[Federal Register Volume 75, Number 56 (Wednesday, March 24, 2010)]
[Proposed Rules]
[Pages 14288-14319]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-6374]



[[Page 14287]]

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Part III





Department of Energy





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10 CFR Part 430



Energy Conservation Program: Test Procedures and Standards for 
Fluorescent Lamp Ballasts; Public Meeting and Availability of the 
Preliminary Technical Support Document; Proposed Rules

  Federal Register / Vol. 75, No. 56 / Wednesday, March 24, 2010 / 
Proposed Rules  

[[Page 14288]]


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DEPARTMENT OF ENERGY

10 CFR Part 430

[Docket No. EERE-2009-BT-TP-0016]
RIN 1904-AB99


Energy Conservation Program: Test Procedures for Fluorescent Lamp 
Ballasts

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

ACTION: Notice of proposed rulemaking and public meeting.

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SUMMARY: The U.S. Department of Energy (DOE) proposes major revisions 
to its test procedures for fluorescent lamp ballasts established under 
the Energy Policy and Conservation Act. The proposed test method would 
eliminate the use of photometric measurements in favor of purely 
electrical measurements with the goal of reducing measurement 
variation. DOE proposes a set of transfer functions to convert the 
measured ballast electrical efficiency to a ballast efficacy factor 
value. These revisions, however, do not concern the measurement of 
energy consumption of ballasts in the standby and off modes, which DOE 
addressed in another rulemaking. DOE also announces a public meeting to 
receive comment on the issues presented in this notice.

DATES: DOE will hold a public meeting on Monday, April 26, 2010, 
beginning at 9 a.m. in Washington, DC. The agenda for the public 
meeting will first cover this test procedure rulemaking for fluorescent 
lamp ballasts, and then the concurrent energy conservation standards 
rulemaking (see proposal in today's Federal Register) for the same 
products. Any person requesting to speak at the public meeting should 
submit such a request, along with an electronic copy of the statement 
to be given at the public meeting, before 4 p.m., Monday, April 12, 
2010.
    DOE will accept comments, data, and information regarding this 
notice of proposed rulemaking (NOPR) before or after the public 
meeting, but no later than June 7, 2010. See section V, ``Public 
Participation,'' of this NOPR for details.

ADDRESSES: The public meeting will be held at the U.S. Department of 
Energy, Forrestal Building, Room 8E-089, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121. To attend the public meeting, please notify 
Ms. Brenda Edwards at (202) 586-2945. Please note that foreign 
nationals participating in the public meeting are subject to advance 
security screening procedures. If a foreign national wishes to 
participate in the workshop, please inform DOE of this fact as soon as 
possible by contacting Ms. Brenda Edwards at (202) 586-2945 so that the 
necessary procedures can be completed.
    Any comments submitted must identify the Fluorescent Lamp Ballast 
Active Mode Test Procedures NOPR, and provide the docket number EERE-
2009-BT-TP-0016 and/or Regulation Identifier Number (RIN) 1904-AB99. 
Comments may be submitted using any of the following methods:
    Federal eRulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.
    E-mail: [email protected]. Include the docket number 
EERE-2009-BT-TP-0016 and/or RIN 1904-AB99 in the subject line of the 
message.
    Postal Mail: Ms. Brenda Edwards, U.S. Department of Energy, 
Building Technologies Program, Mailstop EE-2J, 1000 Independence 
Avenue, SW., Washington, DC, 20585-0121. Please submit one signed paper 
original.
    Hand Delivery/Courier: Ms. Brenda Edwards, U.S. Department of 
Energy, Building Technologies Program, 6th Floor, 950 L'Enfant Plaza, 
SW., Washington, DC 20024. Telephone: (202) 586-2945. Please submit one 
signed paper original.
    For detailed instructions on submitting comments and additional 
information on the rulemaking process, see section V, ``Public 
Participation,'' of this document.
    Docket: For access to the docket to read background documents or 
comments received, visit the U.S. Department of Energy, 6th Floor, 950 
L'Enfant Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9 
a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please 
call Ms. Brenda Edwards at (202) 586-2945 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: 
[email protected]. In the Office of General Counsel, contact Ms. 
Betsy Kohl, U.S. Department of Energy, Office of the General Counsel, 
GC-71, 1000 Independence Avenue, SW., Washington, DC 20585. Telephone: 
(202) 586-7796. E-mail: [email protected].
    For additional information on how to submit or review public 
comments and on how to participate in the public meeting, contact Ms. 
Brenda Edwards, U.S. Department of Energy, Office of Energy Efficiency 
and Renewable Energy, Building Technologies Program, EE-2J, 1000 
Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 
586-2945. E-mail: [email protected].

SUPPLEMENTARY INFORMATION: 

Table of Contents

I. Authority and Background
II. Summary of the Proposal
III. Discussion
    A. Scope of Applicability
    1. Ballasts Covered
    2. Effective Date
    B. Existing Test Procedure
    C. Drawbacks of Existing BEF Test Procedure
    D. Efficiency Metric for Fluorescent Lamp Ballasts
    E. Test Procedure Improvement Options
    1. Resistor-Based Ballast Efficiency Correlated to Ballast 
Efficacy Factor
    2. Lamp-Based Ballast Efficiency Correlated to Ballast Efficacy 
Factor
    3. Improvements to Existing Test Procedure
    4. Relative System Efficacy
    F. Proposed Test Procedure
    1. Test Conditions
    2. Test Setup
    3. Test Method
    4. Calculations
    5. Transfer Equations--General Method
    6. Transfer Equations--Testing, Analysis, and Results
    7. Resistor Value Determination
    8. Non-Operational Ballasts When Connected to a Resistor
    9. Existing Test Procedure Update
    10. References to ANSI C82.2-2002
    G. Burden to Conduct the Proposed Test Procedure
    H. Impact on Measured Energy Efficiency
    I. Certification and Enforcement
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
V. Public Participation
    A. Attendance at Public Meeting
    B. Procedure for Submitting Requests to Speak
    C. Conduct of Public Meeting
    D. Submission of Comments
    E. Issues on Which DOE Seeks Comment
    1. All Aspects of the Existing Test Procedure for Active Mode 
Energy Consumption

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    2. Appropriate Usage of ANSI Standards
    3. Method of Measurement for Dimming Ballasts
    4. Resistor-based Ballast Efficiency Test Method
    5. Alternative Approaches to Amending the Test Procedure
    6. Ballasts that do not Operate Resistors
    7. Ballast Factor Variation Due to Variations in Measured Lamp 
Power
    8. Ballast Factor Binning
    9. Transfer Equations
    10. Scaling Transfer Equations
    11. Burden on Manufacturers and Testing Facilities
VI. Approval of the Office of the Secretary

I. Authority and Background

    Title III of the Energy Policy and Conservation Act (42 U.S.C. 6291 
et seq.; EPCA or the Act) sets forth a variety of provisions designed 
to improve energy efficiency. Part A of Title III (42 U.S.C. 6291-6309) 
establishes the ``Energy Conservation Program for Consumer Products 
Other Than Automobiles,'' which covers consumer products and certain 
commercial products (all of which are referred to below as ``covered 
products''), including fluorescent lamp ballasts (ballasts). (42 U.S.C. 
6291(1)(2) and 6292(a)(13))
    Under the Act, the overall program consists essentially of the 
following parts: testing, labeling, and Federal energy conservation 
standards. The testing requirements consist of test procedures, 
prescribed under EPCA, that manufacturers of covered products must use 
as the basis for certifying to the DOE that their products comply with 
energy conservation standards adopted under EPCA and for 
representations as to the efficiency of their products. Also, these 
test procedures must be used whenever testing is required in an 
enforcement action to determine whether covered products comply with 
EPCA standards.
    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, if DOE determines that a test 
procedure amendment is warranted, it must publish proposed test 
procedures and offer the public an opportunity to present oral and 
written comments on them. (42 U.S.C. 6293(b)(2)) Finally, in any 
rulemaking to amend a test procedure, DOE must determine ``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 DOE determines 
that the amended test procedure would alter the measured efficiency of 
a covered product, DOE must amend the applicable energy conservation 
standard accordingly. (42 U.S.C. 6293(e)(2))
    As to fluorescent lamp ballasts specifically, DOE must ``prescribe 
test procedures that are in accord with ANSI \1\ standard C82.2-1984 
\2\ or other test procedures determined appropriate by the Secretary.'' 
(42 U.S.C. 6293(b)(5)) DOE's existing test procedures for ballasts, 
adopted pursuant to these and the above-described provisions, appear at 
10 CFR Part 430, Subpart B, Appendix Q.
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    \1\ American National Standards Institute.
    \2\ ``American National Standards for Fluorescent Lamp 
Ballasts--Methods of Measurement.'' Approved October 21, 1983.
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    This test procedure rulemaking will fulfill the periodic review 
requirement prescribed by the Energy Independence and Security Act of 
2007. ``At least once every 7 years, the Secretary shall review test 
procedures for all covered products and--amend test procedures with 
respect to any covered product * * * or publish notice in the Federal 
Register of any determination not to amend a test procedure.'' (42 
U.S.C. 6293(b)(1)(A) DOE invites comment on all aspects of the existing 
test procedures for fluorescent lamp ballasts for active mode energy 
consumption that appear at Title 10 of the CFR Part 430, Subpart B, 
Appendix Q (``Uniform Test Method for Measuring the Energy Consumption 
of Fluorescent Lamp Ballasts'').
    In a separate rulemaking proceeding, DOE is considering amending 
energy conservation standards for fluorescent lamp ballasts (docket 
number EERE-2007-BT-STD- 0016; hereinafter referred to as the 
``fluorescent lamp ballast standards rulemaking''). DOE initiated that 
rulemaking by publishing a Federal Register (FR) notice announcing a 
public meeting and availability of the framework document (``Energy 
Efficiency Program for Consumer Products: Public Meeting and 
Availability of the Framework Document for Fluorescent Lamp 
Ballasts,'') on January 22, 2008. 73 FR 3653. DOE has completed the 
preliminary analyses for the energy conservation standard rulemaking 
and published in today's Federal Register a notice announcing a public 
meeting and availability of the preliminary technical support document.
    On February 6, 2008, DOE held a public meeting in Washington, DC, 
to discuss the framework document for the fluorescent lamp ballast 
energy conservation standards rulemaking (hereinafter referred to as 
the ``2008 public meeting''). At that meeting, attendees also discussed 
potential revisions to the test procedure for active mode energy 
consumption. All comments on the fluorescent lamp ballast standards 
rulemaking regarding the measurement of active mode energy consumption 
are discussed in section III of this proposed rulemaking.
    DOE has also completed a standby mode and off mode test procedure. 
The Energy Independence and Security Act of 2007 (Pub. L. 110-140) 
amended EPCA to require that, for each covered product for which DOE's 
current test procedures do not fully account for standby mode and off 
mode energy consumption, DOE amend the test procedures to include 
standby mode and off mode energy consumption into the overall energy 
efficiency, energy consumption, or other energy descriptor for that 
product. If an integrated test procedure is technically infeasible, DOE 
must prescribe a separate standby mode and off mode energy use test 
procedure, if technically feasible. (EPCA section 325(gg)(2)(A); 42 
U.S.C. 6295(gg)(2)(A)) DOE published a final rule addressing standby 
mode and off mode energy consumption for fluorescent lamp ballasts in 
the Federal Register on October 22, 2009. 74 FR 54445.

II. Summary of the Proposal

    In this notice of proposed rulemaking (NOPR), DOE proposes to 
modify the current test procedures for fluorescent lamp ballasts to 
revise the scope of applicability of this test procedure for 
consistency with the ongoing fluorescent lamp ballast standards 
rulemaking, improve measurement variability, and update the referenced 
standards. DOE also proposes provisions for manufacturers to submit 
compliance statements and certification reports for fluorescent lamp 
ballasts. The following paragraphs summarize these proposed changes.
    In the preliminary technical support document for the fluorescent 
lamp ballast standards rulemaking, DOE makes a preliminary 
determination of the scope of coverage. Today's proposed test procedure 
includes specific procedures for ballasts identified in the preliminary 
determination of scope. If the scope of coverage changes in the 
fluorescent lamp ballast standards

[[Page 14290]]

rulemaking, DOE will add or remove provisions from the test procedure 
so that it is consistent with the final scope of coverage of standards. 
The preliminary determination of scope includes ballasts that operate 
multiple numbers of lamps (one through six), all values of ballast 
factor, and many different lamp classes including 4-foot medium bipin 
T8 and T12 lamps, 4-foot T5 miniature bipin lamps, 8-foot single pin 
slimline T8 and T12 lamps, and 8-foot recessed double contact high 
output T8 and T12 lamps. See section III.A.1 for further detail.
    In addition to matching the scope of coverage for the active mode 
test procedure to the scope of coverage being considered in the 
fluorescent lamp ballast standards rulemaking, the proposed amendments 
seek to reduce the measurement variation inherent in the existing test 
procedure. The existing test procedure exhibits variation in 
measurements of a similar magnitude to the spread in efficiency within 
many fluorescent lamp ballast product classes analyzed in the 
preliminary determination. The test measurement variation can be 
attributed to reference lamp variation, lamp operation conditions, and 
ballast wiring. DOE believes a test procedure with reduced variation 
will allow for more precise standard setting and certification, 
compliance, and enforcement testing.
    DOE's proposed test method greatly reduces the impact of reference 
lamps on measurement variation. The method calculates a ballast input 
power and output power using only electrical measurements and resistors 
that simulate the load placed on a ballast by a fluorescent lamp at a 
given operating condition. Because a resistor can be manufactured with 
much smaller performance tolerances than a fluorescent lamp, the 
resistor introduces much less variation to the operating 
characteristics of the ballast. This revised test method delivers 
increased precision, thereby allowing for greater resolution. The 
procedure proposed in this rulemaking measures ballast input power and 
ballast output power and then calculates ballast electrical efficiency 
(output power divided by input power). The ballast electrical 
efficiency is then converted to ballast efficacy factor (BEF) using a 
transfer equation to maintain the reported metric for energy efficiency 
as BEF for consistency with use of BEF in 42 U.S.C. 6295(g)(5) and 
(g)(8). DOE developed the transfer equation by measuring several 
ballasts within a product class for ballast efficiency (BE) using the 
proposed BE test procedure and for BEF using the existing test 
procedure, and then calculating a line of best fit for the combined 
data. This proposed method is hereafter referred to as the resistor-
based ballast efficiency test procedure.
    Prior to selecting the proposed test method, DOE also considered 
three other methods as potential improvements in the revised test 
procedure: (1) The lamp-based ballast efficiency (correlated to BEF) 
method, (2) the existing BEF method with revisions to reduce variation; 
and (3) the relative system efficacy (RSE) method. DOE's initial 
assessment of the lamp-based ballast efficiency method, which uses a 
lamp as a load, rather than a resistor, indicated that, similar to the 
resistor-based ballast efficiency method, there could be significant 
improvements by eliminating light output-based measurements. However, 
adopting that method would result in a test procedure that was still 
susceptible to lamp-to-lamp variability. DOE explored the existing 
light-output-based test procedure and found improvements could be made 
without making fundamental changes. DOE believes that tightening 
tolerances on certain specifications and clarifying loosely-defined 
directions can reduce measurement variation relative to the existing 
test procedure for fluorescent ballasts, but to a lesser extent than 
the proposed resistor-based BE test procedure. DOE found the RSE method 
to exhibit larger variation than the proposed resistor-based BE test 
procedure because it uses the same measurement techniques as the 
existing test procedure.
    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 DOE 
determines that the amended test procedure would alter the measured 
efficiency of a covered product, DOE must amend the applicable energy 
conservation standard accordingly. (42 U.S.C. 6293(e)(2)) The proposed 
test procedure would change the measured energy efficiency of some 
products relative to the existing test procedure. To ensure that the 
standards developed in the ongoing fluorescent lamp ballast standards 
rulemaking account for any changes to the test procedure, DOE is 
developing the standards based on the measured energy efficiency 
generated by the active mode test procedure proposed in this 
rulemaking. As a result, DOE proposes an effective date for this 
revised test procedure, to be published as Appendix Q1 of 10 CFR part 
430 Subpart B, concurrent with the compliance date of the fluorescent 
lamp ballast standards rulemaking (approximately June 30, 2014). DOE 
plans to publish the final rule establishing the procedures in Appendix 
Q1 in the same rule document as the final rule establishing any amended 
standards.
    DOE notes that ballasts that operate one or two 40 or 34 watt (W) 
4-foot T12 medium bipin lamps (F40T12 and F34T12), two 75 W or 60 W 8-
foot T12 single pin slimline lamps (F96T12 and F96T12/ES); and two 110 
W and 95 W 8-foot T12 recessed double contact high output lamps 
(F96T12HO and F96T12HO/ES) are covered by existing energy conservation 
standards. 10 CFR 430.32(m). Until the proposed effective date of the 
test procedure to be published at Appendix Q1, these ballasts should 
continue to be tested using the existing test procedure to determine 
compliance with existing standards. DOE proposes in this NOPR to make 
minor updates to the existing test procedure, published at Appendix Q 
to Subpart B of part 430. DOE would update the reference to ANSI C82.2-
1984 in the existing test procedure (appendix Q) to ANSI C82.2-2002. 
Because DOE does not believe the updated standard will impose increased 
testing burden or alter the measured BEF of fluorescent lamp ballasts, 
DOE proposes that the amendments to Appendix Q be effective 30 days 
after publication of this test procedure final rule. DOE notes that 
because use of the test method in Appendix Q1 is not appropriate for 
those ballasts that cannot operate a resistor load bank, manufacturers 
would continue to test those ballasts using the test method set forth 
in Appendix Q. In addition, the test procedures for any ballasts that 
operate in standby mode are also located in Appendix Q.
    DOE also proposes amending the language in 10 CFR 430.62 to require 
fluorescent lamp ballast manufacturers to submit compliance statements 
and certification reports. This provision would also be effective 30 
days after publication of this test procedure final rule. Ballast 
manufacturers would begin to submit these documents to certify 
compliance with existing fluorescent lamp ballast energy conservation 
standards using the test procedures at Appendix Q one year following 
publication of this final rule. Ballast manufacturers would certify 
compliance with any amended standards using the test procedures at 
Appendix Q1 beginning one year following the compliance date of the 
amended standards.

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III. Discussion

A. Scope of Applicability

1. Ballasts Covered
    Today's proposed test procedure is applicable to the fluorescent 
lamp ballasts covered in the preliminary determination of scope 
outlined in the preliminary technical support document for the 
fluorescent lamp ballast standards rulemaking. The preliminary 
determination of scope is as follows:

    (1) Ballasts that operate one, two, three, four, five, or six 
straight-shaped lamps (commonly referred to as 4-foot medium bipin 
lamps) with medium bipin bases, a nominal overall length of 48 
inches, a rated wattage \3\ of 25 watts (W) or more, and an input 
voltage at or between 120 volts (V) and 277 V;
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    \3\ The July 14, 2009 final rule establishing amended energy 
conservation standard for general service fluorescent lamps and 
incandescent reflector lamps (74 FR 34080) adopted a new definition 
for ``rated wattage'' that can be found in 10 CFR 430.2. Please see 
http://www1.eere.energy.gov/buildings/appliance_standards/residential/incandescent_lamps.html for further information.
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    (2) Ballasts that operate one, two, three, four, five, or six U-
shaped lamps (commonly referred to as 2-foot U-shaped lamps) with 
medium bipin bases, a nominal overall length between 22 and 25 
inches, a rated wattage of 25 W or more, and an input voltage at or 
between 120 V and 277 V;
    (3) Ballasts that operate one or two rapid-start lamps (commonly 
referred to as 8-foot high output lamps) with recessed double 
contact bases, a nominal overall length of 96 inches and an input 
voltage at or between 120 V and 277 V;
    (4) Ballasts that operate one or two instant-start lamps 
(commonly referred to as 8-foot slimline lamps) with single pin 
bases, a nominal overall length of 96 inches, a rated wattage of 52 
W or more, and an input voltage at or between 120 V and 277 V;
    (5) Ballasts that operate one or two straight-shaped lamps 
(commonly referred to as 4-foot miniature bipin standard output 
lamps) with miniature bipin bases, a nominal length between 45 and 
48 inches, a rated wattage of 26 W or more, and an input voltage at 
or between 120 V and 277 V;
    (6) Ballasts that operate one, two, three, or four straight-
shaped lamps (commonly referred to as 4-foot miniature bipin high 
output lamps) with miniature bipin bases, a nominal length between 
45 and 48 inches, a rated wattage of 49 W or more, and an input 
voltage at or between 120 V and 277 V;
    (7) Ballasts that operate one, two, three, or four straight-
shaped lamps (commonly referred to as 4-foot medium bipin lamps) 
with medium bipin bases, a nominal overall length of 48 inches, a 
rated wattage of 25 W or more, an input voltage at or between 120 V 
and 277 V, a power factor of less than 0.90, and designed and 
labeled for use in residential applications; and
    (8) Ballasts that operate one, two, three, four, five, or six 
rapid-start lamps (commonly referred to as 8-foot high output lamps) 
with recessed double contact bases, a nominal overall length of 96 
inches, an input voltage at or between 120 V and 277 V, and that 
operate at ambient temperatures of 20 degrees Fahrenheit ([deg]F) or 
less and are used in outdoor signs.

