Energy Conservation Program: Test Procedures for General Service Fluorescent Lamps, Incandescent Reflector Lamps, and General Service Incandescent Lamps, 31829-31842 [E9-15643]
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Rules and Regulations
Federal Register
Vol. 74, No. 127
Monday, July 6, 2009
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Done at Washington, DC, on June 29, 2009.
Alfred V. Almanza,
Administrator.
[FR Doc. E9–15815 Filed 7–2–09; 8:45 am]
BILLING CODE 3410–DM–P
DEPARTMENT OF ENERGY
10 CFR Part 430
[Docket No. EERE–2007–BT–TP–0013]
RIN 1904–AB72
Energy Conservation Program: Test
Procedures for General Service
Fluorescent Lamps, Incandescent
Reflector Lamps, and General Service
Incandescent Lamps
AGENCY: Office of Energy Efficiency and
Renewable Energy, Department of
Energy.
ACTION: Final rule.
SUMMARY: The Department of Energy
(DOE) is amending its test procedures
for certain fluorescent and incandescent
lamps, which manufacturers are
required to use to certify compliance
with energy conservation standards
mandated under the Energy Policy and
Conservation Act (EPCA). Specifically,
these amendments update citations and
references to the industry standards
currently referenced in DOE’s test
procedures, and make several technical
modifications. The amendments also
provide test methods for some general
service fluorescent lamps, based on new
product designs, which are subject to
existing energy conservation standards
but do not currently have test
procedures in place. Test procedures for
additional general service fluorescent
lamps to which the energy conservation
standards rulemaking extends coverage
will be adopted as part of the upcoming
energy conservation standards final
rule. Finally, because the Energy
Independence and Security Act of 2007
(EISA 2007) adopted energy
conservation standards for certain
general service incandescent lamps,
DOE is amending its test procedures for
incandescent lamps to provide
appropriate methods to test these lamps.
DATES: This rule is effective August 5,
2009. Incorporation by reference of
certain publications in this final rule is
approved by the Director of the Office
of the Federal Register as of August 5,
2009.
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Federal Register / Vol. 74, No. 127 / Monday, July 6, 2009 / Rules and Regulations
The public may review
copies of all materials related to this
rulemaking at the U.S. Department of
Energy, Resource Room of the Building
Technologies Program, 950 L’Enfant
Plaza, SW., Suite 600, Washington, DC,
(202) 586–2945, between 9 a.m. and 4
p.m., Monday through Friday, except
Federal holidays. Please call Ms. Brenda
Edwards at the above telephone number
for additional information regarding
visiting the Resource Room.
FOR FURTHER INFORMATION CONTACT: Ms.
Linda Graves, U.S. Department of
Energy, Office of Energy Efficiency and
Renewable Energy, Building
Technologies Program, EE–2J, 1000
Independence Avenue, SW.,
Washington, DC 20585–0121.
Telephone: (202) 586–1851. E-mail:
Linda.Graves@ee.doe.gov.
Mr. Eric Stas, U.S. Department of
Energy, Office of the General Counsel,
GC–72, 1000 Independence Avenue,
SW., Washington, DC 20585. Telephone:
(202) 586–9507. E-mail:
Eric.Stas@hq.doe.gov.
SUPPLEMENTARY INFORMATION: This final
rule incorporates by reference into part
430 the following industry standards:
1. ANSI_IEC C78.81–2005, Revision of
ANSI C78.81–2003, ‘‘American National
Standard for Electric Lamps—DoubleCapped Fluorescent Lamps—
Dimensional and Electrical
Characteristics,’’ August 11, 2005;
2. ANSI C78.375–1997, Revision of
ANSI C78.375–1991, ‘‘American
National Standard for Fluorescent
Lamps—Guide for Electrical
Measurements,’’ September 25, 1997;
3. ANSI_IEC C78.901–2005, Revision
of ANSI C78.901–2001, ‘‘American
National Standard for Electric Lamps—
Single-Based Fluorescent Lamps—
Dimensional and Electrical
Characteristics,’’ March 23, 2005;
4. ANSI C82.3–2002, Revision of
ANSI C82.3–1983 (R 1995), ‘‘American
National Standard for Lamp Ballasts—
Reference Ballasts for Fluorescent
Lamps,’’ September 4, 2002;
5. CIE 15–2004, ‘‘Technical Report:
Colorimetry, 3rd edition,’’ 2004; ISBN
978 3 901906 33 6;
6. IESNA LM–9–99, ‘‘IESNA
Approved Method for the Electrical and
Photometric Measurements of
Fluorescent Lamps,’’ 1999; and
7. IESNA LM–45–00, ‘‘IESNA
Approved Method for Electrical and
Photometric Measurements of General
Service Incandescent Filament Lamps,’’
May 8, 2000.
You can purchase copies of ANSI
Standards from the American National
Standards Institute, 25 West 43rd Street,
New York, New York 10036, (212) 642–
4900, or https://www.ansi.org.
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ADDRESSES:
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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 https://
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 https://
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
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I. Introduction
A. Authority and Background
Title III of the Energy Policy and
Conservation Act (42 U.S.C. 6291 et
seq.; EPCA) sets forth a variety of
provisions designed to improve energy
efficiency. Part A 1 of Title III (42 U.S.C.
6291–6309) establishes the ‘‘Energy
Conservation Program for Consumer
Products Other Than Automobiles.’’ The
consumer and commercial products
subject to this program (hereafter
‘‘covered products’’) include general
service fluorescent lamps (GSFL),
incandescent reflector lamps (IRL), and
general service incandescent lamps
(GSIL). Under EPCA, the overall
program consists essentially of testing,
labeling, and Federal energy
conservation standards. The testing
requirements consist of test procedures,
prescribed pursuant to EPCA, that
manufacturers of covered products must
use as the basis for establishing and
certifying to DOE that their products
comply with applicable energy
conservation standards adopted under
EPCA.
Section 323 of EPCA (42 U.S.C. 6293)
sets forth generally applicable criteria
and procedures for DOE’s adoption and
amendment of test procedures. It states,
for example, that ‘‘[a]ny test procedures
prescribed or amended under this
section shall be reasonably designed to
produce test results which measure
energy efficiency, energy use, * * * or
estimated annual operating cost of a
covered product during a representative
average use cycle or period of use, as
determined by the Secretary [of Energy],
and shall not be unduly burdensome to
conduct.’’ (42 U.S.C. 6293(b)(3)) In
addition, in any rulemaking to amend a
test procedure, DOE must determine ‘‘to
what extent, if any, the proposed test
procedure would alter the measured
energy efficiency * * * of any covered
product as determined under the
existing test procedure.’’ (42 U.S.C.
6293(e)(1)) If the amended test
procedure alters the measured
efficiency, the Secretary must determine
the average efficiency level under the
new test procedure of products that
minimally complied with the applicable
energy conservation standard prior to
the test procedure amendment, and
must set the standard at that level. (42
U.S.C. 6293(e)(2)) In addition, any
existing model of a product that
complied with the previously applicable
standard would be deemed to comply
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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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
2 ‘‘[A]dditional’’ GSFL refers to any GSFL to
which the energy conservation standards
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standards for such lamps. (42 U.S.C.
6295(i)(5)) DOE is addressing these
requirements in a separate energy
conservation standards rulemaking that
also considers revisions to the existing
energy conservation standards for GSFL
and IRL. DOE published a notice of
proposed rulemaking (NOPR) in that
proceeding in the Federal Register on
April 13, 2009 (hereafter referred to as
the energy conservation standards
NOPR).3 The current DOE test
procedures for lamps do not provide
methods for testing some of the
additional lamps for which DOE is
proposing standards in the energy
conservation standards NOPR.
