This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of which

are keyed to and codified in the Code of

Federal Regulations, which is published under

50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by

the Superintendent of Documents. Prices of

new books are listed in the first FEDERAL

REGISTER issue of each week.

Rules and Regulations Federal Register

31829 

Vol. 74, No. 127 

Monday, July 6, 2009 

DEPARTMENT OF AGRICULTURE 

Food Safety and Inspection Service 

9 CFR Part 320 

[Docket No. FSIS–2009–0015] 

RIN 0583–AA69 

Recordkeeping Regulations; 

Correcting Amendment 

AGENCY: Food Safety and Inspection 

Service, USDA. 

ACTION: Correcting amendment. 

SUMMARY: The Food Safety and 

Inspection Service (FSIS) is amending 

the Federal meat inspection regulations 

to correct an inadvertent error in the 

recordkeeping provisions. 

DATES: This amendment is effective July 

6, 2009. 

FOR FURTHER INFORMATION CONTACT: 

Rachel Edelstein, Director, Policy 

Issuances Division, Office of Policy and 

Program Development, FSIS, U.S. 

Department of Agriculture, 1400 

Independence Avenue, SW., 

Washington, DC 20250–3700, (202) 720– 

0399. 

SUPPLEMENTARY INFORMATION: On 

November 30, 1990, FSIS published a 

final rule on net weight labeling of meat 

and poultry products (55 FR 49826). 

The rule redesignated § 317.20 as 

§ 317.24 (55 FR 49833). However, in 

§ 320.1(b)(5), the rule did not change the 

reference to § 317.24. This notice 

corrects the error and amends 

§ 320.1(b)(5) to refer to § 317.24. 

Additional Public Notification 

Public awareness of all segments of 

rulemaking and policy development is 

important. Consequently, in an effort to 

ensure that minorities, women, and 

persons with disabilities are aware of 

this notice, FSIS will announce it online 

through the FSIS Web page located at 

http://www.fsis.usda.gov/ 

Regulations_&_Policies/ 

2009_Interim_&_Final_Rules_Index/ 

index.asp. 

FSIS will also make copies of this 

Federal Register publication available 

through the FSIS Constituent Update, 

which is used to provide information 

regarding FSIS policies, procedures, 

regulations, Federal Register notices, 

FSIS public meetings, and other types of 

information that could affect or would 

be of interest to constituents and 

stakeholders. The Update is 

communicated via Listserv, a free 

electronic mail subscription service for 

industry, trade and farm groups, 

consumer interest groups, allied health 

professionals, and other individuals 

who have asked to be included. The 

Update is also available on the FSIS 

Web page. Through the Listserv and 

Web page, FSIS is able to provide 

information to a much broader and more 

diverse audience. In addition, FSIS 

offers an e-mail subscription service 

which provides automatic and 

customized access to selected food 

safety news and information. This 

service is available at http:// 

www.fsis.usda.gov/news_and_events/ 

email_subscription/. 

Options range from recalls to export 

information to regulations, directives 

and notices. Customers can add or 

delete subscriptions themselves, and 

have the option to password protect 

their accounts. 

List of Subjects in 9 CFR Part 320 

Meat inspection, Reporting and 

recordkeeping requirements. 

■ For the reasons set forth in the 

preamble, 9 CFR part 320 is amended as 

follows: 

PART 320—RECORDS, 

REGISTRATION, AND REPORTS 

■ 1. The authority citation continues to 

read as follows: 

Authority: 21 U.S.C. 601–695; 7 CFR 2.7, 

2.18, 2.53. 

■ 2. In § 320.1, revise paragraph (b)(5) to 

read as follows: 

§ 320.1 Records required to be kept. 

* * * * * 

(b) * * * 

(5) Guaranties provided by suppliers 

of packaging materials under § 317.24. 

* * * * * 

Done at Washington, DC, on June 29, 2009. 

Alfred V. Almanza, 

Administrator. 

[FR Doc. E9–15815 Filed 7–2–09; 8:45 am] 

BILLING CODE 3410–DM–P 

DEPARTMENT OF ENERGY 

10 CFR Part 430 

[Docket No. EERE–2007–BT–TP–0013] 

RIN 1904–AB72 

Energy Conservation Program: Test 

Procedures for General Service 

Fluorescent Lamps, Incandescent 

Reflector Lamps, and General Service 

Incandescent Lamps 

AGENCY: Office of Energy Efficiency and 

Renewable Energy, Department of 

Energy. 

ACTION: Final rule. 

SUMMARY: The Department of Energy 

(DOE) is amending its test procedures 

for certain fluorescent and incandescent 

lamps, which manufacturers are 

required to use to certify compliance 

with energy conservation standards 

mandated under the Energy Policy and 

Conservation Act (EPCA). Specifically, 

these amendments update citations and 

references to the industry standards 

currently referenced in DOE’s test 

procedures, and make several technical 

modifications. The amendments also 

provide test methods for some general 

service fluorescent lamps, based on new 

product designs, which are subject to 

existing energy conservation standards 

but do not currently have test 

procedures in place. Test procedures for 

additional general service fluorescent 

lamps to which the energy conservation 

standards rulemaking extends coverage 

will be adopted as part of the upcoming 

energy conservation standards final 

rule. Finally, because the Energy 

Independence and Security Act of 2007 

(EISA 2007) adopted energy 

conservation standards for certain 

general service incandescent lamps, 

DOE is amending its test procedures for 

incandescent lamps to provide 

appropriate methods to test these lamps. 

DATES: This rule is effective August 5, 

2009. Incorporation by reference of 

certain publications in this final rule is 

approved by the Director of the Office 

of the Federal Register as of August 5, 

2009. 


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31830 Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 

1This part was originally titled Part B; however, 

it was redesignated Part A in the United States Code 

for editorial reasons. 

ADDRESSES: The public may review 

copies of all materials related to this 

rulemaking at the U.S. Department of 

Energy, Resource Room of the Building 

Technologies Program, 950 L’Enfant 

Plaza, SW., Suite 600, Washington, DC, 

(202) 586–2945, between 9 a.m. and 4 

p.m., Monday through Friday, except 

Federal holidays. Please call Ms. Brenda 

Edwards at the above telephone number 

for additional information regarding 

visiting the Resource Room. 

FOR FURTHER INFORMATION CONTACT: Ms. 

Linda Graves, U.S. Department of 

Energy, Office of Energy Efficiency and 

Renewable Energy, Building 

Technologies Program, EE–2J, 1000 

Independence Avenue, SW., 

Washington, DC 20585–0121. 

Telephone: (202) 586–1851. E-mail: 

Linda.Graves@ee.doe.gov. 

Mr. Eric Stas, U.S. Department of 

Energy, Office of the General Counsel, 

GC–72, 1000 Independence Avenue, 

SW., Washington, DC 20585. Telephone: 

(202) 586–9507. E-mail: 

Eric.Stas@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: This final 

rule incorporates by reference into part 

430 the following industry standards: 

1. ANSI_IEC C78.81–2005, Revision of 

ANSI C78.81–2003, ‘‘American National 

Standard for Electric Lamps—DoubleCapped Fluorescent Lamps— 

Dimensional and Electrical 

Characteristics,’’ August 11, 2005; 

2. ANSI C78.375–1997, Revision of 

ANSI C78.375–1991, ‘‘American 

National Standard for Fluorescent 

Lamps—Guide for Electrical 

Measurements,’’ September 25, 1997; 

3. ANSI_IEC C78.901–2005, Revision 

of ANSI C78.901–2001, ‘‘American 

National Standard for Electric Lamps— 

Single-Based Fluorescent Lamps— 

Dimensional and Electrical 

Characteristics,’’ March 23, 2005; 

4. ANSI C82.3–2002, Revision of 

ANSI C82.3–1983 (R 1995), ‘‘American 

National Standard for Lamp Ballasts— 

Reference Ballasts for Fluorescent 

Lamps,’’ September 4, 2002; 

5. CIE 15–2004, ‘‘Technical Report: 

Colorimetry, 3rd edition,’’ 2004; ISBN 

978 3 901906 33 6; 

6. IESNA LM–9–99, ‘‘IESNA 

Approved Method for the Electrical and 

Photometric Measurements of 

Fluorescent Lamps,’’ 1999; and 

7. IESNA LM–45–00, ‘‘IESNA 

Approved Method for Electrical and 

Photometric Measurements of General 

Service Incandescent Filament Lamps,’’ 

May 8, 2000. 

You can purchase copies of ANSI 

Standards from the American National 

Standards Institute, 25 West 43rd Street, 

New York, New York 10036, (212) 642– 

4900, or http://www.ansi.org. 

You can purchase CIE reports from 

the International Commission on 

Illumination, CIE Bureau Central, 

Kegelgasse 27, A–1030, Vienna, Austria, 

+43 1–714 31 87 0, or http:// 

www.cie.co.at. 

You can purchase copies of IESNA 

Standards from the Illuminating 

Engineering Society of North America, 

120 Wall Street, Floor 17, New York, NY 

10005–4001, (212) 248–5000, or http:// 

www.iesna.org. 

You can also view copies of these 

standards at the U.S. Department of 

Energy, Resource Room of the Building 

Technologies Program, 950 L’Enfant 

Plaza, SW., 6th Floor, Washington, DC 

20024, (202) 586–2945, between 9 a.m. 

and 4 p.m., Monday through Friday, 

except Federal holidays. 

Table of Contents 

I. Introduction 

A. Authority and Background 

B. History of this Rulemaking 

C. Summary of the Final Rule 

1. Updates to Test Procedure References 

2. Technical Amendments 

3. Amendments Related to Testing of 

Added Coverage 

4. Off Mode and Standby Mode Energy 

Consumption 

5. Effect of Test Procedure Revisions on the 

Measure of Energy Efficiency 

II. Discussion 

A. Updates to Test Procedure References 

B. Medium Base Compact Fluorescent 

Lamps 

C. High-Frequency Fluorescent Ballast 

Testing 

D. Measurement and Calculation of 

Correlated Color Temperature 

E. Calculation of Fluorescent Lamp 

Efficacy 

F. General Service Fluorescent Lamp Basic 

Model 

G. Reference Ballast Settings for Added 

Fluorescent Lamp Coverage 

H. Test Procedures for Added General 

Service Incandescent Lamp Coverage 

I. Off Mode and Standby Mode Energy 

Consumption 

J. Reduction of Burdensome Provisions 

III. Effect of Test Procedure Revisions on the 

Measure of Energy Efficiency 

IV. Procedural Issues and Regulatory Review 

A. Executive Order 12866 

B. National Environmental Policy Act 

C. Regulatory Flexibility Act 

D. Paperwork Reduction Act 

E. Unfunded Mandates Reform Act of 1995 

F. Treasury and General Government 

Appropriations Act, 1999 

G. Executive Order 13132 

H. Executive Order 12988 

I. Treasury and General Government 

Appropriations Act, 2001 

J. Executive Order 13211 

K. Executive Order 12630 

L. Section 32 of the Federal Energy 

Administration Act of 1974 

M. Congressional Notification 

V. Approval of the Office of the Secretary 

I. Introduction 

A. Authority and Background 

Title III of the Energy Policy and 

Conservation Act (42 U.S.C. 6291 et 

seq.; EPCA) sets forth a variety of 

provisions designed to improve energy 

efficiency. Part A 1 of Title III (42 U.S.C. 

