[Federal Register Volume 75, Number 226 (Wednesday, November 24, 2010)]
[Proposed Rules]
[Pages 71570-71596]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-28793]


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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: Supplemental notice of proposed rulemaking.

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SUMMARY: The U.S. Department of Energy (DOE) proposes to revise 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. Furthermore, this proposed test procedure would measure a 
new metric, ballast luminous efficiency (BLE), which more directly 
assesses the electrical losses in a ballast compared to the existing 
ballast efficacy factor (BEF) metric. Rather than testing a ballast 
with a resistive load as proposed in the March 24, 2010 notice of 
proposed rulemaking (NOPR), the BLE test procedure would measure the 
performance of a ballast while operating a fluorescent lamp.

DATES: DOE will accept comments, data, and information regarding this 
supplemental notice of proposed rulemaking (SNOPR) no later than 
December 27, 2010. See section V, ``Public Participation,'' of this 
SNOPR for details.

ADDRESSES: Any comments submitted must identify the Fluorescent Lamp 
Ballast Active Mode Test Procedure SNOPR, 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.

[[Page 71571]]


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. 
Elizabeth 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, 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 Supplemental Notice of Proposed Rulemaking
III. Discussion
    A. Existing Test Procedure
    B. Metric
    C. Test Procedures Considered
    1. Resistor-based Ballast Efficiency Correlated to BEF
    2. Lamp-based Ballast Efficiency Correlated to BEF
    3. Improved Light-Output-Based Test Procedure
    4. Relative System Efficacy
    5. Dimming Ballast Test Procedure
    D. Test Procedure Proposal
    1. Test Conditions
    2. Test Setup
    3. Test Method
    4. Calculations
    5. Updates to Existing Test Procedure
    6. Normative References for ANSI C82.2-2002
    E. Burden To Conduct the Proposed Test Procedure
    F. Impact on Measured Energy Efficiency
    G. Scope of Applicability
    H. 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. Submission of Comments
    B. Issues on Which DOE Seeks Comment
    1. Impact of Ballast Output on Lamp Efficacy
    2. Ballast Factor Calculation
    3. Impact of Reference Lamp Measured Power Variation on Ballast 
Factor
    4. NVLAP Accreditation
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) 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 EPCA, the overall program consists essentially of the 
following parts: Testing, labeling, certification and enforcement, and 
Federal energy conservation standards. The testing requirements consist 
of test procedures that manufacturers of covered products must use as 
the basis for certifying to DOE that their products comply with energy 
conservation standards and for representing 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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    The Energy Independence and Security Act of 2007 also amended EPCA 
to require DOE to review test procedures for all covered products at 
least once every seven years. DOE must either amend the test procedures 
or publish notice in the Federal Register of any determination not to 
amend a test procedure. (42 U.S.C. 6293(b)(1)(A)) To fulfill this 
periodic review requirement, DOE invites comment on all aspects of the 
existing test procedures for fluorescent lamp ballasts 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. 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 relevant to this test 
procedure rulemaking. On March 24, 2010, DOE published a notice of 
public meeting and availability of the preliminary technical support 
document

[[Page 71572]]

(TSD) for the fluorescent lamp ballast standards rulemaking. 75 FR 
14319.
    DOE also published a test procedure notice of proposed rulemaking 
NOPR on March 24, 2010. 75 FR 14288. On April 26, 2010, DOE held a 
joint public meeting to discuss the test procedure proposals in the 
NOPR and the preliminary TSD for the fluorescent lamp ballast standards 
rulemaking (hereafter ``NOPR public meeting''). All comments on the 
fluorescent lamp ballast test procedure rulemaking are discussed in 
section III of this proposed rulemaking.
    As mentioned in the NOPR, 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. (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. This supplemental 
notice of proposed rulemaking does not propose any changes to the 
measurement of standby and off mode energy consumption for fluorescent 
lamp ballasts.

II. Summary of the Supplemental Notice of Proposed Rulemaking

    In this supplemental notice of proposed rulemaking (SNOPR), DOE 
proposes to modify the current procedures for fluorescent lamp ballasts 
to reduce measurement variation and reduce testing burden. The proposed 
method would eliminate photometric measurements and propose the use of 
electrical measurements of a lamp-and-ballast system. In addition, this 
test procedure measures a new metric, ballast luminous efficiency 
(BLE), which more directly assesses the electrical losses in a ballast 
compared to the existing ballast efficacy factor (BEF) metric. The 
SNOPR proposal also describes a new method for calculating the ballast 
factor (BF) of a system. DOE also outlines the scope of applicability 
of the test procedure and proposes a minor update of the existing test 
procedure in appendix Q. The following paragraphs summarize these 
proposed changes.
    In the NOPR, DOE proposed a resistor-based ballast efficiency 
measurement that would then be correlated to BEF. In response to 
comments received citing the limitations of a resistor-based 
measurement, DOE proposes in this SNOPR to measure ballast input power 
and lamp arc power using only electrical measurements of a lamp-and-
ballast system. Variation in the measured power of a reference lamp is 
minimized by the calculation of ballast luminous efficiency, where BLE 
is equal to total lamp arc power divided by ballast input power. To 
account for the increase in lamp efficacy associated with high-
frequency lamp operation versus low-frequency, DOE is also proposing an 
adjustment to the BLE of low-frequency systems. DOE is proposing that 
low-frequency BLE be multiplied by 0.9 to account for the approximately 
10% increase in lighting efficacy associated with high-frequency lamp 
operation. DOE also proposes a method for calculating the ballast 
factor (BF) of a ballast by dividing the measured lamp arc power on the 
test ballast by the measured lamp arc power on a reference ballast. 
Ballast factor is under consideration in the fluorescent lamp ballast 
standards rulemaking as criteria for defining product classes. In cases 
where reference ballast operating conditions are unavailable, the SNOPR 
provides a reference lamp power (specific to the ballast type) from an 
ANSI standard or from empirical results. Particular lamp and ballast 
pairings are specified for both the BLE and BF measurements.
    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 provisions for the testing of ballasts identified in 
the preliminary determination of scope. If the scope of coverage 
changes in later stages of the fluorescent lamp ballast standards 
rulemaking, DOE will add or remove provisions from the test procedure 
so that it is consistent with the final scope of coverage of standards. 
See section III.G for further detail.
    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 will describe the efficiency of a ballast in terms of a 
new metric, BLE. 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 BLE generated by the active mode test procedure proposed in 
this rulemaking. As a result, DOE proposes that use of any revised test 
procedure, to be published as Appendix Q1 of 10 CFR part 430 Subpart B, 
would be required concurrent with the compliance date of any amended 
fluorescent lamp ballast standards. DOE is required by a consent decree 
to issue any amended fluorescent lamp ballast standards by June 30, 
2011.
    As described in the NOPR, 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 use of 
any amended test procedure to be published at Appendix Q1 is required, 
manufacturers should continue testing these ballasts using the existing 
test procedure to determine compliance with existing standards. In the 
NOPR, DOE proposed to make minor updates to the existing test 
procedure, published at Appendix Q to Subpart B of part 430. The SNOPR 
does not affect this proposal. DOE would update the reference to ANSI 
C82.2-1984 in the existing test procedure (appendix Q) to ANSI C82.2-
2002.\3\ 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 use of the amendments to Appendix Q be 
required upon the effective date of any test procedure final rule, 30 
days after publication. In addition, the test procedures for any 
ballasts that operate in standby mode are also located in Appendix Q.
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    \3\ ``American National Standards for Lamp Ballasts--Method of 
Measurement of Fluorescent Lamp Ballasts,'' approved June 6, 2002.
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III. Discussion

A. Existing Test Procedure

    The existing ballast test procedure (in Appendix Q to subpart B of 
10 CFR part

[[Page 71573]]

430) determines the energy efficiency of a fluorescent lamp ballast 
based on light output measurements and ballast input power. The metric 
used is called ballast efficacy factor. 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 \4\ 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 system by the photocell output of the reference 
ballast system yields relative light output or ballast factor. 
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 and multiplying by 100. A ballast 
that produces more light than another ballast with the same input power 
will have a larger BEF.
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    \4\ 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.
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    The National Electrical Manufacturers Association (NEMA) commented 
that BEF measurements would vary by plus or minus five percent and that 
this variation is unacceptable when trying to differentiate between 
products that vary in efficiency by three to five percent. (NEMA, No. 
15 at p. 13) For BEF, the variation in measured power of the reference 
lamps (rated power  2.5%) plus the variation in the 
photometric measurement system itself leads to the plus or minus 5% 
variation. Given the variation observed in BEF measurement, NEMA also 
does not believe a thousandths place digit in a BEF measurement 
discussed in the proposed rule has any statistical validity. In 
contrast, NEMA noted that for the ballast efficiency (BE) measurement 
proposed in the NOPR, the power analyzer equipment introduces plus or 
minus 1.5% variation into the measurement and the current transducer 
and wiring capacitances contribute 1% for a total of plus or minus 2.5% 
variation (NEMA, Public Meeting Transcript, No. 12 at p. 15-16, 22-25). 
DOE agrees that photometric based BEF measurements are more variable 
than electrical measurement based BE measurements. In this test 
procedure SNOPR, DOE is proposing a methodology that uses electrical 
measurements of a lamp and ballast system to measure BLE. The BLE 
metric includes a modification to the BE metric discussed in the NOPR 
to account for changes in lamp efficacy as a result of differences in 
lamp operating frequency.

B. Metric

    In the NOPR, DOE proposed a resistor-based ballast efficiency 
measurement that would then be correlated to BEF, for consistency with 
the standards set forth at 42 U.S.C. 6295(g)(5) and (8). At the NOPR 
public meeting, the Appliance Standards Awareness Project (ASAP) and 
Earthjustice commented that they did not believe DOE was required to 
regulate ballasts using the BEF metric. (ASAP, Public Meeting 
Transcript, No. 12 at p. 98-99 \5\; Earthjustice, Public Meeting 
Transcript, No. 12 at p. 100)
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    \5\ A notation in the form ``ASAP, Public Meeting Transcript, 
No. 12 at p. 98-99'' 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 April 26, 2010; (2) in 
document number 12 in the docket of this rulemaking; and (3) 
appearing on pages 98 through 99 of the transcript.
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    In response to these comments, DOE is proposing a new metric to 
describe the efficiency of a ballast called ballast luminous efficiency 
(BLE). EPCA does not require DOE to set standards for fluorescent lamp 
ballasts using the BEF metric and grants DOE the authority to use test 
procedures for measuring energy efficiency that it determines are 
appropriate. (42 U.S.C. 6291, 6295(g), and 6293(b)(5)) The BLE metric 
and test procedure are based on the NEMA lamp-based ballast efficiency 
(BE) test procedure considered in the test procedure NOPR. Similar to 
the procedure considered in the NOPR, the BLE test procedure measures 
ballast input power and lamp arc power of a lamp-and-ballast system. 
The only difference between the BE procedure considered in the NOPR and 
the proposed BLE test procedure is the proposed adjustment to the BLE 
of low-frequency systems to account for the increase in lamp efficacy 
associated with high-frequency lamp operation versus low-frequency. 
Specifically, DOE is proposing that low-frequency BLE be multiplied by 
0.9 to account for the approximately 10% increase in lighting efficacy 
associated with high-frequency lamp operation. DOE also proposes a 
method for calculating the ballast factor (BF) of a system by dividing 
the measured lamp arc power on the test ballast by the measured lamp 
arc power on a reference ballast. In cases where reference ballast 
operating conditions are unavailable, the SNOPR provides a reference 
lamp power (specific to the ballast type and operating frequency) from 
an ANSI standard or from empirical results. The ballast factor 
measurement is described in more detail in section III.D.4. Particular 
lamp and ballast pairings are specified for both the BLE and BF 
measurements.
    DOE is proposing the BLE test procedure because it reduces 
measurement variation and testing burden compared to the existing test 
procedure. In contrast to BEF and RSE, the BLE metric can be used to 
compare the efficiency across many different types of ballasts. DOE 
also believes the use of a lamp-and-ballast system allows the ballast 
to operate at its natural operating point and will more accurately 
assess ballast performance than when the ballast test load is a 
resistor. Furthermore, a resistive load can only model the effective 
resistance of a lamp operated at a particular ballast factor, requiring 
multiple ballast factor specific resistors to be specified and 
increasing the testing cost to manufacturers. DOE also believes that 
the use of electrical measurements and the calculation of BLE reduce 
the impact of lamp manufacturing variation on the efficiency descriptor 
compared to the existing test procedure.