In addition, on December 19, 2007,
the President signed the Energy
Independence and Security Act (Pub. L.
110–140) (EISA 2007), which makes
numerous amendments to EPCA.
Among these are amended energy
conservation standards for IRL and new
standards for GSIL. EISA 2007 also
incorporates into EPCA several
definitions related to products covered
by this rulemaking. For all covered
products, EISA 2007 amended EPCA to
direct DOE to include in its test
procedures a measure of standby mode
and off mode energy consumption, if
feasible. (42 U.S.C. 6295(gg)(2))
The NOPR in this rulemaking sets
forth in greater detail the authority for,
development of, and background for
DOE’s current test procedures for lamps.
73 FR 13465, 13466–67 (March 13,
2008) (the March 2008 NOPR).
B. History of This Rulemaking
As explained in the March 2008
NOPR, during the Framework Document
stage of the energy conservation
standards rulemaking for lamps, DOE
initially stated that it did not intend to
update its test procedures for these
products. 73 FR 13465, 13468 (March
13, 2008). However, certain stakeholders
responded with detailed comments
about why and how DOE should
incorporate into its regulations the
current editions of lamps test
procedures referenced in the
regulations, and DOE ultimately
decided that such updates were
warranted. Id. at 13468–69. DOE also
became aware that certain technical
modifications were warranted in its test
procedures. These technical
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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modifications included specifying the
type of reference ballast used to test
fluorescent lamps, revising the
calculation of lamp efficacy, and
adopting a test method for the
measurement and calculation of
correlated color temperature (CCT). Id.
at 13468. As indicated above, DOE
commenced a rulemaking for test
procedure revisions needed to address
additional GSFL being considered for
energy conservation standards, as well
as to address recent amendments to
EPCA.
To this end, DOE issued the March
2008 NOPR, which proposed a number
of revisions to the test procedures for
lamps. These revisions consisted largely
of: (1) Referencing the most current
versions of several lighting industry
standards incorporated by reference; (2)
adopting certain technical changes and
clarifications; and (3) expanding the test
procedures to accommodate new classes
of lamps to which coverage was
extended by EISA 2007 or may be
extended by the energy conservation
standards rulemaking. The March 2008
NOPR also addressed the new statutory
requirement to expand test procedures
to incorporate a measure of standby
mode and off mode energy
consumption.
The proposals in the March 2008
NOPR were addressed at a public
meeting on March 10, 2008, that also
addressed the concurrent advance
notice of proposed rulemaking (ANOPR;
73 FR 13620) regarding energy
efficiency standards for lamps.4 In
addition, DOE invited written
comments, data, and information on the
March 2008 NOPR through May 27,
2008.
Stakeholders raised the following
issues in comments on the March 2008
NOPR:
• DOE does not need to revise energy
conservation standards to account for
self-absorption because existing test
protocols already correct for this factor;
• Limiting the testing of GSFL to one
of the three testing methods in IESNA
LM–9–99 limits flexibility of lamp
designs;
• GSFL should be tested on lowfrequency ballasts until industry moves
to high frequency;
• GSFL lamp efficacy should be
rounded to the nearest whole number
instead of the nearest tenth;
• The reference for calculating CCT
should be changed from an article in the
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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Journal of the Optical Society of
America to CIE Publication 15–2004;
• CCT should not be included in the
definition of ‘‘basic model’’ for GSFL;
• CCT should be rounded to the
nearest ten kelvin instead of the nearest
unit;
• DOE should not adopt test
procedures for lamps until a
determination is issued adding them as
a covered product;
• DOE should not establish test
procedures for lamps that are not
contained in ANSI standards; and
• DOE should eliminate the
requirement for pre-production
notification.
C. Summary of the Final Rule
This final rule amends DOE’s current
test procedures for electric lamps to
achieve four results:
• Update several lighting industry
standards incorporated by reference;
• Adopt certain technical changes
and clarifications;
• Expand the test procedures to
accommodate additional lamps for
which EISA 2007 established energy
conservation standards; and
• Address the statutory requirement
to expand test procedures to incorporate
a measure of standby mode and off
mode energy consumption.
These amendments are summarized
below.
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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
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Electrical Characteristics’’; ANSI/IEC
C78.901–2005, ‘‘American National
Standard for Electric Lamps—SingleBased Fluorescent Lamps—Dimensional
and Electrical Characteristics’’; and
ANSI C82.3–2002, ‘‘American National
Standard for Lamp Ballasts—Reference
Ballasts for Fluorescent Lamps.’’ These
revisions of ANSI standards replace the
older standards, C78.375–1991, C78.1–
1991, C78.2–1991, C78.3–1991, and
C82.3–1983, incorporated by reference
in the Interim Final Rule on Test
Procedures for Fluorescent and
Incandescent Lamps published in the
Federal Register on September 28, 1994
(59 FR 49468) (hereafter the September
1994 Interim Final Rule).
This final rule also incorporates into
the test procedure by reference the
IESNA LM–9–1999 and IESNA LM–45–
2000 standards for measuring the
electrical and photometric attributes of
fluorescent lamps and general service
incandescent filament lamps,
respectively. These versions of the
IESNA standards replace the older
standards, IESNA LM– 9–1988 and
IESNA LM–45–1991, which are
referenced in 10 CFR part 430, subpart
B, appendix R.
Additionally, this final rule removes
the references to IESNA LM–16–1993,
which is a guide to the colorimetry of
light sources, and IESNA LM–66–1991,
which concerns the testing of mediumbase compact fluorescent lamps. Both
standards were incorporated by
reference in the final rule on Test
Procedures for Fluorescent and
Incandescent Lamps published in the
Federal Register on May 29, 1997 (62
FR 29221) (hereafter the May 1997 Final
Rule). Since that time, LM–16–1993 has
been withdrawn and is not
commercially available, and LM–66–
1991 has been superseded by the CFL
test method, as described in section II.B
below.
This final rule also incorporates by
reference the method for measuring and
specifying color rendering properties of
light sources, found in the International
Commission on Illumination (CIE)
Publication 13.3–1995, which replaces
the older publication, CIE Publication
No. 13.2–1974 (corrected reprint 1993),
incorporated by reference in the
September 1994 Interim Final Rule. As
discussed in this final rule and the
March 2008 NOPR, DOE has determined
that the updates to standards
incorporated by reference would not
significantly impact the measurement of
lamp efficacy nor add any additional
testing burden. (42 U.S.C. 6293(e))
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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 8foot high-output lamps, as well as 8-foot
very-high-output lamps and T5
fluorescent lamps, are not part of the
current scope of coverage of DOE’s
regulations. In the energy conservation
standards NOPR, DOE discusses
whether to adopt energy conservation
standards for some of these additional
fluorescent lamps. As no decision has
yet been made regarding standards for
these lamps, DOE will adopt test
procedures in this final rule only for
products that are currently covered by
standards. DOE will then adopt any
necessary test procedures for any newly
covered fluorescent lamps
simultaneously with the extension of
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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.
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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
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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
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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result in a test procedure that is unduly
burdensome to conduct. DOE also
examined the updated standards to
determine whether the amended test
procedure would significantly change
the measured lamp efficacy (thereby
necessitating amendments to the energy
conservation standard itself). (42 U.S.C.
6293(e))
IESNA LM–9–1999. DOE considered
updating references to IESNA LM–9–
1988 with IESNA LM–9–1999, the most
current version. Both versions of the
IESNA standards describe procedures
for assessing electrical and photometric
characteristics of fluorescent lamps.
