington, DC, 20585-0121. Telephone: (202) 586-9507. Email: Eric.Stas@hq.doe.gov. 
5 

 For information on how to submit or review public comments, 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. Authority and Background

II. Summary of the Notice of Proposed Rulemaking

III. Discussion

A. Seven-Year Test Procedure Review

B. Updates to Industry Standards Incorporated by Reference

1. ANSI C78.81-2010 for General Service Fluorescent Lamps

2. IES LM-9-2009 for General Service Fluorescent Lamps

3. IES LM-45-2009 for General Service Incandescent Lamps

C. Test Procedures for Incandescent Reflector Lamps

D. General Service Incandescent Lamp Lifetime Testing

1. Selection of Industry Standard

2. Summary of IESNA LM-49-2001

3. Accelerated Lifetime Testing

4. Sample Size

5. “Rated Lifetime” Definition

6. Certification Requirements and Laboratory Accreditation

7. Effective Date and Compliance Date for the Amended Test Procedures and Compliance 

Date for Submitting GSIL Certification Reports

IV. Procedural Issues and Regulatory Review

A. Review Under Executive Order 12866

B. Review under the Regulatory Flexibility Act

C. Review Under the Paperwork Reduction Act of 1995

D. Review Under the National Environmental Policy Act of 1969

E. Review Under Executive Order 13132

F. Review Under Executive Order 12988

G. Review Under the Unfunded Mandates Reform Act of 1995

H. Review Under the Treasury and General Government Appropriations Act, 1999

I. Review Under Executive Order 12630

J. Review Under Treasury and General Government Appropriations Act, 2001

K. Review Under Executive Order 13211

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

V. Public Participation
6 

A. Attendance at the Public Meeting

B. Procedure for Submitting Requests to Speak and Prepared General Statements For 

Distribution

C. Conduct of Public Meeting

D. Submission of Comments

E. Issues on Which DOE Seeks Comment

VI. Approval of the Office of the Secretary

I. Authority and Background

Title III, Part B1 of the Energy Policy and Conservation Act of 1975 (EPCA or the Act), 

Pub. L. 94-163 (42 U.S.C. 6291-6309, as codified) sets forth a variety of provisions designed to 

improve energy efficiency and established the Energy Conservation Program for Consumer 

Products Other Than Automobiles, a program covering most major household appliances. These 

include general service fluorescent lamps (GSFLs), general service incandescent lamps (GSILs), 

and incandescent reflector lamps (IRLs), the subject of today’s notice (referred to below as one 

of the “covered products”).2

 

 (42 U.S.C. 6292(a)(14) and 6295(i)) 

 Under the Act, this program generally consists of four parts: (1) testing; (2) labeling; and 

(3) establishing Federal energy conservation standards and (4) certification and enforcement 

procedures. The testing requirements consist of test procedures that m

 

1

 For editorial reasons, upon codification in the U.S. Code, Part B was redesignated Part A.

anufacturers of covered 

products must use: (1) as the basis for certifying to DOE that their products comply with the 

applicable energy conservation standards adopted pursuant to EPCA, and (2) for making 

representations about the efficiency of those products. (42 U.S.C. 6293(c); 42 U.S.C. 6295(s)) 

2

 All references to EPCA in this rulemaking refer to the statute as amended through the Energy Independence and 

Security Act of 2007, Pub. L. 110-140. 
7 

Similarly, DOE must use these test requirements in determining whether covered products 

comply with any relevant energy conservation standards promulgated under EPCA. (42 U.S.C. 

6295(s)) 

 Under

 

 42 U.S.C. 6293, EPCA sets forth the criteria and procedures that DOE must follow 

when prescribing or amending test procedures for covered products. EPCA provides in relevant 

part that any test procedures prescribed or amended under this section must be reasonably 

designed to produce test results which measure energy efficiency, energy use, or estimated 

annual operating cost of a covered product during a representative average use cycle or period of 

use and not be unduly burdensome to conduct. (42 U.S.C. 6293(b)(3)) 

In addition, if DOE determines that a test procedure amendment is warranted, it must 

publish proposed test procedures and offer the public an opportunity to present oral and written 

comments on them. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test procedure, 

DOE must determine the extent to which the proposed test procedure would alter the measured 

energy efficiency. (42 U.S.C. 6293(e)(1)) If DOE determines that the amended test procedure 

would alter significantly the measured efficiency of a covered product, DOE must amend the 

applicable energy conservation standard accordingly. (42 U.S.C. 6293(e)(2)) 

 Relevant to this rulemaking, EPCA, as codified, directs DOE to prescribe test procedures 

for GSFLs and IRLs to which energy conservation standards are applicable, taking into 

consideration the applicable standards of the Illuminating Engineering Society of North 
8 

America3 (IESNA) or the American National Standards Institute4

 (ANSI). (42 U.S.C. 

6293(b)(6)) 

In addition, on December 19, 2007, the Energy Independence and Security Act of 2007 

(EISA 2007), Pub. L. 110-140, was enacted. Section 321 of EISA 2007 amended EPCA, in 

relevant part, to prescribe energy conservation standards for GSILs that included maximum rated 

wattage and minimum rated lifetime requirements for several different lumen ranges; these 

standards will be phased in between 2012 and 2014. (42 U.S.C. 6295(i)) Section 302 of EISA 

2007 also amended EPCA to require DOE to review test procedures for all covered products at 

least once every seven years. DOE must either amend the test procedures or publish notice in the 

Federal Register of any determination not to amend a test procedure. (42 U.S.C. 6293(b)(1)(A)) 

Accordingly, to fulfill these statutory requirements for periodic review, in this NOPR, 

DOE invites comment on all aspects of the existing test procedures for GSFLs, GSILs, and IRLs 

that appear at Title 10 of the Code of Federal Regulations (CFR): 10 CFR 429.27 (“General 

service fluorescent lamps, general service incandescent lamps, and incandescent reflector 

lamps”), 10 CFR 430.2 (“Definitions”), 10 CFR 430.3 (“Materials incorporated by reference”), 

10 CFR 430.23 (“Test procedures for the measurement of energy and water consumption”), 10 

CFR 430.25 (“Laboratory Accreditation Program”), and 10 CFR 430 subpart B, Appendix R 

 

3 Illuminating Engineering Society of North America (IESNA) standards can be purchased on the IESNA website at: 

www.ies.org/store/. 4 American National Standards Institute (ANSI) standards can be purchased on the ANSI website at: 

www.webstore.ansi.org/. 
9 

(“Uniform Test Method for Measuring Average Lamp Efficacy (LE), Color Rendering Index 

(CRI), and Correlated Color Temperature (CCT) of Electric Lamps”).

To address prior EPCA requirements for GSFLs, GSILs, and IRLs, DOE has undertaken 

a number of rulemaking actions pertaining to the test procedures for these products. On 

September 28, 1994, DOE published in the Federal Register an Interim Final Rule on Test 

Procedures for Fluorescent and Incandescent Lamps that established test procedures for GSFLs, 

medium-base compact fluorescent lamps (CFLs), IRLs, and GSILs. 59 FR 49468 (establishing 

10 CFR part 430, subpart B, Appendix R). On May 29, 1997, DOE published a final rule in the 

Federal Register on Test Procedures for Fluorescent and Incandescent Lamps that revised some 

definitions and calculation methods and updated several references to industry standards adopted 

in the September 1994 Interim Final Rule. 62 FR 29222. 

Subsequently, DOE amended its GSFL, GSIL, and IRL test procedures in a final rule 

published in the Federal Register on July 6, 2009 (hereinafter referred to as the 2009 Lamps Test 

Procedure). 74 FR 31829. This final rule made the following technical modifications to the test 

procedures: (1) required testing of GSFLs to be based on low-frequency reference ballasts, 

except for those lamps that can only be tested on high-frequency ballasts; (2) required lamp 

efficacy for GSFLs to be rounded to the nearest tenth of a lumen per watt, rather than the nearest 

whole number; (3) adopted a test method for measuring and calculating correlated color 

temperature (CCT) for fluorescent lamps and incandescent lamps; and (4) updated citations and 
10 

references to industry standards referenced in DOE’s test procedures. Additionally, because 

EISA 2007 promulgated energy conservation standards for certain GSILs, DOE also amended its 

test procedures for GSILs by: (1) specifying the units to be tested; (2) defining the ‘‘basic 

model’’ for GSILs; and (3) providing a method for calculating annual energy consumption and 

efficacy of GSILs.

In a separate rulemaking that amended GSFL and IRL energy conservation standards, 

DOE adopted standards for additional general service fluorescent lamp types and also established 

test procedures for those lamps. These test procedure amendments included specific reference 

ballast settings for testing those additional GSFLs. 74 FR 34080, 34095-96 (July 14, 2009). 

The current test procedures for GSFLs, GSILs, and IRLs are specified in various sections 

of the CFR and are based on the 1997 and 2009 final rules addressing test procedures for 

fluorescent and incandescent lamps. 62 FR 29222 (May 29, 1997); 74 FR 31829 (July 6, 2009); 

74 FR 34080 (July 14, 2009). Calculations for lamp efficacy of GSFLs, GSILs, and IRLs and 

for color rendering index of GSFLs are discussed in 10 CFR 430.23, which references 10 CFR 

part 430, subpart B, Appendix R. Appendix R also specifies several IESNA and ANSI standards 

to use for test conditions and procedures. For GSFLs, it references measurement procedures set 

forth in IESNA LM-9-1999.5

 

5 “IESNA Approved Method for the Electrical and Photometric Measurements of Fluorescent Lamps” (approved 

Dec. 4, 1999). 

 Additionally, GSFL are to be operated according to general 
11 

procedures for taking electrical measurements described in ANSI C78.375-1997,6 and at the 

voltage and current conditions described in ANSI C78.81-2005 (double-based lamps)7 or ANSI 

C78.901-2005 (single-based lamps),8 and using the reference ballast at input voltage specified by 

the reference circuit in ANSI C82.3-2002.9 Appendix R also notes that the measurement 

procedures for GSILs and IRLs are set forth in IESNA LM-45-200010 and IESNA LM-20-

1994,11 respectively. 

II. Summary of the Notice of Proposed Rulemaking 

In overview, in addition to requesting comment on all aspects of the current GSFL, GSIL, 

and IRL test procedures, this NOPR proposes to amend DOE’s current test procedures for 

GSFLs and GSILs based on DOE’s review of the existing test procedures. These amendments 

would achieve two objectives: (1) to update test procedures by incorporating certain lighting 

industry standards by reference in order to adopt current best practices and technological 

developments and (2) to adopt a new test procedure for determining GSIL rated lifetime. If the 

revisions and additions proposed by this test procedure NOPR were adopted, their use would be 

required for standards compliance purposes upon the effective date of the test procedure final 

rule (i.e.

 

6

 “American National Standard for electric lamps: Fluorescent Lamps-Guide for Electrical Measurements” 

(approved Sept. 25, 1997). 

, 30 days after its publication). 

7

 “American National Standard for Electric Lamps Double-Capped Fluorescent Lamps—Dimensional and Electrical 

Characteristics” (approved August 11, 2005). 8

 “American National Standard for Electric Lamps Double-Capped Fluorescent Lamps—Dimensional and Electrical 

Characteristics” (approved March 23, 2005). 9 “American National Standard For Lamp Ballasts -Reference Ballasts for Fluorescent Lamps” (approved Sept. 4, 

2002). 

10 “IESNA Approved Method for Electrical and Photometric Measurements of General Service Incandescent 

Filament Lamps” (approved May 8, 2000). 11 “IESNA Approved Method for Photometric Testing Of Reflector-Type Lamps” (approved Dec. 3, 1994). 
12 

Regarding the first objective (i.e., updating references in DOE’s existing test procedures 

to incorporate current best practices and technological developments), today’s notice proposes 

updating references for the industry standards incorporated by reference to the latest versions of 

those documents. For GSFLs, DOE is proposing to update references ANSI C78.81-2005 to 

ANSI C78.81-201012 and from IESNA LM-9-1999 to IES LM-9-200913 for measuring the 

electrical and photometric attributes. For GSILs, DOE proposes updating references from 

IESNA LM-45-2000 to IES LM-45-200914 for measuring their electrical and photometric 

attributes. This NOPR is not proposing changes to the current IRL test procedures, because no 

updated version of the relevant industry standard, IESNA LM-20-1994, has been published, nor 

do current best practices and technological developments appear to warrant such an update. 