C. Test Procedures Considered

    In the NOPR, DOE proposed a resistor-based ballast efficiency 
measurement correlated to BEF. DOE also provided descriptions of 
alternative test procedures it considered in the course of developing 
its proposal. Interested parties commented on the proposed methodology 
and the three alternative methods considered. The following sections 
discuss DOE's responses to interested party comments.
1. Resistor-Based Ballast Efficiency Correlated to BEF
    In the NOPR, DOE proposed a test procedure to measure a resistor-
based BE, which would then be correlated to BEF. This procedure used 
precision resistive loads to simulate the effective resistance of a 
fluorescent lamp as the ballast load. In response, DOE received many 
comments suggesting performance measurements of a lamp-and-ballast 
system will provide more realistic data than a resistor and ballast 
system while still reducing measurement variation compared to the 
existing method. These

[[Page 71574]]

comments are discussed in additional detail in section III.C.2. 
Discussed in the following paragraphs are comments DOE received on the 
proposed transfer equations, the ballasts selected for testing, and 
ballasts that do not operate resistors.
    NEMA commented that it supports the BE method but prefers the 
ballast to be paired with reference lamps rather than precision 
resistors. NEMA and Osram Sylvania (OSI) commented that the ballast 
needs to be paired with a resistor matched to the ballast factor of the 
ballast for it to operate at its design point. A test procedure that 
requires multiple ballast factor specific resistors would be very 
expensive considering each resistive load bank costs 1000 to 2000 
dollars and is only available on a custom order basis. (NEMA, No. 15 at 
p. 5, 11; NEMA, Public Meeting Transcript, No. 12 at p. 21-22, 38-39, 
105; OSI, Public Meeting Transcript, No. 12 at p. 80)
    DOE agrees that specifying multiple ballast-factor specific 
resistors would be burdensome and that the actual performance of a 
ballast is better measured while it is operating the natural lamp load. 
In this SNOPR, DOE proposes a procedure which is applicable to all 
ballasts and uses lamp loads in the measurement of ballast luminous 
efficiency.
    DOE also received several comments in response to its proposed 
transfer equations between BE and BEF. The Northwest Energy Efficiency 
Alliance and the Northwest Power Conservation Council (NEEA and NPCC) 
commented that the transfer equations between BE and BEF may be error 
prone and may not attribute the correct BEF to a ballast. (NEEA & NPCC, 
Public Meeting Transcript, No. 12 at p. 86-87, 89, 167-168; NEEA & 
NPCC, No. 16 at p. 4-5) NEMA commented that a lighting designer might 
prefer BE to be correlated to BEF in order to compare lighting 
efficacy. NEMA also added that it does not believe small errors in the 
transfer equation to be an issue, because lighting designers do not 
require as high a level of accuracy when specifying a system. (NEMA, 
No. 15 at p. 9) Philips commented that the approach with the transfer 
equations is essentially to average the BEF values at a particular BE 
value and to plot a line through these points. Philips noted that the 
average BEF helps to account for the wide variation in BEF values. 
(Philips, Public Meeting Transcript, No. 12 at p. 87-91) Philips also 
indicated general agreement with the transfer equations for the 
ballasts that operate four foot medium bipin lamps. (Philips, Public 
Meeting Transcript, No. 12 at p. 94-95) OSI commented that the test 
data used to develop the transfer equations could bias the results if 
the BEF or BE values happened to test on the high or low end of the 
expected distribution of data. (OSI, Public Meeting Transcript, No. 12 
at p. 166-167) NEMA commented that a percentage shift in the transfer 
equation between BE and BEF based on ballast factor would not 
necessarily be the same for all ballast types. In addition, NEMA 
commented that instant start ballasts should generally be more 
efficient than programmed start ballasts and the transfer equations 
should be consistent with this difference. (NEMA, Public Meeting 
Transcript, No. 12 at p. 21, 25-26) DOE appreciates the comments on the 
transfer equations. Because DOE is proposing a test procedure for BLE 
without correlation to another metric, however, DOE does not need to 
develop transfer equations or scaling relationships between equations.
    In response to the test data presented in the fluorescent lamp 
ballast standards rulemaking, NEEA and NPCC commented that they 
understood DOE tested only normal BF ballasts and used scaling 
relationships to derive the BE and BEF for the high and low BF 
ballasts. (NEEA & NPCC, No. 32 at p. 4) DOE did test ballasts of all 
ballast factors, including low and high BF models. However, DOE tested 
low and high BF models using a resistor load that corresponded to a 
lamp driven by a normal BF ballast in an effort to reduce the inventory 
of resistors required for testing and reduce measurement burden. 
Because the ballast operates differently when attached to a resistor 
that does not properly match the ballasts' impedance, DOE developed 
separate transfer equations to correlate BE to BEF for different bins 
of BF (high, normal, and low \6\). In this SNOPR, however, DOE is 
proposing a test procedure based on a lamp-and-ballast system that does 
not employ resistive loads.
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    \6\ High ballast factor: BF >= 1.10; Normal ballast factor: 0.78 
> BF > 1.10; Low ballast factor: BF <= 0.78.
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    In its testing for development of the resistor-based BE test method 
for the NOPR, DOE observed that some ballasts did not operate 
resistors. NEMA commented that its round robin testing for its own 
investigation of the resistor-based BE test procedure showed that some 
ballasts do not start or operate correctly with resistor loads. NEMA 
commented that in some cases, the ballast senses the resistor is a non-
lamp load and will shut down or fail to start entirely. Some labs 
overcome this issue by starting the ballast without this resistive load 
connected and then introducing the resistor after a short time (as 
short as 500 milliseconds). This setup can require program controllers 
which add parasitic capacitance and inductance. (NEMA, No. 15 at p. 5, 
8) NEMA and General Electric (GE) also commented that the issue of some 
ballasts not operating resistors can be resolved by changing the 
procedure to involve lamp loads rather than resistors. NEMA noted that 
ballasts are designed to operate lamps, not resistors, and that using a 
lamp load will ensure a ballast starts and operates properly. (NEMA, 
Public Meeting Transcript, No. 12 at p. 39, 96-97; GE, Public Meeting 
Transcript, No. 12 at p. 97-98; NEMA, No. 15 at p. 6) Finally, the CA 
Utilities commented that they did not support the use of different test 
procedures for ballasts that do and do not operate resistors. (CA 
Utilities, No. 13 at p. 2-3) DOE agrees that a change of test procedure 
to involve lamp loads rather than resistive loads will resolve the 
issue of some ballasts not operating resistors properly and will 
provide a procedure applicable to all ballasts.
2. Lamp-Based Ballast Efficiency Correlated to BEF
    In the NOPR, DOE considered a lamp-based BE measurement that would 
then be correlated to BEF using transfer equations. DOE defined this 
lamp-based BE as lamp arc power divided by ballast input power such 
that cathode heating power was included in the input but not in the 
output. This procedure is based largely on the BE test procedure 
described in the NEMA Alternative Test Procedure Handout, available at 
http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/fl_ballast_tp_nema.pdf. In this SNOPR, DOE is proposing a 
variation of lamp-based BE called ballast luminous efficiency (BLE). 
BLE is equal to lamp arc power divided by input power and then 
multiplied by an adjustment factor based on high- or low-frequency lamp 
operation. This adjustment factor accounts for the decreased lighting 
efficacy of low-frequency lamp operation. DOE references the BLE 
procedure in the responses to comments that follow on the lamp-based BE 
procedure, and provides more detail on the BLE procedure in section 
III.D. As discussed in the following paragraphs, DOE received comments 
suggesting a ballast should be tested with a lamp load (not a 
resistor), as well as comments on the potential drawbacks and benefits 
of the BE metric compared to BEF, a new method for the measurement of 
ballast factor, and the

[[Page 71575]]

validity of the lamp-based BE procedure for ballasts other than 
instant- and programmed-start ballasts with full cathode cutout.
    DOE received several comments suggesting that BE is better measured 
with a lamp-and-ballast system rather than a resistor and ballast 
system. NEMA commented in the NOPR public meeting that it supports the 
adoption of the lamp-based BE test procedure. NEMA commented that the 
lamp-based BE procedure is simple, repeatable (testing variation of 
2.5 percent), and can be used to generate a stand-alone BE 
value or combined with a transfer equation to calculate BEF. NEMA also 
indicated that the procedure provides a clear description of ballast 
performance while minimizing the effects of reference lamps on the 
ballast and lamp system. (NEMA, No. 15 at p. 2, 7, 14; NEMA, Public 
Meeting Transcript, No. 12 at p. 20-21, 165-166; NEMA, Public Meeting 
Transcript, No. 12 at p. 38) NEMA commented that the ballast should 
operate a reference lamp when lamp arc power and ballast input power 
are measured. (NEMA, No. 15 at p. 14) Finally, OSI commented that 
ballast design laboratories are familiar with electrical efficiency 
testing, and typically make these measurements rather than photometric 
measurements when designing ballasts. (OSI, Public Meeting Transcript, 
No. 12 at p. 60).
    NEEA and NPCC commented that they prefer the usage of fluorescent 
lamps as the load for a ballast when testing for ballast efficiency 
compared to the usage of resistive loads. (NEEA & NPCC, No. 16 at p. 5; 
NEEA & NPCC, No. 32 at p. 4 \7\) NEMA and GE also recommended that 
lamps be utilized as the load for testing the BE of a ballast. They 
also noted that lamps respond to the current supplied by a ballast, are 
readily available and inexpensive to procure, and provide a natural 
operating load for the ballast. (NEMA, Public Meeting Transcript, No. 
12 at p. 22, GE, Public Meeting Transcript, No. 12 at p. 103; NEMA, No. 
15 at p. 6-7) Philips agreed that the ballast should operate a lamp for 
the measurement of BE. (Philips, Public Meeting Transcript, No. 12 at 
p. 39) NEMA also commented that by correctly matching the lamp 
impedance to the ballast, the maximum power transfer from the ballast 
to the lamp occurs and the ballast operates at its design point and 
design efficiency. (NEMA, No. 15 at p. 6) Reference lamps are 
standardized and well characterized and can be procured from any lamp 
manufacturer. (NEMA, No. 15 at p. 6) Philips and GE commented that the 
lamp load should be a reference lamp to keep the ballast near its 
designed operating point. The reference lamp provides a common 
electrical operating point. (Philips, Public Meeting Transcript, No. 12 
at p. 64; GE, Public Meeting Transcript, No. 12 at p. 63, 80) The CA 
Utilities agreed, commenting that if DOE adopts a BE based test 
procedure, it should use reference lamps as the ballast load. (CA 
Utilities, No. 13 at p. 2)
---------------------------------------------------------------------------

    \7\ This written comment was submitted to the docket of the 
fluorescent lamp ballast standards rulemaking [Docket No. EERE-2007-
BT-STD-0016; RIN 1904-AB50].
---------------------------------------------------------------------------