However, as explained below, the 1999
version of IESNA LM–9 incorporated
two modifications that DOE thought
could potentially result in a significant
change in the measured lamp efficacy if
adopted in DOE’s test procedures.
IESNA LM–9–1999 adds
specifications for self-absorption
correction when taking light output
measurements. In the March 2008
NOPR, DOE stated that this addition
had the potential to raise efficacy by as
much as 5 to 10 percent, except in
laboratories that already account for this
factor. Considering this potential change
in measured efficacy, DOE tentatively
concluded it would revise and develop
new or amended efficacy standards for
fluorescent lamps in its energy
conservation standards rulemaking
where appropriate. 73 FR 13465, 13471
(March 13, 2008) NEMA contended that
no adjustments are necessary, stating
that any laboratory accredited by the
National Voluntary Laboratory
Accreditation Program (NVLAP) of the
National Institute of Standards and
Technology (NIST) would account for a
self-absorption factor during the
calibration process. NEMA advised DOE
to consult with NIST, which is
responsible for government calibration
methods. (NEMA, No. 25 at p. 3; Public
Meeting Transcript, No. 20 at pp. 20–21)
After consulting with NIST and
reviewing the existing test procedure,
DOE agrees with NEMA that the
measure of efficiency is not changed by
the new IESNA LM–9–1999 standard,
and as a result, the applicable energy
conservation standards do not need to
be revised. The test procedure requires
that ‘‘[t]he testing for general service
fluorescent lamps, general service
incandescent lamps, incandescent
reflector lamps, and medium base
compact fluorescent lamps, shall be
performed in accordance with
Appendix R to this subpart and shall be
conducted by test laboratories
accredited by the National Voluntary
Laboratory Accreditation Program
(NVLAP) or by an accrediting
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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
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significant variation among test
methods. DOE believes that allowing
fluorescent lamps to be tested using
these three methods will affect the
measured efficacy and lead to
inconsistent reporting. As the purpose
of the test procedures is to provide a
consistent measurement of lamp
efficacy across various lamps and lamp
manufacturers, DOE has decided in this
final rule to limit the testing of GSFL to
one method (the method currently
employed by the existing test
procedure): with the lamp operating and
stabilized at the specified input voltage
to the reference circuit. DOE does not
believe that limiting the testing of GSFL
to this method would be unduly
burdensome to manufacturers because
DOE is choosing to continue the existing
method for testing.
Other Referenced Standards. In the
March 2008 NOPR, DOE proposed
adopting several other updated industry
standards incorporated by reference in
DOE’s lighting regulations. For these
other industry standards, DOE
tentatively determined that the update
would neither result in a test procedure
that was unduly burdensome to conduct
nor significantly change the measured
lamp efficacy. 73 FR 13465, 13468–
13472 (March 13, 2008) DOE did not
receive comments on any of these other
proposed updates. Therefore, in this
final rule, DOE makes the following
updates to industry standards
incorporated by reference:
(1) incorporate by reference ANSI/IEC
C78.81–2005 and ANSI/IEC C78.901–
2005 and delete references to ANSI
C78.1–1991 in the definition of ‘‘coldtemperature fluorescent lamp’’ in 10
CFR 430.2;
(2) incorporate by reference ANSI/IEC
C78.81–2005 and delete the reference to
ANSI C78.1–1991 in paragraph (3) of the
definition of ‘‘fluorescent lamp’’ in 10
CFR 430.2;
(3) incorporate by reference ANSI/IEC
C78.81–2005 and ANSI/IEC C78.901–
2005 and delete the references to ANSI
C78.1–1991, ANSI C78.2–1991, and
ANSI C78.3–1991 in the test methods
and measurements of GSFL (10 CFR
430, subpart B, appendix R);
(4) incorporate by reference ANSI/IEC
C78.81–2005 and ANSI/IEC C78.901–
2005 and delete the reference to ANSI
C78.2–1991 in 10 CFR 430.3;
(5) replace the reference to ANSI
C78.375–1991 with ANSI C78.375–1997
in 10 CFR 430.3 and 10 CFR part 430,
subpart B, appendix R;
(6) replace the reference to ANSI
C82.3–1983 with ANSI C82.3–2002 in
10 CFR 430.3 and 10 CFR part 430,
subpart B, appendix R;
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(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
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).
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appropriate test procedure for medium
base compact fluorescent lamps.
C. High-Frequency Fluorescent Ballast
Testing
In the March 2008 NOPR, DOE noted
a potential problem when incorporating
ANSI/IEC C78.81–2005. Specifically,
ANSI/IEC C78.81–2005 allows several
lamps to be tested on high-frequency
ballasts. However, DOE noted that the
same lamp tested on different reference
ballasts may have different efficacies.
Although high-frequency testing
specifications are not yet available for
all of DOE’s covered fluorescent lamp
types, ANSI/IEC C78.81–2005 does
provide low-frequency reference ballast
specifications for all covered fluorescent
lamps. Therefore, to maintain
consistency and comparability across
testing, DOE proposed to require testing
of GSFL using low-frequency ballasts
when possible.
NEMA generally agreed with this
proposal. In contrast, Pacific Gas and
Electric stated that testing on highfrequency ballasts should not be limited
to only those products for which a lowfrequency reference ballast does not
exist, although reasoning for this
opinion was not provided. (NEMA, No.
25 at p. 4; Public Meeting Transcript,
No. 20 at p. 25) NEMA added that GSFL
will mainly be used in high-frequency
systems in the future, so at that point,
lamp efficacy should be determined
using high-frequency reference
conditions to accurately reflect the
commercial market. According to
NEMA, two conditions must exist for
this shift to occur: (1) Standards
defining high-frequency reference
ballasts must produce accurate,
repeatable results; and (2) test
equipment must be affordable and
available for all laboratories. (NEMA,
No. 25 at p. 4) NEMA suggested having
periodic discussions with DOE to
monitor these developments.
In response to these comments, DOE
will monitor the development of testing
standards of GSFL over time.
Ultimately, there may prove to be
benefits related to characterization of
lamps that can use high-frequency
ballasts by testing with a high-frequency
reference ballast. In the future, DOE will
consider amendments to its test
procedure for lamps to include testing
on high-frequency reference ballasts,
keeping in mind the two criteria
mentioned above. However, for this
final rule, DOE is amending the test
procedure to require testing of GSFL on
low-frequency ballasts except when
only high-frequency reference ballasts
are specified. In such a case where only
high-frequency ballast specifications are
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available, the lamp should be tested on
a high-frequency reference ballast. As
discussed in the March 2008 NOPR,
DOE does not believe this amendment
will result in any change in the
measured efficacies of fluorescent or
incandescent lamps or be unduly
burdensome to manufacturers. In
addition, DOE did not receive any
comments in response to the NOPR that
disagreed with this conclusion.
D. Measurement and Calculation of
Correlated Color Temperature
DOE uses CCT as a metric to define
both ‘‘colored fluorescent lamp’’ and
‘‘colored incandescent lamp.’’ In the
energy conservation standards NOPR,
DOE proposed to develop separate
product classes and efficacy standards
for fluorescent lamps based on CCT. 74
FR 16920, 16937–38 (April 13, 2009).
However, the existing test procedures
for fluorescent and incandescent lamps
do not provide guidance or
methodologies for determining or
calculating CCT. To resolve this, DOE
proposed in the March 2008 NOPR to
include a reference to IESNA LM–9–
1999 in the definition of ‘‘colored
fluorescent lamp’’ under 10 CFR 430.2
and in 10 CFR part 430, subpart B,
appendix R as a test method for
measuring and calculating CCT for
fluorescent lamps. For incandescent
lamps, EISA 2007 introduced a new
statutory definition for ‘‘colored
incandescent lamp’’ that referenced a
method for calculating CCT contained
in the Journal of the Optical Society of
America (hereafter referred to as the
Journal Article).7 To maintain
consistency, DOE proposed to
incorporate the same reference into the
incandescent lamp test procedure.