    For the proposed test procedure in this rulemaking, DOE would 
establish particular test setups and calculations depending on the 
product class. When evaluating and establishing energy conservation 
standards, DOE divides covered products into product classes by the 
type of energy used, capacity, or other performance-related features 
that affect efficiency, considering factors such as the utility of the 
product to users. (See 42 U.S.C. 6295(q)) The fluorescent lamp ballast 
standards rulemaking delineates product classes based on the maximum 
number of lamps operated by a ballast, ballast factor, starting method, 
lumen package,\4\ lamp base, market sector, and lamp length. Ballasts 
contained in the same product class are subject to the same energy 
conservation standards.
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    \4\ Lumen package refers to the quantity of light generated by a 
lamp and ballast system. For example, 8-foot RDC high output HO 
lamps and 4-foot miniature bipin (MiniBP) HO lamps tend to operate 
at higher currents than 8-foot single pin (SP) slimline lamps and 4-
foot MiniBP standard output (SO) lamps, respectively. This 
difference in operating design increases the quantity of light per 
unit of lamp length.
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    At the 2008 Framework public meeting for the fluorescent lamp 
ballast standards rulemaking, the Appliance Standards Awareness Project 
(ASAP) asked DOE to elaborate on how the schedules for the fluorescent 
lamp ballast energy conservation standard and active mode test 
procedure rulemakings interact. (ASAP,\5\ Public Meeting Transcript, 
No. 9 at p. 29) Because the fluorescent lamp ballast standards 
rulemaking is in the preliminary analysis phase of the rulemaking 
process, the proposed scope of coverage is still in draft form. To 
ensure consistency in the scope of coverage, DOE plans to publish the 
final rule for this test procedure rulemaking concurrently with the 
ballasts standards rulemaking final rule (scheduled for June 30, 2011). 
Concurrent publication affords DOE the opportunity to synchronize its 
test procedure with the final scope of coverage for the fluorescent 
lamp ballast standards rulemaking. If a ballast type \6\ is removed 
from the scope of coverage, DOE will eliminate the pertinent test 
procedures from the active mode test procedure in the final rule. 
Conversely, in the event additional ballasts are added to the scope of 
coverage, DOE will develop test procedures for these ballasts and 
update the active mode test procedure in a subsequent rulemaking. For 
example, in the preliminary analyses of the fluorescent lamp ballast 
standards rulemaking, DOE's preliminary scope of coverage that does not 
include ballasts capable of dimming. As DOE invites comment on this in 
the fluorescent lamp ballast standards rulemaking, if DOE's final scope 
of coverage includes dimming ballasts, DOE will need finalize test 
procedures for these ballasts. DOE also invites comment in this test 
procedure rulemaking on suggested methods of measuring the efficiency 
of dimming-capable ballasts.
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    \5\ A notation in the form ``ASAP, Public Meeting Transcript, 
No. 9 at p. 29'' identifies a statement made in a public meeting 
that DOE has received and has included in the docket of this 
rulemaking. This particular notation refers to a comment: (1) 
Submitted during the public meeting on February 6, 2008; (2) in 
document number 9 in the docket of this rulemaking; and (3) 
appearing on page 29 of the transcript.
    \6\ Ballast type refers to a grouping of ballasts that use the 
same starting method, and operate lamps of the same diameter, lumen 
package, base type, and length. For example, instant-start ballasts 
that operate 4-foot medium bipin T8 lamps.
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2. Effective Date
    Because some of the test procedure amendments proposed for Appendix 
Q1 will change measured efficiency and therefore affect compliance with 
existing standards, DOE proposes an effective date of the revised test 
procedure in Appendix Q1 to Subpart B concurrent with the compliance 
date of the energy conservation standards prescribed by the fluorescent 
lamp ballast standards rulemaking. DOE also plans to publish the final 
rule establishing the procedures in Appendix Q1 in the same rule 
document as the final rule establishing any amended standards. In the 
fluorescent lamp ballast standards rulemaking, DOE is developing 
standards that correspond with the active mode test procedure proposed 
in this rulemaking. The proposed active mode test procedure would be 
used to test ballast efficiency on or after the compliance date of the 
fluorescent lamp ballast standards rulemaking (approximately June 
2014). Until this compliance date, fluorescent lamp ballasts would 
continue to be tested using the existing test procedure in Appendix Q 
to determine compliance with existing standards. Because the 
modifications to Appendix Q (an update to referenced industry 
standards) do not affect the measured efficiency, DOE proposes that 
they be effective 30 days after publication of this test procedure 
final rule. DOE notes that because use

[[Page 14292]]

of the test method in Appendix Q1 is not appropriate for those ballasts 
that cannot operate a resistor load bank, manufacturers would continue 
to test those ballasts using the test method set forth in Appendix Q. 
In addition, the test procedures for any ballasts that operate in 
standby mode are also located in Appendix Q.
    Certification and compliance procedures for fluorescent lamp 
ballasts are also proposed in this rulemaking. Because these provisions 
also do not affect measured efficiency, DOE proposes that they be 
effective 30 days after publication of this test procedure final rule. 
Accordingly, manufacturers of fluorescent lamp ballasts would be 
required to submit compliance statements and certification reports to 
certify compliance with existing standards, using the test procedures 
at Appendix Q, one year following publication of the test procedure 
final rule. Ballast manufacturers would certify compliance with any 
amended standards using the test procedures at Appendix Q1 beginning 
one year following the compliance date of the amended standards.

B. Existing Test Procedure

    The existing ballast test procedure (in Appendix Q to Subpart B of 
10 CFR part 430) used to determine the energy efficiency of a 
fluorescent lamp ballast is based on light output measurements and 
ballast input power. The metric used is called ballast efficacy factor 
(BEF). BEF is the relative light output divided by the power input of a 
fluorescent lamp ballast, as measured under test conditions specified 
in ANSI standard C82.2-1984, or as may be prescribed by the Secretary. 
42 U.S.C. 6291(29)(C)
    The BEF metric uses light output of the lamp and ballast system 
instead of ballast electrical output power in its calculation of the 
efficiency of a ballast. To measure relative light output, ANSI C82.2-
1984 directs the user to measure the photocell output \7\ of the test 
ballast operating a reference lamp and the light output of a reference 
ballast operating the same reference lamp. Dividing photocell output of 
the test ballast by the photocell output of the reference ballast 
yields relative light output or ballast factor (BF). Concurrent with 
measuring relative light output, the user is directed to measure 
ballast input power. BEF is then calculated by dividing relative light 
output by input power. A ballast that produces more light than another 
ballast with the same input power will have a larger BEF.
---------------------------------------------------------------------------

    \7\ The photocell output of a light source is measured in units 
of watts. Photocell output (watts) is one method of measuring the 
light output of a light source. Through the remainder of this 
document, DOE refers to the output of a fluorescent lamp as ``light 
output,'' even though the existing test procedure indicates 
measuring the light with photocell output.
---------------------------------------------------------------------------

C. Drawbacks of Existing BEF Test Procedure

    In response to the framework document for the fluorescent lamp 
ballast standards rulemaking, DOE received numerous written and verbal 
comments from interested parties on the usage of ballast efficacy 
factor as the metric for describing the energy consumption of 
fluorescent lamp ballasts. The National Electrical Manufacturers 
Association (NEMA) commented that in previous rulemakings regarding 
efficiency of ballasts, the variation in BEF measurements was less of 
an issue because the range of efficiency in the market was much larger. 
The spread in the measured energy efficiency between magnetic and 
electronic ballasts, for example, was much larger than the measurement 
variation inherent to the existing test procedure. However, in the 
current market, the spread in efficiency between ballasts has a much 
smaller range. (NEMA, Public Meeting Transcript, No. 9 at p. 23, pp. 
56-57) NEMA commented that DOE should change the metric away from BEF 
because BEF measurements made in accordance with the current 
fluorescent lamp ballast test procedure (appendix Q) can be shown to 
have a measurement uncertainty on the order of 5 percent. NEMA stated 
that when measuring the same ballast at different test laboratories 
with different examples of the same reference lamp, the spread in test 
results is similar to the range of T8 ballast BEFs observed in the 
market today. NEMA reasoned that in order to have meaningful 
verification of a standard DOE would need a metric that delineates 
between the products on the market. According to NEMA, the ballast 
industry would be challenged to come to consensus on a standard when so 
much variation existed in the data. (NEMA, Public Meeting Transcript, 
No. 9 at p. 23, pp. 35-36, pp. 56-58; NEMA,\8\ No. 11 at p. 2)
---------------------------------------------------------------------------

    \8\ A notation in the form ``NEMA, No. 11 at p. 2'' identifies a 
written comment that DOE has received and has included in the docket 
of this rulemaking or a written docket submission. This particular 
notation refers to a comment: (1) Submitted by NEMA; (2) in document 
number 11 in the docket of this rulemaking; and appearing on page 2.
---------------------------------------------------------------------------

    DOE understands NEMA's concerns regarding the measurement 
uncertainty related to the BEF measurement method under the existing 
fluorescent lamp ballast test procedure. The measurement uncertainty 
would negatively impact DOE's ability to set standards for ballasts, as 
it could be difficult to distinguish between typical and high-
efficiency ballasts. DOE agrees with NEMA's description that the range 
of efficiencies of ballasts available in the market have in general 
decreased and acknowledges the need for a test method or metric that 
reduces systematic error and generates more reliable test results. 
Reduced variation in test procedure calculations will allow for more 
precise standard setting and certification, compliance, and enforcement 
testing. DOE is proposing a test procedure that is designed to reduce 
systematic error and enhance energy conservation standard-setting 
capabilities.
    NEMA also stated that lamp manufacturing variations will create 
variations in measured BEF values. (NEMA, Public Meeting Transcript, 
No. 9 at p. 38; NEMA, No. 11 at p. 6; GE, Public Meeting Transcript, 
No. 9 at p. 43) DOE agrees that a number of factors, in particular the 
manufacturing variability of lamps, can contribute to producing this 
uncertainty. Due to lamp manufacturing variability and in order to 
reduce the performance variation among those lamps selected for 
testing, industry standards referenced in the test procedure specify a 
narrower range of operating conditions for reference lamps. ANSI C82.1-
1977 (referenced by ANSI C82.2-1984) specifies that a reference lamp 
must not vary more than 2.5 percent from the lamp parameters given in 
the ANSI C78 Series (1972 edition and 1975 supplement) for fluorescent 
lamp electrical characteristics. Even this narrowed variation allowed 
in the measured lamp power, however, has a significant impact on the 
variation in BEF. Changes in measured lamp input power result in 
disproportionate changes to the numerator (ballast factor) and the 
denominator (input power) in the BEF metric. The percent change in 
ballast factor is not as great as the percent change in ballast input 
power for a given change in measured lamp input power. Consequently, 
the same ballast will generate different values of BEF when tested on 
reference lamps with different measured power.
    GE commented that in addition to reference lamp manufacturing 
variation, BEF can vary depending on the testing facility. (GE, Public 
Meeting Transcript, No. 9 at p. 43) DOE agrees that deviations in test 
facility environmental conditions can result in dissimilarities in 
measured BEF. ANSI C82.2-1984 (incorporated in the existing test 
procedure) allows ambient temperature

[[Page 14293]]

to vary 1 degrees Celsius ([deg]C) from 25 [deg]C. Through 
testing, DOE has shown ambient temperature to have an effect on BEF 
measurements. Specifically, DOE found that changes in ambient 
temperature as small as 1 [deg]C resulted in changes in BEF as much as 
1.5 percent.
    NEMA commented that the BEF measurement requires photometric 
measurements of a reference lamp attached to the test ballast; thus, 
BEF values cannot be compared across ballasts that operate different 
lamp types. A more appropriate metric would not depend on lamp 
parameters or requirements. (NEMA, Public Meeting Transcript, No. 9 at 
p. 38, pp. 124-125; NEMA, No. 11 at p. 6) NEMA also stated that an 
alternative metric that is comparable across all instant-start or 
programmed-start ballasts and capable of including lamp types yet to be 
developed would be preferable to the existing test procedure using BEF. 
(NEMA, Public Meeting Transcript, No. 9 at pp. 76-77, p. 99) NEMA 
further commented that some lamps do not have ANSI standards governing 
their operating characteristics. Considerable variation in lamp 
operating conditions exists among manufacturers for these lamps because 
the industry has not reached a formal consensus. (NEMA, Public Meeting 
Transcript, No. 9 at pp. 76-77) NEMA suggested that DOE consider an 
alternative metric based on measuring ballast input and output 
electrical power as discussed in section III.E. (NEMA, Public Meeting 
Transcript, No. 9 at p. 32, pp. 37-38)
    DOE recognizes that BEF is not comparable across all ballasts. BEF 
is measured and calculated using fluorescent lamps that vary in 
measured power, thereby impacting ballast input power. As a 
consequence, BEF is dependent on lamp type.\9\ DOE plans to organize 
the covered ballasts into different product classes based on consumer 
utility and energy efficiency differences. Because DOE will consider a 
separate energy conservation standard for each of these product 
classes, the test procedure must make comparisons in energy efficiency 
possible within a product class. However, the existing BEF method does 
not allow for such comparisons in all circumstances, as explained in 
the following paragraph. DOE recognizes that comparison across product 
classes may also be useful for consumers of fluorescent lamp ballasts. 
DOE addresses this issue in its discussion of the resistor-based BE 
method in section III.E.1.
---------------------------------------------------------------------------

    \9\ Lamp type describes a grouping of lamps that have the same 
length, lumen package, base type, and diameter.
---------------------------------------------------------------------------

    In the ongoing fluorescent lamp ballast standards rulemaking, DOE 
has tentatively determined there is no distinct consumer utility 
difference between T8 and T12 ballasts. As a result, DOE is considering 
grouping T8 and T12 ballasts in the same product class. Due to the 
difference in rated powers of the reference lamps, however, measured 
BEF values for T8 and T12 ballasts are not comparable. Because DOE 
plans to subject certain T8 and T12 ballasts to the same energy 
conservation standard (by including these ballasts in the same product 
class), DOE agrees that amendments to the existing active mode test 
procedure to allow for greater comparability across lamp types is 
warranted. Therefore, in this notice DOE proposes to revise the test 
procedure such that the reported BEF for a T12 ballast will be 
comparable to the reported BEF for a T8 ballast. These proposed 
revisions are discussed in further detail in section III.F.5.
    DOE also agrees that the revised test procedure and metric should 
be able to encompass newly-developed lamps. The industry has not come 
to consensus on operating specification standards for some of these 
new, reduced-wattage lamps. Without consistent industry standards for 
lamps, light-output-based testing of BEF can vary greatly. DOE proposes 
to test ballasts while operating one representative load, 
characterizing the lamp wattage most commonly operated. The development 
and marketing of new, reduced-wattage lamps (with or without ANSI 
standards) is not a concern because today's test procedure proposes to 
specify a particular lamp and ballast combination for testing. See 
section III.F.2 for additional detail on DOE's preliminary decision to 
test ballasts while operating a load characteristic of the most common 
wattage lamp.
    NEMA commented that lamp filament heating introduces variability 
into the existing BEF measurement (NEMA, Public Meeting Transcript, No. 
9 at p. 39). DOE agrees the existing ballast test procedure is unclear 
on whether or not electrode heating should be used in the reference 
circuit. Electrode heating is known to increase the efficiency of a 
lamp, which means the same amount of input power produces more light. 
Consequently, the ballast factor of a test ballast tends to be smaller 
if the reference circuit uses electrode heating compared to a reference 
circuit without electrode heating. DOE agrees that the current test 
procedure inserts some variability into the measurement of BF and 
consequently BEF due to the apparent flexibility in the use of 
reference circuit heating. In today's proposed test procedure, DOE 
addresses this issue by specifying that electrode heating should always 
be used in the reference circuit for medium bipin, recessed double 
contact, and miniature bipin lamps. Electrode heating should not be 
used in the reference circuit for single pin lamps. As discussed in 
section III.E.3, DOE believes specifying whether electrode heating 
should be used in the reference case limits opportunity for introducing 
variation in the test procedure. DOE also understands that the 
efficiency change due to electrode heating may vary from lamp to lamp. 
DOE believes the variation to be relatively small, though it does not 
have quantitative data to characterize this variation among lamps. DOE 
invites comment on reasonable techniques to reduce this source of 
variation.
    NEMA also commented that filament heating should be taken into 
account in comparison of ballasts with different starting methods. 
(NEMA, Public Meeting Transcript, No. 9 at p. 39) DOE is aware starting 
method can impact the measurement of ballast output power. Ballasts 
that employ constant electrode heating generate smaller BEF values than 
ballasts without constant electrode heating. Because BEF considers the 
light output of a ballast, constant cathode heating tends to decrease 
BEF because some of the ballast output power is used for purposes other 
than light production. From a system viewpoint, however, BEF reflects 
the loss in lighting efficiency due to electrode heating. Contrary to 
NEMA, DOE does not believe that power dissipated by the lamp electrodes 
should be included in the measurement of output power as this power is 
not used directly toward the primary function of producing light. DOE 
notes that it will consider setting specific standards for ballasts 
that employ electrode heating based on any potential consumer utility 
differences \10\ in the ongoing fluorescent lamp ballast standards 
rulemaking.
---------------------------------------------------------------------------

    \10\ In the fluorescent lamp ballast standards rulemaking, DOE 
has tentatively determined that while rapid-start ballasts do not 
offer distinct utility compared to instant-start ballasts, 
programmed-start ballasts do offer distinct utility compared to 
instant-start ballasts. DOE found that consumers frequently use 
rapid-start ballasts as replacements for instant-start ballasts. 
Programmed-start ballasts, however, can increase lamp lifetime for 
frequent on/off cycling applications (e.g. for use with occupancy 
sensors), providing consumer utility. Therefore, DOE has tentatively 
determined to group rapid-start ballasts and instant-start ballast 
in the same product class and place programmed-start ballasts in a 
separate product class.
---------------------------------------------------------------------------

    NEMA also indicated T8 ballasts are particularly impacted by 
measurement

[[Page 14294]]

uncertainty because much of the T8 ballast market is high-frequency 
electronic and T8 lamps are first operated on a low-frequency (60-
hertz) reference ballast during BEF testing. NEMA asserted that lamps 
increase in efficiency when switching from low- to high-frequency 
operation, but that all lamps will not gain exactly the same amount of 
efficiency. NEMA mentioned it could provide data to show error of 
several percent when the same ballast is tested at different labs with 
different lamps due to the high-frequency to low-frequency comparison. 
(NEMA, Public Meeting Transcript, No. 9 at p. 26, p. 39)
    DOE agrees that random error is introduced into the measurement and 
calculation of BEF due to variation in lamp efficiency gains when 
switching from magnetic to electronic ballasts. In general, when a lamp 
is run at high-frequency (electronic ballasts), the lamp requires less 
power to produce the same amount of light when compared to a low-
frequency (magnetic) ballast. Electronic ballasts run at high 
frequency, so they tend to display higher BEF values than low-frequency 
magnetic ballasts. Part of this difference is due to the lamp operating 
at a lower rated wattage (increased efficiency), while the remainder is 
due to improvements in the electrical efficiency of the ballast. ANSI 
does not specify high-frequency reference conditions for 32W F32T8, 60W 
F96T12/ES, 95W F96T12HO/ES, and 110W F96T12HO fluorescent lamps.
    Another source of variation in the existing test procedure is lamp 
and ballast wiring for rapid- and programmed-start ballasts. These 
ballasts have two wires connected to the pins on each end of the lamp. 
One of the two wires supplies power to the lamp arc, and the second 
provides power to the electrode. Depending on which pin the lamp arc 
wire is connected to, the current supplied to the lamp arc will 
encounter different amounts of resistance. The difference in resistance 
is due to the position on the lamp electrode where the current starts 
and finishes the lamp arc. When this position (hotspot) is in the 
center of the electrode, wiring differences do not change the measured 
BEF. However, when the hotspot is closer to one end or the other of the 
electrode, the current encounters varied resistances based on the 
distance it must travel through the electrode. Because ballast wires 
are not identified as delivering energy to the lamp arc or electrode 
and the position of the hotspot is unknown, this source of variation 
cannot be eliminated.
    At the framework document public meeting, DOE received comments 
that ballast manufacturers and independent test labs use light output 
measurements for calculating ballast factor for both rapid-start and 
instant-start ballasts. (GE, Public Meeting Transcript, No. 9 at p. 73; 
Philips, Public Meeting Transcript, No. 9 at p. 74) ANSI C82.2-1984 
suggests the usage of power measurements for instant-start systems, but 
common industry practice has been the usage of light output 
measurements for all ballast starting methods. Ballast factor can be 
calculated either as a ratio of test and reference circuit light output 
or as a ratio of measured lamp power. DOE notes that power measurements 
are somewhat impractical to conduct on ballasts that employ electrode 
heating because these ballasts use two wires to connect to a lamp 
electrode. The presence of additional wires requires more measurements 
to determine output power which introduces error into the results. DOE 
believes this technique introduces significant error through 
capacitance to ground and loading effects on ballasts that use 
electrode heating. As discussed in section III.E.3, DOE believes that 
one way to reduce this error would be to require light-output 
measurements to be used for all ballast types.