    DOE agrees that electrical measurements of ballast performance are 
more realistic while the ballast is operating a lamp load compared to a 
purely resistive load. Though a resistive load provides a constant and 
repeatable operating point, a precision resistor is more expensive than 
a lamp, does not change impedance in response to ballasts of different 
ballast factor, and does not always provide the proper operating point 
for the ballast. DOE also understands that electrical measurements are 
commonly used in ballast design labs to ascertain performance. In this 
SNOPR, DOE is proposing ballast performance measurements based on a 
reference lamp-and-ballast system as the new test procedure for 
fluorescent lamp ballasts based on the NEMA Test Procedure Handout and 
comments from Philips and GE.
    Philips and GE also commented that BE would be a more appropriate 
metric than BEF, because BE is a metric that allows for the comparison 
of all ballast systems, including different numbers of lamps or lamp 
type, using a common basis for the metric. (Philips, Public Meeting 
Transcript, No. 12 at p. 71; GE, Public Meeting Transcript, No. 12 at 
p. 74) GE also commented that BE is a useful metric for original 
equipment manufacturers when deciding which products to combine into 
their lighting systems. (GE, Public Meeting Transcript, No. 12 at p. 
74-75) NEEA and NPCC commented, however, that a lighting designer may 
be more interested in meeting a lumen per unit area requirement than 
achieving a one or two percent difference in ballast efficiency. (NEEA 
& NPCC, Public Meeting Transcript, No. 12 at p. 73) NEEA and NPCC 
commented that ballasts are not useful except as part of a lighting 
system, suggesting that for a lighting product, lighting output per 
unit power input is the metric that matters. Because ballasts of 
increased electrical efficiency do not always produce the same amount 
of light, NEEA and NPCC gave first preference to an improved light-
output-based test procedure, followed by a lamp-based BE metric without 
correlation to BEF, and finally the resistor-based BE test procedure 
with multiple ballast-factor specific resistors specified for each 
lamp. NEEA and NPCC also commented that lamp operating frequency has a 
large impact on light output. (NEEA & NPCC, No. 16 at p. 2, 5) In its 
written comments, NEMA stated that BEF could be calculated from BE 
using the reference arc power listed in ANSI C78.81-2010. NEMA also 
noted that its method of correlating BE to BEF would allow 
manufacturers to express the performance of the ballast in terms of BEF 
to engineers and lighting consultants while still using an electrical 
measurement for indicating compliance with energy conservation 
standards. (NEMA, No. 15 at p. 9)
    The CA Utilities commented that the existing test procedure is more 
appropriate than the lamp-based BE measurement because it measures the 
two most important parameters to ballast consumers: Input power and 
light output. The CA Utilities commented that ballasts with the same BE 
may produce more or less light from the same lamp depending on the 
frequency at which they operate the lamp. Furthermore, the CA Utilities 
commented that for high-frequency ballasts, variations in frequency, 
crest factor, and wave shape can affect lamp efficacy. However, if DOE 
proposes a BE test procedure, the CA Utilities commented that they 
encourage DOE to keep the standards in terms of BE and not correlate to 
BEF. (CA Utilities, No. 13 at p. 1-3)
    DOE believes BLE is the best metric for assessing the performance 
of a ballast. BLE provides for wide comparability among all types of 
ballasts and can distinguish between the efficacy of high- and low-
frequency lamp operation. For ballast customers who prefer the BEF 
metric, DOE agrees that manufacturers could provide a BEF value 
calculated from the BLE measurement using the technique suggested by 
NEMA. As explained in the paragraphs that follow, DOE proposes a 
modification to the measurement of BE (resulting in the BLE metric) in 
this SNOPR to address the concerns of the CA Utilities and NEEA and 
NPCC on the impact of lamp operating frequency on light output. More 
detail on the BLE metric proposed in this SNOPR is provided in section 
III.D.
    To account for the change in lighting efficacy as a result of lamp 
operating frequency, DOE has developed a modification to the metric 
measured in

[[Page 71576]]

the NEMA Alternative Test Procedure Handout that DOE calls BLE. Under 
this metric, the lamp arc power for ballasts that operate lamps at low 
frequency will be multiplied by 0.9. This adjustment factor compensates 
for the reduced lamp efficacy that results from low-frequency 
operation. Figure III.1 shows lamp efficacy increases with increased 
operating frequency up to about 20 kHz, after which, lamp efficacy is 
close to constant.\8\ DOE believes it is reasonable to assume a fixed 
adjustment factor for all high-frequency ballasts, as most high-
frequency ballasts operate at greater than 20 kHz. DOE believes the 
impact of lamp current crest factor (LCCF) and waveform to have a 
minimal impact on efficacy compared to the difference between low and 
high frequency operation. Lamp current crest factor is limited by ANSI 
standards and does not affect lamp efficacy significantly. DOE also 
believes the difference in waveform has a minimal impact on lamp 
efficacy because the limitations on lamp current crest factor and power 
factor constrain the variety of waveforms present in the market. DOE 
seeks comment and data on the impact of LCCF and waveform on lamp 
efficacy and on its decision to adjust BLE for low-frequency ballasts 
by a factor of 0.9.
---------------------------------------------------------------------------

    \8\ Rea, Mark S., ed. The IESNA Lighting Handbook: Reference & 
Application, 9th Edition. 2000. The Illuminating Engineering Society 
of America: New York, New York.
[GRAPHIC] [TIFF OMITTED] TP24NO10.375

    DOE received comment that the term ballast efficiency already has 
an accepted meaning in industry. NEMA commented that ballast efficiency 
can be defined as a purely electrical measurement that documents the 
true efficiency of a ballast by dividing total ballast output power by 
ballast input power. NEMA commented that ballast efficiency by itself 
does not account for the reduced system efficiency associated with 
ballasts that employ cathode heating and suggested measuring a metric 
defined as lamp arc power divided by ballast input power. (NEMA, No. 15 
at p. 15; Philips, Public Meeting Transcript, No. 12 at p. 71-72) 
Philips commented that while cathode heating does increase lamp column 
efficacy, it does not offset the added energy required to heat the lamp 
electrodes. (Philips, Public Meeting Transcript, No. 12 at p. 44-46) In 
the NOPR, DOE defined ballast efficiency as lamp arc power divided by 
ballast input power, but in the SNOPR, DOE is proposing the metric 
ballast luminous efficiency (BLE), which is defined as lamp arc power 
divided by ballast input power multiplied by an adjustment factor for 
low-frequency operation. The alternative nomenclature BLE also 
indicates that the metric is slightly different than a true ballast 
efficiency measurement. DOE believes the BLE procedure accurately 
accounts for the diminished system efficacy associated with lamp 
cathode heating by only including lamp arc power (not cathode heating) 
in the ballast output measurement.
    GE and NEMA commented that the impact of lamp to lamp variation is 
minimized with the lamp-based BE test procedure because variations in 
lamp measured power will impact ballast input power and ballast output 
power in such a way that the ratio of ballast efficiency is mostly 
unaffected. (GE, Public Meeting Transcript, No. 12 at p. 62-63; NEMA, 
No. 15 at p. 6) DOE agrees that the metric of lamp arc power divided by 
ballast input power is mostly unaffected by lamp to lamp variation. 
Because variations in lamp power affect both the numerator and 
denominator, the calculation of BE (as defined in the NOPR) or BLE (as 
defined in this SNOPR) minimizes the impact. This is in contrast to the 
existing light-output based test procedure where variations in lamp 
measured power have significant impact on ballast input power but not 
relative light output.
    NEMA commented that the lamp-based BE measurement would be 
preferable to the resistor-based BE measurement proposed in the NOPR 
because it would allow for measurement of ballast performance at steady 
state. The resistor-based BE method involves measurement of ballast 
performance within one minute of energizing the ballast, and the 
resistor then needs to rest for one minute so that an increase in 
temperature would not impact its resistance. NEMA commented that unlike 
resistors, lamps do not have a duty cycle requirement necessitating 
them to be run for long periods of time without deviation from the 
desired operating point. (NEMA, No. 15 at p. 6) GE commented that the 
lamp-based BE test procedure measures ballast performance at steady-
state, in contrast to the resistor-based test procedure proposed in the 
NOPR. NEMA and GE

[[Page 71577]]

commented that certain ballast components such as magnetics and diodes 
operate at higher efficiency once they have reached a steady state 
temperature. Testing at steady state therefore captures the in-practice 
performance of a ballast. (GE, Public Meeting Transcript, No. 12 at p. 
82-83; NEMA, No. 15 at p. 6) Philips agreed that measurement of the 
ballast performance is more realistic at steady state than within one 
minute of energizing. (Philips, Public Meeting Transcript, No. 12 at p. 
163)
    DOE agrees that the lamp-based BE test procedure is simpler and 
more representative of ballast performance than the resistor-based 
method. Because a lamp does not have a short duty cycle, the lamp-and-
ballast system can be operated for a long enough time to reach steady 
state and the ballast measurement can be representative of typical 
operation. In this SNOPR, DOE is proposing a BLE test procedure in 
which, like the BE method, the performance of a ballast is measured at 
steady state while operating a lamp load.
    The lamp-based BE test procedure would define particular lamp and 
ballasts pairings for testing ballast performance. In its written 
comments, NEMA recommended that instant-start ballasts and programmed-
rapid-start ballasts with cathode cut-out should be tested with a full 
wattage load. (NEMA, No. 15 at p. 6-7) In this SNOPR, DOE is proposing 
to pair ballasts with the most common wattage lamp for testing purposes 
(see section III.D.2 for additional detail). In the case of instant-
start ballasts and programmed-rapid-start ballasts (with or without 
full cathode cut-out), DOE is proposing that these ballasts operate 
full-wattage lamps which are also the most common wattage in these 
groupings. Some ballasts, such as rapid start T12 ballasts, are paired 
with reduced wattage or energy saver lamps as this will be the most 
common pairing. The proposal for lamp-and-ballast pairing in this SNOPR 
is the same as discussed in the test procedure NOPR.
    GE also commented on the transfer equations for BE to BEF, stating 
that fitting a line of best fit to tested BEF and BE data would be a 
reasonable method of developing a transfer equation between the two 
metrics. (GE, Public Meeting Transcript, No. 12 at p. 64-65) GE 
commented that separate empirically derived transfer equations would 
likely be needed for ballasts that either employ or do not employ 
cathode heating. (GE, Public Meeting Transcript, No. 12 at p. 65-66) At 
the NOPR public meeting, Philips commented that it developed 
correlations between BE and BEF for instant start ballasts and ballasts 
with cathode cutout when using the lamp-based BE test procedure. 
(Philips, Public Meeting Transcript, No. 12 at p. 36) NEMA commented 
that separate transfer equations for ballasts of different ballast 
factor would be unnecessary with a lamp-based BE test procedure. (NEMA, 
No. 15 at p. 6) The CA Utilities commented that they did not agree with 
using the same transfer equations for converting BE to BEF for high and 
low frequency ballasts because of the change in lamp efficacy. A high- 
and low-frequency ballast with the same BE would not have the same BEF. 
(CA Utilities, No. 13 at p. 2) In its written comments, NEMA stated 
that BEF could be calculated from BE using the reference arc power 
listed in ANSI C78.81-2010 \9\. NEMA suggested multiplying BE by 100, 
dividing by number of lamps, and dividing by the ANSI reference lamp 
arc power. Philips commented that this technique is based on the 
assumption that light output is directly proportional to arc power for 
all ballast types over the ballast factor range from 0.75 to 1.15. NEMA 
provided test data that supports this claim. NEMA also commented that 
the calculation favors ballasts with less cathode heating, which is 
consistent with the goal of promoting energy efficient systems. (NEMA, 
No. 29 at p. 3; NEMA, No. 15 at p. 15-16; Philips, Public Meeting 
Transcript, No. 12 at p. 51-53)
---------------------------------------------------------------------------

    \9\ American National Standard for Electric Lamps--Double-Capped 
Fluorescent Lamps--Dimensional and Electrical Characteristics, 
Approved January 14, 2010.
---------------------------------------------------------------------------

    In the SNOPR, DOE is proposing to measure BLE directly without 
correlation to another metric. To convert the existing standards from 
BEF to BLE, however, DOE used the NEMA suggested calculation (rather 
than empirical correlations) to convert the existing BEF energy 
conservation standards to BLE standards. DOE used different conversion 
equations to assign the associated BLE for high- or low-frequency 
ballasts, in agreement with the CA Utilities' comment.
    To convert from BEF to BLE, DOE multiplied the BEF values by the 
corresponding reference lamp arc power listed in Table III.2 and the 
number of lamps operated by the ballast. As described in section 
III.D.4, these reference arc powers originate from ANSI C78.81-2010 or 
IEC 60081 Ed 5.0, the results of empirical analysis performed by DOE, 
or scaling from a similar lamp type (as described in the next 
paragraph). For example, for ballasts that operate two F34T12 lamps, 
DOE multiplied 1.35 (BEF) by two (number of lamps) and 29.81 (high-
frequency reference lamp arc power based on empirical testing) which 
resulted in a BLE of 80.5%. To convert the same BEF to a low-frequency 
equivalent BLE, DOE multiplied 1.35 by two (number of lamps), 32 (low-
frequency reference lamp arc power), and 0.9 (lamp operating frequency 
adjustment factor) which resulted in a BLE of 77.8%. Table III.1 lists 
the existing standards and their corresponding values in BLE using the 
methodology described in this paragraph.
    DOE did not have high-frequency ANSI reference specifications or 
empirical data for F40T12 or F96T12 lamps. To estimate high-frequency 
lamp arc powers for the F40T12 lamp, DOE scaled the low-frequency ANSI-
based F40T12 reference power using the ratio of high-frequency to low-
frequency reference powers for the F34T12 lamp. For the F96T12 lamp, 
DOE used the same methodology using the ratio of high- to low-frequency 
reference power for the F96T12/ES lamp to scale the low-frequency ANSI-
based F96T12 reference power to high-frequency.