NEMA agreed that IESNA LM–9–1999
is the appropriate test procedure to use
to determine CCT for a fluorescent
lamp. (NEMA, No. 25 at p. 5; Public
Meeting Transcript, No. 20 at p. 29)
Regarding calculation of CCT for
incandescent lamps, NEMA
recommended the procedure proposed
in the Journal Article. However, NEMA
stated that DOE should incorporate this
article into the test procedure by
referencing a CIE report, which in turn
refers to the article. NEMA prefers this
approach because the industry
publication is updated by experts in the
field, so manufacturers could be sure
that information contained in each
revision would be the most up-to-date at
that time. (NEMA, No. 25 at p. 5)
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).
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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 4foot medium bipin lamps is 75.0 lumens
per watt). In contrast to IRL, which
currently requires efficacy
measurements to the nearest tenth of a
lumen per watt, lamp efficacy
measurements for GSFL in the existing
test procedure are rounded to the
nearest whole number. (10 CFR
430.23(r)(2)) DOE believes that the
accuracy of efficacy measurements is
crucial in order to better compare one
product to another. This accuracy
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allows DOE to more effectively establish
energy conservation standards, thereby
potentially decreasing energy use under
DOE regulations. Therefore, in the
March 2008 NOPR, DOE proposed to
revise the GSFL test procedure (10 CFR
430.23(r)) and the test procedure
definition of ‘‘lamp efficacy’’ (10 CFR
part 430, subpart B, appendix R,
paragraph 2.6), such that all efficacy
measurements for these lamps are
rounded to the nearest tenth of a lumen
per watt. The results of such an
amendment would be higher accuracy
measurements and more consistent test
procedures across lighting products
without increasing testing burdens on
manufacturers. In addition, in the
energy conservation standards ANOPR,
DOE proposed candidate standard levels
that were rounded to the nearest tenth
of a lumen per watt. 73 FR 13620,
13685–86 (March 13, 2008).
In response to the energy conservation
standards ANOPR, NEMA commented
that energy efficiency standards should
not be carried out to the tenths decimal
place, but instead rounded to the
nearest whole number. 74 FR 16920,
16945–47 (April 13, 2009).
Additionally, in response to the March
2008 NOPR for this test procedure
rulemaking, NEMA expressed concern
that rounding energy efficiency
standards to the nearest tenth lumen per
watt could result in unforeseen
consequences (unexplained). NEMA
urged DOE to continue to require
rounding to the nearest whole number
in this final rule and then to revisit the
subject in a future rulemaking after the
energy conservation standards
rulemaking is complete. (NEMA, No. 25
at p. 4; Public Meeting Transcript, No.
20 at p. 27) In contrast, the American
Council for an Energy Efficient
Economy (ACEEE) supported rounding
data to the tenths place, because more
precise data would facilitate the
determination of the appropriate energy
conservation standard. (Public Meeting
Transcript, No. 20 at p. 27)
In response to these comments, DOE
has tentatively decided for the present
to continue to round energy
conservation standard levels for the
subject lamps to the nearest whole
number for the reasons that follow. In
the ongoing energy conservation
standards rulemaking, DOE’s
calculations of efficacy levels and
subsequent analyses have been based on
certification and compliance reports
submitted by manufacturers. Because
these manufacturer reports round
numbers to the nearest lumen per watt,
DOE believes it would be unjustified to
establish an energy conservation
standard for GSFL to the nearest tenth
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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
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GSFL basic model. NEMA argued that
such a requirement would increase the
number of basic models on which
manufacturers needed to report, thereby
greatly increasing the burden on
manufacturers. Instead, NEMA
proposed a method similar to the one
used for non-colored incandescent
lamps, in which manufacturers would
only be required to provide CCT data for
lamps that are required to meet lessstringent energy conservation standards.
(NEMA, No. 25 at p. 5) Any lamp for
which CCT is not reported would be
presumed to be part of the product class
for which higher energy conservation
standards are established.
In this final rule, DOE has decided to
not explicitly include CCT in the
definition of ‘‘basic model’’ for GSFL.
Instead, DOE believes that because the
existing definition of ‘‘basic model’’
requires that lamps within one basic
model to have essentially identical
efficacy, it is in fact implicit that lamps
with largely different CCT (and
therefore efficacy) should be tested as
separate basic models. Thus, DOE agrees
with NEMA that separate basic models
are not necessary for each measured
CCT value. DOE believes that
manufacturers should group lamps with
respect to CCT based on the ANSI
C78.375–1997 industry standard which
provides tolerances for a lamp to be
designated a certain nominal CCT. This
method would ensure that similar lamps
are grouped together and maintain
consistency with product class divisions
proposed in the energy conservation
standards NOPR. DOE does not believe
that there is a significant difference in
measured efficacy among the lamps that
fall within the CCT tolerances
designated in the ANSI standard.
G. Reference Ballast Settings for Added
Fluorescent Lamp Coverage
When the March 2008 NOPR was
published, DOE was considering
expanding coverage of the fluorescent
lamp standard in the energy
conservation standards ANOPR to
include additional 8-foot single pin
slimline and 8-foot recessed double
contact high-output lamps (i.e., lamps
not yet regulated). In addition, the
introduction of new 4-foot medium
bipin and 2-foot U-shaped fluorescent
lamps into the lighting market had
effectively expanded DOE’s scope of
regulation under the existing definition
of ‘‘fluorescent lamp’’ (i.e., lamps
already regulated but without adequate
test procedures). Therefore, DOE
proposed test procedures for these
additional lamps.
NEMA commented that DOE should
not establish test procedures for lamps
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that may be but have not yet been
extended coverage by the energy
conservation standards rulemaking.
NEMA claimed that instituting generic
test conditions, particularly reference
ballast settings, without knowing the
specific GSFL to which the conditions
may apply could have unexpected
consequences. In particular, such test
procedures could constrain innovation
by affecting the introduction of new
lamps into the market. NEMA suggested
that DOE should establish reference test
conditions for newly covered GSFL in
the energy conservation standards
rulemaking rather than this final rule.
(NEMA, No. 25 at pp. 6–8; Public
Meeting Transcript, No. 20 at pp. 39–40)
DOE does not agree that imposing test
conditions for future covered products
would limit innovation in the lighting
industry. DOE maintains a test
procedure waiver process specifically
for this reason. Under 10 CFR 430.27,
DOE’s regulations state, ‘‘Any interested
person may submit a petition to waive
for a particular basic model any
requirements of § 430.23, or of any
appendix to this subpart, upon the
grounds that the basic model contains
one or more design characteristics
which either prevent testing of the basic
model according to the prescribed test
procedures, or the prescribed test
procedures may evaluate the basic
model in a manner so unrepresentative
of its true energy consumption
characteristics, or water consumption
characteristics (in the case of faucets,
showerheads, water closets, and urinals)
as to provide materially inaccurate
comparative data.’’ (10 CFR
430.27(a)(1)) This waiver process exists
to avoid constraining innovation in the
industry. Thus, DOE believes it is not
preventing the introduction of future
products into the market by specifying
generic test conditions in this final rule.
However, DOE agrees with NEMA’s
second comment that it should not yet
adopt test procedures for potentially
new covered products. As these lamps
are not yet regulated by DOE, DOE
believes it unnecessary to establish test
procedures for them at this time.