6291–6309) establishes the ‘‘Energy 

Conservation Program for Consumer 

Products Other Than Automobiles.’’ The 

consumer and commercial products 

subject to this program (hereafter 

‘‘covered products’’) include general 

service fluorescent lamps (GSFL), 

incandescent reflector lamps (IRL), and 

general service incandescent lamps 

(GSIL). Under EPCA, the overall 

program consists essentially of testing, 

labeling, and Federal energy 

conservation standards. The testing 

requirements consist of test procedures, 

prescribed pursuant to EPCA, that 

manufacturers of covered products must 

use as the basis for establishing and 

certifying to DOE that their products 

comply with applicable energy 

conservation standards adopted under 

EPCA. 

Section 323 of EPCA (42 U.S.C. 6293) 

sets forth generally applicable criteria 

and procedures for DOE’s adoption and 

amendment of test procedures. It states, 

for example, that ‘‘[a]ny test procedures 

prescribed or amended under this 

section shall be reasonably designed to 

produce test results which measure 

energy efficiency, energy use, * * * or 

estimated annual operating cost of a 

covered product during a representative 

average use cycle or period of use, as 

determined by the Secretary [of Energy], 

and shall not be unduly burdensome to 

conduct.’’ (42 U.S.C. 6293(b)(3)) In 

addition, in any rulemaking to amend a 

test procedure, DOE must determine ‘‘to 

what extent, if any, the proposed test 

procedure would alter the measured 

energy efficiency * * * of any covered 

product as determined under the 

existing test procedure.’’ (42 U.S.C. 

6293(e)(1)) If the amended test 

procedure alters the measured 

efficiency, the Secretary must determine 

the average efficiency level under the 

new test procedure of products that 

minimally complied with the applicable 

energy conservation standard prior to 

the test procedure amendment, and 

must set the standard at that level. (42 

U.S.C. 6293(e)(2)) In addition, any 

existing model of a product that 

complied with the previously applicable 

standard would be deemed to comply 


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Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 31831 

2 ‘‘[A]dditional’’ GSFL refers to any GSFL to 

which the energy conservation standards 

rulemaking extends coverage. DOE notes that this 

statutory provision previously applied to additional 

general service incandescent lamps as well, but 

Congress subsequently revoked DOE’s authority to 

consider standards for these lamps and instead set 

prescriptive standards by statute. 3 ‘‘Energy Conservation Standards for General 

Service Fluorescent Lamps and Incandescent 

Reflector Lamps,’’ Docket No. EE–2006–STD–0131, 

RIN 1904–AA92. 74 FR 16920 (April 13, 2009). 

4Although issued on February 21, 2008 and 

posted on the DOE Web site shortly thereafter, the 

test procedure NOPR and energy conservation 

standards ANOPR were formally published in the 

Federal Register on March 13, 2008. 

with the new standard. (42 U.S.C. 

6293(e)(3)) 

EPCA requires DOE to prescribe test 

procedures for fluorescent lamps and 

IRL for which energy conservation 

standards are applicable, considering 

the applicable standards of the 

Illuminating Engineering Society of 

North America (IESNA) or American 

National Standards Institute (ANSI). (42 

U.S.C. 6293(b)(6)) DOE’s existing test 

procedures for lamps (general service 

fluorescent lamps, incandescent 

reflector lamps, general service 

incandescent lamps, and medium base 

compact fluorescent lamps), which it 

adopted under these provisions, appear 

at Title 10 of the Code of Federal 

Regulations (CFR) part 430, subpart B, 

appendix R, ‘‘Uniform Test Method for 

Measuring Average Lamp Efficiency 

(LE) and Color Rendering Index (CRI) of 

Electric Lamps’’ (Appendix R). Prior to 

today’s final rule, several ANSI, 

International Commission on 

Illumination (CIE), and IESNA industry 

standards were incorporated by 

reference in the lamps test procedure. 

DOE has also adopted test procedures 

for medium base compact fluorescent 

lamps (CFL) to implement certain 

amendments to EPCA contained in the 

Energy Policy Act of 2005 (Pub. L. 109– 

58) (EPACT 2005). Specifically, EPACT 

2005 amended EPCA to prescribe 

standards for these CFL (42 U.S.C. 

6295(bb)), and to require that test 

procedures for these lamps be ‘‘based on 

the test methods for compact fluorescent 

lamps used under the August 9, 2001, 

version of the Energy Star program.’’ (42 

U.S.C. 6293(b)(12)) Therefore, DOE 

adopted 10 CFR part 430, subpart B, 

appendix W (‘‘Uniform Test Method for 

Measuring the Energy Consumption of 

Medium Base Compact Fluorescent 

Lamps’’), which incorporates by 

reference the test procedures for 

medium base CFLs contained in the 

Energy Star program requirements. 71 

FR 71340, 71347, 71367 (Dec. 8, 2006). 

As a result of the adoption of appendix 

W, DOE has test procedures for medium 

base CFLs that appear in both appendix 

W and appendix R. 

Additional DOE rulemakings 

conducted pursuant to EPCA or 

congressional action to amend the 

statute itself periodically make 

modifications to the lamps test 

procedure necessary. For example, 

section 325(i)(5) of EPCA directs DOE to 

consider whether the standards in effect 

for fluorescent and incandescent lamps 

should be amended to be applicable to 

‘‘additional’’ GSFL 2, and, if so, to adopt 

standards for such lamps. (42 U.S.C. 

6295(i)(5)) DOE is addressing these 

requirements in a separate energy 

conservation standards rulemaking that 

also considers revisions to the existing 

energy conservation standards for GSFL 

and IRL. DOE published a notice of 

proposed rulemaking (NOPR) in that 

proceeding in the Federal Register on 

April 13, 2009 (hereafter referred to as 

the energy conservation standards 

NOPR).3 The current DOE test 

procedures for lamps do not provide 

methods for testing some of the 

additional lamps for which DOE is 

proposing standards in the energy 

conservation standards NOPR. 

In addition, on December 19, 2007, 

the President signed the Energy 

Independence and Security Act (Pub. L. 

110–140) (EISA 2007), which makes 

numerous amendments to EPCA. 

Among these are amended energy 

conservation standards for IRL and new 

standards for GSIL. EISA 2007 also 

incorporates into EPCA several 

definitions related to products covered 

by this rulemaking. For all covered 

products, EISA 2007 amended EPCA to 

direct DOE to include in its test 

procedures a measure of standby mode 

and off mode energy consumption, if 

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

The NOPR in this rulemaking sets 

forth in greater detail the authority for, 

development of, and background for 

DOE’s current test procedures for lamps. 

73 FR 13465, 13466–67 (March 13, 

2008) (the March 2008 NOPR). 

B. History of This Rulemaking 

As explained in the March 2008 

NOPR, during the Framework Document 

stage of the energy conservation 

standards rulemaking for lamps, DOE 

initially stated that it did not intend to 

update its test procedures for these 

products. 73 FR 13465, 13468 (March 

13, 2008). However, certain stakeholders 

responded with detailed comments 

about why and how DOE should 

incorporate into its regulations the 

current editions of lamps test 

procedures referenced in the 

regulations, and DOE ultimately 

decided that such updates were 

warranted. Id. at 13468–69. DOE also 

became aware that certain technical 

modifications were warranted in its test 

procedures. These technical 

modifications included specifying the 

type of reference ballast used to test 

fluorescent lamps, revising the 

calculation of lamp efficacy, and 

adopting a test method for the 

measurement and calculation of 

correlated color temperature (CCT). Id. 

at 13468. As indicated above, DOE 

commenced a rulemaking for test 

procedure revisions needed to address 

additional GSFL being considered for 

energy conservation standards, as well 

as to address recent amendments to 

EPCA. 

To this end, DOE issued the March 

2008 NOPR, which proposed a number 

of revisions to the test procedures for 

lamps. These revisions consisted largely 

of: (1) Referencing the most current 

versions of several lighting industry 

standards incorporated by reference; (2) 

adopting certain technical changes and 

clarifications; and (3) expanding the test 

procedures to accommodate new classes 

of lamps to which coverage was 

extended by EISA 2007 or may be 

extended by the energy conservation 

standards rulemaking. The March 2008 

NOPR also addressed the new statutory 

requirement to expand test procedures 

to incorporate a measure of standby 

mode and off mode energy 

consumption. 

The proposals in the March 2008 

NOPR were addressed at a public 

meeting on March 10, 2008, that also 

addressed the concurrent advance 

notice of proposed rulemaking (ANOPR; 

73 FR 13620) regarding energy 

efficiency standards for lamps.4 In 

addition, DOE invited written 

comments, data, and information on the 

March 2008 NOPR through May 27, 

2008. 

Stakeholders raised the following 

issues in comments on the March 2008 

NOPR: 

• DOE does not need to revise energy 

conservation standards to account for 

self-absorption because existing test 

protocols already correct for this factor; 

• Limiting the testing of GSFL to one 

of the three testing methods in IESNA 

LM–9–99 limits flexibility of lamp 

designs; 

• GSFL should be tested on lowfrequency ballasts until industry moves 

to high frequency; 

• GSFL lamp efficacy should be 

rounded to the nearest whole number 

instead of the nearest tenth; 

• The reference for calculating CCT 

should be changed from an article in the 


cprice-sewell on PROD1PC69 with RULES
31832 Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 

Journal of the Optical Society of 

America to CIE Publication 15–2004; 

• CCT should not be included in the 

definition of ‘‘basic model’’ for GSFL; 

• CCT should be rounded to the 

nearest ten kelvin instead of the nearest 

unit; 

• DOE should not adopt test 

procedures for lamps until a 

determination is issued adding them as 

a covered product; 

• DOE should not establish test 

procedures for lamps that are not 

contained in ANSI standards; and 

• DOE should eliminate the 

requirement for pre-production 

notification. 

C. Summary of the Final Rule 

This final rule amends DOE’s current 

test procedures for electric lamps to 

achieve four results: 

• Update several lighting industry 

standards incorporated by reference; 

• Adopt certain technical changes 

and clarifications; 

• Expand the test procedures to 

accommodate additional lamps for 

which EISA 2007 established energy 

conservation standards; and 

• Address the statutory requirement 

to expand test procedures to incorporate 

a measure of standby mode and off 

mode energy consumption. 

These amendments are summarized 

below. 

1. Updates to Test Procedure References 

In seeking to implement recent 

amendments to EPCA, DOE determined 

that several of the lighting industry 

standards referenced in 10 CFR part 430 

have been superseded by new editions, 

withdrawn, or, in many cases, are no 

longer commercially available. Today’s 

final rule discusses the amendments to 

the test procedures for GSFL, IRL, GSIL, 

and CFL that are necessary to 

incorporate the applicable industry 

standards. To ensure the test procedures 

reflect the most up-to-date industry 

standards and practices, DOE updates 

the CFR to contain the most recent 

versions of certain industry testing 

references and examines whether the 

new versions affect the measure of 

energy efficiency under existing energy 

conservation standards. (42 U.S.C. 

6293(e)) 

Specifically, today’s final rule 

incorporates the following industry 

standards into the test procedure by 

reference: ANSI C78.375–1997, 

‘‘American National Standard for 

Fluorescent Lamps—Guide for Electrical 

Measurements’’; ANSI/IEC C78.81– 

2005, ‘‘American National Standard for 

Electric Lamps—Double-Capped 

Fluorescent Lamps—Dimensional and 

Electrical Characteristics’’; ANSI/IEC 

C78.901–2005, ‘‘American National 

Standard for Electric Lamps—SingleBased Fluorescent Lamps—Dimensional 

and Electrical Characteristics’’; and 

ANSI C82.3–2002, ‘‘American National 

Standard for Lamp Ballasts—Reference 

Ballasts for Fluorescent Lamps.’’ These 

revisions of ANSI standards replace the 

older standards, C78.375–1991, C78.1– 

1991, C78.2–1991, C78.3–1991, and 

C82.3–1983, incorporated by reference 

in the Interim Final Rule on Test 

Procedures for Fluorescent and 

Incandescent Lamps published in the 

Federal Register on September 28, 1994 

(59 FR 49468) (hereafter the September 

1994 Interim Final Rule). 

This final rule also incorporates into 

the test procedure by reference the 

IESNA LM–9–1999 and IESNA LM–45– 

2000 standards for measuring the 

electrical and photometric attributes of 

fluorescent lamps and general service 

incandescent filament lamps, 

respectively. These versions of the 

IESNA standards replace the older 

standards, IESNA LM– 9–1988 and 

IESNA LM–45–1991, which are 

referenced in 10 CFR part 430, subpart 

B, appendix R. 