                      Table III.1--Existing BEF Standards and Corresponding BLE Conversion
----------------------------------------------------------------------------------------------------------------
                                                        Ballast      Total      Ballast
               Ballasts that operate:                    input      nominal    efficacy    BLE Low-    BLE High-
                                                        voltage   lamp watts    factor     frequency   frequency
----------------------------------------------------------------------------------------------------------------
One F40T12 lamp.....................................     120/277          40        2.29        80.4        83.2
Two F40T12 lamps....................................     120/277          80        1.17        82.1        85.0
Two F96T12 lamps....................................     120/277         150        0.63        85.1        89.7
Two F96T12HO lamps..................................     120/277         220        0.39        74.4        78.0
One F34T12 lamp.....................................     120/277          34        2.61        75.2        77.8

[[Page 71578]]

 
Two F34T12 lamps....................................     120/277          68        1.35        77.8        80.5
Two F96T12/ES lamps.................................     120/277         120        0.77        83.9        88.4
Two F96T12/HO/ES lamps..............................     120/277         190        0.42        68.0        71.3
----------------------------------------------------------------------------------------------------------------

    While DOE is proposing the BLE metric in this SNOPR, DOE also 
proposes a method for calculating ballast factor of a ballast by 
dividing the measured lamp arc power on the test ballast by the 
measured lamp arc power on a reference ballast. In some cases, when 
reference ballast operating conditions are unavailable, the SNOPR 
provides a reference lamp power from an ANSI standard or from empirical 
results. As described in the preliminary analysis of the fluorescent 
lamp ballast standards rulemaking, DOE is considering categorizing 
ballasts into different groups (product classes) based on ballast 
factor. These product classes could then be subject to different energy 
conservation standards. DOE could use the ballast factor measurement in 
this test procedure to assign a ballast to a particular product class. 
See section III.D.4 for additional detail on the ballast factor 
calculation.
    In commenting on the lamp-based BE procedure, which is similar to 
the suggested lamp-based BE test procedure outlined in the NEMA 
Alternative Test Procedure Handout, Philips indicated that the NEMA 
procedure was only valid for instant-start ballasts and programmed-
start ballasts with full cathode cutout. Philips stated that NEMA had 
not completed enough due diligence for ballasts with cathode heating to 
make a proposal. Philips indicated that the existing light output based 
procedure could be used for ballasts without cathode heating. Philips 
also commented that DOE could make the assumption in the test procedure 
to include cathode heating as ballast losses and account for this 
difference in the energy conservation standard. (Philips, Public 
Meeting Transcript, No. 12 at p. 36, 38, 47, 65, 71-72) Then, in 
written comments, NEMA provided supplemental information suggesting a 
modification to the test setup to support ballasts that employ cathode 
heating. NEMA indicated that two 1,000 ohm resistors should be placed 
in parallel with both sets of lamp pins, generating a midpoint from 
which to measure the lamp discharge voltage. NEMA also noted that the 
resistors are of high enough impedance not to affect the lamp operating 
characteristics and low enough impedance not to affect the measurement 
system. (NEMA, No. 15 at p. 7) In response to the original NEMA 
proposal that was applicable only to ballasts without cathode heating, 
NEEA and NPCC commented that they do not support a test procedure that 
is only applicable to certain ballasts. (NEEA & NPCC, No. 16 at p. 3-4) 
NEEA and NPCC commented that the existing test procedure for BEF 
applies equally well to all ballast types, which is not the case for 
the lamp-based BE alternative, the NOPR resistor-based BE proposal, or 
the procedure as outlined in the NEMA Alternative Test Procedure 
Handout. GE commented that the use of more than one test procedure for 
ballasts subject to the same energy conservation standard was not 
desirable. (GE, Public Meeting Transcript, No. 12 at p. 97-98)
    DOE agrees that the test procedure for fluorescent lamp ballasts 
should be applicable to all ballasts subject to the same standards. DOE 
believes that the test setup with resistors in parallel with the lamp 
pins would allow for repeatable BE measurements, as well as BLE 
measurements, for rapid- and programmed-start ballast regardless of the 
level of cathode heating. Rather than require the ballast to be tested 
to determine the level of cathode heating, DOE would use the voltage 
divider for all rapid- and programmed-start ballasts. The voltage 
divider would provide a position in the circuit to measure the lamp arc 
voltage assuming the arc begins near the center of the ballast. This is 
in contrast to a setup without the divider when lamp arc voltage would 
vary depending on the position of the hotspot on each electrode. As a 
result, DOE believes that NEMA's suggested test setup augments the BE 
procedure, and the proposed BLE procedure, such that both procedures 
are applicable to all ballasts.
3. Improved Light-Output-Based Test Procedure
    In the NOPR, DOE considered improving the existing light-output 
based test procedure to reduce measurement variation. The measurement 
variation in the existing procedure can be attributed to operating 
conditions, variation in measured power of reference lamps, 
inconsistent output power measurements in determining ballast factor, 
and ambient temperature. DOE invited comment on the clarified 
methodologies and tighter tolerances for temperature and reference lamp 
measured power.
    The CA Utilities commented that they supported the improvements to 
the existing test procedure presented in the NOPR to reduce measurement 
variation, including tightening reference lamp tolerance, requiring 
uniform operating conditions, taking measurements at constant voltage 
(consistent with the general service fluorescent lamps test procedure 
listed in 10 CFR part 430 appendix R to subpart B), using only one 
approach for calculating BF, and testing universal voltage commercial 
ballasts at 277V and residential universal voltage ballasts at 120V. 
(CA Utilities, No. 13 at p. 2) NEEA and NPCC also supported the 
improvements to the existing test procedure with the exception of the 
ambient temperature specification, which they believed would be 
extraordinarily costly. NEEA and NPCC preferred the improved light-
output-based method to all other test procedure proposals. (NEEA & 
NPCC, No. 16 at p. 1-3) NEEA and NPCC also commented that DOE should 
test the proposed changes with a large sample size so that statistics 
such as standard deviation can be computed. NEEA and NPCC commented 
that this data is needed to judge the existing test procedure against 
the proposed amendment and alternatives. (NEEA & NPCC, No. 16 at p. 3) 
General Electric (GE), Philips, and NEMA agreed that controlling a 
photometric laboratory to 25 [deg]C  0.5 [deg]C is a 
significant undertaking and would require upgrades of the air 
conditioning and air handling controls and could require some 
specialized equipment. (GE, Public Meeting Transcript, No. 12 at p. 59, 
105; Philips, Public Meeting Transcript, No. 12 at p. 60-61; NEMA, No. 
15 at p. 7) Philips and NEMA also commented that decreasing the 
tolerance on reference lamps would significantly increase the burden in 
identifying reference lamps compared to the already difficult process 
of meeting

[[Page 71579]]

the current specification. (Philips, Public Meeting Transcript, No. 12 
at p. 60-61; NEMA, No. 15 at p. 7-8) NEEA and NPCC disagreed with NEMA 
on the issue of reference lamp variation, commenting that while the 
process of identifying reference lamps is tedious, they did not see any 
reason why this technique introduced unmanageable variation into the 
test process. (NEEA & NPCC, No. 16 at p. 2) GE commented that the BEF 
metric is based heavily on the input power to the ballast. However, a 
vast majority of the input power is dependent on the lamp, and the 
ballast manufacturer has no control over this lamp power. As a result, 
input power and BEF will vary in response to the measured power of the 
lamp, potentially making high performance ballasts look less efficient. 
Furthermore, the BEF test procedure, as defined, contains some latitude 
that permits variation between test laboratories. (GE, Public Meeting 
Transcript, No. 12 at p. 35-36)
    DOE agrees that a tighter tolerance on ambient temperature would be 
more burdensome to manufacturers, though it would decrease measurement 
variation. DOE also believes that tightening the tolerance on reference 
lamp measured power would increase the burden for lamp identification 
because fewer lamps would meet the more stringent specification. While 
DOE agrees with NEEA and NPCC that the process of identifying reference 
lamps can be accurately carried out at any test laboratory, because a 
reference lamp can vary in measured power up to plus or minus 2.5% of 
the rated lamp power (existing requirements) or up to 1% in the 
improved light output based test procedure, the permitted variation in 
measured power introduces variation into the BEF metric. The same 
ballast paired with reference lamps of different measured power will 
measure different ballast input power, impacting the value of BEF. All 
other procedural improvements and clarifications including requiring 
uniform operating conditions, taking measurements at constant voltage, 
using only one approach for calculating BF, and testing universal 
voltage commercial ballasts at 277V and residential universal voltage 
ballasts and cold-temperature sign ballasts at 120V would reduce 
testing variation without appreciably increasing testing burden. DOE 
does not plan to investigate the improved light output based test 
procedure through testing because it believes BLE to be a better metric 
and test procedure. DOE believes its proposal of BLE is less burdensome 
than an improved light-output based method, potentially reduces 
measurement variation to a greater extent, and generates a 
straightforward descriptor of electrical losses. The BLE measurement 
and calculation also minimize the impact of lamp measured power 
variation. Therefore, DOE believes there is minimal benefit to 
requiring a tighter tolerance on reference lamp power variation in the 
context of the proposed test procedure.
    Because discrepancies may exist in BEF test data from different 
sources, NEEA and NPCC suggested that any changes to the existing test 
procedure should place ballasts both above and below the mean values, 
not systematically generate tested performance above the mean. (NEEA & 
NPCC, No. 16 at p. 6) GE commented that the discrepancies in data could 
signify a compliance problem and that manufacturers should notify DOE 
of observed instances of non-compliance. GE also indicated that 
manufacturers may shop around at different laboratories to find an 
improvement in ratings. (GE, Public Meeting Transcript, No. 12 at p. 
35, 172-173) Philips commented that variation in test data between 
different sources should be expected given the variation in the 
underlying measurement technique. (Philips, Public Meeting Transcript, 
No. 12 at p. 162-164, 173-174)
    DOE understands that the existing test procedure has some latitude 
in its definition in that several slightly different setups (lamp 
operating conditions, reference lamps) and conditions are permitted. 
Even the improved light-output-based procedure with its procedural 
clarifications still allows a ballast to be tested with reference lamps 
of slightly different measured power. These light-output-based 
procedures and the BEF metric could allow for a systematic bias as GE 
indicated at the NOPR public meeting. DOE believes that the proposal in 
today's SNOPR of BLE limits the impact of reference lamp measured power 
on the efficiency descriptor for fluorescent lamp ballasts and provides 
a clearly defined procedure that limits procedural variations from test 
facility to test facility. The BLE metric is more robust to changes in 
reference lamp measured power because variations in lamp power 
generally have a proportional effect on both the input power and lamp 
arc power measurements (numerator and denominator, respectively).
    Philips commented that BEF can only be used to compare ballasts of 
similar light output. For example, T5 standard output and T8 ballasts 
cannot be compared using BEF because of their different system lumen 
outputs. (Philips, Public Meeting Transcript, No. 12 at p. 50, 70-71) 
DOE agrees that BEF cannot be used to compare ballasts that are part of 
systems with different light output. The measurement of ballast 
luminous efficiency proposed in this SNOPR can be used to compare 
ballasts that are part of systems with different light output.
4. Relative System Efficacy
    In the NOPR, DOE considered a test procedure to measure the 
relative system efficacy of fluorescent lamp ballasts. RSE is intended 
to normalize the existing metric of BEF to rated lamp efficacy to make 
it more comparable across different lamp-and-ballast systems. DOE 
received comment from some interested parties regarding potential 
problems and benefits resulting from the use of RSE.
    The CA Utilities supported the normalization of BEF to RSE to allow 
better comparison between ballasts that operate different numbers of 
lamps. The CA Utilities recommended measuring BE, converting to BEF, 
and finally converting to RSE or measuring BEF directly using light 
output based measurements. The CA Utilities also commented that RSE is 
more useful than BEF for designing and implementing rebate programs. 
(CA Utilities, No. 13 at p. 3; CA Utilities, Public Meeting Transcript, 
No. 12 at p. 41, 53-54, 67-68) Lutron and NEMA commented that if RSE is 
based on photometric measurements, then RSE will suffer from the same 
variation as the existing test procedure. (Lutron, Public Meeting 
Transcript, No. 12 at p. 51, 54; NEMA, No. 15 at p. 14) Philips 
commented that though RSE may allow for greater comparability of losses 
among the product classes considered in the preliminary analysis, these 
different categories of ballasts may need to be subject to different 
standards. As the ballast operates increased wattage loads, efficiency 
generally increases. As a result, RSE would not automatically reduce 
the number of product classes. (Philips, Public Meeting Transcript, No. 
34 at p. 54-55) NEEA and NPCC disagreed with the use of RSE, commenting 
that the utility of RSE may be minimal to the lighting designer. The 
lighting designer is interested in room cavity ratio, fixture 
efficiency, fixture spacing, and other factors for meeting a lumen per 
unit area requirement and not for a one or two percent efficiency 
difference in the ballast. (NEEA & NPCC, Public Meeting Transcript, No. 
12 at p. 72-73) Philips and NEMA commented that a lighting designer 
might prefer BEF to RSE because BEF can be used directly to convert to