DOE has identified and outlined in section III.B the modifications and clarifications 

found in the most recent versions of the industry standards for GSFLs and GSILs, as compared 

to the versions of those same standards currently incorporated by reference in DOE’s test 

procedures. These changes will not, in DOE’s view, significantly alter reported lamp efficacy 

values.

Regarding the second objective (i.e., adoption of a GSIL rated lifetime test procedure), 

today’s notice proposes incorporating by reference industry standard, IESNA LM-49-2001.15

 

12 “American National Standard for Electric Lamps-Double-Capped Fluorescent Lamps-Dimensional and Electrical 

Characteristics” (approved Jan. 14, 2010). 

 As 

13 “IES Approved Method for the Electrical and Photometric Measurement of Fluorescent Lamps” (approved Jan. 

31, 2009). 

14 “IES Approved Method for the Electrical and Photometric Measurement of General Service Incandescent 

Filament Lamps” (approved Dec. 14, 2009). 15 “IESNA Approved Method for Life Testing of Incandescent Filament Lamps” (approved Dec. 1, 2001).
13 

noted above, EISA 2007 amended EPCA, in part, by establishing energy conservation standards 

for GSILs which include for the first time minimum rated lifetime requirements that are to be 

phased in between January 2012 and January 2014. DOE must now address GSIL lifetimes in an 

amended test procedure for GSILs. EPCA’s definition of lamp “life” and “lifetime” requires that 

DOE make this amendment in accordance with test procedures described in the IES Lighting 

Handbook – Reference Volume. (42 U.S.C. 6291(30)(P)) 

To initiate the development of a test procedure for determining GSIL rated lifetime, DOE 

conducted literature research and interviews with several GSIL lifetime testing facilities and 

determined that IESNA LM-49-2001 aligns with guidance in the IESNA Lighting Handbook, 

and is also the industry standard for GSIL lifetime testing. Additionally, DOE has tentatively 

concluded this industry standard adequately covers the test setup, conditions, and procedures for 

GSIL lifetime testing. Therefore, in order to meet the EISA 2007 requirements for GSIL 

lifetimes that will begin going into effect in January 2012, this notice proposes to incorporate by 

reference IESNA LM-49-2001 to establish the test procedure for determining rated lifetime of 

GSILs. 

The following sections detail changes associated with the revised versions of the 

applicable industry standards incorporated by reference (IES LM-9-2009 and IES LM-45-2009) 

and summarize DOE’s proposed test procedure for the GSIL rated lifetime.

Lastly, DOE discusses the compliance date for use of the amended test procedure and 

certifying compliance with DOE’s energy conservation standards. 
14 

III. Discussion

A.

In undertaking this rulemaking, DOE is fulfilling its statutory obligation under section 

302 of EISA 2007 to review its test procedures for all covered products, including GSFL, GSIL, 

and IRL, at least once every seven years. (42 U.S.C. 6293(b)(1)(A)) DOE must either: (1) 

amend the test procedure to improve its measurement representativeness or accuracy or reduce 

its burden, or (2) determine that such amendments are unnecessary. 

 Seven-Year Test Procedure Review

Id

V.E

. Although DOE is 

proposing revisions to only certain parts of the existing test procedures (see sections III.A.1, 

III.A.2, and III.A.3), DOE invites comments on all aspects of DOE’s test procedures for GSFL, 

GSIL, and IRL, including those provisions appearing at 10 CFR 429.27, 10 CFR 430.2, 10 CFR 

430.23, 10 CFR 430.25, and 10 CFR 430, subpart B, Appendix R. (See Issue 1 in section ), 

as well as comments on current best practices and technological developments that may warrant 

amendments.

B.

Because the current GSFL, GSIL, and IRL test procedures are based mainly on 

references to industry standards, this review, in part, consists of determining whether or not to 

adopt the updated version of these standards. Industry periodically updates its test procedure 

standards to account for changes in product lines and/or developments in test methodology and 

equipment. In its review of these industry standards, DOE compared updated and current 

versions to determine, as directed by EPCA, whether adopting the latest industry standards 

would alter measured energy efficiency. (42 U.S.C. 6293(e)(1)) In addition, in considering 

 Updates to Industry Standards Incorporated by Reference 
15 

whether to adopt an updated standard, DOE must ensure that a revision to DOE’s regulations 

would not result in a test procedure that is unduly burdensome to conduct. (42 U.S.C. 

6293(b)(3)) 

After reviewing the industry standards incorporated by reference for the existing GSFL, 

GSIL, and IRL test procedures as well as current best practices and technological developments, 

DOE tentatively identified appropriate updates for the GSFL and GSIL test procedures, but no 

updates for the IRL test procedure. For GSFLs, DOE is proposing to update references to the 

1999 version of IES LM-9 to the 2009 version and references to the 2005 version of ANSI 

C78.81 to the 2010 version. For GSILs, DOE proposes to update references to the 2000 version 

of IES LM-45 to the 2009 version. DOE is proposing to adopt the latest versions of IES LM-9 

and IES LM-45, as they include requirements that will increase the precision of measurements 

and clarifications of existing test setup and methodology. The updated version of ANSI C78.81 

provides lamp specifications for additional lamp types that may become useful in the future. 

Adoption of these latest versions will also better align DOE test procedures with industry 

practice, thereby potentially reducing testing burden. 

Generally, DOE has determined that the changes associated with adoption of the updated 

versions of industry standards referenced in the existing test procedures for the products that are 

the subject of this NOPR would not be unduly burdensome for manufacturers, nor would they 

result in a change in measured lamp efficacy values, as they are not making substantive changes 

to test setup and methodology. In its review of the updated versions of industry standards, DOE 

identified some provisions in the revised industry test procedures that could potentially result in 
16 

small changes in lamp efficacy values (e.g., modifications to impedance thresholds, voltage and 

current regulations). However, DOE tentatively determined that these potential changes in lamp 

efficacy values from the modified provisions would not be significant.16

V.E

 Nevertheless, DOE 

requests comments on its assessment (see Issues 2 and 3 in section ). The following sections 

discuss in more detail each of the updated industry standards and their provisions that could 

potentially result in small changes in lamp efficacy values.

1. 

The existing GSFL test procedure at 10 CFR part 430, subpart B, Appendix R 

incorporates by reference ANSI C78.81-2005, addressing dimensional and electrical 

characteristics for double-capped fluorescent lamps. This 2005 standard, a revision to ANSI 

C78.81-2003, is also referenced in DOE’s definitions of ‘‘cold-temperature fluorescent lamp’’ 

and ‘‘rated wattage.’’ (See 10 CFR 430.2) In addition, ANSI C78.81-2003 is currently 

referenced in parts of DOE’s test procedure for fluorescent lamp ballasts. (See 10 CFR part 430, 

subpart B, Appendix Q) In this NOPR, DOE proposes to update all reference to ANSI C78.81 

(both 2003 and 2005) to now reference ANSI C78.81-2010 in DOE’s test procedures and 

definitions relating to GSFLs and fluorescent lamp ballasts. The 2010 version adds highfrequency and low-frequency lamp specifications for reduced-wattage 4-foot T8 medium bipin 

lamps. While DOE’s current test procedures do not require the use of these specifications, they 

may become relevant in DOE’s ongoing assessment of whether industry has provided highfrequency lamps specifications for all GSFL covered by standards and subsequently, if DOE 

should consider requiring GSFLs be tested using high-frequency ballasts. Furthermore, if 

ANSI C78.81-2010 for General Service Fluorescent Lamps

 

16 In this document, changes in efficacy that are described as “not significant” are considered to be within 

measurement error or variation. DOE tentatively concludes that these amendments do not affect reported efficacy 

values to the extent that would warrant modifications to energy conservation standards. 
17 

upcoming GSFL energy conservation standards rulemakings adopt additional lamp types, 

incorporating the latest version of ANSI C78.81 may necessitate little or no changes to DOE test 

procedures in terms of specifications for the new lamp types. 

Section 1 (“Definitions”) of Appendix Q (“Uniform Test Method for Measuring Energy 

Consumption of Fluorescent Lamp Ballasts”) to the DOE test procedure refers to specific 

datasheets in ANSI C78.81-2003 to identify dimensional and electrical characteristics for the 

following lamps: F40T12, F96T12, F96T12HO, F34T12, F96T12ES, F96T12HO/ES. DOE has 

determined that 2003 datasheets referenced in Appendix Q are identical to the corresponding 

datasheets in the 2010 version of ANSI C78.81. As updating references to ANSI C78.81-2003 to 

ANSI C78.81-2010 in Appendix Q does not constitute a substantive change to the fluorescent 

lamp ballast test procedure, DOE concludes that such amendments would not result in any 

changes in testing burden or a change in measured energy consumption as compared to the 

current DOE test procedure.

In comparing ANSI C78.81-2010 to the 2005 version of the standard, DOE notes that the 

only change is to include high-frequency and low-frequency lamp specifications for 25W, 28W, 

and 30W, reduced-wattage 4-foot T8 medium bipin lamps. These lamps, commonly used as 

replacements for a 32W 4-foot T8 medium lamp, are newer products and only recently have been 

added to the ANSI standard. The low-frequency reference ballast specifications in ANSI C78.81-

2010 for these lamps are identical to the specifications DOE currently directs manufacturers to 

use for those fluorescent lamps in section 4.1.2.1 of Appendix R.17

 

17 DOE’s current test procedure for 4-foot medium bipin lamps specifies that testing be done using low-frequency 

reference ballast specifications.

 Therefore, neither measured 
18 

efficacy nor testing burden would be affected by updating the current references in the DOE test 

procedure to ANSI C78.81-2010. Thus, DOE proposes to update all references to ANSI C78.81 

(both the 2003 and 2005 version) in 10 CFR part 430 to the 2010 version of the standard.

2. 

IESNA LM-9-1999 specifies procedures for measuring the efficacy of GSFLs. As 

discussed above, this industry standard has been updated with a 2009 edition. DOE is proposing 

to update references to IESNA LM-9-1999 to the more recent 2009 version of the standard.

IES LM-9-2009 for General Service Fluorescent Lamps

18

• Adds information on conducting tests under high-frequency conditions; 

 A 

review indicates that incorporating the 2009 edition of IES LM-9 could provide further 

clarification of the test procedure and improve the test methodology and test instrumentation 

setup and specifications. DOE has identified the following four key updates in the 2009 edition 

of IES LM-9 and discusses them in greater detail below. Specifically, IES LM-9-2009: 

• Modifies the lamp stabilization method;

• Specifies temperature and orientation for stabilization of T5 lamps; and 

• Specifies impedance19 thresholds for the multipurpose volt, amperes, and watts (VAW) 

meter and power source, where previously only general guidance was provided. 

One of the key updates in IES LM-9-2009 is the addition of guidance on taking 

measurements under high-frequency conditions when using high-frequency ballasts. Because 

high-frequency test specifications are not available for all lamp types and in order to maintain 

 

18 The 2009 version of the standard is labeled as IES instead of IESNA

19 A measure of the total opposition to current flow in an alternating current (AC) circuit made up of resistance and 

reactance, “reactance” is the opposition of a circuit element to a change of electric current or voltage, due to the 

element's capacitance or inductance. For a direct current (DC) circuit, the impedance is just the resistance.
19 

consistency and comparability across testing, DOE required testing of GSFLs using lowfrequency ballasts where possible in the 2009 Lamps Test Procedure final rule.20 74 FR 31829, 

31835 (July 6, 2009). This NOPR does not propose to change this requirement. Because 8-foot 

T8 recessed double-contact high-output and 4-foot T5 miniature bipin standard and high-output 

lamps only have high-frequency reference ballasts specifications available, the DOE test 

procedure directs manufacturers to use high-frequency test conditions for these lamps. 

