APPENDIX 3A. LIGHTING DEFINITIONS IN THE UNITED STATES CODE AND

CODE O F FEDERAL REGULATIONS

TABLE O F CONTENTS

**3A.1 I**  **NTRODUCTION**

**.................................................................................................. 3A­1** 

**3A.1.1 General**  **Service Fluorescent**  **Lamps**

**....................................................................... 3A­1** 

**3A.1.1.1 United**  **States Code**  **Definitions............................................................. 3A­1** 

**3A.1.1.2 Code**  **of Federal**  **Regulations Definitions**  **in 10**  **CFR 430.2** 

**.................. 3A­2** 

**3A.1.2 Incandescent**  **Reflector Lamps** 

**................................................................................ 3A­4** 

**3A.1.2.1 United**  **States Code**  **Definitions............................................................. 3A­4** 

**3A.1.2.2 Code**  **of Federal**  **Regulations Definitions**  **in 10**  **CFR 430.2** 

**.................. 3A­7** 

**3A.1.3 All**  **Covered Lamps** 

**................................................................................................. 3A­8** 

**3A­i**APPENDIX 3A. USER INSTRUCTIONS FOR SHIPMENTS AND NIA

SPREADSHEETS

3A.1 I NTRODUCTION

**Appendix 3**  **A provides**  **definitions from**  **the United**  **States Code**  **(USC) and**  **Code of** 

**Federal Regulations**  **(CFR) for**  **the lamp**  **products covered**  **under this**  **rulemaking. (42**  **U.S.C.**

**6291(30); 10**  **CFR section**  **430.2) These**  **definitions do**  **not include**  **fluorescent lamp**  **definitions**

**associated with**  **fluorescent ballast**  **standards. In**  **addition, recent**  **amendments by**  **the Energy** 

**Independence and**  **Security Act**  **of 2007**  **have been**  **incorporated into**  **the following**  **USC**

**definitions, and**  **outdate definitions**  **in the**  **CFR pertaining**  **to general**  **service fluorescent**  **and**

**incandescent reflector**  **lamps have**  **been omitted.** 

3A.1.1 G eneral Service Fluorescent Lamps

3A.1.1.1 U nited States Code Definitions

**42 U**  **.S.C. 6291(30)(A)** 

Except as provided in subparagraph (E), the term “fluorescent lamp” means a low

pressure m ercury electric­discharge source in which a fluorescing coating transforms

some of the ultraviolet energy generated by the mercury discharge into light, including

only t he following:

(i) Any s traight­shaped lamp (commonly referred to as 4­foot medium bi­pin lamps)

with medium bi­pin bases of nominal overall length of 48 inches and rated

wattage of 28 or more. (ii) Any U ­shaped lamp (commonly referred to as 2­foot U­shaped lamps) with

medium bi­pin bases of nominal overall length between 22 and 25 inches and

rated wattage of 28 or more. (iii)Any r apid start lamp (commonly referred to as 8­foot high output lamps) with

recessed double contact bases of nominal overall length of 96 inches and 0.800

nominal amperes, as defined in ANSI C78.1­1978 and related supplements.

(iv) Any i nstant start lamp (commonly referred to as 8­foot slimline lamps) with single

pin bases of nominal overall length of 96 inches and rated wattage of 52 or more,

as defined in ANSI C78.3­1978 (R1984) and related supplement ANSI C78.3a1985.

**42 U**  **.S.C. 6291(30)(B)** 

The t erm “general service fluorescent lamp” means fluorescent lamps which can be used

to s atisfy the majority of fluorescent applications, but does not include any lamp designed

and m arketed for the following non­general lighting applications:

(i) Fluorescent l amps designed to promote plant growth.

(ii) Fluorescent l amps specifically designed for cold temperature installations.

(iii) Colored f luorescent lamps.

**3A­1**(iv) Impact­resistant f luorescent lamps.

(v) Reflectorized o r aperture lamps.

(vi) Fluorescent l amps designed for use in reprographic equipment.