Therefore, in the energy conservation
standards final rule, DOE will set forth
test procedure provisions (based upon
those proposed in the March 2008
NOPR) for any additional lamp types to
which DOE extends coverage. DOE will
not adopt test procedures for any lamps
excluded from its energy conservation
standards regulations.
Regarding currently-regulated GSFL
that are on the market today, but do not
have reference ballast settings listed in
ANSI/IEC C78.81–2005 or ANSI/IEC
C78.901–2005, NEMA supported the
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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
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mode or off mode. In its comments,
NEMA agreed that provisions for off
mode and standby mode energy
consumption do not apply to
fluorescent and incandescent lamps,
and that no measurement methods for
these two modes need to be developed.
(NEMA, No. 25 at p. 9; Public Meeting
Transcript, No. 20 at p. 49) Therefore, in
this final rule, DOE concludes that given
the inapplicability of standby mode and
off mode to these products, it is neither
appropriate nor necessary to incorporate
a measure of such energy use into DOE’s
test procedures for GSFL, IRL, and GSIL.
J. Reduction of Burdensome Provisions
Under 49 U.S.C. 6293(b), EPCA
authorizes DOE to amend or establish
new test procedures as appropriate for
each covered product. EPCA states that
‘‘[a]ny test procedures prescribed or
amended under this section shall be
reasonably designed to produce test
results which measure energy
efficiency, energy use, water use (in the
case of showerheads, faucets, water
closets and urinals), or estimated annual
operating cost of a covered product
during a representative average use
cycle or period of use, as determined by
the Secretary [of Energy], and shall not
be unduly burdensome to conduct.’’ (42
U.S.C. 6293(b)(3))
In its written comments, NEMA stated
DOE should take measures to reduce
overly burdensome requirements of the
test procedure to offset the increased
reporting requirements for newly
regulated general service incandescent
lamps. Specifically NEMA urged DOE
eliminate the pre-production
notification requirement for all covered
lamp types. (NEMA, No. 25 at p. 9;
Public Meeting Transcript, No. 20 at pp.
44–46)
Pursuant to 42 U.S.C. 6295(i)(8), the
statute provides that lamp
manufacturers shall have 12 months
from the commencement of production
to test new products and to certify that
they comply with the energy
conservation standards. During this test
period, however, new lamps that are
sold shall meet the applicable
standards. Prior to or concurrent with
the distribution of a new model of GSFL
or IRL, DOE requires that manufacturers
or private labelers submit a statement
that it has been determined that the
lamp meets or exceeds the energy
conservation standards, including a
description of any testing or analysis the
manufacturer or private labeler
performed. (10 CFR 430.62(b)(2)) As
stated in the May 1997 Final Rule, this
‘‘pre-production requirement’’ ensures
that the 12 month test period is not used
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to distribute substandard lamps. 62 FR
29221, 29233 (May 29, 1997).
As an alternative to the preproduction notification requirement,
NEMA suggested that DOE should allow
manufacturers to maintain evidence of
compliance before launching a newly
covered product, which the
manufacturers could then provide upon
DOE’s request. NEMA commented that
such an approach would free up
industry resources that could then be
used to satisfy the new reporting
provisions. (NEMA, No. 25 at p. 9;
Public Meeting Transcript, No. 20 at pp.
44–46) In response to NEMA’s
comment, DOE maintains that the preproduction notification requirement is a
useful and necessary part of the
certification and enforcement process.
In particular, by requiring
manufacturers to submit such a
statement upon distribution of a new
product, DOE is not only notified that
a new lamp product is being
manufactured or sold, but also that it
meets applicable energy conservation
standards. Therefore, in this final rule,
DOE has decided not to eliminate this
notification requirement. As
manufacturers have been required to
submit these statements in the past,
DOE does not believe that maintaining
the preproduction notification
requirement would be unduly
burdensome for manufacturers.
NEMA also argued that DOE should
not require manufacturers to re-test or
re-report basic models that are already
covered under regulations and that
would continue to meet the new
standards prescribed by the energy
conservation standards rulemaking.
(NEMA, No. 25 at p. 10) Regarding retesting of basic models that were already
covered by regulations, EPCA states,
‘‘Models of covered products in use
before the date on which the amended
energy conservation standard becomes
effective (or revisions of such models
that come into use after such date and
have the same energy efficiency, energy
use, or water use characteristics) that
comply with the energy conservation
standard applicable to such covered
products on the day before such date
shall be deemed to comply with the
amended energy conservation
standard.’’ (42 U.S.C. 6293(e)(3))
Therefore, if existing compliance reports
show that a basic model already meets
the new energy efficiency standards, no
additional testing is necessary once the
new standards go into effect. However,
DOE notes that in the energy
conservation standards NOPR, it has
acknowledged that high-CCT lamps may
have lower efficacies and warrant
separate standards. Therefore, if existing
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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
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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.’’
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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 https://
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.)
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E. Unfunded Mandates Reform Act of
1995
Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) (Pub. L.
104–4) requires each Federal agency to
assess the effects of Federal regulatory
actions on State, local, and Tribal
governments and the private sector. For
proposed regulatory actions likely to
result in a rule that may cause
expenditures by State, local, and Tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
(adjusted annually for inflation), section
202 of UMRA requires a Federal agency
to publish estimates of the resulting
costs, benefits, and other effects on the
national economy. (2 U.S.C. 1532(a), (b))
The UMRA also requires a Federal
agency to develop an effective process
to permit timely input by elected
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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
https://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
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31839
requirements: (1) Eliminate drafting
errors and ambiguity; (2) write
regulations to minimize litigation; (3)
provide a clear legal standard for
affected conduct rather than a general
standard; and (4) promote simplification
and burden reduction. Regarding the
review required by section 3(a), section
3(b) of Executive Order 12988
specifically requires that Executive
agencies make every reasonable effort to
ensure that the regulation: (1) Clearly
specifies the preemptive effect, if any;
(2) clearly specifies any effect on
existing Federal law or regulation; (3)
provides a clear legal standard for
affected conduct while promoting
simplification and burden reduction; (4)
specifies the retroactive effect, if any; (5)
adequately defines key terms; and (6)
addresses other important issues
affecting clarity and general
draftsmanship under any guidelines
issued by the Attorney General. Section
3(c) of Executive Order 12988 requires
Executive agencies to review regulations
in light of applicable standards in
sections 3(a) and 3(b) to determine
whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, this rule meets
the relevant standards of Executive
Order 12988.
I. Treasury and General Government
Appropriations Act, 2001
The Treasury and General
Government Appropriations Act, 2001
(44 U.S.C. 3516 note) provides for
agencies to review most disseminations
of information to the public under
guidelines established by each agency
pursuant to general guidelines issued by
OMB. OMB’s guidelines were published
at 67 FR 8452 (Feb. 22, 2002), and
DOE’s guidelines were published at 67
FR 62446 (Oct. 7, 2002). DOE has
reviewed today’s notice under the OMB
and DOE guidelines and has concluded
that it is consistent with applicable
policies in those guidelines.
J. Executive Order 13211
Executive Order 13211, ‘‘Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use,’’ 66 FR 28355 (May
22, 2001), requires Federal agencies to
prepare and submit to OMB a Statement
of Energy Effects for any proposed
significant energy action. A ‘‘significant
energy action’’ is defined as any action
by an agency that promulgated or is
expected to lead to promulgation of a
final rule, and that: (1) Is a significant
regulatory action under Executive Order
12866, or any successor order; and (2)
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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.
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.
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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.