IES LM-9-2009 now provides some guidance for testing in high-frequency situations, 

specifically regarding instrument thresholds and circuit setup. As noted above, DOE requires 

GSFLs testing using low-frequency ballasts where possible. However, the high-frequency 

guidance in IES LM-9-2009 would be applicable for lamps that only have high-frequency ballast 

specifications available and, therefore, cannot be tested using low-frequency ballasts. IES LM-9-

2009 specifies for high-frequency measurements that root mean square (RMS) voltage applied to 

the test lamp be regulated to within ± 1.0 percent of the reference ballast voltage setting and that 

instruments have a frequency response21 of at least 100 kilohertz (kHz). For measurements under 

high-frequency operation, the industry standard specifies that lamps be operated in series with a 

non-inductive reference resistor ballast,22

 

20 One exception to this rule would be 8-foot T8 recessed double-contact high-output and 4-foot T5 miniature bipin 

standard and high-output lamps, which only have high-frequency reference ballasts specifications listed in ANSI 

C78.81-2005. 

 as specified in ANSI C78.81-2010. IES LM-9-2009 

also states that when the impedance is not specified in a standard, the value is to be set to one 

half of the lamp impedance under high-frequency conditions. High-frequency-specific 

impedance, along with current and input voltage for reference ballasts, are necessary parameters 

21 “Frequency response” is the measure of a system’s output frequency spectrum in response to an input signal. 22 A high-frequency reference ballast has only resistive elements, while a low-frequency reference ballast includes 

inductors.
20 

for testing under high-frequency conditions. The industry standard also clarifies that for highfrequency circuits, cathode heating should not be used when the lamp is in operation. DOE has 

tentatively concluded that for lamps that can only be tested at high frequency, the impact of the 

new guidance provided in IES LM-9-2009 regarding high-frequency testing would be useful, and 

it would not significantly impact lamp efficacy measurements (which would likely be within the 

margin of measurement error). Furthermore, DOE’s analyses indicate that most modern 

equipment would accommodate the thresholds specified in IES LM-9-2009 for high-frequency 

testing, and, thus, they would not impose an additional testing burden on manufacturers since 

new testing instruments would not be required to run the test. DOE requests comment on 

whether the clarification on high-frequency testing provided would affect lamp efficacy values 

and/or significantly increase the testing burden (see Issue 2 in section V.E). 

In addition, IES LM-9-2009 includes modifications to the lamp stabilization 

methodology. IES LM-9-2009 now prescribes six (instead of four) measurements at one-minute 

intervals for a total of five (instead of three) minutes. It also removes the requirement that the 

stability percentage be two percent for lamps with cold spots/chambers, leaving only the general 

one-percent stability threshold. Additionally, IES LM-9-2009 requires that stabilization 

measurements continue until six consecutive measurements meet the stabilization criteria. These 

modifications to the lamp stabilization method allow for more accurate and consistent 

measurements of lamp efficacy. After review, DOE has tentatively concluded that the 2009 

version provides a stricter stabilization method, but one that is consistent with industry standards. 

DOE requests comments on the impact of these proposed changes in stabilization methodology 

on lamp efficacy values (see Issue 2 in section V.E). 
21 

 

IES LM-9-2009 also prescribes lamp stabilization characteristics unique to T5 linear 

fluorescent lamps. To obtain stable photometric results in 25 °C (77 °F) air, it recommends 

keeping the mercury dose in the test lamp close to the equilibrium temperature and vapor 

pressure. IES LM-9-2009 also specifies that T5 lamps are to be seasoned23 in the vertical 

orientation, even though they are measured horizontally. Stable light output is reached when all 

the liquid mercury is in the cold spot, which by industry convention is at the monogrammed end 

of the lamp. Therefore, T5 lamps are operated in a vertical position to keep the mercury dose at 

one end of the lamp. IES LM-9-2009 references IESNA LM-54-199924 for further guidance on 

this procedure. Upon review, DOE has tentatively concluded that the addition of the T5 lamp 

stabilization method, as proposed, would address stability characteristics specific to these lamp 

types, but it would not be expected to alter measured lamp efficacy. 

IES LM-9-2009 also specifies impedance thresholds for the multipurpose volt, amperes, 

and watts (VAW) meter and power source. The VAW meter voltage input must have input 

impedance greater than one megaohm; and the electrical current input impedances may not 

exceed 10 milliohms.25

 

23 “Seasoned” or “seasoning” refers to the initial burning or operation of a lamp with the goal of minimizing timerelated changes in lamp operating characteristics.

 IES LM-9-2009 also prohibits power source impedance greater than two 

percent of the ballast impedance. For high-frequency power supplies, the 2009 version adds the 

note that it is impossible to meet this power source impedance limit internally, so external 

control circuits are used to keep the output voltage at the desired level. This modification 

24 “IESNA Guide to Lamp Seasoning” (approved May 10, 1999). 25 The 2009 version also removes Annex A, Corrections to Compensate for Presence of Test Instruments in the 

Lamp Circuit. This annex addresses how to account for the change in the circuit caused by the test instruments. IES 

LM-9-2009 notes, however, that the error introduced to the circuit is negligible when using high-input-impedance 

(one megaohm or greater) instruments. Because IES LM-9-2009 has been modified to require that voltage input of a 

multifunction meter have input impedance greater than one megaohm, this annex is no longer relevant.
22 

addresses the need for low impedance in order to ensure accurate measurements, but DOE does 

not expect that it would significantly affect lamp efficacy measurements. DOE has tentatively 

concluded that because the updates to impedance limitations mainly affect error correction and 

ensure accurate measurements, these changes would not be expected to affect lamp efficacy 

values. In addition, DOE’s research indicates that manufacturers’ existing instrument setups 

should meet the impedance thresholds prescribed and, therefore, would not pose an additional 

testing burden. 

 In addition to the above mentioned updates, IES LM-9-2009 provides recommendations 

and further guidance that remove a number of ambiguities in the previous version (e.g., updates 

to sources of measurement errors, definitions, and references). Because these proposed updates 

do not involve substantive changes to the test setup and methodology, but rather just 

clarification, DOE has tentatively concluded they would not affect lamp efficacy measurements 

or pose an additional testing burden. 

For the reasons discussed above, DOE has tentatively concluded that substituting the 

2009 version of IES LM-9 for the version (1999) currently incorporated in the DOE test 

procedure for GSFLs would generally result in more precise measurements and provide further 

clarification to the DOE test procedures. It would also align DOE’s requirements with current 

industry standards, thereby potentially reducing testing burden. The proposed amendments 

would not be expected to significantly affect measured lamp efficacy. DOE requests comments 

on its proposed incorporation of IES LM-9-2009 and its tentative conclusion that the update 

would have an insignificant impact on lamp efficacy values (see Issue 2 in section V.E). 
23 

3. 

The existing GSIL test procedure at 10 CFR part 430, subpart B, Appendix R 

incorporates by reference IESNA LM-45-2000 and specifies its use for measuring efficacy of 

GSILs. As discussed above, this industry standard has been updated with a 2009 edition which is 

labeled as IES instead of IESNA. DOE is considering updating references from IESNA LM-45-

2000 to the 2009 version of the standard. A review indicates that incorporating the 2009 edition 

of IES LM-45 could provide further clarification of the test procedure and improvements in test 

methodology. DOE has identified the following five key updates in the 2009 edition of LM-45 

and discusses them in greater detail below:

IES LM-45-2009 for General Service Incandescent Lamps

• Modifies the lamp stabilization method;

• Modifies voltage and current regulation tolerances of the alternating current (AC) power 

source;

• Modifies instrument tolerance for AC voltage, current, and wattage; 

• Specifies impedance tolerances for instruments; 

• Specifies the tolerance of the spectral response of the photo detector;

 

The first key update in IES LM-45-2009 is clarification of the lamp stabilization 

methodology. IES LM-45-2009 specifies that the stability percentage should be calculated by 

dividing the difference between the maximum and minimum of the five consecutive 

measurements by the average value of the measurements. IES LM-45-2009 also states that 

measurements must continue at 15-second intervals until five consecutive measurements meet 
24 

the stability criteria. These additional specifications in IES LM-45-2009 provide a more precise 

definition of stabilization, which may improve consistency of test results.

IES LM-45-2009 also contains modified requirements for voltage and current regulation 

of the AC power source. It specifies that RMS voltage or current is to be regulated to within ± 

0.1 percent instead of ± 0.02 percent. The revised standard also changed the instrument 

tolerances for voltage, current, and wattage measurements for AC, specifying ± 0.5 percent or 

less for voltage and current and ± 0.75 percent or less for wattage as allowable accuracies. IES 

LM-45-2000 had stated that uncertainty of voltage and current shall not exceed ± 0.05 for both 

DC and AC circuits. All else held equal, uncertainty for AC measurements tends to be higher 

than DC measurements, due to the time-varying properties of AC signals. 

While the above mentioned changes in power source regulation and in instrument 

tolerances could introduce slightly more variation in lamp efficacy measurements, DOE does not 

expect that these proposed changes would have a significant impact on reported lamp efficacy 

values, which are based on testing of 21 samples. Additionally, the revised tolerances are closer 

to those achievable by today’s commercially-available equipment being used industry-wide, and, 

therefore, they would not pose an additional testing burden. 

IES LM-45-2009 also adds upper and lower input impedance thresholds for the voltage 

and the current inputs of the multimeter used for measurements. Under the revised version of the 

industry standard, the input impedance for the voltage input to the multifunction meter must 

exceed one megaohm, and the input impedance for the current inputs must be less than 10 
25 

milliohms. DOE has tentatively concluded that these changes would have an insignificant impact 

on lamp efficacy values. The updates to impedance thresholds mainly affect error correction and 

ensure accurate measurements. In addition, this change would not pose an additional testing 

burden, as DOE’s research indicates that manufacturers’ existing instrument setups should meet 

the impedance thresholds prescribed. 

 Both versions of IES LM-45 include a requirement that the photo-detector have a relative 

spectral responsivity which approximates V(λ), the photopic luminous efficiency function.26 The 

V(λ) function represents the response curve of a standard observer, which quantifies the visual 

sensitivity of the human eye to light at different wavelengths. IES LM-45-2009 adds the 

specification that the V(λ) parameter, f1’, be less than five percent. The parameter f1’ describes 

the degree of spectral match of the photo-detector measurements to the V(λ) function. DOE’s 

research indicates that industry commonly considers a value for f1’ of less than five percent good 

commercial quality and a value of less than three percent good laboratory/research quality. DOE 

has tentatively concluded that the additional specification of the spectral response tolerance of 

the photo-detector would not affect lamp efficacy measurements. In addition, DOE research 

shows that manufacturers already employ at least commercial-grade instruments, and, therefore, 

this specification would not pose an additional test burden. However, it is useful to explicitly 

specify the allowable error in spectral response to ensure a certain accuracy of photometric 

measurements. 

 

26 The Commission International de l’Eclairage (CIE) established the photopic luminous efficiency function as the 

response curve of a standard observer. IESNA Lighting Handbook, Ninth Edition (2000) p. 1-6. 
26 

For the reasons discussed above, DOE has tentatively concluded that substituting the 

2009 version of IES LM-45 for the 2000 version currently incorporated in the DOE test 

procedure for GSILs would result in more precise measurements and provide further clarification 

to the DOE test procedures. Updating to the latest version would also better align DOE’s 

requirements with current industry standards and best practices. The proposed amendments 

would not be expected to significantly affect measured lamp efficacy. DOE requests comments 

on its proposed incorporation of LM-45-2009 and its tentative conclusion that the update would 

have an insignificant impact on lamp efficacy values and testing burden (see Issue 3 in section 

V.E). 

C.

The existing IRL test procedure at 10 CFR part 430, subpart B, Appendix R incorporates 

by reference IESNA LM-20-1994

Test Procedures for Incandescent Reflector Lamps

27

V.E

for measuring efficacy of IRLs. At the time of publication 

of this NOPR, a revised edition of this standard had not been published. Upon review DOE has 

determined that existing test procedures for IRLs are appropriate for measuring efficacy and 

continue to not impose an undue testing burden. Further, DOE is not aware of any current best 

practice or technical development that necessitates modifications to the existing test procedure. 

Therefore, no amendments to IRL test procedures are proposed. DOE requests comment on its 

assessment that no updates to the IRL test procedure are needed and welcomes any suggestions 

for amendments (see Issue 4 in section ). 