Additionally, this final rule removes 

the references to IESNA LM–16–1993, 

which is a guide to the colorimetry of 

light sources, and IESNA LM–66–1991, 

which concerns the testing of mediumbase compact fluorescent lamps. Both 

standards were incorporated by 

reference in the final rule on Test 

Procedures for Fluorescent and 

Incandescent Lamps published in the 

Federal Register on May 29, 1997 (62 

FR 29221) (hereafter the May 1997 Final 

Rule). Since that time, LM–16–1993 has 

been withdrawn and is not 

commercially available, and LM–66– 

1991 has been superseded by the CFL 

test method, as described in section II.B 

below. 

This final rule also incorporates by 

reference the method for measuring and 

specifying color rendering properties of 

light sources, found in the International 

Commission on Illumination (CIE) 

Publication 13.3–1995, which replaces 

the older publication, CIE Publication 

No. 13.2–1974 (corrected reprint 1993), 

incorporated by reference in the 

September 1994 Interim Final Rule. As 

discussed in this final rule and the 

March 2008 NOPR, DOE has determined 

that the updates to standards 

incorporated by reference would not 

significantly impact the measurement of 

lamp efficacy nor add any additional 

testing burden. (42 U.S.C. 6293(e)) 

2. Technical Amendments 

In addition to updating standards 

incorporated by reference, this final rule 

requires that testing of GSFL be based 

on low-frequency reference ballasts, 

except for those lamps that can only be 

tested on high-frequency ballasts. Where 

the newly-referenced ANSI standards 

allow for both low- and high-frequency 

measurement, DOE’s amended 

regulations require that manufacturers 

continue to report on lamp performance 

using the low-frequency reference 

ballast. 

DOE also amends certain provisions 

in its regulations for calculating and 

reporting lamp efficacy. Specifically, 

DOE’s amended regulations require that 

lamp efficacy for GSFL be rounded to 

the nearest tenth of a lumen per watt 

rather than the nearest whole number. 

This approach is consistent with the 

rounding practice required for the 

calculation of IRL efficacy set forth in 

the May 1997 Final Rule. 

Furthermore, DOE is adopting a test 

method in this final rule for measuring 

and calculating CCT for fluorescent 

lamps and incandescent lamps. 

Correlated color temperature is used as 

a metric to define ‘‘colored fluorescent 

lamp’’ in 10 CFR 430.2 and ‘‘colored 

incandescent lamp’’ in 42 U.S.C. 

6291(30)(EE). This amendment supports 

the lamps energy conservation 

standards rulemaking, in which DOE is 

considering establishing separate 

product classes for fluorescent lamps 

based on their CCT. 

3. Amendments Related to Testing of 

New Coverage 

The introduction of new 4-foot 

medium bipin and 2-foot U-shaped 

fluorescent lamps into the lighting 

market has effectively increased the 

number and types of lamps subject to 

DOE regulation under the existing 

definition of ‘‘fluorescent lamp.’’ In 

addition, certain 8-foot slimline and 8- 

foot high-output lamps, as well as 8-foot 

very-high-output lamps and T5 

fluorescent lamps, are not part of the 

current scope of coverage of DOE’s 

regulations. In the energy conservation 

standards NOPR, DOE discusses 

whether to adopt energy conservation 

standards for some of these additional 

fluorescent lamps. As no decision has 

yet been made regarding standards for 

these lamps, DOE will adopt test 

procedures in this final rule only for 

products that are currently covered by 

standards. DOE will then adopt any 

necessary test procedures for any newly 

covered fluorescent lamps 

simultaneously with the extension of 


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5A notation in the form ‘‘NEMA, No. 25 at p. 3’’ 

identifies a written comment that DOE has received 

and has included in the docket of its test procedure 

rulemaking for GSFL, IRL, and GSIL (Docket No. 

EERE–2007–BT–TP–0013; RIN number 1904– 

AB72). This particular notation refers to a comment: 

(1) By the National Electrical Manufacturers 

Association; (2) in document number 25 in the 

docket of the test procedure rulemaking; and (3) 

appearing on page 3. 

coverage in the energy conservation 

standards final rule. 

DOE is also amending the test 

procedure for GSIL. As stated earlier, 

EISA 2007 establishes energy 

conservation standards for GSIL. 

Consequently, the necessary portions of 

the GSIL test procedure (e.g., 

specification of units to be tested) are 

not incorporated into DOE’s existing test 

procedure, because these lamp types 

were not previously regulated. DOE is 

providing test procedures for these 

newly-covered GSIL in this final rule. 

4. Off Mode and Standby Mode Energy 

Consumption 

EISA 2007 directs DOE to amend its 

test procedure to incorporate a measure 

of off mode and standby mode energy 

consumption, if technically feasible. (42 

U.S.C. 6295(gg)(2)) As discussed in 

further detail below, DOE believes that 

measuring off mode and standby mode 

energy consumption is not applicable to 

GSFL, IRL, and GSIL because, according 

to the definitions of ‘‘off mode’’ and 

‘‘standby mode,’’ current technologies of 

GSFL, IRL, and GSIL do not employ 

these two modes of operation. As such, 

DOE is not expanding the test procedure 

to incorporate measurement methods for 

off mode or standby mode energy 

consumption of GSFL, IRL, and GSIL. 

5. Effect of Test Procedure Revisions on 

the Measure of Energy Efficiency 

In amending a test procedure, EPCA 

directs DOE to determine to what 

extent, if any, the test procedure would 

alter the measured energy efficiency of 

the covered product. (42 U.S.C. 

6293(e)(1)) If the amended test 

procedure alters the measured 

efficiency, the Secretary must determine 

the average efficiency level under the 

new test procedure of products that 

minimally complied with the applicable 

energy conservation standard prior to 

the test procedure amendment, and 

must set the standard at that level. (42 

U.S.C. 6293(e)(2)) In addition, any 

existing model of a product that 

complied with the previously applicable 

standard would be deemed to comply 

with the new standard. (42 U.S.C. 

6293(e)(3)) These provisions prevent 

changes in a test procedure from 

indirectly altering the applicable 

Federal energy conservation standard. 

They also prevent the new test 

procedure from forcing products out of 

compliance that complied with 

standards using the previous test 

procedure. 

Bearing in mind these applicable 

statutory provisions, DOE has 

determined the modifications to the test 

procedures adopted in this final rule do 

not alter the measured efficiency of 

these products. Therefore, DOE 

concludes that no changes to the energy 

conservation standards are necessary. 

II. Discussion 

At the March 10, 2008 public meeting 

and in the March 2008 NOPR, DOE 

requested comment on the following 

subjects: (1) Test procedure reference 

updates; (2) high-frequency fluorescent 

ballast testing; (3) calculation of 

fluorescent lamp efficacy; (4) 

measurement and calculation of 

correlated color temperature; (5) general 

service fluorescent lamp basic model; 

(6) reference ballast settings for added 

fluorescent lamp coverage; (7) additions 

to the general service incandescent lamp 

test procedure; and (8) off mode and 

standby mode energy consumption. The 

discussion below summarizes and 

responds to the comments DOE 

received. 

A. Updates to Test Procedure 

References 

In the March 2008 NOPR, DOE 

proposed to update references to 

outdated industry standards in the 

existing test procedure. Since the 

publication of the NOPR in March 2008, 

DOE published a final rule (hereafter 

referred to as the En Masse Final Rule) 

to codify the energy conservation 

standards and related definitions 

prescribed by EISA 2007. 74 FR 12058 

(March 23, 2009). This En Masse Final 

Rule added section 430.3 to 10 CFR part 

430, subpart A. Section 430.3 includes 

all of the materials incorporated by 

reference in the definitions at 10 CFR 

430.2 and test procedures in subpart B. 

While this change has not affected the 

nature of the definitions nor the 

incorporated references, it does require 

this final rule to modify the location of 

the industry standards it incorporates by 

reference in the CFR. 

The National Electrical Manufacturers 

Association (NEMA) generally agreed 

with this proposal, mentioning that it 

would incorporate the most up-to-date 

industry standards and practices. 

(NEMA, No. 25 at p. 3; Public Meeting 

Transcript, No. 20 at pp. 19–20) 5 As 

explained below, when considering an 

updated industry standard, DOE 

examined each one to ensure that 

revising DOE’s regulations would not 

result in a test procedure that is unduly 

burdensome to conduct. DOE also 

examined the updated standards to 

determine whether the amended test 

procedure would significantly change 

the measured lamp efficacy (thereby 

necessitating amendments to the energy 

conservation standard itself). (42 U.S.C. 

6293(e)) 

IESNA LM–9–1999. DOE considered 

updating references to IESNA LM–9– 

1988 with IESNA LM–9–1999, the most 

current version. Both versions of the 

IESNA standards describe procedures 

for assessing electrical and photometric 

characteristics of fluorescent lamps. 

However, as explained below, the 1999 

version of IESNA LM–9 incorporated 

two modifications that DOE thought 

could potentially result in a significant 

change in the measured lamp efficacy if 

adopted in DOE’s test procedures. 

IESNA LM–9–1999 adds 

specifications for self-absorption 

correction when taking light output 

measurements. In the March 2008 

NOPR, DOE stated that this addition 

had the potential to raise efficacy by as 

much as 5 to 10 percent, except in 

laboratories that already account for this 

factor. Considering this potential change 

in measured efficacy, DOE tentatively 

concluded it would revise and develop 

new or amended efficacy standards for 

fluorescent lamps in its energy 

conservation standards rulemaking 

where appropriate. 73 FR 13465, 13471 

(March 13, 2008) NEMA contended that 

no adjustments are necessary, stating 

that any laboratory accredited by the 

National Voluntary Laboratory 

Accreditation Program (NVLAP) of the 

National Institute of Standards and 

Technology (NIST) would account for a 

self-absorption factor during the 

calibration process. NEMA advised DOE 

to consult with NIST, which is 

responsible for government calibration 

methods. (NEMA, No. 25 at p. 3; Public 

Meeting Transcript, No. 20 at pp. 20–21) 

After consulting with NIST and 

reviewing the existing test procedure, 

DOE agrees with NEMA that the 

measure of efficiency is not changed by 

the new IESNA LM–9–1999 standard, 

and as a result, the applicable energy 

conservation standards do not need to 

be revised. The test procedure requires 

that ‘‘[t]he testing for general service 

fluorescent lamps, general service 

incandescent lamps, incandescent 

reflector lamps, and medium base 

compact fluorescent lamps, shall be 

performed in accordance with 

Appendix R to this subpart and shall be 

conducted by test laboratories 

accredited by the National Voluntary 

Laboratory Accreditation Program 

(NVLAP) or by an accrediting 


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6To implement recent amendments to EPCA 

contained in the Energy Policy Act of 2005 (Pub. 

L. 109–58) (EPACT 2005), DOE published a final 

rule in the Federal Register, which prescribed test 

procedures for eleven types of products for which 

EPACT 2005 identified specific test procedures 

(including medium screw-based compact 

fluorescent lamps) on which the Federally 

mandated test procedures are to be based. 71 FR 

71340 (Dec. 8, 2006). 

organization recognized by NVLAP.’’ 