[[Page 71580]]

system lumen output while RSE must first be converted to BEF. (Philips, 
Public Meeting Transcript, No. 12 at p. 73; NEMA, No. 15 at p. 13) The 
CA Utilities commented that a more understandable efficiency metric 
will help lighting designers with less expertise make better decisions 
when specifying the ballasts for their lighting systems. (CA Utilities, 
Public Meeting Transcript, No. 12 at p. 76)
    Philips and NEMA commented that while RSE does give a set of 
numbers that are easier to understand and can be compared for ballasts 
operating the same lamp type, test data cannot be compared for 
different lamp types. (Philips, Public Meeting Transcript, No. 12 at p. 
54; NEMA, No. 15 at p. 8, 14) NEMA also commented that another problem 
with RSE is that the four foot MBP lamp is referenced at 60 Hz. 
Therefore, the rated wattage of 32.5 watts (W) only corresponds to a 
low-frequency ballast operating at ballast factor of one. A high-
frequency ballast operating at ballast factor of one will require less 
than 32.5 W. Because RSE is defined as BEF divided by one hundred and 
multiplied by the total rated lamp power of the system, RSE normalizes 
low- and high-frequency four foot MBP T8 systems with the same factor. 
(NEMA, Public Meeting Transcript, No. 12 at p. 55) Philips commented 
that because of the difference in the rated lamp power used to 
normalize the values, comparison of four foot T8 high-frequency 
ballasts to four foot T5 high-frequency ballasts is inappropriate. 
(Philips, Public Meeting Transcript, No. 12 at p. 68-69, 101)
    Though RSE could be modified such that BEF is normalized with a 
rated power at the appropriate frequency, DOE believes that BLE has 
many advantages to RSE. The BLE metric is measured directly with 
electrical measurements and can be used to compare the efficiency of 
ballasts that operate different numbers of lamps and different types of 
lamps. The straightforward definition of BLE and its wide range of 
comparability should help inexperienced lighting designers select more 
efficient ballasts for their lighting systems to the same or greater 
extent than the use of RSE.
5. Dimming Ballast Test Procedure
    In the NOPR, DOE requested comment on potential test procedures for 
dimming ballasts in the event they were added to the scope of coverage 
in the fluorescent lamp ballast standards rulemaking. Philips commented 
that testing a dimming ballast at full light output may be misleading 
because a dimming ballast may have a different efficiency at reduced 
light levels than at full light output. Furthermore, a practicable 
method of characterizing the overall efficiency of a dimming ballast 
had not yet been identified. (Philips, Public Meeting Transcript, No. 
12 at p. 122-124) NEMA also commented in response to the energy 
conservation standard that it has not conducted sufficient analysis to 
determine the appropriate light level at which to test dimming ballasts 
and that testing at multiple light levels would be burdensome. (NEMA, 
No. 29 at p. 2 \10\) In written comments in response to the test 
procedure NOPR, NEMA indicated that testing a dimming ballast at full 
light output was acceptable so long as energy conservation standards 
were adjusted appropriately--similar to standards for programmed start 
versus instant start ballasts. (NEMA, No. 15 at p. 4-5) Because DOE is 
not currently considering dimming ballasts in the scope of coverage in 
the energy conservation standard, DOE is also not developing a test 
procedure for these ballasts. If the scope of coverage later includes 
dimming ballasts, DOE would consider NEMA's comment in development of a 
dimming ballast test procedure.
---------------------------------------------------------------------------

    \10\ This written comment was submitted to the docket of the 
fluorescent lamp ballast standards rulemaking [Docket No. EERE-2007-
BT-STD-0016; RIN 1904-AB50).
---------------------------------------------------------------------------

D. Test Procedure Proposal

    DOE is proposing a test procedure for the measurement of ballast 
luminous efficiency (BLE) using electrical measurements of a lamp-and-
ballast system. This proposal is based on a test procedure developed by 
NEMA and considered in the NOPR to measure lamp-based BE and correlate 
the result to BEF. The proposal includes a calculation of ballast 
factor without photometric measurements and a repeatable method of 
measuring lamp arc power for systems with cathode heating. The proposed 
method also includes a modification to the calculation of the BE 
efficiency metric to incorporate an element of system efficacy.
    In sections 1 through 4 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 would contain the new 
test procedure for the measurement of BLE that would be used for 
demonstrating compliance with any future amended standards. DOE 
proposes that use of the test procedure would be required upon the 
effective date of any amended energy conservation standards for 
fluorescent lamp ballasts. In section 5, DOE 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 would retain the existing BEF 
test procedure for compliance with existing standards. In section 6, 
DOE discusses proposed amendments regarding references to ANSI C82.2-
2002.
1. Test Conditions
    The test conditions required in the SNOPR are unchanged from the 
NOPR proposal. DOE proposes that testing be conducted at 25 degrees 
Celsius  2.0 degrees and in a draft-free environment 
according to ANSI C78.375-1997 \11\. These conditions provide for 
mostly uniform electrical operating characteristics for the lamp-and-
ballast system. 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 
particular revisions to the normative references associated with ANSI 
C82.2-2002 (see section III.D.6 for additional detail). 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 and commercial cold-temperature outdoor 
sign ballasts. Therefore, DOE proposes that all universal voltage 
commercial ballasts be tested at 277 V and that universal voltage 
residential and commercial cold-temperature outdoor sign ballasts be 
tested at 120 V.
---------------------------------------------------------------------------

    \11\ ``American National Standard for Fluorescent Lamps--Guide 
for Electrical Measurements,'' approved September 25, 1997.
---------------------------------------------------------------------------

2. Test Setup
    For the BLE measurements, DOE proposes in this SNOPR that the 
fluorescent lamp (ballast load) be mounted in a standard strip fixture 
with lamps facing upward to minimize self-heating according to ANSI 
C82.1-

[[Page 71581]]

2004 \12\ and C78.81-2010. The fluorescent lamp should be seasoned for 
at least twelve hours and be tested to be electrically stable and meet 
reference lamp conditions as defined in ANSI C82.13-2005.\13\ The 
ballast can be placed on the test bench and the fixture should be 
electrically connected to the ballast case and to earth ground. The 
ballast wire lengths would be as specified in the manufacturer's 
catalog and not bundled or coiled to minimize capacitive and inductive 
effects. If the wire lengths supplied by the manufacturer are of 
insufficient length to reach both ends of lamp, additional wire may be 
added. The minimal additional wire length necessary would be added, and 
the additional wire would be the same wire gauge as the wire supplied 
with the ballast. If no wiring is provided with the ballast, DOE 
proposes 18 American wire gauge (AWG) or thicker wire should be used. 
The wires would be separated from each other and ground to prevent 
parasitic capacitance for all wires used in the apparatus, including 
those wires from the ballast to the lamps and from the lamps to the 
measuring devices. The test fixture would be wired with 18 AWG solid 
conductor wire. All wires in the fixture would be kept loose and not 
bundled or taped to the fixture metal, representing common wiring 
setups in practice. The ballast under test may be connected to the 
fixture through a terminal strip mounted on the side of the fixture or 
may be directly connected. The ballast would be wired to the lamps in 
the fixture according to the manufacturer's wiring instructions.
---------------------------------------------------------------------------

    \12\ ``American National Standards for Lamp Ballast--Line 
Frequency Fluorescent Lamp Ballast,'' approved November 19, 2004.
    \13\ ``American National Standard for Lamp Ballasts--
Definitions--for Fluorescent Lamps and Ballasts,'' approved July 23, 
2002.
---------------------------------------------------------------------------

    As previously proposed in the NOPR, instrumentation for current, 
voltage, and power measurements would be selected in accordance with 
ANSI C78.375-1997 \14\ 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 would 
further specify instrument performance within the guidelines of the 
ANSI C78.375-1997 and ANSI C82.2-2002. Specifically, lamp arc current 
would be measured using a galvanically isolated current probe/monitor 
with frequency response between 40 Hertz (Hz) and 20 MHz. In addition, 
lamp arc voltage and input voltage would be measured directly by a 
power analyzer with a maximum 100 picofarad (pF) capacitance to ground 
and with frequency response between 40 Hz and 1 MHz. Coaxial cables 
would not be used due to the excessive capacitance associated with this 
wiring. The input current may be measured either with the internal 
shunt of a power analyzer or with an external current transducer 
specifically calibrated with the power analyzer.
---------------------------------------------------------------------------

    \14\ ``American National Standard for Fluorescent Lamps--Guide 
for Electrical Measurements,'' approved September 25, 1997.
---------------------------------------------------------------------------

    For the lamp arc current measurement, the galvanically isolated 
current probe must be calibrated with the power analyzer. Furthermore, 
the current transducer ratio must be set in the analyzer to match the 
transducer to the analyzer. The output from non-invasive current 
transducers is usually a low voltage signal, so the actual current to 
voltage ratio to the power analyzer must consider the losses in 
addition to the transducer ratio. Therefore, the full current to 
voltage ratio (transducer ratio) includes the voltage divider effect 
between the transducer and the power analyzer input. Assuming both the 
power analyzer and non-invasive current transducer are properly 
calibrated, the actual current to voltage ratio to use to fully correct 
the measurement is as described in equation 1.
[GRAPHIC] [TIFF OMITTED] TP24NO10.376

    Iin = Current through the current transducer
    Vout = Voltage out of the transducer
    Rin = Power analyzer impedance
    Rs = Current transducer output impedance

    The test setup would be different depending on the ballast starting 
method. As discussed in section III.C.2 and depicted in Figure III.2, 
rapid- and programmed-start ballast test setups would include two 1000 
ohm resistors placed in parallel with both sets of lamp pins. This 
voltage divider provides a midpoint from which to measure the lamp arc 
voltage, minimizing the impact of cathode heating. Instant-start 
ballasts would not employ a voltage divider, but would require a jumper 
wire or an adapter to connect to lamps with two pins per electrode.

[[Page 71582]]

[GRAPHIC] [TIFF OMITTED] TP24NO10.377

    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 III.3 shows the instrumentation placement for the 
lamp arc power measurement for programmed- and rapid-start ballasts 
with full cathode cutout, and Figure III.4 and Figure III.5 show the 
placement for instant-start ballasts.
[GRAPHIC] [TIFF OMITTED] TP24NO10.378


[[Page 71583]]


[GRAPHIC] [TIFF OMITTED] TP24NO10.379

[GRAPHIC] [TIFF OMITTED] TP24NO10.380

    As discussed in the NOPR, DOE proposes that the ballasts be tested 
with the most common wattage lamp operated by the ballast. 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. To 
test every lamp-and-ballast combination would impose a significant 
burden on manufacturers. Thus, to mitigate the testing burden on 
manufacturers, the proposed test procedure would require only 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 luminous efficiency that 
represents the way the product is primarily used in the market. Table 
III.2 indicates the nominal lamp wattage that would be paired with a 
ballast for testing.