 

27 “IESNA Approved Method for Photometric Testing of Reflector-Type Lamp,” (approved Dec. 3, 1994). 
27 

D.

Section 321 of EISA 2007 amended EPCA by prescribing for the first time for GSILs, 

minimum rated lifetime

 General Service Incandescent Lamp Lifetime Testing

28

 

 requirements to be phased in between January 2012 and January 2014 

(codified at 42 U.S.C. 6295(i)(1)). EPCA defines “life” and “lifetime” as the length of operating 

time of a statistically large group of lamps between first use and failure of 50 percent of the 

group, in accordance with test procedures described in the IESNA Lighting Handbook Reference 

Volume. (42 U.S.C. 6291(30)(P)) 

The rated lifetime of a general service incandescent lamp depends mainly on the rate of 

vaporization of the surface of the tungsten filament due to the high filament temperatures 

required during lamp operation. The tungsten filament generates the light in incandescent lamps 

when a current is passed through it, which heats the filament by electrical resistance. As the 

filament evaporates and shrinks, its resistance increases, thereby reducing current, power, and 

light in multiple circuits.29 Light output is also reduced by the deposit of light-absorbing tungsten 

particles on the bulb surface. When the filament breaks, it interrupts the electrical circuit, thereby

resulting in an inoperable lamp.

1. 

As stated above, EPCA defines the term “lifetime” in part by referencing test procedures 

in the IESNA Lighting Handbook.

Selection of Industry Standard

30

 

28 DOE is proposing to use the term “rated lifetime” rather than “rate lifetime,” which is the term used in the 

statutory standards for GSILs prescribed by EISA 2007. (42 U.S.C. 6295(i)) DOE believes “rated” is more 

commonly used in industry. 

 The IESNA Lighting Handbook provides guidance on two 

methods of testing GSIL lifetime: (1) at rated voltage; and (2) at overvoltage (also known as 

29 IESNA Lighting Handbook, Ninth Edition (2000) p. 6-13. 30 IESNA Lighting Handbook, Ninth Edition (2000) p. 2-24. 
28 

accelerated lifetime testing). DOE notes that the rated voltage testing guidance in the IESNA 

Lighting Handbook generally coincides with IESNA LM-49-2001. (See discussion in section 

III.D.3 below for further details on accelerated lifetime testing.) In light of its common usage in 

the industry and its similarity to the test procedure in the IESNA Lighting Handbook, DOE is 

proposing to incorporate by reference IESNA LM-49-2001, “IESNA Approved Method for Life 

Testing of Incandescent Filament Lamps” (approved Dec. 1, 2001), into the DOE test procedure 

for measuring GSIL lifetime, in order for there to be an appropriate test method in place by the 

compliance date for the GSIL minimum lifetime standard levels established by EISA 2007. 

 DOE notes, however, that the IESNA Lighting Handbook test procedures depart from 

those described in IESNA LM-49-2001 in one way: the IESNA Lighting Handbook requires test 

voltage or current be held within ± 0.25 percent of rated voltage/current, whereas IESNA LM49-2001 requires test voltage or current be held within ± 0.5 percent of rated RMS values. As 

IESNA LM-49-2001 is the more commonly used reference for GSIL lifetime testing, DOE is 

proposing to stay with the voltage/current regulation prescribed in IESNA LM-49-2001. DOE 

also has tentatively concluded that this difference in voltage regulation specification would have 

an insignificant impact on lifetime testing and would reduce testing burden by providing a 

somewhat wider tolerance. 

 

DOE also considered IEC 60064-200531

 

31 “International Standard: Tungsten filament lamps for domestic and similar general lighting purposes – 

Performance requirements” (approved 2005). 

which contains similar test conditions and 

procedures as IESNA LM-49-2001. After speaking to representatives from major lighting 

testing facilities, however, DOE found that IESNA LM-49-2001 is the more common reference 
29 

for GSIL lifetime testing, which suggests it is the more workable approach. Further evidence of 

the IESNA standard’s usage is the Federal Trade Commission (FTC) reference to IESNA LM-49 

in its regulations for product labeling of GSILs. 16 CFR 305.5(b). By adopting the same 

industry standard for purposes of compliance with energy conservation standards and FTC 

labeling, DOE would minimize the need for additional testing. IESNA LM-49-2001 adequately 

covers ambient conditions, test setup (lamp orientation, power supply specifications, 

instrumentation), and operating cycle methodology, thereby providing a comprehensive test 

procedure for testing GSIL lifetime. DOE requests comments on its proposal to adopt IESNA 

LM-49-2001 as the standard for GSIL lifetime testing (see Issue 5 in section V.E). The 

following section describes the test procedures laid out in IESNA LM-49-2001. 

 

2. 

Similar to EPCA, section 1.2 of IESNA LM-49-2001 defines “rated lifetime” as the 

statistically-determined estimate of median operational lifetime, where median is the total 

operating time under which, at normal operating conditions, 50 percent of a large group of 

initially installed lamps is expected to be still operating. IESNA LM-49-2001 prescribes testing 

lifetime of an incandescent lamp at its rated voltage, and it requires the lamp to be checked for 

failure at certain intervals and to be cooled on a daily basis. 

Summary of IESNA LM-49-2001

Section 3.2 of IESNA LM-49-2001 provides instrument specifications that require lamps 

to be operated at their rated voltage for voltage-rated lamps or at their rated current for currentrated lamps, and at 60 Hertz (Hz). When using an AC power supply, the voltage wave shape is 

to be such that total harmonic distortion does not exceed three percent of the fundamental. As 
30 

mentioned previously, the referenced industry standard also specifies that regardless of whether 

AC or DC power supply is used, voltage or current must be regulated to within ± 0.5 percent of 

its rated RMS value for the duration of the lifetime test as a design consideration for the lifetime 

test system. IESNA LM-49-2001 specifies test conditions for vibration, temperature, and airflow. 

It addresses orientation, spacing, handling, and marking of the lamps, as well as specifications 

for the lamp holders. 

The method for lamp lifetime testing detailed in IESNA LM-49-2001 allows for an 

elapsed time meter to monitor operating time. The referenced industry standard further states that 

it is permissible to use video monitoring, current monitoring, or other means that are designed to 

provide sufficient temporal accuracy. The procedure specifies that lamp failure is determined by 

either visual observation or automatic monitoring at intervals of no more than 0.5 percent of the 

rated lifetime. It requires that for normal lifetime testing, lamps be cooled to ambient 

temperature once per day and specifies cooling time as usually 15 to 30 minutes per day. 

3. 

IESNA LM-49-2001 permits accelerated lifetime testing for non-halogen GSILs. In 

principle, an accelerated lifetime test measures a shortened lamp lifetime and scales it to 

determine the full lifetime of the lamp, thereby reducing total testing time required and overall 

test burden. DOE has tentatively determined, however, that industry lacks a consistent 

methodology for developing GSIL scaling factors for halogen lamps (which are expected to 

comprise the vast majority of compliant GSILs). Thus, as detailed in the next section, DOE has 

Accelerated Lifetime Testing
31 

tentatively decided not to allow the use of accelerated lifetime testing for GSILs as part of this 

test procedure. 

Accelerated lifetime testing involves operating lamps at higher than rated voltage, 

thereby forcing the lamp to fail faster. A scaling factor is used to correlate the measured 

accelerated lifetime to the lifetime at the rated voltage. The appropriate scaling factor, critical in 

obtaining accurate accelerated lifetime results, is determined by conducting a certain number of 

comparison parallel lifetime tests at rated voltage and overvoltage. The IESNA Lighting 

Handbook notes that scaling factors are empirical and that their determination requires many 

comparison tests at rated voltages.32 

Additionally, IESNA LM-49-2001 limits accelerated lifetime testing methodology to

non-halogen lamps. Accurate accelerated lifetime testing can be difficult to conduct for halogen 

lamps due to the tungsten-halogen regenerative cycle. This cycle, intended to increase lamp 

lifetime by redepositing evaporated tungsten back onto the filament, is designed around certain 

operating temperatures; deviations from the rated voltage would change the operating 

temperature and potentially alter or introduce new modes of lamp failure. Even if accurate 

scaling factors (to relate overvoltage lifetime testing to rated voltage lifetime testing) could be 

empirically derived for halogen lamps, unique scaling factors would likely need to be developed 

for each lamp design. Alterations in filament or halogen capsule designs could affect the 

tungsten-halogen regenerative cycle and, therefore, the scaling factor. Due to the extensive 

testing necessary to develop these scaling factors for each basic model, DOE tentatively 

 

32 IESNA Lighting Handbook, Ninth Edition (2000) p. 2-24. 
32 

concludes that accelerated lifetime testing for halogen lamps would not significantly reduce 

testing burden. 

Since few non-halogen GSILs will meet the 2012 energy conservation standards, and 

given the minimal impact on testing burden and potential inaccuracies introduced, DOE has 

tentatively decided to disallow the use of accelerated lifetime testing for GSILs as part of this test 

procedure. DOE requests comments on its assessment that accelerated lifetime test should not be 

incorporated as part of the DOE test procedure (see Issue 6 in section V.E). 

4. 

For GSIL lifetime measurements, DOE is proposing a minimum sampling size of 20 

lamps: a minimum of two lamps per month for seven months of production out of a 12-month 

period. If lamp production occurs in fewer than seven months out of the year, two or more lamps 

will be selected for each month that production exists as evenly as possible to meet the minimum 

20 sample requirement. These seven months do not need to be consecutive and can be any 

combination of seven months out of the twelve available. DOE has tentatively concluded that 20 

samples is consistent with the statutory definition of “lifetime,” that requires that such sample be 

based on “statistically large group of lamps.” This selection of 20 lamps as the sample size is 

also consistent with DOE’s regulations for measuring lamp efficacy, which currently specify a 

sampling size of a minimum of three lamps for each month of production for a minimum of 

seven months (not necessarily consecutive) out of the 12-month period, totaling a minimum of 

21 lamps. 10 CFR 429.27 This 21-lamp sample size was selected to promote statistically valid 

results without imposing an undue testing burden on manufacturers. 62 FR 29222, 29229 (May 

Sample Size
33 

29, 1997) DOE has chosen 20 samples (an even number) instead of 21 samples in order to 

facilitate the calculation of the 50 percent failure rate. This sample size also allows 

manufacturers the opportunity to test the same sample set for measurements of lumen output, 

wattage, and lifetime, thereby potentially reducing testing burden. DOE requests comments on 

this assessment and whether alternative sample sizes should be used instead (see Issue 7 in 

section V.E). 

5. 

 In addition to incorporating by reference IESNA LM-49-2001 as the test procedure for 

GSIL lifetime testing, DOE is also proposing to define “rated lifetime” as the parameter that 

should be used to determine whether the lamp meets minimum rated lifetime standards. The 

rated lifetime for general service incandescent lamps will be defined as the length of operating 

time between first use and failure of 50 percent of the sample size in accordance with test 

procedures described in IESNA LM-49-2001. This proposed definition of “rated lifetime” is 

consistent with the existing statutory definition of “life” or “lifetime,” which describes this 

parameter as the length of operating time of a statistically large group of lamps between first use 

and failure of 50 percent of the group in accordance with test procedures described in the IES 

Lighting Handbook. (42 U.S.C. 6291(30)(P)) Since DOE is proposing to adopt IESNA LM-49-

2001 as the standard industry reference for GSIL lifetime testing, the GSIL “rated lifetime” 

definition will reference IESNA LM-49-2001 rather than the IES Lighting Handbook. 

“Rated Lifetime” Definition

 

6. Certification Requirements and Laboratory Accreditation
34 

10 CFR 429.12(e) specifies that for most covered products, including GSILs, certification 

reports of new models must be submitted before products are distributed into commerce. 

However, for GSFLs and IRLs, because reported values are based on testing of samples over a 

12-month period of production, DOE requires manufacturers to submit an initial certification 

report prior to or concurrent with distribution of the new model. This initial certification report 

filing, describing how the manufacturer has determined that the new model meets or exceeds 

energy conservation standards, allows manufacturers to distribute new models while completing 

the 12-month sampling requirement for certification of GSFLs and IRLs. This initial report is 

then followed by a final certification report, based on the full sampling provisions, to be 

submitted a year after the first date of manufacture of the new model. 