(10 CFR 430.25) Because NVLAP 

accreditation includes procedures to 

correct for self-absorption during the 

calibration process, DOE concludes that 

the self-absorption correction provisions 

in IESNA LM–9–1999 would not result 

in any significant change in measured 

lamp efficacy. Therefore, DOE believes 

that applicable energy conservation 

standards do not need to be adjusted for 

this factor. (42 U.S.C. 6293(e)) 

In preparing the March 2008 NOPR, 

DOE discovered a second difference 

between IESNA LM–9–1988 and the 

updated 1999 version regarding 

electrical settings used during lamp 

measurements. The updated IESNA 

standard allows measurements to be 

taken with the lamp operating and 

stabilized under one of three conditions: 

(1) At the specified input voltage to the 

reference circuit; (2) at the rated lamp 

power; or (3) at a specified current. In 

contrast, the 1988 version of the IESNA 

standard requires that measurements be 

taken at the input voltage specified by 

the reference circuit. Although all three 

measurement techniques are valid 

methods to test fluorescent lamps, it 

was DOE’s understanding that testing 

under these different techniques could 

result in significantly different 

efficacies, so DOE proposed in the 

March 2008 NOPR to limit the testing of 

lamps to one method, with the lamp 

operating and stabilized at the specified 

input voltage to the reference circuit. 73 

FR 13465, 13471 (March 13, 2008) 

NEMA commented that incorporating 

additional lamp testing options, 

consistent with IESNA LM–9–1999, 

would provide flexibility for testing new 

lamp designs and system applications in 

the future. NEMA stated that it does not 

believe that any significant 

measurement differences exist between 

the three methods. NEMA also 

contended that restricting testing to one 

method would create an undue 

hardship for manufacturers because 

additional testing would be required to 

demonstrate compliance whenever a 

manufacturer would otherwise choose 

to use one of the alternative test 

methods. NEMA urged DOE to consult 

with IESNA and NIST to determine 

whether the selection of test methods 

should be restricted. (NEMA, No. 25 at 

pp. 3–4) 

In response, DOE consulted with 

NIST and an advisory member of the 

IESNA Test Procedures Committee, and 

tested several lamps using the three 

lamp testing options. In testing several 

4-foot medium bipin lamps using the 

three methods specified in LM–9–1999, 

DOE found that the measured efficacy 

values differed by up to 3.5 percent, a 

significant variation among test 

methods. DOE believes that allowing 

fluorescent lamps to be tested using 

these three methods will affect the 

measured efficacy and lead to 

inconsistent reporting. As the purpose 

of the test procedures is to provide a 

consistent measurement of lamp 

efficacy across various lamps and lamp 

manufacturers, DOE has decided in this 

final rule to limit the testing of GSFL to 

one method (the method currently 

employed by the existing test 

procedure): with the lamp operating and 

stabilized at the specified input voltage 

to the reference circuit. DOE does not 

believe that limiting the testing of GSFL 

to this method would be unduly 

burdensome to manufacturers because 

DOE is choosing to continue the existing 

method for testing. 

Other Referenced Standards. In the 

March 2008 NOPR, DOE proposed 

adopting several other updated industry 

standards incorporated by reference in 

DOE’s lighting regulations. For these 

other industry standards, DOE 

tentatively determined that the update 

would neither result in a test procedure 

that was unduly burdensome to conduct 

nor significantly change the measured 

lamp efficacy. 73 FR 13465, 13468– 

13472 (March 13, 2008) DOE did not 

receive comments on any of these other 

proposed updates. Therefore, in this 

final rule, DOE makes the following 

updates to industry standards 

incorporated by reference: 

(1) incorporate by reference ANSI/IEC 

C78.81–2005 and ANSI/IEC C78.901– 

2005 and delete references to ANSI 

C78.1–1991 in the definition of ‘‘coldtemperature fluorescent lamp’’ in 10 

CFR 430.2; 

(2) incorporate by reference ANSI/IEC 

C78.81–2005 and delete the reference to 

ANSI C78.1–1991 in paragraph (3) of the 

definition of ‘‘fluorescent lamp’’ in 10 

CFR 430.2; 

(3) incorporate by reference ANSI/IEC 

C78.81–2005 and ANSI/IEC C78.901– 

2005 and delete the references to ANSI 

C78.1–1991, ANSI C78.2–1991, and 

ANSI C78.3–1991 in the test methods 

and measurements of GSFL (10 CFR 

430, subpart B, appendix R); 

(4) incorporate by reference ANSI/IEC 

C78.81–2005 and ANSI/IEC C78.901– 

2005 and delete the reference to ANSI 

C78.2–1991 in 10 CFR 430.3; 

(5) replace the reference to ANSI 

C78.375–1991 with ANSI C78.375–1997 

in 10 CFR 430.3 and 10 CFR part 430, 

subpart B, appendix R; 

(6) replace the reference to ANSI 

C82.3–1983 with ANSI C82.3–2002 in 

10 CFR 430.3 and 10 CFR part 430, 

subpart B, appendix R; 

(7) replace the references to IESNA 

LM–9–1988 in 10 CFR 430.3 and 10 CFR 

part 430, subpart B, appendix R with 

references to IESNA LM–9–1999, 

providing that during testing, the lamp 

must be operating and stabilized at the 

specified input voltage to the reference 

circuit; 

(8) incorporate by reference IESNA 

LM–45–2000 and delete references to 

IESNA LM–45–1991 in 10 CFR 430.3 

and 10 CFR part 430, subpart B, 

appendix R; 

(9) delete the reference to IESNA LM– 

16–1993 from 10 CFR part 430, subpart 

B, appendix R; 

(10) incorporate by reference CIE 

Publication 13.3–1995 and delete 

references to CIE Publication 13.2–1974 

in 10 CFR 430.2 and 10 CFR part 430, 

subpart B, appendix R; 

(11) delete references to CIE 

Publication 13.2–1974 in 10 CFR 430.3; 

(12) incorporate by reference CIE 15– 

2004 in 10 CFR 430.3 and 10 CFR part 

430, subpart B, appendix R. 

B. Medium Base Compact Fluorescent 

Lamps 

In the March 2008 NOPR, DOE 

proposed to delete references to test 

procedures for medium base compact 

fluorescent lamps from 10 CFR part 430, 

subpart B, appendix R, because the 

December 2006 Final Rule 6 added test 

procedures conforming with EPACT 

2005. Under 42 U.S.C. 6293(b)(12)(A), 

EPCA requires test procedures for 

medium base CFL to be based on the 

August 9, 2001, version of the ENERGY 

STAR program requirements for CFL 

(i.e., version 2.0). Accordingly, the 

December 2006 Final Rule incorporated 

version 2.0 as DOE’s test procedure for 

CFL. (10 CFR part 430, subpart B, 

appendix W) In response to the March 

2008 NOPR, NEMA commented that 

appendix W suitably addresses the need 

for test procedures for medium base 

compact fluorescent lamps. (NEMA, No. 

25 at p. 2) Therefore, in this final rule, 

DOE amends the test procedure to 

delete references to testing medium base 

compact fluorescent lamps from 10 CFR 

430.3 and 10 CFR part 430, subpart B, 

appendix R. In addition, DOE now 

references appendix W of subpart B 

instead of appendix R of subpart B in 10 

CFR part 430 when indicating the 


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7 ‘‘IESNA Approved Method for the Electrical and 

Photometric Measurements of Fluorescent Lamps,’’ 

Journal of the Optical Society of America, Vol. 58, 

pp. 1528–1535 (1968). 

appropriate test procedure for medium 

base compact fluorescent lamps. 

C. High-Frequency Fluorescent Ballast 

Testing 

In the March 2008 NOPR, DOE noted 

a potential problem when incorporating 

ANSI/IEC C78.81–2005. Specifically, 

ANSI/IEC C78.81–2005 allows several 

lamps to be tested on high-frequency 

ballasts. However, DOE noted that the 

same lamp tested on different reference 

ballasts may have different efficacies. 

Although high-frequency testing 

specifications are not yet available for 

all of DOE’s covered fluorescent lamp 

types, ANSI/IEC C78.81–2005 does 

provide low-frequency reference ballast 

specifications for all covered fluorescent 

lamps. Therefore, to maintain 

consistency and comparability across 

testing, DOE proposed to require testing 

of GSFL using low-frequency ballasts 

when possible. 

NEMA generally agreed with this 

proposal. In contrast, Pacific Gas and 

Electric stated that testing on highfrequency ballasts should not be limited 

to only those products for which a lowfrequency reference ballast does not 

exist, although reasoning for this 

opinion was not provided. (NEMA, No. 

25 at p. 4; Public Meeting Transcript, 

No. 20 at p. 25) NEMA added that GSFL 

will mainly be used in high-frequency 

systems in the future, so at that point, 

lamp efficacy should be determined 

using high-frequency reference 

conditions to accurately reflect the 

commercial market. According to 

NEMA, two conditions must exist for 

this shift to occur: (1) Standards 

defining high-frequency reference 

ballasts must produce accurate, 

repeatable results; and (2) test 

equipment must be affordable and 

available for all laboratories. (NEMA, 

No. 25 at p. 4) NEMA suggested having 

periodic discussions with DOE to 

monitor these developments. 

In response to these comments, DOE 

will monitor the development of testing 

standards of GSFL over time. 

Ultimately, there may prove to be 

benefits related to characterization of 

lamps that can use high-frequency 

ballasts by testing with a high-frequency 

reference ballast. In the future, DOE will 

consider amendments to its test 

procedure for lamps to include testing 

on high-frequency reference ballasts, 

keeping in mind the two criteria 

mentioned above. However, for this 

final rule, DOE is amending the test 

procedure to require testing of GSFL on 

low-frequency ballasts except when 

only high-frequency reference ballasts 

are specified. In such a case where only 

high-frequency ballast specifications are 

available, the lamp should be tested on 

a high-frequency reference ballast. As 

discussed in the March 2008 NOPR, 

DOE does not believe this amendment 

will result in any change in the 

measured efficacies of fluorescent or 

incandescent lamps or be unduly 

burdensome to manufacturers. In 

addition, DOE did not receive any 

comments in response to the NOPR that 

disagreed with this conclusion. 

D. Measurement and Calculation of 

Correlated Color Temperature 

DOE uses CCT as a metric to define 

both ‘‘colored fluorescent lamp’’ and 

‘‘colored incandescent lamp.’’ In the 

energy conservation standards NOPR, 

DOE proposed to develop separate 

product classes and efficacy standards 

for fluorescent lamps based on CCT. 74 

FR 16920, 16937–38 (April 13, 2009). 

However, the existing test procedures 

for fluorescent and incandescent lamps 

do not provide guidance or 

methodologies for determining or 

calculating CCT. To resolve this, DOE 

proposed in the March 2008 NOPR to 

include a reference to IESNA LM–9– 

1999 in the definition of ‘‘colored 

fluorescent lamp’’ under 10 CFR 430.2 

and in 10 CFR part 430, subpart B, 

appendix R as a test method for 

measuring and calculating CCT for 

fluorescent lamps. For incandescent 

lamps, EISA 2007 introduced a new 

statutory definition for ‘‘colored 

incandescent lamp’’ that referenced a 

method for calculating CCT contained 

in the Journal of the Optical Society of 

America (hereafter referred to as the 

Journal Article).7 To maintain 

consistency, DOE proposed to 

incorporate the same reference into the 

incandescent lamp test procedure. 