                                     Table III.2--Ballast and Lamp Pairings
----------------------------------------------------------------------------------------------------------------
                                                                                            Reference lamp arc
                                               Nominal                                             power
                Ballast type                    lamp         Lamp  diameter  and base    -----------------------
                                               wattage                                       Low-        High-
                                                                                           frequency   frequency
----------------------------------------------------------------------------------------------------------------
Ballasts that operate one, two, three,               32  T8 MBP.........................        30.8          29
 four, five, or six straight-shaped lamps            34  T12 MBP........................          32      *29.81
 (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, and an
 input voltage at or between 120 V and 277
 V.
Ballasts that operate one, two, three,               32  T8 MBP.........................        30.8          29
 four, five, or six U-shaped lamps                   34  T12 MBP........................          32      *29.81
 (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.
Ballasts that operate one or two rapid-              86  T8 HO RDC......................         N/A          86
 start lamps (commonly referred to as 8-             95  T12 HO RDC.....................          90      *84.88
 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.
Ballasts that operate one or two instant-            59  T8 slimline SP.................        60.1          57
 start lamps (commonly referred to as 8-             60  T12 slimline SP................        60.5      *56.91
 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.

[[Page 71584]]

 
Ballasts that operate one or two straight-           28  T5 SO Mini-BP..................         N/A        27.8
 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.
Ballasts that operate one, two, three, or            54  T5 HO Mini-BP..................         N/A        53.8
 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.
Ballasts that operate one, two, three, or            32  T8 MBP.........................        30.8          29
 four straight-shaped lamps (commonly                34  T12 MBP........................          32      *29.81
 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 that are designed and
 labeled for use in residential
 applications.
Ballasts that operate one, two, three,               86  T8 HO RDC......................         N/A          86
 four, five, or six rapid-start lamps               110  T12 HO RDC.....................         106     *100.03
 (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 [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.
* Empirically derived.

    DOE also found that ballasts are capable of operating fewer than 
the maximum number of lamps they are designed to operate. For example, 
a ballast designed to operate four lamps can also operate two or three 
lamps. However, DOE understands that ballasts are typically paired with 
the maximum number of lamps they are designed to operate. As discussed 
in the NOPR, DOE proposes to test fluorescent lamp ballasts only while 
operating the maximum number of lamps for which they are designed to 
operate. DOE believes this proposal both reduces testing burden and 
assesses the performance of the ballast in its primary and most common 
configuration.
3. Test Method
    Once the lamp-and-ballast system is connected and attached to the 
measurement instrumentation, DOE proposes that the ballast operate a 
fluorescent lamp for a minimum of fifteen minutes to a maximum of one 
hour until stability is reached. DOE notes that the NEMA Test Procedure 
Handout indicated stability should be determined in accordance with 
ANSI C78.375-1997. DOE found the specifications in this standard to be 
unclear. To further specify the determination of stabilization, DOE 
proposes that measurements of lamp arc voltage, lamp arc current, lamp 
arc power be taken every one second during the stabilization period. 
Once the percent difference between the minimum and maximum values for 
voltage, current, and power do not exceed one percent over a four 
minute moving window, the system would be considered stable. Allowing 
the lamp and ballast system to reach its steady state operating point 
will provide a more accurate assessment of ballast performance in the 
field. If the system does not stabilize, a new ballast sample would be 
selected and the test would be repeated.
    After the system has stabilized, DOE proposes that the measured 
input parameters be voltage (RMS \15\), current (RMS), power, and power 
factor measured in accordance with ANSI C82.2-2002. The measured output 
parameters would include lamp arc voltage, current, and power. Lamp arc 
current and voltage measurements would be taken at the specified 
locations according to the test setup. Frequency of the output waveform 
delivered to the lamp by the ballast should also be measured.
---------------------------------------------------------------------------

    \15\ 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.
---------------------------------------------------------------------------

4. Calculations
    As described in Equation 2 below, ballast luminous efficiency is 
equal to total lamp arc power, divided by ballast input power, 
multiplied by 100, and then multiplied by 0.9 for ballasts that operate 
lamps at low-frequency.
[GRAPHIC] [TIFF OMITTED] TP24NO10.381

    The symbol [beta] is equal to 0.9 for low-frequency ballasts and is 
equal to 1.0 for high-frequency ballasts.
    DOE is also proposing a method of calculating ballast factor to 
potentially be used in the fluorescent lamp ballast standards 
rulemaking to assign a ballast to a particular product class. The 
method specifies dividing the measured lamp arc power on the test 
ballast by the measured lamp arc power on a reference ballast. The 
reference lamp arc power will be the measured power determined during 
reference lamp identification in accordance with ANSI C78.375-2010, 
ANSI C78.81-2010, and ANSI C82.3-2002. Reference lamp measured power 
can change over time which could impact the BF calculation. Increasing 
the frequency of the reference lamp measurement could lead to increased 
ballast factor calculation accuracy with slightly increased testing 
burden. DOE proposes that the reference lamp arc

[[Page 71585]]

power should be measured once every 24 hours for ballast factor 
calculation. DOE invites comment on the frequency at which the 
reference lamp power should be measured on the reference ballast.
    Some lamp types do not have reference ballast operating conditions 
defined for both high- and low-frequency operation. In these cases, DOE 
has provided reference ballast lamp arc powers based on lamp operating 
conditions in ANSI C78.81-2010 or IEC 60081 Ed 5.0, or as derived by 
DOE. DOE empirically derived high-frequency F34T12, F96T12/ES, 
F96T12HO/ES, and F96T12HO lamp arc wattage by measuring lamp current 
and voltage when the lamp emanated the equivalent lumen output to the 
low-frequency light output at ANSI reference conditions.
    As discussed in section III.C.2, NEMA provided evidence in its 
written comments that light output is directly proportional to lamp arc 
power for the ballast factor range of 0.75 to 1.15. Outside this range, 
the relationship starts to become nonlinear, but DOE believes the 
assumption of a linear relationship to still be reasonable for the 
purpose of assigning ballast factor for classification purposes. DOE 
notes that the method of measuring ballast factor using fixed reference 
ballast lamp arc powers may be more susceptible to reference lamp 
measured power variation than a method that measures lamp arc power on 
both the test and reference ballast. This is because a measured value 
(tested lamp arc power) is being compared to a constant value 
(reference lamp arc power from ANSI C78.81-2010 or IEC 60081 Ed. 5.0) 
rather than to another measured value using the same lamp. This 
variation will not impact the measured BLE value, but could affect the 
standard to which the ballast is subject. DOE invites comment on the 
impact of variation in the proposed ballast factor calculation for 
certain lamp and ballast systems at certain operating frequencies.
5. Updates to Existing Test Procedure
    DOE is not changing the proposed updates to the existing test 
procedure from the NOPR in this SNOPR. DOE would update the references 
to ANSI standards for the existing light-output-based test procedure. 
NEMA commented that DOE should use the latest versions of ANSI C82.2, 
C82.11, and C82.1 at the time of finalized rulemaking. (NEMA, No. 15 at 
p. 4, Philips, Public Meeting Transcript, No. 12 at p. 36-37) DOE would 
use the most recent versions of these standards, namely ANSI C82.2-
2002, ANSI C82.11-2002,\16\ and ANSI C82.1-2004. The amendments to the 
existing test procedure in Appendix Q to Subpart B of 10 CFR part 430 
would be effective 30 days after publication of any test procedure 
final rule.
---------------------------------------------------------------------------

    \16\ ``American National Standards for Lamp Ballasts--High 
Frequency Lamp Ballasts--Supplements,'' approved January 17, 2002.
---------------------------------------------------------------------------

6. Normative References for ANSI C82.2-2002
    DOE is not changing its proposals regarding the specification of 
normative references to be used with ANSI C82.2-2002 from the NOPR in 
this SNOPR. 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 to 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 would specify the 
particular versions of the ANSI standards that would be used in 
conjunction with ANSI C82.2-2002. DOE proposes to use ANSI C78.81-2010, 
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.

E. 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 
measures the performance of a ballast by computing the ratio of lamp 
arc power to ballast input power and adjusting for lamp operating 
frequency. The proposal is less burdensome than the existing procedure 
largely because of the simplicity of electrical measurements compared 
to photometric measurements. In addition, the lamp loads proposed in 
the SNOPR are less expensive than precision resistor loads proposed in 
the NOPR and are already a common item used in test facilities. The 
assessment of testing burden is discussed in more detail with reference 
to small businesses in section IV.C.
    To further ensure that the test procedure proposed in this SNOPR is 
not unduly burdensome to conduct, DOE is not proposing any changes to 
the minimum sample size (four) for generating a reported value or to 
the reported value itself. Currently, to demonstrate compliance with 
energy conservation standards, manufacturers must first test four 
examples of the basic model. The reported value of BLE is then equal to 
either the lower 99% confidence interval limit divided by 0.99 or the 
mean of the four values, whichever is smaller. DOE received comment 
from NEMA supporting the reported value as currently defined in 10 CFR 
430.24. (NEMA, No. 15 at p. 3) NEEA and NPCC also supported DOE using a 
statistically valid method of reporting efficiency of a ballast. (NEEA 
& NPCC, Public Meeting Transcript, No. 12 at p. 175-176) In addition, 
Philips, GE, and OSI commented that an increase in the minimum number 
of samples to ten or twenty samples from 70 categories of ballasts 
would be burdensome as each test takes two to three hours. (Philips, 
Public Meeting Transcript, No. 12 at p. 177-178; OSI, Public Meeting 
Transcript, No. 12 at p. 178; GE, Public Meeting Transcript, No. 12 at 
p. 178)

F. 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 would change the metric used to describe in 
the energy efficiency of a ballast. DOE is currently amending energy 
conservation standards for fluorescent lamp ballasts in the fluorescent 
lamp ballast standards rulemaking. In that rulemaking, DOE is

[[Page 71586]]

considering 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. 
The BLE test procedure proposal will not affect compliance with 
existing energy conservation standards, because DOE proposes that 
manufacturers not be required to use the new test procedure until the 
date manufacturers are required to comply with amended standards.

G. Scope of Applicability

    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. DOE is considering 
regulating certain ballasts that operate F32T8, F34T12, F28T5SO, 
F54T5HO, F96T8/ES, F96T12/ES, F96T8HO, F96T12HO/ES, and F96T12HO lamps. 
These ballasts can operate between one and six lamps and are used in 
commercial, residential, and cold-temperature outdoor sign 
applications. For the proposed test procedure in this rulemaking, DOE 
would establish particular test setups and calculations depending on 
type of ballast, as described in more detail in section III.D. For 
example, DOE would specify certain fluorescent lamps and numbers of 
these lamps to be paired with certain ballasts for determining ballast 
performance.