Since DOE also requires a 12-month sampling period for certification of GSILs, today’s 

notice is proposing to implement new model filing requirements, similar to those for GSFLs and 

IRLs, for GSILs. Just as with GSFLs and IRLs, DOE is proposing to require that the final 

certification report be submitted one year following the start of manufacturing of the new model. 

DOE proposes this time period for final certification for GSIL testing to account for the time it 

takes to measure lamp lifetime as part of GSIL testing. Lifetime testing of a 1000-hour rated 

lamp (the minimum rated lifetime standard) would require lamp operation for a minimum of 42 

days. Since the sample is taken over a 12-month span and only requires sampling from 7 months 

of the year, DOE believes that several months after the last month of the sampling period are 

necessary to complete testing, given that some GSILs have rated lifetimes longer than 1000 

hours. Consequently, DOE is proposing a total of 12 months after the date of manufacture of the 

new model, allowing manufacturers sufficient time to conduct lifetime testing for all GSILs 
35 

manufactured in a 12-month production period. DOE requests comment on its proposal 

regarding GSIL certification filing requirements. (See Issue 8 in section V.E). 

Additionally, when conducting compliance testing for GSIL lifetime, DOE proposes to 

require that such testing be conducted by a facility accredited by the National Volunteer 

Laboratory Accreditation Program (NVLAP)

33 or by an organization recognized by NVLAP. 

NVLAP accreditation is a finding of laboratory competence, certifying that a laboratory operates 

in accordance with NVLAP management and technical requirements. The NVLAP program is 

described in 15 CFR part 285, and it encompasses the requirements of ISO/ IEC 17025.34 DOE 

has determined that NVLAP imposes fees of $9,000 and $8,000 on years one and two of 

accreditation. For the years following, the fees alternate between $5,000 and $8,000, with the 

$8,000 fee corresponding to the on-site evaluation required every other year. Fees for other 

accreditation organizations are expected to be similar. DOE does not expect this requirement for 

GSIL lifetime testing to impose a significant burden for most manufacturers, because efficacy 

testing of GSILs is already required to take place at a laboratory that is accredited by either 

NVLAP or an NVLAP-recognized organization. Accordingly, manufacturers should be able to 

meet this requirement with minimal change or incremental burden. 

7. 

 

33 NVLAP is a program administered by the National Institute of Standards and Technology (NIST).

Effective Date and Compliance Date for the Amended Test Procedures and Compliance Date 

for Submitting GSIL Certification Reports 

34 International Organization for Standardization/ International Electrotechnical Commission, General requirements 

for the competence of testing and calibration laboratories. ISO/IEC 17025 (available at:_

http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=39883).
36 

The effective date for these test procedure amendments would be 30 days after 

publication of the test procedure final rule in the Federal Register. At that time, manufacturers 

and importers of covered GSFLs, IRLs, and GSILs may use the amended test procedure for 

making representations of the energy efficiency of each basic model. Additionally for GSFLs 

and IRLs, manufacturers may use the amended test procedure or the existing test procedures to 

certify compliance with DOE’s test procedure. Should manufacturers or importers elect to use 

the new test procedure and applicable sampling plans prior to the compliance date of the 

amended test procedure, this would need to be noted on the certification report. 

The compliance date for certifying compliance with the Department’s regulations and for 

making any representations of the energy efficiency derived from the revised version of the test 

procedure for GSFLs, IRLs, and GSILs is 180 days from the date of publication of the test 

procedure final rule in the Federal Register. On or after that date, any such representations, 

including those made on marketing materials and product labels, must be based upon results 

generated under these amended test procedures and the applicable sampling plans. At that time, 

manufacturers and importers of covered GSFLs, IRLs, and GSILs must use the amended test 

procedures when certifying compliance to the Department. For example, for GSFLs and IRLs 

after the compliance date, if the test procedure amendments in conjunction with the applicable 

sampling plans proposed today alter the energy use in a manner which results in the basic model 

being less efficient, then the manufacturer or importer would be required to revise the existing 

certification. Otherwise, any changes to the certified ratings for GSFLs and IRLs may be 

submitted in the next annual certification filing due on the 1st of March. 
37 

To reduce confusion, DOE is proposing to amend the initial compliance date for 

submitting GSIL certification reports for those products subject to standards on January 1, 2012, 

by approximately 5 months so as to be concurrent with the compliance date of the amended test 

procedure. Thus, under this proposal, for GSILs that have energy conservation standards 

effective January 1, 2012, certification would not be required until 180 days after publication of 

the test procedure final rule in the Federal Register. At that time, these test procedure 

amendments and sampling plans, including the new lifetime requirements, would need to be used 

to develop the certified ratings in order to certify compliance 180 days after publication of the 

test procedure final rule in the Federal Register. 

IV. Procedural Issues and Regulatory Review

A.

The Office of Management and Budget has determined that test procedure rulemakings 

do not constitute “significant regulatory actions” under section 3(f) of Executive Order 12866, 

“Regulatory Planning and Review.” 58 FR 51735 (Oct. 4, 1993). Accordingly, this regulatory 

action was not subject to review under the Executive Order by the Office of Information and 

Regulatory Affairs (OIRA) in the Office of Management and Budget (OMB).

Review Under Executive Order 12866

B. Review under the Regulatory Flexibility Act

The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires preparation of an initial 

regulatory flexibility analysis (IFRA) 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 
38 

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: www.gc.doe.gov

Today’s proposed rule would adopt test procedure provisions for GSFLs and GSILs, 

primarily through updates to current active industry testing standards, as well as specification of 

a procedure for testing GSIL lifetime. In referencing the updated versions of the industry test 

method, DOE anticipates that there would be no incremental increase in testing cost or burden 

for covered products, because the updated versions are not making substantial changes to test 

setup or methodology. In this NOPR, DOE is also proposing to establish a test procedure for 

GSIL lifetime testing and recommending the incorporation by reference of IESNA LM-49-2001 

as the basis for this test procedure. The proposed GSIL lifetime test procedure will provide an 

appropriate test method for the purposes of compliance with the GSIL minimum lifetime 

standard levels established by EISA 2007. DOE has tentatively determined that the proposed 

GSIL lifetime test procedure would not pose undue testing costs or burdens on manufacturers of 

covered products. DOE has reviewed the proposed rule under the provisions of the Regulatory 

Flexibility Act and the policies and procedures published on February 19, 2003. For the reasons 

explained below, DOE concludes and certifies that this test procedure rulemaking would not 

have a significant economic impact on a substantial number of small entities. 

. 

 
39 

The Small Business Administration (SBA) has set a size threshold for manufacturers of 

GSFLs, GSILs, and IRLs that defines those entities classified as “small businesses” for the 

purposes of the Regulatory Flexibility Analysis. DOE used the SBA’s small business size 

standards to determine whether any small manufacturers of GSFLs, GSILs, and IRLs would be 

subject to the requirements of the rule. 65 FR 30836, 30849 (May 15, 2000), as amended at 65 

FR 53533, 53545 (Sept. 5, 2000) and codified at 13 CFR part 121. The size standards are listed 

by North American Industry Classification System (NAICS) code and industry description and 

are available at www.sba.gov/sites/default/files/Size_Standards_Table.pdf. GSFL, GSIL, and 

IRL manufacturing is classified under NAICS 335110, ‘‘Electric Lamp Bulb and Part 

Manufacturing.’’ The SBA sets a threshold of 1,000 employees or less for an entity to be 

considered as a small business for this category. 

In the 2009 rulemaking that set standards for GSFLs and IRLs, DOE identified 12 

companies as potential small business manufacturers of GSFLs and IRLs covered by standards. 

After further research including interviews with companies, DOE identified only one company 

as a small business manufacturer of covered GSFLs and no company as a small business 

manufacturer of covered IRLs. 74 FR 34080, 34174 (July 14, 2009) Through an analysis 

conducted in this rulemaking, DOE identified six small business manufacturers of covered 

GSILs (see below for further details). Since DOE does not anticipate the proposed incorporation 

of updated versions of the industry test methods for GSFLs, GSILs, and IRLs would result in 

significant changes in test setup and methodology, DOE does not expect a significant economic 

impact on small business manufacturers of GSFLs, GSILs and IRLs. 
40 

DOE conducted further analysis to determine that the proposed new test procedure 

provisions for testing GSIL lifetime would not have a significant impact on small business 

manufacturers of GSILs. DOE compiled a preliminary list of potential small business 

manufacturers of GSILs by searching Hoover’s and the SBA databases and referencing a list of 

small business manufacturers for GSILs identified in the 2009 rulemaking for GSFLs and 

IRLs.35 DOE then determined if the companies actually manufactured GSILs by reviewing the 

company website and/or calling the company. Through this process, DOE was able to identify 

six small business U.S. manufacturers of GSILs. 

DOE then estimated the cost of testing GSIL lifetime for a certain number of lamps. The 

initial setup for lamp lifetime testing can take from one day (if using sockets attached to an 

Edison plug and power strips) to two weeks (for a custom-built rack). The cost for a custom-built 

rack that can accommodate up to 100 lamps could be about $3,000. DOE understands that 

manufacturers of GSILs would already have the other necessary testing instrumentation, because 

this same equipment is used for determination of GSIL efficacy. 

In addition to materials, labor also contributes to the overall testing burden of GSIL 

lifetime testing. The GSIL lifetime test procedure requires accurate monitoring of operating time 

and checking for lamp failure at intervals of 0.5 percent of the rated lifetime (e.g.

 

35 The list had been compiled in the advanced notice of proposed rulemaking (ANOPR) stage of the rulemaking for 

GSFLs and IRLs, at which point proposing standards for GSILs was within the scope of the rulemaking. (See 

Chapter 3 of the ANOPR TSD; available at: 

, five-hour 

intervals for a lamp with a rated lifetime of 1000 hours). Rather than have a technician inspect 

the lamp at the end of each interval, a still camera with a programmable snapshot system to 

http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/lamps_anopr_tsd/lamps_tsd_chap3.pdf)
41 

record lamp operation can reduce the labor cost. Alternatively, a test lab could monitor operating 

time using a baffled photodiode pointing at each lamp location with a software program reading 

photodiode signals at regular intervals. This method, would increase initial costs by requiring 

equipment costing about $18,000 to $20,000 per 100 lamps and a one-time setup that could take 

at least a month with three full-time staff, but which would reduce overall labor costs. 

DOE based its estimates of labor costs on the still camera method, as it expects more 

laboratories to have this capability. About three hours per week would be required to review 

images of 100 lamps, and assuming the typical average rated lifetime of 1,000 hours, it would 

require six weeks to conduct a lifetime test of a lamp. Therefore, a total of 18 hours would be 

required to conduct lifetime testing for 100 lamps. DOE used the labor rate of $100 per hour and 

a sampling size of 20 lamps (see section III.D). DOE surveyed small manufacturers of GSILs to 

determine a number of models produced per year by a typical small business. Based on the six 

responses received, DOE determined that small manufacturers are producing anywhere from four 

to 50 models of GSILs, with an average of 30 models.36

 

36 As noted, these findings were based on a survey of six small manufacturers of GSIL. Only a few manufacturers 

had models that would meet these standards at this time. However, the survey accounted for all covered GSIL 

models regardless of whether or not they would meet the EISA 2007 standards for GSIL, under the assumption that 

manufacturers will eventually be producing a comparable number of compliant models. 

Based on these parameters, the labor 

costs of GSIL lifetime testing for one reporting period is estimated to be $1,800 for four models, 

$10,800 for 30 models, and $18,000 for 50 models. In addition, if manufacturers need to build 

100-lamp custom test racks, the initial cost setup is estimated to be $3,000 for four models (one 

test rack), $18,000 for 30 models (six test racks), and $30,000 for 50 models (10 test racks).

