[Federal Register Volume 74, Number 127 (Monday, July 6, 2009)]
[Rules and Regulations]
[Pages 31829-31842]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-15643]


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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.

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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.

[[Page 31830]]


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: 
<a href="/cdn-cgi/l/email-protection#581431363c39761f2a392e3d2b183d3d763c373d763f372e"><span class="__cf_email__" data-cfemail="a6eacfc8c2c788e1d4c7d0c3d5e6c3c388c2c9c388c1c9d0">[email protected]</span></a>.
    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: <a href="/cdn-cgi/l/email-protection#1550677c763b46617466557d643b717a703b727a63"><span class="__cf_email__" data-cfemail="1356617a703d40677260537b623d777c763d747c65">[email protected]</span></a>.

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--Double-Capped 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.
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    \1\ This part was originally titled Part B; however, it was 
redesignated Part A in the United States Code for editorial reasons.
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    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

[[Page 31831]]

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.
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    \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).
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    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.
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    \4\ Although 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.
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    Stakeholders raised the following issues in comments on the March 
2008 NOPR:
    <bullet> DOE does not need to revise energy conservation standards 
to account for self-absorption because existing test protocols already 
correct for this factor;
    <bullet> Limiting the testing of GSFL to one of the three testing 
methods in IESNA LM-9-99 limits flexibility of lamp designs;
    <bullet> GSFL should be tested on low-frequency ballasts until 
industry moves to high frequency;
    <bullet> GSFL lamp efficacy should be rounded to the nearest whole 
number instead of the nearest tenth;
    <bullet> The reference for calculating CCT should be changed from 
an article in the

[[Page 31832]]

Journal of the Optical Society of America to CIE Publication 15-2004;
    <bullet> CCT should not be included in the definition of ``basic 
model'' for GSFL;
    <bullet> CCT should be rounded to the nearest ten kelvin instead of 
the nearest unit;
    <bullet> DOE should not adopt test procedures for lamps until a 
determination is issued adding them as a covered product;
    <bullet> DOE should not establish test procedures for lamps that 
are not contained in ANSI standards; and
    <bullet> 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:
    <bullet> Update several lighting industry standards incorporated by 
reference;
    <bullet> Adopt certain technical changes and clarifications;
    <bullet> Expand the test procedures to accommodate additional lamps 
for which EISA 2007 established energy conservation standards; and
    <bullet> 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--Single-Based 
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 medium-base 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

[[Page 31833]]

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))
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    \5\ A 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.
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    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

[[Page 31834]]

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 ``cold-temperature 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

[[Page 31835]]

appropriate test procedure for medium base compact fluorescent lamps.
---------------------------------------------------------------------------

    \6\ To implement recent amendments to EPCA contained in the 
Energy Policy Act of 2005 (Pub. L. 109-58) (EPACT 2005), DOE 
published a final rule in the Federal Register, 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).
---------------------------------------------------------------------------

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 high-frequency ballasts should not 
be limited to only those products for which a low-frequency 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.
---------------------------------------------------------------------------

    \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).
---------------------------------------------------------------------------

    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

[[Page 31836]]

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 less-stringent 
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

[[Page 31837]]

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 
Sec.  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

[[Page 31838]]

to distribute substandard lamps. 62 FR 29221, 29233 (May 29, 1997).
    As an alternative to the pre-production 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 pre-production 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 re-testing 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.
---------------------------------------------------------------------------

    \8\ Categorical 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.''

---------------------------------------------------------------------------

[[Page 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)

[[Page 31840]]

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

0
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.


0
2. Section 430.2 is amended by:
0
a. Redesignating, in the definition of ``Basic Model,'' paragraphs (16) 
through (26) as (17) through (27), and adding a new paragraph (16).
0
b. Revising the definitions of ``Cold temperature fluorescent lamp,'' 
``Colored fluorescent lamp,'' and ``Fluorescent lamp'' paragraph (3).
    The revisions and additions read as follows:


Sec.  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 [deg]F when used with a ballast 
conforming to the requirements of ANSI C78.81 (incorporated by 
reference; see Sec.  430.3) and ANSI C78.901 (incorporated by 
reference; see Sec.  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 Sec.  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 Sec.  
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 Sec.  430.3).
* * * * *

0
3. Section 430.3 is amended in paragraphs (c), (h), and (j) by:
0
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;
0
b. Removing the words ``and Appendix R to Subpart B'' from paragraph 
(c)(1), redesignated paragraph (c)(2), and (j)(3);
0
c. Removing paragraph (h)(1) and redesignating (h)(2) as (h)(1);
0
d. Removing paragraph (j)(7); and
0
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:


Sec.  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

[[Page 31841]]

Characteristics, approved August 11, 2005; IBR approved for Sec.  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 Sec.  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 Sec.  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 Sec.  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.
* * * * *

0
4. Section 430.23 is amended by revising paragraph (r) to read as 
follows:


Sec.  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.
* * * * *

0
5. Section 430.24 is amended by revising paragraph (r)(1) to read as 
follows:


Sec.  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.
* * * * *

0
6. Section 430.25 is revised to read as follows:


Sec.  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.

0
7. Appendix R to subpart B of part 430 is amended by:
0
a. Removing from paragraph 2.9 the words ``and in IESNA LM-66 for 
medium base compact fluorescent lamps'';
0
b. Removing paragraph 3.4;
0
c. Removing the words ``(see 10 CFR 430.22)'' and adding the words 
``(incorporated by reference; see Sec.  430.3)'' in its place in 
paragraphs 2.9, 3.1, 3.2, 3.3, 4.2.1, and 4.3.2;
0
d. Removing the words ``(see Sec.  430.22)'' and adding the words 
``(incorporated by reference; see Sec.  430.3)'' in its place in 
paragraph 4.3.3; and
0
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 Sec.  430.3), section 3.0 of IESNA LM-20 
(incorporated by reference; see Sec.  430.3), section 1.2 and the 
Glossary of IESNA LM-45 (incorporated by reference; see Sec.  
430.3), section 2 of IESNA LM-58 (incorporated by reference; see 
Sec.  430.3), and Appendix 1 of CIE 13.3 (incorporated by reference; 
see Sec.  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

[[Page 31842]]

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 Sec.  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 Sec.  
430.3) and in ANSI C78.81 (incorporated by reference; see Sec.  
430.3) or ANSI C78.901 (incorporated by reference; see Sec.  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 Sec.  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 Sec.  430.3) nor in ANSI C78.901 (incorporated by 
reference; see Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  
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 Sec.  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.
* * * * *


0
8. Section 430.62 is amended by revising paragraph (a)(4)(ix) to read 
as follows:


Sec.  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


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