D. Efficiency Metric for Fluorescent Lamp Ballasts

    A joint comment (hereafter the ``Joint Comment'') submitted by 
ASAP, the American Council for an Energy-Efficient Economy (ACEEE), the 
Alliance to Save Energy (ASE), the Natural Resources Defense Council 
(NRDC), the Northeast Energy Efficiency Partnerships (NEEP), and the 
Northwest Power and Conservation Council (NPCC) suggested that DOE 
consider a metric other than BEF that permits comparison between 
different lamp wattages, ballast types, and numbers of lamps operated 
by a ballast. (Joint Comment, No. 12 at p. 1) NEMA also recommended 
that DOE consider changing the metric away from BEF and toward an 
alternate metric. (NEMA, No. 11 at p. 2, pp. 11-12) NEMA suggested if 
DOE cannot change the metric from BEF, it should develop a test 
procedure that requires the measurement of some other metric unrelated 
to lamp lumen output, such as ballast efficiency \11\ or relative 
system efficacy,\12\ and then give correlations to BEF so that BEF can 
still be used in standard-setting. The New York State Energy Research 
and Development Authority (NYSERDA) also recommended consideration of 
RSE as an alternative metric. (NYSERDA, No. 9, pp. 27-28) NEMA asked if 
DOE might accept a NEMA- and ANSI-supported method of measuring BE, and 
correlating BE measurements with BEF values. (NEMA, Public Meeting 
Transcript, No. 9 at p. 32, pp. 37-38)
---------------------------------------------------------------------------

    \11\ Ballast efficiency aims to capture the electrical 
efficiency of a ballast by eliminating usage of lamps and 
photometric measurements in the test method. Ballast efficiency 
equals ballast output power divided by ballast input power. See 
section III.E.4.
    \12\ Relative system efficacy provides a greater range of 
comparability among ballast types in comparison to ballast efficacy 
factor. RSE is based on the BEF metric and creates minimal 
incremental testing burden. See section III.E.4.
---------------------------------------------------------------------------

    The energy conservation standard is specified using the metric of 
ballast efficacy factor. 42 U.S.C. 6295(g)(5), (g)(8) In this 
rulemaking, DOE proposes measuring an alternate metric (ballast 
efficiency) and using a set of correlation functions so that BEF values 
can be reported.
    Acuity Brands Lighting also commented that much of the marketplace 
(end-users, lighting designers, architects, and electrical engineers) 
do not use the BEF metric and may not have knowledge of it. Acuity 
Brands indicated that luminaire manufacturers are the primary users of 
BEF values, using them in ballast purchasing decisions for selection of 
products compliant with regulations. Acuity Brands also indicated that 
a change in metric would not impact the end-user as much it may impact 
luminaire manufacturers. (Acuity Brands Lighting, Public Meeting 
Transcript, No. 9 at pp. 45-46) DOE understands that the lighting 
design process involves metrics other than BEF. Lamp, ballast, and 
luminaire combinations may be more or less efficient when analyzed as a 
complete system. End-users may make their purchasing decisions from 
this system viewpoint. DOE appreciates this comment; however, DOE 
proposes the use of transfer equations to convert BE values to BEF for 
consistency with use of the BEF metric in 42 U.S.C. 6295(g)(5) and 
(g)(8).
    The Joint Comment suggested that an alternate metric should account 
for all power loads served by the ballast, including lamp arc power, 
cathode power, and standby power consumption. (Joint Comment, No. 12 at 
p. 1) DOE understands the importance of capturing all power loads 
served by a fluorescent lamp ballast. DOE notes that BEF does capture 
all power modes listed by the Joint Comment (lamp arc power and cathode 
power) except for standby mode consumption. However, DOE does not 
believe it is feasible to incorporate standby power into the BEF 
metric. The BEF metric relates light

[[Page 14295]]

output (relative to a reference system) to input power. Ballasts that 
produce more light using the same input wattage have a larger BEF 
value. Standby mode power, however, performs a different function. 
Instead of using power for light output, standby mode power is used to 
facilitate activation or deactivation of other functions (active mode 
functions, i.e., light output) by a remote switch. Because BEF is a 
measure of light output divided by input power and not energy 
consumption, DOE does not believe it is feasible to incorporate a 
measure of standby mode energy use into the BEF metric for active mode 
energy consumption. While DOE's preliminary determination of the scope 
of coverage in the fluorescent lamp ballasts standards rulemaking does 
not include ballasts capable of operating in standby mode, if the scope 
of coverage changes to include these ballasts, DOE will set separate 
standby mode energy conservation standards. Test procedures for the 
measurement of standby mode energy consumption for fluorescent lamp 
ballasts can be found in Appendix Q.

E. Test Procedure Improvement Options

    Given that alternative methods of testing may result in reduced 
measurement variation compared to the existing test procedure for BEF, 
DOE considered three new methods for measuring the efficiency of a 
ballast and one improved version of the existing method. The first 
method is called the resistor-based ballast efficiency method, and 
requires first measuring an estimate of ballast electrical efficiency 
when operating a resistor load and then converting the estimate to BEF. 
The second method, called the lamp-based ballast efficiency method, 
involves measuring ballast efficiency using a lamp as the ballast load 
and then converting that BE to BEF. The third method makes small 
changes to the existing test procedure to improve the precision of BEF 
measurement. The fourth method measures relative system efficacy, which 
is a variation of ballast efficacy factor that is more comparable 
across ballast types. While DOE proposes the first method to be used as 
the new test procedure for determination of fluorescent lamp ballast 
energy consumption, DOE is still considering all of these options for 
improvement of the test procedure and therefore invites comments on all 
alternative methods. The following sections discuss the merits and 
drawbacks of the four methods.
1. Resistor-Based Ballast Efficiency Correlated to Ballast Efficacy 
Factor
    NEMA suggested at the framework document public meeting for the 
fluorescent lamp ballast standards rulemaking that DOE should consider 
using the BE metric. (NEMA, Public Meeting Transcript, No. 9 at p. 32, 
pp. 37-38) Following the public meeting, DOE participated in the NEMA 
task force on ballast efficiency through June 2009. Through a series of 
conference calls and meetings, DOE learned about the resistor-based BE 
method and participated in its development for four-foot 32W MBP T8 
normal ballast factor ballasts. Using the data gathered and methodology 
used in the NEMA task force DOE then continued development of the 
proposed test procedure for other lamp types. DOE defined additional 
resistor values, conducted extensive testing for both BE and BEF in 
many product classes, created transfer equations so that BEF values 
could be reported, and specified instrumentation specifications in its 
development of the proposed test procedure.
    Ballast efficiency equals lamp arc power divided by ballast input 
power. Ballast efficiency aims to capture the electrical efficiency of 
a ballast by eliminating usage of lamps and photometric measurements. 
Instead of using a lamp and measuring light output, the resistor-based 
BE method uses resistors (a resistor load bank) to simulate the lamp 
and makes an electrical measurement of power through the arc-resistor. 
Because a resistor can be manufactured with much smaller performance 
tolerances than a fluorescent lamp, the resistor introduces much less 
variation into the operating characteristics of the ballast.
    NEMA commented that a BE measurement does not require lamp 
electrical and photometric measurements and, thus, is both easier to 
execute and more accurate. NEMA also stated that BE measurements have 
lower measurement variation (on the order of 1 to 2 percent) between 
test facilities and do not require ANSI standards for lamps that the 
ballast is designed to operate. NEMA believes that the ballast 
efficiency metric could be used to compare all ballasts of a given type 
(e.g., all instant-start ballasts, all programmed-start ballasts), 
regardless of the lamp types that the ballasts support (including lamp 
types yet to be developed). (NEMA, Public Meeting Transcript, No. 9 at 
pp. 25-27, p. 36, pp. 76-77, pp. 100-101)
    DOE agrees that ballast efficiency would likely show less variation 
than BEF and would allow for more equitable comparison among ballasts 
operating different numbers of lamps or lamp wattages. As discussed in 
section III.C, much of the variation inherent in the existing test 
procedure is due to variation among reference lamps. The resistor-based 
BE method reduces much of the measurement variation due to reference 
lamps by using a resistor load bank to simulate the load placed on a 
ballast during the measurement of input and output power. Decreased 
measurement variation allows for more precise standard setting and 
certification, compliance, and enforcement testing. DOE acknowledges 
that the BE metric would allow for comparability across large portions 
of the ballast market and that such comparability provides benefit to 
consumers. DOE proposes conversion to BEF values, however, to measure 
energy efficiency in a repeatable manner that provides comparison for 
products in the same product class and that is also consistent with the 
statutory metric set forth at 42 U.S.C. 6295(g)(5) and (g)(8).
    DOE notes that use of ANSI standards would be required for lamps in 
today's proposed test method because of the need to define the ballast 
factor of a ballast. Ballast factor is a necessary input to the 
transfer equations between BE and BEF as discussed in section III.F.5. 
Because DOE proposes to test a ballast using only one lamp type, 
however, new lamps without ANSI standards will not affect the test 
procedure. The test procedure indicates using currently-available and 
ANSI-specified lamps for the measurement and calculation of ballast 
factor.
    While NEMA commented that BE is the best descriptor for instant-
start energy efficiency measurements, NEMA also stated that electrode 
heating effects should be taken into account for rapid-start and 
programmed-start systems (NEMA, Public Meeting Transcript, No. 9 at pp. 
37-39). The use of electrode heating impacts the ratio of ballast input 
power to power dissipated in the lamp arc. Unlike instant-start 
ballasts, programmed-start and rapid-start ballasts use a portion of 
the ballast input power to heat the electrodes. Ion bombardment at the 
electrode (known as sputtering) during the voltage pulse deteriorates 
the lamp electrode over time. Electrode heating reduces the magnitude 
of the voltage pulse required to start a lamp, thereby increasing lamp 
lifetime for applications that require frequent on and off switching. 
Because the resistor-based BE test method measures only the power 
across the lamp arc resistor, measured output power (lamp arc power) 
for ballasts such as rapid-start and some

[[Page 14296]]

programmed-start ballasts tends to be smaller than the true total 
ballast output power. Instant-start ballasts are less affected by this 
issue because these ballasts do not employ electrode heating. From a 
lighting efficiency perspective, the BE metric captures the percentage 
of input power utilized for lighting in the output stage. DOE believes 
accounting for output power in this way is useful because it does 
indicate that instant-start ballasts use a greater percentage of input 
power in the direct production of light. The fluorescent lamp ballast 
standards rulemaking will consider the impact of starting method on 
consumer utility and will set energy conservation standards 
accordingly.
    DOE investigated the possibility of measuring the total output 
power of a ballast for the BE metric to include electrode heating and 
lamp arc power. To measure the total output power across the entire 
resistor load bank, a user needs to measure the electrode and lamp arc 
voltage separately. DOE found this measurement to introduce too much 
error through capacitance to ground and loading effects on the ballast 
during high-frequency operation. Accordingly, DOE has tentatively 
concluded that reducing the number of measurements to ensure a more 
accurate measurement is the more reasonable approach. Therefore, DOE 
proposes measuring the voltage drop across the lamp arc resistor and 
the input current to the resistor load bank to calculate output power 
for the ballast efficiency metric.
    GE commented that ballast manufacturers do not have control over 
the performance of a lamp or the measurement variation associated with 
the usage of reference lamps in the existing test procedure. GE noted 
that the resistor-based BE metric allows ballast designers to meet a 
specification that is independent of lamp variation. (GE, Public 
Meeting Transcript, No. 9 at p. 43) DOE understands that ballast 
designers would prefer ballast energy efficiency to be measured 
independently from a lamp. DOE agrees that measured BEF is subject to 
variations in measured lamp wattage and intends to reduce this source 
of variation. Today's proposed test procedure reduces the effect of 
reference lamp variation on variation in BEF.
    DOE also believes that industry is starting to adopt BE method. 
NEMA has already initiated the usage of BE in its Premium Ballast 
Program, where BE is used in an alternative verification procedure. 
NEMA invited DOE and other interested parties to participate in the 
investigation process of the BE metric. (NEMA, Public Meeting 
Transcript, No. 9 at p. 41, pp. 48-50, p. 53; NEMA, No. 11 at p. 3) In 
particular, NEMA indicated that it has been studying the measurement 
variation of ballast efficiency through ballast testing and wished to 
collaborate directly with DOE. NEMA went on to mention that lamp 
manufacturers as well as the technical coordinators for ANSI C82.11 and 
the ANSI C82.11 Annex are involved and that lamp manufacturers are 
aware of the BE effort and have not voiced any resistance to the 
concept. (NEMA, Public Meeting Transcript, No. 9 at pp. 23-25, p. 42, 
p. 45, p. 48, pp. 54-55) ASAP stated that DOE's participation could 
speed the metrics replacement process and that the presence of non-
industry experts would increase ASAP's confidence in the new metric. 
(ASAP, Public Meeting Transcript, No. 9 at p. 47, p. 49)
    DOE participated in the NEMA task force on ballast efficiency by 
taking part in conference calls, providing technical expertise, and 
participating in ballast testing. NEMA measured ballast efficiency 
using the resistor-based BE method through a round robin activity 
(involving multiple ballast manufacturers and independent test labs) 
for ballasts that operate 32W, 4-foot medium bipin T8 lamps. Using 
these data, the task force honed the details of the test method and 
examined the level of variation present in the data. DOE's involvement 
with the NEMA task force was for the purpose of participating in round 
robin testing. Once testing was complete, DOE finalized development of 
today's proposed test procedure.
    DOE believes the resistor-based ballast efficiency method reduces 
measurement variation, in comparison to the existing test method, to a 
greater extent than RSE or the improved light-output-based test 
procedure. DOE prefers a test procedure with reduced variation as it 
will allow for more precise standard setting and certification, 
compliance, and enforcement testing. DOE invites comment on the 
effectiveness of the resistor-based BE test method and its expected 
improvement in measurement variation.
2. Lamp-Based Ballast Efficiency Correlated to Ballast Efficacy Factor
    As an alternative to the resistor-based ballast efficiency method 
(with results correlated through transfer equations to BEF) discussed 
in the previous section, DOE also considered using a similar method 
using a lamp (rather than a resistor load bank) as the ballast load. 
This arrangement has several potential advantages over today's proposed 
method. As ballasts are designed to operate lamps, not resistors, 
testing the efficiency of a ballast while operating a lamp may provide 
for a more accurate representation of power consumption and efficiency 
than when operating a resistor. For example, a lamp is a dynamic load 
which changes impedance in response to being operated at different 
powers. In order to account for this effect using the resistor-based 
ballast efficiency method, DOE proposes using separate resistors for 
different bins of ballast factor (as discussed in section III.F.5). 
Using a lamp load to test ballast efficiency, would allow manufacturers 
to use a single lamp to act as the appropriate load for ballasts of all 
ballast factors. Also, as discussed in section III.F.8, DOE found that 
several ballasts are incompatible with the resistor-based method of 
testing ballast efficiency. In order to provide a viable test procedure 
for these ballasts, DOE proposes that manufacturers use the light 
output-based test to measure BEF directly. Using lamp-based ballast 
efficiency method could maintain a consistent testing procedure across 
these ballast types. Below is a brief summary of the lamp-based ballast 
efficiency (correlated to ballast efficacy factor) test method.
    Similar to the resistor-based ballast efficiency method, in the 
lamp-based ballast efficiency method, input and output power 
measurements would be simultaneously taken by the technician while the 
ballast is operating a lamp (specified by the test procedure). To 
calculate ballast efficiency, the technician would divide the measured 
output power by the measured input power. More specifically, a lamp 
would be seasoned at least 12 hours prior to testing to ensure stable 
electrical characteristics. The lamp and ballast pairing would be 
selected based on DOE's determination of the most common wattage lamp a 
ballast operates and the maximum number of lamps a ballast is designed 
to operate. The lamp or lamps, selected for consistency with the 
specifications in ANSI C78.81-2005, would be mounted in a standard 
strip fixture according to ANSI C82.1-2004 and ANSI C78.81-2005. 
Ballast and output power would be measured using a suitable power 
analyzer and current probe. DOE would consider the same specifications 
as proposed the resistor-based method as follows. Instrumentation for 
current, voltage, and power measurements would be selected in 
accordance with ANSI C78.375-1997 Section 9, which specifies that 
instruments should be ``of the true RMS type, essentially free from 
wave form

[[Page 14297]]

errors, and suitable for the frequency of operation.'' Instrument 
performance could be further specified within the guidelines of the 
ANSI C78.375-1997 and ANSI C82.2-2002. Specifically, current would be 
measured using a galvanically isolated current probe/monitor with 
frequency response between 40 Hertz (Hz) and 20 MHz. In addition, 
voltage would be measured directly by a power analyzer with a maximum 
100 picofarad (pF) capacitance to ground and have frequency response 
between 40 Hz and 1 MHz.
    Once the ballast is connected to the lamp and fixture, the ballast 
would be energized at its highest rated input voltage and the lamp and 
ballast system would be stabilized for up to one hour (at least fifteen 
minutes) as determined in ANSI C78.375-1997. Within one hour of 
energizing the ballast and after the lamp and ballast system have 
stabilized, the technician would record the input power and sum of the 
output powers measured for each lamp. The technician would then divide 
the total output power by the input power to yield BE. Finally, if DOE 
were to adopt the lamp-based BE method, similar to the resistor-based 
BE method, DOE would establish correlation relationships between BE and 
BEF.
    While DOE recognizes the several advantages to the lamp-based BE 
method (discussed earlier), DOE tentatively believes that testing for 
BE using resistor load instead of a lamp load would result in reduced 
measurement variation by eliminating lamp-to-lamp variability. At this 
time, DOE does not have test data to support the validity of the lamp-
based BE method or for the generation of appropriate transfer equations 
to correlate lamp-based BE to BEF. DOE requests additional information 
on this alternative lamp-based BE method, including repeatability and 
reproducibility statistics and test data. DOE also invites comment on 
the burden that the lamp-based BE method imposes for testing.
3. Improvements to Existing Test Procedure
    As an alternative to the ballast efficiency methods (with results 
correlated through transfer equations to BEF), DOE considered modifying 
certain aspects of the existing test procedure. DOE believes that some 
of the measurement variation inherent in the existing test procedure 
can be reduced without making fundamental changes. The measurement 
variation in BEF can be attributed to operating conditions, electrode 
heating in the reference circuit, variation in measured power of 
reference lamps, inconsistent output power measurements in determining 
ballast factor, and ambient temperature. DOE investigated methods for 
improving the requirements governing these specifications.
    The Illuminating Engineering Society of North America (IESNA) 
Lighting Measurements Testing & Calculation Guide (LM) IESNA LM-9-1999 
describes several options for operating a reference lamp. DOE believes 
that the industry is not uniform in its selection of operating 
conditions, which results in potential for varied BEF measurements. 
Under Electrical Settings (section 8.0), IESNA LM-9-1999 states 
``measurements may be taken with the lamp operating and stabilized at 
the specified input volts to the reference circuit or, alternatively, 
measurements may be taken with the lamp stabilized, at the rated lamp 
power or at a specified current.'' These different operating conditions 
can lead to varying reference ballast light outputs for the calculation 
of ballast factor. For example, if the reference ballast operates the 
reference lamp such that it produces less light, the ballast factor and 
BEF of the test ballast will increase. If ballast operators run the 
reference circuit only at the specified input voltage to the reference 
circuit, DOE believes the test procedure will be more reproducible 
between test facilities because only a single operating condition will 
be permitted. DOE believes using the specified input voltage to the 
reference circuit is the best option because it is the most common 
operating condition used by industry and simplest to execute. DOE also 
notes that the most recent test procedure final rule for general 
service fluorescent lamps also specifies testing lamps at a constant 
and specified input voltage. 74 FR 31829, 31834 (July 6, 2009).
    The existing ballast test procedure is unclear as to whether 
electrode heating should be used in the reference circuit. Electrode 
heating is known to increase the efficiency of a lamp, which means the 
same amount of input power produces more light. Compared to a reference 
circuit that employs electrode heating, the ballast factor of the test 
ballast tends to be larger if the reference circuit does not use 
electrode heating. An issue arises when instant-start ballasts (no 
electrode heating) are compared to a reference circuit that uses 
electrode heating. The additional lamp efficiency in the reference 
circuit decreases the ballast factor and BEF for an instant-start 
ballast compared to a test method that uses no electrode heating in the 
reference circuit. Although DOE acknowledges the effect on BEF due to 
electrode heating in the reference circuit for instant-start test 
ballasts, it notes there are no industry supported standards defining 
reference circuit operating conditions for medium bipin, miniature-
bipin, and recessed double contact lamps without electrode heating. 
These lamps are specified in ANSI standards according to operation with 
reference ballasts using electrode heating, but instant-start, rapid-
start, or programmed-start ballasts can operate these lamps. One cannot 
simply remove electrode heating from the circuit, as it would alter the 
way the ballast operates the lamp. Without industry standards, DOE is 
unable to quantify the effect new operating conditions might have on 
ballast factor. DOE expects the effect on BEF as a result of increased 
of lamp efficiency in the reference circuit to be relatively small and 
consistent among all instant-start ballasts such that no particular 
product is affected to a greater or lesser extent than any other 
product. DOE believes that requiring electrode heating in the reference 
circuit for all ballasts that operate medium bipin, miniature-bipin, 
and recessed double contact lamps would limit potential variation 
between test facilities.
    The existing test procedure specifies that the reference lamp 
electrical characteristics must not vary more than 2.5 percent from the 
specifications in the ANSI C78 Series (1972 Edition and 1975 
Supplement) for fluorescent lamp electrical characteristics. While this 
spread in operating conditions is less than the general requirements 
for the manufacturing of fluorescent lamps, it still leads to much of 
the variation in ballast input power and BEF. Tightening the tolerance 
on lamp electrical characteristics to  1 percent of the 
specifications found in the ANSI C78 Series (1972 Edition and 1975 
Supplement) would decrease measurement variation due to variability in 
measured lamp power. DOE believes this change alone could result in a 
large reduction in measurement variation.
    Decreasing the tolerance for ambient temperature would also reduce 
measurement variation. Differences in ambient temperature change the 
effective load a lamp places on a ballast which affects BEF through 
changes in the input power measurement. DOE found that changes in 
ambient temperature as small as 1 [deg]C resulted in changes in BEF as 
large as 1.5 percent. DOE believes limiting ambient temperature to 25 
[deg]C  0.5 [deg]C would reduce the measurement variation 
of BEF.