However, DOE believes that most GSIL manufacturers would already have sufficient testing 

racks for their own internal uses and for FTC labeling requirement testing. 
42 

For the maximum number of 50 models, assuming testing apparatus is already available, 

the labor costs to carry out testing to demonstrate all products comply with standards would be 

approximately $18,000. In subsequent years, testing costs would be much smaller, likely less 

than 10 percent of the initial cost, because only new products or redesigned products would need 

to be tested. Assuming a conservative estimate of $1 million in revenue for a small business, 

initial testing costs would represent about two percent of revenue, but when amortized over 

subsequent years with little or no testing, testing costs would represent less than one percent of 

revenue. In addition, some businesses may already have lifetime data that could be used for 

compliance purposes from previously completed FTC labeling testing. Based upon its 

comparison of estimated revenue to estimated testing costs, DOE has tentatively concluded that 

labor costs would not be significant enough to pose a substantial burden on small manufacturers. 

DOE requests comments on its analysis of initial setup and labor costs for conducting lifetime 

testing of GSILs (see Issue 9 in section V.E).

In this NOPR, DOE is also proposing to require test facilities conducting GSIL lifetime 

and efficacy compliance testing to be NVLAP accredited or accredited by an organization 

recognized by NVLAP. If accreditation were sought for the first time, DOE has determined that 

NVLAP imposes fees of $9,000 and $8,000 on years one and two of accreditation. For the years 

following, the fees alternate between $5,000 and $8,000, with the $8,000 fee corresponding to 

the on-site evaluation required every other year. However, DOE does not expect this requirement 

to impose a significant burden for most manufacturers, because efficacy testing of GSILs is 
43 

already required to take place at a laboratory accredited either by NVLAP or a NVLAPrecognized organization (see section III.D.6). 

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 SBA for review under 5 U.S.C. 605(b). DOE certifies that this rule 

would have no significant impact on a substantial number of small entities. DOE seeks comment 

regarding whether the proposed amendments in today’s rule would have a significant economic 

impact on any small entities (see Issue 9 in section V.E).

C. Review Under the Paperwork Reduction Act of 1995

Manufacturers of GSFLs, GSILs, and IRLs must certify to DOE that their products 

comply with any applicable energy conservation standard. In certifying compliance, 

manufacturers must test their products according to the DOE test procedure for GSFLs, GSILs, 

or IRLs, including any amendments adopted for that test procedure. DOE has established

regulations for the certification and recordkeeping requirements for all covered consumer 

products and commercial equipment, including GSFLs, GSILs, and IRLs. 76 FR 12422 (March 

7, 2011). The collection-of-information requirement for the certification and recordkeeping is 

subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This 

requirement has been approved by OMB. Public reporting burden for the certification is 

estimated to average 20 hours per response, including the time for reviewing instructions, 

searching existing data sources, gathering and maintaining the data needed, and completing and 

reviewing the collection of information.
44 

D.

Notwithstanding any other provision of the law, no person is required to respond to, nor 

shall any person be subject to a penalty for failure to comply with, a collection of information 

subject to the requirements of the PRA, unless that collection of information displays a currently 

valid OMB Control Number. 

In this proposed rule, DOE proposes test procedure amendments that it expects would be 

used to develop and implement future energy conservation standards for GSFLs, GSILs, and 

IRLs. DOE has determined that this rule falls into a class of actions that are categorically 

excluded from review under the National Environmental Policy Act of 1969 (Pub. L. 91-190, 

codified at 42 U.S.C. 4321 

Review Under the National Environmental Policy Act of 1969

et seq.) and DOE’s implementing regulations at 10 CFR part 1021. 

Specifically, this proposed rule would amend the existing test procedures without affecting the 

amount, quality, or distribution of energy usage, and, therefore, would not result in any 

environmental impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 under 10 

CFR part 1021, subpart D, Appendix A, which applies to any rulemaking that interprets or 

amends an existing rule without changing the environmental effect of that rule. Accordingly, 

neither an environmental assessment nor an environmental impact statement is required. 
45 

E.

Executive Order 13132, “Federalism,” 64 FR 43255 (August 10, 1999), imposes certain 

requirements on agencies formulating and implementing policies or regulations that preempt 

State law or that have Federalism implications. The Executive Order requires agencies 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. The 

Executive Order also requires agencies to have an accountable process to ensure meaningful and 

timely input by State and local officials in the development of regulatory policies that have 

Federalism implications. On March 14, 2000, DOE published a statement of policy describing 

the intergovernmental consultation process it will follow in the development of such regulations. 

65 FR 13735. DOE has examined this proposed rule and has determined that it 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. EPCA governs and prescribes Federal preemption of State regulations as to energy 

conservation for the products that are the subject of today’s proposed rule. States can petition 

DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. 

(42 U.S.C. 6297(d)) No further action is required by Executive Order 13132. 

 Review Under Executive Order 13132

F.

Regarding the review of existing regulations and the promulgation of new regulations, 

section 3(a) of Executive Order 12988, “Civil Justice Reform,” 61 FR 4729 (Feb. 7, 1996), 

Review Under Executive Order 12988
46 

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 (4) promote 

simplification and burden reduction. 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) 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, this rule meets the relevant standards of Executive Order 12988. 

G.

Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Pub. L. 104-4, codified 

at 2 U.S.C. 1501, 

Review Under the Unfunded Mandates Reform Act of 1995

et seq.) requires each Federal agency to assess the effects of Federal regulatory 

actions on State, local, and Tribal governments and the private sector. For a proposed regulatory 

action likely to result in a rule that may cause the expenditure by State, local, and Tribal 

governments, in the aggregate, or by the private sector, of $100 million or more in any one year 

(adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a 
47 

written statement that estimates the resulting costs, benefits, and other effects on the national 

economy. (2 U.S.C. 1532(a), (b)) Section 204 of 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,” and requires an agency 

plan for giving notice and opportunity for timely input to potentially affected small governments 

before establishing any requirements 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 www.gc.doe.gov. DOE examined today’s 

proposed rule according to UMRA and its statement of policy and determined that the rule 

contains neither an intergovernmental mandate, nor a mandate that may result in the expenditure 

of $100 million or more in any year. Accordingly, no further assessment or analysis is required 

under the Unfunded Mandates Reform Act of 1995. 

H. Review Under the

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 rule that 

may affect family well-being. This proposed rule to amend DOE test procedures would not have 

any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has 

concluded that it is not necessary to prepare a Family Policymaking Assessment. 

Treasury and General Government Appropriations Act, 1999
48 

I.

DOE has determined under Executive Order 12630, “Governmental Actions and 

Interference with Constitutionally Protected Property Rights” 53 FR 8859 (March 18, 1988), that 

this proposed regulation would not result in any takings that might require compensation under 

the Fifth Amendment to the U.S. Constitution. 

Review Under Executive Order 12630

J.

Section 515 of the Treasury and General Government Appropriations Act, 2001 (Pub. L. 

106-554, codified at 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 (Feb. 22, 2002), 

and DOE’s guidelines were published at 67 FR 62446 (Oct. 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.

 Review Under Treasury and General Government Appropriations Act, 2001

K.

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 is 

Review Under Executive Order 13211
49 

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 to amend the test procedure for measuring the energy 

efficiency of GSFLs, GSILs, and IRLs is not a significant regulatory action under Executive 

Order 12866 or any successor order. Moreover, it would not have a significant adverse effect on 

the supply, distribution, or use of energy, nor has it been designated as a significant energy 

action by the Administrator of OIRA. Therefore, DOE has tentatively determined that this rule

is not a significant energy action, and, accordingly, DOE has not prepared a Statement of Energy 

Effects.

L.

Under section 301 of the Department of Energy Organization Act (Pub. L. 95–91; 42 

U.S.C. 7101 

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

et seq.), DOE must comply with all laws applicable to the former Federal Energy 

Administration, including section 32 of the Federal Energy Administration Act of 1974, as 

amended by the Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 788; 
50 

FEAA) Section 32 essentially provides in relevant part that, where a proposed rule authorizes or 

requires use of commercial standards, the notice of proposed rulemaking must inform the public 

of the use and background of such standards. In addition, section 32(c) requires DOE to consult 

with the Attorney General and the Chairman of the Federal Trade Commission (FTC) concerning 

the impact of the commercial or industry standards on competition. 

The proposed rule would incorporate testing methods contained in the following 

commercial standards: IES LM-9-2009, “IES Approved Method for Electrical and Photometric 

Measurements of Fluorescent Lamps;” IES LM-45-2009, “IES Approved Method for Electrical 

and Photometric Measurement of General Service Incandescent Filament Lamps;” IESNA LM49-2001, “IESNA Approved Method for Life Testing of Incandescent Filament Lamps;” and 

ANSI C78.81-2010, “American National Standard for Electric Lamps—Double-Capped 

Fluorescent Lamps—Dimensional and Electrical Characteristics.” The Department has evaluated 

these standards and is unable to conclude whether they fully comply with the requirements of 

section 32(b) of the FEAA, (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.

V. Public Participation
51 

A.

The time, date, and location of the public meeting are listed in the DATES and 

ADDRESSES sections at the beginning of this document. If you plan to attend the public 

meeting, please notify Ms. Brenda Edwards at (202) 586-2945 or 

Attendance at the Public Meeting

Brenda.Edwards@ee.doe.gov. 

Please also note that those wishing to bring laptops into the Forrestal Building will be required to 

obtain a property pass. Visitors should avoid bringing laptops, or allow an extra 45 minutes. As 

explained in the ADDRESSES section, foreign nationals visiting DOE Headquarters are subject 

to advance security screening procedures. 

In addition, you can attend the public meeting via webinar. Webinar registration 

information, participant instructions, and information about the capabilities available to webinar 

participants will be published on DOE’s website at: 

www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html.

Participants are responsible for ensuring their systems are compatible with the webinar software.

B.

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 

 Procedure for Submitting Requests to Speak and Prepared General Statements For

Distribution

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, 
52 

Building Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 

Washington, DC 20585-0121, or Brenda.Edwards@ee.doe.gov. Persons who wish to speak 

should include with their request a computer diskette or CD-ROM 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. Such persons should also provide a daytime 

telephone number where they can be reached. 

DOE requests persons selected to make an oral presentation to submit an advance copy of 

their statements at least one week before the public meeting. DOE may permit persons who 

cannot supply an advance copy of their statement to participate, if those persons have made 

advance alternative arrangements with the Building Technologies Program. As necessary, 

requests to give an oral presentation should ask for such alternative arrangements.

Any person who has plans to present a prepared general statement may request that 

copies of his or her statement be made available at the public meeting. Such persons may submit 

requests, along with an advance electronic copy of their statement in PDF (preferred), Microsoft 

Word or Excel, WordPerfect, or text (ASCII) file format, to the appropriate address shown in the 

ADDRESSES section at the beginning of this notice. The request and advance copy of 

statements must be received at least one week before the public meeting and may be emailed, 

hand-delivered, or sent by mail. DOE prefers to receive requests and advance copies via email. 

Please include a telephone number to enable DOE staff to make a follow-up contact, if needed.
53 

C.

DOE will designate a DOE official to preside at the public meeting and may also use a 

professional facilitator to aid discussion. The meeting will not be a judicial or evidentiary-type 

public hearing, but DOE will conduct it in accordance with section 336 of EPCA (42 U.S.C. 

6306). A court reporter will be present to record the proceedings and prepare a transcript. DOE 

reserves the right to schedule the order of presentations and to establish the procedures governing 

the conduct of the public meeting. There shall not be discussion of proprietary information, 

costs or prices, market share, or other commercial matters regulated by U.S. anti-trust laws. 

After the public meeting, interested parties may submit further comments on the proceedings as 

well as on any aspect of the rulemaking until the end of the comment period. 

 Conduct of Public Meeting

The public meeting will be conducted in an informal, conference style. DOE will present 

summaries of comments received before the public meeting, allow time for prepared general 

statements by participants, and encourage all interested parties to share their views on issues 

affecting this rulemaking. Each participant will be allowed to make a general statement (within 

time limits determined by DOE), before the discussion of specific topics. DOE will permit, as 

time permits, other participants to comment briefly on any general statements. 

At the end of all prepared statements on a topic, DOE will permit participants to clarify 

their statements briefly and comment on statements made by others. Participants should be 

prepared to answer questions by DOE and by other participants concerning these issues. DOE 

representatives may also ask questions of participants concerning other matters relevant to this 

rulemaking. The official conducting the public meeting will accept additional comments or 
54 

questions from those attending, as time permits. The presiding official will announce any further 

procedural rules or modification of the above procedures that may be needed for the proper 

conduct of the public meeting. 