(vii) Lamps p rimarily designed to produce radiation in the ultra­violet region of the

spectrum.

(viii) Lamps w ith a color rendering index of 87 or greater.

3A.1.1.2 C ode of Federal Regulations Definitions in 10 CFR 430.2

Basic m odel means all units of a given type of covered product (or class thereof)

manufactured by one manufacturer and—

* * * * *

(15) with r espect to general service fluorescent lamps, means lamps that have

essentially identical light output and electrical characteristics

– including lumens

per watt and color rendering index (CRI)

– and that do not have any differing

physical or functional characteristics that affect energy consumption or efficacy.

Cold t emperature fluorescent lamp means a fluorescent lamp specifically designed to

start at −20 [deg]F when used with a ballast conforming to the requirements of ANSI

Standard C78.1–1991, and is expressly designated as a cold temperature lamp both in

markings on the lamp and in marketing materials, including but not limited to catalogs,

sales literature, and promotional material.

Colored f luorescent lamp means a fluorescent lamp designated and marketed as a

colored lamp, and with either of the following characteristics: a CRI less than 40, as

determined according to the method given in CIE Publication 13.2 (see 10 CFR 430.22),

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

Fluorescent l amp means a low pressure mercury electric­discharge source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including only the following:

(1) Any s traight­shaped lamp (commonly referred to as 4­foot medium bi­pin lamps)

with medium bi­pin bases of nominal overall length of 48 inches and rated

wattage of 28 or more. (2) Any U ­shaped lamp (commonly referred to as 2­foot U­shaped lamps) with

medium bi­pin bases of nominal overall length between 22 and 25 inches and

rated wattage of 28 or more. (3) Any r apid start lamp (commonly referred to as 8­foot high output lamps) with

recessed double contact bases of nominal overall length of 96 inches and 0.800

nominal amperes, as defined in ANSI C78.1­1991.

**3A­2**(4) Any i nstant start lamp (commonly referred to as 8­foot slimline lamps) with single

pin bases of nominal overall length of 96 inches and rated wattage of 52 or more,

as defined in ANSI C78.3­1991.

Residential s traight­shaped lamp means a low pressure mercury electric­discharge

source in which a fluorescing coating transforms some of the ultraviolet energy generated by the mercury discharge into light, including a straight­shaped fluorescent

lamp with medium bi­pin bases of nominal overall length of 48 inches and is either

designed exclusively for residential applications; or designed primarily and marketed

exclusively for residential applications.

(1) A l amp is designed exclusively for residential applications if it will not function

for more than 100 hours with a commercial high­power­factor ballast.

(2) A l amp is designed primarily and marketed exclusively for residential

applications if it:

(i) Is p ermanently and clearly marked as being for residential use only;

(ii) Has a life of 6,000 hours or less when used with a commercial highpower­factor ballast;

(iii)Is n ot labeled or represented as a replacement for a fluorescent lamp that

is a covered product; and

(iv) Is m arketed and distributed in a manner designed to minimize use of the

lamp with commercial high­power­factor ballasts.

(3) A m anufacturer may market and distribute a lamp in a manner designed to

minimize use of the lamp with commercial high­power­factor ballasts by:

(i) Packaging a nd labeling the lamp in a manner that clearly indicates the

lamp is for residential use only and includes appropriate instructions

concerning proper and improper use; if the lamp is included in a catalog

or price list that also includes commercial/industrial lamps, listing the

lamp in a separate residential section accompanied by notes about proper

use on the same page; and providing as part of any express warranty

accompanying the lamp that improper use voids such warranty; or (ii) Using o ther comparably effective measures to minimize use with

commercial high­power­factor ballasts.