NEMA agreed that IESNA LM–9–1999 

is the appropriate test procedure to use 

to determine CCT for a fluorescent 

lamp. (NEMA, No. 25 at p. 5; Public 

Meeting Transcript, No. 20 at p. 29) 

Regarding calculation of CCT for 

incandescent lamps, NEMA 

recommended the procedure proposed 

in the Journal Article. However, NEMA 

stated that DOE should incorporate this 

article into the test procedure by 

referencing a CIE report, which in turn 

refers to the article. NEMA prefers this 

approach because the industry 

publication is updated by experts in the 

field, so manufacturers could be sure 

that information contained in each 

revision would be the most up-to-date at 

that time. (NEMA, No. 25 at p. 5) 

DOE agrees to reference the article in 

the Journal of the Optical Society of 

America by incorporating CIE 15–2004, 

Third Edition, Technical Report— 

Colorimetry, into the test procedure. By 

referencing this current industry 

publication instead of the Journal 

Article, DOE ensures that the test 

procedure references the most accurate 

information known to the industry at 

the time of this rulemaking. For 

example, the CIE Technical Report 

contains an updated constant for the 

Planck equation, which had changed 

since the time the Journal Article was 

published. DOE does not believe that 

incorporating CIE 15–2004 will result in 

any additional testing burden or 

significant change in measured lamp 

efficacy. (42 U.S.C. 6293(e)) If 

subsequent revisions to CIE 15–2004 are 

made by the industry in the future, DOE 

will consider adopting an updated 

version in a later rulemaking. 

In the March 2008 NOPR, DOE 

proposed test procedures that required 

CCT to be rounded to the nearest unit 

(measured in kelvin (K)). 73 FR 13465, 

13479 (March 13, 2008). NEMA 

commented that rounding CCT to the 

nearest unit demonstrates a false level of 

accuracy. Instead, NEMA recommended 

rounding CCT to the nearest ten kelvin. 

(NEMA, No. 25 at pp. 5–6) After 

consulting with NIST, DOE agrees that 

rounding CCT to the nearest unit is 

unnecessary because distinguishing 

between single digits in CCT is not 

meaningful. Since all laboratories are 

able to measure CCT to three significant 

figures (a typical value is on the order 

of 4100K), DOE will require 

manufacturers to round CCT to the 

nearest ten kelvin. 

E. Calculation of Fluorescent Lamp 

Efficacy 

In the existing test procedure, lamp 

efficacy for IRL is rounded to the nearest 

tenth of a lumen per watt. (10 CFR 

430.23(r)(3)) For GSFL, although 

minimum lamp efficacy requirements 

for GSFL in EPCA are specified to the 

nearest tenth of a lumen per watt, for all 

GSFL standards, the tenth lumen per 

watt decimal place is zero (e.g., the 

minimum efficacy requirement for 4- 

foot medium bipin lamps is 75.0 lumens 

per watt). In contrast to IRL, which 

currently requires efficacy 

measurements to the nearest tenth of a 

lumen per watt, lamp efficacy 

measurements for GSFL in the existing 

test procedure are rounded to the 

nearest whole number. (10 CFR 

430.23(r)(2)) DOE believes that the 

accuracy of efficacy measurements is 

crucial in order to better compare one 

product to another. This accuracy 


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allows DOE to more effectively establish 

energy conservation standards, thereby 

potentially decreasing energy use under 

DOE regulations. Therefore, in the 

March 2008 NOPR, DOE proposed to 

revise the GSFL test procedure (10 CFR 

430.23(r)) and the test procedure 

definition of ‘‘lamp efficacy’’ (10 CFR 

part 430, subpart B, appendix R, 

paragraph 2.6), such that all efficacy 

measurements for these lamps are 

rounded to the nearest tenth of a lumen 

per watt. The results of such an 

amendment would be higher accuracy 

measurements and more consistent test 

procedures across lighting products 

without increasing testing burdens on 

manufacturers. In addition, in the 

energy conservation standards ANOPR, 

DOE proposed candidate standard levels 

that were rounded to the nearest tenth 

of a lumen per watt. 73 FR 13620, 

13685–86 (March 13, 2008). 

In response to the energy conservation 

standards ANOPR, NEMA commented 

that energy efficiency standards should 

not be carried out to the tenths decimal 

place, but instead rounded to the 

nearest whole number. 74 FR 16920, 

16945–47 (April 13, 2009). 

Additionally, in response to the March 

2008 NOPR for this test procedure 

rulemaking, NEMA expressed concern 

that rounding energy efficiency 

standards to the nearest tenth lumen per 

watt could result in unforeseen 

consequences (unexplained). NEMA 

urged DOE to continue to require 

rounding to the nearest whole number 

in this final rule and then to revisit the 

subject in a future rulemaking after the 

energy conservation standards 

rulemaking is complete. (NEMA, No. 25 

at p. 4; Public Meeting Transcript, No. 

20 at p. 27) In contrast, the American 

Council for an Energy Efficient 

Economy (ACEEE) supported rounding 

data to the tenths place, because more 

precise data would facilitate the 

determination of the appropriate energy 

conservation standard. (Public Meeting 

Transcript, No. 20 at p. 27) 

In response to these comments, DOE 

has tentatively decided for the present 

to continue to round energy 

conservation standard levels for the 

subject lamps to the nearest whole 

number for the reasons that follow. In 

the ongoing energy conservation 

standards rulemaking, DOE’s 

calculations of efficacy levels and 

subsequent analyses have been based on 

certification and compliance reports 

submitted by manufacturers. Because 

these manufacturer reports round 

numbers to the nearest lumen per watt, 

DOE believes it would be unjustified to 

establish an energy conservation 

standard for GSFL to the nearest tenth 

of a lumen per watt, because the data 

are not currently available to support 

that level of specificity. However, DOE 

agrees with ACEEE and still believes 

that rounding to the nearest tenth of a 

lumen per watt would maximize energy 

savings. Therefore, in a future standards 

rulemaking, DOE plans to revisit this 

issue. In order to be able to round future 

energy conservation standards to the 

nearest tenth of a lumen per watt, DOE 

is amending the test procedure through 

today’s final rule to require reported 

efficacy measurements for GSFL to be 

rounded to the nearest tenth of a lumen 

per watt, even though current minimum 

efficacy standards would only be 

specified to the nearest lumen per watt. 

For example, a lamp with a measured 

efficacy of 82.5 lumens per watt or 

above would meet an energy 

conservation standard of 83 lumens per 

watt. DOE does not believe that this 

change in rounding convention for 

reported efficacies would result in any 

additional testing burden or significant 

change in measured lamp efficacy 

because manufacturers routinely 

generate testing results that would allow 

reporting to at least the tenth of a lumen 

per watt level. In addition, because DOE 

is continuing to set energy conservation 

standard levels at the nearest whole 

lumen per watt level, today’s test 

procedure amendment would not alter 

whether any GSFL would comply with 

existing standards. (42 U.S.C. 6293(e)) 

F. General Service Fluorescent Lamp 

Basic Model 

To demonstrate compliance with an 

efficacy standard, manufacturers must 

test a basic model. 10 CFR 430.24(r). In 

the May 1997 Final Rule, DOE stated 

that the definition of ‘‘basic model’’ for 

GSFL includes all lamps with 

essentially identical light output, power 

input, and luminous efficacy, regardless 

of their CCT (62 FR 29221, 29232 (May 

29, 1997)). However, because the energy 

conservation standards ANOPR 

considered establishing product classes 

based on CCT, DOE proposed to amend 

the definition of ‘‘basic model’’ for 

GSFL in the March 2008 NOPR to 

require that the lamps have similar 

CCTs. 73 FR 13465, 13474 (March 13, 

2008). 

At the public meeting, NEMA 

mentioned that the lighting industry 

uses nominal CCT rather than a 

precisely calculated CCT to designate 

the color of GSFL and urged DOE to add 

a CCT criterion to the basic model only 

if a tolerance factor were developed. 

(Public Meeting Transcript, No. 20 at 

pp. 31–32) In a later written comment, 

NEMA modified its position, stating that 

CCT should not be incorporated into the 

GSFL basic model. NEMA argued that 

such a requirement would increase the 

number of basic models on which 

manufacturers needed to report, thereby 

greatly increasing the burden on 

manufacturers. Instead, NEMA 

proposed a method similar to the one 

used for non-colored incandescent 

lamps, in which manufacturers would 

only be required to provide CCT data for 

lamps that are required to meet lessstringent energy conservation standards. 

(NEMA, No. 25 at p. 5) Any lamp for 

which CCT is not reported would be 

presumed to be part of the product class 

for which higher energy conservation 

standards are established. 

In this final rule, DOE has decided to 

not explicitly include CCT in the 

definition of ‘‘basic model’’ for GSFL. 

Instead, DOE believes that because the 

existing definition of ‘‘basic model’’ 

requires that lamps within one basic 

model to have essentially identical 

efficacy, it is in fact implicit that lamps 

with largely different CCT (and 

therefore efficacy) should be tested as 

separate basic models. Thus, DOE agrees 

with NEMA that separate basic models 

are not necessary for each measured 

CCT value. DOE believes that 

manufacturers should group lamps with 

respect to CCT based on the ANSI 

C78.375–1997 industry standard which 

provides tolerances for a lamp to be 

designated a certain nominal CCT. This 

method would ensure that similar lamps 

are grouped together and maintain 

consistency with product class divisions 

proposed in the energy conservation 

standards NOPR. DOE does not believe 

that there is a significant difference in 

measured efficacy among the lamps that 

fall within the CCT tolerances 

designated in the ANSI standard. 

G. Reference Ballast Settings for Added 

Fluorescent Lamp Coverage 

When the March 2008 NOPR was 

published, DOE was considering 

expanding coverage of the fluorescent 

lamp standard in the energy 

conservation standards ANOPR to 

include additional 8-foot single pin 

slimline and 8-foot recessed double 

contact high-output lamps (i.e., lamps 

not yet regulated). In addition, the 

introduction of new 4-foot medium 

bipin and 2-foot U-shaped fluorescent 

lamps into the lighting market had 

effectively expanded DOE’s scope of 

regulation under the existing definition 

of ‘‘fluorescent lamp’’ (i.e., lamps 

already regulated but without adequate 

test procedures). Therefore, DOE 

proposed test procedures for these 

additional lamps. 

NEMA commented that DOE should 

not establish test procedures for lamps 


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that may be but have not yet been 

extended coverage by the energy 

conservation standards rulemaking. 

NEMA claimed that instituting generic 

test conditions, particularly reference 

ballast settings, without knowing the 

specific GSFL to which the conditions 

may apply could have unexpected 

consequences. In particular, such test 

procedures could constrain innovation 

by affecting the introduction of new 

lamps into the market. NEMA suggested 

that DOE should establish reference test 

conditions for newly covered GSFL in 

the energy conservation standards 

rulemaking rather than this final rule. 

(NEMA, No. 25 at pp. 6–8; Public 

Meeting Transcript, No. 20 at pp. 39–40) 

DOE does not agree that imposing test 

conditions for future covered products 

would limit innovation in the lighting 

industry. DOE maintains a test 

procedure waiver process specifically 

for this reason. Under 10 CFR 430.27, 

DOE’s regulations state, ‘‘Any interested 

person may submit a petition to waive 

for a particular basic model any 

requirements of § 430.23, or of any 

appendix to this subpart, upon the 

grounds that the basic model contains 

one or more design characteristics 

which either prevent testing of the basic 

model according to the prescribed test 

procedures, or the prescribed test 

procedures may evaluate the basic 

model in a manner so unrepresentative 

of its true energy consumption 

characteristics, or water consumption 

characteristics (in the case of faucets, 

showerheads, water closets, and urinals) 

as to provide materially inaccurate 

comparative data.’’ (10 CFR 

430.27(a)(1)) This waiver process exists 

to avoid constraining innovation in the 

industry. Thus, DOE believes it is not 

preventing the introduction of future 

products into the market by specifying 

generic test conditions in this final rule. 