Administrative practice and
procedure, Confidential business
information, Energy conservation,
Household appliances, Imports,
Incorporation by reference,
Intergovernmental relations, Small
businesses.
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,
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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
Issued in Washington, DC, on June 26,
2009.
Steven G. Chalk,
Principal Deputy Assistant Secretary, Energy
Efficiency and Renewable Energy.
For the reasons stated in the
preamble, part 430 of chapter II of title
10, Code of Federal Regulations, is
amended as set forth below:
PART 430—ENERGY CONSERVATION
PROGRAM FOR CONSUMER
PRODUCTS
1. The authority citation for part 430
continues to read as follows:
■
Authority: 42 U.S.C. 6291–6309; 28 U.S.C.
2461 note.
2. Section 430.2 is amended by:
a. Redesignating, in the definition of
‘‘Basic Model,’’ paragraphs (16) through
(26) as (17) through (27), and adding a
new paragraph (16).
■ b. Revising the definitions of ‘‘Cold
temperature fluorescent lamp,’’
‘‘Colored fluorescent lamp,’’ and
‘‘Fluorescent lamp’’ paragraph (3).
The revisions and additions read as
follows:
■
■
§ 430.2
Definitions.
*
*
*
*
*
Basic Model * * *
(16) With respect to general service
incandescent lamps, means lamps that
have essentially identical light output
and electrical characteristics—including
lumens per watt—and that do not have
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any differing physical or functional
characteristics that affect energy
consumption or efficacy.
*
*
*
*
*
Cold temperature fluorescent lamp
means a fluorescent lamp specifically
designed to start at ¥20 °F when used
with a ballast conforming to the
requirements of ANSI C78.81
(incorporated by reference; see § 430.3)
and ANSI C78.901 (incorporated by
reference; see § 430.3), and is expressly
designated as a cold temperature lamp
both in markings on the lamp and in
marketing materials, including catalogs,
sales literature, and promotional
material.
Colored fluorescent lamp means a
fluorescent lamp designated and
marketed as a colored lamp, and that
has either a CRI less than 40, as
determined according to the method
given in CIE 13.3 (incorporated by
reference; see § 430.3), or a lamp
correlated color temperature less than
2,500K or greater than 6,600K, as
determined according to the method set
forth in IESNA LM–9 (incorporated by
reference; see § 430.3).
*
*
*
*
*
Fluorescent lamp * * *
(3) Any rapid-start lamp (commonly
referred to as 8-foot high-output lamps)
with recessed double contact bases of
nominal overall length of 96 inches and
0.800 nominal amperes, as defined in
ANSI C78.81 (incorporated by reference;
see § 430.3).
*
*
*
*
*
■ 3. Section 430.3 is amended in
paragraphs (c), (h), and (j) by:
■ a. Removing paragraph (c)(2) and
redesignating paragraphs (c)(3) through
(6) and (c)(8) through (12), as (c)(2)
through (5) and (c)(9) through (13)
respectively;
■ b. Removing the words ‘‘and
Appendix R to Subpart B’’ from
paragraph (c)(1), redesignated paragraph
(c)(2), and (j)(3);
■ c. Removing paragraph (h)(1) and
redesignating (h)(2) as (h)(1);
■ d. Removing paragraph (j)(7); and
■ e. Adding new paragraphs (c)(6) and
(c)(8), revising newly redesignated
paragraphs (c)(12) and (h)(1), and
revising paragraphs (c)(7), (h)(2), (j)(2),
and (j)(5) to read as follows:
§ 430.3 Materials incorporated by
reference.
*
*
*
*
*
(c) * * *
(6) ANSI_IEC C78.81–2005, Revision
of ANSI C78.81–2003 (‘‘ANSI C78.81’’),
American National Standard for Electric
Lamps—Double-Capped Fluorescent
Lamps—Dimensional and Electrical
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Characteristics, approved August 11,
2005; IBR approved for § 430.2 and
Appendix R of subpart B.
(7) ANSI C78.375–1997, Revision of
ANSI C78.375–1991 (‘‘ANSI C78.375’’),
American National Standard for
Fluorescent Lamps—Guide for Electrical
Measurements, first edition, approved
September 25, 1997; IBR approved for
Appendix R to Subpart B.
(8) ANSI_IEC C78.901–2005, Revision
of ANSI C78.901–2001 (‘‘ANSI
C78.901’’), American National Standard
for Electric Lamps—Single-Based
Fluorescent Lamps—Dimensional and
Electrical Characteristics, approved
March 23, 2005; IBR approved for
§ 430.2 and Appendix R to Subpart B.
*
*
*
*
*
(12) ANSI C82.3–2002, Revision of
ANSI C82.3–1983 (R 1995) (‘‘ANSI
C82.3’’), American National Standard
for Reference Ballasts for Fluorescent
Lamps, approved September 4, 2002;
IBR approved for Appendix R to
Subpart B.
*
*
*
*
*
(h) * * *
(1) CIE 13.3–1995 (‘‘CIE 13.3’’),
Technical Report: Method of Measuring
and Specifying Colour Rendering
Properties of Light Sources, 1995, ISBN
3 900 734 57 7; IBR approved for § 430.2
and Appendix R to Subpart B.
(2) CIE 15:2004 (‘‘CIE 15’’), Technical
Report: Colorimetry, 3rd edition, 2004,
ISBN 978 3 901906 33 6; IBR approved
for Appendix R to Subpart B.
*
*
*
*
*
(j) * * *
(2) IESNA LM–9–99, (‘‘LM–9’’),
IESNA Approved Method for the
Electrical and Photometric
Measurements of Fluorescent Lamps,
1999. IBR approved for § 430.2 and
Appendix R to Subpart B.
*
*
*
*
*
(5) IESNA LM–45–00, (‘‘LM–45’’),
IESNA Approved Method for Electrical
and Photometric Measurements of
General Service Incandescent Filament
Lamps, approved May 8, 2000; IBR
approved for Appendix R to Subpart B.
*
*
*
*
*
■ 4. Section 430.23 is amended by
revising paragraph (r) to read as follows:
§ 430.23 Test procedures for the
measurement of energy and water
consumption.
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*
*
*
*
*
(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
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Jkt 217001
in kilowatt-hours per year, shall be the
product of the input power in kilowatts
as determined in accordance with
section 4 of Appendix R to this subpart
and an average annual use specified by
the manufacturer, with the resulting
product rounded off to the nearest
kilowatt-hour per year. Manufacturers
must provide a clear and accurate
description of the assumptions used for
the estimated annual energy
consumption.
(2) The lamp efficacy for general
service fluorescent lamps shall be equal
to the average lumen output divided by
the average lamp wattage as determined
in section 4 of Appendix R of this
subpart, with the resulting quotient
rounded off to the nearest tenth of a
lumen per watt.
(3) The lamp efficacy for general
service incandescent lamps shall be
equal to the average lumen output
divided by the average lamp wattage as
determined in section 4 of Appendix R
of this subpart, with the resulting
quotient rounded off to the nearest tenth
of a lumen per watt.
(4) The lamp efficacy for incandescent
reflector lamps shall be equal to the
average lumen output divided by the
average lamp wattage as determined in
section 4 of Appendix R of this subpart,
with the resulting quotient rounded off
to the nearest tenth of a lumen per watt.
(5) The color rendering index of a
general service fluorescent lamp shall be
tested and determined in accordance
with section 4.4 of Appendix R of this
subpart and rounded off to the nearest
unit.
*
*
*
*
*
■ 5. Section 430.24 is amended by
revising paragraph (r)(1) to read as
follows:
§ 430.24
Units to be tested.