Rated w attage, with respect to 4­foot medium bi­pin T8, T10 or T12 lamps, means: (1) If t he lamp is listed in ANSI C78.1­1991, the nominal wattage of a lamp

determined by the lamp designation in Annex A.2 of ANSI C78.1­1991; or (2) If t he lamp is a residential straight­shaped lamp, the wattage a lamp consumes

when op erated on a reference ballast for which the lamp is designed; or (3) If t he lamp is neither listed in ANSI C78.1­1991 nor a residential straight­shaped

lamp, t he wattage a lamp consumes when using reference ballast characteristics

of 2 36 volts, 0.43 amps and 439 ohms for T10 or T12 lamps or reference ballast

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

**3A­3**3A.1.2 Incandescent Reflector Lamps

3A.1.2.1 U nited States Code Definitions

**42 U**  **.S.C. 6291(30)(C)** 

Except as provided in subparagraph (E), the term “incandescent lamp” means a lamp in

which l ight is produced by a filament heated to incandescence by an electric current,

including o nly the following:

(i) Any l amp (commonly referred to as lower wattage nonreflector general

service l amps, including any tungsten­halogen lamp) that has a rated

wattage b etween 30 and 199 watts, has an E26 medium screw base, has a

rated v oltage or voltage range that lies at least partially within 115 and

130 v olts, and is not a reflector lamp.

(ii) Any l amp (commonly referred to as a reflector lamp) which is not colored

or d esigned for rough or vibration service applications, that contains an

inner r eflective coating on the outer bulb to direct the light, an R, PAR,

ER, BR, BPAR or similar bulb shapes with E26 medium screw bases, a

rated v oltage or voltage range that lies at least partially within 115 and

130 v olts, a diameter which exceeds 2.25 inches, and has a rated wattage

that i s 40 watts or higher.

(iii) Any g eneral service incandescent lamp (commonly referred to as a highor h igher­wattage lamp) that has a rated wattage above 199 watts (above

205 w atts for a high wattage reflector lamp).

**42 U**  **.S.C. 6291(30)(F)** 

The t erm ““incandescent reflector lamp” means a lamp described in subparagraph

(C)(ii).

**42 U**  **.S.C. 6291(30)(I)** 

The t erm “bulb shape” means the shape of lamp, especially the glass bulb with

designations f or bulb shapes found in ANSI C79.1­1980 (R1984).

**42 U**  **.S.C. 6291(30)(R)** 

The t erm “tungsten­halogen lamp” means a gas­filled tungsten filament incandescent

lamp c ontaining a certain proportion of halogens in an inert gas.

**42 U**  **.S.C. 6291(30)(W)** 

The t erm “modified spectrum” means, with respect to an incandescent lamp, an

incandescent l amp that­­

(i) is n ot a colored incandescent lamp; and

(ii) when op erated at the rated voltage and wattage of the incandescent lamp­

(I) has a color point with (x,y) chromaticity coordinates on the

Commission Internationale de l”Eclairage (C.I.E.) 1931

chromaticity diagram that lies below the black­body locus; and

**3A­4**(II) has a color point with (x,y) chromaticity coordinates on the C.I.E.

1931 c hromaticity diagram that lies at least 4 MacAdam steps (as

referenced i n IESNA LM16) distant from the color point of a clear

lamp w ith the same filament and bulb shape, operated at the same

rated v oltage and wattage.

**42 U**  **.S.C. 6291(30)(X)** 

The t erm “rough service lamp” means a lamp that­­

(i) has a minimum of 5 supports with filament configurations that are C­7A,

C­11, C­17, and C­22 as listed in Figure 6­12 of the 9th edition of the

IESNA Lighting handbook, or similar configurations where lead wires are

not counted as supports; and

(ii) is d esignated and marketed specifically for “rough service” applications,

with­­

(III) the d esignation appearing on the lamp packaging; and

(IV) marketing m aterials that identify the lamp as being for rough

service.

**42 U**  **.S.C. 6291(30)(AA)** 

The t erm “vibration service lamp” means a lamp that­­

(i) has f ilament configurations that are C­5, C­7A, or C­9, as listed in Figure

6­12 of the 9th Edition of the IESNA Lighting Handbook or similar

configurations;

(ii) has a maximum wattage of 60 watts;

(iii) is s old at retail in packages of 2 lamps or less; and

(iv) is d esignated and marketed specifically for vibration service or vibrationresistant applications, with­­

(I) the d esignation appearing on the lamp packaging; and

(II) marketing m aterials that identify the lamp as being vibration

service only.