However, DOE agrees with NEMA’s 

second comment that it should not yet 

adopt test procedures for potentially 

new covered products. As these lamps 

are not yet regulated by DOE, DOE 

believes it unnecessary to establish test 

procedures for them at this time. 

Therefore, in the energy conservation 

standards final rule, DOE will set forth 

test procedure provisions (based upon 

those proposed in the March 2008 

NOPR) for any additional lamp types to 

which DOE extends coverage. DOE will 

not adopt test procedures for any lamps 

excluded from its energy conservation 

standards regulations. 

Regarding currently-regulated GSFL 

that are on the market today, but do not 

have reference ballast settings listed in 

ANSI/IEC C78.81–2005 or ANSI/IEC 

C78.901–2005, NEMA supported the 

adoption of the reference ballast settings 

proposed for 2-foot U-shaped lamps in 

the March 2008 NOPR. NEMA also 

committed to developing standardized 

test conditions that DOE could consider 

for several other covered lamp types for 

which no test conditions currently exist. 

(NEMA, No. 25 at p. 8) 

While DOE appreciates NEMA’s offer, 

the organization did not set a timeframe 

for developing new test conditions, and 

DOE believes that this final rule needs 

to establish test conditions for all lamps 

subject to existing energy conservation 

standards. In addition, DOE believes 

that the test conditions set forth in the 

March 2008 NOPR are appropriate for 

most commercially-available lamps. 

DOE arrived at the ballast settings for 

these lamps by determining the 

appropriate lamp replacement that 

exists in the relevant industry standard 

and using the corresponding reference 

ballast settings for all lamps that fall 

into that category. However, if NEMA 

supplies test conditions for industry 

standards, DOE will consider 

incorporating them into its test 

procedure regulations in a subsequent 

rulemaking. 

H. Test Procedures for Added General 

Service Incandescent Lamp Coverage 

In the March 2008 NOPR, DOE 

proposed to amend the existing test 

procedure in order to: (1) specify the 

units to be tested in 10 CFR 430.24(r)(1); 

(2) define the ‘‘basic model’’ for GSIL in 

10 CFR 430.2; and (3) provide a method 

for calculating annual energy 

consumption and efficacy of GSIL. 

Because of the similarity in technology 

between GSIL and IRL, DOE proposed 

that additions to the GSIL test procedure 

be implemented in the same manner as 

in the corresponding IRL test procedure. 

NEMA agreed with DOE’s proposal to 

insert language into the GSIL test 

procedures to maintain consistency 

with existing IRL test procedures and 

sampling methods. (NEMA, No. 25 at p. 

8; Public Meeting Transcript, No. 20 at 

pp. 43–44) In light of the comments 

supporting the proposal, DOE is 

adopting these amendments as 

proposed. 

I. Off Mode and Standby Mode Energy 

Consumption 

Section 310(3) of EISA 2007 directs 

DOE to amend its test procedures for all 

covered products to incorporate a 

measure of off mode and standby mode 

energy consumption, if technically 

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

careful review, DOE tentatively 

concluded in the March 2008 NOPR that 

current GSFL, IRL, and GSIL 

technologies do not employ a standby 

mode or off mode. In its comments, 

NEMA agreed that provisions for off 

mode and standby mode energy 

consumption do not apply to 

fluorescent and incandescent lamps, 

and that no measurement methods for 

these two modes need to be developed. 

(NEMA, No. 25 at p. 9; Public Meeting 

Transcript, No. 20 at p. 49) Therefore, in 

this final rule, DOE concludes that given 

the inapplicability of standby mode and 

off mode to these products, it is neither 

appropriate nor necessary to incorporate 

a measure of such energy use into DOE’s 

test procedures for GSFL, IRL, and GSIL. 

J. Reduction of Burdensome Provisions 

Under 49 U.S.C. 6293(b), EPCA 

authorizes DOE to amend or establish 

new test procedures as appropriate for 

each covered product. EPCA states that 

‘‘[a]ny test procedures prescribed or 

amended under this section shall be 

reasonably designed to produce test 

results which measure energy 

efficiency, energy use, water use (in the 

case of showerheads, faucets, water 

closets and urinals), or estimated annual 

operating cost of a covered product 

during a representative average use 

cycle or period of use, as determined by 

the Secretary [of Energy], and shall not 

be unduly burdensome to conduct.’’ (42 

U.S.C. 6293(b)(3)) 

In its written comments, NEMA stated 

DOE should take measures to reduce 

overly burdensome requirements of the 

test procedure to offset the increased 

reporting requirements for newly 

regulated general service incandescent 

lamps. Specifically NEMA urged DOE 

eliminate the pre-production 

notification requirement for all covered 

lamp types. (NEMA, No. 25 at p. 9; 

Public Meeting Transcript, No. 20 at pp. 

44–46) 

Pursuant to 42 U.S.C. 6295(i)(8), the 

statute provides that lamp 

manufacturers shall have 12 months 

from the commencement of production 

to test new products and to certify that 

they comply with the energy 

conservation standards. During this test 

period, however, new lamps that are 

sold shall meet the applicable 

standards. Prior to or concurrent with 

the distribution of a new model of GSFL 

or IRL, DOE requires that manufacturers 

or private labelers submit a statement 

that it has been determined that the 

lamp meets or exceeds the energy 

conservation standards, including a 

description of any testing or analysis the 

manufacturer or private labeler 

performed. (10 CFR 430.62(b)(2)) As 

stated in the May 1997 Final Rule, this 

‘‘pre-production requirement’’ ensures 

that the 12 month test period is not used 


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31838 Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 

8Categorical Exclusion A5 provides: 

‘‘Rulemaking interpreting or amending an existing 

rule or regulation that does not change the 

environmental effect of the rule or regulation being 

amended.’’ 

to distribute substandard lamps. 62 FR 

29221, 29233 (May 29, 1997). 

As an alternative to the preproduction notification requirement, 

NEMA suggested that DOE should allow 

manufacturers to maintain evidence of 

compliance before launching a newly 

covered product, which the 

manufacturers could then provide upon 

DOE’s request. NEMA commented that 

such an approach would free up 

industry resources that could then be 

used to satisfy the new reporting 

provisions. (NEMA, No. 25 at p. 9; 

Public Meeting Transcript, No. 20 at pp. 

44–46) In response to NEMA’s 

comment, DOE maintains that the preproduction notification requirement is a 

useful and necessary part of the 

certification and enforcement process. 

In particular, by requiring 

manufacturers to submit such a 

statement upon distribution of a new 

product, DOE is not only notified that 

a new lamp product is being 

manufactured or sold, but also that it 

meets applicable energy conservation 

standards. Therefore, in this final rule, 

DOE has decided not to eliminate this 

notification requirement. As 

manufacturers have been required to 

submit these statements in the past, 

DOE does not believe that maintaining 

the preproduction notification 

requirement would be unduly 

burdensome for manufacturers. 

NEMA also argued that DOE should 

not require manufacturers to re-test or 

re-report basic models that are already 

covered under regulations and that 

would continue to meet the new 

standards prescribed by the energy 

conservation standards rulemaking. 

(NEMA, No. 25 at p. 10) Regarding retesting of basic models that were already 

covered by regulations, EPCA states, 

‘‘Models of covered products in use 

before the date on which the amended 

energy conservation standard becomes 

effective (or revisions of such models 

that come into use after such date and 

have the same energy efficiency, energy 

use, or water use characteristics) that 

comply with the energy conservation 

standard applicable to such covered 

products on the day before such date 

shall be deemed to comply with the 

amended energy conservation 

standard.’’ (42 U.S.C. 6293(e)(3)) 

Therefore, if existing compliance reports 

show that a basic model already meets 

the new energy efficiency standards, no 

additional testing is necessary once the 

new standards go into effect. However, 

DOE notes that in the energy 

conservation standards NOPR, it has 

acknowledged that high-CCT lamps may 

have lower efficacies and warrant 

separate standards. Therefore, if existing 

compliance reports combine high- and 

low-CCT lamps into one basic model, 

these lamps may require re-testing as 

separate basic models to ensure that all 

lamps meet the amended energy 

conservation standards. 

III. Effect of Test Procedure Revisions 

on the Measure of Energy Efficiency 

In amending a test procedure, section 

323(e) of EPCA directs DOE to 

determine to what extent, if any, the test 

procedure would alter the measured 

energy efficiency of the covered 

product. (42 U.S.C. 6293(e)(1)) If the 

amended test procedure alters the 

measured efficiency, the Secretary must 

determine the average efficiency level 

under the new test procedure of 

products that minimally complied with 

the applicable energy conservation 

standard prior to the test procedure 

amendment, and must set the standard 

at that level. (42 U.S.C. 6293(e)(2)) In 

addition, any existing model of a 

product that complied with the 

previously applicable standard would 

be deemed to comply with the new 

standard. (42 U.S.C. 6293(e)(3)) These 

provisions prevent changes in a test 

procedure from indirectly altering the 

applicable Federal energy conservation 

standard. They also prevent the new test 

procedure from forcing products out of 

compliance that complied with 

standards using the previous test 

procedure. 

In the March 2008 NOPR, DOE stated 

that substituting references to LM–9– 

1999 in place of references to LM–9– 

1988 might affect the measure of energy 

efficiency and necessitate a change in 

energy conservation standards for 

fluorescent lamps. LM–9–1999 added a 

specification for self-absorption 

correction when taking light output 

measurements. In the NOPR, DOE 

expressed its belief that this could raise 

calculated efficacy by as much as 5 or 

10 percent and resolved to amend 

efficacy standards as appropriate. 73 FR 

13465, 13471 (March 13, 2008). As 

discussed above, NEMA commented 

that self-absorption is already accounted 

for in the calibration process, and, 

therefore, energy efficiency standards 

would not have to be amended. (NEMA, 

No. 25 at p. 3) Consultation with NIST 

revealed this to be true. Laboratories 

that test these lamps are required to 

account for self-absorption as part of the 

NIST accreditation process, in which all 

laboratories must participate to be 

qualified to test lamps for compliance. 

(See section II.A of this final rule for 

further details.) 

Fully incorporating LM–9–1999 into 

the DOE test procedure would have 

expanded the number of methods 

permitted to measure lamp efficacy. 

After consultation with NIST and 

testing of actual lamps, DOE discovered 

that the new test methods would result 

in a significant difference in measured 

efficacy, thereby requiring DOE to 

change its energy efficiency standards. 

In order for the test procedure to 

provide a consistent measurement of 

lamp efficacy across various lamps and 

lamp manufacturers, DOE has decided 

in this final rule to continue to limit the 

testing of GSFL to one method: with the 

lamp operating and stabilized at the 

specified input voltage to the reference 

circuit. Because this was the only test 

method permitted in the existing test 

procedure, DOE concludes that energy 

conservation conservations standards 

will not be affected by the incorporation 

of LM–9–1999 and that maintaining this 

requirement will not be unduly 

burdensome. (See section II.A for 

details.) 

Because no other test procedure 

amendments proposed by DOE would 

affect the measured energy efficiency, 

DOE concludes that no changes to the 

energy conservation standards are 

necessary. 

IV. Procedural Issues and Regulatory 

Review 

A. Executive Order 12866 

Today’s regulatory action is not a 

‘‘significant regulatory action’’ under 

section 3(f) of Executive Order 12866, 

‘‘Regulatory Planning and Review,’’ 58 

FR 51735 (Oct. 4, 1993). Accordingly, 

this action was not subject to review 

under that Executive Order by the Office 

of Information and Regulatory Affairs 

(OIRA) of the Office of Management and 

Budget (OMB). 