[[Page 14298]]

    In response to the fluorescent lamp ballast standards rulemaking 
framework document, DOE also received several comments related to the 
ANSI standard referenced by the current fluorescent lamp ballast test 
procedure. In written and verbal comments, NEMA acknowledged that ANSI 
C82.2-1984 cited in the current fluorescent lamp ballast test procedure 
is intended only for low-frequency ballasts and, thus, can be confusing 
for technicians attempting to test high-frequency electronic ballasts. 
NEMA indicated that ANSI is creating an update of ANSI C82.11-2002 and 
the associated C82.11-2002 Annex (collectively known as ANSI C82.11 
Consolidated-2002 \13\) that specifies an appropriate measurement 
method for high-frequency electronic ballasts. (NEMA, Public Meeting 
Transcript, No. 9 at pp. 71-73; NEMA, No. 11 at p. 2)
---------------------------------------------------------------------------

    \13\ American National Standards for Lamp Ballasts--High 
Frequency Lamp Ballasts--Supplements,'' approved January 17, 2002.
---------------------------------------------------------------------------

    DOE agrees that the ANSI C82.2-1984 cited in the current test 
procedure may be confusing for high-frequency ballast operation. Thus, 
DOE believes updating ANSI C82.2-1984 to ANSI C82.2-2002 \14\ and 
indicating the use of ANSI C82.11-2002 and ANSI C82.11 Annex would 
improve the clarity of the electronic ballast test method. DOE believes 
these changes would reduce measurement inconsistencies but not affect 
the measured energy efficiency of the ballast. Specifically, DOE 
believes the input power measurement of ANSI C82.2-2002 reduces the 
interference of instrumentation on the input power measurement as 
compared to ANSI C82.2-1984. DOE also believes, however, that because 
modern instrumentation does not significantly interfere with input 
power measurements, the differences between the input power 
measurements of the two test procedures are negligible. DOE believes 
ANSI C82.2-2002 should be used as the guide for measurement for both 
high- and low-frequency ballasts. For ballast operating conditions, DOE 
believes ANSI C82.1-2004 should be used for low-frequency (60 Hz) 
ballasts and ANSI C82.11 Consolidated-2002 for high-frequency ballasts. 
As discussed later in section III.F.9, while DOE is proposing to adopt 
the resistor-based BE test method for compliance with any future 
amended standards (using transfer equations so BEF values can be 
reported), DOE also proposes updating the ANSI C82.2-1984 reference in 
the existing test procedure for purposes of compliance with the 
existing standards. DOE invites comment on this issue.
---------------------------------------------------------------------------

    \14\ ``American National Standards for Lamp Ballasts--Method of 
Measurement of Fluorescent Lamp Ballasts,'' approved June 6, 2002.
---------------------------------------------------------------------------

    In the existing test procedure, ballast factor can be calculated 
either as a ratio of test and reference circuit light output or as a 
ratio of measured lamp power. Requiring light output measurements to be 
used for all starting methods in the calculation of ballast factor 
should reduce measurement variation and increase the consistency and 
comparability of results. In instant-start systems, power measurements 
are possible because fewer measurements are required to measure lamp 
power. For programmed-start and rapid-start ballasts, two wires attach 
to each end of the lamp, requiring additional voltage and current 
measurements compared to the instant-start system. During high-
frequency operation, these extra measurements make it difficult to 
accurately capture lamp power due to capacitance and loading effects on 
the ballast. For this reason, light output measurements are used for 
rapid-start and programmed-start ballasts for the measurement of 
ballast factor. Although the existing test procedure indicates the 
usage of power measurements for instant-start ballasts, industry 
practice has been to use light output measurements for all starting 
methods. DOE believes the use of light output for the measurement of 
ballast factor for all ballast types would render the values of BF more 
consistent between testing facilities.
    Many ballasts are capable of operating lamps with different lamp 
wattages. For example, a ballast designed to operate two four-foot 32W 
medium bipin (MBP) T8 lamps can also operate two 30W, 28W, or 25W 
lamps. The BEF will vary based on the rated wattage of the lamp 
operated by the ballast. When a ballast operates a lamp with a lower 
rated wattage, BEF tends to increase due to reduced ballast input 
power. In an improved light-output-based test procedure, DOE would 
specify particular lamp-and-ballast combinations for testing such that 
a ballast is only tested while operating one specific load. DOE 
believes this method would mitigate testing burden on manufacturers, 
provide a representative measurement of ballast energy consumption, and 
make the test procedure more flexible to new lamp-and-ballast 
combinations. See section III.F.2 for additional detail on using one 
lamp (resistor) and ballast combination for testing.
    To test every lamp-and-ballast combination, manufacturers would 
need to purchase and maintain the requisite number of reference lamps 
(or in the case of the resistor-based BE method, resistors) for every 
lamp wattage that a ballast can operate. In the example mentioned 
above, this would require six lamps (or resistors) in addition to the 
two required for the 32W lamp. For ballasts that operate more than two 
lamps, the impact on manufacturers is more significant. Furthermore, 
ANSI standards do not exist for every reduced wattage lamp. Because 
industry has not reached a consensus regarding the performance 
characteristics of each lamp, DOE did not choose a resistor to 
represent those lamps for which an industry standard does not exist. 
Thus, to mitigate the testing burden on manufacturers, in the 
fluorescent lamp ballast standards rulemaking, DOE is considering 
setting standards based on the ballast operating the most common lamp 
wattage. Consequently, the test procedure only requires one lamp-and-
ballast combination to be tested in each product class. See section 
III.F.2 for additional discussion on why DOE believes testing a ballast 
while operating one representative load is a reasonable means of 
determining the efficiency of a ballast.
    Similar to lamp wattage, ballasts are designed to operate a certain 
maximum number of lamps. Many ballasts can operate fewer than the 
maximum number of lamps. As discussed in section III.F.2, DOE found 
testing a ballast on all its possible loads (possible numbers of lamps) 
was unnecessary. DOE believes requiring testing of fluorescent lamps 
ballasts while operating the maximum number of lamps for which the 
ballast is designed would reduce testing burden on manufacturers and 
produce representative energy consumption measurements. Therefore, this 
test procedure would not require testing of ballasts with every 
possible number of lamps it can operate.
    Some ballasts are also capable of operating at multiple input 
voltages (universal voltage ballasts). The existing energy conservation 
standards require ballasts to be tested at both 120 V and 277 V, which 
increases the testing burden on manufacturers. The Joint Comment 
suggested testing these multi-voltage ballasts at 277 V for commercial 
ballasts and 120 V for residential ballasts. (Joint Comment, No. 12 at 
p. 5) DOE believes that 277 V is the most common input voltage for 
commercial ballasts and that 120 V is the most common for residential 
ballasts. Therefore, DOE agrees with the Joint Comment and has 
tentatively concluded that a revised light-output-based test procedure 
should test all universal voltage commercial ballasts at 277 V and 
universal voltage residential

[[Page 14299]]

ballasts at 120 V.\15\ Ballasts capable of operating only at a single 
voltage would be tested at the rated ballast input voltage.
---------------------------------------------------------------------------

    \15\ ANSI C82.77-2002 specifies commercial ballasts must have a 
power factor greater than 0.9, while residential fluorescent 
ballasts (with an input power below 120 W) must have a power factor 
of 0.5 or greater. Residential ballasts are designed and labeled for 
use in residential applications.
---------------------------------------------------------------------------

    DOE believes the aforementioned improvements to the existing test 
procedure would decrease measurement variation. Furthermore, DOE does 
not believe the changes would result in significantly increased testing 
burden for manufacturers. DOE believes, however, that the proposed 
resistor-based BE method reduces measurement variation to a greater 
extent than the improved light-output-based test procedure while also 
imposing only a nominal increase in testing burden. DOE invites comment 
on the effectiveness of the improved light-output-based test procedure 
to reduce measurement variation and on the burden it imposes for 
testing.
4. Relative System Efficacy
    DOE considered the RSE metric as another alternative to the 
existing BEF test procedure. The RSE metric is intended to normalize 
the existing metric of BEF to rated lamp efficacy to make it more 
comparable across ballasts operating different numbers of lamps and 
different lamp wattages. DOE received comments suggesting use of the 
RSE metric in response to the framework document for the fluorescent 
lamp ballast standards rulemaking.
    NEMA, NYSERDA, and the Joint Comment recommended the investigation 
of RSE as a potential replacement for the BEF metric. According to 
comments, the relative system efficacy metric would allow comparisons 
to be made across different ballast types, thereby enabling the usage 
of fewer product classes in the energy conservation standard. (NYSERDA, 
Public Meeting Transcript, No. 9 at pp. 27-28, p. 75; NEMA, Public 
Meeting Transcript, No. 9 at p. 100; Joint Comment, No. 12 at pp. 6-7)
    Relative system efficacy is equal to BEF divided by 100 and 
multiplied by total rated lamp power. RSE provides a greater range of 
comparability among ballast types in comparison to BEF. Because RSE is 
based on the BEF metric, it creates minimal incremental testing burden 
over the existing test procedure. RSE allows for improved comparison 
among ballasts designed to operate different number of lamp systems and 
ballasts designed to operate different lamp wattages. Lamp and ballast 
systems operating more lamps or higher-rated-wattage lamps tend to have 
lower BEF values. When these lower BEF values are multiplied by 
correspondingly larger total-rated-lamp powers, the resulting value is 
more comparable across different product classes.
    NEMA stated that it is attempting to correlate the BE and RSE 
metrics to the existing BEF metric. NEMA also stated that the RSE 
metric is likely to be more closely correlated to BE than the BEF 
metric is to BE. (NEMA, Public Meeting Transcript, No. 9 at p. 28, p. 
33) DOE believes NEMA may be correct in its prediction that RSE is more 
closely correlated to BE than BEF to BE. However, DOE proposes the use 
of transfer equations to convert BE values to BEF for consistency with 
use of the BEF metric in 42 U.S.C. 6295(g)(5) and (g)(8). Therefore, 
DOE did not consider correlating RSE to BE as an option for this 
proposed test procedure.
    Although the RSE metric improves on the BEF metric through 
increased comparability between product classes with minimal 
incremental burden, DOE believes RSE would ultimately have the same 
measurement uncertainty associated with the existing test procedure or 
the improved light-output based test procedure. In particular, because 
RSE includes the usage of reference lamps in test measurements, RSE is 
based on the same varied inputs as BEF. This rulemaking's test 
procedure revision is intended to reduce measurement variation, and DOE 
believes the proposed resistor-based BE method reduces measurement 
variation to a greater extent than RSE. DOE invites comment on its 
tentative decision not to adopt RSE as a potential test method.

F. Proposed Test Procedure

    In consideration of the comments and analysis discussed above, 
today's proposed test procedure for measuring active mode power 
consumption is the resistor-based BE method, with results correlated to 
BEF through the use of transfer equations. This method consists of the 
following steps: (1) Measurement of input power to the ballast; (2) 
measurement of simulated lamp arc power to estimate ballast output 
power; and (3) correlation of the ballast efficiency metric to BEF. DOE 
believes the resistor-based BE method results in the largest reduction 
in measurement variation over the existing test procedure. Interested 
parties are invited to comment on the proposed resistor-based ballast 
efficiency method, the lamp-based ballast efficiency method, the 
improvements to the BEF method, and the RSE method described in section 
III.E, or on any other procedures they believe would be appropriate.
    In the sections 1 through 8 that follow, DOE discusses the language 
proposed for a new appendix Q1 to subpart B of 10 CFR part 430 
(hereafter ``appendix Q1''). The new appendix Q1 will contain the new 
test procedure that correlates measured BE to BEF that will be used for 
the purposes of compliance with future amended standards. Section 9 
describes an update to the existing test procedure in appendix Q to 
subpart B of 10 CFR part 430. The change to appendix Q updates an 
industry reference from ANSI C82.2-1984 to the current ANSI C82.2-2002. 
DOE proposes to create a separate appendix Q1 for the proposed new test 
procedure. DOE will retain the existing BEF test procedure for 
compliance with existing standards and, once amended standards become 
effective, for use with ballasts that cannot operate resistors. Section 
10 discusses amendments DOE is proposing regarding references to ANSI 
C82.2-2002.
1. Test Conditions
    DOE proposes that prior to measurement, the ballasts would be 
thermally conditioned at room temperature (25 [deg]C  2 
[deg]C) for at least 4 hours. During this conditioning period, ballasts 
are not operating or energized. Providing time for thermal conditioning 
helps to generate reproducible results as electrical products' 
performance characteristics tend to change in response to temperature.
    In addition, DOE proposes that ballasts be tested using the 
electrical supply characteristics found in section 4 of ANSI C82.2-2002 
with the following changes: (1) Ballasts capable of operating at a 
single voltage would be tested at the rated ballast input voltage; (2) 
users of universal voltage ballasts would disregard the input voltage 
directions in section 4.1 of ANSI C82.2-2002 that indicate a ballast 
capable of operating at multiple voltages should be tested at both the 
lowest and highest USA design center voltage; and (3) manufacturers use 
the most recent revisions to the normative references associated with 
ANSI C82.2-2002. Instead of testing universal voltage ballasts at the 
voltages indicated in ANSI C82.2-2002, DOE believes that testing 
ballasts at a single voltage is more appropriate and less burdensome. 
DOE believes 277 V is the most common input voltage for commercial 
ballasts and that 120 V is the most common for residential ballasts. 
Therefore, DOE proposes that all universal voltage commercial ballasts 
be tested at 277 V

[[Page 14300]]

and that universal voltage residential ballasts be tested at 120 V.
2. Test Setup
    The resistor load bank is a network of resistors used to model the 
load placed on a ballast by a fluorescent lamp. It consists of five 
resistors, two for each of the two electrodes and one for the lamp arc. 
In a lamp, current can arc from one electrode to the other from any two 
positions (known as hotspots) on the lamp electrodes. The position can 
be different each time the current flow alternates from one direction 
to the other. The exact position determines the effective resistance of 
the electrode by determining the distance through which current must 
travel in the electrode. If the hotspots are at the ends of the 
electrodes for an instant-start system, the total electrode resistance 
will be greater than if the hotspots are both at the center of the 
electrode. When the arc begins at the center of the electrode, the 
length of the resistor is divided in half, creating a circuit with two 
equivalent resistors in parallel. The hotspots' positions change over 
time, but the design of the resistor load bank is limited to one fixed 
position. Therefore, DOE needed to select a position for the hotspot, 
and model the resistor load bank accordingly.
    The selection of the hotspot position was based largely on the 
design of rapid-start and programmed-start ballasts because the 
position of the hotspot impacts the measured value of BE. These 
ballasts use two wires to carry ballast output power to the lamp. One 
of these wires supplies power for electrode heating, while the other 
provides power for the lamp arc. Electrode heating requires 
significantly less power than the lamp arc, so different levels of 
current and voltage exist in the two ballast wires leading to the lamp. 
Because these two wires are not labeled by the respective loads they 
serve, the user does not know which wire is which. With two different 
resistors, depending on which wire was attached to the larger or 
smaller resistor, the circuit would display two different output 
powers. Therefore, DOE modeled a lamp with the hotspot in the middle of 
the electrode so that the resistance of each path would be equal. 
Section III.F.7 describes how DOE determined resistor values for each 
type of lamp.
    DOE proposes that the ballast be connected to a main power source 
and to the resistor load bank according to the ballast manufacturer's 
wiring instructions. Where the wiring diagram indicates connecting the 
ballast wire to a lamp, the lead would be connected to a resistor load 
bank. Ballast wire lengths would be unaltered from the lengths supplied 
by the ballast manufacturer to accurately capture the ballast 
efficiency of the product in its original manufactured form. Wires 
running from the load bank to the power analyzer would be kept loose or 
unbundled and at a minimal working length, to reduce error introduced 
to the ballast circuit because of current bypassing the ballast.
    DOE also proposes that the ballast be connected to the resistor 
load bank associated with the most common wattage lamp the ballast is 
designed to operate. In many cases, a ballast can operate several 
reduced wattage lamps in addition to the most common variety. For 
example, ballasts designed to operate four-foot MBP T8 lamps can 
operate 32 W, 30 W, 28 W, and 25 W lamps. Because ballasts operate 
differently when connected to different loads, a single resistor load 
bank is unable to simulate the load induced by all lamp wattages. To 
test every lamp-and-ballast combination, manufacturers would need to 
purchase and maintain the requisite number of reference lamps (or in 
the case of the proposed method, resistors and lamps) for every lamp 
wattage that a ballast can operate. Maintaining this number of lamps 
and resistors would impose a significant burden on manufacturers. 
Additionally, ANSI standards do not exist for every reduced wattage 
lamp. Because industry has not reached a consensus regarding the 
performance characteristics of each lamp, DOE could not choose a 
resistor to represent those lamps for which an industry standard does 
not exist. Thus, to mitigate the testing burden on manufacturers, the 
proposed test procedure would only require one lamp-and-ballast 
combination to be tested in each product class. Therefore, DOE proposes 
a test procedure based on the ballast operating the most common lamp 
wattage, resulting in a ballast efficiency that represents the way the 
product is primarily used in the market and reducing the testing burden 
on manufacturers.
    DOE proposes to test fluorescent lamp ballasts operating the 
maximum number of lamps for which they are designed. Many ballasts can 
operate fewer than the maximum number of lamps they are designed to 
operate. DOE compared the BEF of a ballast operating the maximum number 
of lamps for which it was designed to a ballast operating the same 
number of lamps but which was designed to operate more lamps. For 
example, a 4-lamp ballast operating two lamps has a similar efficiency 
to a 2-lamp ballast operating two lamps. When operating the same number 
of lamps, DOE found no correlation between the ballasts capable of 
operating different maximum numbers of lamps and BEF. Therefore, 
today's proposed test procedure requires testing of a ballast only 
while it is operating the number of resistor load banks equal to the 
maximum number of lamps for which it was designed.
    In response to the framework document for the fluorescent lamp 
ballast standards rulemaking, the Joint Comment stated that DOE should 
establish performance requirements at specific dimming levels (such as 
100, 75, 50, and 25 percent) such that dimming ballasts can be 
consistently compared. (Joint Comment, No. 12 at p. 5) DOE agrees that 
a test procedure for dimming ballasts should specify the dimming level 
or levels at which ballast efficiency should be tested. The preliminary 
determination of the scope of coverage in the fluorescent lamp ballast 
standards rulemaking, however, does not include dimming ballasts 
because these ballasts have an overall market share of about one 
percent and are already used in energy-saving systems. Thus, DOE did 
not include them in the preliminary scope of coverage. If DOE 
determines in the fluorescent lamp ballast standards rulemaking that 
the scope of coverage should include dimming ballasts, DOE will develop 
a test procedure for these ballasts. DOE invites comment on potential 
methods of measurement for determining the efficiency of dimming 
ballasts in the event dimming ballasts are added to the scope of 
coverage in the ongoing fluorescent lamp ballast standards rulemaking.
    Ballast wiring is different depending on starting method. Instant-
start ballasts have only one wire connecting the ballast to each end of 
the load, while rapid-start and programmed-start ballasts have two 
wires connected to each end. The second wire in rapid-start and 
programmed-start systems is used for electrode heating. The resistor 
load banks have two input wires connected to two electrode resistors. 
In this test procedure, DOE proposes that the single output wire on an 
instant-start ballast be shorted with the two input electrode resistors 
to be consistent with current industry practice. DOE notes that this 
circuit topology is consistent with the wiring of lamp-and-ballast 
systems for bipin lamps. For example, a four-foot 32 W MBP T8 lamp has 
two pins that are shorted together with the ballast output wire using a 
jumper wire or an adapter. A programmed-start ballast would not need to 
be shorted together because the ballast uses two wires for ballast 
output between the ballast and the lamp.