*
*
*
*
*
(r)(1) For each basic model of general
service fluorescent lamp, general service
incandescent lamp, and incandescent
reflector lamp, samples of production
lamps shall be tested and the results for
all samples shall be averaged for a 12month period.
*
*
*
*
*
■ 6. Section 430.25 is revised to read as
follows:
§ 430.25 Laboratory Accreditation
Program.
The testing for general service
fluorescent lamps, general service
incandescent lamps, and incandescent
reflector lamps shall be performed in
accordance with Appendix R to this
subpart. The testing for medium base
compact fluorescent lamps shall be
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31841
performed in accordance with
Appendix W of this subpart. This
testing shall be conducted by test
laboratories accredited by the National
Voluntary Laboratory Accreditation
Program (NVLAP) or by an accrediting
organization recognized by NVLAP.
NVLAP is a program of the National
Institute of Standards and Technology,
U.S. Department of Commerce. NVLAP
standards for accreditation of
laboratories that test for compliance
with standards for lamp efficacy and
CRI are set forth in 15 CFR part 285. A
manufacturer’s or importer’s own
laboratory, if accredited, may conduct
the applicable testing.
■ 7. Appendix R to subpart B of part 430
is amended by:
■ a. Removing from paragraph 2.9 the
words ‘‘and in IESNA LM–66 for
medium base compact fluorescent
lamps’’;
■ b. Removing paragraph 3.4;
■ c. Removing the words ‘‘(see 10 CFR
430.22)’’ and adding the words
‘‘(incorporated by reference; see
§ 430.3)’’ in its place in paragraphs 2.9,
3.1, 3.2, 3.3, 4.2.1, and 4.3.2;
■ d. Removing the words ‘‘(see
§ 430.22)’’ and adding the words
‘‘(incorporated by reference; see
§ 430.3)’’ in its place in paragraph 4.3.3;
and
■ e. Revising the heading of Appendix
R and paragraphs 1, 2.1, 2.6, 4.1, 4.2.2,
and 4.4 to read as follow:
Appendix R to Subpart B of Part 430—
Uniform Test Method for Measuring
Average Lamp Efficacy (LE), Color
Rendering Index (CRI), and Correlated
Color Temperature (CCT) of Electric
Lamps
1. Scope: This appendix applies to the
measurement of lamp lumens, electrical
characteristics, CRI, and CCT for general
service fluorescent lamps, and to the
measurement of lamp lumens, electrical
characteristics for general service
incandescent lamps and incandescent
reflector lamps.
2. Definitions
2.1 To the extent that definitions in the
referenced IESNA and CIE standards do not
conflict with the DOE definitions, the
definitions specified in section 1.2 of IESNA
LM–9 (incorporated by reference; see
§ 430.3), section 3.0 of IESNA LM–20
(incorporated by reference; see § 430.3),
section 1.2 and the Glossary of IESNA LM–
45 (incorporated by reference; see § 430.3),
section 2 of IESNA LM–58 (incorporated by
reference; see § 430.3), and Appendix 1 of
CIE 13.3 (incorporated by reference; see
§ 430.3) shall be included.
*
*
*
*
*
2.6 Lamp efficacy means the ratio of
measured lamp lumen output in lumens to
the measured lamp electrical power input in
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watts, rounded to the nearest tenth, in units
of lumens per watt.
*
*
*
*
*
4. Test Methods and Measurements
* * *
4.1 General Service Fluorescent Lamps
4.1.1 The measurement procedure shall
be as described in IESNA LM–9
(incorporated by reference; see § 430.3),
except that lamps shall be operated at the
appropriate voltage and current conditions as
described in ANSI C78.375 (incorporated by
reference; see § 430.3) and in ANSI C78.81
(incorporated by reference; see § 430.3) or
ANSI C78.901 (incorporated by reference; see
§ 430.3), and lamps shall be operated using
the appropriate reference ballast at input
voltage specified by the reference circuit as
described in ANSI C82.3 (incorporated by
reference; see § 430.3). If, for a lamp, both
low-frequency and high-frequency reference
ballast settings are included in ANSI C78.81
or ANSI C78.901, the lamp shall be operated
using the low-frequency reference ballast.
4.1.2 For lamps not listed in ANSI C78.81
(incorporated by reference; see § 430.3) nor in
ANSI C78.901 (incorporated by reference; see
§ 430.3), the lamp shall be operated using the
following reference ballast settings:
4.1.2.1 4-Foot medium bi-pin lamps shall
be operated using the following reference
ballast settings: T10 or T12 lamps are to use
236 volts, 0.43 amps, and 439 ohms; T8
lamps are to use 300 volts, 0.265 amps, and
910 ohms.
4.1.2.2 2-Foot U-shaped lamps shall be
operated using the following reference ballast
settings: T12 lamps are to use 236 volts,
0.430 amps, and 439 ohms; T8 lamps are to
use 300 volts, 0.265 amps, and 910 ohms.
4.1.3 Lamp lumen output (lumens) and
lamp electrical power input (watts), at the
reference condition, shall be measured and
recorded. Lamp efficacy shall be determined
by computing the ratio of the measured lamp
lumen output and lamp electrical power
input at equilibrium for the reference
condition.
4.2 General Service Incandescent Lamps
*
*
*
*
*
4.2.2 The test procedure shall conform
with sections 5 and 9 of IESNA LM–45
(incorporated by reference; see § 430.3), and
the lumen output of the lamp shall be
determined in accordance with section 9 of
IESNA LM–45. Lamp electrical power input
in watts shall be measured and recorded.
Lamp efficacy shall be determined by
computing the ratio of the measured lamp
lumen output and lamp electrical power
input at equilibrium for the reference
condition. The test report shall conform to
section 11 of IESNA LM–45.
cprice-sewell on PROD1PC69 with RULES
*
*
*
*
*
4.4 Determination of Color Rendering
Index and Correlated Color Temperature
4.4.1 The CRI shall be determined in
accordance with the method specified in CIE
13.3 (incorporated by reference; see § 430.3)
for general service fluorescent lamps. The
CCT shall be determined in accordance with
the method specified in IESNA LM–9
(incorporated by reference; see § 430.3) and
rounded to the nearest 10 kelvin for general
service fluorescent lamps. The CCT shall be
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15:17 Jul 02, 2009
Jkt 217001
determined in accordance with the CIE 15
(incorporated by reference; see § 430.3) for
incandescent lamps. The required
spectroradiometric measurement and
characterization shall be conducted in
accordance with the methods set forth in
IESNA LM–58 (incorporated by reference; see
§ 430.3).
4.4.2 The test report shall include a
description of the test conditions, equipment,
measured lamps, spectroradiometric
measurement results, and CRI and CCT
determinations.
*
*
*
*
*
8. Section 430.62 is amended by
revising paragraph (a)(4)(ix) to read as
follows:
■
§ 430.62
Submission of data
(a) * * *
(4) * * *
(ix) General service fluorescent lamps,
the testing laboratory’s National
Voluntary Laboratory Accreditation
Program (NVLAP) identification number
or other NVLAP-approved accreditation
identification, production date codes
(and accompanying decoding scheme),
the 12-month average lamp efficacy in
lumens per watt, lamp wattage,
correlated color temperature, and the
12-month average Color Rendering
Index.