H. Certification and Enforcement

    As discussed in the NOPR, DOE regulations do not currently specify 
the energy efficiency measurement to be certified for fluorescent lamp 
ballasts. 10 CFR 430.62(a)(4). Earthjustice commented that this 
omission undermines effective enforcement and negates the value of 
energy conservation standards. NEEA and NPCC and the CA utilities 
support DOE specifying the energy efficiency measurement to be 
certified for fluorescent lamp ballasts. (NEEA & NPCC, No. 32 \17\ at 
p. 10; Earthjustice, No. 14 at p. 1; CA Utilities, No. 13 at p. 3) 
Earthjustice also commented that DOE could publish a separate final 
rule to specify the energy efficiency measurement to be certified for 
fluorescent lamp ballasts on an accelerated timeframe in advance of the 
full test procedure final rule. Earthjustice further indicated that if 
manufacturers do not need to retest units to ensure compliance with 
existing standards using the test procedure in appendix Q, there would 
be no justification for permitting a period of one year to submit data. 
(Earthjustice, No. 14 at p. 1) DOE appreciates these comments and has 
responded to them in the notice of proposed rulemaking for 
certification, compliance, and enforcement for consumer products and 
commercial and industrial equipment. 75 FR 56796.
---------------------------------------------------------------------------

    \17\ This written comment was submitted in response to the 
fluorescent lamp ballast energy conservation standard preliminary 
analysis. 75 FR 14319.
---------------------------------------------------------------------------

    In the context of increasing compliance with energy conservation 
standards, Philips commented that compliance and enforcement could be 
improved by requiring the ballasts to be tested at labs that meet 
certain specifications such as having an audit program and meeting 
International Organization for Standardization (ISO) criteria. Philips 
requested that DOE make its criteria consistent with the California 
Energy Commission (CEC) criteria so that the same data set can be used 
for certifying products with both organizations. Philips also noted 
that it has come to NEMA's attention that some offshore ballast 
suppliers with private labeling may not be complying with energy 
efficiency regulations. (Philips, Public Meeting Transcript, No. 12 at 
p. 32-34) NEMA commented that they believe a clear and concise test 
procedure may encourage voluntary compliance with energy conservation 
standards. (NEMA, No. 15 at p. 7) Furthermore, NEMA commented that a 
change from the existing test procedure to the test procedure proposed 
by NEMA may yield increased compliance by simplifying the methodology. 
(NEMA, No. 15 at p. 2, 12)
    DOE agrees that requiring certification and compliance data to be 
generated in a certified facility could increase the integrity of the 
data. DOE also agrees with NEMA that a clear and concise test procedure 
may also foster voluntary compliance. In this test procedure SNOPR, DOE 
proposes the measurement of BLE using electrical measurements of a lamp 
and ballast system. DOE believes this test procedure to be clearer and 
less burdensome to conduct compared to the existing method which may 
result in increased compliance.
    DOE also proposes that test facilities conducting compliance 
testing in accordance with amended standards promulgated by the 
fluorescent lamp ballast standards rulemaking be National Volunteer 
Laboratory Accreditation Program (NVLAP) accredited, a program 
administered by the National Institute of Standards and Technology 
(NIST), or accredited by an organization recognized by NVLAP. NVLAP 
accreditation is a finding of laboratory competence, certifying that a 
laboratory operates in accordance with NVLAP management and technical 
requirements. The NVLAP program is described in 15 CFR part 285, and 
encompasses the requirements of ISO/IEC 17025.\18\ NVLAP (or an 
organization recognized by NVLAP) accreditation is currently required 
for laboratories providing certification and compliance data for 
general service fluorescent, general service incandescent, and 
incandescent reflector lamps. Either of these accreditation 
requirements would ensure that all the data DOE uses in its rulemaking 
comes from standardized and quality controlled sources, increasing 
confidence in the precision of the data and limiting variations due to 
differences between testing laboratories. DOE determined that NVLAP 
imposes fees of $9000 and $8000 on years one and two of accreditation. 
For the years following, the fees alternate between $5000 and $8000, 
with the $8000 fee corresponding to the on-site evaluation required 
every other year. Fees for other accreditation organizations are 
expected to be similar. DOE invites comment on the benefits and burden 
imposed by the requirement that certification and compliance data come 
from an NVLAP or NVLAP recognized organization accredited laboratory.
---------------------------------------------------------------------------

    \18\ International Organization for Standardization/
International Electrotechnical Commission, General requirements for 
the competence of testing and calibration laboratories. ISO/IEC 
17025.
---------------------------------------------------------------------------

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

[[Page 71587]]

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. In this section, DOE updates 
the certification provided to the Office of Advocacy of the Small 
Business Administration (SBA) subsequent to publication of the NOPR.
    The SBA has set a size threshold for manufacturers of fluorescent 
lamp ballasts that defines those entities classified as ``small 
businesses'' for the purposes of the Regulatory Flexibility Analysis. 
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 identify potential small manufacturers as defined by SBA, DOE 
conducted a market survey using all available public information. DOE's 
research involved several industry trade association membership 
directories, product databases, individual company Web sites, and 
marketing research tools (e.g., Dun 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 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 at least 10 
fluorescent lamp ballast manufacturers that produce covered fluorescent 
lamp ballasts and can potentially be considered small businesses out of 
the 42 ballast manufacturers listed in the preliminary technical 
support document of the fluorescent lamp ballast standards rulemaking.
    The proposed rule includes revisions to appendix Q and a new 
appendix Q1. 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. As 
described in more detail in sections III.C and III.D, the proposed test 
procedure in appendix Q1 is generally less burdensome compared to the 
existing test procedure, while reducing measurement variation. The 
proposed procedure uses only electrical measurements which are 
generally simpler and more quickly carried out than photometric 
measurements. The proposed procedure only uses a reference ballast once 
every 24 hours, rather than during the performance evaluation of each 
individual ballast. This change reduces the number of measurements 
necessary for assigning a BLE and BF to a ballast compared to the 
number of measurements necessary for BEF and BF under the existing test 
procedure. In addition, the proposed method specifies a shorter lamp 
seasoning period (12 hours versus 100 hours) because the lamp's 
electrical characteristics stabilize sooner than its photometric 
characteristics.
    To analyze the testing burden impacts described above on small 
business manufacturers, DOE first sought to examine publically 
available financial data for those companies identified as small 
businesses to compare the estimated revenue and profit of these 
businesses 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. DOE estimates that the incremental 
testing costs for an average small business would be no more and likely 
less than testing costs under the existing BEF test procedure for the 
reasons set forth in the following paragraph.
    The BLE procedure requires no additional equipment compared to the 
existing test procedure and eliminates the usage of photocells or an 
integrating sphere. In addition, the existing BEF test procedure 
requires measurements of lamp light output on a reference ballast and 
measurements on a test ballast during each test. Light output 
measurements and electrical measurements of the reference system can 
require one to two hours depending on the number of reference ballasts 
available and the speed at which the lamp reaches photometric 
stability. Light output and electrical measurements of the test ballast 
are taken immediately after switching the lamps from the reference to 
the test system. In contrast, the BLE proposal in this SNOPR requires 
the reference lamps to be measured and stabilized on a reference 
ballast only once every twenty four hours. After this stabilization, 
subsequent testing of the ballasts of interest can take between 15 and 
60 minutes. DOE estimates that between 4 and 8 ballast samples could be 
completed in an eight hour period using the existing BEF test 
procedure, while between 8 and 16 tests could be completed using the 
BLE test procedure. Therefore, DOE estimates the BLE

[[Page 71588]]

procedure could result in an incremental reduction in testing time of 
about 50%. Assuming the labor rate for carrying out either procedure is 
$100 per hour, the BLE procedure could reduce testing costs by $50 to 
$100 dollars per test. DOE notes that depending on setup, some 
facilities may see less of a reduction in testing time or potentially 
no change in testing time.
    In this SNOPR, DOE is also proposing that test labs be accredited 
by NVLAP or an organization recognized by NVLAP. Accreditation by NVLAP 
or an NVLAP-recognized organization may cost approximately $8000 per 
year, which DOE believes would not be 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 has 
provided 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

    Manufacturers of fluorescent lamp ballasts must certify to DOE that 
their products comply with any applicable energy conservation standard. 
In certifying compliance, manufacturers must test their products 
according to the DOE test procedure for fluorescent lamp ballasts, 
including any amendments adopted for that test procedure. DOE has 
proposed regulations for the certification and recordkeeping 
requirements for all covered consumer products and commercial 
equipment, including fluorescent lamp ballasts. 75 FR 56796 (Sept. 16, 
2010). The collection-of-information requirement for the certification 
and recordkeeping is subject to review and approval by OMB under the 
Paperwork Reduction Act (PRA). This requirement has been submitted to 
OMB for approval. Public reporting burden for the certification is 
estimated to average 20 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.
    Public comment is sought regarding: whether this proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information shall 
have practical utility; the accuracy of the burden estimate; ways to 
enhance the quality, utility, and clarity of the information to be 
collected; and ways to minimize the burden of the collection of 
information, including through the use of automated collection 
techniques or other forms of information technology. Send comments on 
these or any other aspects of the collection of information to Ms. 
Linda Graves (see ADDRESSES), and 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 also available at http://www.gc.doe.gov). DOE examined today's proposed rule according to UMRA 
and its statement of policy and determined that the 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

[[Page 71589]]

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 
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. 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. Interested parties 
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.

B. Issues on Which DOE Seeks Comment

    DOE welcomes comments on all aspects of this rulemaking. See 
section I for further detail. In addition, DOE is particularly 
interested in receiving comments and views of interested parties 
concerning the following issues:

[[Page 71590]]

1. Impact of Ballast Output on Lamp Efficacy
    DOE seeks comment on the impact of lamp current crest factor, 
waveform, and lamp operating frequency on the efficacy of a fluorescent 
lamp. DOE also seeks comment on its decision to adjust the BLE of low-
frequency ballasts by a factor of 0.9. See section III.C.2 for further 
detail.
2. Ballast Factor Calculation
    DOE seeks comment on the proposed technique for calculating ballast 
factor and on the lamp arc powers empirically derived. DOE also seeks 
comment on how frequently reference lamp power (on a reference ballast) 
should be measured. See section III.D.4 for further detail.
3. Impact of Reference Lamp Measured Power Variation on Ballast Factor
    DOE seeks comment on the impact of reference lamp measured power 
variation on the ballast factor calculation. See section III.D.4 for 
further detail.
4. Laboratory Accreditation
    DOE seeks comment on the potential benefits and burden imposed as a 
result of requiring all certification and compliance data to be 
generated at a laboratory accredited by NVLAP or an organization 
recognized by NVLAP. See section III.H 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 November 4, 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. Redesignating paragraphs:
    1. (c)(11) as (c)(14);
    2. (c)(6) through (c)(10) as (c)(7) through (c)(11);
    3. (c)(12) as (c)(13);
    4. (c)(13) as (c)(17);
    b. Adding the phrase ``, Appendix Q1'' before ``and'' in paragraph 
(c)(5) and in newly designated paragraph (c)(8); and adding the phrase 
``Appendix Q1 and'' in newly designated paragraph (c)(14) before 
``Appendix'';
    c. Revising newly designated paragraph (c)(13); and
    d. Adding new paragraphs (c)(6), (c)(12), (c)(15), and (c)(16).
    These revisions and additions read as follows:


Sec.  430.3  Materials incorporated by reference.

* * * * *
    (c) * * *
    (6) ANSI C78.81-2010, Revision of ANSI C78.81-2005 (``ANSI C78.81-
2010''), American National Standard for Electric Lamps--Double-Capped 
Fluorescent Lamps--Dimensional and Electrical Characteristics, approved 
January 14, 2010; IBR approved for Appendix Q and Appendix Q1 to 
subpart B.
* * * * *
    (12) 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 
and Appendix Q1 to Subpart B.
    (13) ANSI C82.2-2002, Revision of ANSI C82.2-1994 (R1995), American 
National Standard for Lamp Ballasts-Method of Measurement of 
Fluorescent Ballasts, Approved June 6, 2002, IBR approved for Appendix 
Q and Appendix Q1 to subpart B.
* * * * *
    (15) 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 and Appendix Q1 to subpart B.
    (16) 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 and Appendix Q1 to 
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 
6.2.6 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 standards for fluorescent lamp ballasts. Ballast luminous 
efficiency (BLE) shall be as determined in section 7.2 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 
6.2.6 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. Section 430.25 is revised to read as follows:


Sec.  430.25  Laboratory Accreditation Program.

    The testing for fluorescent lamp ballasts shall be performed in 
accordance with Appendix Q1 to this subpart. The testing for general 
service

[[Page 71591]]

fluorescent lamps, general service incandescent lamps, and incandescent 
reflector lamps shall be performed in accordance with Appendix R to 
this subpart. The testing for medium base compact fluorescent lamps 
shall be performed in accordance with Appendix W of this subpart. This 
testing shall be conducted by test laboratories accredited by the 
National Voluntary Laboratory Accreditation Program (NVLAP) or by an 
accrediting organization recognized by NVLAP. NVLAP is a program of the 
National Institute of Standards and Technology, U.S. Department of 
Commerce. NVLAP standards for accreditation of laboratories that test 
for compliance with standards for fluorescent lamp ballast ballast 
luminous efficiency (BLE), fluorescent lamp efficacy, and fluorescent 
lamp CRI are set forth in 15 CFR part 285. A manufacturer's or 
importer's own laboratory, if accredited, may conduct the applicable 
testing.
    5. Appendix Q to subpart B of part 430 is amended by:
    a. Adding an introductory paragraph after the Appendix heading.
    b. Revising sections 1.15, 1.16, 1.17, and 2.
    c. 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.
    d. Revising newly 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.
    e. 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.
    f. Adding sections 3.1 and 3.2.1.
    g. 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.
* * * * *
    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 of a 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.
    2.1 Measurement of Active Mode Energy Consumption, BEF. 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 described in 
this section (2.1) are applicable to section 3.1 of section 3, Test 
Method and Measurements.
    2.2 Measurement of Standby Mode Power. The measurement of 
standby mode power need not be performed to determine compliance 
with energy conservation standards for fluorescent lamp ballasts at 
this time. This and the previous 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 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 3.2 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 C82.1-2004 (incorporated by reference; see Sec.  430.3) for 
testing low-frequency ballasts and ANSI C82.11-2002 (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).
* * * * *
    3.1.3.1 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.
* * * * *
    3.1.4.1 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.
* * * * *
    3.2.1 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] TP24NO10.390
    
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
    [GRAPHIC] [TIFF OMITTED] TP24NO10.391
    
    (b) Multiple lamp ballast

[[Page 71592]]

[GRAPHIC] [TIFF OMITTED] TP24NO10.392

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] TP24NO10.393
    
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.