[[Page 14301]]

    DOE proposes that the power analyzer voltage leads be attached to 
the wires leading to and from the main power source for input voltage 
measurements and that the current probe be placed around the same wires 
for input current. The power analyzer should have at least one channel 
per lamp plus one additional channel for the ballast input power 
measurement.
    Figure 1 shows the instrumentation placement for the output power 
measurement for ballasts that operate MBP, recessed double contact 
(RDC), and miniature-bipin (miniBP) lamps and Figure 2 shows placement 
for ballasts that operate single pin (SP) lamps.
[GRAPHIC] [TIFF OMITTED] TP24MR10.000

[GRAPHIC] [TIFF OMITTED] TP24MR10.001

3. Test Method
    ANSI C82.2-2002 specifies operating the reference lamp with the 
test ballast for less than 30 seconds to reduce the effect of lamp 
restabilization on light output and to give the ballast less time to 
increase in temperature. Following the protocol established in ANSI 
C82.2-2002, a lamp is first stabilized on a reference ballast and then 
transferred to a test ballast without being extinguished. The output of 
a fluorescent lamp remains relatively constant (steady-state) when 
operated under defined conditions. When these defined conditions change 
(e.g., switching from a reference ballast to a test ballast) the lamp 
output

[[Page 14302]]

characteristics also change. This change is not immediate, so by 
limiting the time the test ballast is driving the reference lamp, the 
reference lamp is kept as close as possible to its reference 
conditions. In addition, as a ballast operates, it increases in 
temperature until it reaches steady-state, though it may take more than 
thirty minutes for a ballast to increase from room temperature to 
steady-state temperature. Limiting test ballast operation to thirty 
seconds limits the increase in ballast temperature. DOE believes that 
over the course of thirty seconds, the change in lamp operating 
characteristics has a more significant impact on light output than 
changes in ballast temperature.
    For the proposed resistor-based test procedure, DOE found that one 
minute of operation was required to provide sufficient time to prepare 
for the data capture while maintaining the ballast and resistor load 
bank near room temperature. DOE recognizes that it is extending the 
time of operation compared to the procedures outlined in ANSI C82.2-
2002, but it does not believe the additional 30 seconds allow for a 
significant increase in temperature of the ballast or in the resistance 
of the resistor load bank. As previously stated, DOE believes the main 
driver in ANSI's decision to limit operation to 30 seconds was the 
change in lamp operating characteristics, not ballast temperature. DOE 
proposes that after one minute of data capture the ballast be switched 
off, so that the resistor load bank duty cycle not exceed 50 percent 
(that is, for every operational minute, the load should be rested for 
one minute) to minimize any issue with thermal drift of the resistor 
load bank. Thermal drift describes the phenomenon of a resistor 
exhibiting a different resistance in response to a change in its 
internal temperature. DOE believes that operating a resistor load bank 
for one minute followed by one minute of zero power will sufficiently 
reduce the opportunity for the resistor load bank deviate from its room 
temperature resistance rating.
    During data acquisition, the power analyzer should measure the 
input voltage and current and the output voltage and current according 
to the setup described in section III.F.2. DOE proposes that the 
measured input parameters be voltage (RMS \16\), current (RMS), power, 
and power factor measured in accordance with ANSI C82.2-2002. The 
measured output parameters would include lamp arc resistor voltage, 
current, and power. Instrumentation for current, voltage, and power 
measurements would be selected in accordance with ANSI C78.375-1997 
\17\ Section 9, which specifies that instruments should be ``of the 
true RMS type, essentially free from wave form errors, and suitable for 
the frequency of operation.'' DOE proposes to further specify 
instrument performance within the guidelines of the ANSI C78.375-1997 
and ANSI C82.2-2002. Specifically, current would be measured using a 
galvanically isolated current probe/monitor with frequency response 
between 40 Hertz (Hz) and 20 MHz. In addition, voltage would be 
measured directly by a power analyzer with a maximum 100 picofarad (pF) 
capacitance to ground and have frequency response between 40 Hz and 1 
MHz.
---------------------------------------------------------------------------

    \16\ Root mean square (RMS) voltage is a statistical measure of 
the magnitude of a voltage signal. RMS voltage is equal to the 
square root of the mean of all squared instantaneous voltages over 
one complete cycle of the voltage signal.
    \17\ ``American National Standard for Fluorescent Lamps--Guide 
for Electrical Measurements,'' approved September 25, 1997.
---------------------------------------------------------------------------

    In addition to making electrical input and output measurements, 
today's proposed test procedure would also require measurement of 
ballast factor for the conversion to BEF. As discussed in the ballast 
factor section of III.F.5, ballast factor affects the apparent load 
placed on a ballast by a lamp, and consequently the measured BEF. BF 
helps assign a ballast to a particular product class, and it must be 
determined empirically. DOE proposes that ballast factor be measured in 
accordance with ANSI C82.2-2002 section 12, with a few modifications. 
Because the measurement of ballast factor requires a reference lamp, 
DOE proposes to adopt some of the improvements to the existing test 
procedure described in section III.E.3. DOE believes specifying 
particular electrical operating conditions, clarifying in which 
circumstances electrode heating should be used in the reference 
circuit, and using light output measurements instead of power 
measurements for all ballasts will reduce variation in the measurement 
of BF. These changes are discussed in greater detail below.
    First, DOE notes that there are several options for operating a 
reference lamp as described in IESNA LM-9-1999. As described in section 
III.E.3, DOE proposes operating the reference lamp at the specified 
input voltage to the reference circuit. This method is the simplest to 
execute and the most common practice in industry. In addition, DOE 
adopted this method in the test procedure final rule for general 
service fluorescent lamps. 74 FR 31829, 31834 (July 6, 2009). Second, 
the existing ballast test procedure is unclear on whether electrode 
heating should be used in the reference circuit for all ballasts. As 
described in section III.E.3, the presence or absence of electrode 
heating in the reference circuit changes the light output of the 
reference lamp on the reference circuit, thereby changing the measured 
value of BF. DOE proposes that electrode heating be used in the 
reference circuit for all ballasts that operate bipin or recessed 
double contact lamps (MBP, mini-BP, RDC). Single-pin lamps should not 
use heating in the reference circuit because these ballasts are not 
capable of undergoing electrode heating and are designed for use with 
instant-start ballasts. Third, although the existing test procedure 
requires the usage of power measurements for instant-start ballasts, 
industry practice has been to use light output measurements for all 
starting methods. DOE proposes the use of light output for the 
measurement of ballast factor for all ballast types to make the values 
of BF more consistent.
    In addition, because DOE is considering establishing a ballast 
efficiency (correlated to BEF) test procedure based on operation of a 
lamp at the most common wattage, DOE proposes that ballast factor also 
be measured using the most common wattage lamp. Ballast factor should 
be measured using a reference lamp with the nominal wattage indicated 
in section III.F.7 for a given ballast type. This nominal wattage also 
represents the type of lamp the resistor load bank simulates. Testing 
each ballast with only the most common wattage lamp produces test 
results that are most representative of how the end users operate 
fluorescent lamp ballasts.
    DOE does not believe that the usage of reference lamps for the 
purpose of ballast factor determination creates significant measurement 
variation. DOE believes that variations in measured lamp power affect 
ballast input power to a much greater extent than ballast factor. DOE 
invites comment on the variation of ballast factor due to lamp 
manufacturing variations and its effect on the measurement variation of 
BE converted to BEF.
4. Calculations
    As described in Equation 1 below, ballast efficiency is equal to 
output power divided by input power.
[GRAPHIC] [TIFF OMITTED] TP24MR10.005

    DOE proposes to relate ballast efficacy factor to the measured 
ballast efficiency

[[Page 14303]]

through the empirically derived transfer equations discussed in section 
III.F.5.
5. Transfer Equations--General Method
    A system of transfer equations is needed for correlating BE to BEF 
consistent with 42 U.S.C. 6295(g). DOE determined the transfer 
equations empirically by testing ballasts using both the proposed 
resistor-based BE and existing BEF test methods. DOE then plotted the 
results and computed a linear regression to generate an equation for 
BEF as a function of BE.
    The existing test procedure for fluorescent lamp ballasts allows 
for ballasts to operate the reference lamps under multiple operating 
modes. The user may operate at constant lamp current, voltage, or 
power. DOE used constant input voltage to the reference circuits for 
all of its BEF measurements and for lamp resistor determination. DOE 
believes this to be the most common industry practice. Therefore, the 
transfer equations that convert BE to BEF reflect this decision.
    Because factors like number of lamps, ballast factor, starting 
method, and lamp diameter affect the correlation between BE and BEF, 
DOE considered individual transfer equations for each product class 
proposed in the fluorescent lamp ballast standards rulemaking. The 
following paragraphs discuss each of the factors considered in the 
transfer equation development process. DOE invites comment on the 
transfer equations.
Number of Lamps
    The number of lamps operated by a ballast has a disparate effect on 
the BE and BEF metrics. BEF decreases for ballasts operating increased 
number of lamps. This is because ballast input power increases 
(denominator) but the ballast factor (numerator) does not necessarily 
change. In contrast, BE changes much less with varying numbers of lamps 
because the numerator and denominator change by roughly proportional 
amounts. Therefore, DOE parsed the data into groupings based on the 
number of lamps the ballast operates. Within these groupings, DOE 
plotted BE versus BEF and computed a linear regression to generate an 
equation for BEF as a function of BE.
Ballast Factor
    For a given ballast type, ballast factor tends to increase with 
increased ballast input power. As ballast input power increases, so 
does the ballast output power and consequently the light output. When a 
lamp is running at a higher lamp current and power (representative of a 
ballast with a high BF), lamp impedance decreases and the apparent load 
the lamp places on the ballast decreases. Therefore, a high BF ballast 
operating a resistor that simulates normal BF loading will measure a 
higher BE than when running a load of the appropriate resistance. To 
account for this change in apparent load with a resistor load bank, DOE 
identified two options: (1) Modify resistor values to account for the 
change in apparent load due to lamp current and BF; or (2) conduct all 
testing with one resistor representing normal BF but develop separate 
transfer equations for three different ranges of ballast factors 
(called bins).\18\
---------------------------------------------------------------------------

    \18\ DOE proposes three ballast factor bins: low, normal, and 
high. Low-ballast factor ballasts have a ballast factor of 0.78 or 
less; ballasts designed with a ballast factor between 0.78 and 1.10 
are normal-ballast factor; and high-ballast factor ballasts were 
defined to have a ballast factor of 1.10 or higher.
---------------------------------------------------------------------------

    For option one, DOE would need to determine resistor values for 
multiple ballast factors for each ballast type. By appropriately 
matching resistance to BF, the test procedure would more accurately 
model the change in apparent load as a function of ballast factor. This 
method would create an additional burden on DOE at the outset of the 
test procedure and an even more significant burden on manufacturers. 
For example, if in order to obtain measurable improvement in testing 
accuracy compared to option 2, DOE were to assign a separate resistor 
value to each ballast factor in the low ballast factor product class 
for 4-foot T8 MBP ballasts, DOE would need to specify four specific 
resistor values. Specification of multiple resistors based on ballast 
factor would require the manufacturer to purchase many more resistors 
than a test procedure that used one resistor for all ballast factors. 
To limit the impact on manufacturers, DOE could determine resistor 
values for two to three commonly used BFs per ballast type and 
establish bins around these ballast factors. Keeping the number of BF-
specific resistor values to a minimum would decrease manufacturer 
burden but still be more burdensome than option 2 without offering any 
appreciable improvement in testing accuracy compared to option 2.
    Option two specifies that ballasts of all BFs are tested using the 
same resistor value. Under this approach, ballasts designed with a 
ballast factor different than the ballast factor simulated by the 
resistor load bank would be operating a load that is non-representative 
of the effective load placed on the ballast by a real lamp. When 
testing ballasts of all ballast factors using one resistor, all else 
held constant, as BF increases, measured BE will tend to increase as 
well. Because the measured BE will not accurately describe lamp arc 
power divided by ballast input power, DOE would need to create a 
scaling technique. DOE can develop transfer equations for converting 
measured BE to BEF that correspond to bins of ballast factors. Transfer 
equations could be developed for particular ranges of BF so that DOE 
can define different relationships between measured BE and BEF for 
different BF bins. DOE proposes to use three bins because ballasts 
currently offered in the market are generally centered on three 
different ballast factors. DOE proposes this option because DOE 
believes it appropriately balances accurate scaling based on ballast 
factor with the reduced burden on manufacturers as a result of using 
one resistor for all ballast factors.
    DOE notes that placing ballasts into three bins based on BF results 
in the measured efficiency of the ballasts with the lowest BF in a 
particular bin to be relatively smaller than the higher end of the BF 
bin. Low BF ballasts tend to measure a lower BE than a high BF ballast 
when operating the same resistor because of the effects of current on 
lamp impedance discussed previously. This could potentially encourage 
the industry to produce ballasts at the upper ends of these bins, as 
the associated energy conservation standard would be less stringent for 
the higher BF models. DOE invites comment on this issue.
    DOE considered two mitigating strategies for reducing the market 
interference resulting from specifying a small number of BF bins. One 
possible solution to this problem is to increase the number of BF bins 
to reduce the range in BF within a bin. DOE was not able to assemble 
enough data based on the ballast factors currently offered in the 
market to increase the number of BF bins. The ballast market tends to 
clump around two to three popular ballast factors, rendering empirical 
determination of transfer equations for intermediate ballast factors 
infeasible. DOE also considered creating a continuous function of BE as 
a function of BF to normalize BE values for the deviation in measured 
BE as a result of running a ballast on unrepresentative resistive load. 
These normalized BE values would then be used as inputs to a single 
transfer equation developed from data obtained by testing ballasts with 
the ballast factor that the resistive load bank simulates. Similar to 
efforts to increase the number of BF bins, however, DOE found that the 
market provided insufficient data for scaling. With only two to three 
BFs in the data

[[Page 14304]]

set, DOE could not be certain of the relationship between BF and 
measured BE.
    Accordingly, based upon the above considerations, DOE has 
tentatively decided to proceed with option two by developing three 
transfer equations relating to three different ballasts factor bins. 
DOE tested ballasts of high-, normal-, and low-ballast factor varieties 
for each ballast type to develop an equation for BEF as a function of 
BE specific to the ballast factor type (high, normal, or low). DOE 
plotted BE and BEF data for a given BF bin (high-, normal-, or low-BF 
bins) and calculated a linear regression to determine an equation for 
BEF as a function of BE for the given BF.
Starting Method
    Starting method also impacts the correlation between BE and BEF. 
Instant-start ballasts are in general more efficient than rapid-start 
and programmed-start ballasts. Because instant-start ballasts do not 
supply electrode heating, there are fewer losses in the ballasts' 
internal circuitry and more of the output power goes to the lamp arc. 
Rapid-start and programmed-start ballasts use part of their output 
power to heat the lamp electrodes. In short, starting method has 
nonlinear effects on the light-output-based measurement of BEF and the 
BE-based measurement of BEF such that specific transfer equations are 
required for each starting method. Therefore, DOE parsed the data into 
groupings based on starting method. Within these groupings, DOE plotted 
BE versus BEF and computed a linear regression to generate an equation 
for BEF as a function of BE. In the fluorescent lamp ballast standards 
rulemaking, DOE plans to consider grouping instant-start and rapid-
start ballasts in the same product class and programmed-start ballasts 
in a separate product class based on consumer utility. To create BEF 
values which are comparable for product classes with instant-start and 
programmed-start ballasts, DOE proposes to use one transfer equation 
for converting BE to BEF. This decision was made on the basis that 
ballasts of the same BE should have the same BEF.
Lamp Diameter
    In the fluorescent lamp ballast standards rulemaking, DOE has 
tentatively determined that there is no distinct consumer utility 
difference between T8 and T12 ballasts. As a result, DOE is grouping T8 
and T12 ballasts in the same product class. At the 2008 public meeting, 
NEMA commented that BEF measurement requires photometric measurements 
of a reference lamp attached to the test ballast; thus, BEF values 
cannot be compared across ballasts that operate different lamp types. 
(NEMA, Public Meeting Transcript, No. 9 at pp. 124-125; NEMA, No. 11 at 
p. 6) DOE agrees that under the existing test procedure, the BEF values 
measured for T8 and T12 ballasts are not comparable because the 
reference lamps for these ballasts have different rated power. Because 
certain T8 and T12 ballasts would be subject to the same energy 
conservation standard (in the preliminary analysis of the fluorescent 
ballast standards rulemaking these ballasts are in the same product 
class), DOE proposes to amend the test procedure such that the reported 
T12 ballast BEF would be comparable to the reported BEF for a T8 
ballast. To achieve this, DOE first developed transfer equations based 
on data for T8 ballasts in a given product class. To generate T12 
ballast BEF values which are comparable to T8 ballast BEF values, DOE 
proposes using the transfer equations developed for the relevant T8 
ballasts to generate a BEF for T12 ballasts. As such, a T12 ballast BE 
value would be used as an input to the relevant T8 transfer equation. 
The T8 transfer equation would then output a T12 ballast BEF value 
comparable to BEF values for T8 ballasts. DOE made this decision based 
on the assumption that T8 and T12 ballasts with the same BE should have 
the same BEF when reporting compliance with energy conservations 
standards.
6. Transfer Equations--Testing, Analysis, and Results
    In the fluorescent lamp ballast standards rulemaking, DOE has 
preliminarily categorized ballasts into 70 product classes. In today's 
test procedure, DOE proposes to generate separate transfer equations 
for each product class. DOE targeted representative product classes and 
certain key product classes for extensive testing with the expectation 
that scaling would be required to establish transfer equations for the 
remaining product classes. DOE found strong correlation between BE and 
BEF for the product classes indicated in Table III.1.
    DOE believes a linear relationship should exist between BE and BEF 
for ballasts of the same ballast factor, starting method, number of 
lamps, and lamp type. All ballasts under these constraints send the 
same amount of output power to a lamp, and therefore, ballasts of 
different efficiency vary in input power only. A more efficient ballast 
requires less input power to yield the same output power as a less 
efficient ballast. Because both BE and BEF are proportional to the same 
expression (the inverse of input power), a linear relationship should 
exist between the two metrics. The test data indicated a linear 
relationship between BE and BEF, consistent with DOE's expectation. 
Although DOE tested mostly electronic ballasts, which are generally 
more efficient than their magnetic counterparts, DOE believes the 
linear relationship between BE and BEF should exist across all values 
of BE and BEF. As such, DOE developed linear relationships between BE 
and BEF such that the equation passed through the origin (a BE of zero 
should correspond to a BEF of zero). DOE developed transfer equations 
in the form BEF = slope * BE, establishing a slope for each product 
class for the conversion of BE to BEF.

[[Page 14305]]

[GRAPHIC] [TIFF OMITTED] TP24MR10.002

    Based on the test data for 4-foot 32W MBP T8 ballasts, DOE 
established scaling ratios for ballast factor type, number of lamps 
operated, and starting method. For ballast factor type, DOE calculated 
the ratio of the slopes for product classes 2 and 14 compared to 
product class 8 and used these ratios for scaling all other normal 
ballast factor product classes to their high and low ballast factor 
counterparts. For starting method, DOE employed a similar technique to 
the ballast factor type scaling method. DOE calculated the ratio of the 
slopes for product class 8 and product class 26 to establish a 
relationship between the combined instant- and rapid-start ballast 
product classes and the programmed-start product classes. Again, DOE 
based scaling for all other combined instant- and rapid-start ballast 
product classes to their programmed-start counterparts on this ratio 
between instant- and rapid-start ballast and programmed-start ballasts. 
For number of lamps operated by a ballast, DOE fit a power regression 
equation to the slopes for 4-foot MBP T8 instant- and rapid-start 
normal BF ballasts that operate one, two, or three lamps (product 
classes 7, 8, and 9). DOE used the equation to extrapolate the slopes 
for products classes 10, 11, and 12 (four, five, and six lamps) DOE 
then used the slopes for product classes 7 through 12 to establish 
ratios between the slopes for ballasts that operate 1, 3, 4, 5, or 6 
lamps and the slope for ballasts that operate 2 lamps. Again, DOE based 
scaling for all other 2 lamp, normal BF ballasts to their 1, 3, 4, 5, 
and 6 lamp counterparts on the number of lamps ratios generated with 
product classes 7 through 12.
    DOE focused its testing on 4-foot 32W MBP T8 ballasts for the 
establishment of scaling ratios between BF, number of lamps, and 
starting method. DOE tested smaller quantities of ballasts from other 
product classes, but found 8-foot T8 SP slimline ballasts to have a 
strong correlation between BE and BEF in the available dataset. For 4-
foot T5 SO, 4-foot T5 HO, 8-foot RDC HO, and sign ballasts, DOE 
developed a relationship between total rated lamp power and the slope 
of the line relating BE to BEF. Total rated lamp power is the sum of 
the rated lamp wattages (as defined in 10 CFR 430.2) operated by a 
particular ballast. DOE fit a power regression equation to the slopes 
and total rated input powers for product classes \19\ 7, 8, 9, 49, and 
50. Using this relationship, DOE extrapolated and interpolated slopes 
for product classes product

[[Page 14306]]

classes 39, 40, 43 through 46, 53, 54, and 65 through 70. DOE estimated 
the slopes based on total rated lamp power for these product classes 
because there was insufficient correlation in the test data to 
establish a slope. DOE invites comment on its scaling technique for 
number of lamps operated by a ballast, starting method, ballast factor, 
and total rated lamp power.
---------------------------------------------------------------------------

    \19\ Product classes are identified by numbers in Table III.1.
---------------------------------------------------------------------------

    Table III.2 lists the slope of the line developed by DOE for 
converting measured BE to BEF. Using the equation BEF = slope * BE, 
measured BE is converted to BEF.
[GRAPHIC] [TIFF OMITTED] TP24MR10.003

7. Resistor Value Determination
    The resistor-based BE method requires a resistive load bank to be 
used in place of a lamp during ballast operation. Therefore, DOE 
determined \20\ the resistive value corresponding to different lamp 
types operating at conditions described in ANSI C78.81-2005.\21\ In 
some cases, the resistor value was calculated from data published in 
ANSI C78.81-2005. ANSI C78.81-2005 provides electrical characteristics 
of lamps under either high-frequency or low-frequency operation. For T8 
and T12 lamps, ANSI C78.81-2005 provides electrical characteristics for 
low-frequency operation, and for T5 lamps, the standard provides 
characteristics for high-frequency operation. Since electronic ballasts 
operate in high-frequency, DOE needed to empirically determine high-
frequency resistances for testing electronic ballasts that operate T8 
and T12 lamps. Since all T5 ballasts currently offered in the market 
are electronic, DOE did not need to empirically determine resistor 
values for low-frequency operation. DOE determined one resistor value 
per lamp and did not modify the resistance based

[[Page 14307]]

on each individual different ballast factors as discussed in section 
III.F.5. Table III.3 lists the resistor values determined empirically 
and those specified by ANSI C78.81-2005.
---------------------------------------------------------------------------

    \20\ DOE determined the simulated lamp arc resistor value at BF 
= 0.88 for 4-foot 32 W MBP T8 ballasts because 0.88 was used in the 
NEMA round robin and is the most common BF for this ballast type.
    \21\ American National Standards for Electric Lamps, Double-
Capped Fluorescent Lamps--Dimensional and Electrical 
Characteristics,'' approved August 11, 2005.