*
*
*
*
*
[FR Doc. E9–15643 Filed 7–2–09; 8:45 am]
BILLING CODE 6450–01–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 1 and 101
[Docket No. FAA–2007–27390; Amendment
Nos. 1–62 and 101–8]
RIN 2120–AI88
FOR FURTHER INFORMATION CONTACT: For
technical questions concerning this final
rule contact Charles P. Brinkman,
Licensing and Safety Division (AST–
200), Commercial Space Transportation,
Federal Aviation Administration, 800
Independence Avenue, Washington, DC
20591, telephone (202) 267–7715, e-mail
Phil.Brinkman@faa.gov. For legal
questions concerning this final rule
contact Gary Michel, Office of the Chief
Counsel, Federal Aviation
Administration, 800 Independence
Avenue, Washington, DC 20591,
telephone (202) 267–3148.
SUPPLEMENTARY INFORMATION:
Background
On December 4, 2008 (73 FR 73768),
the FAA published the final rule
‘‘Requirements for Amateur Rocket
Activities.’’ A new § 101.29 was added
in the final rule. However, the section
was inadvertently added to Subpart D—
Unmanned Free Balloons. It should
have been added to Subpart C—
Unmanned Rockets, since the new
section concerns amateur rocket
activities, not balloon activities. Moving
§ 101.29 to the correct subpart will make
it easier for readers to find all the
information relating to unmanned
rockets in one place. In § 1.1, paragraph
(2) of the definition for Amateur
Rockets, the word ‘‘statue’’ is changed to
‘‘statute’’. In the first line of
§ 101.25(b)(5), the number ‘‘8’’
(kilometers) is changed to ‘‘9.26’’ to
correct the metric conversion when the
word ‘‘statute’’ is replaced with the
word ‘‘nautical’’. Lastly, in the second
line of § 101.27(c), the word ‘‘statute’’ is
again replaced with the word
‘‘nautical’’.
Technical Correction
Requirements for Amateur Rocket
Activities
AGENCY: Federal Aviation
Administration (FAA), DOT.
ACTION: Final rule; correction.
SUMMARY: This document corrects errors
in the FAA regulations regarding
amateur rockets. A section concerning
unmanned rocket activities was
inadvertently placed in the subpart for
unmanned balloon activities. This
correction moves that section to the
correct subpart, so all the information
relating to unmanned rocket activities
will appear in the same subpart.
Additionally, we are making minor
editorial corrections.
DATES: This amendment is effective July
6, 2009.
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This technical correction merely
moves an existing section to the correct
subpart and ensures correct spelling and
placement of miscellaneous words.
There are no other changes to the
existing regulatory text.
Justification for Immediate Adoption
Because this action moves an existing
section to an existing subpart, the FAA
finds that notice and public comment
under 5 U.S.C. 553(b) is unnecessary.
For the same reason, the FAA finds
good cause exists under 5 U.S.C. 553(d)
for making this rule effective upon
publication.
List of Subjects for Parts 1 and 101
Aircraft, Aviation safety.
E:\FR\FM\06JYR1.SGM
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]]>Agencies
[Federal Register Volume 74, Number 127 (Monday, July 6, 2009)]
[Rules and Regulations]
[Pages 31829-31842]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-15643]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Part 430
[Docket No. EERE-2007-BT-TP-0013]
RIN 1904-AB72
Energy Conservation Program: Test Procedures for General Service
Fluorescent Lamps, Incandescent Reflector Lamps, and General Service
Incandescent Lamps
AGENCY: Office of Energy Efficiency and Renewable Energy, Department of
Energy.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (DOE) is amending its test procedures
for certain fluorescent and incandescent lamps, which manufacturers are
required to use to certify compliance with energy conservation
standards mandated under the Energy Policy and Conservation Act (EPCA).
Specifically, these amendments update citations and references to the
industry standards currently referenced in DOE's test procedures, and
make several technical modifications. The amendments also provide test
methods for some general service fluorescent lamps, based on new
product designs, which are subject to existing energy conservation
standards but do not currently have test procedures in place. Test
procedures for additional general service fluorescent lamps to which
the energy conservation standards rulemaking extends coverage will be
adopted as part of the upcoming energy conservation standards final
rule. Finally, because the Energy Independence and Security Act of 2007
(EISA 2007) adopted energy conservation standards for certain general
service incandescent lamps, DOE is amending its test procedures for
incandescent lamps to provide appropriate methods to test these lamps.
DATES: This rule is effective August 5, 2009. Incorporation by
reference of certain publications in this final rule is approved by the
Director of the Office of the Federal Register as of August 5, 2009.
[[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:
Linda.Graves@ee.doe.gov.
Mr. Eric Stas, U.S. Department of Energy, Office of the General
Counsel, GC-72, 1000 Independence Avenue, SW., Washington, DC 20585.
Telephone: (202) 586-9507. E-mail: Eric.Stas@hq.doe.gov.
SUPPLEMENTARY INFORMATION: This final rule incorporates by reference
into part 430 the following industry standards:
1. ANSI--IEC C78.81-2005, Revision of ANSI C78.81-2003, ``American
National Standard for Electric Lamps--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 https://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 https://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 https://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.
---------------------------------------------------------------------------
\1\ This part was originally titled Part B; however, it was
redesignated Part A in the United States Code for editorial reasons.
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
\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).
---------------------------------------------------------------------------
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.
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
Stakeholders raised the following issues in comments on the March
2008 NOPR:
DOE does not need to revise energy conservation standards
to account for self-absorption because existing test protocols already
correct for this factor;
Limiting the testing of GSFL to one of the three testing
methods in IESNA LM-9-99 limits flexibility of lamp designs;
GSFL should be tested on low-frequency ballasts until
industry moves to high frequency;
GSFL lamp efficacy should be rounded to the nearest whole
number instead of the nearest tenth;
The reference for calculating CCT should be changed from
an article in the
[[Page 31832]]
Journal of the Optical Society of America to CIE Publication 15-2004;
CCT should not be included in the definition of ``basic
model'' for GSFL;
CCT should be rounded to the nearest ten kelvin instead of
the nearest unit;
DOE should not adopt test procedures for lamps until a
determination is issued adding them as a covered product;
DOE should not establish test procedures for lamps that
are not contained in ANSI standards; and
DOE should eliminate the requirement for pre-production
notification.
C. Summary of the Final Rule
This final rule amends DOE's current test procedures for electric
lamps to achieve four results:
Update several lighting industry standards incorporated by
reference;
Adopt certain technical changes and clarifications;
Expand the test procedures to accommodate additional lamps
for which EISA 2007 established energy conservation standards; and
Address the statutory requirement to expand test
procedures to incorporate a measure of standby mode and off mode energy
consumption.
These amendments are summarized below.
1. Updates to Test Procedure References
In seeking to implement recent amendments to EPCA, DOE determined
that several of the lighting industry standards referenced in 10 CFR
part 430 have been superseded by new editions, withdrawn, or, in many
cases, are no longer commercially available. Today's final rule
discusses the amendments to the test procedures for GSFL, IRL, GSIL,
and CFL that are necessary to incorporate the applicable industry
standards. To ensure the test procedures reflect the most up-to-date
industry standards and practices, DOE updates the CFR to contain the
most recent versions of certain industry testing references and
examines whether the new versions affect the measure of energy
efficiency under existing energy conservation standards. (42 U.S.C.
6293(e))
Specifically, today's final rule incorporates the following
industry standards into the test procedure by reference: ANSI C78.375-
1997, ``American National Standard for Fluorescent Lamps--Guide for
Electrical Measurements''; ANSI/IEC C78.81-2005, ``American National
Standard for Electric Lamps--Double-Capped Fluorescent Lamps--
Dimensional and Electrical Characteristics''; ANSI/IEC C78.901-2005,
``American National Standard for Electric Lamps--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))
---------------------------------------------------------------------------
\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.
---------------------------------------------------------------------------
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 R