A transcript of the public meeting will be posted on the DOE website and will be 

included in the docket, which can be viewed as described in the Docket section at the beginning 

of this notice. In addition, any person may buy a copy of the transcript from the transcribing 

reporter. 

D.

DOE will accept comments, data, and information regarding this proposed rule before or 

after the public meeting, but no later than the date provided in the DATES section at the 

beginning of this proposed rule. Interested parties may submit comments using any of the 

methods described in the ADDRESSES section at the beginning of this notice. 

 Submission of Comments

Submitting comments via www.regulations.gov. The www.regulations.gov web page will 

require you to provide your name and contact information. Your contact information will be 

viewable to DOE Building Technologies staff only. Your contact information will not be 

publicly viewable except for your first and last names, organization name (if any), and submitter 

representative name (if any). If your comment is not processed properly because of technical 

difficulties, DOE will use this information to contact you. If DOE cannot read your comment due 

to technical difficulties and cannot contact you for clarification, DOE may not be able to 

consider your comment.
55 

However, your contact information will be publicly viewable if you include it in the 

comment or in any documents attached to your comment. Any information that you do not want 

to be publicly viewable should not be included in your comment, nor in any document attached 

to your comment. Persons viewing comments will see only first and last names, organization 

names, correspondence containing comments, and any documents submitted with the comments. 

Do not submit to www.regulations.gov information for which disclosure is restricted by 

statute, such as trade secrets and commercial or financial information (hereinafter referred to as 

Confidential Business Information (CBI)). Comments submitted through www.regulations.gov

cannot be claimed as CBI. Comments received through the website will waive any CBI claims 

for the information submitted. For information on submitting CBI, see the Confidential Business 

Information section. 

DOE processes submissions made through www.regulations.gov before posting. 

Normally, comments will be posted within a few days of being submitted. However, if large 

volumes of comments are being processed simultaneously, your comment may not be viewable 

for up to several weeks. Please keep the comment tracking number that www.regulations.gov

provides after you have successfully uploaded your comment. 

Submitting comments via email, hand delivery, or mail. Comments and documents submitted 

via email, hand delivery, or mail also will be posted to www.regulations.gov. If you do not want 

your personal contact information to be publicly viewable, do not include it in your comment or 
56 

any accompanying documents. Instead, provide your contact information on a cover letter. 

Include your first and last names, email address, telephone number, and optional mailing 

address. The cover letter will not be publicly viewable as long as it does not include any 

comments. 

Include contact information each time you submit comments, data, documents, and other 

information to DOE. Email submissions are preferred. If you submit via mail or hand delivery, 

please provide all items on a compact disc (CD), if feasible, in which case it is not necessary to 

submit printed copies. No telefacsimiles (faxes) will be accepted.

 

Comments, data, and other information submitted to DOE electronically should be 

provided in PDF (preferred), Microsoft Word or Excel, WordPerfect, or text (ASCII) file format. 

Provide documents that are not secured, written in English, and are free of any defects or viruses. 

Documents should not contain special characters or any form of encryption and, if possible, they 

should carry the electronic signature of the author. 

Campaign form letters. Please submit campaign form letters by the originating organization in 

batches of between 50 to 500 form letters per PDF or as one form letter with a list of supporters’ 

names compiled into one or more PDFs. This reduces comment processing and posting time. 

Confidential Business Information. Pursuant 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 via email, postal mail, or hand delivery two well-marked copies: one copy of the 
57 

document marked confidential including all the information believed to be confidential, and one 

copy of the document marked non-confidential with the information believed to be confidential 

deleted. Submit these documents via email or on a CD, if feasible. DOE will make its own 

determination about the confidential status of the information and treat it according to its 

determination.

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 by or available from other 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) when 

such information might lose its confidential character due to the passage of time; and (7) why 

disclosure of the information would be contrary to the public interest.

It is DOE’s policy that all comments may be included in the public docket, without 

change and as received, including any personal information provided in the comments (except 

information deemed to be exempt from public disclosure). 

E.

Although DOE welcomes comments on any aspect of this proposal, DOE is particularly 

interested in receiving comments and views of interested parties concerning the following issues: 

Issues on Which DOE Seeks Comment
58 

1. DOE’s requests comments on all aspects of DOE’s test procedures for GSFL, GSIL, and IRL

See section III.A for further detail. 

2. For GSFL test procedures, DOE requests comments on its proposed incorporation of IES 

LM-9-2009, and its tentative conclusion that the update would neither significantly affect

measured lamp efficacy nor increase testing burden. In particular, DOE requests comments 

on the impact on lamp efficacy of high-frequency testing amendments and modifications to 

the lamp stabilization procedure in LM-9-2009. See section III.B.2 for further detail. 

3. For GSIL test procedures, DOE requests comments on its proposed incorporation of IES LM45-2009, and its tentative conclusion that the update would neither significantly affect lamp 

efficacy values nor impose undue testing burden. See section III.B.3 for further detail. 

4. DOE requests comment on whether any amendments to the IRL test procedure are necessary. 

See section III.C for further detail. 

5. For GSIL lifetime test procedures, DOE requests comments on its proposal to incorporate by 

reference IESNA LM-49-2001 as the basis for GSIL lifetime testing. See section III.D.1 for 

further detail.

6. For GSIL lifetime test procedures, DOE requests comments on its proposal to disallow 

accelerated lifetime testing as part of the GSIL test procedure. See section III.D.2 for further 

detail.

7. DOE requests comments on its proposal to require a minimum sample size of 20 lamps for 

GSIL lifetime measurements. See section III.D.4 for further detail.

8. For GSIL lifetime test procedures, DOE requests comment on its proposal regarding GSIL 

certification filing requirements. See section III.D.6 for further detail.
59 

9. DOE seeks comment regarding whether the proposed amendments in today’s rule would 

have a significant economic impact on any small entities. In particular, DOE requests 

comments on its preliminary analysis of initial setup and labor costs for conducting lifetime 

testing of GSILs. See section IV.B for further detail.

VI. Approval of the Office of the Secretary

The Secretary of Energy has approved publication of this notice of proposed rulemaking. 

List of Subjects in 10 CFR Part 429 

Administrative practice and procedure, Buildings and facilities, Business and industry, 

Energy conservation, Grants programs -- energy, Housing, Reporting and recordkeeping 

requirements, Technical assistance.
60 

10 CFR Part 430 

Administrative practice and procedure, Confidential business information, Energy 

conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental 

relations, Small businesses.

Issued in Washington, DC, September 6, 2011. 

________________________________ 

Kathleen B. Hogan

Deputy Assistant Secretary for Energy Efficiency

Office of Technology Development 

Energy Efficiency and Renewable Energy
61 

For the reasons stated in the preamble, DOE is proposing to amend parts 429 and 430 of 

Chapter II of Title 10, Subchapter D of the Code of Federal Regulations to read as set forth 

below: 

PART 429—CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR 

CONSUMER PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT

1. The authority citation for part 429 continues to read as follows: 

Authority: 42 U.S.C. 6291-6317. 

2. Section 429.12 is amended by 

a. Revising paragraph (e)(2); and

b. Adding new paragraph (i)(7); 

The revisions and additions to paragraphs (e)(2) and (i)(7) read as follows: 

§429.12 General requirements applicable to certification reports. 

* * * * * 

(e) * * * 

(2) For general service fluorescent lamps, incandescent reflector lamps, or general service 

incandescent lamps: Prior to or concurrent with the distribution of a new basic model, each 

manufacturer shall submit an initial certification report listing the basic model number, lamp 

wattage, and date of first manufacture (i.e., production date) for that basic model. The 
62 

certification report must also state how the manufacturer determined that the lamp meets or 

exceeds the energy conservation standards, including a description of any testing or analysis the 

manufacturer performed. Manufacturers of general service fluorescent lamps, incandescent 

reflector lamps, and general service incandescent lamps must submit the certification report 

required by paragraph (b) of this section within one year after the first date of new model 

manufacture. 

* * * * * 

(i)(7) * * * 

(7) General service incandescent lamps, (date to be inserted 180 days from publication of test 

procedure final rule). 

* * * * * 

3. Section 429.27 is amended by 

a. Removing in section (a)(2)(i) “, general service incandescent lamp,”;

b. Adding in section (a)(2)(ii) “and general service incandescent lamp” after “general 

service fluorescent lamp” and replacing “paragraph (a)(2)(i)” with “paragraphs (a)(2)(i) 

and (a)(2)(iii)”; 

c. Adding new paragraphs (a)(2)(iii) and (a)(2)(iv); and 

d. Revising paragraph (b)(2)(iii).

The revisions and additions to paragraphs (a)(2)(iii), (a)(2)(iv), and (b)(2)(iii) read as follows:

§429.27 General service fluorescent lamps, general service incandescent lamps, and 

incandescent reflector lamps.
63 

(a) * * * 

(2)(i) * * * 

* * * * * 

(iii) For each basic model of general service incandescent lamp, for measurements of rated 

wattage and rated lumen output, samples of production lamps shall be obtained from a 12-month 

period, tested, and the results averaged. A minimum sample of 21 lamps shall be tested. The 

manufacturer shall randomly select a minimum of three lamps from each month of production 

for a minimum of 7 out of the 12-month period. In the instance where production occurs during 

fewer than 7 of such 12 months, the manufacturer shall randomly select 3 or more lamps from 

each month of production, where the number of lamps selected for each month shall be 

distributed as evenly as practicable among the months of production to attain a minimum sample 

of 21 lamps. Any represented value of rated wattage of a basic model shall be based on the 

sample and shall be greater than or equal to the higher of:

(A) The mean of the sample, where:

and, is the sample mean; n is the number of samples; and xi is the ith

(B) The upper 95 percent confidence limit (UCL) of the true mean divided by 1.03, where: 

sample; Or, 

and is the sample mean; s is the sample standard deviation; n is the number of samples; and 

t0.95 is the t statistic for a 95% two-tailed confidence interval with n-1 degrees of freedom (from 

Appendix A).
64 

(iv) For each basic model of general service incandescent lamp, for measurements of rated 

lifetime, a minimum sample of 20 lamps shall be tested. The manufacturer shall randomly select 

a minimum of two lamps from each month of production for a minimum of 7 out of the 12-

month period. In the instance where production occurs during fewer than 7 of such 12 months, 

the manufacturer shall randomly select two or more lamps from each month of production, 

where the number of lamps selected for each month shall be distributed as evenly as practicable 

among the months of production to attain a minimum sample of 20 lamps. The lifetime shall be 

represented as the length of operating time between first use and failure of 50 percent of the 

sample size, in accordance with test procedures described in section 4.2 of Appendix R of this 

subpart. 

* * * * * 

(b) Certification reports. (1) * * * 

(2) * * * 

(iii) General service incandescent lamps: The testing laboratory's National Voluntary 

Laboratory Accreditation Program (NVLAP) identification number or other NVLAP-approved 

accreditation identification, production dates of the units tested, the rated wattage in watts (W), 

the rated lifetime (hours), and the Color Rendering Index (CRI). 

* * * * * 

 PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS

4. The authority citation for part 430 continues to read as follows: 
65 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. 

5. Section 430.2 is amended by: 

a. Removing in paragraph (2) of the definition of “colored fluorescent lamp” the words “IESNA 

LM–9” and adding in its place “IES LM–9”; and

b. Adding in alphabetical order the definition of “Rated lifetime for general service incandescent 

lamps”.

The addition reads as follows: 

§ 430.2 Definitions.

* * * * * 

Rated lifetime for general service incandescent lamps means the length of operating time of a 

sample of lamps (as defined in §429.27(a)(2)(iv)) between first use and failure of 50 percent of 

the sample size in accordance with test procedures described in IESNA LM-49, (incorporated by 

reference; see §430.3), as determined in section 4.2 of Appendix R of this subpart. 

* * * * * 

6. Section 430.3 is amended by:

a. Removing paragraph (c)(5) and redesignating paragraphs (c)(6) through (c)(17) as (c)(5) 

through (c)(16); 

b. Revising the new paragraph (c)(5); 

c. Revising paragraphs (k)(2) and (k)(5); and 

d. Redesignating paragraph (k)(6) as (k)(7) and adding new paragraph (k)(6). 
66 

The revisions and additions read as follows: 

§ 430.3 Materials incorporated by reference.