                                                       Table III.3--Simulated Lamp Resistor Values
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                               Low-frequency          High-frequency
                                                                                                           operation resistance    operation resistance
                                                             Nominal                                              (ohms)                  (ohms)
                       Ballast type                           lamp           Lamp diameter and base      -----------------------------------------------
                                                             wattage                                       Electrode   Lamp Arc    Electrode   Lamp Arc
                                                                                                            (R1/2E)     (Rarc)      (R1/2E)     (Rarc)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ballasts that operate one, two, three, four, five, or six          32  T8 MBP...........................        5.75         439        5.75         760
 straight-shaped lamps (commonly referred to as 4-foot             34  T12 MBP..........................         4.8         151         4.8         204
 medium bipin lamps) with medium bipin bases, a nominal
 overall length of 48 inches, a rated wattage of 25 W or
 more, and an input voltage at or between 120 V and 277 V.
Ballasts that operate one, two, three, four, five, or six          32  T8 MBP...........................        5.75         439        5.75         760
 U-shaped lamps (commonly referred to as 2-foot U-shaped           34  T12 MBP..........................         4.8         151         4.8         204
 lamps) with medium bipin bases, a nominal overall length
 between 22 and 25 inches, a rated wattage of 25 W or
 more, and an input voltage at or between 120 V and 277 V.
Ballasts that operate one or two rapid-start lamps                 86  T8 HO RDC........................         N/A         N/A        4.75         538
 (commonly referred to as 8-foot high output lamps) with           95  T12 HO RDC.......................         1.6         131         1.6         204
 recessed double contact bases, a nominal overall length
 of 96 inches and an input voltage at or between 120 V
 and 277 V.
Ballasts that operate one or two instant-start lamps               59  T8...............................        N/A*         876        N/A*        1256
 (commonly referred to as 8-foot slimline lamps) with      ..........  slimline SP......................  ..........  ..........  ..........  ..........
 single pin bases, a nominal overall length of 96 inches,          60  T12..............................        N/A*         313        N/A*         431
 a rated wattage of 52 W or more, and an input voltage at              slimline SP......................
 or between 120 V and 277 V.
Ballasts that operate one or two straight-shaped lamps             28  T5 Mini-BP.......................         N/A         N/A          20         950
 (commonly referred to as 4-foot miniature bipin standard
 output lamps) with miniature bipin bases, a nominal
 length between 45 and 48 inches, a rated wattage of 26 W
 or more, and an input voltage at or between 120 V and
 277 V.
Ballasts that operate one, two, three, or four straight-           54  T5 Mini-BP.......................         N/A         N/A           4         255
 shaped lamps (commonly referred to as 4-foot miniature
 bipin high output lamps) with miniature bipin bases, a
 nominal length between 45 and 48 inches, a rated wattage
 of 49 W or more, and an input voltage at or between 120
 V and 277 V.
Ballasts that operate one, two, three, or four straight-           32  T8 MBP...........................        5.75         439        5.75         760
 shaped lamps (commonly referred to as 4-foot medium               34  T12 MBP..........................         4.8         151         4.8         204
 bipin lamps) with medium bipin bases, a nominal overall
 length of 48 inches, a rated wattage of 25 W or more, an
 input voltage at or between 120 V and 277 V, a power
 factor of less than 0.90, and that are designed and
 labeled for use in residential applications.
Ballasts that operate one, two, three, four, five, or six          86  T8 HO RDC........................         N/A         N/A        4.75         538
 rapid-start lamps (commonly referred to as 8-foot high           110  T12 HO RDC.......................         1.6         166         1.6         275
 output lamps) with recessed double contact bases, a
 nominal overall length of 96 inches, an input voltage at
 or between 120 V and 277 V, and that operate at ambient
 temperatures of 20 [deg]F or less and are used in
 outdoor signs.
--------------------------------------------------------------------------------------------------------------------------------------------------------
MBP, Mini-BP, RDC, and SP represent medium bipin, miniature bipin, recessed double contact, and single pin, respectively.
* The resistor load bank representing 8-foot slimline single pin (SP) lamps does not have electrode resistors.

    ANSI C78.81-2005 specifies the electrode resistance a lamp 
manufacturer must achieve through design and manufacturing. Electrode 
resistance is assumed to be the same for low-frequency and high-
frequency operation because a tungsten filament (lamp electrode) has 
high impedance at both frequencies. For the lamp arc, the ANSI standard 
provides electrical characteristics for either high or low frequency, 
depending on the lamp type. By dividing lamp arc wattage by the square 
of lamp current, DOE calculated the resistance of the lamp arc 
resistor.
    Where lamp specification sheets do not specify electrical 
characteristics for the desired frequency of operation, DOE determined 
resistor values empirically. DOE empirically determined resistor values 
for high-frequency operation of 32 W F32T8, 60 W F96T12/ES, 95 W 
F96T12HO/ES, and 110 W F96T12HO lamps. To determine the resistor values 
empirically, DOE first measured the light output of a reference lamp 
operated by a reference ballast at low frequency. Next, DOE connected 
the same reference lamp to a reference ballast operating at high 
frequency. By adjusting the voltage and current provided to the lamp, 
DOE achieved the same light output for high-frequency operation as 
measured in low-frequency operation. Then, DOE calculated the apparent 
resistance of the lamp under high-frequency operation using measured 
current and voltage.
    DOE notes that the measurement of lamp arc power is slightly 
different than actual lamp arc power due to the empirical method of 
determining the resistor value. DOE calculated the lamp arc resistor 
using measured lamp voltage and current at a predetermined

[[Page 14308]]

light output. Part of this voltage is applied across the lamp 
electrodes, so the calculated lamp arc resistor value tends to be 
slightly larger than reality. DOE believes the increase in calculated 
lamp arc resistance due to voltage drop in the electrodes to be minimal 
in comparison to the true lamp arc resistance. Because DOE cannot 
measure lamp electrode resistance independently of the lamp arc, DOE 
was unable to account for this problem. Design of the fluorescent lamp 
prevents DOE from making this measurement. In addition, DOE does not 
identify the resistance for a discrete electrode resistor for ballasts 
that operate eight-foot slimline SP lamps because DOE could not 
determine this value empirically and ANSI C78.81-2005 does not list the 
resistance. In effect, the empirical resistor value determination 
method includes the resistance of the electrodes in the resistance of 
the lamp arc resistor. Because the SP lamps only have one pin, the 
electrodes and lamp arc are all connected in series. When DOE measured 
the resistance for the ``lamp arc resistor,'' DOE was unable to 
separate the resistance of the electrodes from the lamp arc due to 
design of a fluorescent lamp. While it was necessary to use electrode 
resistors in medium bipin, miniature-bipin, and recessed double contact 
lamps to allow for an electrode heating circuit, single-pin lamps do 
not have this functionality and are only designed for use with instant-
start ballasts. Therefore, the lamp arc resistor for single-pin lamps 
includes the effective resistance of the entire lamp in a single 
resistor.
    In addition, today's proposed high-frequency lamp arc resistor 
values for ballasts that operate one, two, three, four, five, or six 
straight-shaped and U-shaped lamps with medium bipin bases, a nominal 
overall length of 48 inches, a rated wattage of 25 W or more, and an 
input voltage at or between 120 V and 277 V are based on a ballast 
factor of 0.88. This value resulted from DOE's participation in the 
NEMA round robin testing for the development of the resistor-based BE 
method. DOE selected a resistor for four-foot MBP ballasts that 
represented a 0.88 ballast factor, which is the most common ballast 
factor for this ballast type. For other ballast types, DOE used the 
electrical characteristics in ANSI C78.81-2005 to develop high-
frequency lamp arc resistor values. These characteristics correspond to 
a ballast factor of 1.0. DOE does not believe that the quality of the 
test procedure is affected by the use of a different ballast factor for 
the 4-foot T8 MBP ballasts. DOE invites comment on this issue.
8. Non-Operational Ballasts When Connected to a Resistor
    During the testing process, DOE targeted certain product classes 
spanning ranges of ballast factor, starting method, lamp type, and 
number of lamps for extensive testing of both BEF and BE. See section 
III.F.6 for additional detail on the specific product classes chosen 
for testing. DOE selected several ballasts, ranging from one to 
approximately fifteen, within each chosen product class and tested 
three samples of each ballast. As part of its testing process for 
developing transfer equations between BEF and BE, DOE identified seven 
different ballast models that did not operate the resistor load bank. 
Therefore, DOE was therefore unable to calculate these ballasts' BE. 
These ballasts were from different product classes and different 
manufacturers. In some cases, all three examples of a particular 
ballast did not operate a resistor, while in the other cases only one 
or two ballast examples did not operate a resistor. DOE also confirmed 
that the ballasts did operate properly when connected to fluorescent 
lamps. DOE does not know specifically why some ballasts do not operate 
resistor load banks. It appears these ballasts sensed the load was not 
a real fluorescent lamp and turned off. For ballasts found to not 
operate resistors, DOE proposes that manufacturers use the existing BEF 
test procedure found in appendix Q. In addition, DOE is considering an 
alternative proposal in which it would include improvements to the 
light-output-based test procedure in the procedure for ballasts that do 
not operate resistors. DOE believes this would improve the precision of 
the BEF measurements for ballasts that do not operate resistors. The 
improved light-output-based test procedure could be outlined as a 
separate section in Appendix Q1 only for use with ballasts that do not 
operate resistors. DOE invites comment on why some ballasts do not 
operate when connected to a resistor load bank.
9. Existing Test Procedure Update
    As discussed in III.E.2, DOE proposes to update the reference in 
the existing test procedure (appendix Q) from ANSI C82.2-1984 to ANSI 
C82.2-2002, and to specify that where ANSI C82.2-2002 references ANSI 
C82.1-1997, the operator shall use ANSI C82.1-2004 for testing low-
frequency ballasts and shall use ANSI C82.11-2002 for high-frequency 
ballasts. These changes to the existing test procedure to modernize the 
ANSI reference would be effective 30 days following publication of the 
test procedure final rule. DOE does not believe the updated standard 
will impose increased testing burden, nor will it alter the measured 
BEF of fluorescent lamp ballasts. Because the active mode and standby 
mode test procedures now both reference ANSI C82.2-2002, DOE proposes 
to both update the reference and reorganize the test procedure outlined 
in appendix Q for clarity.
10. References to ANSI C82.2-2002
    As stated, in this NOPR DOE is proposing amendments to the 
fluorescent lamp ballast test procedure that would incorporate 
references to ANSI C82.2-2002 into appendix Q and appendix Q1. In 
examining the ANSI standard, DOE found that within ANSI C82.2-2002 
there are references other ANSI standards. In particular, section 2 of 
ANSI C82.2-2002 states that ``when American National Standards referred 
to in this document [ANSI C82.2-2002] are superseded by a revision 
approved by the American National Standards Institute, Inc. the 
revision shall apply.'' Revisions to these normative standards could 
potentially impact compliance with energy conservation standards by 
changing the tested value for energy efficiency. Therefore, DOE 
proposes to specify the particular versions of the ANSI standards that 
would be used in conjunction with ANSI C82.2-2002. DOE proposes to use 
ANSI C78.81-2005, ANSI C78.901-2005, ANSI C82.1-2004, ANSI C82.11-2002, 
and ANSI C82.13-2002 in support of ANSI C82.2-2002. All other normative 
references would be as directly specified in ANSI C82.2-2002. These 
specifications would apply to the ANSI C82.2-2002 references in 
Appendix Q and to the ANSI C82.2-2002 references in Appendix Q1. DOE 
conducted testing in development of today's proposed test procedure for 
Appendix Q1 in accordance with the aforementioned industry references.

G. Burden To Conduct the Proposed Test Procedure

    EPCA requires 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 * * * and shall not be unduly burdensome to 
conduct.'' (42 U.S.C. 6293(b)(3)). Today's proposed test procedure 
seeks to calculate the efficiency of a ballast by computing the

[[Page 14309]]

ratio of ballast output power (simulated lamp arc power) to ballast 
input power. This ratio is then converted to ballast efficacy factor, 
the statutorily required efficiency metric. DOE believes its proposed 
method minimizes burden on manufacturers while still achieving an 
effective test procedure.
    DOE sought to reduce manufacturer burden wherever possible. As 
described in section III.F.2, DOE chose to test each ballast type using 
only one resistor load bank instead of using a different load for each 
ballast factor and number of lamps associated with a ballast. DOE 
believes this choice reduces burden on the manufacturer. In addition, 
the proposed test procedure requires no additional measurement 
instrumentation beyond what ballast manufacturers use for the existing 
test procedure and other general uses. The required measurement of 
ballast factor is no different than the procedure manufacturers already 
use for reporting BF in their literature. The use of resistors for 
measuring ballast input power and lamp arc power, however, does impose 
a small incremental burden compared to the existing test procedure. DOE 
estimates the initial purchase cost of resistors for a two-lamp ballast 
to be about $1000 to $2000 and does not believe this additional 
materials burden is unreasonable due to the low cost and the fact that 
the materials cost can be amortized over the span of many years because 
the resistors maintain integrity over a long lifespan. The test 
procedure imposes a minimal incremental labor burden of about 30 to 60 
minutes for a two-lamp ballast over the existing test procedure to 
measure BE using the ballast-resistor setup. For these reasons, even 
for small ballast manufacturers, DOE believes the testing burden is not 
unduly burdensome. DOE invites comment on this issue.

H. Impact on Measured Energy Efficiency

    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 DOE 
determines that the amended test procedure would alter the measured 
efficiency of a covered product, DOE must amend the applicable energy 
conservation standard accordingly. (42 U.S.C. 6293(e)(2)) This proposed 
active mode test procedure does impact the reported BEF value. Some 
products will test with higher or lower efficiency based on the new 
test procedure because of the transfer equation between the measured 
parameters and the reported BEF value. DOE is currently amending energy 
conservation standards for fluorescent lamp ballasts in the fluorescent 
lamp ballast standards rulemaking. In that rulemaking, DOE will 
consider standards based on the measured efficiency of the ballast in 
accordance with the test procedure proposed in this active mode test 
procedure rulemaking consistent with 42 U.S.C. 6293(e)(2). DOE will use 
test data that it collects in the course of both this test procedure 
rulemaking and the fluorescent lamp ballast standards rulemaking when 
setting energy conservation standards for fluorescent lamp ballasts.

I. Certification and Enforcement

    Ballast manufacturers are currently not required to submit 
compliance statements and certification reports. In this rulemaking, 
DOE proposes to require fluorescent lamp ballast manufacturers to 
follow the certification and enforcement requirements summarized in 
subpart F of 10 CFR part 430.
    DOE regulations at 10 CFR 430.62(a)(4) describe the format and 
content of a certification report for consumer products. DOE proposes 
to include fluorescent lamp ballasts in the list of products for which 
certification reports are required (along with specific energy 
consumption metrics). The revised submission of data section will 
indicate that ballast manufacturers should report ballast efficacy 
factor and power factor in certification reports. The definition of 
``basic model'' can be found at 10 CFR 430.2; the fluorescent lamp 
ballast test procedure can be found in 10 CFR part 430, subpart B, 
Appendix Q, and the sampling plan can be found at 10 CFR 430.24(q). 
Manufacturers would be required to follow all other provisions of 
subpart F of 10 CFR part 430 for certification and enforcement 
applicable to all covered ballasts.
    DOE proposes that certification statements and compliance reports 
be submitted in accordance with the existing energy conservation 
standards one year after publication of this rulemaking (publication 
approximately June 30, 2011). In addition, DOE proposes that 
certification statements and compliance reports be submitted in 
accordance with the revised energy conservation standards and possible 
expansion of scope of coverage one year after these standards become 
effective (effective date of standards approximately June 30, 2014).

IV. Procedural Issues and Regulatory Review

A. Executive Order 12866

    Today's proposed rule has been determined to not be a ``significant 
regulatory action'' under 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

    In this proposed rule, DOE proposes test procedure amendments that 
it expects will be used to develop and implement future energy 
conservation standards for ballasts. 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. 
Specifically, this proposed rule would amend the existing test 
procedures without affecting the amount, quality or distribution of 
energy usage, and, therefore, would not result in any environmental 
impacts. Thus, this rulemaking is covered by Categorical Exclusion A5 
under 10 CFR part 1021, subpart D, which applies to any rulemaking that 
interprets or amends an existing rule without changing the 
environmental effect of that rule. Accordingly, neither an 
environmental assessment nor an environmental impact statement is 
required.

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 DOE rulemaking process. 68 FR 7990. DOE has made 
its procedures and policies available on the Office of the General 
Counsel's Web site: http://www.gc.doe.gov.
    The Small Business Administration (SBA) has set size thresholds for

[[Page 14310]]

manufacturers of fluorescent lamp ballasts that define those entities 
classified as ``small businesses'' for the purposes of the RFA. DOE 
used the SBA's small business size standards to determine whether any 
small manufacturers of fluorescent lamp ballasts would be subject to 
the requirements of the rule. 65 FR 30836, 30850 (May 15, 2000), as 
amended at 65 FR 53533, 53545 (September 5, 2000) and codified at 13 
CFR part 121. The size standards are listed by North American Industry 
Classification System (NAICS) code and industry description and are 
available at http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf. Fluorescent lamp ballast 
manufacturing is classified under NAICS 335311, Power, Distribution, & 
Specialty Transformer Manufacturing. The SBA sets a threshold of 750 
employees or less for an entity to be considered as a small business 
for this category.
    To better assess the potential impacts of the proposed standards 
for fluorescent lamp ballasts on small entities, DOE conducted a more 
focused inquiry of the companies that could be small manufacturers of 
fluorescent lamp ballasts. During its market survey, DOE used all 
available public information to identify potential small manufacturers. 
DOE's research involved several industry trade association membership 
directories, product databases, individual company Web sites, and 
marketing research tools (e.g., Dunn and Bradstreet reports) to create 
a list of every company that manufactures or sells fluorescent lamp 
ballasts covered by this rulemaking. DOE reviewed all publicly-
available data and contacted select companies on its list, as 
necessary, to determine whether they met the SBA's definition of a 
small business manufacturer of covered fluorescent lamp ballasts. DOE 
screened out companies that did not offer fluorescent lamp ballasts 
covered by this rulemaking, did not meet the definition of a ``small 
business,'' or are foreign owned and operated. Ultimately, DOE 
identified approximately 15 fluorescent lamp ballast manufacturers that 
produce covered fluorescent lamp ballasts and can potentially be 
considered small businesses.
    The proposed rule includes revisions to appendix Q and appendix Q1, 
as well as certification reporting requirements. The revisions to 
appendix Q update an industry reference and do not change the test 
method or increase testing burden. The only difference between the two 
test procedures relates to the interference of testing instrumentation. 
Specifically, the input power measurement of ANSI C82.2-2002 reduces 
the interference of instrumentation on the input power measurement as 
compared to ANSI C82.2-1984. The vast majority of companies and testing 
facilities, however, already employ modern instrumentation that does 
not significantly interfere with input power measurements. Thus, 
updating this industry reference would not impose additional financial 
burden in terms of labor or materials. The proposed test procedure in 
appendix Q1 imposes a minimal incremental burden compared to the 
existing test procedure and industry practices. For a 2-lamp ballast, 
the new procedure requires a small increase in the labor burden of 30 
to 60 minutes and a relatively small increase in materials costs ($1000 
to $2000 initial purchase price). Finally, DOE estimates that the 
proposed certification reporting requirements would average 30 hours 
per response.
    To analyze the testing burden impacts described above on small 
business manufacturers, DOE identified small business manufacturers of 
fluorescent lamp ballasts included in the preliminary scope of coverage 
considered in the fluorescent lamp ballast standards rulemaking as 
described above. DOE sought to examine publically available financial 
data for these companies to compare revenue and profit to the 
anticipated testing burden associated with this proposed test 
procedure. DOE determined that all the identified small business 
manufacturers were privately owned, and as a result, financial data was 
not publically available. Instead, DOE estimated testing burden for a 
small business with 0.1 percent market share of covered fluorescent 
lamp ballasts and revenue of approximately one million dollars. DOE 
assumed that this small manufacturer would sell approximately 30 basic 
models of a single ballast type. Based on the assumptions stated in the 
previous paragraphs, DOE estimated that the annual testing costs for 
this small business would be about $10,000, constituting 1 percent of 
annual revenue. Including the 30 hours per response for certification 
reporting, DOE believes this to be a small percentage of revenue and 
not a significant impact.
    On the basis of the foregoing, DOE tentatively concludes and 
certifies that this proposed rule would not have a significant impact 
on a substantial number of small entities. Accordingly, DOE has not 
prepared a regulatory flexibility analysis for this rulemaking. DOE 
will provide its certification and supporting statement of factual 
basis to the Chief Counsel for Advocacy of the Small Business 
Administration for review under 5 U.S.C. 605(b).