**42 U**  **.S.C. 6291(30)(AA)** 

The t erm “colored incandescent lamp” means an incandescent lamp designated and

marketed as a colored lamp that has­­

(i) a c olor rendering index of less than 50, as determined according to the

test method given in C.I.E. publication 13.3­1995; or (ii) a c orrelated color temperature of less than 2,500K, or greater than

4,600K, where correlated temperature is computed according to the

Journal of Optical Society of America, Vol. 58, pages 1528­1595 (1986).”

**42 U**  **.S.C. 6291(51)** 

The t erm “medium screw base” means an Edison screw base identified with the prefix E26 i n the “American National Standard for Electric Lamp Bases”, ANSI–IEC C81.61­

2003, p ublished by the American National Standards Institute

**3A­5 42**  **U.S.C. 6291(54)** 

The t erm “BPAR incandescent reflector lamp” means a reflector lamp as shown in figure

C78.21­278 o n page 32 of ANSI C78.21­2003.

**42 U**  **.S.C. 6291(55)(A)** 

The t erm “BR incandescent reflector lamp” means a reflector lamp that has­­

(i) a b ulged section below the major diameter of the bulb and above the

approximate b aseline of the bulb, as shown in figure 1 (RB) on page 7 of

ANSI C 79.1­1994, incorporated by reference in section 430.22 of title 10,

Code of Federal Regulations (as in effect on the date of enactment of this

paragraph); a nd

(ii) a f inished size and shape shown in ANSI C78.21­1989, including the

referenced r eflective characteristics in part 7 of ANSI C78.21­1989,

incorporated by reference in section 430.22 of title 10, Code of Federal

Regulations ( as in effect on the date of enactment of this paragraph).

**42 U**  **.S.C. 6291(55)(B)** 

The t erm “BR30” means a BR incandescent reflector lamp with a diameter of 30/8ths of

an i nch.

**42 U**  **.S.C. 6291(55)(C)** 

BR40­ The t erm “BR40” means a BR incandescent reflector lamp with a diameter of

40/8ths of an inch.

**42 U**  **.S.C. 6291(56)(A)** 

The t erm “ER incandescent reflector lamp” means a reflector lamp that has­­

(i) an e lliptical section below the major diameter of the bulb and above the

approximate baseline of the bulb, as shown in figure 1 (RE) on page 7 of

ANSI C79.1­1994, incorporated by reference in section 430.22 of title 10,

Code of Federal Regulations (as in effect on the date of enactment of this

paragraph); and

(ii) a f inished size and shape shown in ANSI C78.21­1989, incorporated by

reference in section 430.22 of title 10, Code of Federal Regulations (as in

effect on the date of enactment of this paragraph).

**42 U**  **.S.C. 6291(56)(B)** 

The t erm “ER30” means an ER incandescent reflector lamp with a diameter of 30/8ths of

an i nch.

**42 U**  **.S.C. 6291(56)(C)** 

The t erm “ER40” means an ER incandescent reflector lamp with a diameter of 40/8ths of

an i nch.”

**42 U**  **.S.C. 6291(57)** 

**3A­6**The term “R20 incandescent reflector lamp” means a reflector lamp that has a face

diameter of approximately 2.5 inches, as shown in figure 1(R) on page 7 of ANSI C79.1­

1994.

3A.1.2.2 C ode of Federal Regulations Definitions in 10 CFR 430.2

Basic m odel means all units of a given type of covered product (or class thereof)

manufactured by one manufacturer and—

* * * * *

(16) With r espect to incandescent reflector lamps, means lamps that have essentially

identical light output and electrical characteristics

– including lumens per watt

–

and that do not have any differing physical or functional characteristics that affect

energy consumption or efficacy.

Design v oltage with respect to an incandescent lamp means: (1) The v oltage marked as the intended operating voltage;

(2) The m id­point of the voltage range if the lamp is marked with a voltage range; or (3) 120V i f the lamp is not marked with a voltage or voltage range.