* * * * * 

(c) ANSI

* * * * * 

. * * * 

 (5) ANSI_ANSLG C78.81–2010, Revision of ANSI_IEC C78.81-2005 (‘‘ANSI C78.81’’), 

American National Standard for Electric Lamps—Double-Capped Fluorescent Lamps— 

Dimensional and Electrical Characteristics, approved January 14, 2010, IBR approved for 

§430.2, §430.32, Appendix Q, Appendix Q1, and Appendix R to Subpart B. 

* * * * * 

(k) IESNA. * * * 

* * * * * 

(2) IES LM–9–09, Revision of IESNA LM-9-99 (“LM–9”), IES Approved Method for the 

Electrical and Photometric Measurement of Fluorescent Lamps, approved January 31, 2009; IBR 

approved for §430.2 and Appendix R to Subpart B. 

* * * * * 

(5) IES LM–45–09, Revision of IESNA LM-45-00 (“LM–45”), IES Approved Method for the 

Electrical and Photometric Measurement of General Service Incandescent Filament Lamps, 

approved December 14, 2009; IBR approved for Appendix R to Subpart B. 

(6) IESNA LM-49-01 (“LM-49”), IESNA Approved Method for Life Testing of Incandescent 

Filament Lamps, approved December 1, 2001, IBR approved for Appendix R to Subpart B. 

* * * * * 
67 

7. Section 430.23 is amended by adding paragraph (r)(6) to read as follows: 

§ 430.23 Test procedures for the measurement of energy and water consumption.

* * * * * 

(r) * * * 

(6) The rated lifetime for general service incandescent lamps shall be equal to the length of 

operating time of a sample of lamps (as defined in §429.27(a)(2)(iv)) between first use and 

failure of 50 percent of the sample size in accordance with test procedures described in section 

4.2 of Appendix R of this subpart. 

* * * * * 

8. Section 430.25 is revised to read as follows: 

§ 430.25 Laboratory Accreditation Program. 

Testing for fluorescent lamp ballasts performed in accordance with appendix Q1 to this 

subpart shall comply with this § 430.25. 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. 
68 

NVLAP standards for accreditation of laboratories that test for compliance with standards for 

fluorescent lamp ballast luminous efficiency (BLE), lamp efficacy, lamp lifetime, and 

fluorescent lamp CRI are set forth in 15 CFR part 285. A manufacturer's or importer's own 

laboratory, if accredited, may conduct the applicable testing. Testing for BLE may also be 

conducted by laboratories accredited by Underwriters Laboratories or Council of Canada. 

Testing for fluorescent lamp ballasts performed in accordance with Appendix Q to this subpart is 

not required to be conducted by test laboratories accredited by NVLAP or an accrediting 

organization recognized by NVLAP. 

9. Appendix Q to subpart B of part 430 is amended by revising sections 1.5 through 1.10 and 2.1 

to read as follows: 

Appendix Q to Subpart B of Part 430—Uniform Test Method for Measuring the Energy 

Consumption of Fluorescent Lamp Ballasts

1. Definitions

* * * * * 

1.5 F40T12 lamp

1.6 

 means a nominal 40 watt tubular fluorescent lamp which is 48 inches in length 

and one and a half inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881–ANSI–

1010–1) (incorporated by reference; see §430.3). 

F96T12 lamp means a nominal 75 watt tubular fluorescent lamp which is 96 inches in length 

and one and one-half inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881–

ANSI–3007–1) (incorporated by reference; see §430.3). 
69 

1.7 F96T12HO lamp

1.8 

 means a nominal 110 watt tubular fluorescent lamp that is 96 inches in 

length and 11/2inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881–ANSI–

1019–1) (incorporated by reference; see §430.3). 

F34T12 lamp

1.9 

 (also known as a “F40T12/ES lamp”) means a nominal 34 watt tubular 

fluorescent lamp that is 48 inches in length and 11/2inches in diameter, and conforms to ANSI 

C78.81 (Data Sheet 7881–ANSI–1006–1) (incorporated by reference; see §430.3). 

F96T12/ES lamp

1.10 

 means a nominal 60 watt tubular fluorescent lamp that is 96 inches in 

length and 11/2inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881–ANSI–

3006–1) (incorporated by reference; see §430.3). 

F96T12HO/ES lamp

* * * * * 

 means a nominal 95 watt tubular fluorescent lamp that is 96 inches in 

length and 11/2inches in diameter, and conforms to ANSI C78.81 (Data Sheet 7881–ANSI–

1017–1) (incorporated by reference; see §430.3). 

2. Test Conditions. 

2.1 Measurement of Active Mode Energy Consumption, BEF. The test conditions for testing 

fluorescent lamp ballasts shall be done in accordance with ANSI C82.2 (incorporated by 

reference; see §430.3). Any subsequent amendment to this standard by the standard setting 

organization will not affect the DOE test procedures unless and until amended by DOE. The test 

conditions for measuring active mode energy consumption are described in sections 4, 5, and 6 

of ANSI C82.2. The test conditions described in this section (2.1) are applicable to section 3.1 of 

section 3, Test Method and Measurements. For section 2.1 and 3, ANSI C78.81 (incorporated by 

reference; see §430.3), ANSI C82.1 (incorporated by reference; see §430.3), ANSI C82.11 

(incorporated by reference; see §430.3), and ANSI C82.13 (incorporated by reference; see 
70 

§430.3) shall be used when applying ANSI C82.2 instead of the versions listed as normative 

references in ANSI C82.2. 

* * * * * 

10. Appendix Q1 to subpart B of part 430 is amended by revising sections 2.1, 2.3.1, and 2.4.1 to 

read as follows: 

Appendix Q1 to Subpart B of Part 430—Uniform Test Method for Measuring the Energy 

Consumption of Fluorescent Lamp Ballasts

* * * * * 

2. Active Mode Procedure

2.1. Where ANSI C82.2 (incorporated by reference; see §430.3) references ANSI C82.1–1997, 

the operator shall use ANSI C82.1 (incorporated by reference; see §430.3) for testing lowfrequency ballasts and shall use ANSI C82.11 (incorporated by reference; see §430.3) for testing 

high-frequency ballasts. In addition, ANSI C78.81 (incorporated by reference; see §430.3), 

ANSI C82.1 (incorporated by reference; see §430.3), ANSI C82.11 (incorporated by reference; 

see §430.3), and ANSI C82.13 (incorporated by reference; see §430.3) shall be used when 

applying ANSI C82.2 instead of the versions listed as normative references in ANSI C82.2. 

* * * * * 

2.3. Test Setup
71 

2.3.1. The ballast shall be connected to a main power source and to the fluorescent lamp load 

according to the manufacturer's wiring instructions and ANSI C82.1 (incorporated by reference; 

see §430.3) and ANSI C78.81 (incorporated by reference; see §430.3). 

* * * * * 

2.4. Test Conditions

2.4.1. The test conditions for testing fluorescent lamp ballasts shall be done in accordance with 

ANSI C82.2 (incorporated by reference; see §430.3). DOE further specifies that the following 

revisions of the normative references indicated in ANSI C82.2) should be used in place of the 

references directly specified in ANSI C82.2: ANSI C78.81 (incorporated by reference; see 

§430.3), ANSI C82.1 (incorporated by reference; see §430.3), ANSI C82.3 (incorporated by 

reference; see §430.3), ANSI C82.11 (incorporated by reference; see §430.3), and ANSI C82.13 

(incorporated by reference; see §430.3). All other normative references shall be as specified in 

ANSI C82.2. 

* * * * * 

11. Appendix R to subpart B of part 430 is amended by: 

a. Revising sections 2.1, 2.9, 3.1, 3.2, 4.1.1, 4.2.1, 4.2.2, and , 4.4.1; and 

b. Adding new section 4.2.3 and 4.2.3.1; and 

c. Removing section 4.5. 

The revisions and additions read as follows: 
72 

Appendix R to Subpart B of Part 430—Uniform Test Method for Measuring Average 

Lamp Efficacy (LE), Color Rendering Index (CRI), Correlated Color Temperature (CCT), 

and Lamp Lifetime of Electric Lamps

* * * * * 

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 section 3.0 of IES LM–9 (incorporated by 

reference; see §430.3), section 3.0 of IESNA LM–20 (incorporated by reference; see §430.3), 

section 3.0 and the Glossary of IES LM–45 (incorporated by reference; see §430.3), section 2 of 

IESNA LM–58 (incorporated by reference; see §430.3), and Appendix 1 of CIE 13.3 

(incorporated by reference; see §430.3) shall be included. 

* * * * * 

2.9 Reference condition means the test condition specified in IES LM–9 (incorporated by 

reference; see §430.3) for general service fluorescent lamps, in IESNA LM–20 (incorporated by 

reference; see §430.3) for incandescent reflector lamps, and in IES LM–45 for general service 

incandescent lamps (incorporated by reference; see §430.3). 

3. Test Conditions

3.1 General Service Fluorescent Lamps: For general service fluorescent lamps, the ambient 

conditions of the test and the electrical circuits, reference ballasts, stabilization requirements, 

instruments, detectors, and photometric test procedure and test report shall be as described in the 

relevant sections of IES LM–9 (incorporated by reference; see §430.3). 
73 

3.2 General Service Incandescent Lamps: For general service incandescent lamps, the selection 

and seasoning (initial burn-in) of the test lamps, the equipment and instrumentation, and the test 

conditions shall be as described in IES LM–45 (incorporated by reference; see §430.3). 

* * * * * 

4. Test Methods and Measurements * * * 

4.1.1 The measurement procedure shall be as described in IES LM–9 (incorporated by 

reference; see §430.3), except that lamps shall be operated at the appropriate voltage and current 

conditions as described in ANSI C78.375 (incorporated by reference; see §430.3) and in ANSI 

C78.81 (incorporated by reference; see §430.3) or ANSI C78.901 (incorporated by reference; see 

§430.3), and lamps shall be operated using the appropriate reference ballast at input voltage 

specified by the reference circuit as described in ANSI C82.3 (incorporated by reference; see 

§430.3). If, for a lamp, both low-frequency and high-frequency reference ballast settings are 

included in ANSI C78.81 or ANSI C78.901, the lamp shall be operated using the low-frequency 

reference ballast. 

* * * * * 

4.2 General Service Incandescent Lamps

4.2.1 The measurement procedure shall be as described in IES LM–45 (incorporated by 

reference; see §430.3). Lamps shall be operated at the rated voltage as defined in §430.2. 

4.2.2 The test procedure shall conform to sections 6 and 7 of IES LM–45 (incorporated by 

reference; see §430.3), and the lumen output of the lamp shall be determined in accordance with 

section 7 of IES 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 
74 

and lamp electrical power input at equilibrium for the reference condition. The test report shall 

conform to section 8 of IES LM–45. 

4.2.3 The measurement procedure for testing the lifetime of general service incandescent lamps 

shall be as described in IESNA LM–49 (incorporated by reference; see §430.3). The lifetime 

measurement shall be taken by measuring the operating time of a lamp until failure, expressed in 

hours, not including any off time. The measured operating time shall be used to determine the 

rated lifetime, which is equal to the length of operating time between first use and failure of 50

percent of the sample size specified in §429.27. The rated lifetime shall be used to determine 

whether the lamp meets minimum rated lifetime standards (see §430.32 (x)(1)(A),(B)). 

4.2.3.1 Accelerated lifetime testing is not allowed. The second paragraph of section 6.1 of 

IESNA LM-49 (incorporated by reference; see §430.3) is to be disregarded. 

* * * * * 

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 13.3 

(incorporated by reference; see §430.3) for general service fluorescent lamps. The CCT shall be 

determined in accordance with the method specified in IES LM–9 (incorporated by reference; 

see §430.3) and rounded to the nearest 10 kelvin for general service fluorescent lamps. The CCT 

shall be determined in accordance with the CIE 15 (incorporated by reference; see §430.3) for 

incandescent lamps. The required spectroradiometric measurement and characterization shall be 

conducted in accordance with the methods set forth in IESNA LM–58 (incorporated by 

reference; see §430.3) 

* * * * *