D. Paperwork Reduction Act

    This rule contains a collection-of-information requirement subject 
to the Paperwork Reduction Act (PRA) which has been approved by OMB 
under control number 1910-1400. Public reporting burden for compliance 
reporting for energy and water conservation standards is estimated to 
average 30 hours per response, including the time for reviewing 
instructions, searching existing data sources, gathering and 
maintaining the data needed, and completing and reviewing the 
collection of information. Send comments regarding this burden 
estimate, or any other aspect of this data collection, including 
suggestions for reducing the burden, to DOE (see ADDRESSES) and by e-
mail to [email protected].
    Notwithstanding any other provision of the law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with, a collection of information subject to the 
requirements of the PRA, unless that collection of information displays 
a currently valid OMB Control Number.

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 in any one year (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)) UMRA also requires Federal agencies to develop an 
effective process to permit timely input by elected officers of State, 
local, and Tribal governments on a proposed ``significant 
intergovernmental mandate.'' In addition, UMRA 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. (This policy is

[[Page 14311]]

also available at http://www.gc.doe.gov). Today's proposed rule 
contains neither an intergovernmental mandate, nor a mandate that may 
result in the expenditure of $100 million or more in any year, so these 
requirements do not apply.

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 proposed rule that may affect family 
well-being. Today's proposed rule would not have any 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 Executive Order also requires 
agencies to have an accountable process to ensure meaningful and timely 
input by State and local officials in the development of regulatory 
policies that have Federalism implications. On March 14, 2000, DOE 
published a statement of policy describing the intergovernmental 
consultation process it will follow in the development of such 
regulations. 65 FR 13735. DOE has examined this proposed rule and has 
determined that it would not have a substantial direct effect on the 
States, on the relationship between the national government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. EPCA governs and prescribes Federal 
preemption of State regulations as to energy conservation for the 
products that are the subject of today's proposed rule. States can 
petition DOE for exemption from such preemption to the extent, and 
based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further 
action is required by Executive Order 13132.

H. Executive Order 12988

    With respect to the review of existing regulations and the 
promulgation of new regulations, section 3(a) of Executive Order 12988, 
``Civil Justice Reform,'' 61 FR 4729 (Feb. 7, 1996), imposes on Federal 
agencies the general duty to adhere to the following requirements: (1) 
Eliminate drafting errors and ambiguity; (2) write regulations to 
minimize litigation; (3) provide a clear legal standard for affected 
conduct rather than a general standard; and (4) promote simplification 
and burden reduction. 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, 
the proposed rule meets the relevant standards of Executive Order 
12988.

I. Treasury and General Government Appropriations Act, 2001

    Section 515 of the Treasury and General Government Appropriations 
Act, 2001 (Pub. L. 106-554; 44 U.S.C. 3516 note) provides for agencies 
to review most disseminations of information to the public under 
guidelines established by each agency pursuant to general guidelines 
issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 
2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 
2002). DOE has reviewed today's proposed rule under the OMB and DOE 
guidelines and has concluded that it is consistent with applicable 
policies in those guidelines.

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) is likely to 
have a significant adverse effect on the supply, distribution, or use 
of energy; or (3) is designated by the Administrator of OIRA as a 
significant energy action. For any proposed significant energy action, 
the agency must give a detailed statement of any adverse effects on 
energy supply, distribution, or use should the proposal be implemented, 
and of reasonable alternatives to the action and their expected 
benefits on energy supply, distribution, and use. Today's regulatory 
action to amend the test procedure for measuring the energy efficiency 
of fluorescent lamp ballasts is not a significant regulatory action 
under Executive Order 12866. Moreover, it would not have a significant 
adverse effect on the supply, distribution, or use of energy, nor has 
it been designated as a significant energy action by the Administrator 
of OIRA. Therefore, it is not a significant energy action, and, 
accordingly, DOE has not prepared a Statement of Energy Effects.

K. Executive Order 12630

    Pursuant to Executive Order 12630, ``Governmental Actions and 
Interference with Constitutionally Protected Property Rights,'' 53 FR 
8859 (March 15, 1988), DOE has determined that this rule would not 
result in any takings that might require compensation under the Fifth 
Amendment to the United States Constitution.

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

    Under section 301 of the Department of Energy Organization Act 
(Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the 
Federal Energy Administration Act of 1974, as amended by the Federal 
Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) 
Section 32 essentially provides in relevant part that, where a proposed 
rule authorizes or requires use of commercial standards, the notice of 
proposed rulemaking must inform the public of the use and background of 
such standards. In addition, section 32(c) requires DOE to consult with 
the Attorney General and the Chairman of the Federal Trade Commission 
(FTC) concerning the impact of the commercial or industry standards on 
competition. The proposed rule incorporates testing methods contained 
in the following commercial standards: ANSI C82.2-2002, Method of 
Measurement of Fluorescent Lamp Ballasts. While today's proposed test

[[Page 14312]]

procedure is not exclusively based on ANSI C82.2-2002, one component of 
the test procedure, namely measurement of ballast factor, adopts a 
measurement technique from ANSI C82.2-2002 without amendment. The 
Department has evaluated these standards and is unable to conclude 
whether they fully comply with the requirements of section 32(b) of the 
FEAA, (i.e., that they were developed in a manner that fully provides 
for public participation, comment, and review). DOE will consult with 
the Attorney General and the Chairman of the FTC concerning the impact 
of these test procedures on competition, prior to prescribing a final 
rule.

V. Public Participation

A. Attendance at Public Meeting

    The time, date and location of the public meeting are listed in the 
DATES and ADDRESSES sections at the beginning of this NOPR. To attend 
the public meeting, please notify Ms. Brenda Edwards at (202) 586-2945. 
As explained in the ADDRESSES section, foreign nationals visiting DOE 
headquarters are subject to advance security screening procedures.

B. Procedure for Submitting Requests To Speak

    Any person who has an interest in the topics addressed in this 
notice, or who is a representative of a group or class of persons that 
has an interest in these issues, may request an opportunity to make an 
oral presentation at the public meeting. Such persons may hand-deliver 
requests to speak to the address shown in the ADDRESSES section at the 
beginning of this notice between 9 a.m. and 4 p.m., Monday through 
Friday, except Federal holidays. Requests may also be sent by mail or 
e-mail to: Ms. Brenda Edwards, U.S. Department of Energy, Building 
Technologies Program, Mailstop EE-2J, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121, or [email protected]. Persons who 
wish to speak should include in their request a computer diskette or CD 
in WordPerfect, Microsoft Word, PDF, or text (ASCII) file format that 
briefly describes the nature of their interest in this rulemaking and 
the topics they wish to discuss. Such persons should also provide a 
daytime telephone number where they can be reached.
    DOE requests that those persons who are scheduled to speak submit a 
copy of their statements at least one week prior to the public meeting. 
DOE may permit any person who cannot supply an advance copy of this 
statement to participate, if that person has made alternative 
arrangements with the Building Technologies Program in advance. When 
necessary, the request to give an oral presentation should ask for such 
alternative arrangements.

C. Conduct of Public Meeting

    DOE will designate a DOE official to preside at the public meeting 
and may also employ a professional facilitator to aid discussion. The 
public meeting will be conducted in an informal, conference style. The 
meeting will not be a judicial or evidentiary public hearing, but DOE 
will conduct it in accordance with section 336 of EPCA (42 U.S.C. 
6306). There shall not be discussion of proprietary information, costs 
or prices, market share, or other commercial matters regulated by U.S. 
anti-trust laws.
    DOE reserves the right to schedule the order of presentations and 
to establish the procedures governing the conduct of the public 
meeting. A court reporter will record the proceedings and prepare a 
transcript.
    At the public meeting, DOE will present summaries of comments 
received before the public meeting, allow time for presentations by 
participants, and encourage all interested parties to share their views 
on issues affecting this rulemaking. Each participant may present a 
prepared general statement (within time limits determined by DOE) 
before the discussion of specific topics. Other participants may 
comment briefly on any general statements. At the end of the prepared 
statements on each specific topic, participants may clarify their 
statements briefly and comment on statements made by others. 
Participants should be prepared to answer questions from DOE and other 
participants. DOE representatives may also ask questions about other 
matters relevant to this rulemaking. The official conducting the public 
meeting will accept additional comments or questions from those 
attending, as time permits. The presiding official will announce any 
further procedural rules or modification of procedures needed for the 
proper conduct of the public meeting.
    DOE will make the entire record of this proposed rulemaking, 
including the transcript from the public meeting, available for 
inspection at the U.S. Department of Energy, 6th Floor, 950 L'Enfant 
Plaza, SW., Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 
p.m., Monday through Friday, except Federal holidays. The official 
transcript will also be posted on the Web page at http://www1.eere.energy.gov/buildings/appliance_standards/residential/fluorescent_lamp_ballasts.html.

D. Submission of Comments

    DOE will accept comments, data, and information regarding the 
proposed rule no later than the date provided at the beginning of this 
notice. Comments, data, and information submitted to DOE's e-mail 
address for this rulemaking should be provided in WordPerfect, 
Microsoft Word, PDF, or text (ASCII) file format. Stakeholders should 
avoid the use of special characters or any form of encryption, and 
wherever possible, comments should include the electronic signature of 
the author. Comments, data, and information submitted to DOE via mail 
or hand delivery/courier should include one signed paper original. No 
telefacsimiles (faxes) will be accepted.
    According to 10 CFR 1004.11, any person submitting information that 
he or she believes to be confidential and exempt by law from public 
disclosure should submit two copies: one copy of the document including 
all the information believed to be confidential, and one copy of the 
document with the information believed to be confidential deleted. DOE 
will make its own determination as to the confidential status of the 
information and treat it according to its determination.
    Factors of interest to DOE when evaluating requests to treat 
submitted information as confidential include: (1) A description of the 
items; (2) whether and why such items are customarily treated as 
confidential within the industry; (3) whether the information is 
generally known by or available from other sources; (4) whether the 
information has previously been made available to others without 
obligation concerning its confidentiality; (5) an explanation of the 
competitive injury to the submitting person which would result from 
public disclosure; (6) a date upon which such information might lose 
its confidential nature due to the passage of time; and (7) why 
disclosure of the information would be contrary to the public interest.

E. Issues on Which DOE Seeks Comment

    Although comments are welcome on all aspects of this rulemaking, 
DOE is particularly interested in receiving comments and views of 
interested parties concerning the following issues:
1. All Aspects of the Existing Test Procedure for Active Mode Energy 
Consumption
    DOE invites comment on all aspects of the existing test procedure 
for fluorescent lamp ballasts for active

[[Page 14313]]

mode energy consumption that appear at 10 CFR part 430, subpart B, 
appendix Q (``Uniform Test Method for Measuring the Energy Consumption 
of Fluorescent Lamp Ballasts'').
2. Appropriate Usage of ANSI Standards
    DOE seeks comment on the appropriate use of ANSI C82.2-2002, ANSI 
C82.11 Consolidated-2002, and ANSI C82.1-2004. See section III.E.3 for 
further detail.
3. Method of Measurement for Dimming Ballasts
    DOE seeks comment on potential methods of measurement to determine 
the efficiency of dimming ballasts if DOE decides to include them in 
the scope of energy conservation standards. See section III.F.2 for 
further detail.
4. Resistor-Based Ballast Efficiency Test Method
    DOE seeks comment on the effectiveness of the proposed resistor-
based BE test method and its expected improvement in measurement 
variation. See section III.E.1 for further details.
5. Alternative Approaches To Amending the Test Procedure
    DOE seeks comment from interested parties who do not support the 
proposed resistor-based ballast efficiency method on the lamp-based BE 
method and the light-output-based and RSE test procedures (see sections 
III.E.2, III.E.3, and III.E.4 for further detail), or any other 
procedure they believe is appropriate.
6. Ballasts That Do Not Operate Resistors
    DOE seeks comment on why some ballasts do not operate when 
connected to a resistor load bank and DOE's proposal to measure BEF 
directly (as a light output measurement) for these ballasts. DOE 
invites comment on other approaches to test these ballasts. See section 
III.F.8 for further detail.
7. Ballast Factor Variation Due to Variations in Measured Lamp Power
    DOE recognizes that in order to correlate measured BE to BEF using 
DOE's proposed test procedure, the BF of the test ballast must be 
determined. DOE seeks comment on DOE's approach to use light output-
based measurement to determine ballast factor and the resulting 
variation in ballast factor due to lamp manufacturing variations. DOE 
also requests comment on impact of this variation in BF on the 
calculated BEF (according to the proposed test procedure). See section 
III.F.3 for further detail.
8. Ballast Factor Binning
    DOE seeks comment on the effect of DOE's approach of using a single 
resistor value for measuring ballasts of all ballast factors (for a 
particular ballast) and correlating measured BE to correlated BEF using 
transfer equations specific to ballast factor bins. See section III.F.5 
for further detail.
9. Transfer Equations
    DOE seeks comment on the transfer equations developed to convert BE 
to BEF. See section III.F.5 for further detail.
10. Scaling Transfer Equations
    DOE seeks comment on the transfer equation scaling techniques 
(across number of lamps operated by a ballast, starting method, ballast 
factor, and total rated lamp power) used for product classes in which 
there was insufficient correlation in the test data to establish a 
slope. See section III.F.6 for further detail.
11. Burden on Manufacturers and Testing Facilities
    DOE seeks comment on its assessment of the anticipated burden 
imposed by the proposed test method. See section III.G for further 
detail.

VI. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this proposed 
rule.

List of Subjects in 10 CFR Part 430

    Administrative practice and procedure, Confidential business 
information, Energy conservation, Household appliances, Imports, 
Incorporation by reference, Intergovernmental relations, Small 
businesses.

    Issued in Washington, DC on February 12, 2010.
Cathy Zoi,
Assistant Secretary, Energy Efficiency and Renewable Energy.
    For the reasons stated in the preamble, DOE is proposing to amend 
Part 430 of Chapter II of Title 10, Code of Federal Regulations 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 430.3 is amended by:
    a. Amending paragraphs (c)(5), (c)(7) and (c)(11) by adding at the 
end of the paragraphs the words ``and Appendix Q1 of subpart B''.
    b. Redesignating paragraphs (c)(11) as (c)(12); (c)(12) as (c)(15); 
and (c)(13) as (c)(16).
    c. Adding new paragraphs (c)(11), (c)(13) and (c)(14).
    These revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (c) * * *
    (11) ANSI C82.1-2004, Revision of ANSI C82.1-1997 (``ANSI C82.1''), 
American National Standard for Lamp Ballast--Line-Frequency Fluorescent 
Lamp Ballast, approved November 19, 2004; IBR approved for Appendix Q 
of subpart B and Appendix Q1 of subpart B.
* * * * *
    (13) ANSI C82.11-2002, Revision of ANSI C82.11-1993 (``ANSI 
C82.11''), American National Standard for Lamp Ballasts--High-frequency 
Fluorescent Lamp Ballasts, approved January 17, 2002; IBR approved for 
Appendix Q of subpart B and Appendix Q1 of subpart B.
    (14) ANSI C82.13-2002 (``ANSI C82.13''), American National Standard 
for Lamp Ballasts--Definitions for Fluorescent Lamps and Ballasts, 
approved July 23, 2002; IBR approved for Appendix Q of subpart B and 
Appendix Q1 of subpart B.
* * * * *
    3. Section 430.23 is amended by revising paragraph (q) to read as 
follows:


Sec.  430.23  Test procedures for the measurement of energy and water 
consumption.

* * * * *
    (q) Fluorescent Lamp Ballasts. (1) The Estimated Annual Energy 
Consumption (EAEC) for fluorescent lamp ballasts, expressed in 
kilowatt-hours per year, shall be the product of:
    (i) The input power in kilowatts as determined in accordance with 
section 3.1.3.1 of appendix Q to this subpart before the compliance 
date of the amended standards for fluorescent lamp ballasts or section 
7.1.2.2 of appendix Q1 to this subpart beginning on the compliance date 
of the amended standards for fluorescent lamp ballasts; and
    (ii) The representative average use cycle of 1,000 hours per year, 
the resulting product then being rounded off to the nearest kilowatt-
hour per year.
    (2) Ballast Efficacy Factor (BEF) shall be as determined in section 
4.2 of appendix Q of this subpart before the compliance date of the 
amended

[[Page 14314]]

standards for fluorescent lamp ballasts or section 8.3 of appendix Q1 
to this subpart beginning on the compliance date of the amended 
standards for fluorescent lamp ballasts.
    (3) The Estimated Annual Operating Cost (EAOC) for fluorescent lamp 
ballasts, expressed in dollars per year, shall be the product of:
    (i) The representative average unit energy cost of electricity in 
dollars per kilowatt-hour as provided by the Secretary,
    (ii) The representative average use cycle of 1,000 hours per year, 
and
    (iii) The input power in kilowatts as determined in accordance with 
section 3.1.3.1 of appendix Q to this subpart before the compliance 
date of the amended standards for fluorescent lamp ballasts or section 
7.1.2.2 of appendix Q1 to this subpart beginning on the compliance date 
of the amended standards for fluorescent lamp ballasts, the resulting 
product then being rounded off to the nearest dollar per year.
    (4) Standby power consumption of certain fluorescent lamp ballasts 
shall be measured in accordance with section 3.2 of appendix Q to this 
subpart.
* * * * *
    4. Appendix Q to Subpart B of Part 430 is amended by:
    a. Adding introductory text.
    b. Revising sections 1.15, 1.16, and 1.17.
    c. Removing section 2.1, redesignating section 2.2 as section 2, 
and revising redesignated section 2.
    d. Redesignating sections 3.1, 3.2, 3.3, 3.3.1, 3.3.2, 3.3.3, 3.4, 
3.4.1, and 3.4.2 as sections 3.1.1, 3.1.2, 3.1.3, 3.1.3.1, 3.1.3.2, 
3.1.3.3, 3.1.4, 3.1.4.1, and 3.1.4.2, respectively.
    e. Revising redesignated sections 3.1.1, 3.1.2, 3.1.3.1, 3.1.3.2, 
3.1.3.3, 3.1.4.1, and 3.1.4.2.
    f. Redesignating sections 3.5, 3.5.1, 3.5.2, 3.5.3, 3.5.3.1, 
3.5.3.2, 3.5.3.3, and 3.5.3.4 as sections 3.2, 3.2.2, 3.2.3, 3.2.4, 
3.2.4.1, 3.2.4.2, 3.2.4.3, and 3.2.4.4, respectively.
    g. Adding sections 3.1 and 3.2.1.
    h. Revising section 4.

    These revisions and additions read as follows:

Appendix Q to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Fluorescent Lamp Ballasts

    Appendix Q is effective until the compliance date of the amended 
standards for fluorescent lamp ballasts. After this date, all 
fluorescent lamp ballasts shall be tested using the provisions of 
Appendix Q1 except where Appendix Q1 specifies use Appendix Q for 
testing certain ballasts that do not operate resistors.
* * * * *

1. Definitions

* * * * *
    1.15 Power Factor means the power input divided by the product 
of ballast input voltage and input current of a fluorescent lamp 
ballast, as measured under test conditions specified in ANSI C82.2-
2002 (incorporated by reference; see Sec.  430.3).
    1.16 Power input means the power consumption in watts of a 
ballast an fluorescent lamp or lamps, as determined in accordance 
with the test procedures specified in ANSI C82.2-2002 (incorporated 
by reference; see Sec.  430.3).
    1.17 Relative light output means the light output delivered 
through the use of a ballast divided by the light output of a 
reference ballast, expressed as a percent, as determined in 
accordance with the test procedures specified in ANSI C82.2-2002 
(incorporated by reference; see Sec.  430.3).
* * * * *

2. Test Conditions

    The measurement of standby mode power need not be performed to 
determine compliance with energy conservation standards for 
fluorescent lamp ballasts at this time. The above statement will be 
removed as part of a rulemaking to amend the energy conservation 
standards for fluorescent lamp ballasts to account for standby mode 
energy consumption, and the following shall apply on the compliance 
date for such requirements. The test conditions for testing 
fluorescent lamp ballasts shall be done in accordance with ANSI 
C82.2-2002 (incorporated by reference; see Sec.  430.3). Any 
subsequent amendment to this standard by the standard setting 
organization will not affect the DOE test procedures unless and 
until amended by DOE. The test conditions for measuring active mode 
energy consumption are described in sections 4, 5, and 6 of ANSI 
C82.2-2002. The test conditions for measuring standby power are 
described in sections 5, 7, and 8 of ANSI C82.2-2002. Fluorescent 
lamp ballasts that are capable of connections to control devices 
shall be tested with all commercially available compatible control 
devices connected in all possible configurations. For each 
configuration, a separate measurement of standby power shall be made 
in accordance with section 4 of the test procedure.