B. National Environmental Policy Act 

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 (42 U.S.C. 4321 et 

seq.) and DOE’s implementing 

regulations at 10 CFR part 1021. This 

rule amends an existing rule without 

changing its environmental effect, and, 

therefore, is covered by the Categorical 

Exclusion A5 found in appendix A to 

subpart D, 10 CFR part 1021.8

Accordingly, neither an environmental 

assessment nor an environmental 

impact statement is required. 


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Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 31839 

C. Regulatory Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of an initial regulatory flexibility 

analysis for any rule that by law must 

be proposed for public comment, unless 

the agency certifies that the rule, if 

promulgated, will not have a significant 

economic impact on a substantial 

number of small entities. As required by 

Executive Order 13272, ‘‘Proper 

Consideration of Small Entities in 

Agency Rulemaking,’’ 67 FR 53461 

(August 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. 68 FR 7990. DOE 

has made its procedures and policies 

available on the Office of the General 

Counsel’s Web site at http:// 

www.gc.doe.gov. 

DOE reviewed today’s final rule under 

the provisions of the Regulatory 

Flexibility Act and the policies and 

procedures published on February 19, 

2003. DOE tentatively certified in the 

March 2008 NOPR that the proposed 

rule would not have a significant 

economic impact on a substantial 

number of small entities. 73 FR 13465, 

13477 (March 13, 2008). DOE received 

no comments on this issue, and after 

again considering the potential impacts 

of this final rule on small entities, DOE 

reaffirms and certifies that finding. 

D. Paperwork Reduction Act 

This rulemaking imposes no new 

information or recordkeeping 

requirements. See March 13, 2008 

NOPR, 73 FR 13465, 13477. 

Accordingly, OMB clearance is not 

required under the Paperwork 

Reduction Act. (44 U.S.C. 3501 et seq.) 

E. Unfunded Mandates Reform Act of 

1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) (Pub. L. 

104–4) requires each Federal agency to 

assess the effects of Federal regulatory 

actions on State, local, and Tribal 

governments and the private sector. For 

proposed regulatory actions likely to 

result in a rule that may cause 

expenditures by State, local, and Tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

(adjusted annually for inflation), section 

202 of UMRA requires a Federal agency 

to publish estimates of the resulting 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

The UMRA also requires a Federal 

agency to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate.’’ UMRA 

also requires an agency plan for giving 

notice and opportunity for timely input 

to small governments that may be 

affected before establishing a 

requirement that might significantly or 

uniquely affect them. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA (62 FR 12820) (also available at 

http://www.gc.doe.gov). Today’s final 

rule contains neither an 

intergovernmental mandate nor a 

mandate that may result in the 

expenditure by State, local, and Tribal 

governments, or by the private sector, of 

$100 million or more in any year. 

Accordingly, no assessment or analysis 

is required under the Unfunded 

Mandates Reform Act of 1995. 

F. Treasury and General Government 

Appropriations Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. 

Today’s rule would have no impact on 

the autonomy or integrity of the family 

as an institution. Accordingly, DOE has 

concluded that it is unnecessary to 

prepare a Family Policymaking 

Assessment. 

G. Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255 (August 4, 1999) imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have Federalism implications. 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 final rule 

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. 

Accordingly, Executive Order 13132 

requires no further action. 

H. Executive Order 12988 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; (3) 

provide a clear legal standard for 

affected conduct rather than a general 

standard; and (4) promote simplification 

and burden reduction. Regarding the 

review required by section 3(a), section 

3(b) of Executive Order 12988 

specifically requires that Executive 

agencies make every reasonable effort to 

ensure that the regulation: (1) Clearly 

specifies the preemptive effect, if any; 

(2) clearly specifies any effect on 

existing Federal law or regulation; (3) 

provides a clear legal standard for 

affected conduct while promoting 

simplification and burden reduction; (4) 

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. 

I. Treasury and General Government 

Appropriations Act, 2001 

The Treasury and General 

Government Appropriations Act, 2001 

(44 U.S.C. 3516 note) provides for 

agencies to review most disseminations 

of information to the public under 

guidelines established by each agency 

pursuant to general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (Feb. 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (Oct. 7, 2002). DOE has 

reviewed today’s notice under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

J. Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to OMB a Statement 

of Energy Effects for any proposed 

significant energy action. A ‘‘significant 

energy action’’ is defined as any action 

by an agency that promulgated or is 

expected to lead to promulgation of a 

final rule, and that: (1) Is a significant 

regulatory action under Executive Order 

12866, or any successor order; and (2) 


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31840 Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 

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 is not a significant regulatory 

action under Executive Order 12866 or 

any successor order; would not have a 

significant adverse effect on the supply, 

distribution, or use of energy; and has 

not been designated by the 

Administrator of OIRA as a significant 

energy action. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

K. Executive Order 12630 

Pursuant to Executive Order 12630, 

‘‘Governmental Actions and Interference 

with Constitutionally Protected Property 

Rights,’’ 53 FR 8859 (March 15, 1988), 

DOE has determined that this rule 

would not result in any takings that 

might require compensation under the 

Fifth Amendment to the U.S. 

Constitution. 

L. Section 32 of the Federal Energy 

Administration Act of 1974 

Under section 301 of the Department 

of Energy Organization Act (Pub. L. 95– 

91), the Department of Energy must 

comply with section 32 of the Federal 

Energy Administration Act of 1974 

(Pub. L. 93–275), as amended by the 

Federal Energy Administration 

Authorization Act of 1977 (Pub. L. 95– 

70). (15 U.S.C. 788) Section 32 provides 

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 Department of Justice 

and the Federal Trade Commission 

concerning the impact of the 

commercial or industry standards on 

competition. 

Certain amendments and revisions in 

this final rule incorporate updates to 

commercial standards already codified 

in DOE’s test procedure regulations in 

the CFR. As stated in the March 2008 

NOPR, the Department has evaluated 

these updated standards and is unable 

to conclude whether they fully comply 

with the requirements of section 32(b) of 

the Federal Energy Administration Act, 

(i.e., determine that they were 

developed in a manner that fully 

provides for public participation, 

comment, and review). 73 FR 13465, 

13478 (March 13, 2008). DOE has 

consulted with the Attorney General 

and the Chairman of the Federal Trade 

Commission (FTC) concerning the 

impact of these standards on 

competition, and neither recommended 

against their incorporation. 

M. Congressional Notification 

As required by 5 U.S.C. 801, DOE will 

report to Congress on the promulgation 

of today’s rule before its effective date. 

The report will state that it has been 

determined that the rule is not a ‘‘major 

rule’’ as defined by 5 U.S.C. 804(2). 

V. Approval of the Office of the 

Secretary 

The Secretary of Energy has approved 

publication of this final rule. 

List of Subjects in 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, on June 26, 

2009. 

Steven G. Chalk, 

Principal Deputy Assistant Secretary, Energy 

Efficiency and Renewable Energy. 

For the reasons stated in the 

preamble, part 430 of chapter II of title 

10, Code of Federal Regulations, is 

amended as set forth below: 

PART 430—ENERGY CONSERVATION 

PROGRAM FOR CONSUMER 

PRODUCTS 

■ 1. The authority citation for part 430 

continues to read as follows: 

Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 

2461 note. 

■ 2. Section 430.2 is amended by: 

■ a. Redesignating, in the definition of 

‘‘Basic Model,’’ paragraphs (16) through 

(26) as (17) through (27), and adding a 

new paragraph (16). 

■ b. Revising the definitions of ‘‘Cold 

temperature fluorescent lamp,’’ 

‘‘Colored fluorescent lamp,’’ and 

‘‘Fluorescent lamp’’ paragraph (3). 

The revisions and additions read as 

follows: 

§ 430.2 Definitions. 

* * * * * 

Basic Model * * * 

(16) With respect to general service 

incandescent lamps, means lamps that 

have essentially identical light output 

and electrical characteristics—including 

lumens per watt—and that do not have 

any differing physical or functional 

characteristics that affect energy 

consumption or efficacy. 

* * * * * 

Cold temperature fluorescent lamp 

means a fluorescent lamp specifically 

designed to start at ¥20 °F when used 

with a ballast conforming to the 

requirements of ANSI C78.81 

(incorporated by reference; see § 430.3) 

and ANSI C78.901 (incorporated by 

reference; see § 430.3), and is expressly 

designated as a cold temperature lamp 

both in markings on the lamp and in 

marketing materials, including catalogs, 

sales literature, and promotional 

material. 

Colored fluorescent lamp means a 

fluorescent lamp designated and 

marketed as a colored lamp, and that 

has either a CRI less than 40, as 

determined according to the method 

given in CIE 13.3 (incorporated by 

reference; see § 430.3), or a lamp 

correlated color temperature less than 

2,500K or greater than 6,600K, as 

determined according to the method set 

forth in IESNA LM–9 (incorporated by 

reference; see § 430.3). 

* * * * * 

Fluorescent lamp * * * 

(3) Any rapid-start lamp (commonly 

referred to as 8-foot high-output lamps) 

with recessed double contact bases of 

nominal overall length of 96 inches and 

0.800 nominal amperes, as defined in 

ANSI C78.81 (incorporated by reference; 

see § 430.3). 

* * * * * 

■ 3. Section 430.3 is amended in 

paragraphs (c), (h), and (j) by: 

■ a. Removing paragraph (c)(2) and 

redesignating paragraphs (c)(3) through 

(6) and (c)(8) through (12), as (c)(2) 

through (5) and (c)(9) through (13) 

respectively; 

■ b. Removing the words ‘‘and 

Appendix R to Subpart B’’ from 

paragraph (c)(1), redesignated paragraph 

(c)(2), and (j)(3); 

■ c. Removing paragraph (h)(1) and 

redesignating (h)(2) as (h)(1); 

■ d. Removing paragraph (j)(7); and 

■ e. Adding new paragraphs (c)(6) and 

(c)(8), revising newly redesignated 

paragraphs (c)(12) and (h)(1), and 

revising paragraphs (c)(7), (h)(2), (j)(2), 

and (j)(5) to read as follows: 

§ 430.3 Materials incorporated by 

reference. 

* * * * * 

(c) * * * 

(6) ANSI_IEC C78.81–2005, Revision 

of ANSI C78.81–2003 (‘‘ANSI C78.81’’), 

American National Standard for Electric 

Lamps—Double-Capped Fluorescent 

Lamps—Dimensional and Electrical 


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Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 31841 

Characteristics, approved August 11, 

2005; IBR approved for § 430.2 and 

Appendix R of subpart B. 

(7) ANSI C78.375–1997, Revision of 

ANSI C78.375–1991 (‘‘ANSI C78.375’’), 

American National Standard for 

Fluorescent Lamps—Guide for Electrical 

Measurements, first edition, approved 

September 25, 1997; IBR approved for 

Appendix R to Subpart B. 

(8) ANSI_IEC C78.901–2005, Revision 

of ANSI C78.901–2001 (‘‘ANSI 

C78.901’’), American National Standard 

for Electric Lamps—Single-Based 

Fluorescent Lamps—Dimensional and 

Electrical Characteristics, approved 

March 23, 2005; IBR approved for 

§ 430.2 and Appendix R to Subpart B. 

* * * * * 

(12) ANSI C82.3–2002, Revision of 

ANSI C82.3–1983 (R 1995) (‘‘ANSI 

C82.3’’), American National Standard 

for Reference Ballasts for Fluorescent 

Lamps, approved September 4, 2002; 

IBR approved for Appendix R to 

Subpart B. 