Incandescent l amp means a lamp in which light is produced by a filament heated to

incandescence by an electric current, including only the following:

(1) Any l amp (commonly referred to as lower wattage non­reflector general

service lamps, including any tungsten halogen lamp) that has a rated wattage

between 30 and 199, has an E26 medium screw base, has a rated voltage or voltage range that lies at least partially in the range of 115 and 130 volts, and

is not a reflector lamp.

(2) Any i ncandescent reflector lamp.

(3) Any g eneral service incandescent lamp (commonly referred to as a high­or

higher­wattage lamp) that has a rated wattage above 199 (above 205 for a high wattage reflector lamp).

Incandescent r eflector lamp (commonly referred to as a reflector lamp) means any lamp

in which light is produced by a filament heated to incandescence by an electric current,

which: is not colored or designed for rough or vibration service applications that

contains an inner reflective coating on the outer bulb to direct the light; has an R, PAR

or similar bulb shape (excluding ER or BR) with an E26 medium screw base; has a rated

voltage or voltage range that lies at least partially in the range of 115 and 130 volts; has

a diameter that exceeds 2.75 inches; and is either a low(er)­wattage reflector lamp that

has a rated wattage between 40 and 205; or a high(er)­wattage reflector lamp that has a

rated wattage above 205.

Rated v oltage with respect to incandescent lamps means: (1) The d esign voltage if the design voltage is 115V, 130V or between 115V and

130V:

**3A­7**(2) 115V i f the design voltage is less than 115V and greater than or equal to 100V

and the lamp can operate at 115V; and

(3) 130V i f the design voltage is greater than 130 V and less than or equal to 150 V

and the lamp can operate at 130V.

Voltage r ange means a band of operating voltages as marked on an incandescent lamp,

indicating that the lamp is designed to operate at any voltage within the band.

3A.1.3 A ll Covered Lamps

**42 U**  **.S.C. 6291(30)(G)** 

The t erm “average lamp efficacy” means the lamp efficacy readings taken over a statistically s ignificant period of manufacture with the readings averaged over that

period.

**42 U**  **.S.C. 6291(30)(H)** 

The t erm “base” means the portion of the lamp which connects with the socket as

described i n ANSI C81.61­1990.

**42 U**  **.S.C. 6291(30)(J)** 

The t erm “color rendering index” or “CRI” means the measure of the degree of color

shift o bjects undergo when illuminated by a light source as compared with the color of

those s ame objects when illuminated by a reference source of comparable color

temperature.

**42 U**  **.S.C. 6291(30)(K)** 

The t erm “correlated color temperature” means the absolute temperature of a blackbody

whose c hromaticity most nearly resembles that of the light source.

**42 U**  **.S.C. 6291(30)(M)** 

The t erm “lamp efficacy” means the lumen output of a lamp divided by its wattage,

expressed i n lumens per watt (LPW).

**10 C**  **FR 430.2** 

Lamp Ef ficacy (LE) means the measured lumen output of a lamp in lumens divided by the

measured l amp electrical power input in watts expressed in units of lumens per watt

(LPW).

**42 U**  **.S.C. 6291(30)(N)** 

The t erm “lamp type” means all lamps designated as having the same electrical and

lighting c haracteristics and made by one manufacturer.

**42 U**  **.S.C. 6291(30)(O)** 

**3A­8**The term “lamp wattage” means the total electrical power consumed by a lamp in watts,

after the initial seasoning period referenced in the appropriate IES standard test

procedure and including, for fluorescent, arc watts plus cathode watts.

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

The t erms “life” and “lifetime” mean length of operating time of a statistically large

group of lamps between first use and failure of 50 percent of the group in accordance

with t est procedures described in the IES Lighting Handbook­Reference Volume.

**42 U**  **.S.C. 6291(30)(Q)** 

The t erms “lumen output” means total luminous flux (power) of a lamp in lumens, as

measured i n accordance with applicable IES standards as determined by the Secretary.

**3A­9**