3. * * *

3.1 Active Mode Energy Efficiency Measurement

    3.1.1 The test method for testing the active mode energy 
efficiency of fluorescent lamp ballasts shall be done in accordance 
with ANSI C82.2-2002 (incorporated by reference; see Sec.  430.3). 
Where ANSI C82.2-2002 references ANSI C82.1-1997, the operator shall 
use ANSI C82.1 (incorporated by reference; see Sec.  430.3) for 
testing low-frequency ballasts and ANSI C82.11 (incorporated by 
reference; see Sec.  430.3) for high-frequency ballasts.
    3.1.2 Instrumentation. The instrumentation shall be as specified 
by sections 5, 7, 8, and 15 of ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3).
    3.1.3 * * *
    3.1.3.1 Input Power. Measure the input power (watts) to the 
ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 4.
    3.1.3.2 Input Voltage. Measure the input voltage (volts) (RMS) 
to the ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 3.2.1 and section 4.
    3.1.3.3 Input Current. Measure the input current (amps) (RMS) to 
the ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 3.2.1 and section 4.
    3.1.4 * * *
    3.1.4.1 Measure the light output of the reference lamp with the 
reference ballast in accordance with ANSI C82.2-2002 (incorporated 
by reference; see Sec.  430.3), section 12.
    3.1.4.2 Measure the light output of the reference lamp with the 
test ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 12.

3.2. * * *

    3.2.1 The test for measuring standby mode energy consumption of 
fluorescent lamp ballasts shall be done in accordance with ANSI 
C82.2-2002 (incorporated by reference; see Sec.  430.3).
* * * * *

4. Calculations

4.1 Calculate Relative Light Output
[GRAPHIC] [TIFF OMITTED] TP24MR10.006

Where:

Photocell output of lamp on test ballast is determined in accordance 
with section 3.1.4.2, expressed in watts, and
Photocell output of lamp on ref. ballast is determined in accordance 
with section 3.1.4.1, expressed in watts.

4.2 Determine the Ballast Efficacy Factor (BEF) Using the Following 
Equations

    (a) Single lamp ballast.

[[Page 14315]]

[GRAPHIC] [TIFF OMITTED] TP24MR10.007

    (b) Multiple lamp ballast.
    [GRAPHIC] [TIFF OMITTED] TP24MR10.008
    
Where:

Input power is determined in accordance with section 3.1.3.1,
Relative light output as defined in section 4.1, and
Average relative light output is the relative light output, as 
defined in section 4.1, for all lamps, divided by the total number 
of lamps.

4.3 Determine Ballast Power Factor (PF)
[GRAPHIC] [TIFF OMITTED] TP24MR10.009

Where:

Input power is as defined in section 3.1.3.1,
Input voltage is determined in accordance with section 3.1.3.2, 
expressed in volts, and
Input current is determined in accordance with section 3.1.3.3, 
expressed in amps.

    5. Appendix Q1 is added to Subpart B of Part 430 to read as 
follows:

Appendix Q1 to Subpart B of Part 430--Uniform Test Method for Measuring 
the Energy Consumption of Fluorescent Lamp Ballasts

    Appendix Q1 is effective on the compliance date of the amended 
standards for fluorescent lamp ballasts. Prior to this date, all 
fluorescent lamp ballasts shall be tested using the provisions of 
Appendix Q.
    1. If the operator determines that a ballast does not operate a 
resistor load bank, then the operator should use the test procedure 
described in Appendix Q to Subpart B of Part 430. To determine that 
a ballast does not operate a resistor load bank, the input power, 
voltage, or current to the ballast should equal zero when tested in 
accordance with this Appendix Q1 to Subpart B of Part 430.
    2. Where ANSI C82.2-2002 (incorporated by reference; see Sec.  
430.3) references ANSI C82.1-1997, the operator shall use ANSI C82.1 
(incorporated by reference; see Sec.  430.3) for testing low-
frequency ballasts and shall use ANSI C82.11 (incorporated by 
reference; see Sec.  430.3) for high-frequency ballasts.

3. Definitions

    3.1. Commercial ballast is a fluorescent lamp ballast that is 
not a residential ballast as defined in Section 3.8 and meets 
technical standards for non-consumer RF lighting devices as 
specified in subpart C of 47 CFR part 18.
    3.2. Electrode heating refers to power delivered to the lamp by 
the ballast for the purpose of raising the temperature of the lamp 
electrode or filament. ANSI standards generally refer to this 
process as cathode heating.
    3.3. High-frequency ballast is as defined in ANSI C82.13 
(incorporated by reference; see Sec.  430.3).
    3.4. Instant-start is the starting method used instant-start 
systems as defined in ANSI C82.13 (incorporated by reference; see 
Sec.  430.3).
    3.5. Low-frequency ballast is a fluorescent lamp ballast that 
operates at a supply frequency of 50 to 60 Hz and operates the lamp 
at the same frequency as the supply.
    3.6. Programmed-start is the starting method used in programmed 
start systems as defined in ANSI C82.13 (incorporated by reference; 
see Sec.  430.3).
    3.7. Rapid-start is the starting method used in rapid-start type 
systems as defined in ANSI C82.13 (incorporated by reference; see 
Sec.  430.3).
    3.8. Residential ballast is a fluorescent lamp ballast designed 
and labeled for use in residential applications. Residential 
ballasts must meet the technical standards for consumer RF lighting 
devices as specified in subpart C of 47 CFR part 18.
    3.9. Resistor load bank means a network of resistors used to 
model the load placed on a fluorescent lamp ballast by a fluorescent 
lamp.
    3.10. RMS is the root mean square of a varying quantity.

4. Instruments

    4.1. All instruments shall be as specified by ANSI C82.2-2002 
(incorporated by reference; see Sec.  430.3).
    4.2. Power Analyzer. In addition to the specifications in ANSI 
C82.2-2002 (incorporated by reference; see Sec.  430.3), the power 
analyzer shall have a maximum 100 pF capacitance to ground and 
frequency response between 40 Hz and 1 MHz.
    4.3. Current Probe. In addition to the specifications in ANSI 
C82.2-2002 (incorporated by reference; see Sec.  430.3), the current 
probe shall be galvanically isolated and have frequency response 
between 40 Hz and 20 MHz.

5. Test Setup

    5.1. The ballast shall be connected to a main power source and 
to the resistor load bank according to the manufacturer's wiring 
instructions. Where the wiring diagram indicates connecting the 
ballast lead to a lamp, the lead should be connected to a resistor 
load bank.
    5.1.1. Figures 1 and 2 illustrate the resistor load bank used to 
model one fluorescent lamp. The four resistors labeled as 
R1/2E represent the electrodes, and Rarc 
represents the lamp arc.
    5.1.2. Wire lengths between the ballast and resistor load bank 
shall be the length provided by the ballast manufacturer.
    5.2. A ballast shall be tested using one resistor load bank to 
simulate one lamp. A ballast shall be connected to the number of 
resistor load banks equal to the maximum number of lamps a ballast 
is designed to operate.
    5.3. A ballast designed to operate a lamp at high-frequency (as 
defined in section 3.3) shall use a resistor with resistance that 
simulates high-frequency operation. A ballast designed to operate a 
lamp a low-frequency (as defined in section 3.5) shall use a 
resistor with resistance that simulates low-frequency operation.
    5.4. A ballast shall be tested with a resistor load bank with 
the resistances indicated in Table A.

5.5. Power Analyzer

    5.5.1. The power analyzer shall have n+1 channels where n is the 
number of lamps a ballast operates.
    5.5.2. Output Voltage. Leads from the power analyzer should 
attach to each resistor load bank according to Figure 1 for rapid- 
and programmed-start ballasts and Figure 2 for instant-start 
ballasts.
    5.5.3. Output Current. A current probe shall be positioned on 
each resistor load bank according to Figure 1 for rapid- and 
programmed-start ballasts and Figure 2 for instant-start ballasts.

                                                         Table A--Simulated Lamp Resistor Values
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                               Low-frequency          High-frequency
                                                                                                           operation resistance    operation resistance
                                                             Nominal                                              (Ohms)                  (Ohms)
                       Ballast type                           lamp           Lamp diameter and base      -----------------------------------------------
                                                             wattage                                       Electrode   Lamp arc    Electrode   Lamp arc
                                                                                                            (R1/2E)     (Rarc)      (R1/2E)     (Rarc)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ballasts that operate one, two, three, four, five, or six          32  T8 MBP...........................        5.75         439        5.75         760
 straight-shaped lamps (commonly referred to as 4-foot             34  T12 MBP..........................         4.8         151         4.8         204
 medium bipin lamps) with medium bipin bases, a nominal
 overall length of 48 inches, a rated wattage of 25W or
 more, and an input voltage at or between 120V and 277V.

[[Page 14316]]

 
Ballasts that operate one, two, three, four, five, or six          32  T8 MBP...........................        5.75         439        5.75         760
 U-shaped lamps (commonly referred to as 2-foot U-shaped           34  T12 MBP..........................         4.8         151         4.8         204
 lamps) with medium bipin bases, a nominal overall length
 between 22 and 25 inches, a rated wattage of 25W or
 more, and an input voltage at or between 120V and 277V.
Ballasts that operate one or two rapid-start lamps                 86  T8 HO RDC........................         N/A         N/A        4.75         538
 (commonly referred to as 8-foot high output lamps) with           95  T12 HO RDC.......................         1.6         131         1.6         204
 recessed double contact bases, a nominal overall length
 of 96 inches and an input voltage at or between 120V and
 277V.
Ballasts that operate one or two instant-start lamps               59  T8 slimline SP...................        N/A*         876        N/A*        1256
 (commonly referred to as 8-foot slimline lamps) with              60  T12 slimline SP..................        N/A*         313        N/A*         431
 single pin bases, a nominal overall length of 96 inches,
 a rated wattage of 52W or more, and an input voltage at
 or between 120V and 277V.
Ballasts that operate one or two straight-shaped lamps             28  T5 Mini-BP.......................         N/A         N/A          20         950
 (commonly referred to as 4-foot miniature bipin standard
 output lamps) with miniature bipin bases, a nominal
 length between 45 and 48 inches, a rated wattage of 26W
 or more, and an input voltage at or between 120V and
 277V.
Ballasts that operate one, two, three, or four straight-           54  T5 Mini-BP.......................         N/A         N/A           4         255
 shaped lamps (commonly referred to as 4-foot miniature
 bipin high output lamps) with miniature bipin bases, a
 nominal length between 45 and 48 inches, a rated wattage
 of 49W or more, and an input voltage at or between 120V
 and 277V.
Ballasts that operate one, two, three, or four straight-           32  T8 MBP...........................        5.75         439        5.75         760
 shaped lamps (commonly referred to as 4-foot medium               34  T12 MBP..........................         4.8         151         4.8         204
 bipin lamps) with medium bipin bases, a nominal overall
 length of 48 inches, a rated wattage of 25W or more, an
 input voltage at or between 120V and 277V, a power
 factor of less than 0.90, and that are designed and
 labeled for use in residential applications.
Ballasts that operate one, two, three, four, five, or six          86  T8 HO RDC........................         N/A         N/A        4.75         538
 rapid-start lamps (commonly referred to as 8-foot high           110  T12 HO RDC.......................         1.6         166         1.6         275
 output lamps) with recessed double contact bases, a
 nominal overall length of 96 inches, an input voltage at
 or between 120V and 277V, and that operate at ambient
 temperatures of 20 [deg]F or less and are used in
 outdoor signs.
--------------------------------------------------------------------------------------------------------------------------------------------------------
MBP, Mini-BP, RDC, and SP represent medium bipin, miniature bipin, recessed double contact, and single pin, respectively.
* The resistor load bank representing 8-foot slimline single pin (SP) lamps does not have electrode resistors.


[[Page 14317]]

[GRAPHIC] [TIFF OMITTED] TP24MR10.004

6. Test Conditions

    6.1. The test conditions for testing fluorescent lamp ballasts 
shall be done in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3). DOE further specifies that the 
following revisions of the normative references indicated in ANSI 
C82.2-2002) should be used in place of the references directly 
specified in ANSI C82.2-2002: ANSI C78.81 (incorporated by 
reference; see Sec.  430.3), ANSI C78.901 (incorporated by 
reference; see Sec.  430.3), ANSI C82.1 (incorporated by reference; 
see Sec.  430.3), ANSI C82.3 (incorporated by reference; see Sec.  
430.3), ANSI C82.11 (incorporated by reference; see Sec.  430.3), 
and ANSI C82.13 (incorporated by reference; see Sec.  430.3). All 
other normative references shall be as specified in ANSI C82.2-2002.
    6.2. Temperature Stabilization. Ballasts shall be thermally 
conditioned for at least 4 hours at room temperature (25  2 [deg]C), with normal room or lab ventilation.
    6.3. Input Voltage. The directions in ANSI C82.2-2002 
(incorporated by reference; see Sec.  430.3) section 4.1 should be 
ignored with the following directions for input voltage used 
instead. For commercial ballasts capable of operating at multiple 
voltages, the ballast shall be tested 277V  0.1%. For 
ballasts designed and labeled for residential applications and 
capable or operating at multiple voltages, the ballast shall be 
tested at 120V  0.1%.
    6.4. Duty Cycle. The duty cycle shall be no more than 50%. For 
every operational minute, the resistor load bank shall be rested at 
zero power for at least one minute.

7. Test Method

7.1. Ballast Efficiency

    7.1.1. The ballast shall be connected to the appropriate 
resistor load bank and to measurement instrumentation as indicated 
by the Test Setup in section 5.
    7.1.2. The ballast shall be operated for one minute followed by 
an instantaneous data

[[Page 14318]]

capture of the parameters described in sections 7.1.2.1 through 
7.1.2.4.
    7.1.2.1. Output Power. The power analyzer shall calculate output 
power by capturing voltage across each lamp arc resistor using the 
setup described in 5.5.2 and current to the lamp according to the 
setup described in 5.5.3 and summing the power for each lamp.
    7.1.2.2. Input Power. Measure the input power (watts) to the 
ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 7.
    7.1.2.3. Input Voltage. Measure the input voltage (volts) (RMS) 
to the ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 3.2.1 and section 4.
    7.1.2.4. Input Current. Measure the input current (amps) (RMS) 
to the ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 3.2.1 and section 4.

7.2. Ballast Factor

    7.2.1. ANSI C82.2-2002 (incorporated by reference; see Sec.  
430.3) shall be further specified for the purpose of measuring 
ballast factor by the following:
    7.2.1.1. The reference lamp shall be operated at the specified 
input voltage to the reference circuit.
    7.2.1.2. Electrode heating shall be used in the reference 
circuit for all ballasts that operate bipin (MBP, mini-BP) or 
recessed double contact (RDC) lamps as indicated in Table A. 
Electrode heating shall not be used in the reference circuit for 
single pin lamps.
    7.2.1.3. Light output measurements shall be used for all 
ballasts, including instant-start ballasts. Power measurements shall 
not be used.
    7.2.2. Measure the light output of the reference lamp with the 
reference ballast in accordance with ANSI C82.2-2002 (incorporated 
by reference; see Sec.  430.3), section 12, using section 7.2.1 to 
further specify ANSI C82.2-2002. The reference lamp shall have the 
nominal wattage corresponding to the test ballast as indicated in 
Table A.
    7.2.3. Measure the light output of the reference lamp with the 
test ballast in accordance with ANSI C82.2-2002 (incorporated by 
reference; see Sec.  430.3), section 12, using section 7.2.1 to 
further specify ANSI C82.2-2002 The reference lamp shall have the 
nominal wattage corresponding to the test ballast as indicated in 
Table A.

8. Calculations

8.1. Calculate Ballast Factor (BF)
[GRAPHIC] [TIFF OMITTED] TP24MR10.010

Where:

Photocell output of lamp on test ballast is determined in accordance 
with section 7.2.2, expressed in watts, and
Photocell output of lamp on reference ballast is determined in 
accordance with section 7.2.3, expressed in watts.

8.2. Calculate Ballast Efficiency (BE)

8.3. Calculate Ballast Efficacy Factor (BEF). Multiply BE by the 
Appropriate Conversion Factor in Table B. BEF = Conversion Factor x 
BE

                                      Table B--Conversion Factor, BE to BEF
----------------------------------------------------------------------------------------------------------------
                                                                                  Number of lamps
    Ballast and lamp type          Starting          Ballast     -----------------------------------------------
                                   method\*\        factor\**\      One     Two    Three   Four    Five     Six
----------------------------------------------------------------------------------------------------------------
Four-Foot MBP, and Two-Foot U- IS and RS (not    High...........   3.233   1.624   1.081   0.812   0.650   0.542
 Shaped.                        PS).             Normal.........   3.378   1.697   1.129   0.849   0.679   0.566
                                                 Low............   3.430   1.723   1.147   0.862   0.690   0.575
                              ----------------------------------------------------------------------------------
                               PS..............  High...........   3.204   1.610   1.071   0.808   0.644   0.537
                                                 Normal.........   3.348   1.682   1.119   0.844   0.673   0.561
                                                 Low............   3.400   1.708   1.137   0.857   0.684   0.570
----------------------------------------------------------------------------------------------------------------
Four-Foot T5, MiniBP SO......  All.............  High...........   2.910   1.584  ......  ......  ......  ......
                                                 Normal.........   3.041   1.655  ......  ......  ......  ......
                                                 Low............   3.088   1.680  ......  ......  ......  ......
----------------------------------------------------------------------------------------------------------------
Four-Foot T5, MiniBP HO......  All.............  All............   1.703   0.927   0.649   0.504  ......  ......
----------------------------------------------------------------------------------------------------------------
Eight-Foot SP Slimline.......  All.............  High...........   1.653   0.841  ......  ......  ......  ......
                                                 Normal.........   1.727   0.878  ......  ......  ......  ......
                                                 Low............   1.754   0.892  ......  ......  ......  ......
----------------------------------------------------------------------------------------------------------------
Eight-Foot RDC HO............  IS and RS (not    All............   1.128   0.614  ......  ......  ......  ......
                                PS).
                              ----------------------------------------------------------------------------------
                               PS..............  All............   1.138   0.619  ......  ......  ......  ......
----------------------------------------------------------------------------------------------------------------
Residential Ballast, Four-     IS and RS (not    All............   3.357   1.686   1.122   0.853  ......  ......
 Foot MBP, and Two-Foot U-      PS).
 Shaped.
                              ----------------------------------------------------------------------------------
                               PS..............  All............   3.328   1.671   1.113   0.846  ......  ......
----------------------------------------------------------------------------------------------------------------
Sign Ballast.................  All.............  All............   0.888   0.483   0.338   0.263   0.216   0.184
----------------------------------------------------------------------------------------------------------------
\*\IS = Instant-start; RS = Rapid-start; PS = Programmed-start
\**\High ballast factor: BF >= 1.10; Normal ballast factor: 0.78 > BF >1.10; Low ballast factor: BF <= 0.78.

8.4. Calculate Power Factor (PF)

[[Page 14319]]

[GRAPHIC] [TIFF OMITTED] TP24MR10.011


Where:

Input power is determined in accordance with section 7.1.2.2,
Input voltage is determined in accordance with section 7.1.2.2, and
Input current is determined in accordance with section 7.1.2.3.

    6. Section 430.62 is amended by revising paragraph (a)(1), and 
adding new paragraphs (a)(4)(xxv) and (a)(6) to read as follows:


Sec.  430.62  Submission of data.

    (a)(1) Except as provided in paragraph (a)(2) and (a)(6) of this 
section, each manufacturer or private labeler before distributing in 
commerce any basic model of a covered product subject to the applicable 
energy conservation standard or water conservation standard (in the 
case of faucets, showerheads, water closets, and urinals) set forth in 
subpart C of this part shall certify by means of a compliance statement 
and a certification report that each basic model(s) meets the 
applicable energy conservation standard or water conservation standard 
(in the case of faucets, showerheads, water closets, and urinals) as 
prescribed in section 325 of the Act. The compliance statement, signed 
by the company official submitting the statement, and the certification 
report(s) shall be sent by certified mail to: Department of Energy, 
Office of Energy Efficiency and Renewable Energy, Office of Codes and 
Standards, Forrestal Building, 1000 Independence Avenue, SW., 
Washington, DC 20585-0121.
* * * * *
    (4) * * *
    (xxv) Fluorescent Lamp Ballasts, the ballast efficacy factor (BEF) 
and the ballast power factor (PF).
* * * * *
    (6) Each manufacturer or private labeler of a basic model of a 
covered fluorescent lamp ballast shall file a compliance statement and 
a certification report to DOE using the test procedure described in 
Appendix Q to Subpart B of Part 430 within 1 year of publication of the 
fluorescent lamp ballast test procedure and energy conservation 
standard final rulemaking. Furthermore, each manufacturer or private 
labeler of a basic model of a covered fluorescent lamp ballast shall 
file a compliance statement and a certification report to DOE using the 
test procedure described in Appendix Q1 to Subpart B of Part 430 before 
within 4 years of publication of the fluorescent lamp ballast test 
procedure and energy conservation standards final rulemaking.
* * * * *
[FR Doc. 2010-6374 Filed 3-23-10; 8:45 am]
BILLING CODE 6450-01-P