* * * * * 

(h) * * * 

(1) CIE 13.3–1995 (‘‘CIE 13.3’’), 

Technical Report: Method of Measuring 

and Specifying Colour Rendering 

Properties of Light Sources, 1995, ISBN 

3 900 734 57 7; IBR approved for § 430.2 

and Appendix R to Subpart B. 

(2) CIE 15:2004 (‘‘CIE 15’’), Technical 

Report: Colorimetry, 3rd edition, 2004, 

ISBN 978 3 901906 33 6; IBR approved 

for Appendix R to Subpart B. 

* * * * * 

(j) * * * 

(2) IESNA LM–9–99, (‘‘LM–9’’), 

IESNA Approved Method for the 

Electrical and Photometric 

Measurements of Fluorescent Lamps, 

1999. IBR approved for § 430.2 and 

Appendix R to Subpart B. 

* * * * * 

(5) IESNA LM–45–00, (‘‘LM–45’’), 

IESNA Approved Method for Electrical 

and Photometric Measurements of 

General Service Incandescent Filament 

Lamps, approved May 8, 2000; IBR 

approved for Appendix R to Subpart B. 

* * * * * 

■ 4. Section 430.23 is amended by 

revising paragraph (r) to read as follows: 

§ 430.23 Test procedures for the 

measurement of energy and water 

consumption. 

* * * * * 

(r) General service fluorescent lamps, 

general service incandescent lamps, and 

incandescent reflector lamps. (1) The 

estimated annual energy consumption 

for general service fluorescent lamps, 

general service incandescent lamps, and 

incandescent reflector lamps, expressed 

in kilowatt-hours per year, shall be the 

product of the input power in kilowatts 

as determined in accordance with 

section 4 of Appendix R to this subpart 

and an average annual use specified by 

the manufacturer, with the resulting 

product rounded off to the nearest 

kilowatt-hour per year. Manufacturers 

must provide a clear and accurate 

description of the assumptions used for 

the estimated annual energy 

consumption. 

(2) The lamp efficacy for general 

service fluorescent lamps shall be equal 

to the average lumen output divided by 

the average lamp wattage as determined 

in section 4 of Appendix R of this 

subpart, with the resulting quotient 

rounded off to the nearest tenth of a 

lumen per watt. 

(3) The lamp efficacy for general 

service incandescent lamps shall be 

equal to the average lumen output 

divided by the average lamp wattage as 

determined in section 4 of Appendix R 

of this subpart, with the resulting 

quotient rounded off to the nearest tenth 

of a lumen per watt. 

(4) The lamp efficacy for incandescent 

reflector lamps shall be equal to the 

average lumen output divided by the 

average lamp wattage as determined in 

section 4 of Appendix R of this subpart, 

with the resulting quotient rounded off 

to the nearest tenth of a lumen per watt. 

(5) The color rendering index of a 

general service fluorescent lamp shall be 

tested and determined in accordance 

with section 4.4 of Appendix R of this 

subpart and rounded off to the nearest 

unit. 

* * * * * 

■ 5. Section 430.24 is amended by 

revising paragraph (r)(1) to read as 

follows: 

§ 430.24 Units to be tested. 

* * * * * 

(r)(1) For each basic model of general 

service fluorescent lamp, general service 

incandescent lamp, and incandescent 

reflector lamp, samples of production 

lamps shall be tested and the results for 

all samples shall be averaged for a 12- 

month period. 

* * * * * 

■ 6. Section 430.25 is revised to read as 

follows: 

§ 430.25 Laboratory Accreditation 

Program. 

The testing for general service 

fluorescent lamps, general service 

incandescent lamps, and incandescent 

reflector lamps shall be performed in 

accordance with Appendix R to this 

subpart. The testing for medium base 

compact fluorescent lamps shall be 

performed in accordance with 

Appendix W of this subpart. This 

testing shall be conducted by test 

laboratories accredited by the National 

Voluntary Laboratory Accreditation 

Program (NVLAP) or by an accrediting 

organization recognized by NVLAP. 

NVLAP is a program of the National 

Institute of Standards and Technology, 

U.S. Department of Commerce. NVLAP 

standards for accreditation of 

laboratories that test for compliance 

with standards for lamp efficacy and 

CRI are set forth in 15 CFR part 285. A 

manufacturer’s or importer’s own 

laboratory, if accredited, may conduct 

the applicable testing. 

■ 7. Appendix R to subpart B of part 430 

is amended by: 

■ a. Removing from paragraph 2.9 the 

words ‘‘and in IESNA LM–66 for 

medium base compact fluorescent 

lamps’’; 

■ b. Removing paragraph 3.4; 

■ c. Removing the words ‘‘(see 10 CFR 

430.22)’’ and adding the words 

‘‘(incorporated by reference; see 

§ 430.3)’’ in its place in paragraphs 2.9, 

3.1, 3.2, 3.3, 4.2.1, and 4.3.2; 

■ d. Removing the words ‘‘(see 

§ 430.22)’’ and adding the words 

‘‘(incorporated by reference; see 

§ 430.3)’’ in its place in paragraph 4.3.3; 

and 

■ e. Revising the heading of Appendix 

R and paragraphs 1, 2.1, 2.6, 4.1, 4.2.2, 

and 4.4 to read as follow: 

Appendix R to Subpart B of Part 430— 

Uniform Test Method for Measuring 

Average Lamp Efficacy (LE), Color 

Rendering Index (CRI), and Correlated 

Color Temperature (CCT) of Electric 

Lamps 

1. Scope: This appendix applies to the 

measurement of lamp lumens, electrical 

characteristics, CRI, and CCT for general 

service fluorescent lamps, and to the 

measurement of lamp lumens, electrical 

characteristics for general service 

incandescent lamps and incandescent 

reflector lamps. 

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 1.2 of IESNA 

LM–9 (incorporated by reference; see 

§ 430.3), section 3.0 of IESNA LM–20 

(incorporated by reference; see § 430.3), 

section 1.2 and the Glossary of IESNA 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. 

* * * * * 

2.6 Lamp efficacy means the ratio of 

measured lamp lumen output in lumens to 

the measured lamp electrical power input in 


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31842 Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations 

watts, rounded to the nearest tenth, in units 

of lumens per watt. 

* * * * * 

4. Test Methods and Measurements 

* * * 

4.1 General Service Fluorescent Lamps 

4.1.1 The measurement procedure shall 

be as described in IESNA LM–9 

(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. 

4.1.2 For lamps not listed in ANSI C78.81 

(incorporated by reference; see § 430.3) nor in 

ANSI C78.901 (incorporated by reference; see 

§ 430.3), the lamp shall be operated using the 

following reference ballast settings: 

4.1.2.1 4-Foot medium bi-pin lamps shall 

be operated using the following reference 

ballast settings: T10 or T12 lamps are to use 

236 volts, 0.43 amps, and 439 ohms; T8 

lamps are to use 300 volts, 0.265 amps, and 

910 ohms. 

4.1.2.2 2-Foot U-shaped lamps shall be 

operated using the following reference ballast 

settings: T12 lamps are to use 236 volts, 

0.430 amps, and 439 ohms; T8 lamps are to 

use 300 volts, 0.265 amps, and 910 ohms. 

4.1.3 Lamp lumen output (lumens) and 

lamp electrical power input (watts), at the 

reference condition, shall be measured and 

recorded. Lamp efficacy shall be determined 

by computing the ratio of the measured lamp 

lumen output and lamp electrical power 

input at equilibrium for the reference 

condition. 

4.2 General Service Incandescent Lamps 

* * * * * 

4.2.2 The test procedure shall conform 

with sections 5 and 9 of IESNA LM–45 

(incorporated by reference; see § 430.3), and 

the lumen output of the lamp shall be 

determined in accordance with section 9 of 

IESNA LM–45. Lamp electrical power input 

in watts shall be measured and recorded. 

Lamp efficacy shall be determined by 

computing the ratio of the measured lamp 

lumen output and lamp electrical power 

input at equilibrium for the reference 

condition. The test report shall conform to 

section 11 of IESNA LM–45. 

* * * * * 

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 IESNA 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). 

4.4.2 The test report shall include a 

description of the test conditions, equipment, 

measured lamps, spectroradiometric 

measurement results, and CRI and CCT 

determinations. 

* * * * * 

■ 8. Section 430.62 is amended by 

revising paragraph (a)(4)(ix) to read as 

follows: 

§ 430.62 Submission of data 

(a) * * * 

(4) * * * 

(ix) General service fluorescent lamps, 

the testing laboratory’s National 

Voluntary Laboratory Accreditation 

Program (NVLAP) identification number 

or other NVLAP-approved accreditation 

identification, production date codes 

(and accompanying decoding scheme), 

the 12-month average lamp efficacy in 

lumens per watt, lamp wattage, 

correlated color temperature, and the 

12-month average Color Rendering 

Index. 

* * * * * 

[FR Doc. E9–15643 Filed 7–2–09; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Parts 1 and 101 

[Docket No. FAA–2007–27390; Amendment 

Nos. 1–62 and 101–8] 

RIN 2120–AI88 

Requirements for Amateur Rocket 

Activities 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Final rule; correction. 

SUMMARY: This document corrects errors 

in the FAA regulations regarding 

amateur rockets. A section concerning 

unmanned rocket activities was 

inadvertently placed in the subpart for 

unmanned balloon activities. This 

correction moves that section to the 

correct subpart, so all the information 

relating to unmanned rocket activities 

will appear in the same subpart. 

Additionally, we are making minor 

editorial corrections. 

DATES: This amendment is effective July 

6, 2009. 

FOR FURTHER INFORMATION CONTACT: For 

technical questions concerning this final 

rule contact Charles P. Brinkman, 

Licensing and Safety Division (AST– 

200), Commercial Space Transportation, 

Federal Aviation Administration, 800 

Independence Avenue, Washington, DC 

20591, telephone (202) 267–7715, e-mail 

Phil.Brinkman@faa.gov. For legal 

questions concerning this final rule 

contact Gary Michel, Office of the Chief 

Counsel, Federal Aviation 

Administration, 800 Independence 

Avenue, Washington, DC 20591, 

telephone (202) 267–3148. 

SUPPLEMENTARY INFORMATION: 

Background 

On December 4, 2008 (73 FR 73768), 

the FAA published the final rule 

‘‘Requirements for Amateur Rocket 

Activities.’’ A new § 101.29 was added 

in the final rule. However, the section 

was inadvertently added to Subpart D— 

Unmanned Free Balloons. It should 

have been added to Subpart C— 

Unmanned Rockets, since the new 

section concerns amateur rocket 

activities, not balloon activities. Moving 

§ 101.29 to the correct subpart will make 

it easier for readers to find all the 

information relating to unmanned 

rockets in one place. In § 1.1, paragraph 

(2) of the definition for Amateur 

Rockets, the word ‘‘statue’’ is changed to 

‘‘statute’’. In the first line of 

§ 101.25(b)(5), the number ‘‘8’’ 

(kilometers) is changed to ‘‘9.26’’ to 

correct the metric conversion when the 

word ‘‘statute’’ is replaced with the 

word ‘‘nautical’’. Lastly, in the second 

line of § 101.27(c), the word ‘‘statute’’ is 

again replaced with the word 

‘‘nautical’’. 

Technical Correction 

This technical correction merely 

moves an existing section to the correct 

subpart and ensures correct spelling and 

placement of miscellaneous words. 

There are no other changes to the 

existing regulatory text. 

Justification for Immediate Adoption 

Because this action moves an existing 

section to an existing subpart, the FAA 

finds that notice and public comment 

under 5 U.S.C. 553(b) is unnecessary. 

For the same reason, the FAA finds 

good cause exists under 5 U.S.C. 553(d) 

for making this rule effective upon 

publication. 

List of Subjects for Parts 1 and 101 

Aircraft, Aviation safety. 


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