    6. 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. Where ANSI C82.2-2002 (incorporated by reference; see Sec.  
430.3) references ANSI C82.1-1997, the operator shall use ANSI 
C82.1-2004 (incorporated by reference; see Sec.  430.3) for testing 
low-frequency ballasts and shall use ANSI C82.11-2002 (incorporated 
by reference; see Sec.  430.3) for high-frequency ballasts.
    2. Definitions
    2.1. Cathode heating refers to power delivered to the lamp by 
the ballast for the purpose of raising the temperature of the lamp 
electrode or filament.
    2.2. Commercial ballast is a fluorescent lamp ballast that is 
not a residential ballast as defined in section 2.9 and meets 
technical standards for non-consumer RF lighting devices as 
specified in subpart C of 47 CFR part 18.
    2.3. High-frequency ballast is as defined in ANSI C82.13-2002 
(incorporated by reference; see Sec.  430.3).
    2.4. Instant-start is the starting method used instant-start 
systems as defined in ANSI C82.13-2002 (incorporated by reference; 
see Sec.  430.3).
    2.5. 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.
    2.6. Programmed-start is the starting method used in programmed-
start systems as defined in ANSI C82.13-2002 (incorporated by 
reference; see Sec.  430.3).
    2.7. Rapid-start is the starting method used in rapid-start type 
systems as defined in ANSI C82.13-2002 (incorporated by reference; 
see Sec.  430.3).
    2.8. Reference lamp is a fluorescent lamp that meets certain 
operating conditions as defined by ANSI C82.13-2002 (incorporated by 
reference; see Sec.  430.3).
    2.9. 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.
    2.10. RMS is the root mean square of a varying quantity.
    3. Instruments
    3.1. All instruments shall be as specified by ANSI C82.2-2002 
(incorporated by reference; see Sec.  430.3).
    3.2. 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.
    3.3. 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.
    4. Test Setup
    4.1. The ballast shall be connected to a main power source and 
to the fluorescent lamp load according to the manufacturer's wiring 
instructions and ANSI C82.1-2004 (incorporated by reference; see 
Sec.  430.3) and C78.81-2010 (incorporated by reference; see Sec.  
430.3).
    4.1.1. Wire lengths between the ballast and fluorescent lamp 
shall be the length provided by the ballast manufacturer. Wires 
shall be kept loose and not shortened or bundled.
    4.1.1.1. If the wire lengths supplied with the ballast are of 
insufficient length to reach both ends of lamp, additional wire may 
be added. The minimal additional wire length necessary shall be 
added, and the additional wire shall be the same wire gauge as the 
wire supplied with the ballast. If no wiring is provided with the 
ballast, 18 gauge or thicker wire shall be used. The wires shall be 
separated from each other and ground to prevent parasitic 
capacitance for all wires used in the apparatus, including those 
wires from the ballast to the lamps and from the lamps to the 
measuring devices.
    4.1.2. The fluorescent lamp shall meet the specifications of a 
reference lamp as defined by ANSI C82.13-2002 (incorporated by 
reference; see Sec.  430.3) and be seasoned at least 12 hours.
    4.2. The ballast shall be connected to the number of lamps equal 
to the maximum number of lamps the ballast is designed to operate.
    4.3. The ballast shall be tested with a reference lamp of the 
nominal wattage listed in Table A.

                          Table A--Lamp-and-Ballast Pairings & Reference Lamp Arc Power
----------------------------------------------------------------------------------------------------------------
                                                                                            Reference lamp arc
                                               Nominal                                             power
                Ballast type                    lamp         Lamp  diameter and base     -----------------------
                                               wattage                                        Low        High
                                                                                           frequency   frequency
----------------------------------------------------------------------------------------------------------------
Ballasts that operate one, two, three,               32  T8 MBP                                 30.8          29
 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 of 25 W or more, and an
 input voltage at or between 120 V and 277
 V.
                                                     34  T12 MBP                                  32       29.81
Ballasts that operate one, two, three,               32  T8 MBP                                 30.8          29
 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.
                                                     34  T12 MBP                                  32       29.81
Ballasts that operate one or two rapid-              86  T8 HO RDC                               N/A          86
 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.
                                                     95  T12 HO RDC                               90       84.88
Ballasts that operate one or two instant-            59  T8 slimline                            60.1          57
 start lamps (commonly referred to as 8-                 SP
 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.
                                                     60  T12 slimline                           60.5       56.91
                                                         SP

[[Page 71593]]

 
Ballasts that operate one or two straight-           28  T5 SO Mini-                             N/A        27.8
 shaped lamps (commonly referred to as 4-                BP
 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            54  T5 HO Mini-                             N/A        53.8
 four straight-shaped lamps (commonly                    BP
 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            32  T8 MBP                                 30.8          29
 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 that are designed and
 labeled for use in residential
 applications.
                                                     34  T12 MBP                                  32       29.81
Ballasts that operate one, two, three,               86  T8 HO RDC                               N/A          86
 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 [deg]F or less and are
 used in outdoor signs.
                                                    110  T12 HO RDC                              106      100.03
MBP, Mini-BP, RDC, and SP represent medium
 bipin, miniature bipin, recessed double
 contact, and single pin, respectively..
----------------------------------------------------------------------------------------------------------------

    4.4. Power Analyzer
    4.4.1. The power analyzer shall have n + 1 channels where n is 
the number of lamps a ballast operates.
    4.4.2. Lamp Arc Voltage. Leads from the power analyzer should 
attach to each fluorescent lamp according to Figure 1 for rapid- and 
programmed-start ballasts, Figure 2 for instant-start ballasts 
operating single pin (SP) lamps, and Figure 3 for instant-start 
ballasts operating medium bipin (MBP), miniature bipin (mini-BP), or 
recessed double contact (RDC) lamps. The programmed- and rapid-start 
ballast test setup includes two 1000 ohm resistors placed in 
parallel with the lamp pins to create a midpoint from which to 
measure lamp arc voltage.
    4.4.3. Lamp Arc Current. A current probe shall be positioned on 
each fluorescent lamp according to Figure 1 for rapid- and 
programmed-start ballasts, Figure 2 for instant-start ballasts 
operating SP lamps, and Figure 3 for instant-start ballasts 
operating MBP, mini-BP, and RDC lamps.
    4.4.3.1. For the lamp arc current measurement, the full 
transducer ratio shall be set in the power analyzer to match the 
current probe to the power analyzer.
[GRAPHIC] [TIFF OMITTED] TP24NO10.382

Where:

Iin Current through the current transducer
Vout Voltage out of the transducer
Rin Power analyzer impedance
Rs Current probe output impedance

[[Page 71594]]

[GRAPHIC] [TIFF OMITTED] TP24NO10.383

[GRAPHIC] [TIFF OMITTED] TP24NO10.384


[[Page 71595]]


[GRAPHIC] [TIFF OMITTED] TP24NO10.385

    5. Test Conditions
    5.1. 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 C78.81-2010 (incorporated by 
reference; see Sec.  430.3), ANSI C82.1-2004 (incorporated by 
reference; see Sec.  430.3), ANSI C82.3-2002 (incorporated by 
reference; see Sec.  430.3), ANSI C82.11-2002 (incorporated by 
reference; see Sec.  430.3), and ANSI C82.13-2002 (incorporated by 
reference; see Sec.  430.3). All other normative references shall be 
as specified in ANSI C82.2-2002.
    5.2. Room Temperature and Air Circulation. The test facility 
shall be held at 25  2[deg]C, with minimal air movement 
as defined in ANSI C78.375-1997 (incorporated by reference; see 
Sec.  430.3).
    5.3. 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%. For ballasts designed and labeled 
as cold-temperature outdoor sign ballasts and capable of operating 
at multiple voltages, the ballast shall be tested at 120V  0.1%. Ballasts capable of operating at only one input voltage 
shall be tested at that specified voltage.
    6. Test Method
    6.1. Ballast Factor
    6.1.1. Reference ballast lamp arc power shall be measured with a 
reference ballast at the same frequency as the test ballast in 
accordance with ANSI C78.375-1997 (incorporated by reference; see 
Sec.  430.3), ANSI C78.81-2010 (incorporated by reference; see Sec.  
430.3), and ANSI C82.3-2002 (incorporated by reference; see Sec.  
430.3). Total reference ballast lamp arc power shall be equal to the 
sum of the reference ballast lamp arc powers of all the reference 
lamps used with the test ballast. Reference ballast lamp arc power 
shall be measured once every 24 hours.
    6.1.1.1. If the reference ballast characteristics are not 
specified in ANSI C78.81-2010 (incorporated by reference; see Sec.  
430.3), then the reference ballast lamp arc power shall be equal to 
the reference lamp power value listed in Table A times the maximum 
number of lamps the ballast is designed to operate. The reference 
lamp power selected from Table A should be at the same frequency as 
the test ballast.
    6.2. Ballast Luminous Efficiency.
    6.2.1. The ballast shall be connected the appropriate 
fluorescent lamps and to measurement instrumentation as indicated by 
the Test Setup in section 4.
    6.2.2. The ballast shall be operated for at least 15 minutes but 
no longer than 1 hour until stable operating conditions are reached. 
After this condition is reached, concurrently measure the parameters 
described in sections 6.2.3 through 6.2.9.
    6.2.2.1. Stable operating conditions are determined by measuring 
lamp arc voltage, current, and power once per second in accordance 
with the setup described in section 4. Once the difference between 
the maximum and minimum values for lamp arc voltage, current, and 
power do not exceed one percent over a four minute moving window, 
the system shall be considered stable.
    6.2.3. Lamp Arc Voltage. Measure lamp arc voltage (volts) using 
the setup described in section 4.4.2.
    6.2.4. Lamp Arc Current. Measure lamp arc current (amps) using 
the setup described in section 4.4.3.
    6.2.5. Lamp Arc Power. The power analyzer shall calculate output 
power by using the measurements described in section 6.2.3 and 
6.2.4.
    6.2.6. 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.
    6.2.7. 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.
    6.2.8. 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.
    6.2.9. Lamp Operating Frequency. Measure the frequency of the 
waveform delivered from the ballast to any lamp in accordance with 
the setup in section 4.
    7. Calculations
    7.1. Calculate ballast factor (BF):
    [GRAPHIC] [TIFF OMITTED] TP24NO10.386
    
Where:

Total test ballast lamp arc power is the sum of the lamp arc powers 
for all lamps operated by the ballast as determined in accordance 
with section 6.2.5, expressed in watts, and total reference ballast 
lamp arc power is determined in accordance with section 6.1.1, 
expressed in watts.

    7.2. Calculate ballast luminous efficiency (BLE).

[[Page 71596]]

[GRAPHIC] [TIFF OMITTED] TP24NO10.387

Where:

Total Lamp Arc Power is the sum of the lamp arc powers for all lamps 
operated by the ballast as determined by section 6.2.5, ballast 
input power is as determined by section 6.2.6, and [beta] is equal 
to 1.0 for high-frequency ballasts and 0.9 for low-frequency 
ballasts.

    7.3. Calculate Power Factor (PF).
    [GRAPHIC] [TIFF OMITTED] TP24NO10.388
    
Where:

Ballast input power is determined in accordance with section 6.2.6, 
input voltage is determined in accordance with section 6.2.7, and 
input current in determined in accordance with section 6.2.8.

[FR Doc. 2010-28793 Filed 11-23-10; 8:45 am]
BILLING CODE 6450-01-P